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    Bulletin 05-03-2023

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    ARC 7007CCorrections Department[201]Adopted and Filed

    Rule making related to Iowa state industries

        The Corrections Department hereby amends Chapter 37, “Iowa State Industries,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 904.804.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 904.815.Purpose and Summary    This rule making removes the language that allows Iowa State Industries to sell products to employees of nonprofit organizations and to provide limited public sales when the sales to political subdivisions are insufficient to justify continued operation of a shop. This language is inconsistent with statute. Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on February 22, 2023, as ARC 6915C.     One written comment was received, and one change from the Notice has been made. The change was the addition of a requirement that sales to a general contractor above $50,000 be approved by the Iowa Prison Industries Advisory Board.Adoption of Rule Making    This rule making was adopted by the Department on March 31, 2023.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    Pursuant to the provisions of the statute, the Department does not have authority to waive requirements established by statute. 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 June 7, 2023.    The following rule-making action is adopted:

        ITEM 1.    Amend rule 201—37.2(904) as follows:

    201—37.2(904) Sale of products.      37.2(1)   Iowa state industries shall sell products to any tax-supported institution or governmental subdivision in any level of government, including state, county, city or school. Iowa state industries may sell products to employees of such entities.    37.2(2)   Iowa state industries may sell products to nonprofit organizations such as parochial schools, churches, or fraternal organizations and employees of such nonprofit organizations.    37.2(3)   Iowa state industries may sell products to nonprofit health care facilities serving Medicaid or social security patients.    37.2(4)   Sales will not generally be solicited from the general public. However, the state director of Iowa state industries may determine with the advice of the prison industries advisory board that limited public sales will be made when the sales to political subdivisions are insufficient to justify continued operation of a shop.    37.(5) 37.2(4)   Iowa state industries may sell products to a general contractor when the products purchased will be sold to a public entity as provided in subrules 37.2(1) to 37.2(3). The public entity shall submit a written request to Iowa state industries specifying the products and quantities to be purchased. Such sales shall be limited to contractors involved in construction, renovation, and remodeling projects. Sales to a general contractorabove $50,000 shall be approved by the Iowa prison industries advisory board.       This rule is intended to implement Iowa Code section 904.815.        [Filed 4/11/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7006CCorrections Department[201]Adopted and Filed

    Rule making related to parole

        The Corrections Department hereby amends Chapter 45, “Parole,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 904.108.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 906.3.Purpose and Summary    This rule making eliminates a rule that is inconsistent with, and is more efficiently handled by, the Board of Parole. The amendments to Chapter 45 remove a rule pertaining to conditions of parole and remove cross-references to the rule.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on February 22, 2023, as ARC 6914C. 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 April 7, 2023.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    This rule making is not subject to waiver, since the subject matter of rule 201—45.2(906) is handled by the Board.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 June 7, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend subrules 45.1(1) and 45.1(2) as follows:    45 45.1 1(1) Supervision.  Persons committed to the director of the department of corrections and granted parole by the Iowa board of parole shall be supervised by the judicial district departments of correctional services. The district departments shall impose conditions of parole as contained in rule 201—45.2(906)established and approved by the board of parole.    45 45.1 1(2) Effective date/parole agreement.      a.    Parole is effective only upon the acceptance of the terms of parole as evidenced by the signing of the standard parole agreement form by the parolee before a district department employee. The parole agreement shall be issued only upon the written order of the board of parole and shall not be issued prior to the establishment of an approved parole plan. The parolee may not be released on parole prior to the execution of the parole agreement. The parole agreement shall contain the conditions of parole pursuant to rule 201—45.2(906) and shall contain the parolee’s reporting instructions.    b.     Districts shall have statewide approved written policies and procedures which ensure the use of the statewide case management system. Districts will use the statewide approved and validated risk/needs instrument that assesses and addresses client risk, criminogenic needs and protective factors in an effort to mitigate the probability for future violence, criminal behavior and victimization. By stratifying risk using the risk-need-responsivity model, districts will focus the majority of their resources on clients who pose a greater risk to reoffend ensuring that all moderate-high risk clients receive evidence-based case planning and case management using the risk-need-responsivity model and core correctional practices to include: ongoing risk needs assessment, case plan follow-up and documentation, transfer of records, staff training, and continuous quality improvement.     c.    The district department shall have written policies and procedures to ensure the delivery of parole services which are consistent with statewide policy and expectations.

        ITEM 2.    Rescind and reserve rule 201—45.2(906).    [Filed 4/11/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7005CInspections and Appeals Department[481]Adopted and Filed

    Rule making related to violations by a health care facility

        The Inspections and Appeals Department hereby amends Chapter 56, “Fining and Citations,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 10A.104.State or Federal Law Implemented    This rule making implements, in whole or in part, 2022 Iowa Acts, House File 2172.Purpose and Summary    This amendment updates subrule 56.3(4) in accordance with changes included in 2022 Iowa Acts, House File 2172. The legislation updated citations to administrative rules subject to exception from provisions related to the self-identification and correction of deficiencies by health care facilities.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 25, 2023, as ARC 6835C. 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 April 3, 2023.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.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 June 7, 2023.    The following rule-making action is adopted:

        ITEM 1.    Amend subrule 56.3(4) as follows:    56.3(4) Self-identification and correction of a class II or class III violation prior to the on-site inspection.      a.    Self-identification and correction.If a facility self-identifies a deficient practice prior to the on-site visit inspection, there has been no complaint filed with the department related to that specific deficient practice, and the facility corrects such practice prior to an inspection, no citation shall be issued or fine assessed for class II or III violations except for those penalties arising pursuant to paragraphs “a” to “f”:as identified in Iowa Code section 135C.36(5).    a.    Abuse.    (1)   Rule 481—57.39(135C);    (2)   Rule 481—58.43(135C);    (3)   481—subrules 62.23(23) to 62.23(25);    (4)   Rule 481—63.37(135C);    (5)   Rule 481—64.33(235B);    (6)   Rule 481—65.15(135C);    (7)   481—subrules 65.25(3) to 65.25(5); and    (8)   42 CFR Section 483.420(d).    b.    Personnel histories.    (1)   Iowa Code section 135C.33;    (2)   481—subrule 57.12(3);    (3)   481—subrule 58.11(3);    (4)   481—subrule 62.9(5);    (5)   481—subrule 63.11(3);    (6)   Rule 481—64.34(135C); and    (7)   481—subrule 65.9(5).    c.    Failure to implement physician’s orders as required.    (1)   481—paragraph 57.12(2)“d”;    (2)   481—paragraph 58.19(2)“h”;    (3)   481—paragraph 62.15(1)“a”;    (4)   481—paragraph 63.11(2)“d”; and    (5)   42 CFR Section 483.460(c)(4).    d.    Failure to notify the physician of any accident, injury, or adverse change in a resident’s condition.    (1)   481—subrule 57.15(5);    (2)   481—subrule 58.14(5); and    (3)   481—paragraph 62.19(2)“c.”    e.    Failure to administer all medications as ordered by the resident’s physician.    (1)   481—paragraph 57.12(2)“d”;    (2)   481—paragraph 58.19(2)“a”;    (3)   481—paragraph 63.11(2)“d”;    (4)   481—subrule 64.4(9); and    (5)   42 CFR Section 483.460(c)(4).    f.    Failure to meet the fire safety rules and regulations promulgated by the state fire marshal.    (1)   481—paragraph 58.28(1)“a”;    (2)   481—subrule 62.19(7);    (3)   481—paragraph 63.23(1)“a”; and    (4)   42 CFR Section 483.470(j).    g.    b.    Process for documenting self-identification. If, during the inspection, an area of concern is identified to the facility that was self-identified and corrected by the facility prior to the inspection, no complaint has been filed, and the violation does not fall in the exemptions listed in 481—paragraphs 56.3(4)“a” to “f,”Iowa Code section 135C.36(5), the facility shall complete a “Self-Identification and Correction Form” and submit it to the inspector(s) prior to the conclusion of the inspection, or to the department within two working days of the exit interview via E-mailemail, facsimile, or overnight courier. The documentation shall include:    (1)   The nature of the problem;    (2)   The date the problem was identified;    (3)   Who identified the problem, i.e., family, resident, staff, physician, pharmacist;    (4)   Action steps taken to correct the problem;    (5)   DateThe date the facility determined correction was completed; and     (6)   All documentation that substantiates the above information.    [Filed 4/3/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7012CNatural Resource Commission[571]Adopted and Filed

    Rule making related to physician assistants and other medical care providers

        The Natural Resource Commission (Commission) hereby amends Chapter 12, “Conservation Education,” Chapter 15, “General License Regulations,” and Chapter 94, “Nonresident Deer Hunting,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 147.77 as amended by 2022 Iowa Acts, House File 803, and sections 321G.2, 321I.2, 462A.3(2) and 483A.27(8).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 147.77 as amended by 2022 Iowa Acts, House File 803, and sections 321G.23, 321I.25, 462A.12(6), 462A.12A, 483A.8(8), 483A.24(12) and 483A.27(4).Purpose and Summary    2022 Iowa Acts, House File 803, allowed physician assistants to perform various duties that are within their undisputed scope of practice. The legislation specifically directed agencies to add physician assistants to rules that are currently limited in scope to physicians. Chapters 12, 15, and 94 each contain provisions that reference physicians. This rule making amends these chapters as required by the legislation.    The Commission is also amending the rules to include other medical professionals: specifically, doctors of osteopathy and nurse practitioners. Authorizing a suite of medical professionals to complete certain tasks enables a volunteer instructor and/or hunter to utilize the volunteer instructor’s or hunter’s preferred care provider.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 11, 2023, as ARC 6816C. No public comments were received. A change from the Notice has been made to remove the modifiers “attending” and “prescribing” from the amendments. Those terms were unnecessary and could create confusion. Adoption of Rule Making    This rule making was adopted by the Commission on April 13, 2023.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department of Natural Resources (Department) upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request. Waivers    This rule is subject to the waiver provisions of 571—Chapter 11. Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any.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 June 7, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 571—12.25(321G,321I,462A,483A) as follows:

    571—12.25(321G,321I,462A,483A) Grounds for revocation or suspension of instructor certification.  The department may, at any time, seek to revoke or suspend the instructor certification of any person who:
    1. Fails to meet the instructor responsibilities and requirements as outlined in rule 571—12.24(321G,321I,462A,483A).
    2. Fails to follow the policies and procedures of the department.
    3. Falsifies any information that may be required by the department. Falsifying information is understood to mean purposefully supplying information that is inaccurate or misleading or the intentional omission of information.
    4. Handles any equipment in an unsafe manner, or allows any student or other instructor to handle equipment in a reckless or unsafe manner.
    5. Is convicted of or forfeits a bond for any fish and game, snowmobile, ATV, or navigation violation of this state or any other state. Anyone who has a privilege to operate a motor vehicle suspended, barred, or revoked shall not be eligible to be an instructor for the snowmobile, ATV, or snow groomer operator education programs.
    6. Uses profanity or inappropriate language, such as any type of sexist or racial references or generalities.
    7. Engages in the physical punishment of a student, including the use of unreasonable or unnecessary physical force or physical contact made with the intent to cause pain, or any type of indecent contact with a child as defined by the Iowa Code.
    8. Participates in a course while under the influence of alcohol or any illegal drug or while ingesting prescription medication in a manner contrary to the dosing directions given by the prescribing physician.The physician shall be a licensed physician, osteopathic physician, physician assistant, or advanced registered nurse practitioner.
    9. Has substantiated complaints filed against the instructor by the public, department personnel, or another certified instructor.
    10. Fails to meet the requirements in subrule 12.24(2) or 12.24(3).
    11. Is under investigation for committing, is in the process of a judicial proceeding based on the allegation of committing, or is convicted of committing a felony or an aggravated or serious misdemeanor as defined in the statutes of this state or another state. Every certified instructor is subject to a criminal history check and conservation violation check at any time during the instructor’s tenure as an instructor.
    12. Receives compensation directly or indirectly from students for time spent preparing for or participating in an education course.
    13. Teaches an education course without another adult present without prior department approval.

        ITEM 2.    Amend subrules 15.22(2) and 15.22(4) as follows:    15 15.22 22(2) Application for authorization card.  An individual requesting use of a crossbow for hunting deer or turkey must submit an application for an authorization card on forms provided by the department. The application must include a statement signed by the applicant’s physician declaring that the individual is not physically capable of shooting a bow and arrow.The physician shall be a licensed physician, osteopathic physician, physician assistant, or advanced registered nurse practitioner. A first-time applicant must submit the authorization card application no later than ten days before the last day of the license application period for the season the person intends to hunt.    15 15.22 22(4) Validity and forfeiture of authorization card.  A card authorizing the use of a crossbow for hunting deer and turkey will be valid for as long as the person is incapable of shooting a bow and arrow. If a conservation officer has probable cause to believe the person’s handicapped status has improved, making it possible for the person to shoot a bow and arrow, the department may, upon the officer’s request, require the person to obtain in writing a current physician’s statement.The physician shall be a licensed physician, osteopathic physician, physician assistant, or advanced registered nurse practitioner.If the person is unable to obtain a current physician’s statement confirming that the person is incapable of shooting a bow and arrow, the department may initiate action to revoke the authorization card pursuant to 571—Chapter 7.

        ITEM 3.    Amend subrule 94.10(1) as follows:    94.10(1) Licenses.  A nonresident meeting the requirements of Iowa Code section 321L.1(8) may apply for or purchase a nonresident deer hunting license to participate in a special deer hunting season for severely disabled persons. Nonresidents applying for this license must have on file with the department of natural resources either a copy of a disabilities parking permit issued by a state department of transportation or an Iowa DNR form signed by a physician that verifies their disability.The physician shall be a licensed physician, osteopathic physician, physician assistant, or advanced registered nurse practitioner.    [Filed 4/14/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7010CNatural Resource Commission[571]Adopted and Filed

    Rule making related to furbearer hunting and trapping

        The Natural Resource Commission (Commission) hereby amends Chapter 108, “Mink, Muskrat, Raccoon, Badger, Opossum, Weasel, Striped Skunk, Fox (Red and Gray), Beaver, Coyote, River Otter, Bobcat, Gray (Timber) Wolf and Spotted Skunk Seasons,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 455A.5(6)“a,” 481A.38, 481A.39 and 481A.87.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 481A.87.Purpose and Summary    Chapter 108 sets the season dates, bag limits, possession limits, and areas open to hunting or trapping furbearers. This rule making extends the regular furharvest season by one month. The season will end on the last day of February (February 28), rather than the last day of January (January 31). This rule making also establishes a continuous open season statewide for raccoon hunting and trapping. This amendment is biologically responsible, as required by law. It will also increase recreational opportunities for Iowa fur harvesters while reducing negative social issues associated with high raccoon and other furbearer densities.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 11, 2023, as ARC 6815C. An Amended Notice of Intended Action was published in the Iowa Administrative Bulletin on March 8, 2023, as ARC 6948C.    Public hearings were held on February 2, 2023, at 12 noon in Conference Room 4E, Wallace State Office Building, and on March 28, 2023, at 12 noon via video/conference call. Two people attended the in-person meeting, and no one attended the virtual meeting.    The Commission received 117 total comments. Seventy-five comments were in support of the amendments, 2 were partially supportive, and 40 opposed the amendments. The majority of commenters supporting the amendments believed a change from the Notice should be made to limit to private lands the continuous hunting and trapping of raccoons. These commenters expressed concern for negative interactions on public lands and roadways during nontraditional hunting or trapping seasons.    The Commission understands the concerns expressed by stakeholders and has made a change from the Notice to limit the continuous hunting and trapping of raccoons to lands in private ownership.Adoption of Rule Making    This rule making was adopted by the Commission on April 13, 2023.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available from the Department of Natural Resources (Department) upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request.Waivers    This rule making 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.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 June 7, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 571—108.1(481A), introductory paragraph, as follows:

    571—108.1(481A) Mink, muskrat and weasel.  Open season for the taking of mink, muskrat and weasel shall be from 8 a.m. on the first Saturday in November through January 31February 28 of succeeding year. Entire state open. No bag or possession limit.

        ITEM 2.    Amend rule 571—108.2(481A) as follows:

    571—108.2(481A) Raccoon, badgerBadger, opossum and striped skunk.  Open season for the taking of raccoon, badger, opossum, and striped skunk shall be from 8 a.m. on the first Saturday in November through January 31February 28 of succeeding year. Entire state open. No bag or possession limit.

        ITEM 3.    Renumber rules 571—108.3(481A) to 571—108.9(481A) as 571—108.4(481A) to 571—108.10(481A).

        ITEM 4.    Adopt the following new rule 571—108.3(481A):

    571—108.3(481A) Raccoon.      108.3(1) Hunting.  Continuous open season on private lands. Entire state open. No bag or possession limit.    108.3(2) Trapping.  Continuous open season using cage traps and dog-proof traps on private lands. Trapping limitations described in 571—Chapter 110 apply to trapping raccoons from 8 a.m. on the first Saturday in November through February 28 of succeeding year. Entire state open. No bag or possession limit.

        ITEM 5.    Amend renumbered rule 571—108.4(481A) as follows:

    571—108.4(481A) Red and gray fox.  Open season for the taking of red and gray fox shall be from 8 a.m. on the first Saturday in November through January 31February 28 of succeeding year. Entire state open. No bag or possession limit.

        ITEM 6.    Amend renumbered subrule 108.6(2) as follows:    108.6(2) Trapping.  Open season for trapping coyote shall be 8 a.m. on the first Saturday in November through January 31February 28 of succeeding year. Entire state open. No bag or possession limit. Any conservation officer or wildlife biologist may authorize a landowner, tenant or designee to trap coyotes causing damage outside the established trapping season dates.

        ITEM 7.    Amend renumbered subrule 108.8(4) as follows:    108.8(4) Season dates.  The season for taking river otters and bobcats opens on the first Saturday in November and closes on January 31February 28 of the following year.    [Filed 4/13/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7011CPublic Employment Relations Board[621]Adopted and Filed

    Rule making related to general procedures, elections, and collective bargaining

        The Public Employment Relations Board (PERB) hereby amends Chapter 2, “General Practice and Hearing Procedures,” Chapter 6, “Negotiations and Negotiability Disputes,” Chapter 7, “Impasse Procedures,” Chapter 8, “Internal Conduct of Employee Organizations,” Chapter 12, “Public Records and Fair Information Practices (Uniform Rules),” Chapter 13, “Mediators,” and Chapter 14, “Arbitrators”; rescinds Chapter 15, “Retention and Recertification Elections,” and adopts a new Chapter 15 with the same title; and amends Chapter 16, “Electronic Document Management System,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 20.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 20.Purpose and Summary    This rule making amends rules relating to general procedures of the agency, impasse procedures, bargaining unit determination and representative certifications, retention and recertification elections, elections fees, filing of electronic documents including certified employee organization annual reports, collective bargaining agreements, mediators, and arbitrators. The agency is adopting the following amendments after feedback, internal review, and implementation of new data management systems.    Item 1 removes the requirement that the Governor be included in service of notices since the Department of Administrative Services is already included in services. Serving the Office of the Governor is redundant. Item 2 also requires PERB to serve the Executive Director of the Board of Regents if the Board of Regents is a party to a filing. Due to its size, scope, and structure, the Board of Regents requested to be added to service of notices.    Item 2 gives the agency the ability to utilize a court reporter and pass fees on to the nonprevailing party. This practice has already been a requirement for certain types of cases under PERB’s jurisdiction, and this amendment gives PERB and its practitioners the option to use it for all cases. This amendment also creates uniformity in PERB’s procedures.    Item 3 adds a requirement that parties requesting a preliminary ruling for a negotiability dispute provide a concise explanation of the request and also includes clarification that the issue may be delegated by PERB to an administrative law judge. This provides flexibility and efficiencies while preserving the appeal rights of the requestors.    Item 4 restructures rule 621—6.6(20) and adds a subrule enforcing employer upload of a contract in accordance with Iowa Code section 20.29(2). This amendment requires employers to signify a unit as public safety or transit unit upon upload. The employee representative and the agency will be notified upon designation of public safety or transit status. If both parties agree, the agency will take official notice. Transit units are not subject to retention and recertification elections.    Item 5 changes the method of request for mediations services from email to secure upload PERB (suPERB) and requires requesting parties to indicate whether the parties intend to utilize mediation services or are using the impasse request as a means to notify the agency that contract negations have commenced. Some employee organizations prefer to notify the agency that contract negotiations have commenced as is required in private sector collective bargaining governed by the National Labor Relations Board (NLRB). This amendment gives such employee organizations representing both private and public employees the option to maintain consistent internal compliance processes and states that the assigned mediator, while assigned, is not likely to be utilized.    Item 6 moves the filing of arbitration requests from email to suPERB.    Items 7 and 8 clarify that the filings relating to objections shall be filed in the electronic document management system (EDMS). These are cases that are likely to require legal attention and therefore should be entered into the agency’s EDMS, which is intended for legal case and document management.    Items 9 through 13 move the filing of employee organization registration reports, constitutions, bylaws, amendments to said documents, and annual reports to suPERB.    Item 14 clarifies that, while other internal documents for employee organizations will be filed in suPERB, documents relating to trusteeships will be filed in EDMS.    Items 15 and 16 clarify storage of PERB documents and move the agency away from paper files.    Item 17 makes the PERB training requirement for mediators optional if deemed necessary by the Board. The initial requirements imposed on mediator applicants for PERB approval are intact. No one has sought training in recent years, PERB has not utilized ad hoc mediators in several years, requests for impasse services have decreased 62 percent, mediated settlements have decreased 61 percent, and, of the mediations currently being requested, roughly 70 percent are from unions who are simply putting the agency on notice. The Federal Mediation and Conciliation Service (FMCS) provides mediation services for free.    Item 18 makes PERB training requirement for arbitrators optional if deemed necessary by the Board. No one has sought training in recent years, and the requests for arbitrator services have decreased 80 percent since 2016.    Item 19 reduces the fee for arbitrators listed on PERB’s roster and streamlines the process to maintain inclusion on the list. Chapter 14 retains a quality control component. It is unnecessary and burdensome to force an arbitrator who has previously been approved and presented no quality control issues to reapply to PERB for inclusion on the roster. The fee and fee schedule changes make inclusion on the roster for previously approved arbitrators more efficient and make PERB monitoring of the list simpler.    Item 20 rescinds and replaces Chapter 15. New language fixes dates for retention and recertification elections and attempts to provide clarity to all parties pertaining to which bargaining units will be subject to retention and recertification elections with the maximum amount of notice. With a consistent and streamlined contract upload process through suPERB, parties will know with certainty which bargaining unit will be required to vote in any given year.     The clarifications provided in the new Chapter 15, along with the completion and use of suPERB for filing, give the employers and employee organizations significantly more time to work on voter lists through suPERB in advance of the dissemination of the Notice of Intent to Conduct an Election on August 1.    The amount of the election fee will be kept the same for fall elections and will increase for the spring elections.    Employees in bargaining units with transit employees receiving federal funding are not subject to retention and recertification election. This change allows PERB to designate and remove transit units from recertification elections.    Item 21 strikes language referring to Chapter 8. All documents relating to internal conduct other than documents pertaining to the establishment of trusteeships will be filed in suPERB. Documents related to trusteeships will be filed in EDMS.    Items 22 and 23 define “EDMS” and “suPERB” and provide general guidelines for usage.    Item 24 clarifies that Chapter 16 applies to EDMS.    Item 25 strikes the requirement for the placement of a publicly accessible terminal at the agency’s office. There is no demonstrated usage or demand by the public; PERB staff have the capacity to assist members of the public if necessary.    Item 26 adds instructions and guidelines for the registration and usage of suPERB.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on February 22, 2023, as ARC 6912C. A public hearing was held on March 20, 2023, at 10 a.m. via videoconference. All major unions representing public employees and a small number of employer representatives participated.    Representatives of labor organizations voiced continued frustration with changes that were made in 2017 to Iowa Code chapter 20, especially recertification voting. PERB representatives fielded multiple questions related to the implementation of suPERB and movement away from EDMS as the primary document and process management tool. Representatives of labor organizations expressed several concerns about the proposed calendar but expressed an understanding that a set calendar is advantageous for all parties. Representatives of labor organizations expressed concerns regarding the removal of the election notice requirements. Representatives of labor organizations expressed a strong desire to retain the original language for contract extensions.    PERB incorporated nearly all suggested revisions from the public, including removing language limiting the effect on election dates by submission of contract extensions, adopting a suggested calendar from the representatives of labor organizations, and adding clarification regarding notices sent to representatives from suPERB. The agency is adopting agreed-upon language for election notices. The agency is also adopting suggested revisions to the rules regarding training and retention of mediators and arbitrators. After prolonged conversations exploring an alternative election fee structure, PERB offered to lower the election fee to as low as $1.40; however, members of the labor organizations, who pay the fee, opted to keep the fee at $2 per vote for the fall election.      Multiple labor representatives provided written comments to PERB.Adoption of Rule Making    This rule making was adopted by the Board on April 12, 2023.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    These rules do not provide for a waiver of their terms but are instead subject to the agency’s general waiver provisions found in rule 621—1.9(17A,20).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 June 7, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Amend paragraph 2.15(1)"d" as follows:    d.    Upon the state of Iowa, or board, commission, council, office or agency thereof, by serving the governor or the director of the department of administrative servicesor the executive director of the board of regents.

        ITEM 2.    Rescind rule 621—2.21(20) and adopt the following new rule in lieu thereof:

    621—2.21(20) Costs of certified shorthand reporters and transcripts.      2.21(1) Initial payment.  The agency may arrange for a certified shorthand reporter to report the contested case hearing and request that an original transcript of the hearing be prepared by the reporter for the agency’s use. The agency initially shall pay the reporter’s reasonable compensation for reporting the hearing and producing the agency-requested transcript.    2.21(2) Transcript of record.  Oral proceedings in all hearings shall be recorded by a certified shorthand reporter or by mechanized means. The board does not furnish transcriptions, but oral proceedings shall be transcribed at the expense of any party requesting the transcription. Arguments on motions, oral arguments on appeal to the board, and arguments made in declaratory order and expedited negotiability dispute proceedings need not be recorded. The agency may request that an original transcript of the hearing be prepared by the reporter for the agency’s use. The agency initially shall pay the reporter’s reasonable compensation for reporting the hearing and producing the agency-requested transcript.    2.21(3) Taxation as costs.  The cost of reporting and of the agency-requested transcript shall be taxed as costs against the nonprevailing party or parties, although the presiding officer, or the board on appeal or review of a proposed decision and order, may apportion such costs in another manner if appropriate under the circumstances.    2.21(4) Payment of taxed costs.  Following final agency action in a case, the agency will prepare and serve a bill of costs upon the party or parties against whom the costs have been taxed. Those parties shall, within 30 days of such service, remit to the agency the amount specified in the bill of costs. Sums remitted to the agency shall be considered repayment receipts as defined in Iowa Code section 8.2.

        ITEM 3.    Amend subrule 6.3(3) as follows:    6.3(3) Preliminary ruling.  The agency will give priority to a petition for expedited resolution of a negotiability dispute. Parties maywill file briefsinformal position statements in support of their positions within the time specified by the agency, and the agency may set the matter for oral argument. The agencyor appointed administrative law judge may issue a preliminary ruling, without analysis, that the proposal is mandatory, permissive, or prohibited.

        ITEM 4.    Amend rule 621—6.6(20) as follows:

    621—6.6(20) Filing of agreement.      6.6(1) Copy of agreement.  A public employer shall file a copy of the collective bargaining agreement entered into between the public employer and a certified employee organization and made final under Iowa Code chapter 20.Filing shall be completed by uploading the collective bargaining agreement into suPERB. The certified employee organization will be notified of the filing of the collective bargaining agreement through suPERB. The public employer shall file the copy within ten days of the date on which the agreement is entered into.    6.6(2) Failure to file an agreement.  If an employer fails to file a finalized collective bargaining agreement within ten days of the date on which the agreement is entered into, the agency will order an in-person show cause hearing at the agency. The agency shall also provide notice of the show cause hearing to the certified employee organization. The agency may grant appropriate accommodation in the form of more time or take official notice of failure to comply with subrule 6.4(1) and Iowa Code section 20.29(2).    6.6(3) Transit units.  When filing a collective bargaining agreement, an employer will designate a unit as public safety or transit if appropriate. The agency and employee organization will receive notification of the designation. Upon agreement from both parties or absent an agreement or ruling from the agency in a contested hearing, the agency will designate the unit appropriately in suPERB.

        ITEM 5.    Amend subrule 7.3(1) as follows:    7.3(1) Request for mediation.  Either party to an impasse may email to the agency a request to appoint a mediator to the impasserequest that the agency assign a mediator by requesting mediation services. Requests for mediation services shall be uploaded through suPERB. A copy of the request for mediation shall be emailed to the agency and shall, in addition to the request for mediation,must contain:    a.    The name, address, and telephone number of the requesting party, and the name, address, telephone number, and email address of its bargaining representative or of the chairperson of its bargaining team.    b.    The name, address, and telephone number of the opposing party to the impasse, and the name, address, telephone number, and email address of its bargaining representative or of the chairperson of its bargaining team.    c.    A description of the collective bargaining unit involved and the approximate number of employees in the unit.    d.    A statement indicating whether the public employer of the unit involved is subject to the budget certification requirements of Iowa Code section 24.17 and, if the public employer is not subject to those requirements, a statement of the date upon which the public employer’s next fiscal or budget year commences.    e.    A statement indicating whether the bargaining unit is a public safety or non-public safety unit as specified by Iowa Code section 20.3 and rule 621—6.4(20).    f.    A concise and specific listing of the negotiated items upon which the parties have reached impasse.    g.    A statement from the requesting party indicating whether the parties anticipate utilizing mediation services or the parties are putting PERB on notice that the employer and certified employee organization have commenced bargaining of a new contract. If the original request is filed for the purpose of compliance with Iowa Code section 20.22(1) and is merely notice the employer and certified employee organization have commenced bargaining, and it is later determined mediation services will be required, an amended request for mediation shall be filed with the agency.

        ITEM 6.    Amend subrule 7.5(2) as follows:    7.5(2) Form and contents of request.  The request for arbitration shall be emailed tofiled with the agencythrough suPERB and shall include the name, address, email address, and signature of the requesting party and the capacity in which the requesting party is acting.

        ITEM 7.    Adopt the following new subrule 7.6(5):    7.6(5) Objections.  Objections and relevant documents to the objection shall be filed in the electronic document management system (EDMS).

        ITEM 8.    Adopt the following new subrule 7.7(7):    7.7(7) EDMS.  Negotiability disputes concerning state employees and relevant documents to the objection shall be filed in EDMS.

        ITEM 9.    Amend rule 621—8.1(20) as follows:

    621—8.1(20) Requirements.  Before the agency certifies an employee organization as the exclusive representative of a bargaining unit, the employee organization shall electronically fileupload in suPERB a registration report, constitution and bylaws, and an annual report. Once certified, the certified employee organization shall thereafter file an annual report as required by rule 621—8.4(20) and a registration report and constitution and bylaws whenever its constitution or bylaws are amended as required by rules 621—8.2(20) and 621—8.3(20).

        ITEM 10.    Amend subrule 8.2(3) as follows:    8.2(3) Method of filing.  The registration report shall be electronically fileduploaded in suPERB pursuant to 621—Chapter 16.

        ITEM 11.    Amend subrule 8.3(3) as follows:    8.3(3) Method of filing.  The constitution and bylaws shall be electronically fileduploaded in suPERB pursuant to 621—Chapter 16.

        ITEM 12.    Amend subrule 8.4(2) as follows:    8.4(2) Form and content.  The annual report shall be on the form prescribed by the boardand uploaded in suPERB and shall contain:    a.    The names, addresses, e-mail addresses, and telephone numbers of the organization, any parent organization or organizations with which it is affiliated, the principal officers and all representatives.    b.    The name, address, e-mail address, and telephone number of its local agent for service of process.    c.    A general description of the public employees the organization represents or seeks to represent.    d.    The amounts of the initiation fee and monthly dues members must pay.    e.    A pledge, in a form prescribed by the board, that the organization will comply with the laws of the state and that it will accept members without regard to age, race, sex, religion, national origin or physical disability, as provided by law.    f.    A financial report and audit.    (1)   The financial report shall contain, at a minimum, the following information: the cash balance from the previous year; a listing of sources and amounts of income; an identified listing of disbursements; and a closing balance. For the first annual report filed by an employee organization, the financial report shall reflect the last completed fiscal year of the organization or, in the case of a new organization, the last completed quarter or quarters of the current fiscal year. For annual reports filed mid-fiscal year with petitions for amendment of certification, the financial report shall reflect the last completed quarter or quarters of the current fiscal year.    (2)   The audit shall consist of a statement that the financial report has been reviewed and found to be true and accurate. The audit must be signed by an auditing committee or a person or persons who hold no office in the employee organization and who did not prepare the financial report.    g.    The name(s) of the person(s) required to be bonded pursuant to rule 621—8.5(20), the amount of the bond, and the name of the corporate surety company that issued the bond(s).

        ITEM 13.    Amend subrule 8.4(3) as follows:    8.4(3) Method of filing.  The annual report shall be electronically fileduploaded in suPERB pursuant to 621—Chapter 16.

        ITEM 14.    Amend subrule 8.6(4) as follows:    8.6(4) Method of filing.  The application and any required reports shall be electronically filedin the electronic document management system (EDMS) pursuant to 621—Chapter 16.

        ITEM 15.    Amend rule 621—12.12(17A,20,22) as follows:

    621—12.12(17A,20,22) Personally identifiable information.  This rule describes the nature and extent of personally identifiable information which is collected, maintained, and retrieved by the agency by personal identifier in record systems as defined in rule 621—12.1(17A,20,22). Unless otherwise stated, the authority for this agency to maintain the record is provided by Iowa Code chapter 20, the statutes governing the subject matter of the record, and the enabling statutes of the agency, where applicable. The record systems maintained by the agency are:    12.12(1)   Prohibited practice complaint case files. These files contain information which pertains to the alleged violation of Iowa Code chapter 20. A person, employee organization or public employer may file the documents contained in this type of case. Case files may include pleadings, briefs, notices, rulings, decisions, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, settlement offers, memoranda, and research materials. Cases contain personal information of the representatives and may contain personal information if the complainant or respondent is an individual. Further personal information may be included in testimony, exhibits, and other documents. Cases filed prior to January 1, 2015, are contained on the agency’s network. Cases filed after January 1, 2015, are contained within the agency’s electronic document management system. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. The files may contain materials which are confidential as attorney work product or contain settlement offers and mediators’ documents. Some materials are confidential under other applicable provisions of law. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(2)   Bargaining unit determination and representative certification case files. These files contain information which pertains to the establishment of appropriate bargaining units, conduct of secret ballot elections and monitoring of the merger, and affiliation and disaffiliation of certified employee organizations. A person, employee organization or public employer may file the documents contained in these types of cases. Case files may include pleadings, briefs, tally of ballots, notices, rulings, decisions, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, settlement offers, memoranda, research materials, and investigation materials. Cases contain personal information of the representatives and may contain personal information if the petitioner or respondent is an individual. Further personal information may be included in transcript testimony, exhibits, and other documents. Cases filed prior to January 1, 2015, are contained on the agency’s network. Cases filed after January 1, 2015, are contained within the agency’s electronic document management system. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. Further personal information may be included in testimony and exhibits. The files may contain materials which are confidential as attorney work product, shows of interest, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(3)   Retention and recertification election case files. These files contain information which pertains to the conduct of a retention and recertification election. A person, employee organization or public employer may file the documents contained in this type of case. Case files include pleadings, notices, voter lists, tally of ballots, orders, challenges, and objections. Cases contain personal information of the representatives. Further personal information may be included in testimony, exhibits, and other documents. The public employer is required to send to the agency a listing of employees eligible to vote in the recertification elections, and the representatives are emailed eligible employees’ personal information. Cases are contained within the agency’s electronic document management system and the agency’s network. The files located on the agency’s network may contain materials which are confidential as attorney work product, shows of interest, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. Copies of documents filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(4)   Negotiability dispute case files. These files contain information which pertains to specific contract proposals and whether a specific contract proposal is a mandatory, permissive or excluded subject of bargaining under Iowa Code section 20.9. An employee organization or public employer may file the documents contained in this type of case. Such files contain documents concerning the agency’s determination of the negotiability question. The records may include pleadings, briefs, notices, rulings, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, memoranda, research materials, and information compiled under the direction of the agency. Cases contain personal information of the representatives. Cases filed prior to January 1, 2015, are contained on the agency’s network. The files may contain materials which are confidential as attorney work product and contain settlement offers and mediators’ documents. Some materials are confidential under other applicable provisions of law. Cases filed after January 1, 2015, are contained within the agency’s electronic document management system. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.     12.12(5)   Declaratory order case files. These files contain information which pertains to applicability of a statute, rule or order within the primary jurisdiction of the agency. A person, employee organization or public employer may file the documents contained in this type of case. Such files contain documents concerning the agency’s determination of that question. The records may include pleadings, notices, rulings, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, memoranda, research materials, and information compiled under the direction of the agency. Cases contain personal information of the representatives and may contain personal information of the petitioner or respondent if the petitioner or respondent is an individual. Further personal information may be included in testimony, exhibits, and other documents. Cases filed prior to January 1, 2015, are contained on the agency’s network. Cases filed after January 1, 2015, are contained within the agency’s electronic document management system. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files may contain materials which are confidential as attorney work product, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. The files are maintained by the agency and are indexed by the case number. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(6)   Contract negotiation impasse files. These files contain information which pertains to the public employer and certified employee organization’s negotiations. An employee organization or public employer may file the documents contained in the file. The records may include the request for impasse services, assignment of a mediator, interest arbitration list, selection letters, and correspondence regarding mediation and interest arbitration hearings. Mediators may maintain assigned impasse files which contain confidential documents related to the mediation. Files contain personal information of the representatives. The case files are paper, and each impasse is recorded in an agency database. The files are maintained by the agency and are indexed by the bargaining unit number.Electronic files will be kept for up to five years following the close of the arbitration. Copies of the documents contained in the files may be obtained through the agency.     12.12(7)   Neutral files. The agency maintains biographical data on qualified mediators and arbitrators. A mediator’s file contains an application, an acceptance letter, and the yearly mediator contract. An arbitrator’s file contains an application, an acceptance letter, renewal applications, biographical sketches, letters of recommendation, a résumé, and decisions. Neutral files may also contain concerns expressed by employees or employer and employee organization representatives, material related to agency-conducted investigations, and information on hearings and decisions issued by the agency. Cases contain personal information of the representatives and may contain personal information of the petitioner or respondent if the petitioner or respondent is an individual. Further personal information may be included in testimony, exhibits, and other documents. Neutral files contain personal information of the neutral and may contain personal information of employees and employer and employee organization representatives if they provide written comments regarding a neutral. The neutral files are paper. The files may contain materials which are confidential as attorney work product, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. The files are maintained by the agency and are commonly indexed by the neutral’s last name. Biographical sketches of neutrals are located on the agency’s website. Copies of documents contained in these files may be obtained through the agency.    12.12(8)   Employee organization files. Employee organizations are required to file certain documents with the agency prior to certification and annually. An employee organization’s representative files the documents contained in the file. The records include the certified employee organization’s constitution and bylaws, amended constitution and bylaws, registration reports, annual reports, correspondence, bargaining unit description and subsequent amendments. The employee organization files contain personal information of the representatives. Further personal information may be included in testimony and exhibits. The employee organization files are both on paper and contained within the agency’s electronic document management system. The employee organization files are both on paper and contained within the agency’s electronic document management systemEmployee organization files are electronic and can be located in suPERB. The files are maintained by the agency and are indexed by the certified employee organization in paper files and by certified employee organization number if the files are on the agency’s electronic document management system. Copies of the documents contained in these files may be obtained through the agency or the agency’s electronic document management system.     12.12(9)   State employee appeals of grievance decisions and disciplinary action case files. These files contain appeals from a response from the Iowa department of administrative services regarding an employee’s grievance or appeal of a disciplinary action. A person or representative may file the documents contained in this type of case. These files contain information which pertains to the appeal. The records may include the appeal form and attachments, pleadings, briefs, notices, rulings, decisions, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, settlement offers, memoranda, and research materials. Cases contain personal information of the representative and the employee. Further personal information may be included in testimony, exhibits, and other documents. Cases filed prior to January 1, 2015, are contained on the agency’s network. Cases filed after January 1, 2015, are contained within the agency’s electronic document management system. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. The files may contain materials which are confidential as attorney work product and contain settlement offers and mediators’ documents. Some materials are confidential under other applicable provisions of law. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(10)   Public safety unit determination case files. These files contain information which pertains to whether a bargaining unit is a public safety unit. An employee organization or public employer may file the documents contained in this type of case. Such files contain documents concerning the agency’s determination of that question. The records may include pleadings, notices, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, memoranda, research materials, and information compiled under the direction of the agency. Cases contain personal information of the representatives and may contain personal information of employees. Further personal information may be included in testimony, exhibits, and other documents. Cases are contained within the agency’s electronic document management systemor suPERB. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. The files may contain materials which are confidential as attorney work product, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(11)   Other Iowa Code chapter 20 case files. These files contain information which pertains to objections which an employer or employee organization may make when impasse procedures are not completed prior to the applicable deadline for completion of impasse procedures, challenges which an employee organization or employer may make when the voter eligibility is challenged, and challenges which an employee organization may make postelection in retention and recertification elections. An employee organization or public employer may file the documents contained in this type of case. Further personal information may be included in testimony, exhibits, and other documents. Such files contain documents concerning the agency’s determination of the question. The records may include pleadings, notices, orders, exhibits, transcripts, docket sheets, general correspondence, attorneys’ notes, memoranda, research materials, and information compiled under the direction of the agency. Cases contain personal information of the representatives and may contain personal information of employees. Cases are contained within the agency’s electronic document management systemor suPERB. If the case went to hearing, the hearing may have been recorded by mechanical means, and a copy of the recording may be available. The files are maintained by the agency and are indexed by the case number. The files may contain materials which are confidential as attorney work product, settlement offers and mediators’ notes. Some materials are confidential under other applicable provisions of law. Copies of documents or hearing recordings filed in these cases may be obtained through the agency or the agency’s electronic document management system.    12.12(12)   Grievance, fact-finding and interest arbitration decisions. The agency maintains decisions issued by neutrals. Grievance arbitration decisions prior to the year 2000 are maintained on the agency’s database, and copies of a decision may be obtained through the agency. Grievance arbitration decisions after the year 2000 which the parties agreed could be made public can be obtained through the agency’s searchable database system. All fact-finding and interest arbitration decisions can be obtained through the agency’s searchable database system.    12.12(13)   Collective bargaining agreements. The agency maintains collective bargaining agreements negotiated between the public employer and the certified employee organization. Collective bargaining agreements negotiated prior to the year 2000 are maintained on the agency’s database, and copies of these collective bargaining agreements may be obtained through the agency. Collective bargaining agreements negotiated after the year 2000 can be obtained through the agency’s searchable database system.     12.12(14)   Personnel files. The agency maintains files containing information about agency employees and applicants for positions with the agency. The files contain payroll records, biographical information, medical information relating to disability, performance reviews and evaluations, disciplinary information, information required for tax withholding, information concerning employee benefits, affirmative action reports, and other information concerning the employer-employee relationship. Some of this information may be confidential under Iowa Code sections 22.7(11) and 22.7(18). Personnel files are paper files.    12.12(15)   Litigation files. These files or records contain information regarding litigation or anticipated litigation which involves the agency. The records include pleadings, briefs, docket sheets, documents, general correspondence, attorneys’ notes, memoranda, research materials, and investigation materials. Litigation files aremay be paper filesand may be kept up to five years in paper format or replaced immediately in electronic format if possible. The files are indexed by the name of the opposing party or case number. The files contain materials which are confidential as attorney work product. Some materials are confidential under other applicable provisions of law. Persons who wish to obtain copies of pleadings and other documents filed in litigation should obtain these from the clerk of the appropriate court which maintains the official copy.

        ITEM 16.    Amend rule 621—12.13(17A,20,22) as follows:

    621—12.13(17A,20,22) Other groups of records.  This rule describes groups of records maintained by the agency other than record systems as defined in rule 621—12.1(17A,20,22). The records listed may contain information about individuals. Unless otherwise designated, the authority for this agency to maintain the record is provided by Iowa Code chapter 20, the statutes governing the subject matter of the record, and the enabling statutes of the agency, where applicable. All records are stored both on paper and in automated data processing systemselectronically unless otherwise noted.    12.13(1)   Citizen inquiry and response files. Individuals and representatives write or email this agency on a variety of legal issues with regard to Iowa Code chapter 20. The agency does not generally provide legal advice to individuals but may provide general information.    12.13(2)   Internal agency records. These records include agendas, minutes and materials presented during meetings.     12.13(3)   Administrative records. These records include documents concerning budgets, property inventory, purchasing, yearly reports, office policies for employees, time sheets, and printing and supply requisitions.    12.13(4)   Rule-making records. Official documents executed during the promulgation of agency rules and public comments are available for public inspection.

        ITEM 17.    Amend subrule 13.4(6) as follows:    13.4(6) Training.  a.    Prior to inclusion on the list, an applicant mustmay complete the following trainingif the training is deemed necessary by the board:    (1)   a.    Formal training provided by the agency; and    (2)   b.    Mentorship in at least two disputes with an experienced, listed mediator. The board may require additional mentoring if deemed necessary.    b.    Training requirements may be waived by the board for applicants with prior public sector mediation experience.

        ITEM 18.    Amend subrule 14.5(6) as follows:    14.5(6) Training.  Prior to inclusion on the roster as an interest arbitrator, applicants mustmay complete formal training provided by the agencyif the training is deemed necessary by the board.

        ITEM 19.    Amend subrule 14.5(8) as follows:    14.5(8) Duration of listing.  Listing on the roster shall be for a term of three years, renewable by payment of a fee of $100.

        ITEM 20.    Rescind 621—Chapter 15 and adopt the following new chapter in lieu thereof: CHAPTER 15RETENTION AND RECERTIFICATION ELECTIONS

    621—15.1(20) General procedures.  When an employer and certified employee organization are parties to a collective bargaining agreement, the agency shall conduct an election, prior to the expiration of a collective bargaining agreement between an employer and a certified employee organization, to determine if the employees in a represented bargaining unit wish to retain and recertify the unit’s certified representative. The agency shall determine the date of the election or election period and the place, method, and other procedural aspects of conducting a retention and recertification election held pursuant to Iowa Code chapter 20. Elections shall be conducted under the direction and supervision of the agency or its election agent and shall be by secret ballot.Official notices relevant to the election will be delivered through secure upload PERB (suPERB). Each election will be assigned a “BU” number in suPERB. A party shall file electronically all documents in the party’s respective BU case file in suPERB unless the rules specify otherwise. Notification of events requiring attention of parties shall be produced by suPERB. The election fee shall be calculated and delivered to employee representatives through suPERB.Employers and certified employee organizations shall have a representative or agent for service listed in suPERB and the electronic document management system (EDMS). Employers and certified employee organizations have a continuing duty to update the representative or agent for service in suPERB and EDMS. Employees in a bargaining unit designated as a transit unit will not be subject to retention and recertification elections.

    621—15.2(20) Election calendar.      15.2(1) Fall election.      a.    The fall election shall be conducted by electronic voting provided for by a vendor selected by the agency.    b.    The fall election shall commence on the second Tuesday in October at 8 a.m. and shall apply to all collective bargaining agreements which expire the following year on June 30 or on a date between 270 and 365 days after the end of the election.    c.    Voting in the fall election shall cease at 9 a.m. on the fourth Tuesday in October following the commencement of the election.    d.    The fall election calendar shall be as follows (if any event designated by this subrule occurs on a Saturday or Sunday or any day on which the agency’s office is closed due to a state holiday, the time for the event shall be extended to include the next business day):Event DateEventAugust 1Employers may voluntarily begin to upload voter lists in suPERB.August 15The agency files notices of intent to conduct a retention/recertification election.August 18Any contract extensions must be received by the agency. If the parties reach an agreement on an extension and have notified the agency in writing by this date, an election will not be conducted. Additionally, if either party chooses to file an objection to the notice of intent to conduct a recertification/retention election, such objections must be filed in EDMS.August 25Deadline for an employer to upload a voter list in suPERB.August 26If an employer fails to upload the voter list, the agency will file a notice of show cause hearing to be held.August 28Employer show cause hearings, if necessary, must be completed.September 1Deadline for employee organizations to approve the employer’s voter list in suPERB.September 2If an employee organization fails to approve the voter list, the agency will file a notice of show cause hearing to be held.September 4Employee organizations’ show cause hearings, if necessary, must be completed.September 9The agency shall notify employee organizations of the applicable fees for the retention/recertification election.September 19Deadline for employee organizations to submit the retention/recertification fee. This is also the last day for the parties to agree to changes to the voting list.September 20The agency shall issue the order directing the retention/recertification election.Second Tuesday in OctoberCommencement of election period beginning at 8 a.m.Fourth Tuesday in OctoberCessation of election period at 9 a.m.Ten days following the fourth Tuesday in OctoberDeadline for e-filing of objections.    15.2(2) Spring election.      a.    The spring election shall be carried out by mail ballot.    b.    The spring election shall commence with the mailing of ballots to eligible voters no later than the first Tuesday in March and shall apply to all collective bargaining agreements that expire the following year on a date between 270 and 365 days after the end of the spring election.    c.    The spring election will end with the tallying of the ballots on the fourth Friday in March at 9 a.m. All ballots must be received by the agency by this time, or they will not be counted.    d.    The spring election calendar shall be as follows (if any event designated by this subrule occurs on a Saturday or Sunday or any day on which the agency’s office is closed due to a state holiday, the time for the event shall be extended to include the next business day):Event DateEventJanuary 1Employers may voluntarily begin to upload voter lists in suPERB.January 15The agency files notices of intent to conduct a retention/recertification election.January 18Any contract extensions must be received by the agency. If the parties reach an agreement on an extension and have notified the agency in writing by this date, an election will not be conducted. Additionally, if either party chooses to file an objection to the notice of intent to conduct a recertification/retention election, such objections must be filed in EDMS.January 25Deadline for an employer to upload a voter list in suPERB.January 26If an employer fails to upload the voter list, the agency will file a notice of show cause hearing to be held.January 28Employer show cause hearings, if necessary, must be completed.February 1Deadline for employee organizations to approve the employer’s voter list in suPERB.February 2If an employee organization fails to approve the voter list, the agency will file a notice of show cause hearing to be held.February 4Employee organizations’ show cause hearings, if necessary, must be completed. February 9The agency shall notify employee organizations of the applicable fees for the retention/recertification election.February 19Deadline for employee organizations to submit the retention/recertification fee. This is also the last day for the parties to agree to changes to the voting list.February 20The agency shall issue the order directing the retention/recertification election.First Tuesday in MarchCommencement of election period begins with the mailing of ballots.Fourth Friday in MarchCessation of election period at 9 a.m. All ballots must be received to the agency.Ten days following the fourth Friday in MarchDeadline for e-filing of objections.    15.2(3) Date of the election.  For the purposes of this chapter, the date of an election shall be the date on which the ballots were tallied.The board will determine which bargaining units are subject to retention and recertification election in the immediate state fiscal year based on the contract uploaded to suPERB. Changes or extensions to contracts uploaded to suPERB after August 18 for fall elections and January 18 for spring elections will not alter the date of the election. If a collective bargaining agreement indicates the agreement is for a term of one year but does not clearly specify the effective commencement and termination dates, the agency will presume the collective bargaining agreement is for a term of one year commencing July 1 and ending June 30 unless the agreement clearly states an alternate term and effective dates.

    621—15.3(20) General election procedures.      15.3(1) Notice of intent to conduct an election.  PERB will issue a notice of intent to conduct an election on August 15 for fall elections and January 15 for spring elections to both the employer and employee representatives designated in suPERB.    15.3(2) Initial filing of approved list by employer.      a.    When the agency files a notice of intent to conduct a retention and recertification election, the employer shall, no later than August 25 for fall elections and no later than January 25 for spring elections, submit to the agency through suPERB an alphabetical list of the names; addresses; email addresses, if known; telephone numbers, if known; and job classifications of the employees in the bargaining unit. When a telephonic/web-based election is ordered, the list of eligible voters shall include an alphabetical list of the names; addresses; email addresses, if known; telephone numbers, if known; job classifications of the employees; each employee’s date of birth; the last four digits of each employee’s social security number; and any other information required by the agency.    b.    The employer shall email the certified employee organization’s representatives that it submitted the list in suPERB. The suPERB system shall notify the parties that the employer filed the list.    c.    For each election, the employer is obligated to file a new list. If the employer uploaded a current list of employees and their relevant information in the designated bargaining unit satisfying this subrule prior to August 1, the employer will approve the previously uploaded list in suPERB. For spring elections, this date will be January 1. The employer may upload a list prior to the filing by the agency of the notice of intent to conduct an election. The employer may do so any time after August 1 for fall elections and any time after January 1 for spring elections. Lists uploaded prior to the filing of the notice of intent to conduct an election shall be used for the upcoming election.    15.3(3) Failure to upload an employee list.      a.    If an employer fails to file and approve the voter list by the deadlines established in subrules 15.2(1) and 15.2(2), the agency will order an in-person show cause hearing. The agency may provide reasonable accommodation to extend the filing period up to three days after the hearing in cases of demonstrated inability to create and file a list beyond the control of the employer.    b.    Providing the employer an extension will automatically provide the employee organization an extension of a commensurate number of days to approve the list and pay the election fee.    c.    The agency may take official notice of a failure to comply with Iowa Code chapter 20.    d.    Failure of an employer to file a list will result in automatic recertification of the bargaining unit.    15.3(4) Employer organization approval of the list.      a.    An employee organization shall have the periods established in subrules 15.2(1) and 15.2(2) to approve an eligible voter list. Eligible voters are those employees who were employed and included in the bargaining unit on the date of the deadline for the employer to submit the list as established in subrules 15.2(1) and 15.2(2). There will be no additions to the list after August 31 and February 1.    b.    An employee organization shall utilize suPERB to suggest modifications to the list. The employer shall promptly review changes and make appropriate changes to the list when in agreement. The employer shall securely file any mutually agreed upon amended list in suPERB prior to the close of the list. Intentional or unreasonable obstruction by either party of list amendment shall be grounds for election objection.    c.    If an employer of a respective bargaining unit fails to file a list and the board grants an extension, the employee organization shall be granted the same extensions for approval of eligible voters and payment of the election fee.    d.    If an employee organization fails to approve a voter list by the deadlines established in subrules 15.2(1) and 15.2(2), the agency will order a show cause hearing. The agency may provide reasonable accommodation to extend the upload period up to three days after the hearing in cases of demonstrated inability to suggest changes and approve an eligible voter list.    e.    If the employee organization fails to approve a list by the deadlines established in subrules 15.2(1) and 15.2(2), the agency will use the list currently uploaded to suPERB by the employer for the current election cycle.    15.3(5) Employer’s responsibility.      a.    It is the employer’s responsibility to maintain accuracy of the list. It is the employer’s responsibility to add or remove any employees who become employed or are no longer employed by the employer up until the list is final.    b.    For any employees on the final list who become unemployed prior to the close of the election and after the deadline for changes to the list, the employer shall notify the agency and the employee organization. If, after the tally of the ballot, the removal of the voter would be outcome determinative, the agency will re-tally the ballots as if the employee who is no longer employed was never on the list.    c.    If the employer fails to notify the agency and the employee organization that an employee is no longer employed with the employer, such failure shall constitute grounds for an objection.    15.3(6) Final voter list.  The final voter list will be the contents of the list filed in suPERB as of the dates established in subrules 15.2(1) and 15.2(2). No additions or subtractions will occur after those dates.

    621—15.4(20) Election fee.      15.4(1) Computation of election fee.      a.    Fall election fee.The fee for fall elections shall be the greater of $2 per voter or $20 per bargaining unit. Employee organizations will be notified by suPERB on September 9 of the required fee and will have until September 19 to pay the election fee in accordance with subrules 15.2(1) and 15.4(5).    b.    Spring election fee.The fee for spring elections shall be the greater of $3 per voter or $50 per bargaining unit. Employee organizations will be notified by suPERB on February 9 of the required fee and will have until February 19 to pay the election fee in accordance with subrules 15.2(2) and 15.4(5).    15.4(2) Employee organization responsibility for the fee.      a.    The employee organization is responsible for and shall prepay the election fee in accordance with this chapter. PERB will send notice to employee organizations through suPERB on the dates provided for in subrules 15.2(1) and 15.2(2) of the amount due for each specific bargaining unit based on the number of eligible voters on the final list in a unit times the fee determined in subrule 15.4(1).    b.    The number of voters on the eligible voter list at the end of the period for the employee organization to approve the voter list as provided for in subrules 15.2(1) and 15.2(2) shall be the number of voters used to calculate the fee for the election.    15.4(3) Failure to pay election fee.  Failure to pay the election fee by the deadline shall result in an automatic revocation. If the election fee is not paid by the deadline, the agency shall issue an order decertifying the employee organization as the exclusive bargaining representative of the employees in the bargaining unit in accordance with subrule 15.6(3).    15.4(4) Election cost shortfall.  If the amount submitted in aggregate for all elections occurring in the current year does not exceed the amount due for services provided by a designated election vendor, PERB may pay the difference and assess the amount to the election in the following year.    15.4(5) Payment of election fee.  The employee organization shall pay the election fee by check payable to the agency, and the fee is deemed paid upon receipt by the agency or, if submitted by mail, on the date of the U.S. Postal Service postmark affixed to the envelope in which the payment was made.    15.4(6) Refunds.  The agency will not refund the election fee in the event the election is paid and the agency has performed duties to conduct the election but the election does not occur.    15.4(7) Extension requests to pay election fee.  At any time prior to the date upon which the election fee is due, the employee organization may request an extension of time to pay the election fee. The agency shall grant the extension of time to pay the election fee for good cause.

    621—15.5(20) Election notice and electioneering.  Following the public employer’s submission of the list of eligible voters as provided in rule 621—15.3(20) and the agency’s receipt of the applicable election fee from the certified employee organization, the agency will file an order directing a retention and recertification election in suPERB. Notice shall be provided to the employer representative and employee representative. The employer shall promptly distribute, electronically or by hard copy, the notice to the affected employees. The employer shall also promptly post the notice in the manner and locations customarily used for the posting of information to employees. Such notice shall contain a sample ballot or script and shall set forth the dates of the election period; the time, place, method, and purpose of the election; and such additional information as the agency may deem appropriate.

    621—15.6(20) Tallying and certification of results.      15.6(1) Ballots.  Ballots shall contain the question, “Do you want [name of certified employee organization] to be retained and recertified and continue to be your exclusive bargaining representative?” followed by the choices “Yes” or “No.”    15.6(2) Recertifying employee organization.  Upon completion of a valid retention and recertification election in which an employee organization received the votes of a majority of employees in the bargaining unit, the agency shall file an order recertifying the employee organization as the exclusive bargaining representative of the employees in the bargaining unit. This notice shall be filed in suPERB and be available to both the employer and employee representative.    15.6(3) Decertifying employee organization.  Upon completion of a valid retention and recertification election in which a majority of the public employees in the bargaining unit did not vote to retain and recertify the representative, the agency, after the period for filing objections has lapsed, shall immediately file an order decertifying the employee organization as the exclusive bargaining representative of the employees in the bargaining unit. The public employees shall not be represented by the employee organization except when pursuant to the filing of a subsequent petition for certification of an employee organization as provided in Iowa Code section 20.14 and an election conducted pursuant to such petition.    15.6(4) Inoperable voting system.  The board may extend the period of the election due to inoperable voting systems.    15.6(5) Alternate voting method.  When a voter promptly informs the agency of the voter’s inability to cast a ballot using the designated methods of voting, the agency shall assist the voter in using an alternate method to cast a secret ballot.

    621—15.7(20) Objections.      15.7(1) Objection and notice regarding notice of intent to conduct an election.      a.    The certified employee organization or public employer may file an objection asserting that the election should not be conducted for reasons set forth in the objection. The objection shall be in writing and electronically filed in EDMS no later than seven days following the date of the notice of intent to conduct an election. The agency may conduct a preliminary investigation of the objection and determine if the objection has merit. The agency may informally resolve objections and will dismiss objections without merit. The agency will schedule hearings for all other objections. Hearings on objections shall be conducted pursuant to 621—Chapter 2. The objecting party shall present its evidence first.    b.    If the agency fails to file a notice of intent to conduct an election, the public employer or certified employee organization may file with the agency in suPERB a notice asserting the election should be conducted for reasons set forth in the notice. The notice shall be electronically filed no later than seven days following the date the notice of intent to conduct an election should have been filed pursuant to the retention and recertification election schedule as set forth by the agency. The parties shall submit to the agency all relevant information requested. The agency shall conduct an investigation to determine whether the election is required by statute and rule.    15.7(2) Voter eligibility challenges.      a.    General.A party may challenge, for good cause, the eligibility of any voter. The agency shall attempt to resolve the challenge. Whenever challenged ballots are unresolved and determinative of the outcome of an election, a hearing to determine the eligibility of the challenged voter(s) shall be scheduled and conducted. After the conclusion of the hearing, the board may, if necessary, determine the appropriate remedy, which may include ordering a new election, and the cost of the new election may be taxed to the nonprevailing party.    b.    Methods and timing of voter eligibility challenges.A party may challenge the eligibility of a voter by electronically filing a completed voter eligibility form in suPERB and in accordance with the following:    (1)   In-person elections. A party shall challenge a voter’s eligibility prior to the time the voter deposits the voter’s ballot in the ballot box. In the event of a challenge, the challenged voter may mark the ballot in secret and the election agent shall segregate the ballot by causing it to be placed in a challenged-ballot envelope with appropriate markings and depositing it in the ballot box.    (2)   Mail-ballot elections. A party shall challenge a voter’s eligibility prior to the time the outer envelope containing the voter’s secret envelope and ballot is opened. In the event of a challenge, both the secret envelope and the outer envelope shall remain sealed until the challenge is resolved.    (3)   Telephonic/web-based elections. A party shall challenge a voter’s eligibility at least seven days prior to the commencement of the election period for telephonic/web-based elections.    c.    Postelection challenges.A certified employee organization may make postelection challenges to the total number of bargaining unit employees for their respective retention and recertification elections. The certified employee organization may file a postelection challenge in EDMS to the number of bargaining unit employees if an eligible voter has left employment and is no longer in the bargaining unit prior to the close of the election or election period. The employee organization shall file in EDMS this postelection challenge within ten days of the filing of the tally of ballots. The agency shall attempt to resolve the dispute. Whenever postelection challenges are unresolved and determinative of the outcome of an election, a hearing to determine whether an eligible voter left employment and was no longer in the bargaining unit prior to the close of the election or election period shall be scheduled and conducted. The board may make appropriate adjustments to the tally or order a new election based on the board’s findings and conclusions.    d.    Objections to an election.621—subrule 5.4(2) contains information about objections to an election.

    621—15.8(20) Spring elections.  Spring elections will be conducted with mail-ballot election procedures described in 621—subrule 5.3(2). The ballots will be mailed by the agency in accordance with subrule 15.2(2).

    621—15.9(20) Elections not 270 days to 365 days after fall or spring election.  If the date of expiration of a collective bargaining agreement requires an election not 270 days to 365 days after the fall or spring election, suPERB will immediately alert the agency, the employer and the employee representatives. In this event, PERB will within 14 days establish a future date of election to be held beginning on a Monday of the first full week in an appropriate month that allows for compliance with Iowa Code section 20.15(2)“a.” All applicable dates will be established upon the selection of the election time period and will follow the same general procedures and timelines described in this chapter.

    621—15.10(20) Transit units.  Units recognized as transit units under Iowa Code section 20.32 and designated as such in suPERB pursuant to 621—subrule 6.6(3) will not be served a notice of intent to conduct an election. If a transit unit does receive a notice in error, the unit may immediately petition the board to be removed from the election. The agency may informally determine the unit’s transit status and remove the unit from the recertification election. Once a transit determination has been made, the unit shall be considered transit by default unless designated otherwise.       These rules are intended to implement Iowa Code chapter 20.

        ITEM 21.    Amend rule 621—16.1(20) as follows:

    621—16.1(20) Effective date and scope.  This chapter governs the filing of documents in all proceedings before the agency, or those proceedings converted to electronic proceedings upon the board’s order. This chapter also governs the filing of all documents required to be filed by employee organizations pursuant to 621—Chapter 8. To the extent the rules in this chapter are inconsistent with any other administrative rule of the board, the rules in this chapter shall govern.

        ITEM 22.    Amend rule 621—16.2(20), definition of “EDMS,” as follows:        "EDMS" means the electronic document management system, the agency’s electronic filing and case management system, generally used for the collection and storage of documents related to cases likely to proceed to hearing or contested cases.

        ITEM 23.    Adopt the following new definition of “SuPERB” in rule 621—16.2(20):        "SuPERB" means a web interface database used by the board for the secure upload of various documents generally related to elections, the internal conduct of employee organizations, contracts, and the dissemination of notices related to elections.

        ITEM 24.    Amend rule 621—16.3(20) as follows:

    621—16.3(20) RegistrationElectronic document management system (EDMS) registration, username, and passwordspassword.      16.3(1) Registration.      a.    Registration required.Every individual filing documents or viewing or downloading filed documents must register as a registered user of the electronic document management system.    b.    How to register.To register, the individual must complete the registration process located at perb.iowa.gov/efiling and obtain a username and password for the electronic document management system.    c.    Registration complete.When the registration process is completed, the registered user will be assigned a username and password and the registered user may utilize the electronic document management system.    d.    Changing passwords.Once registered, the user may change the user’s password. If the registered user believes the security of an existing password has been compromised, the registered user must change the password immediately. The agency may require password changes periodically.    e.    Changes in registered user’s contact information.If a registered user’s email address, mailing address, or telephone number changes, the user must promptly make the necessary changes to the registered user’s information contained in the electronic document management system. The registered user shall promptly give notice of changes in contact information to any nonregistered party in every active proceeding in which the registered user is a party.    f.    Duties of registered user.Each registered user shall ensure that the user’s email account information is current, that the account is monitored regularly, and that email notices sent to the account are timely opened.    g.    Canceling registration.Withdrawal from participation in the electronic document management system cancels the registered user’s profile but does not authorize nonelectronic filing of documents and is not a withdrawal from a proceeding.    h.    Agency-initiated registration.The agency may complete the registration process on behalf of an individual in certain instances and email the username and password to the user. When the agency completes the registration process, the user is required to promptly log in and change the password. Following initial notification regarding account registration, the user is required to promptly update and maintain accurate contact information for the EDMS account.    16.3(2) Use of username and password.  A registered user is responsible for all documents filed with the user’s username and password unless proven by clear and convincing evidence that the registered user did not make or authorize the filing.    16.3(3) Username and password security.  If a username or password is lost, misappropriated, misused, or compromised, the registered user of that username/password shall notify the agency promptly.    16.3(4) Denial of access.  The agency may refuse to allow an individual to electronically file or download information in the electronic document management system due to misuse, fraud or other good cause.

        ITEM 25.    Amend subrule 16.4(6) as follows:    16.4(6) Public access terminalassistance.  At least one public access terminal shall be maintained at the agency’s office.The agency shall assist a member of the public with electronic filing upon request.

        ITEM 26.    Adopt the following new rule 621—16.14(20):

    621—16.14(20) Secure upload PERB (suPERB) registration, username, and password.  SuPERB is the document management system used to upload and file documentation related to elections, internal conduct of employee organizations, contracts, impasse requests, and other documents as prescribed by the agency.    16.14(1) Registration.      a.    Registration required.Employers, certified employee organizations, and bargaining units must ensure the necessary individuals representing their interest at the agency are registered and their information updated appropriately. Every individual filing documents or downloading filed documents must register as a registered user of suPERB.     b.    How to register.To register, a user must request the creation of an account from the agency.    c.    Registration complete.When the registration process is completed, the registered user will be assigned a username and password and the registered user may utilize suPERB.    d.    Changing passwords. Once registered, the user may change the user’s password. If the registered user believes the security of an existing password has been compromised, the registered user must change the password immediately. The agency may require password changes periodically.    e.    Changes in registered user’s contact information.If a registered user’s email address, mailing address, or telephone number changes, the user must promptly make the necessary changes to the registered user’s information contained in suPERB. The registered user shall promptly give notice of changes in contact information to any nonregistered party in every active proceeding in which the registered user is a party.    f.    Duties of registered user.Each registered user shall ensure that the user’s email account information is current, that the account is monitored regularly, and that email notices sent to the account are timely opened.    g.    Agency-initiated registration.The agency may complete the registration process on behalf of an individual in certain instances and email the username and password to the user. When the agency completes the registration process, the user is required to promptly log in and change the password. Following initial notification regarding account registration, the user is required to promptly update and maintain accurate contact information for a suPERB account.    16.14(2) Use of username and password.  A registered user is responsible for all documents filed with the user’s username and password unless proven by clear and convincing evidence that the registered user did not make or authorize the filing.    16.14(3) Username and password security.  If a username or password is lost, misappropriated, misused, or compromised, the registered user of that username/password shall notify the agency promptly.    16.14(4) Denial of access.  The agency may refuse to allow an individual to electronically file or download information in suPERB due to misuse, fraud or other good cause.    16.14(5) Public access.  All documents publicly available and contained within suPERB will not require a user account to access. The public-facing search portal provides access to public documents and is searchable free of charge.        [Filed 4/13/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7009CRevenue Department[701]Adopted and Filed

    Rule making related to golf and country clubs and all commercial recreation

        The Revenue Department hereby amends Chapter 216, “Events, Amusements, and Other Related Activities,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 421.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 423.2.Purpose and Summary    Pursuant to Part IV of Executive Order 10, the Department was directed to propose Notice of Intended Action ARC 6947C in light of the significant concerns received after the official public comment period for ARC 6577C and the effective date of new rule 701—216.3(423) implementing the taxable service of commercial recreation. The Department is rescinding rule 701—216.3(423) and replacing it with the text previously found in rule 701—26.24(422), with minor updates for consistency with other administrative rules. This allows the Department to consider the newly raised concerns and reevaluate changes to the rule.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on March 8, 2023, as ARC 6947C. A public hearing was held on March 28, 2023, at 10 a.m. in Room 1 NW, Hoover State Office Building, 1305 East Walnut Street, Des Moines, Iowa. No one attended the public hearing. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Department on April 13, 2023.Fiscal Impact    This rule making reverses a recent rule change that had a fiscal impact of a $4.95 million increase for sales tax and $0.78 million increase for local option sales tax (LOST) in fiscal year 2024, increasing gradually thereafter due to inflation. Because this rule making reverses that rule change, this rule making will have the inverse fiscal impact, decreasing sales tax revenue by $4.95 million and LOST revenue by $0.78 million in fiscal year 2024. The Legislative Services Agency’s fiscal analysis of ARC 6947C concurred in part with the Department’s statement above, due to uncertainty regarding tax collected pursuant to rule 701—216.3(423). On January 6, 2023, two days after rule 701—216.3(423) became effective, the Department advised taxpayers to ignore the newly adopted rule 701—216.3(423) and that the Department would issue refunds to anyone who paid tax pursuant to rule 701—216.3(423).Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 701—7.28(17A).Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making will become effective on June 7, 2023.    The following rule-making action is adopted:

        ITEM 1.    Rescind rule 701—216.3(423) and adopt the following new rule in lieu thereof:

    701—216.3(423) Golf and country clubs and all commercial recreation.  All fees, dues or charges paid to golf and country clubs are subject to tax. “Country clubs” shall include all clubs or clubhouses providing golf and other athletic sports for members. Persons providing facilities for recreation for a charge are rendering, furnishing or performing a service, the gross receipts from which are subject to tax. “Recreation” shall include all activities pursued for pleasure, including sports, games and activities that promote physical fitness, but shall not include admissions otherwise taxed under Iowa Code section 423.2.    216.3(1)   Dance schools are the only schools the services of which are taxable under Iowa Code section 423.2(6). Rule 701—216.2(423) contains information on dance schools and dance studios. The sales price from any school providing training services in any activity pursued for pleasure or recreation shall not be subject to tax, unless the school is a dance school.    216.3(2)   If a person provides both facilities for recreation and instruction in recreational activities, charges for instruction in the recreational activities shall not be subject to tax if all of the following circumstances exist:    a.    The instruction charges are contracted for separately, separately billed, and reasonable in amount when compared to the taxable charges of providing facilities for recreation.    b.    The persons receiving the instruction must be under the guidance and direction of a person training them in how to perform the recreational activity. If the persons receiving what purports to be “instruction” are allowed any substantial amount of time to pursue recreational activities, no instruction is taking place. The instruction should be received in what would ordinarily be thought of as a “class” with a fixed time and place for meeting. The instruction need not be received in what would ordinarily be thought of as a “classroom,” but the instructor and the persons receiving instruction should be segregated from persons engaging in recreational activity insofar as this is possible. Instruction may still occur if complete or partial segregation is impossible.    c.    The “instruction” must impart to the learner a level of knowledge or skill in the recreational activity which would not be known to the ordinary person engaging in the recreational activity without instruction. Also, the person providing the instruction must have received some special training in the recreational activity taught if charges for that person’s instruction are to be exempt from tax.       This rule is intended to implement Iowa Code section 423.2(6)“v.”        [Filed 4/13/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.    ARC 7008CTransportation Department[761]Adopted and Filed

    Rule making related to motor vehicle financial responsibility

        The Transportation Department hereby amends Chapter 640, “Financial Responsibility,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 307.12 and 321A.2.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 321A and sections 321.269 and 321.493.Purpose and Summary    This rule making aligns Chapter 640 with existing legal authority and Department practice, eliminates outdated or irrelevant requirements, eliminates or replaces redundant and confusing language and accommodates current office structure and terminology. This rule making also reduces the regulatory burden on vehicle owners and operators by creating additional options and increased flexibility to demonstrate lawful compliance to avoid or lift license and registration suspension following an accident or a judgment.    Throughout the chapter, the name “Driver and Identification Services Bureau” is changed to “Motor Vehicle Division” to reflect the structure of the work units responsible for processing submissions and information under the chapter. Additionally, the term “suspension termination notice” is replaced with “notice terminating the suspension” and the associated form number is eliminated to align with current Department practice, the terms “proof” and “proof of financial responsibility for the future” are replaced with “proof of financial responsibility” to align with the language in Iowa Code chapter 321A, and other minor terminology and form changes clarify existing Department terminology and procedures.    A definition of “security” is added that utilizes language in Iowa Code section 321A.5. The definition clarifies the portions of the chapter that refer to the term.    The implementation sentence of rule 761—640.3(321A) is amended to add a reference to Iowa Code section 321.269, which is the statute that requires the Department to prepare and supply accident report forms.    The amendments to rule 761—640.4(321A), related to license and registration suspension for failure to deposit security following an accident, specify what types of reports qualify as a “report of a motor vehicle accident” under Iowa Code section 321A.5(1), which requires the Department to initiate suspension procedures for an uninsured vehicle owner or operator who is involved in a motor vehicle accident that results in bodily injury, death, or damage exceeding $1,500. This clarification is intended to ensure that suspension procedures are properly initiated pursuant to Iowa Code section 321A.5 if the initially submitted accident report underestimates the personal or property damage to be under $1,500, or if the vehicle owner or operator is misidentified and the correct identity is later ascertained. Under the clarified rule, all of the following are considered a “report of a motor vehicle accident”: a new or amended accident report submitted by a law enforcement officer or a driver, any supplemental accident report submitted by a driver, proof of transfer of ownership of a vehicle involved in the accident that occurred prior to the date of the accident, proof of identity of a driver incorrectly identified in an initial accident report, and proof of loss submitted by an insurance carrier authorized to transact insurance business in Iowa or by an insurance carrier authorized by power of attorney.    The amendments to subparagraph 640.4(4)“b”(2), related to security disposition, clarify that the security can be refunded only after one year has elapsed from the date of the accident in accordance with Iowa Code section 321A.10, and that upon receipt of the applicable form, the Motor Vehicle Division may confirm with the district court that no court action has been initiated or judgment rendered as a result of the accident prior to refunding the security to the depositor, which aligns with current Department practice.    The new introductory paragraph in subrule 640.4(5), related to exceptions to the requirement of security, adds cross-references to Iowa Code sections 321A.6 and 321A.7, which establish certain exceptions from security requirements. Paragraphs 640.4(5)“a” through “h” and new paragraphs 640.4(5)“i” through “k” explain the specific forms and proofs that the Department can accept to prove that the person meets a statutory exception from security requirements. No new exceptions are added; rather, the amendments revise the terminology of the exceptions to more closely align with and avoid duplication of the language used in Iowa Code sections 321A.6 and 321A.7 and provide additional details about the requirements for such proof. Specifically, the amendments establish that certain proofs must be signed by the parent or legal guardian of a minor (not the minor), that the Department may in some cases accept alternate forms of proof if the alternate form contains substantially the same information as the Department-prescribed form and add criteria that must be included on certain proofs to be accepted by the Department.    Vehicle owner exceptions, formerly under paragraphs 640.4(6)“a,” “b,” and “c,” are moved under new paragraphs 640.4(5)“i,” “j,” and “k” for clarity and consistency. The new paragraphs create flexibility by allowing a vehicle owner to be excepted from security requirements if the vehicle had been sold but Department records do not show that vehicle ownership had been transferred when the accident occurred (because of the buyer’s failure to submit documentation to complete the title transfer), even if the seller is unable to obtain the buyer’s signature on the required form, provided the seller makes a certification under penalty of perjury and provides evidence to support the certification. This accommodates situations where the seller, following the sale of the vehicle and assignment (signing) of the title over to the buyer, makes a good-faith attempt to obtain the signature of the buyer on Form 431125, “Affidavit of Seller,” but the buyer is unresponsive or refuses to sign the affidavit. The amendments also provide that a sworn seller affidavit does not need to include the names of witnesses to the sale if there were no witnesses to the sale, which accommodates situations where the vehicle sale occurred one-on-one between the buyer and seller, and clarify under what conditions an owner may be exempt from security requirements because of ownership transfer by operation of law.    Rule 761—640.5(321A), related to suspensions for certified judgments under Iowa Code section 321A.13, is amended to align with the current procedures and forms. The amendments accomplish the following: update terminology to reflect the forms and processes used by clerks of court to report a certified copy of a judgment to the Department, add cross-references to include the Iowa Code sections that enumerate the exceptions from a suspension because of a judgment, eliminate or replace redundant and confusing language, provide that a new court order authorizing payment of a judgment in installments is acceptable to lift a defaulted judgment suspension, and clarify the conditions under which the insurance coverage exception can apply.    The amendments to rule 761—640.6(321A) clarify that a person’s license or operating privilege remains suspended or revoked until the person files proof of financial responsibility with the Department, and that a person’s motor vehicle registrations remain suspended until the person files proof of financial responsibility for all vehicles registered to that person. The amendments to subrule 640.6(1) add a cross-reference to include the Iowa Code section that enumerates triggering suspensions or revocations and add clarifying language to eliminate confusion surrounding the requirements to maintain proof of financial responsibility within the two-year period.    The amendments to subrule 640.6(3) specify that a person who has filed proof of financial responsibility with the Department and obtained a driver’s license will receive a card that lists the restriction code described in subrule 605.8(1) in accordance with current Department practice.    The amendments to subrule 640.6(4) clarify that a person who has proof of financial responsibility as an operator only (but not as an owner) may operate any nonowned vehicle that has the applicable liability coverage.    Finally, the amendments to subrule 640.6(7) remove the provision that a suspension termination notice may be presented to a county treasurer to obtain a new registration when a person has completed future proof requirements, which aligns with current Department practice and the Iowa Code.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on February 22, 2023, as ARC 6917C. 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 April 11, 2023.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 June 7, 2023.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new paragraph 640.1(1)"b":    b.    “Security” means an amount of money sufficient in the determination of the department to satisfy any judgment or judgments for damages resulting from the accident as may be recovered against the operator or owner. Security is subject to the limitations and requirements of Iowa Code sections 321A.5 and 321A.9.

        ITEM 2.    Amend subrule 640.1(3) as follows:    640.1(3) Submissions and information.  Except as otherwise provided in this chapter, required submissions shall be either mailed to the Driver and Identification Services BureauMotor Vehicle Division, Iowa Department of Transportation, P.O. Box 9204, Des Moines, Iowa 50306-9204; delivered in person to 6310 SE Convenience Blvd., Ankeny, Iowa; or sent by facsimile to (515)239-1837. Information about themotor vehicle financial responsibility lawin Iowa Code chapter 321A is available from these sources or by telephone at (515)244-8725.

        ITEM 3.    Amend rule 761—640.3(321A) as follows:

    761—640.3(321A) Accident reporting requirements.  Accident reporting requirements are specified in Iowa Code section 321.266 and on Form 433002, “Iowa Accident Report Form,” which is available from law enforcement officers, driver’s license service centers, or from the driver and identification services bureaumotor vehicle division at the address in subrule 640.1(3).       This rule is intended to implement Iowa Code sections 321.266, 321.269 and 321A.4.

        ITEM 4.    Amend rule 761—640.4(321A) as follows:

    761—640.4(321A) Security required following accident.  Following an accident, security is required pursuant to Iowa Code section 321A.5.For the purposes of determining the 60-day time frame under Iowa Code section 321A.5(1), a “report of a motor vehicle accident” includes a new or amended law enforcement officer accident report submitted to the department under Iowa Code section 321.266(3); a new or amended driver accident report, Form 433002, submitted to the department under Iowa Code section 321.266(2); any supplemental report submitted to the department under Iowa Code section 321.267; proof of transfer of ownership of a vehicle involved in the accident that occurred prior to the date of the accident; proof of identity of a driver incorrectly identified in an initial accident report; or proof of loss submitted by an insurance carrier authorized to transact insurance business in Iowa or its authorized subrogation provider. Nothing in this rule shall be construed to extend the duration of a suspension issued under Iowa Code section 321A.5 beyond the period authorized in Iowa Code section 321A.7.    640.4(1) Suspension.      a.    If the security requirements of Iowa Code section 321A.5 are not met, the department shall suspend all licenses of the driver and all registrations of the owner.    b.    The suspension shall become effective 30 days after a suspension notice is served pursuant to rule 761—615.37(321). The notice shall inform the person of the amount of security required. The duration of the suspension is provided in Iowa Code section 321A.7. When the suspension ends, the department shall issueto the person a suspension termination notice to the personterminating the suspension.    640.4(2)   Reserved.    640.4(3) Security—amounts and type.      a.    The amount of security required of the uninsured driver and owner shall be determined from reports of the drivers involved in the accident, reports of investigating officers and from supplemental information obtained from persons involved in the accident concerning amounts of damage and injury sustained. Form 431074, “Insurance Request Letter,” may be mailed to parties to the accident for supplemental information. The security required shall not be increased after the suspension notice has been served, but may be reduced if evidence of exact costs is submitted to the department. The amount of security shall not exceed the minimum limits of liability for death or injury specified in Iowa Code chapter 321A.    b.    The security shall be deposited with the driver and identification services bureaudepartment at the address in subrule 640.1(3). The department shall issue to the depositor a receipt when the security is received. Security shall be one of the following types:    (1)   Cash.    (2)   Cashier’s check, certified check, bank draft, or postal money order payable to: Treasurer, State of Iowa.    (3)   Surety bond issued by a company authorized to transact insurance business in Iowa.    640.4(4) Security disposition.      a.    Security is held by the state treasurer and can be released only for payment of a judgment or as otherwise provided in Iowa Code section 321A.10; or by a court, including by Form 431097, “Order for Release of Security”; or by Form 433010, “Assignment and Release.”     b.    The security can be refunded at any time as follows:    (1)   When compliance as provided insubrule 640.4(5) is presented to the driver and identification services bureaumotor vehicle division at the address in subrule 640.1(3); or    (2)   When, after one year has elapsed from the date of the accident, Form 433007, “District Court Affidavitfor Reinstatement or Refund of Security,” is completed by the clerk of the district court of the county where the accident occurreddepositor, the form indicates that no action has been initiated or judgment rendered, and the form is submitted to the driver and identification services bureaumotor vehicle division.Upon receipt of the form, the motor vehicle division may confirm the facts contained therein with the district court of the county where the accident occurred or any other court of competent jurisdiction.    640.4(5) Exceptions to requirement of security.  Compliance can be shown as follows: general releases, agreement releases, confession of judgment, accord and satisfaction, covenant not to sue, no-fault or no reasonable possibility of judgment, adjudication nonliability, and bankruptcy.A person who meets the requirements under Iowa Code section 321A.6(1) or 321A.6(2) is exempt from security requirements. A person who qualifies for an exception under Iowa Code section 321A.6(3), 321A.6(4) or 321A.7(3) must submit proof to the department at the address in subrule 640.1(3) showing that the person qualifies for the applicable exception as follows:    a.    General releasefrom liability.To qualify for this exception, a person shall submitForm 431036, “General Release,” may be obtained from the driver and identification services bureau at the address in subrule 640.1(3).“General Release.” The signature of the party giving the release shall be notarized or witnessed by a disinterested person. The release shall be accompanied by a power of attorney or subrogation authority if signed by a person other than the party sustaining damage or injury.If the party giving release is a minor, the release shall be signed by the parent or legal guardian of the minor. The department may accept an equivalent alternative form to prove a person’s general release from liability.    b.    AgreementDuly acknowledged written agreement release.To qualify for this exception, a person shall submitForm 181301, “Agreement,” may be obtained from the driver and identification services bureau at the address in subrule 640.1(3).“Agreement.” Complete information shall be provided on the form including the total amount of settlement agreed upon by the parties involved and a release of liability upon fulfillment of payments. The signatures of all parties to the agreement shall be notarized. The release shall be accompanied by a power of attorney or subrogation authority if signed by a person other than a party sustaining damage or injury. Compliance shall be credited only toIf the party giving release is a minor, the release shall be signed by the parent or legal guardian of the minor. This documentation demonstrates compliance only for a party who has agreed to make payment and whose signature appears on the agreement release.The department may accept an equivalent alternative form to prove that a person has executed a duly acknowledged written agreement.    c.    ConfessionCourt-certified confession of judgment.A court certifiedTo qualify for this exception, a person shall submit a court-certified copy of a confession of judgment including, which must include the total sum to be paid, the payment schedule agreed to by the parties is acceptable compliance. No specific form is provided by the driver and identification services bureau, the signature of both parties, and proof of loss if the judgment is to be paid to a subrogation authority.    d.    Accord and satisfaction.Accord and satisfaction may be shown byTo qualify for this exception, a person shall submit documentation that one party to an accident or the party’s insurance carrier has accepted liability for the accident and has compensated the other party to the accident for damages and injuries. This documentation does not serve asdemonstrate compliance for a third party.    e.    Covenant not to sue.ATo qualify for this exception, a person shall submit documentation of a covenant not to sue can bethat is given to a party to an accident as compliance by another party to the accident when a release would damage any claim against a third party.    f.    No-faultProof of no-fault or no reasonable possibility of judgment.Security cannot be required of a person if there is no reasonable possibility that judgment could be rendered against such person. Freedom from fault or immunity from judgment is acceptable compliance when presentedTo qualify for this exception, a person shall submit proof that the person is not at fault for the accident or that there is no reasonable possibility of judgment being rendered against a person inany of the following mannerways:    (1)   The investigating officer’s report of the accident indicates the other driver caused the accident.    (2)   The other driver admits causing the accident.    (3)   Witness statements indicate the other driver caused the accident.    (4)   The other driver is convicted of a violation which caused the accident.    g.    Adjudicationof nonliability.Adjudication of nonliability may be shown byTo qualify for this exception, a person shall submit a certified copy of a final court judgment that is rendered in a civil damage action resulting from the accident and that relieves the uninsuredperson of any obligation to pay damages.    h.    Bankruptcy.Security is not required of a person whenTo qualify for this exception, a person shall submit a copy of the decree for bankruptcy showing that all possible claims against the person arising from the accident have been scheduled in the bankruptcy petitiondecree. To establish this exception, the person shall submit a copy of the petition for bankruptcy to the driver and identification services bureau at the address in subrule 640.1(3).    i.    Owner exceptions—requirementsexception under Iowa Code section 321A.6(3).To qualify for this exception, a vehicle owner shall submit documentation that the vehicle was being operated at the time of an accident without the owner’s permission, express or implied. This exception does not apply to a person who was driving the vehicle at the time of the accident. Acceptable documentation includes the following:    (1)   A police report indicating the vehicle was stolen.    (2)   Proof of the driver’s conviction of operating the vehicle without the owner’s consent at the time of the accident.    (3)   A sworn affidavit that the vehicle was being operated without permission at the time of the accident.    (4)   A witness affidavit that the driver had been denied use of the vehicle.    a.    An owner can be excepted from the security requirements if the vehicle was being used at the time of an accident without the owner’s consent. The owner may qualify for this exception if the police report indicates the vehicle was stolen, or if the driver was convicted of operating without the owner’s consent. In the absence of such police report or conviction, the owner may furnish a sworn affidavit that the vehicle was operated without permission or the owner may furnish affidavits of witnesses that the driver had been denied use of the vehicle.    b.    j.    Owner exception for vehicle sale.A person may be exempted from the security requirements applicable to an owner if the motor vehicle had been sold but the title had not been transferred when the accident occurred.To qualify for this exception, a vehicle owner shall submit documentation that the vehicle owner had sold the vehicle involved in the accident and the title had been reassigned to the new owner, but departmental records did not yet show that the title had been transferred when the accident occurred. This exception does not apply to a person who was driving the vehicle at the time of the accident. Acceptable documentation includes the following:    (1)   The person who sold the motor vehicle may qualify for this exemption by submitting to the department Form 431125, “Affidavit of Seller.” This form must be“Affidavit of Seller,” completed by both the buyer and seller with signatures notarized or attested to by an officera member of the department, unless the seller certifies under penalty of perjury that the buyer’s signature could not be obtained and provides evidence to the satisfaction of the department that supports this certification.    (2)   A sworn affidavit by the seller and witnesses to the sale, if any, that the vehicle had been sold may be furnished in lieu of Form 431125, “Affidavit of Seller.” The affidavit must include, including a description of the vehicle, the date of the sale, the monetary consideration, facts concerning the assignment of title and delivery of possession, and the names of witnesses to the sale, if any.    c.    k.    Owner exception for vehicle transfer.Ownership transferred by operation of law can be shown by furnishingTo qualify for this exception, a vehicle owner shall submit certified copies of any court order by which ownership of a vehicle was awarded to another partyprior to the date of the accident.This exception does not apply to a person who was driving the vehicle at the time of the accident.       This rule is intended to implement Iowa Code sections 321A.4 to 321A.11 and 321A.31.

        ITEM 5.    Amend rule 761—640.5(321A) as follows:

    761—640.5(321A) Judgments.  A suspension of license and registrations is requiredunder Iowa Code section 321A.13 when the department receives a certified copy of afrom the clerk of court a certification of judgment which has remained unsatisfied for at least 60 dayspursuant to Iowa Code section 321A.12. Form 431126, “Certification of Judgment,” may be used by the clerk of court to report a certified judgment to the department.    640.5(1) Suspension.  The suspension becomes effective on the date Form 431010, “Suspension Notice,”the suspension notice is served pursuant torule 761—615.37(321). The notice shall inform the person that the privilege to operate and register motor vehicles in Iowa is suspended until the judgment is satisfied and proof of financial responsibility is shown. The duration of the suspension is provided in Iowa Code section 321A.14. When the suspension ends, the department shall issue to the person Form 431009, “Suspension Termination Notice.”a notice terminating the suspension.    640.5(2) Suspension—exceptions.  A person who qualifies for an exception under Iowa Code section 321A.13, 321A.14 or 321A.16 must submit proof to the department at the address in subrule 640.1(3) that the person qualifies for the applicable exception in one of the following ways:    a.    Creditor’s consent.TheTo qualify for this exception, the judgment debtor may requestmust obtain written consent from the judgment creditor for issuance of the debtor’s license and registrations while paying the judgment. If the creditor consents in writing and the debtor provides proof of financial responsibility, the suspension shall be terminated. If this consent is withdrawn, a new suspension is required in accordance with subrule 640.5(1).    b.    Satisfaction of judgment.The judgment suspension will be terminated when theTo qualify for this exception, the judgment debtor obtains from the clerk of courtmust submit a certificate of satisfaction or receipt for payment of the judgment and presents the certificate or receipt to the department and files proof of financial responsibilityfrom the clerk of court.    c.    Bankruptcy.If theTo qualify for this exception, the judgment debtor submits to the departmentmust submit a copy of the petitiondecree for bankruptcy which includes the judgment debt, the department shall terminate the suspension.    d.    Court order for installment payments.If theTo qualify for this exception, the judgment debtor submits to the departmentmust submit a court order authorizing payment of the judgment in installments and files proof of financial responsibility, the department shall terminate the suspension. A new suspension, as provided in subrule 640.5(1), is required when the department receives notice of a default in the payments. The default suspension continuesshall continue until the judgment is satisfiedor a new court order authorizing payment of the judgment in installations is received.    e.    Insurance coverage exception.The debtor can be relieved of the suspension if there was liability insurance coverage in effect at the time of the accident from which the judgment was rendered. The requirements are the same as provided in Iowa Code section 321A.13. The department will acceptTo qualify for this exception, the judgment debtor who held effective liability insurance coverage at the time of the accident from which the judgment was rendered shall submit a copy of the insurance policy and a letter from the insurance carrier confirming that they werethe insurance carrier was authorized to issue liability insurance,and that theythe insurance carrier did provide coverage for the debtor in amounts required by the financial responsibility law, and the reason why the insurance carrier has not paid such judgment.       This rule is intended to implement Iowa Code sections 321A.12 to 321A.29 and 321A.31.

        ITEM 6.    Amend rule 761—640.6(321A) as follows:

    761—640.6(321A) Proof of financial responsibility for the future.  Proof of financial responsibility for the future is required pursuant to Iowa Code sections 321A.13, 321A.14, 321A.16 and 321A.17. UnlessA person’s driver’s license or nonresident operating privilege shall remain suspended or revoked until the person has filed proof of financial responsibility with the department. In addition, a person’s motor vehicle registrations shall remain suspended until the person has filedwith the department proof of financial responsibility for all motor vehicles registered to that person, the department shall also suspend the person’s motor vehicle registrations.    640.6(1) Duration of proofof financial responsibility.  Proof of financial responsibility is required for two years starting on the effective date of the person’s last suspension or revocationthat qualifies under Iowa Code section 321A.17. The requirement terminates if the person required to give proof dies or becomes incapable of operating a motor vehicle, or surrendersthe driver’s license andthe platesof all vehicles registered in the person’s name to the department. Reinstatementof the person’s driver’s license or nonresident operating privilege and motor vehicle registrations within the two-year requirement is possible only if the person refiles such proof.    640.6(2) Methods of giving proofof financial responsibility.      a.    Proof of financial responsibility may be shown by a liability insurance certificate pursuant to Iowa Code section 321A.19. Form SR-22, “AAMVA Uniform Financial Responsibility Form,” is required as the form of the certificate except when proof of financial responsibility is submitted electronically. When proof of financial responsibility is submitted electronically, the proof shall be in a format approved by the department. The form may describe an owner’s or operator’s policy and shall identify the policyholder by name, address, driver’s license number, and birth date. The effective date of the policy shall be the same as the effective date on the form. The vehicles covered shall be identified by year, make, model and vehicle identification number. The form shall be certified in accordance with the Iowa financial responsibility law by an insurance carrier authorized to transact insurance business in Iowa or by aan insurance carrier authorized by power of attorney. The policy shall be canceled only as provided in Iowa Code section 321A.22. Certification of coverage for an owner’s policy authorizes the policyholder to have registrations for the described vehicles. Certification of coverage for an operator’s policy does not authorize registrations.    b.    Proofof financial responsibility may be given for a person who is an operator in the employ of the owner of the motor vehicle, or who is a member of the immediate family or household of the owner pursuant to Iowa Code section 321A.26, if the owner’s insurance carrier certifies for the person required to show proofof financial responsibility. In addition to the requirements in paragraph 640.6(2)“a,” the proofof financial responsibility shall identify both the policyholder and the person for whom proofof financial responsibility is given. This certification does not authorize the person required to give proofof financial responsibility to register a motor vehicle.    c.    Proofof financial responsibility may be given for a person who is an operator in the employ of an owner of a fleet of motor vehicles, if the owner’s insurance carrier certifies for the person required to show proof, by submittingof financial responsibility. Form SR-23, “AAMVA Uniform Financial Responsibility Form,” except whenis required as the form of the certificate except when proof of financial responsibility is submitted electronically. When proof of financial responsibility is submitted electronically, the proof shall be in a format approved by the department. The form shall identify the policyholder’s name and address, policy number, policy dates and effective date. This certification does not authorize the person required to give proofof financial responsibility to register a motor vehicle.    d.    Proofof financial responsibility may be given for a person who is an operator in the employ of an owner who has qualified as a self-insurer pursuant to Iowa Code section 321A.34. A certificate of self-insurance may be issued by the department to a person in whose name more than 25 vehicles are registered and who submits a financial statement which is found to be satisfactory to the department. Form SR-1, “Application for Self Insurance,” shall be completed and submitted to the department with a list of all the owner’s motor vehicles registered in Iowa identified by make, year, model, and vehicle identification number. When the application is approved, the department shall issue Form SR-2, “Self Insurance Certificate.” Failure to pay a judgment pursuant to Iowa Code section 321A.34 or failure to submit an annual financial statement shall be reasonable grounds for cancellation of the certificate.    640.6(3)   Rescinded, effective 1/26/83.Proof of financial responsibility restriction. When a person has filed satisfactory proof of financial responsibility in accordance with subrule 640.6(2), and the person applies for and is otherwise eligible for a driver’s license, the department shall issue the driver’s license with a restriction indicating that the person is subject to proof of financial responsibility requirements. The restriction code shall be the same as described in 761—subrule 605.8(1).    640.6(4) Terminating the suspension upon filing of proofof financial responsibility.  When future proof of financial responsibility is shownprovided under subrule 640.6(2) and the person is otherwise eligible for licensingor registration, the department shall issue Form 431009, “Suspension Termination Notice,”a notice terminating the suspension to the person whose privileges were suspended under Iowa Code section 321A.13, 321A.14, 321A.16 or 321A.17 or rulesrule 761—640.5(321A) andor 761—640.6(321A). To regain operating privileges, the person shall pass the required examinations and pay the required fees. The person’s operating and registration privileges are restricted to the motor vehicles covered under the proof of financial responsibility filed by the applicant, except that a person required to give proof of financial responsibility who holds proof of financial responsibility as an operator may operate a nonowned vehicle provided the owner of that vehicle has liability coverage required under Iowa Code chapter 321A.    640.6(5) Cancellation of future proofof financial responsibility.  An insurance carrier shall only cancel or terminate a certificate of insurance pursuant to Iowa Code section 321A.22. The cancellation shall be certified by an authorizedinsurance carrier representative on Form SR-26, “AAMVA Uniform Financial Responsibility Form,” except when cancellation of future proof of financial responsibility is submitted electronically. When cancellation of future proof of financial responsibility is submitted electronically, the cancellation shall be in a format approved by the department. The cancellation of future proof of financial responsibility shall identify the proof of financial responsibility certificate to be canceled by name and address of the person, social security number, birth date, driver’s license number, number of the policy to be canceled and the effective date of cancellation.    640.6(6) Suspension when future proofof financial responsibility is canceled.      a.    When a person’s future proofof financial responsibility is canceled, the person shall immediately refile future proofof financial responsibility or surrender the license and registrations to the department.    b.    If the person fails to refileproof of financial responsibility, Form 431010, “Suspension Notice,”a suspension notice shall be served in accordance withrule 761—615.37(321). The effective date of the suspension shall be the date the notice is served. The notice shall inform the person that the privilege to operate and register motor vehicles in Iowa is suspended until future proofof financial responsibility is refiled. When the person refiles future proofof financial responsibility, the department shall issue to the person Form 431009, “Suspension Termination Notice.”a notice terminating the suspension.    640.6(7) Terminating the two-year proofof financial responsibility requirement.  Form 431009, “Suspension Termination Notice,”A notice terminating the requirement to maintain proof of financial responsibility shall be issued to a person who has completed futuresatisfied proofof financial responsibility requirementspursuant to Iowa Code section 321A.29. The form shall notify the person that proofof financial responsibility is no longer required and that the person may operate and register motor vehicles without the proof restrictionsmaintaining and filing with the department proof of financial responsibility. If the person’s driver’s license is still valid, the person may obtain a duplicate driver’s license without the proof restrictionsrestriction under subrule 640.6(3). If the driver’s license has expired or has not been reinstated and the person is otherwise eligible for licensing, the person shall pass the required examinations and pay the required fees. The suspension termination notice may also be presented to the county treasurer to obtain a new registration.    640.6(8) Electronic submission of proof of financial responsibility and cancellation of future proof of financial responsibility.  Prior to July 1, 2021, an insurance carrier authorized to transact business in the state of Iowa may electronically submit proof of financial responsibility and cancellation of future proof of financial responsibility in a format approved by the department. An insurance carrier that submits proof of financial responsibility or cancellation of future proof of financial responsibility under this rule shall implement electronic submission of such proof no later than July 1, 2021. As of July 1, 2021, no paper submissions of such proof shall be acceptedby the department from the insurance carrier, and allsubmissions of proof of financial responsibility and cancellation of future proof of financial responsibility shall be submitted electronically in a format approved by the department.       This rule is intended to implement Iowa Code sections 321A.12 to 321A.29, 321A.31 and 321A.34.

        ITEM 7.    Amend rule 761—640.7(321A) as follows:

    761—640.7(321A) Transfer of suspended registration.  A person whose motor vehicle registration privileges have been suspended may make a bona fide sale pursuant to Iowa Code sections 321.493 and 321A.30. The department shall release the suspended registration to permit the registration of the motor vehicle by the purchaser when presented with either the seller’s sworn statement on Form 433015, “Affidavit of Bona Fide Sale,”411107, “Notice of Sale of Vehicle and Delivery of Title,” or confirmation from the county treasurer that the sale has been made and release of the registration is necessary to complete the transfer of title.       This rule is intended to implement Iowa Code sections 321.493 and 321A.30.        [Filed 4/11/23, effective 6/7/23][Published 5/3/23]Editor’s Note: For replacement pages for IAC, see IAC Supplement 5/3/23.
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