Bulletin 11-02-2022

Front matter not included
ARC 6631CEnvironmental Protection Commission[567]Notice of Intended Action

Proposing rule making related to federal air quality standards and providing an opportunity for public comment

    The Environmental Protection Commission (Commission) hereby proposes to amend Chapter 20, “Scope of Title—Definitions,” Chapter 22, “Controlling Pollution,” Chapter 23, “Emission Standards for Contaminants,” Chapter 25, “Measurement of Emissions,” and Chapter 28, “Ambient Air Quality Standards,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 455B.133.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 455B.133 and 455B.134.Purpose and Summary    This rule making proposes to adopt several new mandatory federal air quality standards. These proposed amendments are identical to the federal regulations, and the amendments do not impose any regulations on Iowa businesses not already required by federal law. Additionally, the adoption of these proposed amendments will ensure that Iowa’s administrative rules are consistent with federal regulations and not any more stringent.    More specifically, the proposed amendments adopt updated federal new source performance standards (NSPS) and air toxics standards, also known as National Emissions Standards for Hazardous Air Pollutants (NESHAP). These standards apply whether they are adopted into state regulation or not; however, by incorporating these terms into the administrative rules, the Department of Natural Resources (Department) can continue to be a delegated authority under the Clean Air Act (CAA). This allows the Department, rather than the U.S. Environmental Protection Agency (EPA), to be the primary compliance and implementation agency in Iowa.    In more detail, this rule making proposes the following eight amendments:    Item 1 amends rule 567—20.2(455B), definition of “EPA reference method,” to adopt the most current EPA methods for measuring air pollutant emissions, performance testing (sometimes called “stack testing”), and continuous monitoring. EPA’s revisions to 40 Code of Federal Regulations (CFR) Part 60 to correct regulations for source testing of emissions was published in the Federal Register on February 16, 2021 (86 Fed. Reg. 9470 (Feb. 16, 2021)). EPA states that the final amendments correct errors for one of the test methods in 40 CFR Part 60, Appendix A. Adopting EPA’s updates ensures that state reference testing methods match current federal reference methods and are no more stringent than the federal methods.    The amendment in Item 2 is proposed concurrently with the amendment in Item 1. It revises the definition of “EPA reference method” in rule 567—22.100(455B) to similarly reflect updates to EPA testing and monitoring methods, which are the methods that apply to the Title V Operating Permit rules in Chapter 22.    The amendment in Item 3 proposes to add a new chemical to the definition of “hazardous air pollutant” in rule 567—22.100(455B). On January 5, 2022, EPA published a final rule to add 1-Bromopropane (1-BP) to the CAA’s list of hazardous air pollutants (HAP). The addition of 1-BP, also known as n-propyl bromide, is the first time the EPA has added a new compound to the HAP list since the U.S. Congress provided the original HAP list in the 1990 CAA Amendments.    A wide variety of industries may be impacted by the listing of 1-BP, which is primarily used as a cleaning solvent in solvent cleaning machines or as an applied solvent (e.g., wipe cleaning). 1-BP also has reported uses in both the manufacturing process and the final cleaning of metal and plastic parts.    A facility must include 1-BP in its potential emissions HAP inventory in construction permit applications as of February 4, 2022. Actual emissions of 1-BP are not required to be reported in Title V or minor source emissions inventories until 2023, for the 2022 emissions year. At this time, the Department is aware of only one facility that has reported actual or potential emissions of 1-BP.    More information on the short- and long-term regulatory impacts of EPA’s listing of 1-BP is available in the Department’s electronic air quality newsletter, which was sent to over 25,000 subscribers on January 25, 2022, and is available on the Department’s website at www.iowadnr.gov/About-DNR/DNR-News-Releases/ArticleID/3885/EPA-adds-1-bromopropane -1-BP-to-the-Clean-Air-Act-List-of-Hazardous-Air-Pollutants.    The amendments in Items 4, 5, and 6 propose to adopt changes to the federal NSPS and NESHAP. The CAA obligates EPA to issue standards to control air pollution. The NSPS and NESHAP set federal standards and deadlines for industrial, commercial, or institutional facilities to meet uniform standards for equipment operation and air pollutant emissions.    Because the NSPS and NESHAP adopted by reference are federal regulations, affected sources are subject to the federal requirements regardless of whether the Commission adopts the standards into the administrative rules. However, the CAA allows a state or local agency to implement NSPS and NESHAP as a delegated authority. Upon adoption of the standards, the Department becomes the delegated authority for the specific NSPS or NESHAP and is the primary implementation agency in Iowa. Two local agencies, those in Polk County and Linn County, implement these standards within their counties.    The administrative rules, including all compliance deadlines, are identical to the federal NSPS and NESHAP as of a specific federal publication date. With delegation authority and adoption of the federal standards into the administrative rules and the rules of Polk County and Linn County, the State and local agencies have the ability to make applicability determinations for facilities, rather than referring these decisions to EPA.    Stakeholders affected by NSPS and NESHAP typically prefer for the Department, rather than EPA, to be the primary implementation agency in Iowa. Upon adoption of the new and amended standards, the Department will work with affected facilities to provide any needed compliance assistance. Additionally, affected area sources that are small businesses are eligible for free technical assistance through the Iowa Air Emissions Assistance Program.    In more detail, Item 4 amends subrule 23.1(2) to adopt by reference changes EPA made to the NSPS. As described in the amendment for Item 1 above, EPA corrected an error to a test method in 40 CFR Part 60, Appendix A. Additionally, on January 19, 2021, EPA amended the NSPS for Volatile Organic Liquid Storage Vessels (40 CFR Part 60, Subpart Kb). These amendments will allow facilities with certain equipment to elect to comply with the corresponding NESHAP requirements in lieu of the NSPS requirements.    Risk and technology reviews for NESHAP (40 CFR Part 63)    Most of EPA’s amendments adopted in subrule 23.1(4) address the risk and technology reviews required under the CAA. The CAA requires EPA to address air toxics emissions from large industrial facilities (major sources) in two phases.    The first phase of review is technology-based, where EPA develops standards for controlling the emissions of air toxics from sources in an industry group or “source category” (for example, industrial boilers). These maximum achievable control technology (MACT) standards are based on emissions levels that controlled and low-emitting sources in an industry are already achieving.    The second phase of review is a risk-based approach called residual risk. In this step, EPA must determine whether more health-protective standards are necessary. Within eight years of setting the MACT standards, the CAA requires EPA to assess the remaining health risks from each source category to determine whether the MACT standards protect public health with an ample margin of safety and protect against adverse environmental effects. On this same schedule, the CAA also requires EPA to review the standards and, if necessary, revise them to account for improvements in air pollution controls or prevention. The combined review of public health risk and air pollution control is called the “risk and technology review” (RTR).    Impact of the NESHAP amendments    For most of the recent NESHAP RTR updates, EPA has determined that the risks from emissions from affected source categories are acceptable and that there are no new cost-effective controls available. However, the updates do include revisions to the requirements for periods of startup, shutdown, and malfunction (SSM) and require electronic reporting of performance test results and compliance reports.    In some cases, EPA made minor amendments to correct errors, clarify requirements, and provide technical updates. EPA also provided additional flexibilities in several of the final NESHAP RTRs, such as alternative testing methods or reduced monitoring. A few of the recent and upcoming NESHAP RTRs do include more substantive requirements for pollution control and monitoring.    Table 1 below identifies the amendments to the NESHAP source categories adopted by reference in amendments proposed in Item 5 and Item 6. The standards are identified by source category and are listed in order of publication date in the Federal Register. The table also indicates the subpart in 40 CFR Part 63, as well as the associated paragraph in subrule 23.1(4). Additionally, the table indicates the number of facilities that the Department estimates are currently affected by the specific standard. The Commission is adopting standards that currently do not affect any Iowa sources in case a new facility of that type is constructed in the future.    Table 1 NESHAP Proposed for AdoptionNESHAP: Affected Source CategoryDate Published in Federal Register40 CFR 63 Subpart/Subrule 23.1(4) ParagraphEstimated Iowa Facilities AffectedChemical Preparations Industry (Area Source)12/30/2009*BBBBBBB/“fb”1General Provisions3/26/2021A/“a”N/AFlexible Polyurethane Foam Fabrication Operations11/18/2021MMMMM/“dm”0Surface Coating of Automobiles and Light-Duty Trucks11/19/2021IIII/“ci”0Surface Coating of Metal Cans11/19/2021KKKK/“ck”0Boat Manufacturing11/19/2021VVVV/“cv”0Refractory Products Manufacturing11/19/2021SSSSS/“ds”0Carbon Black Production and Cyanide Chemicals Manufacturing11/19/2021YY/“ay”0List of Hazardous Air Pollutants (Addition of 1-Bromopropane (1-BP))2/4/2022A/“a”N/AMercury Cell Chlor-Alkali Plants5/6/2022IIIII/“di”0*The Commission did not adopt this NESHAP (Subpart BBBBBBB) upon EPA’s finalizing it because there were no affected Iowa facilities at that time. Recently, the Department became aware of one facility that is subject to this NESHAP. The Commission is now proposing to adopt the NESHAP to have the Department become the delegated authority for this federal regulation.    Item 7 amends subrule 25.1(9) to adopt the changes EPA made to the federal test methods for measuring emissions, as explained above for Item 1.    Item 8 amends rule 567—28.1(455B) to adopt the National Ambient Air Quality Standards (NAAQS) for ozone that were published in the Federal Register on October 26, 2015 (80 Fed. Reg. 65291-65468 (Oct. 26, 2015)). The Commission did not adopt the 2015 ozone NAAQS at the time of EPA promulgation due to active litigation of the 2015 standards. The substantive issues in the legal challenges have since been resolved, and the Commission is now proposing to adopt the 2015 ozone NAAQS. All areas in Iowa are currently attaining the 2015 ozone NAAQS.Fiscal Impact    After analysis and review of this rule making, these amendments will have no fiscal impact on the State of Iowa and a neutral impact on regulated facilities, the general public, and county and local governments. Some of the amendments may benefit the private sector because they streamline current air quality programs. Affected businesses and the public benefit from up-to-date air quality requirements and increased effectiveness. A copy of the fiscal impact statement is available from the Department upon request.Jobs Impact    After analysis and review of this rule making, these proposed amendments will have an overall neutral impact on private sector jobs. Some of these amendments may benefit the private sector because they streamline current air quality programs. For the amendments specified in Items 4, 5, and 6, the Commission has determined that there may be job impacts on Iowa businesses. However, the amendments are only implementing federally mandated regulations, thus any resulting impact originates at the federal level. These amendments are identical to the federal regulations and will not impose any regulations on Iowa businesses not already required by federal law. In some cases, the revised federal standards being adopted provide more flexibility and potential cost savings for affected businesses, offering a positive impact on private sector jobs. A copy of the jobs impact statement is available from the Department upon request.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 561—Chapter 10.Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on Monday, December 5, 2022. Comments should be directed to:Jessica Reese McIntyre Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Email: jessica.reesemcintyre@dnr.iowa.govPublic 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 Jessica Reese McIntyre 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 Jessica Reese McIntyre prior to the hearing to facilitate an orderly hearing.December 5, 2022 1 to 2 p.m.Via video/conference call     Persons who wish to make oral comments at the public hearing will be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing impairments, should contact the Department and advise of specific needs.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 567—20.2(455B), definition of “EPA reference method,” as follows:        "EPA reference method" means the following methods used for performance tests and continuous monitoring systems:
  1. Performance test (stack test). A stack test shall be conducted according to EPA reference methods specified in 40 CFR 51, Appendix M (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix A (as amended or corrected through October 7, 2020February 16, 2021); 40 CFR 61, Appendix B (as amended or corrected through October 7, 2020); and 40 CFR 63, Appendix A (as amended or corrected through December 2, 2020).
  2. Continuous monitoring systems. Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix F (as amended or corrected through October 7, 2020); 40 CFR 75, Appendix A (as amended or corrected through August 30, 2016); 40 CFR 75, Appendix B (as amended or corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amended or corrected through August 30, 2016).

    ITEM 2.    Amend rule 567—22.100(455B), definition of “EPA reference method,” as follows:        "EPA reference method" means the following methods used for performance tests and continuous monitoring systems:
  1. Performance test (stack test). A stack test shall be conducted according to EPA reference methods specified in 40 CFR 51, Appendix M (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix A (as amended or corrected through October 7, 2020February 16, 2021); 40 CFR 61, Appendix B (as amended or corrected through October 7, 2020); and 40 CFR 63, Appendix A (as amended or corrected through December 2, 2020).
  2. Continuous monitoring systems. Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix F (as amended or corrected through October 7, 2020); 40 CFR 75, Appendix A (as amended or corrected through August 30, 2016); 40 CFR 75, Appendix B (as amended or corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amended or corrected through August 30, 2016).

    ITEM 3.    Amend rule 567—22.100(455B), definition of “Hazardous air pollutant,” by adding the following new chemical in alphabetical order:cas #chemical name1069451-Bromopropane

    ITEM 4.    Amend subrule 23.1(2), introductory paragraph, as follows:    23.1(2) New source performance standards.  The federal standards of performance for new stationary sources, as defined in 40 Code of Federal Regulations Part 60 as amended or corrected through October 7, 2020,February 16, 2021, are adopted by reference, except §60.530 through §60.539b (Part 60, Subpart AAA), and shall apply to the following affected facilities. The corresponding 40 CFR Part 60 subpart designation is in parentheses. A different date for adoption by reference may be included with the subpart designation in parentheses. Reference test methods (Appendix A), performance specifications (Appendix B), determination of emission rate change (Appendix C), quality assurance procedures (Appendix F) and the general provisions (Subpart A) of 40 CFR Part 60 also apply to the affected facilities.

    ITEM 5.    Amend subrule 23.1(4), introductory paragraph, as follows:    23.1(4) Emission standards for hazardous air pollutants for source categories.  The federal standards for emissions of hazardous air pollutants for source categories, 40 Code of Federal Regulations Part 63 as amended or corrected through November 3, 2020,May 6, 2022, are adopted by reference, except those provisions which cannot be delegated to the states. The corresponding 40 CFR Part 63 subpart designation is in parentheses. A different date for adoption by reference may be included with the subpart designation in parentheses or as indicated in this introductory paragraph. 40 CFR Part 63, Subpart B, incorporates the requirements of Clean Air Act Sections 112(g) and 112(j) and does not adopt standards for a specific affected facility. Test methods (Appendix A as amended or corrected through December 2, 2020), sources defined for early reduction provisions (Appendix B), and determination of the fraction biodegraded (Fbio) in the biological treatment unit (Appendix C) of Part 63 also apply to the affected activities or facilities. For the purposes of this subrule, “hazardous air pollutant” has the same meaning found in rule 567—22.100(455B). For the purposes of this subrule, a “major source” means any stationary source or group of stationary sources located within a contiguous area and under common control that emits or has the potential to emit, considering controls, in the aggregate, 10 tons per year or more of any hazardous air pollutant or 25 tons per year or more of any combination of hazardous air pollutants, unless a lesser quantity is established, or in the case of radionuclides, where different criteria are employed. For the purposes of this subrule, an “area source” means any stationary source of hazardous air pollutants that is not a “major source” as defined in this subrule. Paragraph 23.1(4)“a,” general provisions (Subpart A) of Part 63, shall apply to owners or operators who are subject to subsequent subparts of 40 CFR Part 63 (except when otherwise specified in a particular subpart or in a relevant standard) as adopted by reference below.

    ITEM 6.    Adopt the following new paragraph 23.1(4)"fb":    fb.    National emission standards for hazardous air pollutants for area sources: chemical preparations industry.This standard applies to chemical preparations at new and existing facilities that are area sources for hazardous air pollutant emissions. (Part 63, Subpart BBBBBBB)

    ITEM 7.    Amend subrule 25.1(9) as follows:    25.1(9) Methods and procedures.  Stack sampling and associated analytical methods used to evaluate compliance with emission limitations of 567—Chapter 23 or a permit condition are as follows:    a.    Performance test (stack test).A stack test shall be conducted according to EPA reference methods as specified in 40 CFR 51, Appendix M (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix A (as amended or corrected through October 7, 2020February 16, 2021); 40 CFR 61, Appendix B (as amended or corrected through October 7, 2020); and 40 CFR 63, Appendix A (as amended or corrected through December 2, 2020). The owner of the equipment or the owner’s authorized agent may use an alternative methodology if the methodology is approved by the department in writing before testing. Each test shall consist of at least three separate test runs. Unless otherwise specified by the department, compliance shall be assessed on the basis of the arithmetic mean of the emissions measured in the three test runs.    b.    Continuous monitoring systems.Minimum performance specifications and quality assurance procedures for performance evaluations of continuous monitoring systems are as specified in 40 CFR 60, Appendix B (as amended or corrected through October 7, 2020); 40 CFR 60, Appendix F (as amended or corrected through October 7, 2020); 40 CFR 75, Appendix A (as amended or corrected through August 30, 2016); 40 CFR 75, Appendix B (as amended or corrected through August 30, 2016); and 40 CFR 75, Appendix F (as amended or corrected through August 30, 2016). The owner of the equipment or the owner’s authorized agent may use an alternative methodology for continuous monitoring systems if the methodology is approved by the department in writing before the minimum performance specifications and quality assurance procedures are conducted.    c.    Permit and compliance demonstration requirements.After October 24, 2012, all stack sampling and associated analytical methods used to evaluate compliance with emission limitations of 567—Chapter 23 or required in a permit issued by the department pursuant to 567—Chapter 22 or 33 shall be conducted using the methodology referenced in this rule. If stack sampling was required for a compliance demonstration pursuant to 567—Chapter 23 or for a performance test required in a permit issued by the department pursuant to 567—Chapter 22 or 33 before October 24, 2012, and the demonstration or test was not required to be completed before October 24, 2012, then the methodology referenced in this subrule applies retroactively.

    ITEM 8.    Amend rule 567—28.1(455B) as follows:

567—28.1(455B) Statewide standards.  The state of Iowa ambient air quality standards shall be the National Primary and Secondary Ambient Air Quality Standards as published in 40 Code of Federal Regulations Part 50 (1972) and as amended at 38 Federal Register 22384 (September 14, 1973), 43 Federal Register 46258 (October 5, 1978), 44 Federal Register 8202, 8220 (February 9, 1979), 52 Federal Register 24634-24669 (July 1, 1987), 62 Federal Register 38651-38760, 38855-38896 (July 18, 1997), 71 Federal Register 61144-61233 (October 17, 2006), 73 Federal Register 16436-16514 (March 27, 2008), 73 Federal Register 66964-67062 (November 12, 2008), 75 Federal Register 6474-6537 (February 9, 2010), 75 Federal Register 35520-35603 (June 22, 2010), and 78 Federal Register 3086-3287 (January 15, 2013), and 80 Federal Register 65291-65468 (October 26, 2015). The department shall implement these rules in a time frame and schedule consistent with implementation schedules in federal laws and regulations.       This rule is intended to implement Iowa Code section 455B.133.
ARC 6632CEnvironmental Protection Commission[567]Notice of Intended Action

Proposing rule making related to beverage container deposits and providing an opportunity for public comment

    The Environmental Protection Commission (Commission) hereby proposes to amend Chapter 107, “Beverage Container Deposits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 455C.9.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 455C as amended by 2022 Iowa Acts, Senate File 2378.Purpose and Summary    Chapter 107 regulates the beverage container redemption system in Iowa. This rule making is necessary to align Chapter 107 with Iowa Code chapter 455C as amended by recent legislation (2022 Iowa Acts, Senate File 2378). The proposed amendments rescind or amend provisions that are now inconsistent with the amended statute. The proposed amendments also clarify the existing rules and remove outdated provisions.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department of Natural Resources (Department) upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request. Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 561—Chapter 10. Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Amie Davidson Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Email: bottlebill@dnr.iowa.govPublic 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 Amie Davidson 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 Ms. Davidson prior to the hearing to facilitate an orderly hearing.November 22, 2022 1 to 2 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 impairments, should contact the Department and advise of specific needs.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Rescind and reserve rule 567—107.1(455C).

    ITEM 2.    Amend rule 567—107.2(455C), introductory paragraph, as follows:

567—107.2(455C) Definitions.  As used in this chapter:For the purpose of this chapter, the following terms shall have the meaning indicated in this rule. The definitions set out in Iowa Code section 455C.1 shall be considered to be incorporated verbatim in this rule.

    ITEM 3.    Rescind the definitions of “Beverage,” “Beverage container,” “Commission,” “Consumer,” “Dealer,” “Dealer agent,” “Department,” “Director,” “Distributor,” “Exempt dealer,” “Manufacturer,” “Redemption center,” “Redemption center for a dealer” and “Registered redemption center” in rule 567—107.2(455C).

    ITEM 4.    Adopt the following new definitions of “Distributor redemption center” and “Handling fee” in rule 567—107.2(455C):        "Distributor redemption center" means a redemption center that satisfies the requirements of Iowa Code section 455C.14.        "Handling fee" "fee" means the amount reimbursed by a distributor, in addition to the return of the 5 cent refund value, in an amount that is 1 cent per beverage container for containers accepted from a dealer agent and 3 cents per beverage container accepted from a participating dealer or redemption center.

    ITEM 5.    Amend rule 567—107.2(455C), definitions of “Exempt beverage container” and “Unapproved redemption center,” as follows:        "Exempt beverage container" means a beverage container that is not marked with the words “Iowa Refund 5¢” because it is a refillable glass beverage container having a brand name permanently marked on it and having a refund value of 5 or more cents or because it is a refillable metal or plastic beverage container that has been exempted, in accordance with the procedure ofsubrule 107.3(7), from the requirement of having the refund value marked on the container. An exempt beverage container is exempt from having the words “Iowa Refund 5¢” indicated on the container, but is not necessarily exempt from the minimum depositand redemption requirements of this chapter.        "Unapproved redemption center" means a redemption center that is not an approved redemption center or a registered redemption center.

    ITEM 6.    Amend subrule 107.3(1) as follows:    107.3(1)   All beer, wine, alcoholic liquor, mineral water, soda water and similar carbonated soft drink containers (other than exempt containers) sold or offered for sale in Iowa by a dealer shall have the words “Iowa Refund 5¢” or “IA 5¢” clearly, indelibly and legibly indicated on the container. If the refund value is more than 5 cents, the greater value may be indicated, e.g., “Iowa Refund 10¢” or “IA 10¢.” Any abbreviation of the words “Iowa Refund” other than as provided in this subrule shall be submitted to and approved by the department.

    ITEM 7.    Amend subrule 107.3(5) as follows:    107.3(5)   The words “Iowa Refund 5¢” or “IA 5¢” shall be on the topor on the cylindrical portion of a metal beverage container. The words “Iowa Refund 5¢” or “IA 5¢” shall be on the conical portion of a glass or plastic beverage container so that the words are visible from above or shall be on the product label. The placement of refund information solely on the bottom of the beverage container is prohibited.

    ITEM 8.    Amend subrule 107.3(7), introductory paragraph, as follows:    107.3(7)   An application for exemption from the requirement of having the words “Iowa Refund 5¢” or “IA 5¢” indicated on the container shall be on Form LQ 37 or on 8½″ × 11″ papersubmitted to the department and shall contain:

    ITEM 9.    Amend subrule 107.3(8) as follows:    107.3(8)   An example of the container for which the exemption is being requested shall be sent to the department along with the application required insubrule 107.3(7).The example may consist of photographic images or empty containers. Examples submitted to the department shall not contain any liquid.

    ITEM 10.    Adopt the following new subrule 107.3(10):    107.3(10)   Automatic exemption. Beverage containers sold in Iowa containing alcoholic liquor as defined in Iowa Code section 123.3(5) where the total capacity of the container is not more than 50 milliliters are automatically exempted from the labeling requirement of rule 567—107.3(455C). However, such beverage containers remain subject to the remainder of this chapter.

    ITEM 11.    Amend rule 567—107.4(455C), introductory paragraph, as follows:

567—107.4(455C) Redemption centers.  The Act provides for both approved and unapproved redemption centers. Both approved and unapproved redemption centers redeem empty beverage containers and pay the refund value to consumers. Additionally, the Act recognizes “a redemption center for a dealer.” Unapproved redemption centers in existence on May 22, 2002, and served by distributors on a voluntary basis may formalize the status quo by registering with the department pursuant to 107.4(4).Only approved redemption centers can satisfy the requirements of Iowa Code sections 455C.4(2)“a”(2) and 455C.4(2)“a”(3) and 2022 Iowa Acts, Senate File 2378, section 19.1(a) or 19.1(b). Additionally, only approved redemption centers will be listed on the department’s electronic database pursuant to Iowa Code section 455C.4(2)“c.”

    ITEM 12.    Amend subrules 107.4(1) and 107.4(2) as follows:    107 107.4 4(1)   Approved redemption centers.    a.    Any person may file with the department an application for approval of a redemption center.    b.    Anannual application for approval of a redemption center shall be submitted on Form LQ38 or on 8 ½ ″ × 11″ paper and shall contain the following information:to the department electronically.    (1)   Initial application. All redemption centers in existence prior to January 1, 2023, that wish to be considered approved under this chapter must apply for approval pursuant to the requirements of subrule 107.4(1) by January 31, 2023. This will ensure that the approved redemption center list published by the department is accurate and includes existing redemption centers. All other redemption centers that wish to be considered approved under this chapter (i.e., new redemption centers established any time after January 1, 2023) should file their application within 30 days of starting their business.    (2)   Annual renewals. All redemption centers should file their annual renewal application by January 31 of each subsequent year to allow the department to update its approved redemption center list in a timely manner.    (3)   Application requirements. A redemption center must submit a separate application for each facility, including if a redemption center is operating a mobile redemption system for a dealer or dealers. The information on the application will be included in an electronic database for consumers to locate the nearest approved redemption center; as such, applications must be resubmitted annually to ensure that contact information remains accurate. There is no fee to submit the application. The application shall include the following information:    (1)   1.   Name, address and telephone number of the redemption center;    (2)   2.   Name, address and telephone number of the person or persons responsible for the establishment and operation of the redemption center;    (3)   3.   Indication that the redemption center will accept all kinds, sizes, and brand names of beverage containers sold by the dealers served by the redemption center;A statement that the operator of the redemption center understands it must accept all redeemable containers, except for those containers exempted in rule 567—107.13(455C);    4.   Whether the redemption center will be operating a mobile redemption system and the location where the system will be operated.    (4)   Names and addresses of the dealers to be served by the redemption center and the written consent of those dealers to be served by the redemption center;    (5)   Distance, in blocks or other appropriate measure, from the redemption center to each dealer to be served by the redemption center;    (6)   Names and addresses of the distributors whose beverage containers will be redeemed;    (7)   Hours during which the redemption center is to be open;    (8)   Whether metal, glass or plastic beverage containers will be crushed or broken and, if so, the written consent of the distributor or manufacturer to the crushing or breaking;    (9)   Reasons why the redemption center and the dealers to be served by it believe that the redemption center will provide a convenient service to consumers.    c.    A redemption center shall be approved as a redemption center for a dealer if the department determines that the redemption center will provide a convenient service to the dealer’s customers. The department order that approves the redemption center shall name the dealers to be served by the redemption center.The department will issue an electronic order of approval once a complete application is received.    d.    An approved redemption center may file with the department a supplemental application to serve additional dealers. The supplemental application shall be in the form and contain the information required by paragraph “b.” If the department finds that the redemption center will provide a convenient service to the customers of those additional dealers which the redemption center proposes to serve, the department shall supplement its order approving the redemption center to name the additional dealers.    e.    A dealer named in the department order that approves a redemption center or named in a supplemental order shall be an exempt dealer.    f.    d.    The department may at any time rescind the order approving a redemption center or terminate the exemption of a dealer if the department determines, after notice and hearing, that the redemption center is in violation of the Act or this chapter or that the redemption center is no longer meeting the above criteria or is no longer providing a convenient service to a dealer’s customers.    g.    A dealer may withdraw its consent to be served by a redemption center which is approved as a redemption center for the dealer by filing with the department written notice of withdrawal of consent. A dealer which has withdrawn its consent is no longer an exempt dealer, and the approval of its redemption center as a redemption center for the dealer is thereby terminated.    h.    e.    An approved redemption center shall accept from consumers and shall pay the refund value for all beverage containers that bear an Iowa refund value and are of the kinds, sizes and brand names sold by the dealers for which it is an approved redemption centerthose containers exempted from the labeling requirement pursuant to subrule 107.3(10).    i.    An approved redemption center shall be in operation and open to the public for redemption of beverage containers at least 20 hours per week, 4 hours of which shall be between the hours of 6 p.m. and 10 p.m. or on Saturday or Sunday, or a combination thereof.    j.    f.    When an approved redemption center is closing permanently, it shall give to the department notice that includes the redemption center’s final date of operation. As of the final date of operation, the redemption center’s approval as a redemption center shall be terminated and a dealer it was approved to serve shall no longer be an exempt dealer.An approved redemption center must notify the department and any dealers with which the redemption center has agreements 30 days prior to the redemption center’s closing.    107 107.4 4(2)   Unapproved redemption centers. Nothing in the Act or this chapter prevents a person from establishing a redemption center that has not been approved by, certified by, or registered with the department. Before commencing operations, unapproved redemption centers shall provide the following to the department:These facilities are not approved redemption centers as required by some sections of the Act.    a.    Name, address and telephone number of the redemption center;    b.    Name, address and telephone number of the person or persons responsible for the establishment and operation of the redemption center; and    c.    Operating hours of the redemption center.When the redemption center is closing permanently, it shall give to the department notice that includes the redemption center’s final date of operation.

    ITEM 13.    Rescind subrule 107.4(3) and adopt the following new subrule in lieu thereof:    107.4(3)   Distributor redemption centers.    a.    Each beer distributor selling nonrefillable metal beverage containers in this state shall provide individually or collectively by contract or agreement with a dealer, person operating a redemption center or another person, at least one facility in the county seat of each county where refused empty nonrefillable metal beverage containers, refused pursuant to rule 567—107.13(455C), having a readable refund value indication as required by this chapter may be accepted and redeemed. In cities having a population of 25,000 or more, the number of the facilities provided shall be one for each 25,000 population or a fractional part of that population.    b.    Distributor redemption centers may be either “approved” or “unapproved.” To be “approved,” the facility must submit an application pursuant to subrule 107.4(1), which includes the requirement to accept more than just metal beverage containers.

    ITEM 14.    Rescind subrule 107.4(4).

    ITEM 15.    Rescind subrule 107.4(5).

    ITEM 16.    Rescind subrule 107.4(6).

    ITEM 17.    Rescind and reserve rule 567—107.5(455C).

    ITEM 18.    Rescind and reserve rule 567—107.7(455C).

    ITEM 19.    Amend rule 567—107.8(455C) as follows:

567—107.8(455C) Interpretive rulesMiscellaneous requirements.      107.8(1)   Beverage containers “sold” on interstate carriers. It is common practice for interstate carriers to provide or sell soft drinks, beer, wine, or alcoholic liquor to passengers for consumption on the conveyance. Such containers are not a litter problem and their return would be impractical. Since statutes should be construed to avoid a strained or impractical result, the commission believes that control of the beverage containers “sold” on interstate carriers is beyond the objectives sought to be obtained by the Act and that these containers, such as trains, planes, or buses that travel through Iowa, are not subject to the deposit and labeling requirements of the Act.    107.8(2)   Beverage containers must be reasonably intact. In order to be redeemed, an empty beverage container must be returned reasonably intact. For a refillable beverage container, the container must hold liquid, be able to be resealed and be in its original shape. A nonrefillable glass container may be chipped, but it may not have the bottom broken out or the neck broken off. A nonrefillable metal container may be dented or partially crushed, but may not be crushed flat. A returned beverage container should be able to stand on its own base.    107.8(3)   Vending machines.    a.    When a beverage container is dispensed from a vending machine in exchange for money, there is presumed to be a sale of a beverage in a beverage container to a consumer. Therefore some person must be the “dealer” who is responsible for collecting the deposit at the time of sale and for refunding the deposit when the empty beverage container is returned. Because of the variety of contractual relationships surrounding operation of a vending machine, the person who is the “dealer” might be the owner of the vending machine, the lessee of the vending machine, the owner of the premises on which the vending machine is located, or the person who stocks the vending machine. It is incumbent upon the parties involved in the operation of a vending machine to determine the person who is the “dealer” and to indicate prominently on the vending machine the name, location and normal operating hours of the dealer (or an approved redemption center) if the dealer does not have personnel on its premises.    b.    If the vending machine is located on premises where personnel of the dealer are not normally working, there is no obligation to provide personnel to redeem beverage containers at the site of the vending machine. However, the “dealer” must provide for redemption of beverage containers at the dealer’s usual working place.    107.(4) 107.8(2)   Transfer tanks, premix tanks and beer kegs. Because transfer tanks, premix tanks and beer kegs (half-kegs, quarter kegs or pony kegs) are refillable, are returned to distributors and are not a litter problem, the commission believes that control of these containers is beyond the objectives sought to be obtained by the Act and that these containers are not subject to the deposit and labeling requirements of the Act.    107.(5) 107.8(3)   Return limits. Dealers may limit the number of containers returned by an individual to 120 containers in a 24-hour period. Redemption centers may limit the number of containers returned by an individual to 500 containers in a 24-hour period.    107.8(6)   Hours of returns for dealers. A dealer, unless exempted pursuant to 107.4(4), must accept returns, at a minimum, from 7 a.m. to 10 p.m. unless the dealer’s operating hours are shorter, in which case returns shall be limited to the dealer’s hours of operation. If a dealer chooses to limit the hours of returns, the dealer must post a sign stating the hours during which beverage containers are accepted for return.    107.8(7)   A dealer shall provide to the department upon request the name, telephone number and address of the distributor of any or all beverages sold by the dealer.

    ITEM 20.    Amend rule 567—107.9(455C) as follows:

567—107.9(455C) Pickup and acceptance of redeemed containersby distributor.      107.9(1) Pickupand acceptance fromparticipating dealers.  A distributor shall accept and pick up from aparticipating dealer served by the distributor, other than an exempt dealer, all empty beverage containers that bear an Iowa refund value and are of the kinds, sizes and brand names sold by the distributor. The distributor shall pick up the empty beverage containers at least weekly, or when the distributor delivers the beverage product to the dealer if deliveries are less frequent than weekly, unless otherwise agreed to by both the distributor and the dealer.    107.9(2) Pickupand acceptance from approved redemption centers and redemption centers certified as a redemption center for a dealer.  A distributor shallaccept and pick up from an approved redemption center for a dealer served by the distributor and from a redemption center certified as a redemption center for a dealer served by the distributor all empty beverage containers that bear an Iowa refund value and are of the kinds, sizes and brand names sold by the distributor. The distributor shall pick up the empty beverage containers at least weekly, or when the distributor delivers the beverage product to the dealer for which the redemption center is certified as a redemption center if deliveries are less frequent, unless otherwise agreed to by both the distributor and the approved redemption center or the certified redemption center for a dealer, as the case may be.    107.9(3) Pickup from registered redemption centers.  A distributor shall pick up from a registered redemption center at the physical address specified in the redemption center’s application, or at a new location approved by the department pursuant to 107.4(4), all empty beverage containers that bear an Iowa refund value and are of the kinds, sizes and brand names sold by the distributor. The distributor shall pick up the empty beverage containers according to the following schedule:    a.    At least as frequently as the distributor picks up empty beverage containers from a dealer served by the distributor and located within three road miles of the registered redemption center, but not less frequently than once every ten calendar days;    b.    At least once every ten calendar days for a registered redemption center located more than three road miles from the closest dealer served by the distributor; or    c.    As agreed to by both the distributor and the registered redemption center.    107.9(4) Acceptance of redeemed containers from redemption centers.  A distributor shall accept delivery of empty beverage containers from and pay the refund value and handling fee to a redemption center located within the distributor’s geographic service area provided that the containers bear an Iowa refund value and are of the kinds, sizes and brand names sold by the distributor.    107.(5) 107.9(3) Acceptance of redeemed containers from dealer agents.  A distributor shall accept delivery of empty beverage containers from and pay the refund value and handling fee to a dealer agent provided that the containers were picked up by the dealer agent within the distributor’s geographic service area and that they bear an Iowa refund value and are of the kinds, sizes and brand names sold by the distributor.    107.(6) 107.9(4) Notification of frequency.  A distributor shall notify eachparticipating dealer served by the distributor of the intended frequency of pickup. A distributor shall notify each redemption center from which the distributor is required to pick up containers of the intended frequency of pickup.    107.(7) 107.9(5) Partial pickup.  A distributor which picks up containers more often than the required frequency shall not be required to pick up all available containers from aparticipating dealer or redemption center at each pickup provided that all available containers are picked up from the dealer or redemption center within the required frequency.

    ITEM 21.    Rescind and reserve rule 567—107.11(455C).

    ITEM 22.    Rescind and reserve rule 567—107.12(455C).

    ITEM 23.    Rescind rule 567—107.13(455C) and adopt the following new rule in lieu thereof:

567—107.13(455C) Refusing payment of the refund value.  A distributor, participating dealer, or redemption center may refuse to pay the refund value and, if applicable, the handling fee in the following situations:    107.13(1) Nonparticipating dealers.  A dealer may refuse to accept any beverage container and pay the refund value on a container if the dealer is in compliance with one of the requirements of Iowa Code section 455C.4 that allows the dealer not to participate in the bottle redemption program established in Iowa Code chapter 455C, and the dealer has complied with those provisions requiring proper notification to consumers of the approved redemption centers where the containers may be redeemed.    107.13(2) Refusal of certain store brands.      a.    A redemption center may refuse to accept store brand containers for redemption if the store selling those brands refuses to identify distributors to pick up redeemed containers and to pay the full deposit and handling fee. In such cases, the redemption center shall post a notice of the store brands it will not accept and why it will not accept those brands.    b.    Any dealer, regardless of whether the dealer is a participating dealer or a nonparticipating dealer, that collects a deposit for a store brand must provide the consumer with a way to redeem the container to recover the deposit. Failure to do so is a violation of Iowa Code chapter 455C.    107.13(3) Redeemed containers must be reasonably clean and intact.  Consumers shall return containers in a reasonably clean and intact condition. For a refillable beverage container, the container must hold liquid, be able to be resealed and be in its original shape. A nonrefillable glass container may be chipped, but it may not have the bottom broken out or the neck broken off. A nonrefillable metal container may be dented or partially crushed, but may not be crushed flat. In order to be redeemed, an empty beverage container shall be dry and free of foreign materials other than the dried residue of the beverage. Redemption centers and participating dealers may refuse to redeem containers that are not reasonably clean and intact, as well as containers that do not have an Iowa 5-cent redemption label and containers that have had the Iowa 5-cent label removed or if the label is illegible for any reason.

    ITEM 24.    Amend rule 567—107.14(455C) as follows:

567—107.14(455C) Payment of refund valueby distributors.      107.14(1) Payment toparticipating dealers.  A distributor shall issue to aparticipating dealer payment of the refund value and handling fee within one week following pickup or when the dealer pays the distributor for the beverages, if payment is less frequent than weekly.    107.14(2) Payment to approved redemption centers and redemption centers certified as a redemption center for a dealer.  A distributor shall issue to an approved redemption center and to a redemption center for a dealer payment of the refund value and handling fee within one week following pickup unless otherwise agreed to by both the distributor and the redemption center.    107.14(3) Payment to registered redemption centers.  A distributor shall issue to a registered redemption center payment of the refund value and handling fee within one week following pickup or when the dealer which is served by the distributor and which is closest to the registered redemption center pays the distributor for the beverages supplied by the distributor, if payment is less frequent than weekly. Payment to a registered redemption center shall be issued by a distributor at least every 14 calendar days unless otherwise agreed to by both the distributor and the registered redemption center.    107.(4) 107.14(3) Payment to redemption centers and dealer agents delivering containers to distributors.  A distributor shall issue to a redemption center or dealer agent payment of the refund value and handling fee within one week of delivery and acceptance of empty beverage containers, unless otherwise agreed to by both the redemption center and the distributor or by both the dealer agent and the distributor, as the case may be.
ARC 6619CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to medical and remedial care and providing an opportunity for public comment

    The Human Services Department hereby proposes to amend Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” and Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code chapter 249A.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 249A and 2022 Iowa Acts, House Files 2546 and 2578.Purpose and Summary    During the 2022 Legislative Session, 2022 Iowa Acts, House File 2546, which requires Iowa Medicaid to establish a rate for psychiatric intensive care in Iowa, was passed. 2022 Iowa Acts, House File 2578, which requires implementation of a tiered rate reimbursement methodology for psychiatric intensive patient care under the Medicaid program no later than January 1, 2023, was also passed.    This proposed rule making defines “acute psychiatric intensive care” and identifies how a patient meets the need for that level of care. This rule making also identifies the payment methodology for the acute psychiatric intensive care services.Fiscal Impact    It is anticipated there will be a $1.5 million state cost in state fiscal year 2023 and a $3 million state cost in state fiscal year 2024 with the assumption that the implemented rate will be developed to align with the funding appropriated. The Legislature has not yet appropriated the full annualized cost.Jobs Impact    The additional funding may be utilized for increased staffing ratios, but it is unlikely a significant number of jobs will be created.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to:Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Adopt the following new subrule 78.3(8):    78.3(8)   Payment will be made for medically necessary inpatient acute psychiatric intensive care services that meet the criteria in this subrule, pursuant to 441—paragraph 79.1(5)“i.” This inpatient rate is only applicable to individuals 18 to 64 years of age. All inpatient acute psychiatric intensive care services shall require prior authorization.    a.    “Acute psychiatric intensive care” is defined as care provided for a condition with rapid onset that is accompanied by severe symptoms and is generally of brief duration, requiring emergency treatment and critical care.    b.    To meet the need for acute psychiatric intensive care, the patient must:    (1)   Have a serious mental illness as defined in 441—subrule 77.47(1);    (2)   Have a current, severe, imminent risk of serious harm to self or others; and    (3)   Display additional complexity of need related to:    1.   Complex comorbidities, including intellectual or developmental disability, autism spectrum disorder, substance use disorders, or traumatic brain injuries; or    2.   A history of violence or current aggression that is secondary to mental illness; or    3.   A request for patient transfer that has been rejected by inpatient level of care by one or more hospitals due to severity of symptoms; or    4.   Lack of responsiveness to typical interventions or a condition that is treatment refractory; or    5.   A highly disorganized psychotic state or a highly suicidal state; or    6.   Behavior that causes disruption to the general milieu of the unit (i.e., instigating other patients in negative ways); or    7.   High elopement risk; or    8.   Any other atypical reason that the admitting psychiatrist feels that additional resources are needed to keep the patient and others around the patient safe.    c.    The individual must have a documented need for acute intensive care requiring increased or specialized staffing, equipment, or facilities, based on two or more of the following:    (1)   Fall risk,    (2)   Restraints or seclusion room requirements,    (3)   Requiring assistance with activities of daily living,    (4)   Nursing care requirements,    (5)   Patient status (alertness/orientation),    (6)   Complexity of mental illness and comorbidities,    (7)   Physical risk posed to staff, other patients, and infrastructure,    (8)   Elopement risk.

    ITEM 2.    Amend paragraph 79.1(5)"i" as follows:    i.    Payment for certified physical rehabilitation hospitals and units, and psychiatric units, and acute psychiatric intensive care services.Payment for services provided by a physical rehabilitation hospital or unit certified pursuant to paragraph 79.1(5)“r” and for services provided on or after October 1, 2006, in a psychiatric unit certified pursuant to paragraph 79.1(5)“r” is prospective. The payment is based on a per diem rate calculated for each hospital by establishing a base-year per diem rate to which an annual index is applied.    (1)   Per diem calculation. The base rate shall be the medical assistance per diem rate as determined by the individual hospital’s base-year cost report pursuant to paragraph 79.1(5)“a.” No recognition will be given to the professional component of the hospital-based physicians except as noted under paragraph 79.1(5)“j.”    (2)   Reserved.    (3)   (2)   Per diem reimbursement. Hospitals shall be reimbursed the lower of actual charges or the medical assistance cost per diem rate. The determination of the applicable rate shall be based on the hospital fiscal year aggregate of actual charges and medical assistance cost per diem rate. If an overpayment exists, the hospital will refund or have the overpayment deducted from subsequent billings.    (4)   (3)   Per diem recalculation. Hospital prospective reimbursement rates shall be established as of October 1, 1987, for the remainder of the applicable hospital fiscal year. Beginning July 1, 1988, all updated rates shall be established based on the state’s fiscal year.    (4)   Acute psychiatric intensive care services. Services that meet the criteria at 441—subrule 78.3(8) shall be reimbursed as follows:    1.   Services provided in a psychiatric unit certified pursuant to paragraph 79.1(5)“r” will be paid based on the hospital-specific per diem rate as calculated pursuant to subparagraph 79.1(5)“i”(1) plus a percentage increase as determined by the department for covered days billed with the appropriate psychiatric intensive care revenue code.    2.   Services not provided in a psychiatric unit certified pursuant to paragraph 79.1(5)“r” will be paid based on the hospital-specific DRG payment rate as calculated pursuant to paragraph 79.1(5)“b” plus an add-on per diem rate as determined by the department for covered days billed with the appropriate psychiatric intensive care revenue code.    (5)   Per diem billing. The current method for submitting billing and cost reports shall be maintained. All cost reports will be subject to desk review audit and, if necessary, a field audit.
ARC 6621CHuman Services Department[441]Notice of Intended Action

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

    The Human Services Department hereby proposes to amend Chapter 95, “Collections,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 252B.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 252B.3.Purpose and Summary    Chapter 95 was reviewed as part of the Department’s five-year rules review. These rules outline the eligibility for child support recovery services under federal and state laws and the rules for children and families referred to the child support recovery unit who have applied for or are receiving public assistance.    The rules review resulted in proposed technical changes. Proposed amendments bring the rules in line with current program terminology and correct outdated rule references. References to federal regulations are proposed to be updated to provide accurate listings, and outdated references are proposed to be removed. Mailing addresses are also proposed to be updated.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to:Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 441—95.1(252B), definition of “Current support,” as follows:        "Current support" shall mean those payments received in the amount, manner and frequency as specified by an order for support and which are paid to the clerk of the district court, the public agency designated as the distributor of support payments as in interstate cases, or another designated agency. Payments to persons other than the clerk of the district court or other designated agency do not satisfy the definition of support pursuant to Iowa Code section 598.22. In addition, current support shall include assessments received as specified pursuant to rule 441—156.1(234).

    ITEM 2.    Amend subrule 95.2(4) as follows:    95.2(4) Application for services.  A person who is not on public assistance requesting services under this chapter, except for those persons eligible to receive support services under paragraphs 95.2(2)“a,” “b,” and “c,” shall complete and returnsubmit to the child support recovery unit Form 470-0188, Application for Nonassistance Support Services,or an electronic version of such application, for each parent from whom the person is seeking support.The person requesting services has the option to seek support from one or both of the child’s parents.    a.    The application shall be returned to the child support recovery unit serving the county where the person resides. If the person does not live in the state, the application form shall be returned to the county in which the support order is entered or in which the other parent or putative father resides.    b.    The person requesting services has the option to seek support from one or both of the child’s parents.

    ITEM 3.    Amend paragraph 95.3(1)"a" as follows:    a.    For the purpose of reporting the date the income was withheld, the department shall notify income providers of the requirement to report the date income was withheld and shall provide Form 470-3221, “Income Withholding Return Document,” to those income providers who manually remit payments. When reported on this form or through other electronic means or multiple account listings, the date of collection shall be used to determine support distributions. When the date of collection is not reported, support distributions shall initially be issued based on the date of the check. If proof of the date of collection is subsequently provided, any additional payments due the recipient shall be issued.

    ITEM 4.    Adopt the following new implementation sentence in rule 441—95.4(252B):       This rule is intended to implement Iowa Code section 252B.14.

    ITEM 5.    Amend subrule 95.5(1) as follows:    95.5(1)   Any lump sum settlement of child support involving an assignment of child support payments shall be negotiated in conjunction with the child support recovery unit. The child support recovery unit shall be responsible for the determination of the amount due the department, including any accrued interest on the support debt computed in accordance with Iowa Code section 535.3 for court judgments. This determination of the amount due shall be made in accordance with Section 302.51, Code of Federal Regulations, Title 45 as amended to August 4, 1989September 1, 2022. The bureau chief may waive collection of the accrued interest when negotiating a lump sum settlement of a support debt, if the waiver will facilitate the collection of the support debt.

    ITEM 6.    Amend paragraph 95.13(1)"a" as follows:    a.    An obligee may contact a customer service representative in person at the department’s collection services center, by telephone through the specialized customer services unit, or by writing to the Collection Services Center, 727 East 2nd StreetP.O. Box 9243, Des Moines, Iowa 50306.

    ITEM 7.    Amend paragraph 95.14(1)"a" as follows:    a.    The child support recovery unit may terminate services when the case meets at least one of the following case closure criteria and the child support recovery unit maintains supporting documentation for the case closure decision in the record:    (1)   There is no ongoing support obligation, and arrearages are under $500 or unenforceable under state law.     (2)   The noncustodial parent or alleged father is deceased, and no further action, including a levy against the estate, can be taken.     (3)   The noncustodial parent is living with the minor child as the primary caregiver, the custodial parent is deceased, and there is no assignment to the state of support or of arrearages that accrued under the support order.     (4)   The child support recovery unit cannot establish paternity because:    1.   The child is at least 18 years old and the statute of limitations bars an action to establish paternity;    2.   A genetic test or a court or administrative process has excluded the alleged father and no other alleged father can be identified;     3.   The child support recovery unit has determined that it would not be in the best interest of the child to establish paternity in a case that involves incest or rape or a case in which legal proceedings for adoption are pending; or    4.   The identity of the biological father is unknown and cannot be identified after diligent efforts, including at least one interview by the child support recovery unit with the recipient of services.    (5)   The noncustodial parent’s location is unknown and the child support recovery unit has made diligent efforts to locate the noncustodial parent using multiple sources, in accordance with regulations in 45 CFR 303.3,as amended to September 1, 2022, all of which have been unsuccessful, within the applicable time frame:    1.   Over a three-year period when there is sufficient information to initiate an automated locate effort.    2.   Over a one-year period when there is not sufficient information to initiate an automated locate effort.    (6)   The child support recovery unit has determined that, throughout the duration of the child’s minority (or after the child has reached the age of majority), the noncustodial parent cannot pay support and shows no evidence of support potential because the parent has been institutionalized in a psychiatric facility, is incarcerated, or has a medically verified total and permanent disability. The child support recovery unit must also determine that the noncustodial parent has no income or assets available above the subsistence level that could be levied or attached for support.     (7)   The noncustodial parent’s sole income is from supplemental security income (SSI) payments.     (8)   The noncustodial parent is a citizen of and lives in a foreign country, does not work for the federal government or a company with headquarters or offices in the United States, and has no reachable domestic income or assets, and there is no federal or state treaty or reciprocity with the country.     (9)   In a case involving child support services to a person who is not a recipient of public assistance, the child support recovery unit has provided location-only services.     (10)   The child support recovery unit has received a written or verbal request from the recipient of services to close the case, and there is no assignment to the state of support or of arrearages that accrued under the support order.    (11)   In a case involving child support services to a recipient of public assistance, there has been a finding of good cause or other exception in a public assistance case as specified in 441—subrules 41.22(8) through 41.22(12) and 441—subrule 75.14(3), including a determination that support enforcement may not proceed without risk or harm to the child or caretaker relative.    (12)   In a case involving child support services to a person who is not a recipient of public assistance or who is a recipient of public assistance receiving Medicaid only, the child support recovery unit has received information that the address in the unit’s record is no longer current and the unit is unable to contact or otherwise locate the recipient within 60 days following receipt of this information, despite a good-faith effort to contact the recipient through at least two different methods.     (13)   In a case involving child support services to a person who is not a recipient of public assistance or who is a recipient of public assistance receiving Medicaid only, the recipient of services has failed to cooperate with the child support recovery unit, which documented the circumstances of the noncooperation, and an action by the recipient of services is essential for the next step in providing services. (See rule 441—95.19(252B).)    (14)   The child support recovery unit documents failure by the initiating agency, as defined under 45 CFR 301.1,as amended to September 1, 2022, to take an action that is essential for the next step in providing services.     (15)   The initiating agency, as defined under 45 CFR 301.1,as amended to September 1, 2022, has notified the child support recovery unit that the initiating agency has closed its case.     (16)   The initiating agency, as defined under 45 CFR 301.1,as amended to September 1, 2022, has notified the child support recovery unit that its intergovernmental services are no longer needed.     (17)   Another assistance program, including IV-A, IV-E, SNAP, and Medicaid, has referred to the child support recovery unit a case for which it is inappropriate to establish, enforce, or continue to enforce a child support order and the custodial or noncustodial parent has not applied for child support services.     (18)   The case meets any other basis for case closure based upon federal law.

    ITEM 8.    Amend subparagraph 95.14(1)"c" as follows:    (2)   The child support recovery unit receives instructions for case closure from an initiating agency, as defined under 45 CFR 301.1as amended to September 1, 2022. Within ten working days, the child support recovery unit must stop the income withholding order or notice and close the intergovernmental IV-D case.

    ITEM 9.    Amend subrule 95.14(2) as follows:    95.14(2) Case closure notifications.  In cases meeting one of the criteria ofsubrule 95.14(1), exceptsubparagraph 95.14(1)“a”(9), (10), or (11), the child support recovery unit shall send notification of its intent to close the case to the recipient of services or the initiating agency, as defined under 45 CFR 301.1,as amended to September 1, 2022, in writing 60 calendar days before case closure. The notice shall be sent to the recipient of services or the state requesting services at the last-known address stating the reason for denying or terminating services, the effective date, and an explanation of the right to request a hearing according to 441—Chapter 7. Closure of the case following notification is subject to the following:    a.    If, in response to the notice, the recipient of services or the initiating agency, as defined under 45 CFR 301.1,as amended to September 1, 2022, supplies information which could lead to the establishment of paternity or a support order or enforcement of an order, the case shall be kept open.    b.    If the case is to be closed because the child support recovery unit was unable to contact the recipient of services as provided in subparagraph 95.14(1)“a”(12), the case shall be kept open if contact is reestablished with the recipient of services before the effective date of the closure.    c.    The recipient of services may request to have the child support recovery unit reopen the case at a later date if there is a change in circumstances which could lead to the establishment of paternity or a support order or enforcement of an order by completing a new application and paying any applicable fee.    d.    For notices under this subrule, if the recipient of services specifically authorizes consent for electronic notifications, the child support recovery unit may elect to notify the recipient of services electronically of the child support recovery unit’s intent to close the case. The child support recovery unit must maintain documentation of the recipient’s consent in the case record.

    ITEM 10.    Amend paragraph 95.15(2)"b" as follows:    b.    The child support recovery unit attorney shall issue written disclosure of the attorney-client relationship between the attorney and the state of Iowa to recipients of child support enforcement services and to all parties in a review and adjustment proceeding.

    ITEM 11.    Amend rule 441—95.15(252B), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections 252B.5 to 252B.7 and 598.21598.21C.

    ITEM 12.    Rescind and reserve rule 441—95.16(252B).

    ITEM 13.    Adopt the following new implementation sentence in rule 441—95.17(252B):       This rule is intended to implement Iowa Code section 252B.14.

    ITEM 14.    Amend rule 441—95.18(252B) as follows:

441—95.18(252B) Continued services available to canceled family investment program (FIP) or Medicaid recipients.  Support services shall automatically be provided to persons who were eligible to receive support services as recipients of FIP or Medicaid and who were canceled from FIP or Medicaid. Continued support services shall not be provided to a person who has been canceled from FIP or Medicaid when a claim of good cause, as defined at 441—subrule 41.22(8)441—Chapter 41 or 441—subrule 75.14(3)441—Chapter 75, as appropriate, was valid at the time assistance was canceled or when one of the reasons for termination of services, listed at rule 441—95.14(252B), applies to the case.Support services shall be provided to eligible persons without application or application fee, but subject to applicable enforcement fees.    95.18(1) Notice of services.  When a family is no longer eligible for public assistance, the department shall forward Form 470-1981, Notice of Continued Support Services, to the family’s last-known address within five working days of the notification of ineligibility, to inform the familyof the following:    a.    That, unless the family notifies the department to the contrary, services will continue.    b.    Of the effect of continuing to receive support services, including the available services and the state’s policies on fees, cost recovery, and distribution.    95.18(2) Termination of services.  A person may request the department to terminate support services at any time by the completion and return of the appropriate portion of Form 470-1981, Notice of Continued Support Services, or in any other form of written communication, to the child support recovery unit.Continued support services may be terminated at any time for any of the reasons listed in rule 441—95.14(252B).    95.18(3) Reapplication for services.  A person whose services were denied or terminated may reapply for services under this chapter by completing the application process described in subrule 95.2(4).       This rule is intended to implement Iowa Code section 252B.4.

    ITEM 15.    Amend rule 441—95.19(252B) as follows:

441—95.19(252B) Cooperation of public assistance recipients in establishing and obtaining support.  If a person who is a recipient of FIP or Medicaid is required to cooperate with the child support recovery unit in establishing paternity; in establishing, modifying, or enforcing child or medical support; or in enforcing spousal support, the following shall apply:    95.19(1) Cooperation defined.  The person shall cooperate in good faith in obtaining support for persons whose needs are included in the assistance grant or Medicaid household, except when good cause or other exception as defined in 441—subrule 41.22(8)441—Chapter 41 or 75.14(8)441—Chapter 75 for refusal to cooperate, is established.    a.    The person shall cooperate in the following areas:    (1)   Identifying and locating the parent of the child for whom assistance or Medicaid is claimed.    (2)   Establishing the paternity of a child born out of wedlock for whom assistance or Medicaid is claimed.    (3)   Obtaining support payments for the person and the child for whom assistance is claimed, and obtaining medical support for the person and child for whom Medicaid is claimed.    b.    Cooperation is defined as including the following actions by the person if the action is requested by the child support recovery unit:    (1)   Providing the name of the noncustodial parent and additional necessary information.    (2)   Appearing at the child support recovery unit to provide verbal or written information or documentary evidence known to, possessed by, or reasonably obtained by the person that is relevant to achieving the objectives of the child support recovery program.    (3)   Appearing at judicial or other hearings, proceedings or interviews.    (4)   Providing information or attesting to the lack of information, under penalty of perjury.    (5)   If the paternity of the child has not been legally established, submitting to blood or genetic tests pursuant to a judicial or administrative order. The person may be requested to sign a voluntary affidavit of paternity after being given notice of the rights and consequences of signing such an affidavit as required by the statute in Iowa Code section 252A.3A. However, the person shall not be required to sign an affidavit or otherwise relinquish the right to blood or genetic tests.    c.    The person shall cooperate with the child support recovery unit to the extent of supplying all known information and documents pertaining to the location of the noncustodial parent and taking action as may be necessary to secure or enforce a support obligation or establish paternity or to secure medical support. This includes completing and signing Form 470-3877, Child Support Information, if requested, as well as documents determined to be necessary by the state’s attorney for any relevant judicial or administrative process.    95.19(2) Failure to cooperate.  The local child support recovery unit shall make the determination of whether or not a person has cooperated with the unit. The child support recovery unit shall promptly send notice of a determination of noncooperation to the person on Form 470-3400, Notice of Noncooperation, and notify the FIP and Medicaid programs, as appropriate, of the noncooperation determination and the reason for the determination. The FIP and Medicaid programs shall take appropriate sanctioning actions as provided in statute and rules.    95.19(3) Good cause or other exception.      a.    A person who is a recipient of FIP assistance may claim a good cause or other exception for not cooperating, taking into consideration the best interests of the child as provided in 441—subrules 41.22(8) through 41.22(12)441—Chapter 41.    b.    A person who is a recipient of Medicaid may claim a good cause or other exception for not cooperating, taking into consideration the best interests of the child as provided in 441—subrule 75.14(3)441—Chapter 75.       This rule is intended to implement Iowa Code section 252B.3.

    ITEM 16.    Amend rule 441—95.20(252B), introductory paragraph, as follows:

441—95.20(252B) Cooperation of public assistance applicants in establishing and obtaining support.  If a person who is an applicant of FIP or Medicaid is required to cooperate in establishing paternity; in establishing, modifying, or enforcing child or medical support; or in enforcing spousal support, the requirements in 441—subrule 41.22(6)441—Chapter 41 and rule 441—75.14(249A)441—Chapter 75 shall apply. The appropriate staff in the FIP and Medicaid programs are designees of the child support recovery unit to determine noncooperation and issue notices of that determination until the referral to the unit is completed.

    ITEM 17.    Amend subrule 95.21(2) as follows:    95.21(2) Failure to cooperate.  The child support recovery unit shall make the determination of whether or not the nonpublic assistance applicant or recipient of services has cooperated. Noncooperation shall result in termination of support services. An applicant or recipient may also request termination of services under 95.14(1)“b”(1)subparagraph 95.14(1)“a”(10).

    ITEM 18.    Amend subrule 95.25(1) as follows:    95.25(1) Verification process.  CSRU shall send Form 470-2562, Emancipation Verification, to the obligor and obligee on a case if CSRU has an address.
ARC 6620CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to five-year rules review and providing an opportunity for public comment

    The Human Services Department hereby proposes to amend Chapter 96, “Information and Records,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 252B.9.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 252B.9.Purpose and Summary    Chapter 96 was reviewed as part of the Department’s five-year rules review. Title IV-D of the Social Security Act provides that state child support agencies providing services under the Act shall have access to information and records from third parties to assist in providing services. These rules provide the framework for a child support agency to request or administratively subpoena information from employers and other sources.    Technical changes are proposed as a result of the five-year rules review. A reference to an obsolete form is being replaced with current information. A mailing address is also proposed to be amended.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217). Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to:Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.usPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend paragraph 96.1(3)"a" as follows:    a.    Form 470-3232, Employer Verification Request, Form 470-0177470-0177M, Employment and Health Insurance Questionnaire, or other forms as specified in appropriate rules from the child support recovery unit which request information described at subrule 96.1(1).

    ITEM 2.    Amend paragraph 96.3(2)"b" as follows:    b.    If a child support agency of another state issued the request or subpoena, the person or entity may request a conference with the child support recovery unit or with the child support agency of the other state. The person or entity shall request a conference with the child support recovery unit by mailing or submitting a written request and a copy of the subpoena or document received from the child support agency of the other state to the Iowa Department of Human Services, Bureau of Collections, Central Registry, P.O. Box 92189136, Des Moines, Iowa 50306-921850306-9136. The person or entity shall request a conference with the child support agency of the other state by following the requirements of that state’s laws and regulations.
ARC 6622CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to five-year rules review and providing an opportunity for public comment

    The Human Services Department hereby proposes to amend Chapter 97, “Collection Services Center,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 252B.16.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 252B.16.Purpose and Summary    Chapter 97 was reviewed as part of the Department’s five-year rules review. The collection services center is the public agency designated by the State as the unit with responsibility for the receipt, recording and disbursement of specified support payments within the state of Iowa. The administrative guidelines within this chapter describe the process of transferring support cases or information from the clerks of district court to the collection services center and the policies and procedures used to receive, monitor and distribute support payments.    Technical changes are proposed as a result of the five-year rules review. References to obsolete language are being replaced with current information.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Nancy Freudenberg Department of Human Services Hoover State Office Building, Fifth Floor 1305 East Walnut Street Des Moines, Iowa 50319-0114 Email: appeals@dhs.state.ia.us Public Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 441—97.2(252B), introductory paragraph, as follows:

441—97.2(252B) Transfer of records and payments.  For non-IV-D cases, the clerk of court shall provide core case information to the unit upon the filing of a new income withholding order or upon the request of the unit. “Core case information” means information listed in paragraphs 97.2(1)“a” and “b” and subrule 97.2(2). For IV-D and correlated non-IV-D cases, the clerk of court shall provide detailed case information to the unit upon request. After the establishment of a case, the unit shall send notices of transfer to obligors, obligees, and payors of incomeobligees based upon case type.

    ITEM 2.    Amend subrule 97.5(3), introductory paragraph, as follows:    97.5(3) Implementing electronic funds transmission.  A payor of income implementing electronic funds transmission shall complete all the following before the implementation date specified in subrule 97.5(5)in advance of transmitting payments electronically:

    ITEM 3.    Rescind and reserve subrule 97.5(5).

    ITEM 4.    Amend subrule 97.6(3) as follows:    97.6(3) Electronic transfer.  Obligees who want electronic transfer of support payments to a designated account shall complete Form 470-2612, Authorization for Automatic Deposit, and submit it to the collection services center. Unless subrule 97.6(5) applies, any obligee not using automatic deposit to a designated account shall be issued an electronic access card for receipt of support payments.

    ITEM 5.    Amend paragraph 97.6(5)"c", introductory paragraph, as follows:    c.    The obligee has not requested automatic deposit to a designated account of the obligee and has asserted in writing on Form 470-3972, Electronic Support Payments, that one of the exemptions listed in this paragraph applies. To claim an exemption, the obligee must return Form 470-3972 to the collection services center within ten days of the date the form was issued. An exemption granted under this paragraph is subject to periodic review by the collection services center. The exemptions available under this paragraph are:
ARC 6609CInspections and Appeals Department[481]Notice of Intended Action

Proposing rule making related to foster care facility inspections and providing an opportunity for public comment

    The Inspections and Appeals Department (Department) hereby proposes to amend Chapter 5, “Public Records and Fair Information Practices,” and rescind Chapter 40, “Foster Care Facility Inspections,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 10A.104.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 10A.104 and 17A.7(2).Purpose and Summary    Currently, Chapter 40 addresses duties related to the performance of foster care facility inspections by the Department on behalf of the Department of Human Services. After a review of this chapter in association with Iowa Code section 17A.7(2), the Department determined that references within this chapter are outdated and the duties set forth therein are redundant because the Department completes a comprehensive memorandum of understanding each year that governs the totality of work performed by the Department on behalf of the Department of Human Services and the duties associated therewith. This proposed rule making rescinds Chapter 40.    Subrule 5.12(2) regarding confidential records is also proposed to be updated to eliminate redundancy and remove outdated citations, including one reference to Chapter 40.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 481—Chapter 6.Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Ashleigh Hackel Iowa Department of Inspections and Appeals Lucas State Office Building 321 East 12th Street Des Moines, Iowa 50319 Email: ashleigh.hackel@dia.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 481—Chapter 5, introductory paragraph, as follows:The department of inspections and appeals adopts, with the following exceptions and amendments, rules of the Governor’s Task Force on Uniform Rules of Agency Procedure relating to public records and fair information practices printed in the first volume of the Iowa Administrative Code, which are published on the Iowa general assembly’s website at www.legis.iowa.gov/DOCS/Rules/Current/UniformRules.pdf.

    ITEM 2.    Amend subrule 5.12(2) as follows:    5.12(2)   Where a record has multiple subjects with interest in the confidentiality of the record, the department may take reasonable steps to protect confidential information relating to another subject.The list below indicates rules prohibiting release.
  1. 481—21.5(10A). Real estate broker trust account information is governed by Iowa Code section 272C.6(4).
  2. 481—22.2(10A). Health care facility audits are confidential under Iowa Code section 217.30.
  3. 481—40.4(10A). DHS determines accessibility of foster care inspection records.
  4. 481—50.8(22,135B,135C). Survey information is confidential pursuant to Iowa Code sections 135B.12 and 135C.19.
  5. 481—71.9(10A). Recoupment records and appeals and hearing records are governed by Human Services rules and Iowa Code section 217.30.
  6. 481—72.4(10A). Food stamp investigation records are released only to DHS when an investigation is complete.
  7. 481—73.8(10A). Iowa Code sections 10A.105, 17A.2(7)“f,” and 22.7(18) describe some of the investigation records as confidential.
  8. 481—74.3(1)“e.” Economic assistance fraud bureau investigative material is not released pursuant to Iowa Code sections 10A.105, 17A.2(7)“f,” and 22.7(18).
In all cases, the originating agency shall determine whether records may be released.

    ITEM 3.    Rescind and reserve 481—Chapter 40.
ARC 6633CInspections and Appeals Department[481]Notice of Intended Action

Proposing rule making related to dependent adult abuse and providing an opportunity for public comment

    The Inspections and Appeals Department hereby proposes to amend Chapter 52, “Dependent Adult Abuse in Facilities and Programs,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 10A.104 and 235E.5.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 10A.104, 17A.7(2) and 235E.5.Purpose and Summary    The Department completed a review of Chapter 52 in accordance with the requirement in Iowa Code section 17A.7(2). This proposed rule making rescinds an outdated reference that staff member training be completed no later than December 31, 2010, and strikes definitions and rescinds rules that are redundant of statute. This rule making also updates the definition of “staff member” to clarify that health care employment agency workers are included within the definition of “staff member” and associated staff member reporting requirements. This rule making also adds a reference to a health care employment agency’s reporting requirement in accordance with new 481—Chapter 55 (Notice ARC 6571C, IAB 10/5/22).Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 481—Chapter 6. Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Ashleigh Hackel Iowa Department of Inspections and Appeals Lucas State Office Building 321 East 12th Street Des Moines, Iowa 50319 Email: ashleigh.hackel@dia.iowa.gov Public Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 481—52.1(235E) as follows:

481—52.1(235E) Definitions.  The definitions set forth in Iowa Code section 235E.1 are incorporated herein by reference.For purposes of this chapter,unless the context otherwise requires, the following definitions apply:        "Assault of a dependent adult" means the commission of any act which is generally intended to cause pain or injury to a dependent adult, or which is generally intended to result in physical contact which would be considered by a reasonable person to be insulting or offensive or any act which is intended to place another in fear of immediate physical contact which will be painful, injurious, insulting, or offensive, coupled with the apparent ability to execute the act.        "Caretaker" means a person who is a staff member of a facility or program who provides care, protection, or services to a dependent adult voluntarily, by contract, through employment, or by order of the court. For the purpose of an allegation of exploitation, if the caretaker-dependent adult relationship started when a staff member was employed in the facility, the staff member may be considered a caretaker after employment is terminated.        "Confidentiality" means the withholding of information from any manner of communication, public or private.        "Court" means the district court.        "Department" means the department of inspections and appeals.        "Dependent adult" means a person 18 years of age or older whose ability to perform the normal activities of daily living or to provide for the person’s own care or protection is impaired, either temporarily or permanently.        "Dependent adult abuse" means any of the following as a result of the willful misconduct or gross negligence or reckless act or omission of a caretaker, taking into account the totality of the circumstances: physical injury, unreasonable confinement, unreasonable punishment, assault, sexual offense, sexual exploitation, exploitation, neglect, or personal degradation. “Dependent adult abuse” does not include any of the following:
  1. Circumstances in which the dependent adult declines medical treatment if the dependent adult holds a belief or is an adherent of a religion whose tenets and practices call for reliance on spiritual means in place of reliance on medical treatment.
  2. Circumstances in which the dependent adult’s caretaker, acting in accordance with the dependent adult’s stated or implied consent, declines medical treatment or care.
  3. The withholding or withdrawing of health care from a dependent adult who is terminally ill in the opinion of a licensed physician, when the withholding or withdrawing of health care is done at the request of the dependent adult or at the request of the dependent adult’s next of kin, attorney in fact, or guardian pursuant to the applicable procedures under Iowa Code chapter 125, 144A, 144B, 222, 229, or 633.
        "Exploitation" means a caretaker who knowingly obtains, uses, endeavors to obtain to use, or who misappropriates, a dependent adult’s funds, assets, medications, or property with the intent to temporarily or permanently deprive a dependent adult of the use, benefit, or possession of the funds, assets, medication, or property for the benefit of someone other than the dependent adult.         "Facility" means a health care facility as defined in Iowa Code section 135C.1 or a hospital as defined in Iowa Code section 135B.1.        "Gross negligence" means an act or omission that signifies more than ordinary inadvertence or inattention, but less than conscious indifference to consequences; and, in other words, means an extreme departure from the ordinary standard of care.        "Immediately," for purposes of mandatory reporters’ reporting of suspected dependent adult abuse, means within 24 hours.        "Inspector" means a surveyor, monitor or investigator with the department or any department designee.        "Intimate relationship" means a significant romantic involvement between two persons that need not include sexual involvement, but does not include a casual social relationship or association in a business or professional capacity. In determining whether persons are in an intimate relationship, the following nonexclusive list of factors may be considered:
  1. The duration of the relationship,
  2. The frequency of interaction,
  3. Whether the relationship has been terminated, and
  4. The nature of the relationship, characterized by either person’s expectation of sexual or romantic involvement.
        "Misappropriates" means taking unfair advantage of or wrongfully or dishonestly exercising control over property.        "Neglect of a dependent adult" means the deprivation of the minimum food, shelter, clothing, supervision, physical or mental health care, or other care necessary to maintain a dependent adult’s life or physical or mental health.        "Person" means person as defined in Iowa Code section 4.1.        "Personal degradation" means a willful act or statement by a caretaker intended to shame, degrade, humiliate, or otherwise harm the personal dignity of a dependent adult, or where the caretaker knew or reasonably should have known the act or statement would cause shame, degradation, humiliation, or harm to the personal dignity of a reasonable person. “Personal degradation” includes the taking, transmission, or display of an electronic image of a dependent adult by a caretaker, where the caretaker’s actions constitute a willful act or statement intended to shame, degrade, humiliate, or otherwise harm the personal dignity of the dependent adult, or where the caretaker knew or reasonably should have known the act would cause shame, degradation, humiliation, or harm to the personal dignity of a reasonable person. “Personal degradation” does not include the taking, transmission, or display of an electronic image of a dependent adult for the purpose of reporting dependent adult abuse to law enforcement, the department, or other regulatory agency that oversees caretakers or enforces abuse or neglect provisions, or for the purpose of treatment or diagnosis or as part of an ongoing investigation. “Personal degradation” also does not include the taking, transmission, or display of an electronic image by a caretaker in accordance with the facility’s or program’s confidentiality policy and release of information or consent policies.        "Physical injury" means a physical injury, or injury which is at a variance with the history given of the injury, which involves a breach of skill or care or learning ordinarily exercised by a caretaker in similar circumstances. “Physical injury” includes damage to any bodily tissue to the extent that the tissue must undergo a healing process in order to be restored to a sound and healthy condition, damage to any bodily tissue to the extent that the tissue cannot be restored to a sound and healthy condition, or damage to any bodily tissue which results in the death of the person who has sustained the damage.        "Program" means an elder group home as defined in Iowa Code section 231B.1, an assisted living program certified under Iowa Code section 231C.3, or an adult day services program as defined in Iowa Code section 231D.1.        "Recklessly" means that a person acts or fails to act with respect to a material element of a public offense, when the person is aware of and consciously disregards a substantial and unjustifiable risk that the material element exists or will result from the act or omission. The risk must be of such a nature and degree that disregard of the risk constitutes a gross deviation from the standard conduct that a reasonable person would observe in the situation.        "Registry" means the central registry for dependent adult abuse information established in Iowa Code section 235B.5.        "Report" means a verbal or written statement, made to the department, which alleges that dependent adult abuse has occurred.        "Resident" means a resident of a health care facility as defined in Iowa Code chapter 135C, a patient in a hospital as defined in Iowa Code chapter 135B, a tenant of an assisted living program as defined in Iowa Code chapter 231C, a tenant in an elder group home as defined in Iowa Code chapter 231B, or a participant in an adult day services program as defined in Iowa Code chapter 231D.        "Sexual exploitation" means any consensual or nonconsensual sexual conduct with a dependent adult by a caretaker whether within a facility or program or at a location outside of a facility or program. “Sexual exploitation” includes but is not limited to:
  1. Kissing;
  2. Touching of the clothed or unclothed breast, groin, buttock, anus, pubes, or genitals;
  3. A sex act as defined in Iowa Code section 702.17;
  4. The transmission, display or taking of electronic images of the unclothed breast, groin, buttock, anus, pubes, or genitals of a dependent adult by a caretaker for a purpose not related to treatment, care, monitoring, assessment or diagnosis or as part of an ongoing investigation.
“Sexual exploitation” does not include touching which is part of a necessary examination, treatment, or care by a caretaker acting within the scope of the practice or employment of the caretaker; the exchange of a brief touch or hug between the dependent adult and a caretaker for the purpose of reassurance, comfort, or casual friendship; or touching between spouses or domestic partners in an intimate relationship.
        "Sexual offense" means the commission of a sexual offense under Iowa Code chapter 709 or Iowa Code section 726.2 with or against a dependent adult.        "Staff member" means an individual who provides direct or indirect treatment or services to residents in a facility or program.Specifically included in the definition of “staff member” is an employee, health care employment agency worker, or other independent contractor who otherwise meets the definition. Direct treatment or services include those provided through person-to-person contact. Indirect treatment or services include those provided without person-to-person contact such as those provided by administration, dietary, laundry, and maintenance. Specifically excluded from the definition of “staff member” are individuals such as part-time volunteers, building contractors, repair workers or others who are in a facility or program for a very limited purpose, are not in the facility or program on a regular basis, or do not provide any treatment or services to the residents of the facility or program.        "Unreasonable confinement" means confinement that includes but is not limited to the use of restraints, either physical or chemical, for the convenience of staff. “Unreasonable confinement” does not include the use of confinement and restraints if the methods are employed in conformance with state and federal standards governing confinement and restraint or as authorized by a physician or physician extender.        "Unreasonable punishment" means a willful act or statement intended by the caretaker to punish, agitate, confuse, frighten, or cause emotional distress to the dependent adult. Such willful act or statement includes but is not limited to intimidating behavior, threats, harassment, deceptive acts, or false or misleading statements.        "Willful misconduct" means an intentional act of unreasonable character committed with disregard for a known or obvious risk that is so great as to make it highly probable that harm will follow.

    ITEM 2.    Rescind paragraph 52.2(1)"b" and adopt the following new paragraph in lieu thereof:    b.    A health care employment agency in accordance with 481—Chapter 55.

    ITEM 3.    Rescind subrule 52.2(6).

    ITEM 4.    Amend subrule 52.3(2) as follows:    52.3(2) Reports sent to the department or the department of human services.  Any person who believes that a dependent adult has suffered dependent adult abuse may report the suspected dependent adult abuse to the department. The department shall transfer any reports received of dependent adult abuse in the community to the department of human services. The department of human services shall transfer any reports received of dependent adult abuse in facilities or programs to the departmentin accordance with Iowa Code section 235E.2(5).

    ITEM 5.    Rescind and reserve rule 481—52.4(235E).

    ITEM 6.    Amend paragraph 52.7(2)"b" as follows:    b.    An alleged dependent adult abuser may request to have an attorney present at the alleged dependent adult abuser’s expense at any time during the interview, but the request may not unreasonably delay the investigation. An employee organization representative or union representative may observe an investigative interview conducted by the department of an alleged dependent adult abuser if all of the following conditions are met:set forth in Iowa Code section 235E.2(13)“a” are met.    (1)   The alleged dependent adult abuser is part of a bargaining unit or employee organization that is party to a collective bargaining agreement under Iowa Code chapter 20 or any other applicable state or federal law.    (2)   The alleged dependent adult abuser requests the presence of a union representative or employee organization representative.    (3)   The representative maintains the confidentiality of all information from the interview subject to the penalties provided in Iowa Code section 235B.12 if such confidentiality is breached.(4)   The purpose of the interview is a civil administrative dependent adult abuse investigation under applicable law.

    ITEM 7.    Amend subrule 52.7(3) as follows:    52.7(3) Photographs of victim, vicinity and related matters.  An inspector may take or cause to be taken photographs of the dependent adult abuse victim and the vicinity involvedin accordance with Iowa Code section 235E.2(12). The department shall obtain consent from the dependent adult abuse victim or guardian or other person with a power of attorney over the dependent adult abuse victim prior to taking photographs of the dependent adult abuse victim.

    ITEM 8.    Amend rule 481—52.8(235E) as follows:

481—52.8(235E) Notification to subsequent employers.  The department shall notify a facility or program that subsequently employs an alleged or founded dependent adult abuserin accordance with Iowa Code section 235E.2(11).
ARC 6618CIowa Finance Authority[265]Notice of Intended Action

Proposing rule making related to the updated 2023 4% qualified allocation plan and providing an opportunity for public comment

    The Iowa Finance Authority hereby proposes to amend Chapter 12, “Low-Income Housing Tax Credits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed 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 16.35.Purpose and Summary    The updated 2023 4% Qualified Allocation Plan (4% QAP) sets forth the purposes of the plan, administrative information required for participation, threshold criteria, selection criteria, post-reservation requirements, the appeal process, and compliance monitoring. The plan also establishes the fees for filing an application for low-income housing tax credits and for compliance monitoring. Copies of the 4% QAP are available upon request from the Authority and are available electronically on the Authority’s website at www.iowafinance.com. It is the Authority’s intent to incorporate the updated 2023 4% QAP by reference consistent with Iowa Code chapter 17A and 265—subrules 17.4(2) and 17.12(2).Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, the impact on jobs is expected to be consistent with the impact of previous years’ QAPs. The Low-Income Housing Tax Credit Program has had a substantial positive impact on employment in Iowa, creating many jobs annually in the construction, finance, and property management fields, among others.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.Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Authority no later than 4:30 p.m. on November 22, 2022. Comments should be directed to:Kristin Hanks-Bents Iowa Finance Authority 1963 Bell Avenue, Suite 200 Des Moines, Iowa 50315 Phone: 515.452.0404 Email: kristin.hanks-bents@iowafinance.comPublic 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 12.1(1) as follows:    12.1(1) Four percent qualified allocation plan.  The qualified allocation plan titled Iowa Finance Authority Low-Income Housing Tax Credit Program 2020-212023 4% Qualified Allocation Plan (“4% QAP”) dated November 6, 2019October 5, 2022, shall be the qualified allocation plan for the allocation of 4 percent low-income housing tax credits consistent with IRC Section 42 and the applicable Treasury regulations and Iowa Code section 16.35. The 4% QAP is incorporated by reference pursuant to Iowa Code section 17A.6 and 265—subrules 17.4(2) and 17.12(2). The 4% QAP does not include any amendments or editions created subsequent to November 6, 2019October 5, 2022.

    ITEM 2.    Amend subrule 12.2(1) as follows:    12.2(1) 4% QAP.  The 4% QAP can be reviewed and copied in its entirety on the authority’s website at www.iowafinanceauthority.govwww.iowafinance.com. Copies of the 4% QAP, application, and all related attachments and exhibits shall be deposited with the administrative rules coordinator and at the state law library and shall be available on the authority’s website. The 4% QAP incorporates by reference IRC Section 42 and the regulations in effect as of November 6, 2019October 5, 2022. Additionally, the 4% QAP incorporates by reference Iowa Code section 16.35. These documents are available from the state law library, and information about these statutes, regulations and rules is on the authority’s website.
ARC 6630CNatural Resource Commission[571]Notice of Intended Action

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

    The Natural Resource Commission (Commission) hereby proposes to amend Chapter 23, “Wildlife Habitat Promotion with Local Entities Program,” Chapter 27, “Lands and Waters Conservation Fund Program,” Chapter 30, “Waters Cost-Share and Grant Programs,” Chapter 33, “Resource Enhancement and Protection Program: County, City and Private Open Spaces Grant Programs,” and Chapter 35, “Fish Habitat Promotion for County Conservation Boards,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 455A.5(6), 455A.19(1)“b,” 455A.19(1)“d” and 462A.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 452A.79A, 455A.19, 456A.29 to 456A.33, 461A.3, 464A.11 and 483A.3A.Purpose and Summary    The Commission proposes to amend rules related to multiple grant programs to add provisions addressing conflicts of interest, electronic filing, and more adaptable filing deadlines.    Several grant programs do not explicitly address conflicts within the preselected scoring committee. This proposed rule making adds language that requires designation of at least two alternates. The alternates will be available to serve in the place of a primary committee member whenever the primary committee member is directly participating in a grant cycle.    Additionally, a few grant programs have antiquated submission rules, requiring that paper copies be mailed to a particular address. The Department of Natural Resources (Department) began using an electronic grant submission portal in 2020. This new method is easy and cost-effective. The proposed amendments require that applications be submitted via a form or a method specified on the Department’s website. This will enable the Department and grant applicants to utilize new systems as technology improves over time.    Finally, many grant programs have fixed deadlines set forth in rule (e.g., March 15). This prevents flexibility on grant deadlines even when extraordinary events may justify accommodations, such as the derecho and COVID-19, both experienced within the last several years. The proposed amendments mirror existing language in Chapter 30 that allows a submission deadline to be published on the Department’s website with at least 90 days’ notice. Notably, Chapter 30’s publication-based framework has been successfully utilized for 14 years. The proposed amendment would allow the Department to change a deadline when circumstances warrant while still ensuring plenty of public notice.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department upon request.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request.Waivers    This rule is subject to the waiver provisions of 571—Chapter 11. Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any.Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to:Michelle Wilson Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Email: michelle.wilson@dnr.iowa.govPublic 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 Michelle Wilson 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 Ms. Wilson prior to the hearing to facilitate an orderly hearing.November 22, 2022 12 noon to 1 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 impairments, should contact the Department and advise of specific needs.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 23.6(2) as follows:    23.6(2) Time of submission.  Applications for funds shall be reviewed and selected for funding during January and July of each yearat least twice per year.The department shall publish on its website the date and time for submitting a funding proposal, providing at least 90 days’ notice. Applications must be received in acceptable form bysubmitted to the Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319, by the close of business on the last business day of May for consideration at the summer review and the last business day of November for the winter reviewdepartment as described on the website. Changes to grant applications must be submitted to the department no later than 4 p.m. the day prior to the committee review date. Upon timely notice to eligible recipients, additional selection periods may be scheduled if necessary to expedite the distribution of these funds. In emergencies, local entities can obtain a waiver so that acquisition projects may be approved for retroactive payments, provided that funds are available and the project meets all other criteria.

    ITEM 2.    Amend subrule 23.7(1) as follows:    23.7(1) Review and selection committee.      a.    A review and selection committee, hereinafter referred to as the committee, composed of one person appointed by the director to represent the department and designated by the director as chairperson and four persons appointed by the director to represent county conservation boards shall determine which grant applications and amendment requests shall be selected for funding.Additionally, there shall be at least two alternates designated by the director to represent the county conservation boards in the event of a conflict of interest.    b.    Conflict of interest. An individual who is a member, volunteer, or employee of a county conservation board that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 3.    Amend subrule 27.5(2) as follows:    27.5(2) Application timing.  The following information applies to local projects only. Grant applications and amendment requests which increase the existing grant amount shall be reviewed and selected for funding on an annual basis as provided in subrule 27.2(2). Annual reviews shall be held in April. Applications must be received in acceptable form by the Department of Natural Resources, Wallace State Office Building, Des Moines, Iowa 50319-0034, by the close of business on the work day closest to the fifteenth day of March.The department shall publish on its website the date and time for submitting a funding proposal, providing at least 90 days’ notice. Applications must be submitted to the department as described on the website.

    ITEM 4.    Amend subrule 27.6(1) as follows:    27.6(1) Review and selection committee.      a.    A five-member review and selection committee, hereinafter referred to as the committee, shall be composed of three staff members of the department as appointed by the director of the department, one member appointed by the director with input from the Iowa Association of County Conservation Boardsassociation of county conservation boards, and one member appointed by the director of the department with input from the Iowa League of Citiesleague of cities and the Iowa Parks and Recreation Associationparks and recreation association.Additionally, there shall be at least two alternates designated by the director with input from both associations and the league of cities. The committee shall determine which grant applications and amendment requests shall be selected for funding at the local level. A review and selection committee for state projects shall be composed of four staff members of the department as appointed by the director.    b.    Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 5.    Rescind rule 571—30.8(452A) and adopt the following new rule in lieu thereof:

571—30.8(452A) Application procedures.  Applications for funds shall be reviewed and selected for funding at least once per year. The department shall publish on its website the date and time for submitting a funding proposal, providing at least 90 days’ notice. Applications must be submitted to the department as described on the website.

    ITEM 6.    Rescind and reserve rule 571—30.14(77GA,SF2381).

    ITEM 7.    Amend rule 571—30.51(455A,461A,462A), definition of “Scoring committee,” as follows:        "Scoring committee" means the water trails scoring committee, which consists of the coordinator, two other department staff members appointed by the director, and two representativesand two alternates of the water recreation community selected by the director.

    ITEM 8.    Amend rule 571—30.57(455A,461A,462A) as follows:

571—30.57(455A,461A,462A) Proposal evaluation.      30.57(1)    Proposals will be evaluated by the scoring committee. The scoring committee shall evaluate both water trails development program proposals and low-head dam public hazard program proposals.    30.57(2)   Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 9.    Amend subrule 33.5(2) as follows:    33.5(2)   Applications for all grant programs shall be made on forms provided by the department. An original and five copies shall be submitted by deadlines as specified in subrule 33.5(4) of this chapter or as otherwise published by the department.

    ITEM 10.    Amend subrule 33.5(4) as follows:    33.5(4)   Application deadlines are the same for county, city, and private open space grant programs. Applications will be reviewed and projects selected for funding one time each year in Septemberat least once per year. Applications must be received in acceptable form by the department by the close of business on the fifteenth day of August.The department shall publish on its website the date and time for submitting a funding proposal, providing at least 90 days’ notice. Applications must be submitted to the department as described on the website. Upon a 60-day notice to potential applicants, the department may schedule additional review and selection periods to expedite the distribution of grant funds.

    ITEM 11.    Amend subrule 33.30(3) as follows:    33.30(3) Project planning and review committee.      a.    The makeup of this committee is as follows: two representatives of the department appointed by the director; two county conservation board directors appointed by the director of the department with input from the Iowa Association of County Conservation Boardsassociation of county conservation boards; one member selected every three years by a majority vote of the director’s appointees.Additionally, there shall be at least two alternates designated by the director with input from the Iowa association of county conservation boards. The members shall select a chairperson at the first meeting during each calendar year. Terms of appointment to the committee shall be on a three-year staggered term basis.    b.    Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 12.    Amend subrule 33.40(4) as follows:    33.40(4) Review and selection committee.      a.    The director shall appoint a five-member review and selection committee to evaluate project applications. This committee shall include one member representing each of the three size classes of cities (e.g., one from a city of less than 2,000, one from a city of 2,000 to 25,000, and one from a city of over 25,000). The director shall request a list of candidates from theIowa league of Iowa cities and Iowa parks and recreation association. The remaining two members of the committee shall be a representative of the department and an at-large member.Additionally, there shall be at least two alternates designated by the director from the candidates list provided by the Iowa league of cities and the Iowa parks and recreation association. The committee shall elect its own chairperson from its members. Members shall serve three-year staggered terms.    b.    Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 13.    Amend subrule 33.50(4) as follows:    33.50(4) Project review and selection committee.      a.    The director shall appoint a committee to review and score projects. The committee shall include the following: three persons representing the private sectorand two alternates selected from a pool of potential names as submittedto the director by the various private eligible groups; administrator of the conservation and recreation division of the department, or the administrator’s designee; and the bureau chiefs of the department’s forestrywildlife bureau and parks, forests, and preserves bureau or their designees. The committee shall elect its own chairperson from its members. The director shall request a list of candidates for the private sector members from groups eligible to participate in this program. The committee will report to the director the order in which proposed projects were ranked using criteria as specified in 33.50(5).    b.    Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.

    ITEM 14.    Amend subrule 35.5(2) as follows:    35.5(2) Time of submission.  Applications for funds shall be reviewed and selected for funding during January of each yearat least once per year. The district designee shall receive an original application and six copies in acceptable form by the close of business on the last business day of November of the previous year for consideration. The district shall forward a copy of all applications to the department’s designee by December 15 of the previous year.The department shall publish on its website the date and time for submitting a funding proposal, providing at least 90 days’ notice. Applications must be submitted to the department as described on the website. Upon timely notice to eligible recipients, additional selection periods may be scheduled if necessary to expedite the distribution of funds. In emergencies, a county may request a waiver so that an acquisition project may be approved for retroactive payments if funds are available and the project meets all other criteria.

    ITEM 15.    Amend subrule 35.6(1) as follows:    35.6(1) Review and selection committee.      a.    Each district shall have a review and selection committee, hereinafter referred to as the committee. Each committee shall be composed of at least five county directors or their designees, with at least two designated alternates. Each district’s committee shall determine which grant applications and amendment requests shall be selected for funding. For advisory purposes only, a department biologist or designee shall be present during review and selection of grant applications and amendment requests.    b.    Conflict of interest. An individual who is a member, volunteer, or employee of an entity that has submitted a project shall not serve on the scoring committee during that award cycle. Instead, one of the alternates shall review and score in the individual’s place.
ARC 6629CNatural Resources Department[561]Notice of Intended Action

Proposing rule making related to the recording and submission of groundwater hazard statements and providing an opportunity for public comment

    The Natural Resources Department hereby proposes to amend Chapter 9, “Groundwater Hazard Documentation,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 558.69.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 558.69.Purpose and Summary    The purpose of this proposed rule making is to align the groundwater hazard statement rules with recent changes in Iowa law. Minor cleanups of rule language are also proposed.     2022 Iowa Acts, House File 2343, was signed into law on April 21, 2022. This legislation has amended Iowa Code section 558.69 in two ways relevant to this rule making. First, it removes the requirement to record a groundwater hazard statement if no relevant conditions are present on the property. In these circumstances, prescribed statutory language must be included on the first page of the transferring document. Second, this legislation allows county recorders to submit groundwater hazard statements to the Department through the use of a web browser interface provided by the county land record information system or through other electronic means.    More specifically, the proposed amendments:

  • Remove the requirement to record groundwater hazard statements in circumstances that now conflict with the Iowa Code.
  • Reference a new groundwater hazard statement form. This proposed form is made part of this rule making as a rule-referenced document. The proposed form can be found at www.iowadnr.gov/Portals/idnr/uploads/forms/5420960%20Proposed.pdf. The proposed form clarifies when a condition is present or not present and provides clear instructions on when to submit the form versus when to include the statutory language. This proposed form is intended to rescind and replace the current form in its entirety.
  • Require the Department to enter into an agreement with the custodian of the county land record information system prior to the submission of groundwater hazard statement forms through the system’s web browser interface. This rule will ensure efficient and transparent submissions, particularly in future years. Additionally, to account for unforeseen circumstances, the Department proposes rules that allow for the easy digital transmission of groundwater hazard statements in the unlikely event the county land record information system is inoperable.
  • Ensure that the Department does not receive documents that transfer property when no conditions are present on the property.
  • Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request. Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 561—Chapter 10. Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Noah Poppelreiter Iowa Department of Natural Resources Wallace State Office Building 502 East Ninth Street Des Moines, Iowa 50319 Email: GWHS@dnr.iowa.gov Public Hearing     A public hearing at which persons may present their views orally will be held via Zoom meeting. Persons who wish to attend the Zoom public hearing should contact Noah Poppelreiter via email at noah.poppelreiter@dnr.iowa.gov. A meeting registration link will be provided prior to the hearing. Persons who wish to make oral comments at the public hearing must submit a request to Noah Poppelreiter prior to the hearing to facilitate an orderly hearing. A hearing is scheduled as follows: November 22, 2022 12 noon to 1 p.m. Video/conference call     Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.     Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Amend subrule 9.1(4) as follows:    9.1(4) When groundwater hazard statement is required.  A groundwater hazard statement shall be presented to the county recorder along with the real estate transaction documents for any real estate transaction in which either of the following circumstances exists:only when required by Iowa Code section 558.69 or when otherwise required by Iowa law.    a.    A declaration of value is required to be submitted pursuant to Iowa Code chapter 428A.    b.    A private sewage disposal system inspection is required pursuant to 2008 Iowa Acts, chapter 1033, section 1. It shall be the duty of the transferor to determine whether an inspection is required and to include the groundwater hazard statement and certified inspector’s report when filing transfer documents that do not require a declaration of value.

        ITEM 2.    Amend subrule 9.2(1) as follows:    9.2(1)   Thedepartment hereby adopts by reference Form 542-0960, “Groundwater Hazard Statement” (February 1, 2023), which may be obtained from the department or local county recorder.     a.    When a groundwater hazard statement is required to be presented to a county recorder pursuant to subrule 9.1(2), thetransferor or the transferor’s agent or attorney shall complete and sign departmentpresent Form 542-0960, “Groundwater Hazard Statement,” which may be obtained from the department or local county recorder. AnThe transferor’s agent or attorney may sign the form foron behalf of the transferor, but in doing so the agent or attorney represents that a good-faith inquiry of the transferor has been made regarding the information contained in the form and that the information is correct. The department hereby adopts by reference Form 542-0960, “Groundwater Hazard Statement,” as amended through July 18, 2012.     b.    For all real estate transactionswhere a groundwater hazard statement is required to be submitted to a county recorder pursuant to subrule 9.1(4) and where the real estate transaction is dated July 18, 2012, or laterafter February 1, 2023, a county recorder shall accept only the currently adopted form. The department authorizes the reproduction of Form 542-0960 by any person through photocopying or electronic means so long as the general format and wording are not altered in the reproduction thereof.

        ITEM 3.    Amend subrule 9.2(3) as follows:    9.2(3)   In all cases, the county recorder shall return the original ofor present the statement to the transferee whenwith the recorded instrumentwhen the instrument is returnedor presented to the transferee or the transferee’s designee. If the statement submitted reveals that there is a well, a disposal site, an underground storage tank, or hazardous waste on the property, a copy of the form shall be submitted to the department within 15 days after the close of each month. If a standardized electronic format is established by agreement between the Iowa County Recorders Association and the department, then the department’s copy may be submitted electronically in the manner established by the agreement. Forms on which a private burial site is the sole matter disclosed and which do not reveal the existence of a well, disposal site, underground storage tank, or hazardous waste on the property shall not be submitted to the department. Forms shall be retained by the department for a period of five years.

        ITEM 4.    Rescind subrule 9.2(4) and adopt the following new subrule in lieu thereof:    9.2(4)   When a county recorder accepts a groundwater hazard statement for recording, the county recorder shall transmit the groundwater hazard statement form to the department through one of the following methods:    a.    Upon written agreement between the department and the custodian of the county land record information system, recorded groundwater hazard statement forms shall be presented to the department through a browser interface provided through the county land record information system for so long as such an agreement remains in place. Any agreement shall include, but not be limited to, a requirement that each form be posted to the system within 15 days of recording and a requirement that each form remain on the system for at least five years.    b.    In the absence of such an agreement, or if the county land record information system is inoperable, a county recorder shall submit to the department via email a scanned or digital copy of each groundwater hazard statement form within 15 days of its recording. All emails shall be directed to the department’s records division. Forms in the custody of the department shall be retained for a period of at least five years.

        ITEM 5.    Adopt the following new subrule 9.2(5):    9.2(5)   Nothing in these rules shall be construed as requiring any party to submit to the department the first page of any document that transfers a property on which no conditions are present.
    ARC 6610CRacing and Gaming Commission[491]Notice of Intended Action

    Proposing rule making related to proceedings, gambling, wagering, horse racing, gambling games, and fantasy sports contests and providing an opportunity for public comment

        The Racing and Gaming Commission hereby proposes to amend Chapter 4, “Contested Cases and Other Proceedings,” Chapter 5, “Track, Gambling Structure, and Excursion Gambling Boat Licensees’ Responsibilities,” Chapter 8, “Pari-Mutuel Wagering, Simulcasting and Advance Deposit Wagering,” Chapter 10, “Thoroughbred and Quarter Horse Racing,” Chapter 11, “Gambling Games,” Chapter 12, “Accounting and Cash Control,” Chapter 13, “Sports Wagering,” and Chapter 14, “Fantasy Sports Contests,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 99D.7, 99E.3 and 99F.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 99D.7, 99E.3 and 99F.4.Purpose and Summary    Item 1 updates a citation to a codified Iowa Code section.    Item 2 increases the administrative penalty for gaming board matters.    Item 3 corrects the name of a degree.    Item 4 clarifies language to allow for situations for which a contract already provides.    Item 5 changes the 30-day requirement for submission of a qualifying agreement to 60 days for Iowa vendors.    Item 6 incorporates language for consistency with the Iowa Code.    Item 7 changes the 90-day requirement to 60 days to submit a network security risk assessment report.    Item 8 rescinds a subrule to clarify that racing wagers are allowed no more than one hour ahead of scheduled post time.    Item 9 adds a type of wager that may be prohibited in relation to contests with seven or fewer horses in a race.    Item 10 clarifies which records held by advance deposit wagering operators should be available to the Commission.    Item 11 allows for jockey agents to be in otherwise prohibited areas with advance written permission by the stewards.    Item 12 allows for a type of bonus wager that is statistically dependent on other outcomes.    Item 13 allows access to bank accounts on the gaming floor using a cashless system.    Item 14 clarifies use of a form to attest to reserves on hand.    Item 15 clarifies the way sports wagering operators report suspicious activities.    Item 16 clarifies reporting requirements for sports wagering Internal Revenue Service form W-2G events.    Item 17 clarifies which records held by advance deposit sports wagering (ADSW) operators should be available to the Commission.    Item 18 eliminates the in-person registration requirement for sports wagering.     Item 19 clarifies that an unusual, suspicious login attempt shall result in a locked account.    Item 20 clarifies reserve requirements for ADSW operators.    Item 21 clarifies expectations for change control process for ADSW operators.    Item 22 changes the 30-day requirement to 60 days to submit an ADSW system risk assessment report.    Item 23 removes a provision that prohibited fantasy sports wagers on collegiate events.    Item 24 clarifies which records held by fantasy sports operators should be available to the Commission.    Item 25 changes the 30-day requirement to 60 days to submit a fantasy sports contest system risk assessment report.    Item 26 removes a provision that prohibited fantasy sports wagers on collegiate events.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. 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 Commission no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Barb Blake Iowa Racing and Gaming Commission 1300 Des Moines Street Des Moines, Iowa 50309 Email: barb.blake@iowa.govPublic Hearing     A public hearing at which persons may present their views orally or in writing will be held as follows: November 22, 2022 10 a.m. Commission Office, Suite 100 1300 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 Commission 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 491—4.2(17A), definition of “Contested case,” as follows:        "Contested case" means a proceeding defined by Iowa Code section 17A.2(5) and includes any matter defined as a no factual dispute contested case under 1998 Iowa Acts, chapter 1202, section 14Iowa Code section 17A.10A.

        ITEM 2.    Amend rule 491—4.7(99D,99E,99F), introductory paragraph, as follows:

    491—4.7(99D,99E,99F) Penalties (gaming board and board of stewards).  All penalties imposed will be promptly reported to the commission and facility or other licensed entity in writing. The board may impose one or more of the following penalties: eject and exclude an individual from a facility; revoke a license; suspend a license for up to five years from the date of the original suspension; place a license on probation; deny a license; impose a fine of up to $1000; or order a redistribution of a racing purse or the payment of or the withholding of a gaming payout.The board of stewards may impose a fine of up to $1,000, and the gaming board may impose a fine of up to $3,000. The board may set the dates for which the suspension must be served. The board may also suspend the license of any person currently under suspension or in bad standing in any other state or jurisdiction by a state racing or gaming commission. If the punishment so imposed is not sufficient, in the opinion of the board, the board shall so report to the commission.

        ITEM 3.    Amend subrule 4.22(4) as follows:    4.22(4)   An administrative law judge assigned to act as presiding officer in a contested case shall have a Juris DoctorateDoctor degree unless waived by the agency.

        ITEM 4.    Amend subparagraph 5.4(8)"a" as follows:    (1)   All contracts and business arrangements entered into by a facility are subject to commission jurisdiction. Written and verbal contracts and business arrangements involving a related party or in which the term exceeds three years or the total value in a calendar year exceeds $100,000 regardless of payment method are agreements that qualify for submission to and approval by the commission. Contracts and business arrangements with entities licensed pursuant to rule 491—11.13(99F) to obtain gambling games and implements of gambling, as defined by rule 491—11.1(99F), are exempt from submission to and approval by the commission. For the purpose of this subrule, a qualifying agreement shall be limited to:
    1. Any obligation that expends, encumbers, or loans facility assets to anyone other than a not-for-profit entity, a unit of government for the payment of taxes, or an entity that provides water, sewer, gas or electric utility services to the facility.
    2. Any disposal of facility assets or provision of goods and services at less than market value to anyone other than a not-for-profit entity or a unit of government.
    3. A previously approved qualifying agreement, if consideration exceeds the approved amount in a calendar year by the greater of $100,000 or 25 percent or if the commission approval date of an ongoing contract is more than five years old.
    4. Any type of contract, regardless of value or term, where a third party provides electronic or mechanical access to cash or credit for a patron of the facility. TheWhere not already available, the contract must contain a clause that provides for immediate notification and implementation when technology becomes available to allow a person to voluntarily bar the person’s access to receive cash or credit from such devices located on the licensed premises.

        ITEM 5.    Amend subparagraph 5.4(8)"a" as follows:    (3)   A qualifying agreement must be submittedapproved by the commission within 3060 days of executionif made in Iowa pursuant to subparagraph 5.4(8)“b”(4) or within 30 days of execution if not made in Iowa. Commission approval must be obtained prior to implementation, unless the qualifying agreement contains a written clause stating that the agreement is subject to commission approvaland the qualifying agreement is submitted to commission staff prior to implementation. Qualifying agreements need only be submitted on initiation, unless there is a material change in terms or noncompliance withsubparagraph 5.4(8)“b”(4) or to comply withnumbered paragraph 5.4(8)“a”(1)“3.”

        ITEM 6.    Amend paragraph 5.4(12)"a" as follows:    a.    The holder of a license to operate gambling games and the holder of a license to accept simulcast wagering shall adopt and implement policies and procedures designed to:    (1)   Identify problem gamblers;     (2)   Comply with the process established by the commission to allow a person to be voluntarily excluded from the gaming floor of an excursion gambling boat, from the wagering area as defined in Iowa Code section 99D.2, from the sports wagering area as defined in Iowa Code section 99F.1(24), and from the gaming floor of all other licensed facilities or gambling activities regulated under Iowa Code chapters 99D and 99F; and    (3)   Allow persons to be voluntarily excluded for five years or life from all facilities on a form prescribed by the commission. Each facility will disseminate information regarding the exclusion to all other licensees and the commission.; and    (4)   Identify the availability of technology on a device that provides electronic or mechanical access to cash or credit for a patron of the facility that would allow for a person to voluntarily bar the person’s access to receive cash or credit from such devices located on the licensed premises and provide the process for a person to do so. Methods of identification shall be prominently displayed and be indicative of the availability of the process prior to a transaction taking place.

        ITEM 7.    Amend subparagraph 5.4(21)"a" as follows:    (3)   Results from the network security risk assessment shall be submitted to the administrator no later than 9060 days after the assessment is completed. Results shall include a remediation plan to address any risks identified during the risk assessment.

        ITEM 8.    Rescind and reserve subrule 8.2(5).

        ITEM 9.    Amend subrule 8.2(13) as follows:    8.2(13) Pools dependent upon betting interests.  Unless the administrator otherwise provides, at the time the pools are opened for wagering, the facility:    a.    May offer win, place, and show wagering on all contests with six or more betting interests.    b.    May prohibit show wagering on any contest with five or fewer betting interests scheduled to start.    c.    May prohibit place wagering on any contest with four or fewer betting interests scheduled to start.    d.    May prohibit quinella wagering on any contest with three or fewer betting interests scheduled to start.    e.    May prohibit quinella double wagering on any contests with three or fewer betting interests scheduled to start.    f.    May prohibit exacta wagering on any contest with three or fewer betting interests scheduled to start.    g.    May prohibit trifecta wagering on any contest with five or fewer betting interests scheduled to start, or as provided in subparagraph 8.2(13)“g”(1) below:    (1)   Cancel trifecta. The stewards have the authority to cancel trifecta wagering at any time they determine an irregular pattern of wagering or determine that the conduct of the race would not be in the interest of the regulation of the pari-mutuel wagering industry or in the public confidence in racing. The stewards may approve smaller fields for trifecta wagering if extraneous circumstances are shown by the facility.    (2)   Reserved.    h.    May prohibit superfectaand pentafecta wagering on any contest with seven or fewer betting interests scheduled to start.    i.    May prohibit twin quinella wagering on any contests with three or fewer betting interests scheduled to start.    j.    May prohibit twin trifecta wagering on any contests with seven or fewer betting interests scheduled to start, except as provided in subparagraph 8.2(13)“g”(1).    k.    May prohibit tri-superfecta wagering on any contests with seven or fewer betting interests scheduled to start.    l.    May prohibit twin superfecta wagering on any contests with seven or fewer betting interests scheduled to start.

        ITEM 10.    Adopt the following new subrule 8.6(4):    8.6(4) Records.  Licensees shall provide all information requested by the commission. Access to this information shall be immediate, and copies of the information shall be delivered within seven days or less as ordered or requested by the commission. The licensees shall ensure all books and records and the retention of all books and records comply with 491—subrule 5.4(14). All records pertaining to contests shall be available to allow for player complaint resolution. All records pertaining to the accounts of people who registered or have account activity in Iowa shall be available to allow for audits and investigations.

        ITEM 11.    Amend paragraph 10.5(4)"b" as follows:    b.    Prohibited areas. A jockey agent is prohibited from entering the jockey room, winner’s circle, racing strip, paddock, or saddling enclosure during the hours of racingunless advance written permission has been granted from the stewards.

        ITEM 12.    Amend subrule 11.7(1) as follows:    11.7(1)   Devices that determine or affect the outcome of wagers or are used in the collection of wagers on table games are subject to the requirements of rule 491—11.4(99F) and subrule 11.5(3). Additionally, software used in the conduct of table games is subject to the following requirements:    a.    Removable storage media shall be sealed with tamper-evident tape by a commission representative prior to implementation.    b.    Random number generators shall conform to the requirements of subrule 11.10(2); however, outcomes generated from the random number generator results may be dependent on previous outcomes in the following circumstances:    (1)   When simulating live card games where cards used are not reused until the next hand is dealt, or until the multiplayer electronic device performs a shuffle of the simulated cards.    (2)   When the random number generator is used in the award of a bonus outcome approved in accordance with subrule 11.5(3). Bonus outcomes that are statistically dependent must employ technology solutions to ensure that continuation from the last outcome is maintained in the event of any malfunction.

        ITEM 13.    Amend paragraph 12.16(2)"b" as follows:    b.    Methods of transfer or deposit into a player’s account shall be limited to currency transactions with a casino cashier, or transfers from a participating gaming machine or designated kiosk, unless otherwise approved by the commission. Direct transfers utilizing accounts with outside entities are permitted, but transfers to a player’s wagering account shall not be allowed while a patron is on the designated gaming floor, as approved pursuant to 491—subrule 5.4(17). Electronic wagering accounts shall not be funded with a credit card.

        ITEM 14.    Amend paragraph 13.2(6)"d" as follows:    d.    TheOn a form provided by the commission, the controller or an employee of higher authority shall file a monthly attestation to the commission that the reserve funds have been safeguarded pursuant to this subrule.The attestation shall be provided to the commission no later than 15 days after the end of each month.

        ITEM 15.    Amend subrule 13.2(7) as follows:    13.2(7) Internal controls.  Licensees and advance deposit sports wagering operators shall submit a description of internal controls to the administrator. The submission shall be made at least 30 days before sports operations are to commence unless otherwise approved by the administrator. All internal controls must be approved by the administrator prior to commencement of sports operations. The operator shall submit to the administrator any changes to the internal controls previously approved at least 15 days before the changes are to become effective unless otherwise directed by the administrator. It shall be the affirmative responsibility and continuing duty of each licensee and advance deposit sports wagering operator and their employees to follow and comply with all internal controls. The submission shall include controls and reasonable methods that provide for the following:    a.    To prohibit wagering by coaches, athletic trainers, officials, players, or other individuals who participate in an authorized sporting event in which wagers may be accepted.    b.    To prohibit wagering by persons who are employed in a position with direct involvement with coaches, players, athletic trainers, officials, athletes or participants in an authorized sporting event in which wagers may be accepted.    c.    To promptly report to the commission any criminal or disciplinary proceedings commenced against the licensee or its employees.    d.    To promptly report to the commission, in a format approved by the administrator, any abnormal wagering activity or patterns that may indicate a concern about the integrity of an authorized sporting event or events, and any other conduct with the potential to corrupt a wagering outcome of an authorized sporting event for purposes of financial gain, including but not limited to match fixing, and suspicious or illegal wagering activities, including the use of funds derived from illegal activity, wagers to conceal or launder funds derived from illegal activity, use of agents to place wagers, or use of false identification. Integrity-monitoring procedures shall also provide for the sharing of information with other licensees, other governing authorities, and accredited sports governing entities by participating in an integrity-monitoring association or group or by another method as approved by the administrator.     e.    Written notification to the commission for any incident where there is a violation involving criminal activity, Iowa Code chapter 99F, a commission rule or order, or an internal control within 72 hours of detection. The licensee or advance deposit sports wagering operator shall provide a written report detailing the violation as required byand in a format approved by the administrator.    f.    The segregation of incompatible functions so that no employee is in a position to perpetrate and conceal errors or irregularities in the normal course of the employee’s duties.    g.    User access controls for all sensitive and secure, physical and virtual, areas and systems within a sports wagering operation.    h.    Treatment of problem gambling by:    (1)   Identifying problem gamblers.    (2)   Complying with the process established by the commission pursuant to Iowa Code section 99F.4(22) and 491—subrule 5.4(12).    (3)   Cooperating with the Iowa gambling treatment program in creating and establishing controls.    (4)   Including information on the availability of the gambling treatment program in a substantial number of the licensee’s advertisements and printed materials.    i.    Setoff winnings of customers who have a valid lien established under Iowa Code chapter 99F.

        ITEM 16.    Amend subrule 13.2(8) as follows:    13.2(8) Revenue reporting.  Reports generated from the sports wagering system shall be made available as determined by the commission. The reporting system shall be capable of issuing reports by wagering day, wagering month, and wagering year. Wagering data shall not be purged unless approved by the commission. The reporting system shall provide for a mechanism to export the data for the purposes of data analysis and auditing or verification. The reporting system shall be able to provide, at a minimum, the following sports wagering information:    a.    The date and time each event started and ended.    b.    Total amount of wagers collected.    c.    Total amount of winnings paid to players.    d.    Total amount of wagers canceled, voided, and expired.    e.    Commission or fees collected.    f.    Total value of promotional play or free play used to purchase or execute a sports wager.     g.    Event status.    h.    Total amount held by the operator for the player accounts.    i.    Total amount of wagers placed on future events.    j.    Total amount of winnings owed but unpaid by the operator on winning wagers.    k.    The date, time, stake amount, win amount and individual associated with each event where winnings are required to be reported on Internal Revenue Service form W-2G, as recorded by the reporting system.

        ITEM 17.    Adopt the following new subrule 13.2(13):    13.2(13) Records.  Licensees shall provide all information requested by the commission. Access to this information shall be immediate, and copies of the information shall be delivered within seven days or less as ordered or requested by the commission. The licensees shall ensure all books and records and the retention of all books and records comply with 491—subrule 5.4(14). All records pertaining to contests shall be available to allow for player complaint resolution. All records pertaining to the accounts of people who registered or have account activity in Iowa shall be available to allow for audits and investigations.

        ITEM 18.    Amend subrule 13.5(2), introductory paragraph, as follows:    13.5(2) Account registration.  A person must have an established account in order to place advance deposit sports wagers. The process for establishing an account is subject to the administrator’s approval. Prior to January 1, 2021, an account shall be established at the facility as required by Iowa Code section 99F.9(4). On or after January 1, 2021, anAn account may be established through on-site registration under procedures previously approved by the administrator, or through remote registration. To establish an account, an application for an account shall be signed or otherwise authorized in a manner approved by the administrator and shall include the applicant’s full legal name, principal residential address, date of birth, and any other information required by the administrator. The account registration process shall also include:

        ITEM 19.    Amend paragraph 13.5(3)"g" as follows:    g.    Process to immediately notify a player following an unusual login attempt. In the event thatthe unusual login attempt constitutes suspicious activity or if other suspicious activity is detected, an account shall be locked. A multifactor authentication process must be employed for the account to be unlocked.

        ITEM 20.    Amend paragraph 13.5(4)"h" as follows:    h.    AnIf the method of reserve utilized to comply with subrule 13.2(6) is not in the form of cash or cash equivalents segregated from operational funds, an advance deposit sports wagering operator or licensee shall segregate player account funds from operational funds.

        ITEM 21.    Amend subrule 13.6(2) as follows:    13.6(2) Change control.  The licensees and advance deposit sports wagering operators shall submit change control processes that detail evaluation procedures for all updates and changes to equipment and systems to the administrator for approvalat least 30 days prior to operation. These processes shall include details for identifying criticality of updates and determining of submission of updates to an independent testing laboratory for review and certification.These processes shall include, at a minimum, descriptions of the following areas of licensee operations:    a.    Process to classify all changes according to organizational risk.    b.    Process to designate whether changes must be submitted to an independent testing laboratory for review and certification.    c.    Process for emergency change determination and implementation.    d.    Process to log or note changes. Must include the details logged for each change, including but not limited to the following areas:    (1)   Date and time of change or proposed date and time of change.    (2)   Basic description of changes to be implemented.    (3)   Change classification of change or changes, determined in accordance with the process established by paragraph 13.6(2)“a.” If emergency designation is separate from other change classifications, this shall also be included in the log or note.    (4)   Identification of whether a change was submitted to an independent testing laboratory, and the certification report number of any testing.    e.    Process to maintain logs or notify the commission of changes.

        ITEM 22.    Amend subparagraph 13.6(3)"a" as follows:    (3)   Results from the risk assessment shall be submitted to the administrator no later than 3060 days after the assessment is completed. Results shall include a remediation plan to address any risks identified during the risk assessment.

        ITEM 23.    Amend rule 491—14.1(99E), definition of “Fantasy sports contest,” as follows:        "Fantasy sports contest" "contest" means a fantasy or simulated game or contest in which:
    1. The fantasy sports contest operator is not a participant in the game or contest;
    2. The value of all prizes and awards offered to winning participants are established and made known to the participants in advance of the contest;
    3. All winning outcomes reflect the relative knowledge and skill of the participants;
    4. The outcome shall be determined by accumulated statistical results of the performance of individuals, including athletes in the case of sporting events; and
    5. No winning outcome is solely based on the score, point spread, or any performance or performances of any single actual team or solely on any single performance of an individual athlete or player in any single actual event. However, until May 1, 2020, “fantasy sports contest” does not include any fantasy or simulated game or contest in which any winning outcomes are based on statistical results from a collegiate sporting event as defined in Iowa Code section 99F.1.

        ITEM 24.    Amend subrule 14.8(2) as follows:    14.8(2) Records.  Licensees shall provide all information requested by the commission. Access to this information shall be immediate, and copies of the information shall be delivered within seven days or less as orderedor requested by the commission. The licensees shall ensure all books and records and theirthe retentionof all books and records comply with 491—subrule 5.4(14). All records pertaining to contests shall be available to allow for player complaint resolution. All records pertaining to the accounts of people who registered or have account activity in Iowa shall be available to allow for audits and investigations.

        ITEM 25.    Amend subparagraph 14.8(4)"c" as follows:    (1)   A system integrity and security risk assessment shall be performed annually on the fantasy sports contest system.    1.   The testing organization must be independent of the licensee and shall be qualified by the administrator.    2.   The system integrity and security risk assessment shall be completed no later than March 31 of each year. Results shall include a remediation plan to address any risks identified during the risk assessment.    3.   Results from the risk assessment shall be submitted to the administrator no later than 3060 days after the assessment is completed.    4.   The risk assessment shall be conducted in accordance with current and accepted industry standard review requirements for risk assessments.    5.   The risk assessment shall include a review of licensee controls. Review of controls shall include but not be limited to a comparison of licensee controls to industry standard and best practice controls, and an audit of the licensee processes for compliance with those controls.

        ITEM 26.    Amend subrule 14.9(2) as follows:    14.9(2)   Licensees are required to comply with and ensure the following:    a.    Advertisements for contests and prizes offered by a licensee shall not target prohibited participants, underage persons, or self-excluded persons.    b.    The values of all prizes and awards offered to winning players must be established and made known to the players in advance of the contest.    c.    Introductory procedures for players are prominently displayed on the main page of the licensee’s platform to explain contest play and how to identify a highly experienced player.    d.    Identification of all highly experienced players in every fantasy sports contest by a symbol attached to the players’ usernames, or by other easily visible means, on all platforms supported by the licensee.    e.    Contests are not offered based on the performance of participants in high school or youth sports events. However, until May 1, 2020, “fantasy sports contest” does not include any fantasy or simulated game or contest in which any winning outcomes are based on statistical results from a collegiate sporting event as defined in Iowa Code section 99E.1.    f.    Representations or implications about average winnings from contests shall not be unfair or misleading.    g.    Prohibition of the use of unauthorized third-party scripts or unauthorized scripting programs for any contest and ensure that measures are in place to deter, detect, and prevent cheating to the extent reasonably possible. “Cheating” includes collusion and the use of cheating devices, including the use of software programs that submit entry fees or adjust the athletes selected by a player.    h.    Prominent display of information about the maximum number of entries that may be submitted for that contest for all advertised fantasy sports contests.    i.    Disclosure of the number of entries that a player may submit to each fantasy sports contest and provide reasonable steps to prevent players from submitting more than the allowable number.    j.    Opportunity for players to file a patron dispute.    k.    Conspicuously disclose the source of the data utilized in any results.
    ARC 6611CRevenue Department[701]Notice of Intended Action

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

        The Revenue Department hereby proposes to rescind Chapter 14, “Computation of Tax”; rescind Chapter 19, “Sales and Use Tax on Construction Activities”; amend Chapter 203, “Elements Included in and Excluded from a Taxable Sale and Sales Price,” and Chapter 219, “Sales and Use Tax on Construction Activities”; and rescind Chapter 287, “Foods for Human Consumption, Prescription Drugs, Insulin, Hypodermic Syringes, Diabetic Testing Materials, Prosthetic, Orthotic or Orthopedic Devices,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed 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 chapter 423.Purpose and Summary    Several years ago, the Department adopted new chapters related to sales tax on construction as well as food, drugs, and other medical devices. As part of an ongoing effort to review and revise its rules, the Department now proposes to rescind Chapters 19 and 287. There is one rule in Chapter 19 that was not replicated in Chapter 219 on construction contracts with designated exempt entities. This proposed rule making provides an updated version of that rule to be located in Chapter 219. In addition, Chapter 14 only contains one rule, which was revised in 2021. The Department proposes to renumber rule 701—14.3(423) to include it in Chapter 203 and rescind and reserve 701—Chapter 14 since it no longer has any 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 Department for a waiver of the discretionary provisions, if any, pursuant to rule 701—7.28(17A).Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on November 22, 2022. Comments should be directed to: Tim Reilly Department of Revenue Hoover State Office Building P.O. Box 10457 Des Moines, Iowa 50306 Phone: 515.782.0535 Email: tim.reilly@iowa.govPublic Hearing    If requested, a public hearing at which persons may present their views orally or in writing will be held as follows: November 22, 2022 1 to 2 p.m. Room 1 NW Hoover State Office Building 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 Department and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

        ITEM 1.    Renumber rule 701—14.3(423) as 701—203.9(423).

        ITEM 2.    Rescind and reserve 701—Chapter 14.

        ITEM 3.    Rescind and reserve 701—Chapter 19.

        ITEM 4.    Adopt the following new rule 701—219.23(423):

    701—219.23(423) Construction contracts with designated exempt entities.  This rule applies to exempt sales of building materials, supplies, equipment, or services to certain persons performing construction contracts for sponsors that are designated exempt entities and the continuing right of designated exempt entities and other persons to seek refund of taxes paid by persons performing construction contracts.    219.23(1) Definitions.          "Construction contract" means the same as defined in rule 701—219.8(423).        "Designated exempt entity" means the same as defined in Iowa Code section 423.3(80).        "GovConnectIowa" means the e-services portal of the department.    219.23(2) Registration with the department.  A designated exempt entity seeking to issue exemption certificates to contractors, subcontractors, builders, or manufacturers performing construction contracts shall register with the department through GovConnectIowa. The designated exempt entity shall provide the following information:    a.    The name and address of the designated exempt entity.    b.    The federal identification number of the designated exempt entity.    c.    The name of the construction project or the project number for which exemption is requested.    d.    A general description of the construction project.    e.    The name and address of all contractors, subcontractors, builders, or manufacturers to which the designated exempt entity shall provide exemption certificates.    f.    Additional information as requested by the department if the status of the entity seeking registration as a designated exempt entity is unclear.    219.23(3) Exemption certificates.  Once a designated exempt entity’s registration is completed and approved, the designated exempt entity can obtain exemption certificates to provide to its contractors, subcontractors, builders, or manufacturers. The contractors, subcontractors, builders, or manufacturers may then provide these exemption certificates to retailers when purchasing building materials, supplies, equipment, or services to be used in completion of the construction contract with the designated exempt entity in order to make those purchases exempt from sales tax.     219.23(4) Exempt purchases, withdrawals from inventory, and manufacturers’ fabrication costs.      a.    A contractor, subcontractor, or builder who purchases building materials, supplies, equipment, or services intending to use such property or services in the performance of a construction contract with a designated exempt entity shall purchase the property or services from a retailer exempt from tax if the property or services are subsequently used in the performance of that contract and the contractor, subcontractor, or builder presents an exemption certificate issued by the designated exempt entity to the retailer.    b.    The withdrawal of building materials, supplies, or equipment from inventory by a contractor, subcontractor, or builder who is also a retailer is exempt from tax if the materials are withdrawn for use in construction performed for a designated exempt entity and an exemption certificate is received from the designated exempt entity.    c.    The fabricated cost, as defined in rule 701—219.6(423), of building materials, supplies, or equipment purchased and consumed by the manufacturer of such property in the performance of a construction contract for a designated exempt entity is exempt from tax if an exemption certificate is received from the exempt entity and presented to a retailer.    d.    Sales, withdrawals, or a manufacturer’s consumption of building materials, supplies, equipment, or services used in the performance of a construction contract for purposes other than incorporation into real property with subsequent loss of identity as tangible personal property are not eligible for the exemption described by this rule.    219.23(5) Refunds.  A designated exempt entity that does not complete the registration process in order to provide exemption certificates to contractors, subcontractors, builders, or manufacturers in advance of its construction project may request a refund of sales tax the designated exempt entity paid to its contractors, subcontractors, builders, or manufacturers. The contractors, subcontractors, builders, or manufacturers should provide the designated exempt entity with completed Iowa Contractor’s Statement forms. The designated exempt entity shall then submit a Construction Contract Claim for Refund form and all accompanying Iowa Contractor’s Statement forms to the department. This rule is intended to implement Iowa Code sections 423.3(80) and 423.4(1).

        ITEM 5.    Rescind and reserve 701—Chapter 287.
    ARC 6612CEconomic Development Authority[261]Adopted and Filed

    Rule making related to sports tourism marketing and infrastructure

        The Enhance Iowa Board hereby amends Chapter 214, “Enhance Iowa Board,” and Chapter 215, “Sports Tourism Program,” and adopts Chapter 216, “Sports Tourism Program: Infrastructure Fund,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 15F.104.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 15F and 2022 Iowa Acts, House File 2579.Purpose and Summary    2022 Iowa Acts, House File 2579, amends Iowa Code sections 15F.401 and 15F.403 relating to the Sports Tourism Program and creates a new Iowa Code section 15.404. The purpose of the program is to provide financial assistance for projects that promote sporting events. The legislation creates a separate fund for sports tourism infrastructure projects and distinguishes this fund from the previously established Sports Tourism Marketing Fund.    The Board adopted amendments to Chapters 214 and 215 to reflect the changes made to the Iowa Code and the legislative intent in updating the program. This rule making also creates a new Chapter 216 to implement the infrastructure fund with the requirements established in the legislation.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6444C. No public comments were received. Two changes from the Notice have been made in subrules 215.4(2) and 216.4(2) to clarify that compensation of applicant staff is not an eligible expense for the marketing fund or infrastructure fund.Adoption of Rule Making    This rule making was adopted by the Board on October 6, 2022.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 the Board for a waiver of the discretionary provisions, if any, pursuant to 261—Chapter 213. 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 7, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Amend subparagraph 214.2(5)"b" as follows:    (2)   Sports tourismmarketing and infrastructure;

        ITEM 2.    Amend 261—Chapter 215, title, as follows:SPORTS TOURISM PROGRAM: MARKETING FUND

        ITEM 3.    Amend rule 261—215.1(15F) as follows:

    261—215.1(15F) Definitions.  When used in this chapter, unless the context otherwise requires:        "Accredited colleges and universities" means any college, university, or institution of higher learning that is accredited by the Higher Learning Commission or any other college, university, or institution of higher learning that is accredited by an accrediting agency that is recognized by the U.S. Department of Education.        "Authority" means the economic development authority created in Iowa Code section 15.105.        "Bid fees" means fees paid as part of proposing a location for an event.        "Board" means the enhance Iowa board as created in Iowa Code section 15F.102.        "Convention and visitors bureau" "CVB" means an organization engaged primarily in the marketing and promotion of a local community or communities to businesses and to leisure travelers interested in the area’s facilities. Such organizations are typically engaged in a wide range of activities including but not limited to assisting businesses and leisure travelers in identifying meeting locations and convention sites; providing maps and other travel information; providing information on local attractions, lodging, and restaurants; and organizing tours of local historical, recreational, and cultural attractions.        "District" means a regional sports authority district certified under Iowa Code section 15E.321.        "Financial assistance" means assistance provided only from the funds available to the authority or the board and includes assistance in the form of grants, loans, and forgivable loans.        "Infrastructure" means equipment, appurtenant structures, or site development that is related to the operation of a sporting event that is the subject of the projectland acquisition and construction; major renovations of buildings; and all appurtenant structures, utilities, and site development that are related to the operation of a sporting event.        "Marketing" means planning for or implementing efforts to publicize a sporting event using a range of strategies, tools and tactics.        "Marketing fund" means the fund established pursuant to Iowa Code section 15F.403 for purposes of financing sports tourism marketing projects.        "Organization" means a corporation, conference, association, or other organization which has as one of its primary purposes the sponsoring or administration of extracurricular intercollegiate athletic contests or competitions, or professional sporting events.        "Professional sporting events" means any sporting events for which the competing athletes receive payment for their participation in such sporting event.        "Program" means theportion of the sports tourismmarketing and infrastructure program administered pursuant to this chapterand funded by the marketing fund.        "Promote" "promotion" means to undertake specific identifiable actions that encourage greater awareness of and attendance at a sporting event. This includes the planning, organizing, advertising, marketing, managing, hosting, and sponsoring of a sporting event.        "Public organization" means a not-for-profit economic development organization or other not-for-profit organization including one that sponsors or supports sporting events.        "Sporting event" means an athletic activity requiring skill or physical prowess, usually competitive in nature and governed by a set of rules provided by a nationally recognized sanctioning body. A sporting event typically includes the placing of competitors into a fixed order of finish, depending upon their respective athletic performance within the rules provided for that activity.        "Sports tourism program review committee" "review committee" means the committee established by Iowa Code section 15F.402(2) and shall consist of members of the board, with one member from each congressional district under Iowa Code section 15F.102(2)“a” and one member from the state at large under Iowa Code section 15F.102(2)“b.”

        ITEM 4.    Amend rule 261—215.2(15F) as follows:

    261—215.2(15F) Eligible applicants.  Eligible applicants for sports tourism financial assistancefrom the marketing fund include cities or counties in the state or public organizations, including convention and visitors bureaus.

        ITEM 5.    Amend rule 261—215.3(15F), catchwords, as follows:

    261—215.3(15F) Eligiblemarketing projects.  

        ITEM 6.    Amend rule 261—215.4(15F) as follows:

    261—215.4(15F) Eligible and ineligiblemarketing expenses.      215.4(1) Eligible expenses.  Expenses directly related to the active promotion of a sporting event will be eligible for reimbursement under the program. Examples of eligible expenses include, but are not limited to:    a.    Sponsorships;    b.    Payments to vendors;    c.    Advertising;    d.    Equipment rental;    e.    Promotional materials;    f.    Production costs.    215.4(2) Ineligible expenses.  Expenses that are not directly related to the active promotion of a sporting event will be ineligible for reimbursement under the program. Examples of ineligible expenses include, but are not limited to:     a.    Bid fees, rights fees, solicitation efforts or lobbying fees;    b.    Travel costsor compensation of applicant staff;    c.    Meals, dining, or alcoholic beverages;    d.    Items that are purchased for resale;    e.    Prizes given to participants;    f.    Costs related to infrastructure or ongoing costs of a facility;    g.    Other costs that the board determines to be ineligible.

        ITEM 7.    Amend 261—Chapter 215, implementation sentence, as follows:       These rules are intended to implement Iowa Code sections 15F.401,and15F.402, and 15F.403 as amended by 2022 Iowa Acts, House File 2579.

        ITEM 8.    Adopt the following new 261—Chapter 216: CHAPTER 216SPORTS TOURISM PROGRAM: INFRASTRUCTURE FUND

    261—216.1(15F) Definitions.  When used in this chapter, unless the context otherwise requires:        "Accredited colleges and universities" means any college, university, or institution of higher learning that is accredited by the Higher Learning Commission or any other college, university, or institution of higher learning that is accredited by an accrediting agency that is recognized by the U.S. Department of Education.        "Authority" means the economic development authority created in Iowa Code section 15.105.        "Bid fees" means fees paid as part of proposing a location for an event.        "Board" means the enhance Iowa board as created in Iowa Code section 15F.102.        "Convention and visitors bureau" "CVB" means an organization engaged primarily in the marketing and promotion of a local community or communities to businesses and to leisure travelers interested in the area’s facilities. Such organizations are typically engaged in a wide range of activities including but not limited to assisting businesses and leisure travelers in identifying meeting locations and convention sites; providing maps and other travel information; providing information on local attractions, lodging, and restaurants; and organizing tours of local historical, recreational, and cultural attractions.        "District" means a regional sports authority district certified under Iowa Code section 15E.321.        "Financial assistance" means assistance provided only from the funds available to the authority or the board and includes assistance in the form of grants, loans, and forgivable loans.        "Infrastructure" means land acquisition and construction; major renovations of buildings; and all appurtenant structures, utilities, and site development that are related to the operation of a sporting event.        "Infrastructure fund" means the fund established pursuant to Iowa Code section 15F.404 for purposes of financing sports tourism infrastructure projects.        "Marketing" means planning for or implementing efforts to publicize a sporting event using a range of strategies, tools, and tactics.        "Organization" means a corporation, conference, association, or other organization which has as one of its primary purposes the sponsoring or administration of extracurricular intercollegiate athletic contests or competitions, or professional sporting events.        "Professional sporting events" means any sporting events for which the competing athletes receive payment for their participation in such sporting events.        "Program" means the portion of the sports tourism marketing and infrastructure program administered pursuant to this chapter and funded by the infrastructure fund.        "Promote" "promotion" means to undertake specific identifiable actions that encourage greater awareness of and attendance at a sporting event. This includes the planning, organizing, advertising, marketing, managing, hosting, and sponsoring of a sporting event.        "Public organization" means a not-for-profit economic development organization or other not-for-profit organization including one that sponsors or supports sporting events.        "Sporting event" means an athletic activity requiring skill or physical prowess, usually competitive in nature and governed by a set of rules provided by a nationally recognized sanctioning body. A sporting event typically includes the placing of competitors into a fixed order of finish, depending upon their respective athletic performance within the rules provided for that activity.        "Sports tourism program review committee" "review committee" means the committee established by Iowa Code section 15F.402(2) and shall consist of members of the board, with one member from each congressional district under Iowa Code section 15F.102(2)“a” and one member from the state at large under Iowa Code section 15F.102(2)“b.”

    261—216.2(15F) Eligible applicants.  Eligible applicants for financial assistance from the infrastructure fund include cities and counties in the state and public entities that are a convention and visitors bureau or a district.

    261—216.3(15F) Eligible infrastructure projects.  Eligible projects must actively and directly support sporting events for accredited colleges and universities, professional sporting events, and other sporting events in the area served by an eligible applicant as defined in rule 261—216.2(15F). Only projects that support sporting events occurring in Iowa are eligible for assistance.    216.3(1)   An eligible applicant may apply for and receive financial assistance for more than one project. The board may require additional information to substantiate the financial need for awarding more than one project in any fiscal year.    216.3(2)   An eligible applicant may apply for financial assistance for a project that spans two fiscal years. If financial assistance is approved for two fiscal years, financial assistance will only be provided for the second fiscal year if all applicable contractual requirements are met. When considering whether to award financial assistance for two fiscal years, the board shall evaluate metrics including the amount of revenue generated by ticket sales, the estimated economic impact, and the number of overnight stays at hotels in the city or county where the sporting event is being held. For example, economic impact may be calculated as total estimated attendance multiplied by daily attendee spending multiplied by average length of stay. If an eligible applicant wishes to supply an alternative formula for calculating economic impact, the applicant must supply a credible source for using an alternative formula. The authority may include such metrics and estimates in a program agreement executed pursuant to Iowa Code section 15F.401.    216.3(3)   A convention and visitors bureau shall not in the same fiscal year receive financial assistance under the program created in this chapter and financial assistance as part of a district created pursuant to 261—Chapter 38.    216.3(4)   An eligible applicant shall demonstrate the availability of matching funds for financing the sports tourism infrastructure project in the form of a private and public partnership with financing from city, county, and private sources in order to receive financial assistance pursuant to this rule. The amount of matching funds that may be required shall be at the board’s discretion. An applicant under the program shall not receive financial assistance in an amount exceeding 50 percent of the total cost of the project.    216.3(5)   A city, county, or public organization may use financial assistance received under the program for infrastructure that actively and directly supports a sporting event. Whether an activity or individual cost item is related to the sporting event shall be within the discretion of the authority.    216.3(6)   A city, county, or public organization shall not use financial assistance received under the program as reimbursement for completed projects or for costs incurred prior to approval of financial assistance.    216.3(7)   Financial assistance shall be provided for sports tourism infrastructure projects that draw a national and international audience and attract a significant number of visitors from outside the state. Factors the authority will consider in determining whether a project is qualified under this subrule include, but are not limited to, whether the likelihood of a national or international audience is validated by any available data about the anticipated audiences for the event, whether the event is nationally or internationally televised, and projected visitor information or visitor information for similar events held in the state.    216.3(8)   Financial assistance shall not be provided for sports tourism infrastructure projects located in reinvestment districts as defined and approved by the authority pursuant to Iowa Code section 15J.4 or to applicants that have received a rebate of sales tax imposed and collected by retailers pursuant to Iowa Code section 423.4(5).

    261—216.4(15F) Eligible and ineligible infrastructure expenses.      216.4(1) Eligible expenses.  Examples of eligible expenses include, but are not limited to:    a.    Land acquisition;    b.    Construction;    c.    Major renovation of buildings;    d.    Site development;    e.    Permanent or temporary structures; and    f.    Purchase or long-term lease of equipment.    216.4(2) Ineligible expenses.  Expenses that are not directly related to sporting events or are not considered infrastructure will be ineligible for reimbursement under the program. Examples of ineligible expenses include, but are not limited to:    a.    Bid fees, rights fees, solicitation efforts, or lobbying fees;    b.    Travel costs or compensation of applicant staff;    c.    Expenses eligible for financial assistance from the sports tourism marketing fund pursuant to 261—subrule 215.4(1) or other costs associated with marketing or promotion;    d.    Ongoing operational costs not specifically related to sporting events; and    e.    Other costs that the board determines to be ineligible.

    261—216.5(15F) Threshold application requirements.  To be considered for funding under the program, an application must meet the following threshold application requirements:    216.5(1)   There must be demonstrated local support for the proposed activity.    216.5(2)   The application must contain a detailed description of the project, outlining the sporting event(s) and the infrastructure expenses necessary to support it.    216.5(3)   The proposed project budget must be spent on infrastructure that actively and directly supports the sporting event(s).    216.5(4)   The application must contain detailed information and projections sufficient to enable the authority to accurately assess the economic impact of the sporting event(s) described in the application. Such information shall include the estimated number of spectators and estimated quality and quantity of advertising and media coverage the sporting event(s) will generate. If the applicant has previously held substantially similar events, the information shall include actual attendance figures from past events and a summary of the advertising and media coverage generated.

    261—216.6(15F) Application process.      216.6(1)   Applications for assistance under the program shall be submitted to the authority. For those applications that meet the threshold application requirements and the eligibility criteria, the authority shall forward the applications to the board and provide a staff review analysis and evaluation to the sports tourism program review committee and to the board.    216.6(2)   When reviewing the applications, the review committee and the authority shall consider, at a minimum, all of the following:    a.    Impact of the project on the local, regional, and state economies.    b.    Amount of positive advertising or media coverage the project generates in national and international markets.    c.    Quality, size, and scope of the project.    d.    The extent to which the project would generate additional recreational and cultural attractions or tourism opportunities.    e.    The extent to which the sporting event to be supported by the infrastructure project is unique, innovative, or diverse.    216.6(3)   Upon review of the recommendations of the review committee, the board shall make final funding decisions on each application. The board may approve, defer, deny, or modify applications for financial assistance under the program, in its discretion, in order to fund as many projects with the moneys available as possible. The board and the authority may negotiate with applicants regarding the details of projects and the amount and terms of any award. In making final funding decisions pursuant to this subrule, the board and the authority are exempt from Iowa Code chapter 17A.

    261—216.7(15F) Administration.      216.7(1) Administration of awards.      a.    Each applicant receiving an award of financial assistance from the board shall enter into an agreement with the authority. The agreement shall contain such terms and conditions as the board may place on the award or the authority may deem necessary for the efficient administration of the program established in this chapter. The agreement will also include the terms and conditions under which financial assistance must be repaid or penalties incurred in the event the applicant does not fulfill all obligations under the agreement.    b.    These rules and applicable state laws shall be part of the agreement.    c.    The applicant must execute and return the contract to the board within 90 days of the transmittal of the final contract from the board. Failure to do so may be cause for the board to terminate the award.    d.    Financial assistance shall not be provided until all financing for the sports tourism infrastructure project is secured and documented to the satisfaction of the authority.    e.    Awards may be conditioned upon authority receipt and board approval of an implementation plan for the funded project.    216.7(2) Reports.  An applicant receiving financial assistance shall provide an annual report to the authority for years in which the applicant receives financial assistance under this rule. The report shall include the information the authority deems relevant. The report shall be submitted in the manner and on forms prescribed by the authority. The authority may perform any reviews or site visits necessary to ensure performance by the applicant.    216.7(3) Requests for funds.  Recipients shall submit requests for funds in the manner and on forms prescribed by the authority. Individual requests for funds shall be made in an amount equal to or greater than $500 per request, except for the final draw of funds.    216.7(4) Record keeping and retention.  The recipient shall retain all financial records, supporting documents, and other records pertinent to the sports tourism award for three years after contract closeout. Representatives of the authority shall have access to all recipient records that pertain to sports tourism funds.    216.7(5) Amendments to contracts.  Any substantive change to a contract shall be considered an amendment. Substantive changes include time extensions, budget revisions, and significant alterations of the funded project that change the scope, location, objectives, or scale of the approved project. Amendments must be approved by the board. The authority may execute nonsubstantive or ministerial changes to the contract without board approval.    216.7(6) Project closeout.  Upon expiration of the agreement, the authority shall initiate project closeout procedures.    216.7(7) Compliance.  If the board finds that an applicant is not in compliance with the requirements of this program or the terms and conditions of the agreement, the board may find the applicant noncompliant. Remedies for noncompliance may include penalties up to and including the return of program funds to the board. Reasons for a finding of noncompliance include but are not limited to the applicant’s use of funds for activities not described in the contract, the applicant’s failure to complete funded projects in a timely manner, the applicant’s failure to comply with applicable state or local rules, or the lack of a continuing capacity of the applicant to carry out the approved project in a timely manner.       These rules are intended to implement Iowa Code sections 15F.401, 15F.402, and 15F.404 and 2022 Iowa Acts, House File 2579.
        [Filed 10/7/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6613CHuman Services Department[441]Adopted and Filed

    Rule making related to disability services management

        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 chapter 225C.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 225C.Purpose and Summary    This rule making is a result of the five-year rules review for Chapter 25. Rules that are outdated or redundant are eliminated. These amendments update definitions, terminology and cross-references, and ambiguous rules are clarified.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on July 13, 2022, as ARC 6407C. No public comments were received. One change from the Notice has been made to update obsolete Iowa Code cross-references in the implementation sentence of rule 441—25.41(331) in Item 30.Adoption of Rule Making    This rule making was adopted by the Mental Health and Disability Services Commission on September 15, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 441—25.1(331), definitions of “Emergency care,” “Evidence-based services,” “Family support peer specialist,” “Homeless,” “Mental health professional,” “Peer support specialist,” “Respite services,” “Routine care” and “Urgent nonemergency need,” as follows:        "Emergency careservices" means the same as defined in rule 441—88.21(249A)441—subrule 24.4(15).        "Evidence-based services" "evidence-based practices" means using interventions that have been rigorously tested,; have yielded consistent, replicable results,; and have proven safe, beneficial and effective and have established standards for fidelity of the practice.        "Family support peer specialist" means a parent, primary caregiver, foster parent or family member of an individual who has successfully completed standardized training to provide family support through the medical assistance program or the Iowa Behavioral Health Care Plan.        "Homeless" means the same as “homeless person”as defined in rule 441—25.11(331)Iowa Code section 48A.2.         "Mental health professional" means the same as defined in Iowa Code section 228.1(6)228.1(7).        "Peer support specialist" means an individual who has experienced a severe and persistent mental illness and who has successfully completed standardized training to provide peer support services through the medical assistance program or the Iowa Behavioral Health Care Plan.        "Respite services" means a temporary period of relief and support for individuals and their families provided in a variety of settings. The intent is to provide a safe environment with staff assistance for individuals who lack an adequate support system to address current issues related to a disability. Respite may be provided for a defined period of time; respite is either planned or provided in response to a crisis.        "Routine care" means the same as defined in rule 441—88.21(249A)care which is not urgent or emergent in nature and can wait for a regularly scheduled appointment without risk to the individual. A condition requiring routine care is not likely to substantially worsen without immediate intervention.        "Urgent nonemergency need" means the same as defined in rule 441—88.21(249A)existence of conditions that are not emergent in nature but that require expeditious treatment because of the prospect of the condition worsening without immediate intervention.

        ITEM 2.    Rescind the definitions of “Community-based crisis intervention service,” “State board,” “Strengths-based case management,” “Telephone crisis service” and “Walk-in crisis service” in rule 441—25.1(331).

        ITEM 3.    Rescind and reserve rule 441—25.3(331).

        ITEM 4.    Amend paragraph 25.4(2)"c" as follows:    c.    Crisis stabilization residential services.An individual who has been determined to need CSRS shall receive CSRS within 120 minutes of referral. The serviceCSRS shall be located within 120 miles from the residence of the individualor be available within 120 minutes from the time of the determination that the individual needs CSRS.

        ITEM 5.    Amend paragraph 25.4(2)"e" as follows:    e.    Twenty-three-hour observation and holding.An adult who has been determined to need 23-hour observation and holding shall receive 23-hour observation and holding within 120 minutes of referral. The serviceTwenty-three-hour observation and holding shall be located within 120 miles from the residence of the individualor be available within 120 minutes from the time of the determination that the individual needs 23-hour observation and holding.

        ITEM 6.    Amend paragraph 25.4(3)"a" as follows:    a.    Outpatient.    (1)   Emergencyservices: During an emergency, outpatient services shall be initiated to an individual within 15 minutes of telephone contact.    (2)   Urgent: Outpatient services shall be provided to an individual within one1 hour of presentation or 24 hours of telephone contact.    (3)   Routinecare: Outpatient services shall be provided to an individual within four weeks of request for appointment.    (4)   Distance: Outpatient services shall be offered within 30 miles for an individual residing in an urban community and 45 miles for an individual residing in a rural community.

        ITEM 7.    Amend subrule 25.4(5) as follows:    25.4(5)   Support for community living for adults. The first appointment shall occur within four weeks of the individual’s request of support for community livingservices, including a home health aide, home and vehicle modifications, respite, and supportive community living.

        ITEM 8.    Amend subrule 25.4(6) as follows:    25.4(6)   Support for employment for adults. The initial referral shall take place within 60 days of the individual’s request of support for employmentservices, including day habilitation, job development, supported employment, and prevocational services.

        ITEM 9.    Amend subrule 25.4(7) as follows:    25.4(7)   Recovery services for adults. An individual receiving recovery services, including family support and peer support, shall not have to travel more than 30 miles if residing in an urban area or 45 miles if residing in a rural area to receive services.

        ITEM 10.    Amend subrule 25.5(3) as follows:    25.5(3)   Regions must have evidence-based practices that the region has independently verified as meeting established fidelity to evidence-based servicepractice models including, but not limited to, assertive community treatment or strengths-based case management; integrated treatment offor co-occurring substance use and mental health disorders; supported employment; family psychoeducation; illness management and recovery; and permanent supportive housing.

        ITEM 11.    Amend paragraph 25.6(1)"c" as follows:    c.    Eligibility for access center services.To be eligible to receive access center services, an individual shall meet all of the following criteria:    (1)   The individual is an adult in need of screening, assessment, services or treatment related to a mental health or substance use crisis.    (2)   The individual shows no obvious signs of illness or injury indicating a need for immediate medical attention.    (3)   The individual hasnot been determined not to need anacute inpatient psychiatric hospital level of carehospitalization.    (4)   The individual does not have immediate access to alternative, safe, and effective services.

        ITEM 12.    Adopt the following new subparagraph 25.6(8)"a":    (4)   Regional reimbursement rates for non-Medicaid individuals receiving intensive residential services shall be negotiated by the region and the provider and shall be no less than the minimum Medicaid rate.

        ITEM 13.    Amend subparagraph 25.6(8)"b" as follows:    (1)   Be enrolled as an HCBS 1915(i) habilitation provider or an HCBS 1915(c) intellectual disability waiver supported community living providerand in good standing with the Iowa Medicaid enterprise.

        ITEM 14.    Amend subparagraph 25.6(8)"b", introductory paragraph, as follows:    (5)   Ensure that within the first year of employment, staff members complete 48 hours ofcompetency-based training in mental health and multi-occurring conditions. During each consecutive year of employment, staff members shall complete 24 hours ofcompetency-based training in mental health and multi-occurring conditions. Staff training shall include, but is not limited to, the following:

        ITEM 15.    Rescind subparagraph 25.6(8)"c".

        ITEM 16.    Renumber subparagraph 25.6(8)"c" as 25.6(8)"c".

        ITEM 17.    Amend 441—Chapter 25, Division II preamble, as follows:PreambleThese rules define the standards for a regional service system. The mental health and disability services and children’s behavioral health services provided by counties operating as a region shall be delivered in accordance with a regional service system management plan approved by the region’s governing board and implemented by the regional administrator (Iowa Code section 331.393). Iowa counties are encouraged to enter into a regional system when the regional approach is likely to increase the availability of services to residents of the state who need the services. It is the intent of the Iowa general assembly that the adult residents of this state should have access to needed mental health and disability services and that Iowa children should have access to needed behavioral health services regardless of the location of their residence.

        ITEM 18.    Amend rule 441—25.11(331), definitions of “Emergency service,” “Medical savings account,” “Mental health professional” and “Regional services fund,” as follows:        "Emergency serviceservices" means the same as defined in rule 441—88.21(249A)441—subrule 24.4(15).        "Medical savings account" means an account that is exempt from federal income taxation pursuant to Section 220223 of the U.S. Internal Revenue Code (26 U.S.C. §220§223) as supported by documentation provided by the bank or other financial institution. Any withdrawal from a medical savings account other than for the designated purpose becomes a countable resource.        "Mental health professional" means the same as defined in Iowa Code section 228.1(6)228.1(7).        "Regional servicesservice fund" means the mental health and disability regional servicesservice fund created in Iowa Code section 225C.7A.

        ITEM 19.    Amend subrule 25.12(2) as follows:    25.12(2) Regional administrator.  The formation of the regional administrator shall be as defined in Iowa Code sections 331.388,and331.390, and 331.399.    a.    The regional administrative entity is under the control of the governing board.    b.    The regional administrative entity shall enter into and manage performance-based contracts in accordance with Iowa Code section 225C.4(1)“u.”225C.4(1)“x.”    c.    The regional administrative entity structure shall have clear lines of accountability.    d.    The regional administrative entity functions as a lead agency utilizing shared county or regional staff or other means of limiting administrative costs.    e.    The regional administrative entity staff shall include one or more coordinators of mental health and disability services.    f.    The regional administrative entity staff shall include one or more coordinators of children’s behavioral health services.

        ITEM 20.    Adopt the following new paragraph 25.14(1)"k":    k.    Methods for reimbursing member counties if county employees are conducting regional work.

        ITEM 21.    Amend paragraph 25.14(3)"g" as follows:    g.    A process for performance of an annual independent audit of the regional administrator, and methods for submitting the audit to the department upon completion.

        ITEM 22.    Amend paragraph 25.15(3)"d" as follows:    d.    The individual has a diagnosis of intellectual disability as defined by Iowa Code section 4.1(9A)rule 441—83.60(249A).

        ITEM 23.    Amend paragraph 25.15(7)"a" as follows:    a.    Until funding is designated for other service populations, eligibility for the core service domains shall be as identified in Iowa Code section 331.397(1)“b.”331.397(2)“b.”

        ITEM 24.    Amend paragraph 25.18(2)"e" as follows:    e.    Children’s behavioral health services. Identification of children’s behavioral health services as described in subrule 25.2(4), includingcontact information for the agencies responsible and eligibility requirements or reference to where eligibility requirements can be found in the policies and procedures manual.

        ITEM 25.    Amend paragraph 25.18(2)"g" as follows:    g.    Budget and financing provisions for the next year. The provisions shall address how county, regional, state and other funding sources will be used to meet the service needs within the region.

        ITEM 26.    Amend paragraph 25.18(2)"h" as follows:    h.    Financial forecasting measures. A description of the financial forecasting measures used in the identification of service need and funding necessary for services and a financial statement of actual revenues and actual expenses by chart of account codes, including levies by county.

        ITEM 27.    Amend rule 441—25.21(331), introductory paragraph, as follows:

    441—25.21(331) Policies and procedures manual for the regional service system.  The policies and procedures manual shall describe the policies and process developed to direct the management and administration of the regional service system. The initial manual is due on April 1, 2014, and will remain in effect subject to amendment.

        ITEM 28.    Amend paragraph 25.21(1)"e" as follows:    e.    Quality management and improvement process. The quality management and improvement process shall at a minimum meet the requirements of the department’s outcome and performance measures process as outlined in Iowa Code sections 225C.4(1)“j”225C.4(1)“k” and 225C.6A.

        ITEM 29.    Amend subrule 25.21(2) as follows:    25.21(2) Approval.  The manual shall be submitted by April 1, 2014, as a part of the region’s management plan for the fiscal year beginning July 1, 2014. The manualA region’s policy and procedures manual shall be approved by the region’s governing board and is subject to approval by the director of human services. The director shall review all regional annual service and budget plans submitted by the dates specified. If the director finds the manual in compliance with these rules and state and federal laws, the director may approve the plan. A planpolicy and procedures manuals. Manuals approved by the director for the fiscal year beginning July 1, 2014, shall remain in effect subject to amendment.    a.    Criteria for acceptance.The director shall determine a plan is acceptable when it contains all the required information, meets the criteria described in this division, and is in compliance with all applicable state and federal laws. The director may request additional information to determine whether or not the plan contains all the required information and meets criteria described in this division.    b.    Notification.    (1)   Except as specified in subparagraph 25.21(2)“b”(2), the director shall notify the region in writing of the decision on the plan by June 1, 2014. The decision shall specify that either:
    1. The policies and procedures manual is approved as it was submitted, either with or without supplemental information already requested and received.
    2. The policies and procedures manual will not be approved until revisions are made. The letter will specify the nature of the revisions requested and the time frames for their submission.
        (2)   Review of late submittals. The director may review manuals not submitted by April 1, 2014, after all manuals submitted by that date have been reviewed. The director will proceed with the late submittals in a timely manner.

        ITEM 30.    Amend rule 441—25.41(331) as follows:

    441—25.41(331) Minimum data set.  Each countyregion shall maintain data on all clients served through the MH/DD services fund.    25.41(1) Submission of data.  Each countyregion shall submit to DHSthe department a copy of the data regarding each individual that the countyregion serves through the central point of coordination process.    a.    DHS state payment program,The state supplementary assistance program, mental health institutes, state resource centers, Medicaid program, and Medicaid managed care contractors shall provide the equivalent data in a compatible format on the same schedule as the required submission from the countiesregions.    b.    DHSThe department shall maintain the data in the data analysis unit for research and analysis purposes only. Only summary data shall be reported to policymakers or the public.    25.41(2) Data required.  The data to be submitted are as follows:    a.    Basic clientindividual information including a unique identifier, name, address,and county of residence and county of legal settlement.    b.    The state I.D. number for state payment caseswhen applicable.    c.    Demographic information including date of birth, sex, ethnicity, marital status, education, residential living arrangement, current employment status, monthly income, income sources, type of insurance, insurance carrier, veterans’ status, guardianship status, legal status in the system, source of referral, diagnosis in the current version of the DSM, diagnosiscode in the current version of the ICD, disability group (i.e., intellectual disability, developmental disability, chronic mental illness, mental illness, brain injury), central point of coordination (andcountyof residence number preceded by A 1), and central point of coordination (CPC) name.    d.    Service information including the decision on services, date of decision, date client terminated from CPC servicestermination date and reason for termination, residence, approved service, service beginning dates, service ending dates, reason for terminating each service, approved units of services, unit rate for service, expenditure data, and provider data.    e.    Counties shall not be penalized in any fashion for failing to collect data elements in situations of crisis or in outreach efforts to identify or engage people in needed mental health services. For the purposes of this rule:    (1)   Situations of crisis include but are not limited to voluntary and involuntary hospitalizations, legal and transportation services associated with involuntary hospitalizations, emergency outpatient services, mobile crisis team services, jail diversion services, mental health services provided in a county jail, and other services for which the county is required to pay but does not have access to the client to collect the required information.    (2)   Outreach efforts to identify or engage people in needed mental health services include but are not limited to mental health advocate services; services for homeless persons, refugees, or other legal immigrants; services for state cases who do not have documentation with them and are unable to help the county locate appropriate records; consultation; education to raise public awareness; 12-step or other support groups for persons with dual disorders; and drop-in centers.    f.    e.    Although all of the data in the minimum data set are important to provide support for program analysis, a county shall be penalized for noncompliance with this rule if the county does not provide 100 percent reporting of the data elements listed in this paragraph. Beginning with the data reported for state fiscal year 2008, less than 100 percent reporting for the following items shall be viewed as noncompliance unless the data are exempted by paragraph “e”:Regions shall submit data according to the file layouts, format, and naming conventions prescribed by the department. Any changes to the data submission requirements will be made in consultation with the regional administrators.    (1)   Client identifiers:
    1. Lname3 (the first three letters of the client’s last name).
    2. Last4SSN (the last four digits of the client’s social security number).
    3. SEX (the client’s sex).
    4. BDATE (the client’s birth date).
        (2)   CPC (central point of coordination).    (3)   Payment information:
    1. PYMTDATE (CoMIS payment date).
    2. FUND CODE (CoMIS fund code).
    3. DG (CoMIS diagnosis).
    4. COACODE (CoMIS chart of accounts code).
    5. BEGDATE (CoMIS service beginning date).
    6. ENDDATE (CoMIS service ending date).
    7. UNITS (CoMIS units of service).
    8. COPD (CoMIS county paid).
        (4)   ValidSSN (valid social security number indicator).    (5)   IsPerson (IsPerson indicator).
        g.    f.    Although all of the data in the minimum data set are important to provide support for program analysis, a county shall be penalized for noncompliance with this rule if the county does not provide 90 percent reporting of the data elements listed in this paragraph beginning with the data reported for fiscal year 2008. Less than 90 percent reporting for the following items shall be viewed as noncompliance unless the data are exempted by paragraph “e”:Regions must submit their data for each fiscal year by December 1 of the following fiscal year.    (1)   Application Date (application date)When a region’s data is incomplete or is not compliant with the prescribed file layouts, format, or naming conventions the region will be notified by email.    (2)   RESCO (residence county)The region shall resubmit corrected files or provide an explanation for noncompliant data within 30 days of the date of the email notice.    (3)   LEGCO (legal county)If the region remains noncompliant after the 30-day time period, the department may take action as allowable under the performance-based contracts established pursuant to rule 441—25.23(331).    (4)   Provider ID (vendor number).    h.    The department shall analyze the data received on or before December 1 each year by December 15 or by the next business day if December 15 falls on a weekend or holiday.    (1)   When a county’s data submission does not meet the specifications in paragraph “f” or “g,” the department will notify the county by email.    (2)   The county shall have 30 days from the date of the email notice to submit the missing data or to provide an explanation of why the data cannot be reported.    (3)   If the county does not report the data or provide an adequate explanation within 30 days, the department shall find the county in noncompliance.    i.    The department shall post the aggregate reports received by December 1 on the department’s website within 90 days.
        25.41(3) Method of data collection.  A county may choose to collect this information using the county management information system (CoMIS) that was designed by the department or may collect the information through some other means. If a county chooses to use another system, the county must be capable of supplying the information in the same format as CoMIS.    a.    Except as provided in subparagraph (3), each county shall submit the following files in Microsoft Excel format (version 97 to 2000) or comma-delimited text file (CSV) format using data from the associated CoMIS table or from the county’s chosen management information system:Files to submitAssociated CoMIS TableWarehouseClient.xls or WarehouseClient.csv    Client DataWarehouseIncome.xls or WarehouseIncome.csv    Income ReviewWarehousePayment.xls or WarehousePayment.csv    PaymentWarehouseProvider.xls or WarehouseProvider.csv    ProviderWarehouseProviderServices.xls or WarehouseProviderServices.csv    tblProviderServicesWarehouseService.xls or WarehouseService.csv    Service Authorizations    (1)   Paragraphs “b” through “g” list the data required in each file and specify the structure or description for each data item to be reported.    (2)   The field names used in the report files must be exactly the same as indicated in the corresponding paragraph, including spaces, and must be entered in the first row for each sheet.    (3)   The file labeled WarehouseService.xls or WarehouseService.csv or service authorization (described in paragraph “g” of this subrule) shall be removed from this requirement on June 30, 2011, if data from this file have not been used by that date.    b.    File name: WarehouseClient.xls or WarehouseClient.csv.Sheet name: Warehouse_Client_Transfer_Query.Field NameData TypeField SizeFormatDescriptionCPCNumber30 decimal placesCentral point of coordination number: county number preceded by a 1RESCONumber30 decimal placesResidence county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLEGCONumber30 decimal placesLegal county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLname3Text3The first 3 characters of the last nameLast4SSNText4The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”BDATEDate10mm/dd/yyyyDate of client’s birthSEXText1    Sex of client:M = MaleF = FemaleLast UpdateDate10mm/dd/yyyyDate of last update to client recordSIDText89999999a State identification number of client, if applicable (format of a valid number is 7 digits plus 1 alphabetical character).ADD1Text50First address lineADD2Text50Second address line (if applicable)CITYText50City address line STATEText2State codeZIPNumber50 decimal places5-digit ZIP codeETHNNumber10 decimal places    Ethnicity of client:0 = Unknown1 = White, not Hispanic2 = African-American, not Hispanic3 = American Indian or Alaskan native4 = Asian or Pacific Islander5 = Hispanic6 = Other (biracial; Sudanese; etc.)MARITALNumber10 decimal places    Marital status of client:1 = Single, never married2 = Married (includes common-law marriage)3 = Divorced4 = Separated5 = WidowedEDUCNumber20 decimal placesEducation level of the clientRARGNumber20 decimal places    Residential arrangement of client: 1 = Private residence/household2 = State MHI3 = State resource center4 = Community supervised living5 = Foster care or family life home6 = Residential care facility7 = RCF/MR8 = RCF/PMI9 = Intermediate care facility10 = ICF/MR11 = ICF/PMI12 = Correctional facility13 = Homeless shelter or street14 = OtherLARGNumber10 decimal places    Living arrangement of client:1 = Lives alone2 = Lives with relatives3 = Lives with persons unrelated to clientINSNumber10 decimal places    Health insurance owned by client:1 = Client pays3 = Medicaid4 = Medicare5 = Private third party6 = Not insured7 = Medically NeedyINSCARText50First insurance company name, if applicableINSCAR1Text50Second insurance company name, if applicableINSCAR2Text50Third insurance company name, if applicableVETText1    Veteran status of client: Y = YesN = NoCONSERVATORNumber10 decimal places    Conservator status of client:1 = Self2 = OtherGUARDIANNumber10 decimal places    Guardian status of client:1 = Self2 = OtherLEGSTATNumber10 decimal places    Legal status of client:1 = Voluntary2 = Involuntary, civil commitment3 = Involuntary, criminal commitmentREFSONumber10 decimal places    Referral source of client:1 = Self2 = Family or friend3 = Targeted case management4 = Other case management5 = Community corrections6 = Social service agency other than case management7 = OtherDSM (current version)Text50DSM (current version) diagnosis code of clientICD (current version)Text50ICD (current version) diagnosis code (optional for county use; not tied to CoMIS entry)DGNumber20 decimal places    Disability group of client:40 = Mental illness41 = Chronic mental illness42 = Mental retardation43 = Other developmental disability44 = Other categoriesApplication DateDate10mm/dd/yyyyDate of client’s initial applicationOutcome decisionNumber10 decimal places    Decision on client’s application:1 = Application accepted2 = Application denied3 = Decision pendingDecision dateDate10mm/dd/yyyyDate decision was made on client’s applicationDenial reasonText2    Denial reason code:00 = Not applicable01 = Over income guidelines1A = Over resource guidelines02 = Does not meet county plan criteria2A = Legal settlement in another county2B = State case3A = Brain injury3B = Alzheimer’s3C = Substance abuse3D = Other04 = Does not meet service plan criteria05 = Client desires to discontinue process5A = Client fails to return requested informationClient exit date from CPCDate10mm/dd/yyyyDate client was terminated from CPC servicesExit reasonNumber10 decimal places    Reason client left the CPC system:0 = Unknown1 = Client voluntarily withdrew2 = Client deceased3 = Unable to locate consumer4 = Ineligible due to reasons other than income5 = Ineligible, over income guidelines6 = Client moved out of state7 = Client no longer needs service8 = Client has legal settlement in another countyReview DateDate10mm/dd/yyyyDate of last application reviewPhoneNumberText50Phone number of clientValidSSNText3Generated for CoMIS users in the data extract onlyPopulate this field with YES if the client has a valid social security number. If the client does not have a valid social security number, populate this field with NO.IsPersonText3Generated for CoMIS users in the data extract onlyPopulate this field with YES if the client is a person. If the client entry represents a nonperson such as administrative costs, populate this field with NO.    c.    File name: WarehouseIncome.xls or WarehouseIncome.csv.Sheet name: Warehouse_Income_Transfer_Query.Field NameData TypeField SizeFormatDescriptionCPCNumber30 decimal placesCentral point of coordination number: county number preceded by a 1RESCONumber30 decimal places    Residence county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLEGCONumber30 decimal places    Legal county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLname3Text3The first 3 characters of the last nameLast4SSNText4The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”BDATEDate10mm/dd/yyyyDate of client’s birthSEXText1    Sex of client:M = MaleF = FemaleEMPLNumber20 decimal places    Employment situation of client:1 = Unemployed, available for work2 = Unemployed, unavailable for work3 = Employed full-time4 = Employed part-time5 = Retired6 = Student7 = Work activity employment8 = Sheltered work employment9 = Supported employment10 = Vocational rehabilitation11 = Seasonally employed12 = In the armed forces13 = Homemaker14 = Other or not applicable15 = VolunteerHouse Hold SizeNumber20 decimal places Number of people in client’s householdINCSOURNumber2    0 decimal places    Primary income source of client:1 = Family and friends2 = Private relief agency3 = Social security disability benefits4 = Supplemental Security Income5 = Social security benefits6 = Pension7 = Food assistance8 = Veterans benefits9 = Workers compensation10 = General assistance11 = Family investment program (FIP)12 = WagesPublic Assistance PaymentsCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Social SecurityCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Social Security DisabilityCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)SSICurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)VA BenefitsCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)R/R PensionCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Child SupportCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Employment WagesCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Dividend InterestCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Other IncomeCurrency14    2 decimal placesMonthly dollar amount for this income source (where applicable)Description 1Text50Description of “Other Income”Cash on handCurrency142 decimal placesDollar amount for this resource type (where applicable)CheckingCurrency142 decimal placesDollar amount for this resource type (where applicable)SavingsCurrency142 decimal placesDollar amount for this resource type (where applicable)Stocks/BondsCurrency142 decimal placesDollar amount for this resource type (where applicable)Time CertificatesCurrency142 decimal placesDollar amount for this resource type (where applicable)Trust FundsCurrency142 decimal placesDollar amount for this resource type (where applicable)Other ResourcesCurrency142 decimal placesDollar amount for this resource type (where applicable)Description 2Text50Description of “Other Resources” (where applicable)Other Resources 2Currency142 decimal placesDollar amount for this resource type (where applicable)Description 3Text50Description of “Other Resources 2”Date reviewedDate10mm/dd/yyyyDate income was last reviewed (where applicable)    d.    File name: WarehousePayment.xls or WarehousePayment.csv. Sheet name: Warehouse_Payment_Transfer_Quer.Field NameData TypeField SizeFormatDescriptionCPCNumber30 decimal placesCentral point of coordination number: county number preceded by a 1RESCONumber30 decimal places    Residence county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLEGCONumber30 decimal places    Legal county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLname3Text3The first 3 characters of the last nameLast4SSNText4The last 4 digits of the client’s social security number. If that number is unknown, use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”BDATEDate10mm/dd/yyyyDate of client’s birth SEXText1    Sex of client:M = MaleF = FemalePYMTDATEDate10mm/dd/yyyyDate county approves or makes paymentVENNAMEText50Vendor or provider paidCOCODENumber30 decimal placesCounty where service was providedFUND CODEText10Fund code for paymentDGNumber20 decimal places    Disability group code for payment:40 = Mental illness41 = Chronic mental illness42 = Mental retardation43 = Other developmental disability44 = Other categoriesCOACODENumber50 decimal placesChart of accounts code for paymentBEGDATEDate10mm/dd/yyyyBeginning date of payment periodENDDATEDate10mm/dd/yyyyEnding date of payment periodUNITSNumber40 decimal placesNumber of service units for paymentCOPDCurrency142 decimal placesAmount paid by the countyRECEIVEDCurrency142 decimal placesAmount received for reimbursement (if applicable)    e.    File name: WarehouseProvider.xls or WarehouseProvider.csv. Sheet name: Warehouse_Provider_Transfer_Que. (If the provider has more than one office location, enter information for the headquarters office.)Field NameData TypeField SizeFormatDescriptionProvider IDText50Provider identifier (tax ID code)Provider NameText50Provider nameProvider Address1Text50Provider address line 1Provider Address2Text50Provider address line 2 (if applicable)CityText50Provider cityStateText2Provider state codeZipText10Provider ZIP codeCOCODENumber30 decimal placesProvider county codePhoneNumberText50Provider phone numberDate of Last UpdateDate10mm/dd/yyyyProvider last updated date    f.    File name: WarehouseProviderServices.xls or WarehouseProviderServices.csv. Sheet name: Warehouse_Provider_Services_Tra.Field NameData TypeField SizeFormatDescriptionProvider IDText50Provider identifier (tax ID code)Provider NameText50Provider nameFUND CODEText10Fund code for paymentDGNumber20 decimal places    Disability group code for payment:40 = Mental illness41 = Chronic mental illness42 = Mental retardation43 = Other developmental disability44 = Other categoriesCOACODENumber50 decimal placesChart of accounts code for serviceRATECurrency142 decimal placesPayment rate    g.    File name: WarehouseService.xls or WarehouseService.csv. Sheet name: Warehouse_Service_Transfer_Quer.Field NameData TypeField SizeFormatDescriptionCPCNumber30 decimal placesCentral point of coordination number: county number preceded by a 1RESCONumber30 decimal places    Residence county of client:1-99 = County number100 = State of Iowa900 = Undetermined or in disputeLEGCONumber30 decimal places    Legal county of client:1-99 = County number100 = State of Iowa200 = Iowa nonresident900 = Undetermined or in disputeLname3Text3The first 3 characters of the last nameLast4SSNText4The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”BDATEDate10mm/dd/yyyyDate of client’s birthSEXText1    Sex of client:M = MaleF = FemaleFUND CODEText10Fund code for serviceDGNumber20 decimal places    Disability group code for payment:40 = Mental illness41 = Chronic mental illness42 = Mental retardation43 = Other developmental disability44 = Other categoryCOACODENumber50 decimal placesChart of accounts code for serviceBegin DateDate10mm/dd/yyyyBeginning date of service periodEnd DateDate10mm/dd/yyyyEnding date of service periodEnding ReasonNumber10 decimal places    Reason for terminating approval of service:0 = NA1 = Voluntary withdrawal2 = Client no longer needs service3 = Ineligible, over income guidelines4 = Ineligible due to other than income5 = Client moved out of state6 = Client deceased7 = ReauthorizationUnitsNumber40 decimal placesAverage number of service units approved monthlyRateCurrency142 decimal placesDollar amount per service unitReview DateDate10mm/dd/yyyyDate for next service review       This rule is intended to implement Iowa Code sections 331.438 and 331.439chapter 331, subchapter III, parts 1 and 2.

        ITEM 31.    Amend subrule 25.54(4) as follows:    25.54(4)   The advocate shall file with the court Iowa Ct. R. 12.36—Form 30, quarterly reportsin a form prescribed by the court as the advocate feels necessary or as required for each individual assigned to the advocate. The report shall state the actions taken with the individual and amount of time spent on behalf of the individual.    [Filed 10/10/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6623CHuman Services Department[441]Adopted and Filed

    Rule making related to facility participation

        The Human Services Department hereby amends Chapter 54, “Facility Participation,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 249.2.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 249.Purpose and Summary    Chapter 54 was reviewed as part of the Department’s five-year rules review. As part of this review, the word “enterprise” was removed from the name of Iowa Medicaid. Form names are also removed from the rules. These amendments align residential care facilities (RCFs) rules with existing policy. RCFs no longer use cost reporting but instead have a set per diem that changes annually, and these amendments reflect those changes.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 24, 2022, as ARC 6472C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 441—54.1(249) as follows:

    441—54.1(249) Application and contract agreement.  Each facility desiring to participate in the state supplementary assistance program must enter into a contract with the department of human services and agree to the provisions as enumerated in Form 470-0443, Application and Contract Agreement for Residential Care Facilities. The effective date of the contract shall be the first of the month that the Application and Contract Agreement for Residential Care Facilities,form is signed by the administrator of the facility,and is received by the department. No payment shall be made for care provided before the effective date of the contract. The contract shall be in effect until the department ceases to participate in the program, until either party gives 60 days’ notice of termination in writing to the other party, or until there is a change in ownership. The facility shall notify the department within 30 days of a change in ownership, a change in the number of beds or a change in administrator.       This rule is intended to implement Iowa Code section 249.12.

        ITEM 2.    Amend rule 441—54.2(249) as follows:

    441—54.2(249) Maintenance of case records.  A facility must maintain a case folder for each individual residing in the facility which contains the following:
    1. Contract between the facility and the resident on Form 470-0477, RCF Admission Agreement.
    2. Physician’s statement certifying that the resident does not require nursing services.
    3. Proof of expenditures from resident’s “personal needs” allowance.
           This rule is intended to implement Iowa Code section 249.12.

        ITEM 3.    Amend rule 441—54.3(249), introductory paragraph, as follows:

    441—54.3(249) PaymentPayments for residential care facilities.  Payments for privately operated residential care facilities will be made at the maximum per diem rate in 441—subrule 52.1(3). Non-privately operated facilities wishing to participate in the program shall submit a Financial and Statistical Report, Form 470-0030, to the department. The reports shall be based on the following rules.

        ITEM 4.    Amend subrule 54.3(1) as follows:    54.3(1) Failure to maintain records.  Failure to adequately maintain fiscal records, including census records, medical charts, ledgers, journals, tax returns, canceled checks, source documents, invoices, and audit reports by or for a facility may result in the penalties specified in subrule 54.8(1)rule 441—79.3(249A).

        ITEM 5.    Rescind subrules 54.3(2) to 54.3(11).

        ITEM 6.    Renumber subrule 54.3(12) as 54.3(2).

        ITEM 7.    Amend renumbered subrule 54.3(2) as follows:    54.3(2) Termination or change of ownerownership.  a.    A participating facility contemplating termination of participation or negotiating a change of ownership shall provide the department of human services with at least 60 days prior notice. A transfer of ownership or operation terminates the participation agreement. A new owner or operator shall establish that the facility meets the conditions for participation and enter into a new agreement. The person responsible for transfer of ownership or for termination is responsible for submission of a final financial and statistical report through the date of the transfer. No payment to the new owner shall be made until formal notification is received. The following situations are defined as transfer of ownership:    (1)   In the case of a partnership which is a party to an agreement to participate in the residential care program, the removal, addition, or substitution of an individual for a partner in the association, in the absence of an express statement to the contrary, dissolves the old partnership and creates a new partnership which is not a party to the previously executed agreement and a transfer of ownership has occurred.    (2)   When a participating nursing home is a sole proprietorship, a transfer of title and property to another party constitutes a change of ownership.    (3)   When the facility is a corporation, neither a transfer of corporate stock nor a merger of one or more corporations with the participating corporation surviving is a transfer of ownership. A consolidation of two or more corporations resulting in the creation of a new corporate entity constitutes a change of ownership.    (4)   When a participating facility is leased, in whole or in part, a transfer of ownership is considered to have taken place.    b.    Upon change of ownership, the new owner or operator shall furnish the department with an appraisal made by a department-approved appraiser. The appraisal shall be based on market values.    c.    The new owner or operator shall either continue the previous owner’s depreciation schedule or set up a new depreciation schedule using the amount obtained by deducting the depreciation expense incurred since July 1, 1980, from the value of depreciable real property. The value will be the sale price or appraisal value, whichever is less.

        ITEM 8.    Rescind subrules 54.3(13) to 54.3(15).

        ITEM 9.    Amend rule 441—54.3(249), implementation sentence, as follows:       This rule is intended to implement Iowa Code section 249.12and 1992 Iowa Acts, chapter 1241, section 33, subsection 3.

        ITEM 10.    Amend rule 441—54.5(249), introductory paragraph, as follows:

    441—54.5(249) Personal needs account.  When a facility manages the personal needs funds of a resident, it shall establish and maintain a system of accounting for expenditures from the resident’s personal needs funds. The personal needs funds shall be deposited in a single checking account, not commingled with trust funds from any other facility, nor commingled with facility operating funds except for facility funds, not to exceed $500, deposited to cover bank charges and have in the account name the terms “Resident Trust Funds.” The funds shall be deposited in a bank or other institution within the state of Iowa insured by the federal government. Expense for bank service charges for this account is an allowable audit cost under rule 441—54.3(249)a cost of doing business if the service cannot be obtained free of charge. The department shall charge back to the facility any maintenance item included in the computation of the audit cost that is charged to the resident’s personal needsallowance when such charge constitutes double payment. Unverifiable expenditures charged to personal needs accounts may be charged back to the facility. The accounting system is subject to audit by representatives of the Iowa department of human services, and shall meet the following criteria:

        ITEM 11.    Amend rule 441—54.6(249) as follows:

    441—54.6(249) Case activity report.  A Case Activity Report, Form 470-0042, shall be submitted to the department whenever a Medicaid applicant or recipient enters the facility, changes level of care, or is discharged from the facility.       This rule is intended to implement Iowa Code section 249.12.

        ITEM 12.    Amend rule 441—54.7(249), introductory paragraph, as follows:

    441—54.7(249) Billing procedures.  In order to determine the amount of payment to the recipient, the facility shall submit a billing form to the Iowa Medicaid enterprise following the month in which service was provided.

        ITEM 13.    Rescind subrules 54.7(1) and 54.7(2).

        ITEM 14.    Rescind and reserve rule 441—54.8(249).    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6624CHuman Services Department[441]Adopted and Filed

    Rule making related to eligibility for the home- and community-based services habilitation program

        The Human Services Department hereby amends Chapter 78, “Amount, Duration and Scope of Medical and Remedial Services,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 249A.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4.Purpose and Summary    This rule making amends the needs-based and risk-based eligibility criteria for the Home- and Community-Based Services (HCBS) Habilitation program to reflect the changes to the state plan amendment that the Centers for Medicare and Medicaid Services require as a condition of approval because of the maintenance of effort requirements established by the American Rescue Plan Act of 2021, Section 9817. The enhanced Federal Medicaid Assistance Percentage for HCBS services requires states to not impose stricter eligibility standards, methodologies, or procedures for HCBS programs and services than were in place on April 1, 2021.    Federal rules require that individuals who were found eligible for the state plan HCBS benefit before modification of the needs-based criteria under this state plan adjustment must remain eligible for the HCBS benefit until such time as:    1) The individual no longer meets the needs-based criteria used for the initial determination of eligibility; or    2) The individual is no longer eligible for or enrolled in Medicaid, or the individual is no longer enrolled in the HCBS benefit.    This means that if a member met the initial needs-based eligibility criteria using the interRAI screening tool and would have continued to meet the eligibility criteria were it not for the change in assessment and criteria, the member must remain eligible for habilitation services until the member no longer meets the needs-based eligibility criteria that had been determined using the interRAI tool prior to the change in the assessment tool and needs-based eligibility criteria.    Iowa Medicaid is permitted to modify the needs-based criteria pursuant to 42 CFR 441.715 and will follow all applicable requirements outlined in these rules.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 24, 2022, as ARC 6474C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making action is adopted:

        ITEM .    Amend subrule 78.27(2) as follows:    78.27(2) Member eligibility.  To be eligible to receive home- and community-based habilitation services, a member shall meet the following criteria:    a.    Age.The member is at least 16 years of age or older.    b.    a.    LOCUS/CALOCUS actual disposition.The member has a LOCUS/CALOCUS actual disposition of level one recovery maintenance and health management or higher on the most current LOCUS/CALOCUS assessment completed within the past 30 days.    c.    b.    Risk factors.The member has at least one of the following risk factors:    (1)   The member has undergone or is currently undergoing psychiatric treatment more intensive than outpatient care (e.g., crisis response services, subacute mental health services, emergency services, alternative home care, partial hospitalization, or inpatient hospitalization) more than once in the member’s lifeThe individual has a history of inpatient, partial hospitalization, or emergency psychiatric treatment more than once in the individual’s life; or    (2)   The member is currently receiving habilitation or integrated health home servicesThe individual has a history of continuous professional psychiatric supportive care other than hospitalization; or    (3)   The member has a history of severe and persistent mental illness resulting in at least one episode of continuous, professional supportive care other than hospitalization (e.g., counseling, therapy, assertive community treatment, or medication management)The individual has a history of involvement with the criminal justice system; or    (4)   The member has a history of severe and persistent mental illness resulting in involvement in the criminal justice system (e.g., prior incarceration, parole, probation, criminal charges, jail diversion program or mental health court)Services available in the individual’s community have not been able to meet the individual’s needs; or    (5)   Traditional mental health services available in the member’s community have not been able to meet the member’s needs.The individual has a history of unemployment or employment in a sheltered setting or poor work history; or    (6)   The individual has a history of homelessness or is at risk of homelessness.    d.    c.    Need for assistance.The memberindividual has a need for assistance or is likely to need assistance related to functional impairment arising out of a mental health diagnosis typically demonstrated by meeting at least two of the following criteria on a continuing or intermittent basis for at least 12 months:    (1)   The member is unemployed, is employed in a sheltered setting, or has markedly limited skills and a poor work history, and the member is currently receiving employment services or the member has a need for employment services to obtain or maintain employmentThe individual needs assistance to obtain or maintain employment.    (2)   The memberindividual requires financial assistance to reside independently in the community or may be homeless or at risk of homelessness if unable to procure this assistance without help.    (3)   The member shows significant inabilityindividual needs significant assistance to establish or maintain a personal social support system.    (4)   The member requires help in basic living skills such as self-care, money management, housekeeping, cooking, and medication managementThe individual needs assistance with at least one of the activities of daily living (ADLs) or instrumental activities of daily living (IADLs) to reside independently in the community.    (5)   The member exhibits social behavior that puts the member’s safety or others’ safety at risk, which results in the need for service intervention which may include crisis management or protective oversightThe individual needs assistance with management and intervention of maladaptive or antisocial behaviors to ensure the safety of the individual or others.    e.    d.    Income.The countable income used in determining the member’s Medicaid eligibility does not exceed 150 percent of the federal poverty level.    f.    e.    Needs assessment.The LOCUS or CALOCUS tool has been completed in the LOCUS online system, and using the algorithm developed by Deerfield Solutions to derive the actual disposition score based on the comprehensive assessment and social history (CASH) completed by the integrated health home (IHH) or community-based case manager (CBCM) during a face-to-face interview with the member and the member’s representative as applicable, and based on information submitted on the information submission tool and other supporting documentation as relevant, the IME medical services unit has determined that the member is in need of home- and community-based habilitation services. The LOCUS/CALOCUS information submission tools are available on request from the IME medical services unit. Copies of the information submission tool for an individual are available to that individual from the individual’s case manager, integrated health home care coordinator, or managed care organization. The designated case manager or integrated health home care coordinator shall:    (1)   Arrange for the completion of the LOCUS or CALOCUS, before services begin and annually thereafter, and more frequently if significant observable changes occur in the member’s situation, condition or circumstances.    (2)   Use the information submission tool and other supporting documentation as relevant to develop a comprehensive service plan as specified in subrule 78.27(4) and 441—paragraph 90.4(1)“b” before services begin and annually thereafter, and when there is a significant observable change in the member’s situation, condition, or circumstances.    g.    f.    Plan for service.The department or the member’s managed care organization has approved the member’s comprehensive service plan for home- and community-based habilitation services. Home- and community-based habilitation services included in a comprehensive service plan or treatment plan that has been validated by the IME or the member’s managed care organization shall be considered approved by the department. Home- and community-based habilitation services provided before approval of a member’s eligibility for the program cannot be reimbursed.    (1)   The member’s comprehensive service plan shall be completed annually according to the requirements of subrule 78.27(4) and 441—paragraph 90.4(1)“b.” A service plan may change when requested by the member or the member’s interdisciplinary team when there is a significant observable change in the member’s situation, condition, or circumstances.    (2)   For members receiving home-based habilitation, the service plan shall include the member’s LOCUS/CALOCUS actual disposition, the LOCUS/CALOCUS composite score, and each individual domain score for each of the six LOCUS/CALOCUS domains.    (3)   The member’s habilitation services shall not exceed the maximum number of units established for each service in 441—subrule 79.1(2).    (4)   The cost of the habilitation services shall not exceed unit expense maximums established in 441—subrule 79.1(2).    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6625CHuman Services Department[441]Adopted and Filed

    Rule making related to cost report reviews

        The Human Services Department hereby amends Chapter 79, “Other Policies Relating to Providers of Medical and Remedial Care,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 249A.4.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 249A.4.Purpose and Summary    These amendments were drafted in collaboration with a stakeholder workgroup in response to proposed legislation regarding utilization of generally accepted accounting principles (GAAP) in completion of cost report reviews. These amendments are based on provider feedback and Department analysis of the impact to providers. Changes were made that are a benefit to providers and members and do not require legislation to move forward.    These amendments to the Home- and Community-Based Services (HCBS) Waiver cost reporting requirements are as follows:

  • Clarify the programs that submit cost reports.
  • Correct Financial and Statistical Report form numbers.
  • Remove the 20 percent limitation from all HCBS salary, benefit and payroll tax expenses.
  • Retain, with no changes, the current limitation on all other HCBS expenses.
  • Change the mileage reimbursement for business use of personal employee vehicles to be reimbursed according to the federal Internal Revenue Service’s (IRS’s) published mileage rate.
  • Change the cost reporting period to align with the provider’s fiscal year.
  • Set the maximum allowed compensation for the executive director, corporate executive officer, or equivalent position, who is an owner or immediate relative, equal to the intermediate care facility for persons with an intellectual disability maximum compensation for facilities with 60 beds or more pursuant to subparagraph 82.5(11)“e”(4). Currently this is limited by the 20 percent limitation on wages, benefits and taxes.
  • Provide definitions for the terms reasonable and necessary, related party, ownership, and control.
  • Add rebasing language for recalculation of rates every three years for HCBS brain injury (BI) waiver supported community living services; HCBS children’s mental health waiver family and community support services; and interim medical monitoring and treatment services when provided by an HCBS-certified supported community living services agency to be consistent with intellectual disability (ID) waiver rebasing.
  • Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 24, 2022, as ARC 6475C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact    This rule making could potentially increase the amount of reportable costs for the following services:
  • ID Waiver Supported Community Living (15-minute unit).
  • BI Waiver Supported Community Living (15-minute unit).
  • BI Waiver Supported Community Living (daily unit).
  • Community Mental Health (CMH) Waiver Family and Community Support Services.
  • Interim Medical Monitoring and Treatment for the BI, Health and Disability (HD), and ID waivers.
  •     An increase in reportable costs could increase Medicaid provider rates. The prospective rates for established providers are capped at the upper rate limits in subrule 79.1(2). Across these services, there are currently 134 of 238 providers paid below the upper rate limit. It is unclear by how much provider rates will increase because of these amendments. A high-end estimate assumes rates for all 134 providers will increase to the upper limit as a result of these amendments. A low-end estimate assumes no providers experience an increase to current rates. The fiscal estimate is based on the midpoint of these two scenarios. Assumptions used to calculate the fiscal impact are based on the number of providers not currently paid at maximum rates relative to state fiscal year 2020 fee-for-service utilization. A midpoint estimate was used. It is estimated that the impact would be approximately $300,000 total; the state-only fiscal impact would be $100,000. This fiscal analysis is only based on fee-for-service utilization. The managed care organizations (MCOs) and the providers must negotiate the providers’ reimbursement rates.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend subparagraph 79.1(1)"e" as follows:    (3)   The prospective rates paid to both new and established providers are subject to the maximums listed in subrule 79.1(2) and to retrospective adjustment based on the provider’s actual, current costs of operation as shown by financial and statistical reports submitted by the provider, so as not to exceed reasonable and proper costs actually incurred by more than 4.5 percent.pursuant to paragraph 79.1(15)“f.”

        ITEM 2.    Amend subrule 79.1(15), introductory paragraph, as follows:    79.1(15) HCBS retrospectively limited prospective rates.  This methodology applies to reimbursement for HCBS brain injury waiver supported community living; HCBS intellectual disability waiver supported community living for 15-minute services; HCBSchildren’s mental health waiver family and community support services; and HCBS interim medical monitoring and treatment when provided by an HCBS-certified supported community agencyunder an HCBS intellectual disability waiver, brain injury waiver, or health and disability waiver.

        ITEM 3.    Rescind paragraph 79.1(15)"a" and adopt the following new paragraph in lieu thereof:    a.    Reporting requirements.    (1)   Providers shall submit the complete Form 470-5477. The provider shall email the report and required supplemental information to costaudit@dhs.state.ia.us. The provider shall mail one signed copy of the certification page to the Iowa Medicaid Provider Cost Audit and Rate Setting Unit, P.O. Box 36450, Des Moines, Iowa 50315, no later than the due date of the required electronic submissions.    (2)   Regardless of the period for the provider’s fiscal year, the provider shall submit a financial and statistical report for the period of July 1, 2021, through June 30, 2022. For provider fiscal periods beginning on or after July 1, 2022, the provider shall submit a financial and statistical report coinciding with the provider’s fiscal year.    (3)   The provider shall submit the financial and statistical report on or before the last day of the third month following the end of the cost reporting period.    (4)   A certified home health agency enrolled to deliver HCBS that is required to submit a Medicare cost report may request a 60-day extension for submitting the financial and statistical cost report. All other providers may request a 30-day extension for submitting the financial and statistical report. All requests must be submitted in writing to the Iowa Medicaid provider cost audit and rate setting unit by the financial and statistical report due date. No other extensions will be granted.    (5)   If a provider terminates its participation in any HCBS program or service, the provider shall submit a final financial and statistical report on or before the sixtieth day following the date of termination for retrospective adjustment in accordance with subparagraph 79.1(15)“f”(1).    (6)   Providers failing to submit a financial and statistical report that meets the requirements of this paragraph within the time frames set forth in subparagraph 79.1(1)“a”(3) or 79.1(1)“a”(4), as applicable, shall reduce payment to 76 percent of the current rate. The reduced rate shall be paid for not longer than three months, after which time no further payments will be made.    (7)   Providers shall submit a completed financial and statistical report in an electronic format that can be opened using the extension xls or xlsx. The provider shall submit supplemental documentation in a generally accepted business format.    (8)   Along with its financial and statistical report, the provider shall include a working trial balance that corresponds to the data contained on the financial and statistical report. Financial and statistical reports submitted without a working trial balance will be considered incomplete.    (9)   The provider’s financial data within the financial and statistical report shall be based on the provider’s financial records. When the records are not based on the accrual basis of accounting, the provider shall make adjustments necessary to convert the information to an accrual basis for reporting.    (10)   Providers of multiple programs or services shall submit a cost allocation schedule. The schedule must identify an allocation method for each expense account, including the statistics used in the calculation.    (11)   Providers shall not report costs to any waiver service that are costs of any other program or public or private funding sources, including but not limited to the Medicaid state plan; Medicare; other state, local or federal funded programs; and private funding sources. Providers shall not report costs of HCBS waiver services as a cost of any other public or private funding source.    (12)   Iowa Medicaid or its designee may review or audit financial and statistical reports as filed to determine the actual cost of services in accordance with generally accepted accounting principles or Medicare cost principles published in Centers for Medicare and Medicaid Services Publication §15-1, subject to the exceptions and limitations in the department’s administrative rules and financial and statistical report instructions.    (13)   Failure to maintain records to support the financial and statistical report and make them available to the department or its designee upon request may result in adjustment, payment reduction, or sanction including but not limited to termination of the provider’s HCBS certification.    (14)   When adjustments made to prior reports indicate noncompliance with reporting instructions or the provider has a history of inadequate documentation to support the financial and statistical report, the department may require that an external accountant experienced with cost report preparation prepare the financial and statistical report or that a certified public accountant complete a review or examination of the financial and statistical report or cost allocation methodology.

        ITEM 4.    Rescind paragraph 79.1(15)"b" and adopt the following new paragraph in lieu thereof:    b.    Home- and community-based general rate criteria.    (1)   To receive reimbursement for services, a certified provider shall enter into an agreement with the department on Form 470-2918 and have an approved service plan for the member.    (2)   The rates a provider may charge are subject to limits established in subrule 79.1(2).    (3)   Twenty percent identified cost limitation.    1.   The following identified costs are not subject to the 20 percent limitation; however, the following costs are used to calculate the limitation:
  • Wages, benefits, and payroll taxes.
  • Direct care transportation expense—with and without member present.
  • Direct care development, training, and supplies.
  • Member-specific assistance.
  • Member-specific equipment repair or purchase.
  •     2.   For each waiver service, the sum of reported costs not identified in numbered paragraph 79.1(15)“b”(3)“1” is limited to 20 percent of the identified costs in numbered paragraph 79.1(15)“b”(3)“1.”
        (4)   Mileage reimbursement for business use of personal employee vehicles shall be limited to the federal Internal Revenue Service’s (IRS’s) published mileage rate in effect during the cost reporting period.    (5)   Compensation for services of owners or immediate relatives is an allowable cost, provided the services are actually performed in a necessary function and do not exceed the maximum allowed compensation as described in numbered paragraphs 79.1(15)“b”(5)“5” and “6.”    1.   “Ownership” is defined as an interest of 5 percent or more. For this purpose, the following persons are considered immediate relatives: husband, wife, natural or adoptive parent, natural or adoptive child, natural or adoptive sibling, step-parent, step-child, step-sibling, parent-in-law, child-in-law, sibling-in-law, grandparent, or grandchild. Adequate time records shall be maintained.    2.   “Compensation” means the total benefit received by the owner or immediate relative for services rendered. Compensation includes all remuneration, paid currently or accrued, for managerial, administrative, professional and other services rendered during the period. Compensation shall include all items that should be reflected on IRS Form W-2, Wage and Tax Statement, including but not limited to salaries, wages, and fringe benefits; the cost of assets and services received; and deferred compensation. Fringe benefits shall include but are not limited to costs of leave, employee insurance, pensions and unemployment plans. If the facility’s fiscal year end does not correlate to the period of the W-2, a reconciliation between the latest issued W-2 and current compensation shall be required to be disclosed to Iowa Medicaid or its designee. Employer portions of payroll taxes associated with amounts of compensation that exceed the maximum allowed compensation shall be considered unallowable for reimbursement. Providers shall report all compensation paid to related parties, including payroll taxes, on the financial and statistical report.    3.   “Reasonableness” requires that the compensation allowance be such an amount as would ordinarily be paid for comparable services by comparable providers, and depends upon the facts and circumstances of each case.    4.   “Necessary” requires that the function be such that had the owner or immediate relative not rendered the services, the facility would have had to employ another person to perform the service, and be pertinent to the operation and sound conduct of the institution.    5.   The maximum allowed compensation for the executive director, corporate executive officer, or equivalent position, who is an owner or immediate relative, is equal to the intermediate care facility for persons with an intellectual disability maximum compensation for facilities with 60 beds or more pursuant to 441—subparagraph 82.5(11)“e”(4).    6.   The maximum allowed compensation for any other owner or immediate relative is 60 percent of the amount allowed in numbered paragraph 79.1(15)“b”(5)“5.”    7.   The provider shall maintain records in the same manner for an owner or immediate relative compensated by the agency as are maintained for any employee of the agency, including but not limited to employment records, timekeeping, and payroll records.    8.   The maximum allowed compensation for owners and immediate relatives shall be adjusted by the percentage of the average workweek devoted to business activity during the fiscal year of the financial and statistical report. The time devoted to the business shall be disclosed on the financial and statistical report. If an owner’s or immediate relative’s time is allocated to the facility from another entity (e.g., home office), the compensation limit shall be adjusted by the percentage of total costs of the entity allocated to the facility. In no case shall the amount of salary for one owner or immediate relative allocated to multiple facilities be more than the maximum allowed compensation for that employee had the salary been allocated to only one agency.    9.   Costs applicable to services, facilities, and supplies furnished to the provider by a person or organization related to the provider by common ownership or control are a reimbursable cost when included at the cost to the related party or organization. The cost shall not exceed the price of comparable services, facilities, or supplies that could be purchased elsewhere.
  • “Related” means that the agency, to a significant extent, is associated with or has control of or is controlled by the organization furnishing the services, facilities, or supplies.
  • Common ownership exists when an individual or individuals possess significant ownership or equity in the facility and the institution or organization serving the provider.
  • Control exists where an individual or an organization has power, directly or indirectly, to significantly influence or direct the actions or policies of an organization or institution.
  • A provider may lease a facility from a related person or organization. In such case, the rent paid to the lessor by the provider is not allowable as a cost. The provider, however, would include in its cost the costs of ownership of the facility. This includes depreciation, interest on the mortgage, real estate taxes, and other expenses attributable to the leased facility.
  • An exception is provided to the general rule applicable to related organizations. The exception applies if the provider demonstrates by convincing evidence that the criteria in numbered paragraph 79.1(15)“b”(5)“10” have been met.
  •     10.   The agency must demonstrate the following with convincing evidence. Where all of the conditions below are met, the charges by the supplier to the provider for such services, facilities, or supplies are allowable as costs.
  • The supplying organization is a bona fide separate organization;
  • A substantial part of its business activity of the type carried on with the facility is transacted with others and there is an open competitive market for the type of services, facilities, or supplies furnished by the organization;
  • The services, facilities, or supplies are those which commonly are obtained by similar institutions from other organizations and are not a basic element of patient care ordinarily furnished directly to patients by the institutions; and
  • The charge to the agency is in line with the charge for services, facilities, or supplies in the open market and no more than the charge made under comparable circumstances to others by the organization for the services, facilities, or supplies.
  •     ITEM 5.    Rescind paragraph 79.1(15)"c" and adopt the following new paragraph in lieu thereof:    c.    Prospective rates for new providers.    (1)   “New providers” means providers who have not submitted an annual report including at least six months of actual, historical costs of operations for any service as listed in subrule 79.1(15).    (2)   New providers shall be paid prospective rates based on projected reasonable and proper costs of operation for a 12-month period.    (3)   Projected costs of any new service, as listed in subrule 79.1(15), shall be submitted on Form 470-5477.    (4)   Prospective rates shall be subject to retrospective adjustment as provided in paragraph 79.1(15)“f.”    (5)   After a provider has submitted an annual report including at least six months of actual, historical costs, prospective rates shall be determined as provided in paragraph 79.1(15)“d.”

        ITEM 6.    Rescind paragraph 79.1(15)"d" and adopt the following new paragraph in lieu thereof:    d.    Prospective rates for established providers.    (1)   “Established providers” means providers who have submitted an annual report including six months of actual, historical costs of operation.    (2)   The prospective rate will be adjusted annually, effective the first day of the third month after the month during which the annual financial and statistical report is submitted to the department.    (3)   The provider’s prospective rate shall be the lower of:    1.   The provider’s reasonable and proper actual cost-based rate as calculated by the provider’s most recent financial and statistical report and adjusted by the consumer price index for all urban consumers for the preceding 12-month period ending as of the provider’s fiscal year end,    2.   In the first year of reporting six months of actual, historical costs of operation, or a year in which the provider’s base rate is recalculated, the base rate is equal to the amount calculated in numbered paragraph 79.1(15)“d”(3)“1,”    3.   In a year in which the provider’s base rate is not recalculated, the prior period base rate adjusted by the consumer price index for all urban consumers for the preceding 12-month period ending as of the provider’s fiscal year end, or    4.   The upper rate limit pursuant to subrule 79.1(2).    (4)   Recalculation of base rates (rebasing).    1.   For providers of HCBS brain injury waiver supported community living services; HCBS children’s mental health waiver family and community support services; and interim medical monitoring and treatment services when provided by an HCBS-certified supported community living services agency, the base rates will be recalculated based on the reasonable and proper actual costs of operation as calculated by the fiscal year 2022 financial and statistical report.    2.   For providers of HCBS brain injury waiver supported community living services; HCBS children’s mental health waiver family and community support services; interim medical monitoring and treatment services when provided by an HCBS-certified supported community living services agency; and 15-minute HCBS intellectual disability waiver supported community living services, the base rates will be recalculated based on the reasonable and proper costs of operation for the provider’s fiscal year ending on or after January 1, 2024.    3.   Subsequent to the recalculation of base rates in numbered paragraph 79.1(15)“d”(4)“2,” a provider’s base rate shall be recalculated no less than every three years.    (5)   Prospective rates shall be subject to retrospective adjustment as provided in paragraph 79.1(15)“f.”

        ITEM 7.    Amend paragraph 79.1(15)"f" as follows:    f.    Retrospective adjustments.    (1)   RetrospectiveFor fee for service, retrospective adjustments shall be made based on reconciliation of provider’s reasonable and proper actual service costs with the revenues received for those services as reported on Form 470-3449, Supplemental Schedule, accompanying Form SS-1703-0, Financial and Statistical Report for Purchase of Service15-minute HCBS intellectual disability waiver supported community living services; HCBS brain injury waiver supported community living services; HCBS children’s mental health waiver family and community support services; and interim medical monitoring and treatment services when provided by an HCBS-certified supported community living services agency under an HCBS intellectual disability waiver, brain injury waiver, and health and disability waiver, as reported on Form 470-5477, subject to the upper rate limit allowed in subrule 79.1(2).    (2)   For services provided from July 1, 2015, through June 30, 2016, revenues exceeding adjusted actual costs by more than 4.5 percent shall be remitted to the department. Payment will be due upon notice of the new rates and retrospective rate adjustment.    (3)   For services provided from July 1, 2015, through June 30, 2016, providers who do not reimburse revenues exceeding 104.5 percent of actual costs 30 days after notice is given by the department will have the revenues over 104.5 percent of the actual costs deducted from future payments.    (4)   (2)   For services provided on or after July 1, 2016, revenues exceeding adjusted actual costs by more than 5.5 percentfor fee for service shall be remitted to the department. Payment will be due upon notice of the new rates and retrospective rate adjustment.    (5)   For services provided on or after July 1, 2016, providers who do not reimburse revenues exceeding 105.5 percent of actual costs 30 days after notice is given by the department will have the revenues over 105.5 percent of the actual costs deducted from future payments.    (3)   If a provider does not remit the amount of the overpayment identified in subparagraph 79.1(15)“f”(2) within 30 days after notice, the department will deduct the amount owed from future payments.

        ITEM 8.    Rescind paragraph 79.1(15)"g".    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.ARC 6634CHuman Services Department[441]Adopted and Filed

    Rule making related to PROMISE JOBS program

        The Human Services Department hereby amends Chapter 93, “PROMISE JOBS Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 239B.4 and 239B.17.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 239B.4 and 239B.17.Purpose and Summary    Chapter 93 is amended as part of the Department’s five-year rules review. This rule making clarifies language, accurately reflects the job readiness and job search activities, and updates case retention rules in the PROMISE JOBS program. These changes are technical in nature and will not have an impact on caseloads or program costs.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6458C. No public comments were received. Changes from the Notice have been made to update two references in Item 1 and Item 11 to list the correct state agency since the Department of Human Rights is responsible for the Family Development and Self-Sufficiency (FaDSS) program.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 441—93.1(239B), definitions of “FaDSS” and “Limited benefit plan,” as follows:        "FaDSS" means the family development and self-sufficiency program operated under 441—Chapter 165421—Chapter 24, which providesin-home family development services to families at risk ofinstability or long-term welfareFIP dependency.        "Limited benefit plan" "LBP" means a period of time in which a participant or member of a participant’s family is either ineligible for any assistance under the family investment program or eligible for reduced assistance only in accordance with Iowa Code section 239B.9.

        ITEM 2.    Amend subrule 93.2(2) as follows:    93.2(2) Contracts with provider agencies.  The department of human services may contract with the department of workforce development, the department of economic development, or other appropriate entity to provide PROMISE JOBS services and case management of those services.    a.    Reimbursement for services.The provider agency shall receive financial reimbursement as specified in contracts negotiated with each agency. Contracts shall also specify in detail the expenses that are not eligible for reimbursement.    b.    Record keeping.All PROMISE JOBS agencies shall maintain PROMISE JOBS participant case files and records for at least threefive yearsafter FIP cancellation, in either paper or electronic format. Records shall be maintained for longer than threefive years if any litigation, audit, or claim is started and not resolved during that period. In these instances, the records must be retained for threefive years after the litigation, audit, or claim is resolved. Case files must be disposed of in accordance with applicable federal requirements pertaining to confidentiality.    c.    Confidentiality.The departments of education, workforce development, economic development, and human rights, local education agencies, and all subcontractor provider agencies shall safeguard participant information in conformance with Iowa Code section 217.30. The department of human services and the PROMISE JOBS provider agencies may disclose participant information to other state agencies or to any other entity when that agency or entity must have that information in order to provide services to PROMISE JOBS participants that have been determined to be necessary for successful participation in PROMISE JOBS, if approved by the director of the department of human services or the director’s designee, pursuant to a written request.

        ITEM 3.    Amend subrule 93.3(3) as follows:    93.3(3) Initial appointment.      a.    FIP applicants.FIP applicants, including those who are in a limited benefit plan, shall be offered an appointment with the PROMISE JOBS provider agency fororientation, assessment, and FIA development at the earliest available time. The provider agency shall make sufficient appointment times available to allow the applicant to be scheduled no later than ten calendar days after the date of the notice that FIA responsibility has begun, as required by rule 441—93.4(239B) and 441—paragraphs 41.24(1)“c,”41.24(1)“d,” and 41.24(10)“g.”    b.    Exempt status change.Persons who become FIA-responsible while receiving FIP shall initiate PROMISE JOBS orientation and FIA development by contacting the appropriate PROMISE JOBS office to schedule an appointment within ten calendar days of the mailing date of the letter explaining that exempt status has been lost and FIA responsibility has begun, as required by 441—subrule 41.24(5). If the person fails to schedule an appointment or fails to appear for an appointment, PROMISE JOBS shall send one written reminderletter that informs the person that those who do not develop a family investment agreement shall enter into a limited benefit plan. If the person fails to schedule an appointment within ten calendar days of thewritten reminder letter or fails to appear for an appointment scheduled after thewritten reminderletter is sent, the person shall enter into a limited benefit plan as described at 441—paragraph 41.24(8)“c.”

        ITEM 4.    Amend subrule 93.3(4) as follows:    93.3(4) Orientation.  Every person referred to PROMISE JOBS shall receive orientation services. PROMISE JOBS workers shall provide FIA orientation if not previously provided by the department of human services.    a.    During orientation, each applicant shall receive a full explanation of:    (1)   The advantages of employment under the family investment program (FIP), including information on earned income tax credits;    (2)   Services available under PROMISE JOBS;    (3)   Participant rights and responsibilities under the FIA and PROMISE JOBS;    (4)   The limited benefit plan as described at 441—subrule 41.24(8);    (5)   The benefits of cooperation with the child support recovery unit;    (6)   Other programs available through the department of human services, specifically the transitional Medicaid and child care assistance programs; and    (7)   The availability of family planning counseling services in the area and the financial implications of newly born children on the participant’s family.    b.    Each applicant shall signreceive Form 470-3104, Your FIA Rights and Responsibilities, acknowledgingconfirming that information described in paragraph “a” of this subrule93.3(4)“a” has been provided.

        ITEM 5.    Amend subrule 93.3(6) as follows:    93.3(6) Workforce development registration.  Each applicant is required to complete a current workforce development registration form as described at 877—subrule 8.2(3) when requestedregister for work with the department of workforce development, upon request by the PROMISE JOBS worker.

        ITEM 6.    Amend paragraph 93.4(2)"a" as follows:    a.    Parents.All parents who are not exempt from PROMISE JOBS shall be responsible for signing and carrying out the activities of the FIA. Parents of any age are exempt only if they are receiving Supplemental Security Income (SSI) or they do not meet citizenship requirementsare not U.S. citizens and are not qualified aliens as defined in rule 441—40.21(239B). When the FIP eligible group includes a minor parent living with one or both parents or a needy specified relative who receives FIP, as described at 441—subparagraph 41.28(2)“b”(2), and none is exempt from PROMISE JOBS participation, each parent or needy specified relative is responsible for a separate FIA.

        ITEM 7.    Amend subparagraph 93.4(4)"a" as follows:    (2)   The program goal for all participants is to be involved in PROMISE JOBS activities on a full-time basis unlessproblems or barriers prohibit this level of involvement. “Full-time” is considered as an average of at least 30 hours per week. Exceptions to full-time involvement are identified in rule 441—93.14(239B) and subrule 93.4(5).

        ITEM 8.    Amend subparagraphs 93.4(4)"b" and 93.4(4)"b" as follows:    (3)   Job readinessand job search activities, including job clubreadiness skills training and other activities that prepare a participant to search for or obtain employment, individualand structured job search, workplace essentials trainingunplanned job opportunities, mental health treatment, substance abuse treatment, or other rehabilitative activities, as described in rule 441—93.6(239B).    (4)   Work activities, including part-time or full-time employment, self-employment, on-the-job training, work experienceplacement, or unpaid community service as described in rule 441—93.7(239B).

        ITEM 9.    Renumber subparagraph 93.4(4)"b" as 93.4(4)"b".

        ITEM 10.    Adopt the following new subparagraph 93.4(4)"b":    (9)   Family violence option as described in subparagraph 93.4(5)“b”(4).

        ITEM 11.    Amend subparagraph 93.4(4)"c" as follows:    (4)   Unmarried parents aged 17 and youngerParents under the age of 18 who are not married and who do not live with a parent or legal guardian shall include FaDSS, as described at 441—Chapter 165421—Chapter 24, or other family development services, as described in subrule 93.9(2), in the FIA. The FaDSS or other family development services shall continue after the parent reaches the age of 18 only when the participant and the family development worker believe that the services are needed for the family to reach self-sufficiency.

        ITEM 12.    Amend subparagraph 93.4(5)"a" as follows:    (4)   Sexual orVictim of domestic abuse historyviolence or sexual abuse.

        ITEM 13.    Adopt the following new subparagraphs 93.4(5)"b" and 93.4(5)"b":    (4)   Victims of domestic violence may include in their FIA the family violence option, which is a safety plan to address or attempt to prevent domestic violence. The family violence option may allow for a temporary waiver from participation in PROMISE JOBS activities when appropriate for the participant or participant’s situation.    (5)   The PROMISE JOBS worker shall review the need for inclusion of a barrier to participation in the FIA at least once every six months to determine if the barrier continues to exist.

        ITEM 14.    Amend paragraph 93.4(8)"b" as follows:    b.    Participants who choose not to cooperate in the renegotiation process when requested by PROMISE JOBS shall be considered to have chosen the limited benefit plan.Procedures at subrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 15.    Amend subrules 93.5(8) and 93.5(9) as follows:    93 93.5 5(8) Supportive payments allowed.  Except for assessment activities that occur on the same day as orientation, persons participating in assessment activities are eligible forchild care assistance and transportation payments for transportation and child care needed to allow the scheduled participation as described at rule 441—93.11(239B). When make-up sessions are required, the participant shall not receive an additional transportation payment, but necessary child careassistance shall be paid.    93 93.5 5(9) Failure to complete assessment.  Participants who do not complete assessments that are written into their FIA shall be considered to have chosen the limited benefit plan unless they have good cause. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.

        ITEM 16.    Amend rule 441—93.6(239B) as follows:

    441—93.6(239B) Job readiness and job search activities.  Job readiness and job search activities include job club,readiness skills training and other activities that prepare a participant to search for or obtain employment, individual and structured job search, workplace essentials trainingunplanned job opportunities, substance abuse treatment, mental health treatment, and other rehabilitation activities. The participant and the PROMISE JOBS worker shall incorporate into the FIA the job readiness and job search activities that are appropriate for the goals, work history, skill level, and life circumstances of the participant.     93.6(1) Job clubreadiness.  Job clubreadiness prepares participants to search for workor obtain employment. Job clubreadiness consists ofjob readiness skills training in job-seeking skills and structured job searchother activities completed outside of a training session that prepare a participant to search for or obtain employment.    a.    Delivery of servicesjob readiness skills training.Job clubreadiness skills training is provided over a consecutive three-week period. Each week consistsin scheduled sessions consisting ofup to 30 hours of structured activityper week.    (1)   Generally, the first week of job club consists of job-seeking skills training and the next two weeks consist of structured group job search.    (2)   Based on local office need and resources, the 30 hours of job-seeking skills training may be completed over the first two weeks when the hours not spent in job-seeking skills training are spent in structured job search. The total time spent in each of the two weeks must meet the 30-hour requirement. The third week of job club is 30 hours of structured group job search.    b.    Job-seekingJob readiness skills training.Job-seekingJob readiness skills training may include but is not limited to:    (1)   Résumé developmentInterests and skills assessment;    (2)   Writing application and follow-up lettersSelf-esteem building and motivational exercises;    (3)   Completing job applications and interest and skills assessmentsIdentifying and eliminating employment barriers;    (4)   Job retention skillsRésumé development;    (5)   Motivational exercisesCompleting job applications and follow-up letters;    (6)   Identifying and eliminating employment barriersObtaining interviews and telephone skills;    (7)   Self-marketingInterviewing skills development;    (8)   Finding job leadsGoal attainment planning;    (9)   Obtaining interviewsSoft skills and life skills;    (10)   Use of telephones for job seekingJob market trends and finding job leads;    (11)   Interviewing skillsSelf-marketing and positive attitude building; and    (12)   Financial educationJob retention skills.    c.    Structured job searchOther job readiness activities.A written plan shall be developed with each participant using Form 470-4481, Job Search Plan Agreement, indicating the number of job search hours required depending on family circumstances and other component activities listed on the participant’s FIA. Structured job search includes daily reporting to the job search site to access resources for job leads.Job readiness may include activities that prepare the participant to search for or obtain employment and are completed outside of a training session. This includes activities such as but not limited to working individually with Iowa workforce development (IWD), bureau of refugee services (BRS), or FaDSS staff to develop a résumé, improve interview skills, or identify any of the other skills listed in paragraph 93.6(1)“b.”    d.    Attendance.    (1)   Daily attendanceAttendance is required during both the job-seekingwhen a participant is scheduled for job readiness skills training and structured job searchor other job readiness activities unless the participant has good cause as described at rule 441—93.14(239B) or a barrier as described at subrule 93.4(5). Participants who miss any portion of the job-seekingjob readiness skills training or structured job search may be required to either make up the missed portion of the sessions or to retake the entire week of training based on practical worker judgment and participant need.    (1)   (2)   Participants who obtain employment are required to continue the job-seekingjob readiness skills training unless the scheduled job clubtraining hours conflict with the scheduled hours of employment.    (2)   Participants who obtain employment averaging 30 hours or more per week may discontinue the structured job search portion of job club.     (3)   Participants who obtain employment averaging 20 hours per week or more but less than 30 hours per week may discontinue the structured job search portion of job club if part-time employment was the FIA goal or the scheduled job club hours conflict with the scheduled hours of employment. The participant may be required to participate in other FIA activities during the hours that do not conflict with work hours.    (4)   Participants who obtain employment averaging less than 20 hours per week shall continue the structured job search portion of job club unless the scheduled job club hours conflict with the scheduled hours of employment. The participant may be required to participate in other FIA activities during the hours that do not conflict with work hours.    e.    Supportive payments allowed.Child careassistance and transportation payments shall be provided as described at rule 441—93.11(239B) when needed to participate in job clubreadiness skills training or other job readiness activities. The transportation payment shall be paid in full atbefore the startfirst scheduled day of participation.    (1)   Participants who must repeat the job-seekingor make up any portion of job readiness skills training or structured job search because of absence due to reasons as described at rule 441—93.14(239B) shall receive an additional transportation payment as described at subrule 93.11(3) for each day that must be repeated and a child care payment for needed child careassistance. This rule applies only when the participant will have transportation costs that exceed the participant’s original payment because of repeatingor making up a portion of job clubreadiness skills training.    (2)   Participants who must repeat job-seekingor make up any portion of job readiness skills training or structured job search as a result of absences due to reasons other than those described at rule 441—93.14(239B) shall not receive an additional transportation payment.     f.    Documenting job clubreadiness skills training or other job readiness participation.Participants shall provide documentation of job search activitiesHours of participation in job readiness skills training or other job readiness activities shall be documented as described at subrule 93.10(2).    g.    Failure to participate in job clubreadiness skills training activities.Participants who without good cause do not appear for scheduled job clubreadiness skills training activities or who fail to complete or document and submit job search contacts according to their written planas stated in the FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.    93.6(2) Individual job search.  Individual job search shall be available to all participants, particularly those who have recent ties with the workforce, have successfully removed or reduced barriers to work, or have completed job club orreadiness skills training, or have completed education or training activities and are now ready to work.Participants are not required to participate in individual job search full-time. Individual job search may be combined with other FIA activities to reach full-time equivalency. Hours of participation in individual job search shall be determined according to the participant’s individual circumstances and be at a level that will reasonably allow the participant to successfully find full-time employment. If after three calendar months the participant still has not found employment, the worker shall review the participant’s situation for possible barriers to employment or possible need for training to increase the participant’s employability. Job search may continue if appropriate, but linking with other activities should be considered.    a.    Job search plan.In consultation with the PROMISE JOBS worker, the participant shall design and provide a written plan of the individual job search activities on Form 470-4481, Job Search Plan Agreement. The plan shall:    (1)   Contain a designated period for job search not to exceed five weeks ending on a Friday within the same calendar month and the specific methods for finding job openings.    (2)   Specify the number of hours to be committed for each week of the designated period so as to provide the most effective use of transportation funds.    (3)   Specify due dates for providing documentation of job search activities.    (4)   Contain information as specific as possible about areas of employment interest, employers to be contacted, and other pertinent factors.    (5)   Be signed by the participant and the PROMISE JOBS advisor.    b.    Supportive payments allowed.Child careassistance and transportation payments shall be provided as described at rule 441—93.11(239B) when needed for participation in individual job search. The transportation payment shall be paid in full atprior to the start of each designated period of the individual job search. Transportation payments for any missed days of job search activity shall be subject to transportation overpayment policies as described at subrule 93.11(3).    c.    Documenting job search participation.The participant shall document the actual hours spent on job contacts and other job search activities. Participant documentation shall be provided as described at subrule 93.10(2).    d.    Failure to participate in individual job search.Participants who without good cause do not completeparticipate in the steps of the written plan of the individual job searchplan described at paragraph 93.6(2)“a” shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.    93.6(3) Unplanned job opportunity.  PROMISE JOBS participants who have an unplanned opportunity to interview or apply for a job shall be encouraged to take advantage of the opportunity.    a.    Supportive payments allowed.Child careassistance and transportation payments needed to make an unplanned job contact shall be provided as described at rule 441—93.11(239B) when the following conditions are met:    (1)   The participant has a signed FIA,    (2)   The job contact is an in-person contact to complete an application or to attend an interview, and    (3)   The participant provides documentation as described in paragraph “b” of this subrule.93.6(3)“b.” Payment shall be issued after documentation is received.    b.    Documenting participation.The participant shall provide documentation of the actual time spent making the specific job contact. Documentation shall be provided as described at subrule 93.10(2).    c.    Limited benefit plan.A limited benefit plan does not apply when a participant fails to complete a job contact that is not part of a structured or individual job search plan.    93.6(4) Workplace essentialsStructured job search.  The workplace essentials component consists of soft skills and life-skills training.Structured job search is designed with scheduled activities and required hours of participation to reflect proven job search techniques and the employment environment of the PROMISE JOBS service area. A PROMISE JOBS advisor is available to monitor the participant’s progress in the participant’s job search and to provide assistance and support. Structured job search provides up to 30 hours of scheduled activity. Hours of participation in structured job search shall be determined according to the participant’s individual circumstance and may be full-time or at a level that will reasonably allow the participant to successfully find full-time employment.    a.    Delivery of servicesAttendance.Workplace essentials training is one 30-hour week in duration. Based on local office need and resources, the 30 hours may be completed over a two-week period. For the remainder of the 30 participation hours required in each week, participants must engage in other PROMISE JOBS activities.Participants are scheduled to appear daily at the PROMISE JOBS site to access resources for job leads. Participants who miss any portion of scheduled structured job search may be required to either make up the missed portion of the session or to retake the entire week of training based on practical worker judgment and participant need.    (1)   Participants who obtain employment averaging 30 hours or more per week may discontinue structured job search.    (2)   Participants who obtain employment averaging 20 hours or more per week, but less than 30 hours per week, may discontinue structured job search if part-time employment was the FIA goal or the scheduled job search hours conflict with the scheduled hours of employment. The participant may be required to participate in other FIA activities during the hours that do not conflict with employment hours.    (3)   Participants who obtain employment averaging less than 20 hours per week shall continue structured job search unless the scheduled job search hours conflict with the scheduled hours of employment. The participant may be required to participate in other FIA activities during the hours that do not conflict with employment hours.    b.    Content.Workplace essentials training may include but is not limited to:    (1)   Identifying and setting goals.    (2)   Self-esteem building.    (3)   Emotional awareness.    (4)   Relationship management.    (5)   Conflict-resolution skills.    (6)   Problem-solving skills.    (7)   Decision-making skills.    (8)   Time-management skills.    (9)   Team-building skills.    (10)   Networking skills.    (11)   Listening skills.    (12)   Positive thinking.    (13)   Priority setting.    (14)   Appropriate workplace behaviors.    (15)   Cultural sensitivity.    (16)   Workplace expectations.    (17)   Stress management.    b.    Job search plan.PROMISE JOBS and the participant shall develop a written job search plan using Form 470-4481 at the beginning of the structured job search period. The plan shall:    (1)   Contain a designated period for job search and the specific methods for finding job openings.    (2)   Specify the number of hours to be committed for the designated period so as to provide the most effective use of transportation funds.    (3)   Specify the due date for providing documentation of job search activities.    (4)   Contain information as specific as possible about areas of employment interests, employers to be contacted, and other pertinent factors.    (5)   Be signed by the participant and the PROMISE JOBS advisor.    c.    Supportive payments allowed.Child careassistance and transportation payments shall be provided as described at rule 441—93.11(239B) when needed to participate in workplace essentialsstructured job search.    d.    Documenting participation.The PROMISE JOBS worker shall verify and document each participant’s monthly hours of actual participation in workplace essentialsstructured job search. Participant documentation shall be provided as described at subrule 93.10(2).    e.    Failure to participate in workplace essentialsstructured job search.Participants who without good cause do not complete workplace essentialsstructured job search as identified in their FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.    93.6(5) Substance abuse treatment, mental health treatment, and other rehabilitative activities.  Substance abuse or mental health treatment or other rehabilitative activities are available when needed for a participant to be successful in participating in other FIA activities.    a.    Treatment determination.The need for treatment or rehabilitative activities must be determined by a qualified medical professional, substance abuse professional, or mental health professional. The qualified professional must document that treatment or rehabilitative activities are needed for the participant to obtain or retain employment.    b.    Supportive payments allowed.Transportation and childChild careassistance and transportation paymentsshall be provided as described at rule 441—93.11(239B) are available for participatingwhen needed to participate in substance abuse treatment, mental health treatment, or other rehabilitative activities when specified in the FIA.    c.    Documenting participation.The service provider shall verify actual hours of participation in treatment. Documentation of participation shall be provided as described at subrule 93.10(2).    d.    Failure to participate in treatment or other rehabilitative activities.Participants who without good cause do not participate in substance abuse treatment, mental health treatment, or other rehabilitative activities as specified in their FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 17.    Amend subrule 93.7(1) as follows:    93.7(1) Full-time or part-time employment.  FIAs may include full-time employment or part-time employment. Employment that does not lead to economic self-sufficiency may be included in the FIA only if the employment situation leads to better employment opportunities through building work skills and work history. See subrule 93.7(2) for additional policies applicable to self-employment.    a.    Full-time employment.The goal for all participants is to participate in full-time employment. “Full-time employment” is defined as being employed an average of 30 or more hours per week.    (1)   Persons who have not achieved self-sufficiency through full-time employment before the end date of the FIA may have the FIA extended.    (2)   Persons who choose not to enter into the renegotiation process to extend the FIA shall be considered to have chosen the limited benefit plan.Procedures at subrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.    b.    Part-time employment.Part-time employment is defined as being employed an average of less than 30 hours per week. An FIA that includes part-time employment shall also include participation in other PROMISE JOBS activities, including additional part-time employment, unless barriers to participation exist as defined in rule 441—93.14(239B) and subrule 93.4(5).    c.    Supportive payments allowed.Transportation expenses are not paid through PROMISE JOBS but are covered by FIP earned income deductions. Child care paymentsassistance shall be provided when needed as described at rule 441—93.11(239B)when needed for employment.    d.    Verification of employment hours.Participants must provide verification of employment hours as described at subrule 93.10(2).    e.    Failure to provide verification.Failure to provide verification of work hours after receiving a written reminderletter will result in a limited benefit plan.    f.    Failure to maintain employment.A participant who without good cause does not maintain employment as identified in the FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.

        ITEM 18.    Amend paragraph 93.7(2)"d" as follows:    d.    Requiring other FIA activities.When a participant has been self-employed for more than 12 months and has not shown progress toward self-sufficiency, the FIA shall include the part-time self-employment in combination with participation in other PROMISE JOBS activities, unless barriers to participation exist as describeddefined in subrule 93.4(5)and rule 441—93.14(239B).    (1)   The other activities could include additional part-time employment.    (2)   When the determination that a participant has not shown progress toward self-sufficiency is made after the initial FIA is developed, the FIA shall be renegotiated to include the other PROMISE JOBS activities. Participants who choose not to enter into the FIA renegotiation process shall enter into a limited benefit plan as described in 441—subrule 41.24(8).Procedures at subrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 19.    Amend paragraph 93.7(2)"e" as follows:    e.    Supportive payments allowed.Transportation expenses are not paid through PROMISE JOBS but are covered by FIP earned income deductions. Child care paymentsassistance shall be provided when needed as described at subrule 93.11(2)when needed for participation in self-employment.

        ITEM 20.    Amend paragraph 93.7(2)"g" as follows:    g.    Failure to maintain employment.Participants who without good cause do not maintain employment as identified in their FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 21.    Amend paragraph 93.7(3)"b" as follows:    b.    Supportive payments.Transportation for on-the-job training is treated in the same manner as transportation for employment. Expenses are not paid through PROMISE JOBS but are covered by FIP earned income deductions. Child care paymentsassistance shall be provided when needed as described at subrule 93.11(2)when needed for participation in on-the-job training.

        ITEM 22.    Amend paragraph 93.7(3)"d" as follows:    d.    Failure to participate in on-the-job training.Participants who without good cause do not participate in on-the-job training as identified in their FIA shall be considered to have chosen the limited benefit plan. Procedures atsubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 23.    Amend paragraph 93.7(4)"d" as follows:    d.    Hours of participation.When a participant is involved in work experience that is subject to the Fair Labor Standards Act (FLSA), the participant cannot be required to work more hours than the amount of the monthly FIP grant divided by federal or state minimum wage, whichever is higher. Exception: To determine the maximum hours that can be required of a single-parent family on FIP with a child under the age of six, add the value of the family’s food assistanceSupplemental Nutrition Assistance Program (SNAP) benefits to the FIP grant amount before dividing by the minimum wage.    (1)   A participant cannot be required to work more hours than those calculated under paragraph “d” of this subrule.93.7(4)“d.” Only hours up to or less than that calculation can be included in the participant’s FIA.    (2)   If two or more members of the same household participate in work experience, the total required hours of participation of the household cannot exceed the hours calculated according to paragraph “d” of this subrule.93.7(4)“d.”    (3)   Each work experience assignment shall not exceed six months in duration.

        ITEM 24.    Amend subparagraph 93.7(4)"f" as follows:    (1)   Child care and transportation. Participants assigned to work experience shall receive a childChild care payment, if required, and a transportation payment for each month or part thereof as described at subrules 93.11(2) and 93.11(3). The portion of the transportation payment for job-seeking activities shall be determined by including the day of the job search obligation in the normally scheduled days used in the formulas described at subrule 93.11(3)assistance and transportation payments shall be provided as described at rule 441—93.11(239B) when needed for participation in work experience.

        ITEM 25.    Amend paragraph 93.7(4)"i" as follows:    i.    Failure to participate in work experience.A participant who without good cause does not participate in work experience as identified in the FIA shall be considered to have chosen the limited benefit plan. Procedures at rulesubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.

        ITEM 26.    Amend subparagraph 93.7(5)"c" as follows:    (1)   For a participant who is a single parent with a child under the age of six, the maximum hours that can be required are determined by adding the value of the participant’s food assistanceSNAP to the FIP grant amount before dividing by the minimum wage.

        ITEM 27.    Amend paragraph 93.7(5)"e" as follows:    e.    Supportive payments.A childChild care paymentassistance and a transportation payment for each month of participation or part thereof shall be paid as described at rule 441—93.11(239B) if these services are requiredwhen needed for participationin unpaid community service.

        ITEM 28.    Amend paragraph 93.7(5)"g" as follows:    g.    Failure to complete unpaid community service.Participants who without good cause do not participate in unpaid community service as specified in their FIA shall be considered to have chosen the limited benefit plan. Procedures at rulesubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 29.    Amend subrule 93.8(1), introductory paragraph, as follows:    93.8(1) Participant requirements.  The decision to include education in an FIA shall take into account the results of the educational evaluation pursuant to paragraph “b” of this subrule93.8(1)“b” and the current educational level of the participant. Prior academic or vocational training is not, in itself, a reason for denial or approval of educational services. All family members who are approved for education shall be eligible for all program benefits, even when two or more family members are simultaneously participating and even if participation is at the same educational facility and in the same program. For education to be approved for inclusion in an FIA, the following requirements shall be met.

        ITEM 30.    Amend paragraph 93.8(1)"b", introductory paragraph, as follows:    b.    EvaluationEducational evaluation.An educational evaluation shall be completed according to subrule 93.5(3) before postsecondary education is included as an FIA activity.A participant under the age of 19 does not need to complete an educational evaluation in order to have high school completion included in the FIA. For every other training activity, an educational evaluation shall be completed according to this paragraph before the activity is included as part of a participant’s FIA.

        ITEM 31.    Amend paragraph 93.8(2)"b" as follows:    b.    Time and attendance.Theprovider must verify the participant’s actual hours attendingof attendance in an educational activity must be verifiedwith Form 470-2617 pursuant to subrule 93.10(2). If the educational activity is structured in such a way that verification cannot be obtained or the educational provider is unwilling to provide time and attendance verification, the educational activity cannot be included in the participant’s FIA.Exceptions apply for distance learning as described at paragraph 93.10(2)“f” and for participants under age 20 as described at subparagraph 93.10(2)“b”(3).

        ITEM 32.    Amend paragraph 93.8(3)"f" as follows:    f.    On-lineOnline or distance learning. Distance learning includes training such as, but not limited to, that conducted over the Iowa communications network, on-lineonline courses,virtual courses, or Web conferencing. The training:    (1)   Must include interaction between the instructor and the student, such as required chats or message boards;    (2)   Must include mechanisms for evaluation and measurement of student achievement; and    (3)   Must be offered in Iowa unless the conditions in paragraph “g” of this subrule93.8(3)“g” apply. An on-lineonline training program shall be considered an out-of-state training program when any of the required training or testing occurs out-of-state.

        ITEM 33.    Amend subrule 93.8(4), introductory paragraph, as follows:    93.8(4) Nonapprovabletraining activities.  Nonapprovable training activities shall not be included in the FIA. When an activity in which the participant is enrolled becomes nonapprovable, PROMISE JOBS shall cancel the current training plan and require the participant to renegotiate the FIA to include other activities. Form 470-0602, Notice of Decision: Services, shall be issued to inform the participant that the request for education is canceled. Nonapprovable activities include the following:

        ITEM 34.    Amend paragraph 93.8(5)"a", introductory paragraph, as follows:    a.    Academic enrollment hours. Participants are encouraged to maintain as full an academic workload as is possible in order to complete their education in a timely manner. However, a person may choose to participate in education along with other activities such as employment, job-seekingjob readiness skillstraining,other job readiness activities, or other FIA activities.

        ITEM 35.    Amend paragraph 93.8(6)"a" as follows:    a.    Eligibility.    (1)   Eligibility for PROMISE JOBS supportive payments for education and training begins with the date when the participant begins training under an approved plan or is removed from a waiting list as described at paragraph 93.4(4)“d,” whichever is later.    (2)   Participant eligibility for payment ofchild care assistance and transportation and child care payments begins as described in subparagraph 93.8(6)“a”(1) and shall be terminated when a training plan is canceled.    (3)   Each participant in postsecondary vocational training is limited to 24 fiscal months of PROMISE JOBS payment of expenses needed for participation. The 24 fiscal months do not have to be consecutive. See paragraph “b” of this subrule93.8(6)“b” for additional limits on child care expenses.    (4)   When more than one facility offers a particular program, payment is limited to the amount required to attend the nearest educational facility except when attending a facility that is farther away will allow the family to reach self-sufficiency earlier.

        ITEM 36.    Amend paragraph 93.8(6)"b" as follows:    b.    Child care.Participants assigned to educational activities shall receive a childChild care payment, if required, for each month or part thereofassistance shall be provided as described at subrule 93.11(2)and 441—Chapter 170 when needed for participation in education and training activities except as described in subparagraphs 93.8(6)“b”(1) and 93.8(6)“b”(2). Exception: Each PROMISE JOBS participant is limited to 24 fiscal months of child care assistance.    (1)   All childChild care assistance payments issued under the PROMISE JOBS program count toward this limitneeded for participation in postsecondary education activities are limited to 24 fiscal months.    (2)   All child care assistance payments issued for child care provided on or after March 1, 2009,for participation in postsecondary education activities count toward this limit, including payments issued while the person was not a PROMISE JOBS participant, pursuant to 441—subparagraph 170.2(2)“b”(1).

        ITEM 37.    Amend paragraph 93.8(6)"c", introductory paragraph, as follows:    c.    Transportation.Participants assigned to educational activities shall receive a transportation payment for each month or part thereofTransportation payments shall be provided as described at subrule 93.11(3)when needed for participation in educational activities unless transportation payments are available from another source.Transportation needed for participation in education activities is subject to the limits described in paragraph 93.8(6)“a.”

        ITEM 38.    Amend paragraph 93.8(9)"a" as follows:    a.    Failure to participate.The participant fails to maintain education activities or follow training plan requirements as specified in the participant's FIA, and the participant does not have good cause. Procedures at rulesubrule 93.4(5) and rules 441—93.13(239B) and441—93.14(239B) shall apply.

        ITEM 39.    Amend paragraph 93.9(1)"a" as follows:    a.    Parents aged 20 or older. For parents who are aged 20 or older when the FIA is signed, activities that strengthen the participant’s ability to be a better parent can be considered approvable training under PROMISE JOBS and may be included in the FIA as long as the participant is active in at least one other PROMISE JOBS component. Parents aged 20 or older who do not carry out the parenting skills training described in the FIA shall be considered to have chosen the limited benefit plan, unlessgood cause exists or family circumstances warrant renegotiation and amendment of the FIA.Procedures at subrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 40.    Amend subparagraph 93.9(1)"c", introductory paragraph, as follows:    (3)   Area education agencies; child abuse prevention programs; child and adult food program sponsors; child care resource and referral agencies; family resource centers; maternal and child health centers; family development and self-sufficiency program grantees and other family development providers; Head Start, Head Start parent and child centers, and Early Head Start programs; Iowa State University Extension services such as, but not limit to, the “Best Beginnings” program; private nonprofit social service agencies; and young parent support and information organizations. Services shall be limited to:

        ITEM 41.    Amend paragraph 93.9(1)"e", introductory paragraph, as follows:    e.    Supportive payments. For participants described in paragraphs 93.9(1)“a” and 93.9(1)“b,” a child care paymentassistance and a transportation payment for each month of participation, or part thereof,payments shall be provided as described at subrule 93.11(3), shall be paid if these services arewhen needed for participation in parenting skills training and not available from another entity and are required for participationsource.

        ITEM 42.    Amend paragraph 93.9(1)"g" as follows:    g.    Failure to complete parenting skills training. Parents aged 19 or younger who do not include parenting skills training in the FIA or do not carry out the parenting skills training described in the FIA shall be considered to have chosen the limited benefit plan. Procedures at rulesubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 43.    Amend paragraph 93.9(2)"b" as follows:    b.    Inclusion of family development services by participants as a family investment agreement activity is voluntary except for unmarried parents aged 17 and youngerunder the age of 18 who are not married and who do not live with a parent or legal guardian as described at subparagraph 93.4(4)“c”(4).

        ITEM 44.    Amend paragraph 93.9(3)"a", introductory paragraph, as follows:    a.    The department of human services worker or the PROMISE JOBS worker shall:

        ITEM 45.    Amend paragraph 93.10(1)"a" as follows:    a.    Notice of meetings, assignments, and issues.PROMISE JOBS shall notify participants in writing of all scheduled meetings, of FIA activity and work-site assignments, and of any participation issues as described at rule 441—93.13(239B). PROMISE JOBS shall also notify the participant in writing when the participant is required to provide medical documentation, verification of hours of participation, employment verification, or any other verification.    (1)   PROMISE JOBS shall allow a participant fiveten working days from the date notice is mailed to appear for scheduled meetings unless the participant agrees to an appointment that is scheduled to take place in less than fiveten working days.    (2)   PROMISE JOBS shall allow a participant fiveten working days from the date notice is mailed to appear for an FIA activity or work-site assignment or to provide medical documentation, employment verification, or any other verification, except as otherwise specified insubrule 93.10(2).    (3)   PROMISE JOBS shall allow additional time upon request from the participant when the participant is making every effort but is unable to fulfill requirements within the established time frame.

        ITEM 46.    Amend subrule 93.10(2) as follows:    93.10(2) Verification of participation and progress.  Hours of participation and a participant’s progress in FIA activities must be documented and verified. When the participant is responsible for providing the verification, PROMISE JOBS shall notify the participant in writing as required in subrule 93.10(1).    a.    FIA activities directly monitored by PROMISE JOBS.When the FIA activities are provided or directly monitored by PROMISE JOBS staff, such as job clubreadiness skills training or workplace essentialsstructured job search, the staff willshall document the participant's hours of attendance and progress in the case file.    b.    FIA activities not directly monitored by PROMISE JOBS.When FIA activities are provided by a service provider other than PROMISE JOBS, the provider shall verify the participant’s hours of attendance with Form 470-2617, PROMISE JOBS Time and Attendance Report, unless another method is required by this rule.    (1)   The provider is expected to specify the participant’s hours of attendance and to sign and date the Time and Attendance Reportform.    (2)   The participant is responsible for providing the signed and datedTime and Attendance form to PROMISE JOBS within ten calendar days following the end of each month, unless the provider provides the form to PROMISE JOBS within this time frame.    (3)   Exception: If the participant is under age 20 and in high school or high school equivalency classes, the participant may verify the hours by completing and submitting the PROMISE JOBSForm 470-2617, Time and Attendance,Report monthly. The training provider does not need to sign the form.    c.    Documentation of job search.The participant shall complete and provide documentation of any job search activities that cannot be verified by the PROMISE JOBS worker. The participant shall provide Form 470-3099, Job Search Record, within ten calendar days following the end of each month during which the participant has made a job search. The PROMISE JOBS worker shall consider the Job Search RecordActivity Log complete if the form includes:    (1)   Sufficient information to identify the employer that was contacted or the activity that was completed,    (2)   The date that the contact was made or the date the activity was completed,    (3)   The amount of time spent, and    (4)   The participant’s signature.    d.    Employment verification.Participants shall verify actual hours of employment at the time that employment begins, upon FIP approval if employed at the time of application, when changes in hours occur, and no less than once every six months thereafter. Participants may use employer statements or copies of pay stubs, Employer Statement of Earnings Form 470-2844, or may sign Form 470-0429, Consent to Obtain and Release Information, so that the employer may provide information directly to the PROMISE JOBS worker. Participants shall provide verification of actual hours of employment within fiveten working days of the written request from PROMISE JOBS.    e.    Documentation of self-employment.At the time of the participant’s FIA review, a self-employed participant shall provide documentation of actual hours worked and gross income and business expenses from the last 30 days. Data from more than 30 days may be requested if the last month is not indicative of normal business. The participant shall provide documentation within fiveten working days of the written request from PROMISE JOBS.    f.    Distance learning.When a participant is involved in a distance-learning program, PROMISE JOBS will accept the documentation issued by the distance-learning institution verifying that the student participated in the sessions.    (1)   Documentation may include the attendance records or log-in and log-out records available on line or in an electronic format. Documentation may also be obtained through an agreement with a support agency that monitors the student’s actual participation.    (2)   The participant is responsible for providing the documentation within ten calendar days following the end of each month unless the institution provides the documentation to PROMISE JOBS within this time frame.    g.    Failure to provide required documentation or verification.Participants who fail to provide documentation or verification as described in this subrule after written notification from PROMISE JOBS as described in subrule 93.10(1) shall be considered to have chosen the limited benefit plan. Procedures at rulesubrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.

        ITEM 47.    Amend subrule 93.10(3) as follows:    93.10(3) Verification of problems or barriers.  Participants may be required to provide written verification or supporting documentation of reported problems or barriers to participation, such as but not limited to lack of transportation, family emergency, or existence of a mental or physical disability or limitation or substance abuse.    a.    Medical documentation.A participant shall secure and provide written documentation signed by a qualified medical or mental health professional to verify a claimed illness or disability within fiveten working days of a written request by PROMISE JOBS. This time limit may be extended due to individual circumstances, such as the need to obtain an updated evaluation. Acceptable verification includes Form 470-0447, Report on Incapacity, or other statement signed by a qualified medical or mental health professional to verify the existence of an illness, disability, or limitation.     b.    Other documentation.A participant shall secure and provide written documentation to verify a claimed problem or barrier to participation within fiveten working days of a written request by PROMISE JOBS. Acceptable documentation may include a signed statement from a third party with knowledge of the problem or barrier.    c.    Failure to verify problem or barrier or to provide medical documentation.Failure to provide verification of a problem or barrier or to provide medical documentation as described at subrule 93.10(3) does not directly result in the imposition of a limited benefit plan. Examples of actions that do not directly result in a limited benefit plan include, but are not limited to, failure to provide Form 470-0447, Report on Incapacity, or other statement from a medical or mental health professional to verify the existence of an illness or disability, or a statement from a third party with knowledge about the problem or barrier.    (1)   Participants who claim an inability to participate on a full-time basis due to a claimed problem or barrier and who fail to provide verification or medical documentation upon written request may be required to renegotiate the FIA to include full-time participation in FIA activities. Failure to renegotiate the FIA may result in a limited benefit plan.Procedures at subrule 93.4(5) and rules 441—93.13(239B) and 441—93.14(239B) shall apply.    (2)   Participants who claim a problem or barrier caused their failure to participate for the full number of hours identified in their FIA and who fail to provide verification of the problem or barrier or medical documentation upon written request may not be excused for the failure to participate. If the failure is not excused, the failure will result in imposition of a limited benefit plan if the failure meets the criteria described at subrule 93.13(2).

        ITEM 48.    Amend rule 441—93.11(239B), introductory paragraph, as follows:

    441—93.11(239B) Supportive payments.  In order to facilitate successful participation, PROMISE JOBS may provide payment for the expenses listed in this rule. ParticipantsUpon written request from PROMISE JOBS, participants shall submit Form 470-0510, Estimate of Cost,or other acceptable estimate of costs, to initiate payments or change the amount of payment for expenses other than child care.

        ITEM 49.    Amend subparagraph 93.11(2)"a" as follows:    (1)   Care is needed for participation in any PROMISE JOBS activity other than orientationor assessment activities that occur before the FIA is signed,

        ITEM 50.    Amend paragraph 93.11(3)"a" as follows:    a.    Exclusions.    (1)   A transportation payment is not available for orientation or for assessment activities that occur on the same day as orientationbefore the FIA is signed.     (2)   A transportation payment is not available for employment. Participants who are employed shall be entitled to the work expenseearned income deduction described at 441—paragraph 41.27(2)“a” to cover transportation costs associated with employment.

        ITEM 51.    Amend paragraph 93.11(5)"d" as follows:    d.    Workforce InvestmentInnovation and Opportunity Act.PROMISE JOBS funds may also be used to pay expenses for PROMISE JOBS participants enrolled in federal Workforce InvestmentInnovation and Opportunity Act (WIAWIOA) funded services or activities when those expenses are allowable under these rules.

        ITEM 52.    Amend subrule 93.12(3), introductory paragraph, as follows:    93.12(3)   A PROMISE JOBS overpayment shall be recovered through repayment in part or in full. Repayments received by the PROMISE JOBS unit shall be transmitted to the Department of Human Services, Cashier’s Office, Room 14, 1305 E. Walnut Street, Des Moines, Iowa 50319-014450319-0114.

        ITEM 53.    Amend subrule 93.12(5) as follows:    93.12(5)   When a participant or a provider has been referred to the DIA to initiate recovery, the DIA shall use the same methods of recovery as are used for the FIP program, described at DIA administrative rules 481—71.1(10A)481—90.1(10A) to 71.9(10A)481—90.9(10A), except that the FIP grant shall not be reduced to effect recovery without the participant’s written permission.    a.    When the participant requests grant reduction on Form 470-0495, Repayment Contract, the grant will be reduced for repayment as described in 441—subrule 46.25(3), paragraphs “a,”441—paragraphs 46.25(3)“a,”“b,” and “c.”    b.    The DIA is authorized to take any reasonable action to effect recovery of provider overpayments such as, but not limited to, informal agreements, civil action, or criminal prosecution. However, the DIA shall not take any collection action on a provider overpayment that would jeopardize the participant’s continued participation in the PROMISE JOBS program.

        ITEM 54.    Amend subrule 93.13(1), introductory paragraph, as follows:    93.13(1) Notification of participation issue.  When participants appear to be choosing a limited benefit plan by not carrying out the FIA responsibilities, the PROMISE JOBS worker shall send one written reminder or letter as specified in subrule 93.10(1). Thewritten reminder or letter shall:

        ITEM 55.    Amend subrule 93.13(2) as follows:    93.13(2) Participation issues.  Actions that may cause participants to be considered as having chosen the limited benefit plan when the participant does not have a problem or barrier to participation as defined at paragraph 93.4(5)“a” or rule 441—93.14(239B) are:    a.    Tardiness.Participants who are more than 15 minutes late to a scheduled FIA activity for a third time within three months of the first tardiness, after receivingPROMISE JOBS sends one written reminderletter at the time the second tardiness occurred.    b.    Failure to attend scheduled activities.Participants who do not, for a second time after receivingPROMISE JOBS sends one written reminderletter at the first occurrence, appear for scheduled appointments, participate in assessment activities, including taking required vocational or aptitude tests, complete or provide required forms other than those described at subrule 93.10(3) or are absent from activities designated in the FIA.    c.    Absence from work experience.Participants who do not, for a second time after receivingPROMISE JOBS sends one written reminderletter at the first occurrence, notify work experience sponsors or the PROMISE JOBS worker of an absence within one hour of the time at which they are due to appear.    d.    Disruptive behavior.Participants who exhibit disruptive behavior for a second time after receivingPROMISE JOBS sends one written reminderletter at the first occurrence. “Disruptive behavior” means the participant hinders the performance of other participants or staff, refuses to follow instructions, uses abusive language, or is under the influence of alcohol or drugs.    e.    Unsatisfactory performance or participation.Participants whose performance or participation in an FIA activity continues to be unsatisfactory after PROMISE JOBS sends onewritten reminder letter as described in subrule 93.13(1).    f.    Physical threats.Participants who make physical threats to other participants or staff and do not demonstrate that the participant is not at fault by providing written documentation from a doctor, licensed psychologist, probation officer, or law enforcement official after PROMISE JOBS sends onewritten reminder letter as described in subrule 93.13(1).    (1)   “Physical threat” means having a dangerous weapon in one’s possession and either threatening with or using the weapon or committing assault.    (2)   The documentation must verify that the act was caused by either a temporary problem or a serious problem or barrier that needs to be included in the FIA. The documentation must also provide reasonable assurance that the threatening behavior will not occur again.     g.    Accepting work experience assignments.Participants who do not accept work experience assignments when the work experience is part of the FIA and do not demonstrate a problem or barrier that caused the failure after PROMISE JOBS sends onewritten reminder letteras described in subrule 93.13(1).    h.    Work experience interviews.Participants who do not appear for work experience interviews for a second time after receiving aPROMISE JOBS sends one written reminderletter as described in subrule 93.13(1) at the first occurrence.    i.    Employment and other work activity issues.Participants who do not follow up on job referrals, who refuse offers of employment or other work activity, who reduce hours of employment or other work activity, who terminate employment or other work activity, or who are discharged from employment or other work activity due to misconduct.    (1)   For the purposes of these rules, “misconduct” means a deliberate act or omission by the employed participant that constitutes a material breach of the duties and obligations arising out of the employee’s contract of employment. To be considered misconduct, the employee’s conduct must demonstrate deliberate violation or disregard of standards of behavior that the employer has the right to expect of employees. Mere inefficiency, unsatisfactory conduct, failure to perform well due to inability or incapacity, ordinary negligence in isolated instances, or good-faith errors in judgment or discretion shall not be deemed misconduct for the purpose of these rules.    (2)   At the time of the occurrence, PROMISE JOBS shall send a letter to the participant regarding the misconduct. The letter shall give the participant an opportunity to resolve the issue by accepting a previously refused employment offer if available, returning to previously terminated employment, if available, obtaining comparable employment, or demonstrating a problem or barrier that caused the failure.    j.    Failure to secure child care.Participants who do not secure adequate child care when registered or licensed facilities are available after PROMISE JOBS sends one written reminder and when PROMISE JOBS has provided the participant with resources for locating adequate child care.    k.    Inappropriate use of funds.Participants for whom child care, transportation, or educational services become unavailable as a result of failure to use PROMISE JOBS funds or child care assistance funds to pay the provider or failure to provide required receipts and who do not demonstrate a problem or barrier that caused the failure after PROMISE JOBS sends onewritten reminder letter.    l.    Failure to follow training plan.Education participants who do not follow the requirements of a training plan in the FIA as described at rule 441—93.8(239B).    m.    Failure to renegotiate the FIA.When a participant fails to respond to the PROMISE JOBS worker’s request to renegotiate the FIA because the participant has not attained self-sufficiency by the date established in the FIA,after PROMISE JOBS sends one written reminder letter, a limited benefit plan shall be imposed regardless of whether the request to renegotiate is made before or after expiration of the FIA.

        ITEM 56.    Amend paragraph 93.14(2)"m" as follows:    m.    The employment would result in the family of the participant experiencing a net loss of cash income. Net loss of cash income results if the family’s gross income less necessary work-related expenses is less than the cash assistance the person was receiving at the time the offer of employment is made. Gross income includes, but is not limited to, earnings, unearned income, and cash assistance. Gross income does not include food stampSNAP benefits and in-kind income.

        ITEM 57.    Renumber subrule 93.15(5) as 93.15(6).

        ITEM 58.    Adopt the following new subrule 93.15(5):    93.15(5) Recovery of assistance when a new limited benefit plan is established.  Assistance issued pending the final decision of the appeal is not subject to recovery when a new limited benefit plan period is established. A new limited benefit plan period shall be established when the department is affirmed in a timely appeal of the establishment of the limited benefit plan. All of the following conditions shall exist:    a.    The appeal is filed either:    (1)   Before the effective date of the intended action on the notice of decision or notice of action establishing the beginning date of the limited benefit plan, or    (2)   Within ten days from the date on which a notice establishing the beginning date of the limited benefit plan is received. The date on which notice is received is considered to be five days after the date on the notice, unless the intended recipient shows that the recipient did not receive the notice within the five-day period.    b.    Assistance is continued pending the final decision of the appeal.    c.    The department’s action is affirmed.

        ITEM 59.    Amend renumbered paragraph 93.15(6)"a" as follows:    a.    When any involved party is dissatisfied with the department’s final decision, the dissatisfied party shall be informed of the right to appeal the issue to the Secretary of Labor, Office of Administrative Law Judges, U.S. Department of Labor, Vanguard Building, Room 600, 111 20th Street N.W., Washington, DC 20036, within 20 days of receipt of the decision. The department may assist with the appeal upon request.

        ITEM 60.    Amend subrule 93.17(3), introductory paragraph, as follows:    93.17(3)   Any dissatisfied party shall be informed of the right to appeal the decision of the department to the Secretary of Labor, Office of Administrative Law Judges, U.S. Department of Labor, Vanguard Building, Room 600, 111 20th Street N.W., Washington, DC 20036, within 20 days of the receipt of the department’s final decision.    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6626CHuman Services Department[441]Adopted and Filed

    Rule making related to child care centers, child development homes and child care homes

        The Human Services Department hereby amends Chapter 109, “Child Care Centers,” Chapter 110, “Child Development Homes,” and Chapter 120, “Child Care Homes,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 237A.12.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 237A.12.Purpose and Summary    Pursuant to 2022 Iowa Acts, House File 2589, this rule making amends rules to allow persons defined as physicians under Iowa Code section 135C.1 to conduct well-child checks, to expand to include chiropractors, because well-child checks are within their scope of practice.    These amendments also modify other regulatory reductions to licensed child care center regulations in an effort to ease burdens on licensed child care centers. The regulatory reductions are based on a survey that was conducted with licensed child care center directors in response to the Governor’s Child Care Task Force. These amendments include modifications to written policies, changes in allowable points for director and supervisor eligibility, updates in radon requirements, reducing training requirements for those in school-age-only populations, and allowing information sharing regarding completed record checks.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 24, 2022, as ARC 6476C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.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 March 1, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 109.4(2) as follows:    109.4(2) Required written policies.  The child care center owner, board or director shall:    a.    Develop fee policies and financial agreements for the children served.    b.    Develop and implement policies for enrollment and discharge of children, field trips and non-center activities, transportation, discipline, nutrition, and health and safety policiesand, if transporting children, transportation policy.    c.    Develop a curriculum or program structure that uses developmentally appropriate practices and an activity program appropriate to the developmental level and needs of the children.    d.    Develop and implement a written plan for staff orientation to the center’s policies and to the provisions of 441—Chapter 109 where applicable to staff.    e.    Develop and implement a written plan for ongoing training and staff development in compliance with professional growth and development requirements established by the department in rule 441—109.7(237A).    f.    Make available for review a copy of the center policies and program to all staff at the time of employment and each parent at the time a child is admitted to the center. A copy of the fee policies and financial agreements shall be provided to each parent at the time a child is admitted to the center.    g.    DevelopWhen serving children under the age of three, develop and implement a policy for responding to incidents of biting that includes the following elements.    (1)   An explanation of the center’s perspective on biting.     (2)   A description of how the center will respond to individual biting incidents and episodes of ongoing biting.    (3)   A description of how the center will assess the adequacy of caregiver supervision and the context and the environment in which the biting occurred.    (4)   A description of how the center will respond to the individual child or caregiver who was bitten.    (5)   A description of the process for notification of parents of children involved in the incident.    (6)   A description of how the incident will be documented.    (7)   A description of how confidentiality will be protected.    (8)   A description of first-aid procedures that the center will use in response to biting incidents.    h.    Develop a policy to ensure that people do not have unauthorized access to children at the center. The policy shall be subject to review for minimum safety standards by the licensing consultant. The policy shall include but is not limited to the following:    (1)   The center’s criteria for allowing people to be on the property of the facility when children are present.    (2)   A description of how center staff will supervise and monitor people who are permitted on the property of the center when children are present, but who have not been cleared for involvement with child care through the formal record check process as outlined in subrule 109.6(6). The description shall include definitions of “supervision” and “monitoring.”    (3)   A description of how responsibility for supervision and monitoring of people in the center will be delegated to center staff, which includes provisions that address conflicts of interest.    (4)   A description of how the policy will be shared with parents, guardians, and custodians of all children who are enrolled at the center.    i.    Develop and implement a policy for protection of each child’s confidentiality.

        ITEM 2.    Amend paragraph 109.6(1)"e" as follows:    e.    Has achieved a total of 100 points obtained through a combination of education, experience, and child development-related training as outlined in the following chart:EDUCATION    EXPERIENCE(Points multiplied byyears of experience)    CHILD DEVELOPMENT-RELATED TRAININGBachelor’s or higher degree in early childhood, child development, or elementary education75Full-time (20 hours or more per week) in a child care center or preschool setting2025One point per contact hour of trainingAssociate’s degree in child development or bachelor’s degree in a child-related field5060Part-time (less than 20 hours per week) in a child care center or preschool setting10Child development associate (CDA) or one-year diploma in child development from a community college or technical school4045Full-time (20 hours or more per week) child development-related experience10Bachelor’s or higher degree in a non-child-related field40Part-time (less than 20 hours per week) child development-related experience5Associate’s degree in a non-child-related field or completion of at least two years of a four-year degree2025Registered child development home provider10Nonregistered family home provider5    (1)   In obtaining the total of 100 points, a minimum of two categories must be used, no more than 75 points may be achieved in any one category, and at least 20 points shall be obtained from the experience category.    (2)   Points obtained in the child development-related training category shall have been taken within the past five years.    (3)   For directors in centers predominantly serving children with special needs, the directors may substitute a disabilities-related or nursing degree for the bachelor’s degree in early childhood, child development or elementary education in determining point totals. In addition, experience in working with children with special needs in an administrative or direct care capacity shall be equivalent to full-time experience in a child care center or preschool in determining point totals.    (4)   For directors in centers serving predominantly school-age children, the directors may substitute a degree in secondary education, physical education, recreation or related fields for the bachelor’s degree in early childhood, child development or elementary education in determining point totals. In addition, child-related experience working with school-age children shall be equivalent to full-time experience in a child care center or preschool in determining point totals.

        ITEM 3.    Amend subrule 109.6(2) as follows:    109.6(2) On-site supervisor.  The on-site supervisor is required to be present when the program has multiple sites or when a director is not routinely present for six hours daily. The center director must identify a person in charge during the on-site supervisor’s absence.The on-site supervisor is responsible for the daily supervision of the center and must be on site daily either during the hours of operation that children are present or a minimum of eightsix hours of the center’s hours of operation. Information shall be submitted in writing to the child care consultant prior to the start of employment. Final determination shall be made by the department. Information shall be submitted sufficient to determine that the on-site supervisor meets the following minimum qualifications:    a.    Is an adult.    b.    Has obtained a high school diploma or passed a general education development test.    c.    Has certification in infant, child, and adult cardiopulmonary resuscitation (CPR), first aid, and Iowa’s mandatory reporting of child abuse.    d.    Has achieved a total of 75 points obtained through a combination of education, experience, and child development-related training as outlined in the following chart:EDUCATION    EXPERIENCE(Points multiplied byyears of experience)    CHILD DEVELOPMENT-RELATED TRAININGBachelor’s or higher degree in early childhood, child development, or elementary education75Full-time (20 hours or more per week) in a child care center or preschool setting2025One point per contact hour of trainingAssociate’s degree in child development or bachelor’s degree in a child-related field5060Part-time (less than 20 hours per week) in a child care center or preschool setting10Child development associate (CDA) or one-year diploma in child development from a community college or technical school4045Full-time (20 hours or more per week) child development-related experience10Bachelor’s or higher degree in a non-child-related field40Part-time (less than 20 hours per week) child development-related experience5Associate’s degree in a non-child-related field or completion of at least two years of a four-year degree2025Registered child development home provider10Nonregistered family home provider5    (1)   In obtaining the total of 75 points, a minimum of two categories must be used, no more than 50 points may be achieved in any one category, and at least 10 points shall be obtained from the experience category.    (2)   Points obtained in the child development-related training category shall have been taken within the past five years.    (3)   For on-site supervisors in centers predominantly serving children with special needs, the on-site supervisor may substitute a disabilities-related or nursing degree for the bachelor’s degree in early childhood, child development or elementary education in determining point totals. In addition, experience in working with children with special needs in an administrative or direct care capacity shall be equivalent to full-time experience in a child care center or preschool in determining point totals.    (4)   For on-site supervisors in centers serving predominantly school-age children, the on-site supervisor may substitute a degree in secondary education, physical education, recreation or related fields for the bachelor’s degree in early childhood, child development or elementary education in determining point totals. In addition, child-related experience working with school-age children shall be equivalent to full-time experience in a child care center or preschool in determining point totals.

        ITEM 4.    Amend subrule 109.6(3) as follows:    109.6(3) Director and on-site supervisor functions combined.  In a center where the functions of the center director and the on-site supervisor are accomplished by the same person, the educational and experience requirements for a center director shall apply. If the center director is serving in the role of the on-site supervisor, the director shall be on site daily either during the hours of operation or a minimum of at least eightsix hours of the center’s hours of operation. If the staff person designated as the on-site supervisor is temporarily absent from the center, another responsible adult staff shall be designated as the interim on-site supervisor.

        ITEM 5.    Amend subparagraph 109.6(6)"d" as follows:    (6)   A center considering involvement of a person who has had a national criminal history check at another center may request information from that center. That center may provide the followingthat information in writing upon a center’s request, using Form 470-4896, National Criminal History Check Confirmation:. If the person being considered for employment has not had involvement with child care in the past six months, a new national criminal history check must be completed.
    1. Date of most recent national criminal history check conducted by the center on the person in question, and
    2. Whether or not the national check process resulted in clearance of the person for involvement with child care.

        ITEM 6.    Amend paragraph 109.7(1)"e" as follows:    e.    Minimum health and safety trainings, approved by the department, in the following areas:    (1)   Prevention and control of infectious disease, including immunizations.    (2)   Prevention of sudden infant death syndrome and use of safe sleep practices.    (3)   Administration of medication, consistent with standards for parental consent.    (4)   Prevention of and response to emergencies due to food and allergic reactions.    (5)   Building and physical-premises safety, including identification of and protection from hazards that can cause bodily injury, such as electrical hazards, bodies of water, and vehicular traffic.    (6)   Prevention of shaken baby syndrome and abusive head trauma.    (7)   Emergency preparedness and response planning for emergencies resulting from a natural disaster or a human-caused event.    (8)   Handling and storage of hazardous materials and the appropriate disposal of biocontaminants.    (9)   Precautions in transporting children.    (10)   Child development.Minimum health and safety training may be required if content has significant changes which warrant that the training be renewed.Child care staff employed in programs that only serve children over the age of three are exempt from taking health and safety trainings under subparagraphs 109.7(1)“e”(2) and 109.7(1)“e”(6).

        ITEM 7.    Amend paragraph 109.7(3)"e" as follows:    e.    Minimum health and safety trainings, approved by the department, in the following areas:    (1)   Prevention and control of infectious disease, including immunizations.    (2)   Prevention of sudden infant death syndrome and use of safe sleep practices.    (3)   Administration of medication, consistent with standards for parental consent.    (4)   Prevention of and response to emergencies due to food and allergic reactions.    (5)   Building and physical-premises safety, including identification of and protection from hazards that can cause bodily injury, such as electrical hazards, bodies of water, and vehicular traffic.    (6)   Prevention of shaken baby syndrome and abusive head trauma.    (7)   Emergency preparedness and response planning for emergencies resulting from a natural disaster or a human-caused event.    (8)   Handling and storage of hazardous materials and the appropriate disposal of biocontaminants.    (9)   Precautions in transporting children.    (10)   Child development.Child care staff employed in programs that only serve children over the age of three are exempt from taking health and safety trainings under subparagraphs 109.7(3)“e”(2) and 109.7(3)“e”(6).

        ITEM 8.    Amend paragraph 109.10(1)"a" as follows:    a.    Preschool-age children.For each child five years of age and younger not enrolled in kindergarten, the child care center shall require an admission physical examination report, submitted within 30 days from the date of admission, signed by a licensed medical doctor, doctor of osteopathy,chiropractor, physician’s assistant or advanced registered nurse practitioner. The date of the physical examination shall be no more than 12 months prior to the first day of attendance at the center. The written report shall include past health history, status of present health including allergies, medications, and acute or chronic conditions, and recommendations for continued care when necessary. Annually thereafter, a statement of health condition, signed by a licensed medical doctor, doctor of osteopathy,chiropractor, physician’s assistant or advanced registered nurse practitioner, shall be submitted that includes any change in functioning, allergies, medications, or acute or chronic conditions.

        ITEM 9.    Amend paragraph 109.10(15)"a" as follows:    a.    The center shall have written emergency plans and diagrams for responding to fire, tornado, and flood (if area is susceptible to flood), and plans for responding to intruders within the center, intoxicated parents, and lost or abducted children. In addition, the center shall have guidelines for responding or evacuating in case of blizzards, power failures, bomb threats, chemical spills, earthquakes, or other disasters that could create structural damage to the center or pose health hazards. If the center is located within a ten-mile radius of a nuclear power plant or research facility, the center shall also have plans for nuclear evacuations. Emergency plans shall include written procedures including plans for the following:    (1)   Evacuation to safely leave the facility.    (2)   Relocation to a common, safe location after evacuation.    (3)   Shelter-in-place to take immediate shelter when the current location is unsafe to leave due to the emergency issue.    (4)   Lockdown to protect children and providers from an external situation.    (5)   Communication and reunification with parents or other adults responsible for the children which shall include emergency telephone numbers.    (6)   Continuity of operations.    (7)   To address the needs of individual children, including those with functional or access needs.

        ITEM 10.    Amend subrule 109.11(4) as follows:    109.11(4) Bathroom facilities.  At least one functioning toilet and one sink for each 15 childrenages two years and older shall be provided in a room with natural or artificial ventilation. Training seats or chairs may be used for children under two years of age. New construction after November 1, 1995, shall provide for at least one sink in the same area as the toilet and, for centers serving children two weeks to two years of age, shall provide for at least one sink in the central diapering area. At least one sink shall be provided in program rooms for infants and toddlers or in an adjacent area other than the kitchen. New construction after April 1, 1998, shall have at least one sink provided in the program rooms for infants and toddlers.

        ITEM 11.    Amend subrule 109.11(7) as follows:    109.11(7) Environmental hazards.      a.    Within one year of being issued an initial or renewal license, centers operating in facilities built prior to 1978 shall conduct a visual assessment for lead hazards that exist in the form of peeling, cracking or chipping paint or painted surfaces in need of repair. If these lead hazards are found, it shall be assumed that lead-based paint is present on the surfaces, and the surfaces shall be repaired by an Iowa certified lead-safe renovator before a full license will be issued.     b.    Within one year of being issued an initial or renewal license, centers operating in facilities that are at ground level, use a basement area as program space, or have a basement beneath the program area shall have radon testing performed as prescribed by the state department of public health at 641—Chapter 43. Retesting shall be accomplished at least every two years from the date of the initial measurementoutlined in a nationally recognized radon measurement protocol. If testing determines confirmed radon gas levels in excess of 4.0 picocurie per liter, a plan using radon mitigation procedures established by the state department of public health shall be developed with and approved by the state department of public health prior to a full license being issued.    (1)   If radon mitigation is in place, retesting shall occur at least every two years from initial measurements to confirm radon gas levels are below 4.0 picocurie per liter.    (2)   If initial testing confirmed radon gas levels are below 4.0 picocurie per liter, retesting shall occur at least every five years from initial measurements.    c.    To reduce the risk of carbon monoxide poisoning, all centers shall, on an annual basis prior to the heating season, have a professional inspect all fuel-burning appliances, including oil and gas furnaces, gas water heaters, gas ranges and ovens, and gas dryers, to ensure the appliances are in good working order with proper ventilation. All centers shall install one carbon monoxide detector on each floor of the center that is listed with Underwriters Laboratory (UL) as conforming to UL Standard 2034.    d.    Centers that operate before and after school programs and summer-only programs that serve only school-age children and that operate in a public school building are exempted from testing for lead, radon, and carbon monoxide.    e.    Centers that operate before and after school programs and summer-only programs that serve only school-age children and that operate in a public school building are required to follow radon testing requirements outlined in Iowa Code section 280.32 as enacted by 2022 Iowa Acts, House File 2412, section 1.

        ITEM 12.    Amend paragraphs 110.9(4)"d" and 110.9(4)"e" as follows:    d.    An admission physical examination report signed by a licensed physician or a designee in a clinic supervised by a licensed physicianmedical doctor, doctor of osteopathy, chiropractor, physician’s assistant or advanced registered nurse practitioner.    (1)   The date of the physical examination shall not be more than 12 months before the child’s first day of attendance at the child development home.    (2)   The written report shall include the child’s past health history, status of the child’s present health, allergies and restrictive conditions, and recommendations for continued care when necessary.    (3)   For a child who is five years of age or older and enrolled in school, a statement of health status signed by the parent or legal guardian may be substituted for the physical examination report.    (4)   The examination report or statement of health status shall be on file before the child’s first day of care.    e.    For children under the age of six, a statement of health condition signed by a physician or designeelicensed medical doctor, doctor of osteopathy, chiropractor, physician’s assistant or advanced registered nurse practitioner and submitted annually from the date of the admission physical examination. For a child who is enrolled in school, a statement of health status signed by the parent or legal guardian may be substituted for the physician statementof health.

        ITEM 13.    Amend paragraph 110.15(1)"c" as follows:    c.    In addition to the 14 children not in school, no more than 42 children who attend school may be present.

        ITEM 14.    Amend paragraphs 120.9(2)"d" and 120.9(2)"e" as follows:    d.    An admission physical examination report signed by a licensed physician or the designee in a clinic supervised by a licensed physicianmedical doctor, doctor of osteopathy, chiropractor, physician’s assistant or advanced registered nurse practitioner.    e.    For children under the age of six, a statement of health condition signed by a physician or designeelicensed medical doctor, doctor of osteopathy, chiropractor, physician’s assistant or advanced registered nurse practitioner submitted annually from the date of the admission physical examination. For a child who is enrolled in school, a statement of health status signed by the parent or legal guardian may be substituted for the physician statementof health.    [Filed 10/13/22, effective 3/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6627CHuman Services Department[441]Adopted and Filed

    Rule making related to five-year rules review

        The Human Services Department hereby amends Chapter 116, “Licensing and Regulation of Residential Facilities for Children With an Intellectual Disability or Brain Injury,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 217.6 and 237.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 217.6 and 237.3.Purpose and Summary    Chapter 116 is amended as part of the Department’s five-year rules review. This rule making updates a cross-reference to the Iowa Code section that contains the definition of “brain injury.” Updating the cross-reference makes it easier for a user to find the definition. The change streamlines the rules by referring directly to the definition of “brain injury” and is consistent with the mental health and disability services redesign legislation.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6457C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making action is adopted:

        ITEM 1.    Amend rule 441—116.2(237), definitions of “Community residential facility for children with an intellectual disability or brain injury” and “Comprehensive residential facility for children with an intellectual disability or brain injury,” as follows:        "Community residential facility for children with an intellectual disability or brain injury" means a community residential facility as defined in rule 441—114.2(237) which serves children with an intellectual disability as defined in Iowa Code chapter 222 or brain injury as defined in Iowa Code chapter 225Csection 135.22.        "Comprehensive residential facility for children with an intellectual disability or brain injury" means a comprehensive residential facility as defined in rule 441—115.2(237) which serves children with an intellectual disability as defined in Iowa Code chapter 222 or brain injury as defined in Iowa Code chapter 225Csection 135.22.    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6628CHuman Services Department[441]Adopted and Filed

    Rule making related to five-year rules review

        The Human Services Department hereby amends Chapter 119, “Record Check Evaluations for Certain Employers and Educational Training Programs,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 135C.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 135B.34 and 135C.14.Purpose and Summary    Chapter 119 was reviewed as part of the Department’s five-year rules review. This rule making provides the form number of the document that must be submitted by a requesting entity when submitting a request for a record check evaluation. The amendment identifies the ways the form and documentation may be submitted to include mail, electronic mail or facsimile.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 24, 2022, as ARC 6473C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making action is adopted:

        ITEM 1.    Amend subrule 119.3(1) as follows:    119.3(1) Required documentation.  The requesting entity and the prospective employee or student shall complete and submit the record check evaluation formForm 470-2310 to the department to request an evaluation. The requesting entity shall submit the form and required documentation to the Department of Human Services, Central Abuse Registry, P.O. Box 4826, Des Moines, Iowa 50305-4826by regular mail, electronic mail or facsimile. The department shall not process evaluations that are not signed by the prospective employee or student. The position sought or held must be clearly written on the first page of the record check evaluation form. The form shall be accompanied by the following documents:    a.    A copy of the documentation of the person’s status on the DCI criminal history database generated within 30 days of the date on which the request for evaluation is submitted to the department.    b.    A copy of the Iowa criminal history data, if there is a history, as provided to the requesting entity by the division of criminal investigation.    c.    A copy of the documentation of the person’s status on the dependent adult abuse registry generated within 30 days of the date on which the request for evaluation is submitted to the department.    d.    A copy of the documentation of the person’s status on the child abuse registry generated within 30 days of the date on which the request for evaluation is submitted to the department.    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6635CHuman Services Department[441]Adopted and Filed

    Rule making related to five-year rules review

        The Human Services Department hereby rescinds Chapter 168, “Child Care Expansion Programs,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 234.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 234.6.Purpose and Summary    Chapter 168 was reviewed as part of the Department’s five-year rules review. This rule making rescinds the chapter because it contains outdated rules no longer in use for wrap-around child care programs and expansion of school-age child care programs. Funding has not been allocated for these expansion programs for over ten years.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6456C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Council on Human Services on October 13, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on January 1, 2023.    The following rule-making action is adopted:

        ITEM 1.    Rescind and reserve 441—Chapter 168.    [Filed 10/13/22, effective 1/1/23][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6608CLottery Authority, Iowa[531]Adopted and Filed

    Rule making related to licensing

        The Board of Directors of the Iowa Lottery Authority hereby amends Chapter 12, “Licensing,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 99G.9(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 99G.24 and 272D.8.Purpose and Summary    This rule making reflects changes related to the Authority’s five-year rules review.    The purpose of these amendments is to align the Authority’s rules with Iowa Code chapter 272D. These amendments update the Authority’s license eligibility criteria to deny or suspend a license if the Authority has received a certificate of noncompliance regarding an applicant or licensee from the centralized collection unit of the Iowa Department of Revenue.    These amendments also remove references to the Iowa Code Supplement.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6445C. 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 of Directors of the Iowa Lottery Authority on September 27, 2022.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    No waiver provision is included because Iowa Code section 272D.8 does not provide for one. 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 7, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 531—12.1(99G,252J), parenthetical implementation statute, as follows:

    531—12.1(99G,252J,272D) License eligibility criteria.  

        ITEM 2.    Adopt the following new subrule 12.1(4):    12.1(4)   The lottery will deny a license to any applicant defined by this chapter if the lottery has received a certificate of noncompliance from the centralized collection unit of the department of revenue with regard to the individual, until the unit furnishes the lottery with a withdrawal of the certificate of noncompliance.

        ITEM 3.    Amend rule 531—12.1(99G,252J), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 99G.7(1), 99G.9(3), 99G.21(2), 99G.24, 252J.2 and Iowa Code Supplement sections 99G.7(1), 99G.9(3), 99G.21(2), and 99G.24, and 272D.8.

        ITEM 4.    Amend rule 531—12.4(99G,252J), parenthetical implementation statute, as follows:

    531—12.4(99G,252J,272D) Lottery licenses.  

        ITEM 5.    Amend subrule 12.4(7) as follows:    12.4(7)   The lottery will grant, deny, or place on hold all applications within 60 days of acceptance of an application. Applications placed on hold shall be considered denied for purposes of appeal.     a.    If an application is denied because the lottery has received a certificate of noncompliance from the child support recovery unit in regard to an individual, the effective date of denial of the issuance of the license, as specified in the notice required by Iowa Code section 252J.8, shall be 60 days following service of the notice upon the applicant.    b.    If an application is denied because the lottery has received a certificate of noncompliance from the centralized collections unit of the department of revenue regarding an applicant or person as defined by this chapter, the effective date of denial of the issuance of the license, as specified in the notice required by Iowa Code section 272D.8, shall be 60 days following service of the notice upon the applicant.

        ITEM 6.    Amend rule 531—12.4(99G,252J), implementation sentence, as follows:       This rule is intended to implement Iowa Code sections99G.7, 99G.9(3), 99G.21(2), 99G.24, 99G.30, 252J.2,and 252J.8 and Iowa Code Supplement sections 99G.7, 99G.9(3), 99G.21(2), 99G.24, and 99G.30, and 272D.8.

        ITEM 7.    Amend rule 531—12.12(99G,252J), parenthetical implementation statute, as follows:

    531—12.12(99G,252J,272D) Suspension or revocation of a license.  

        ITEM 8.    Adopt the following new paragraph 12.12(1)"v":    v.    When the lottery receives a certificate of noncompliance from the centralized collection unit of the department of revenue in regard to nonpayment of a state debt, unless the unit furnishes the lottery with a withdrawal of the certificate of noncompliance. This paragraph applies both to sole proprietorships and to persons with the requisite ownership interest in or relation to any other organized business entity as set forth in 531—12.3(99G). This paragraph applies in addition to the procedures set forth in Iowa Code chapter 272D.

        ITEM 9.    Amend subrules 12.12(2) and 12.12(3) as follows:    12 12.12 12(2)   The effective date of revocation or suspension of a license, or denial of the issuance or renewal of a license, as specified in the notice required by Iowa Code section 252J.8, shall be 60 days following service of the notice upon the licensee. AllThe effective date of revocation or suspension of a license, or denial of the issuance or renewal of a license, for nonpayment of state debt, as specified in the notice required by Iowa Code section 272D.8, shall be 60 days following service of the notice upon the licensee. The effective date for all other notices of revocation or suspension shall be 20 days following service upon a licensee.    12 12.12 12(3)   If a retailer’s license is suspended for more than 180 days from the effective date of the suspension, the lottery will revoke the retailer’s license upon 15 days’ notice served in conformance with 531—12.13(99G,252J,272D).

        ITEM 10.    Amend rule 531—12.12(99G,252J), implementation sentence, as follows:       This rule is intended to implement Iowa Code sectionsections 99G.9(3), 99G.21(2), 99G.24, 99G.27, 99G.30(3), 99G.35, 252J.8, and Iowa Code Supplement sections 99G.9(3), 99G.21(2), 99G.24, 99G.27, 99G.30(3), and 99G.35272D.8(2).

        ITEM 11.    Amend rule 531—12.13(99G,252J) as follows:

    531—12.13(99G,252J,272D) Methods of service.      12.13(1)   The notice required by Iowa Code section 252J.8 shall be served upon the licensee by restricted certified mail, return receipt requested, or personal service in accordance with Iowa Rule of Civil Procedure 1.305. Alternatively, the licensee may accept service personally or through authorized counsel.    12.13(2)   The notice required by Iowa Code section 272D.8 shall be served upon the licensee by certified mail, return receipt requested; by personal service in accordance with Iowa Rule of Civil Procedure 1.305; or through authorized counsel. Alternatively, the licensee may accept service personally or through authorized counsel.    12.13(3)   Notice of a license revocation or a suspension for the reasons described in 531—12.12(99G,252J,272D) shall be served upon the licensee by restricted certified mail, return receipt requested, or personal service in accordance with Iowa Rule of Civil Procedure 1.305. Alternatively, the licensee may accept service personally or through authorized counsel. The notice shall set forth the reasons for the suspension or revocation and provide for an opportunity for a hearing. If requested by the licensee, a hearing on the suspension or revocation shall be held within 180 days or less after the notice has been served.       This rule is intended to implement Iowa Code sectionsections 99G.9(3), 99G.21(2), 99G.24, 252J.8 and Iowa Code Supplement sections 99G.9(3), 99G.21(2), and 99G.24, and 272D.8.

        ITEM 12.    Amend rule 531—12.14(99G,252J) as follows:

    531—12.14(99G,252J,272D) Licensee’s obligation.  Licensees and license applicants shallmust keep the lottery informed of all court actions and all child support recovery unit actionsor centralized collection unit actions taken under or in connection with Iowa Code chapter 252J and shallor 272D. Licensees and applicants must also provide the lottery with copies, within seven days of filing or issuance, of all applications filed with the district court pursuant to Iowa Code section 252J.9or 272D.9, all court orders entered in such actions, andany withdrawals of certificates of noncompliance by the child support recovery unitor centralized collections unit.       This rule is intended to implement Iowa Code sectionsections 99G.9(3), 99G.21(2), 252J.8 and Iowa Code Supplement sections 99G.9(3) and 99G.21(2), and 272D.8.

        ITEM 13.    Amend rule 531—12.15(99G,252J) as follows:

    531—12.15(99G,252J,272D) Calculating the effective date.  In the event a licensee or applicant files a timely district court action following service of a lottery notice pursuant to Iowa Code sections 252J.8 and 252J.9or sections 272D.8 and 272D.9, the lottery shall continue with the intended action described in the notice upon the receipt of a court order lifting the stay, dismissing the action, or otherwise directing the lottery to proceed. For purposes of determining the effective date of revocation or suspension, or denial of the issuance or renewal of a license, the lottery shall count the number of days before the action was filed and the number of days after the action was disposed of by the court.       This rule is intended to implement Iowa Code sections99G.9(3), 99G.21(2), 252J.8, and 252J.9 and Iowa Code Supplement sections 99G.9(3) and 99G.21(2), 272D.8, and 272D.9.
        [Filed 10/4/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6614CTransportation Department[761]Adopted and Filed

    Rule making related to contested cases

        The Transportation Department hereby amends Chapter 13, “Contested Cases,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 307.12.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 17A.Purpose and Summary    The amendments to Chapter 13 change “office” to “bureau” to match the current organization of the Department and add a new subrule, which was requested by the Department of Inspections and Appeals. This subrule permits the Department of Inspections and Appeals to allow service by email or notice of electronic filing to an attorney if an appellant is represented.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6447C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on October 11, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 761—Chapter 11.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on December 7, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Strike “office” wherever it appears in rules 761—13.4(17A) and 761—13.7(17A) and insert “bureau” in lieu thereof.

        ITEM 2.    Adopt the following new subrule 13.12(3):    13.12(3)   Notwithstanding subrule 13.12(2), any notices, communications and decisions regarding the contested case issued and sent directly by the department of inspections and appeals may be sent by email or notice of electronic filing as defined by rule 481—16.2(10A) to the party’s attorney at the latest email address which the party’s attorney has provided to the department of inspections and appeals.    [Filed 10/11/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6615CTransportation Department[761]Adopted and Filed

    Rule making related to persons with disabilities parking permits

        The Transportation Department hereby amends Chapter 411, “Persons with Disabilities Parking Permits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 307.12, 321L.2 and 321L.8.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 321L.2 as amended by 2022 Iowa Acts, House File 2259, section 2.Purpose and Summary    The amendments to Chapter 411 conform the rules with 2022 Iowa Acts, House File 2259, which adds licensed occupational therapists and physical therapists to the list of medical professionals authorized under the Iowa Code to provide a statement of disability for a person applying for a persons with disabilities parking permit. This legislation also allows certain licensed medical professionals in any state to prepare the statement of disability. As required by current law, the statement of disability must be on the medical professional’s stationery.    Prior to this legislation, occupational therapists and physical therapists were not authorized under the law to provide statements of disability for persons with disabilities; only certain medical professionals licensed in Iowa or a state contiguous to Iowa were allowed to provide the statement of disability. This rule making will make it easier for customers to obtain a persons with disabilities parking permit, especially if the person’s primary health care provider or specialist is licensed in a state that is several states away from Iowa or if the person is already working with a licensed physical therapist or occupational therapist as part of the person’s recovery.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6465C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on October 11, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa beyond any impact anticipated by the legislation.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 761—Chapter 11.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on December 7, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrule 411.2(2), definition of “Health care provider,” as follows:        "Health care provider" means a physician licensed under Iowa Code chapter 148 or 149, a physician assistant licensed under Iowa Code chapter 148C, an advanced registered nurse practitioner licensed under Iowa Code chapter 152, a chiropractor licensed under Iowa Code chapter 151,an occupational therapist licensed under Iowa Code chapter 148B, a physical therapist licensed under Iowa Code chapter 148A, or a physician, physician assistant, nurse practitioner, or chiropractor, occupational therapist, or physical therapist licensed to practice in a contiguousanother state as set forth in Iowa Code section 321L.2(1)as amended by 2022 Iowa Acts, House File 2259, section 2.

        ITEM 2.    Amend 761—Chapter 411, implementation sentence, as follows:       These rules are intended to implement Iowa Code sections 321L.1, 321L.2 as amended by 2022 Iowa Acts, House File 2259, section 2, 321L.3,to 321L.4 and 321L.8.    [Filed 10/11/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6617CTransportation Department[761]Adopted and Filed

    Rule making related to driver’s licenses for active duty military service members and veterans

        The Transportation Department hereby amends Chapter 605, “License Issuance,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 307.12, 321.182 and 321.196.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 321.191 as amended by 2022 Iowa Acts, Senate File 2383, section 25.Purpose and Summary    This rule making conforms Chapter 605 with 2022 Iowa Acts, Senate File 2383, section 25, which waives the fee for a chauffeur driver’s license (Class D) or a commercial driver’s license (Class A, B or C) for an active duty military service member or a veteran who was issued an honorable discharge or general discharge (under honorable conditions). The legislation also waives the fee for an operator driver’s license (Class C noncommercial) or a motorcycle driver’s license (Class M or endorsement L) for veterans with a service-connected disability rating of 100 percent. An eligible applicant may qualify for more than one fee waiver.    The amendments describe the type of proof an eligible veteran or military service member must provide to the Department to qualify for the applicable driver’s license fee waiver. The amendments also provide that only an active duty military service member must provide proof of the service member’s eligible status at each issuance or renewal transaction because active duty status can change more frequently than military discharge status or a service-connected disability rating of 100 percent. Because proof of active duty status will be required at each license issuance or renewal transaction, an active duty military service member will not be able to renew a driver’s license electronically if the service member wants to receive the fee waiver because the electronic license renewal system cannot verify active duty status in real time.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on August 10, 2022, as ARC 6466C.    The Department received a comment from the Polk County Veterans Affairs office, which requested that the Department allow the operator and motorcycle fee waivers to apply to a veteran who does not have a permanent disability rating of 100 percent but who is compensated by the Department of Veterans Affairs at the 100 percent disability rate. The Department determined that a change to the Iowa Code would be required to accomplish that request.    No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on October 11, 2022.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa beyond any impact anticipated by the legislation.Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 761—Chapter 11.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on December 7, 2022.    The following rule-making action is adopted:

        ITEM 1.    Amend rule 761—605.10(321) as follows:

    761—605.10(321) Fees for driver’s licenses.  Fees for driver’s licenses are specified in Iowa Code section 321.191. A license fee may be paid by cash, check, credit card, debit card or money order.     605.10(1)   If the payment is by check, the check shall be for the exact amount of the fee and shall be payable to: Treasurer, State of Iowa. An exception may be made when a traveler’s check is presented.    605.10(2)   One payment method may be used to pay fees for several persons, such as members of a family or employees of a business firm. One payment method may pay all fees involved, such as the license fee and the reinstatement fee.    605.10(3)   An applicant who is on federal active duty or state active duty, a veteran with a permanent service-connected disability rating of 100 percent, or a veteran who was issued an honorable discharge or general discharge under honorable conditions is eligible for a waiver of the fees for a driver’s license as provided in Iowa Code section 321.191 as amended by 2022 Iowa Acts, Senate File 2383, section 25. An eligible applicant may qualify for more than one fee waiver.    a.    An applicant must provide proof of eligibility for the fee waiver to the department in the following ways as applicable to the applicant’s active duty, veteran or disability status:    (1)   An active duty service member must present an unexpired Armed Forces of the United States Geneva Conventions identification card, also known as a common access card (CAC), issued by the U.S. Department of Defense under 32 CFR Part 161. A federal or state military member who is a reservist may instead present an unexpired Uniformed Services identification card (USID) issued by the U.S. Department of Defense under 32 CFR Part 161 indicating a reserve affiliation.    (2)   An applicant with a permanent service-connected disability rating of 100 percent must present proof that the applicant is the subject of a certification of disability of 100 percent from the U.S. Department of Veterans Affairs.    (3)   An applicant who has been discharged from military service must present certification of release or discharge from active duty, DD form 214, indicating that the applicant received an honorable discharge or a general discharge under honorable conditions.    b.    An applicant who qualifies for the fee waiver under subparagraph 605.10(3)“a”(2) or 604.10(3)“a”(3) or both subparagraphs is required to submit proof of eligibility only once unless the proof is invalid or not accepted by the department.    c.    An applicant who qualifies for the fee waiver under subparagraph 605.10(3)“a”(2) or 604.10(3)“a”(3) or both subparagraphs, who has presented proof of eligibility to the department during a previous license issuance transaction and who is otherwise eligible under subrule 605.25(7) or 605.25(8) to renew the applicant’s driver’s license electronically, will be waived from the applicable fees during the electronic renewal. An applicant who qualifies under subparagraph 605.10(3)“a”(1) will not receive the applicable fee waivers if the applicant chooses to renew the driver’s license electronically under subrule 605.25(7) or 605.25(8).       This rule is intended to implement Iowa Code section 321.191as amended by 2022 Iowa Acts, Senate File 2383, section 25.
        [Filed 10/11/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.
    ARC 6616CTransportation Department[761]Adopted and Filed

    Rule making related to aircraft registration and special certificates for aircraft

        The Transportation Department hereby amends Chapter 720, “Iowa Airport Registration,” and Chapter 750, “Aircraft Registration,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 307.12 and 328.12 and section 328.19 as amended by 2022 Iowa Acts, House File 2124.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 328.19 as amended by 2022 Iowa Acts, House File 2124, and section 328.28 as amended by 2022 Iowa Acts, Senate File 2370, section 1.Purpose and Summary    This rule making conforms Chapters 720 and 750 with 2022 Iowa Acts, House File 2124 and Senate File 2370.    House File 2124 removes outdated Iowa Code language related to establishing airport traffic patterns, as well as language requiring burdensome, redundant and unnecessary site approval requirements for new airports. The Federal Aviation Administration has become the authority on airspace that identifies standard airport traffic patterns for aircraft operations used when taking off and landing at airports.    The amendments to Chapter 720 also correct the scope of the chapter, revise the wording to use “certificate of registration” and add contact information.    Senate File 2370 limits the period a manufacturer or dealer may operate an aircraft under a special certificate to three years. Prior to the adoption of this rule making, rule 761—750.30(328) limited the time to 24 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 24, 2022, as ARC 6477C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on October 11, 2022.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa beyond any impact anticipated by the legislation. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to 761—Chapter 11.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on December 7, 2022.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 761—720.1(328) as follows:

    761—720.1(328) Scope.  This chapter establishes site approval, registration and registration renewal requirements and minimum safety standards for airports open for use by the public. It also establishes site approvalairport closing requirements for airports maintained for private use.

        ITEM 2.    Amend rule 761—720.3(328) as follows:

    761—720.3(328) Airport site approval requiredContact information.  A person or governmental subdivision planning to construct or establish an airport shall obtain a certificate of airport site approval from the department before the site is acquired or before the airport is constructed or establishedQuestions regarding this chapter may be directed to the Modal Transportation Bureau, Iowa Department of Transportation, 800 Lincoln Way, Ames, Iowa 50010; telephone (515)239-1468; or through the department’s website at www.iowadot.gov.

        ITEM 3.    Amend rule 761—720.4(328) as follows:

    761—720.4(328) Public-use airport.  The site approval requirements of this rule apply to proposed public-use airports. The remainingAirport registration requirements apply to existing public-use airports.    720.4(1) Application for site approval.  The sponsor shall complete Iowa Department of Transportation Form 300025, “Airport Site Approval and New Registration Application,” and submit it to the modal transportation bureau. This form is available from the Modal Transportation Bureau, Iowa Department of Transportation, 800 Lincoln Way, Ames, Iowa 50010; telephone (515)239-1468; or through the department’s website at www.iowadot.gov.    720.4(2) Site requirements.  Before issuing a certificate of airport site approval, the department shall:    a.    Review the application and, if necessary, inspect the site. The sponsor shall ensure access to the site for the inspection at a reasonable time convenient for department personnel.    b.    Require a current airspace determination issued by the FAA which concludes that the proposed site will not adversely affect the safe and efficient use of airspace.    720.4(3) Certificate of site approval.      a.    After the application, inspection and FAA approval requirements have been met, the department shall issue a certificate of site approval for the airport if it complies with the minimum airport safety standards established by the department.    b.    The certificate of site approval shall locate the proposed airport by geographical coordinates; section, township and range; and distance and direction from an established nearby community.    c.    The certificate of site approval shall be valid for two years from the date of issuance.    d.    Aircraft operations shall not be permitted at the proposed site prior to airport registration.    720.(4) 720.4(1) Registration.  When constructionof a new airport is completecompleted, the sponsor shall notify the department. The department shall inspect the airport and, if the airport is in compliance with the minimum safety standards designated by the department, shall issue the airporta public-use airport certificate of registration certificate.    720.(5) 720.4(2) Registration renewal.  Eachpublic-use airport shall apply annually for a registration renewal on a form provided by the department. The department shall issue a registrationpublic-use airport certificateof registration to a public-use airport if the airport is in compliance with the minimum safety standards designated by the department.    720.(6) 720.4(3) Airport inspection.  Each registered public-use airport is subject to inspection by the department at any reasonable time. If the inspection by the department reveals an unsafe condition or a failure to meet the minimum safety standards, the department shall record that fact and shall notify the airport sponsor in writing with necessary corrective actions. Failure to implement corrective actions may result in airport registration revocation or denial. An FAA inspection of an airport certified under 14 CFR Part 139 may be accepted in lieu of an inspection by the department.    720.(7) 720.4(4) Posting.  The airportcertificate of registration certificate shall be posted in a prominent place available to the public at the airport. If there are no buildings at the airport, the registrationcertificate shall be displayed at the office of the airport manager or caretaker.    720.4(8) Revocation.  Rescinded IAB 7/4/07, effective 8/8/07.

        ITEM 4.    Rescind and reserve rule 761—720.5(328).

        ITEM 5.    Amend 761—Chapter 720, implementation sentence, as follows:       These rules are intended to implement Iowa Code sections 328.1, 328.12, 328.19as amended by 2022 Iowa Acts, House File 2124, and 328.35 and 2016 Iowa Acts, chapter 1131, section 3.

        ITEM 6.    Amend rule 761—750.30(328) as follows:

    761—750.30(328) Application for special certificate.  When applying to the department for a special certificate, the applicant must submit reasonable proof of bona fide status as a manufacturer, transporter or dealer. DealerManufacturer or dealer applicants must verify that no aircraft have been held in a dealer special certificate inventory for a period of more than 24 calendar monthsthree years.       This rule is intended to implement Iowa Code section328.28 as amended by 2022 Iowa Acts, Senate File 2370, section 1, and section328.29.
        [Filed 10/11/22, effective 12/7/22][Published 11/2/22]Editor’s Note: For replacement pages for IAC, see IAC Supplement 11/2/22.

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