Bulletin 04-11-2018

Front matter not included
ARC 3728CChief Information Officer, Office of the[129]Notice of Intended Action

Proposing rule making related to the broadband grants program and providing an opportunity for public comment

    The Office of the Chief Information Officer hereby proposes to adopt new Chapter 22, “Broadband Grants Program,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 8B.4(5) and 8B.11(8).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 8B.11.Purpose and Summary    New Chapter 22 applies to the Broadband Grants Program established by Iowa Code section 8B.11 and administered by the Office. As authorized by Iowa Code section 8B.11(8), this proposed chapter establishes program process, management, and measurement rules designed to ensure the effective and efficient administration and oversight of the Broadband Grants Program, the key objective of which is to reduce or eliminate underserved areas (statutorily referred to as targeted service areas) in Iowa by incentivizing the installation of broadband infrastructure by communications service providers therein.Fiscal Impact    The Office will use the existing budget and resources to implement these rules, including any specific appropriations made during the 2018 Legislative Session for such purpose. Jobs Impact    Deployment of grant funds should lead to increased broadband projects for communications service providers and therefore increased job opportunities across the state.Waivers    These rules establish general processes and procedures applicable to the posting of opportunities related to and applications for grant funds. Specific requirements, however, will be more fully articulated in the Notice of Funding Availability, as stated in these rules. Waivers will be handled in accordance with the terms of the Notice of Funding Availability—similar to the manner in which waivers for requests for proposals in the procurement context are handled. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Office no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Robert S. von Wolffradt Office of the Chief Information Officer Hoover State Office Building1305 East Walnut StreetDes Moines, Iowa 50319Email: CIO@iowa.govPublic Hearing    If timely requested, a public hearing at which persons may present their views orally or in writing will be held as follows: May 2, 2018OCIO Innovation Lab10 to 11 a.m. Hoover State Office Building1305 East Walnut Street Des Moines, Iowa    Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Office and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making action is proposed:

    ITEM 1.    Adopt the following new 129—Chapter 22: CHAPTER 22BROADBAND GRANTS PROGRAM

129—22.1(8B) Definitions.  The definitions in rule 129—20.1(8B,427) shall apply to this chapter. In addition, for purposes of this chapter, the following definitions shall also apply:"Grantee" means a communications service provider awarded grant funds by the office pursuant to and in accordance with Iowa Code section 8B.11 and these rules."Project" means an installation of broadband infrastructure by a communications service provider in one or more targeted service areas. Except in limited circumstances otherwise permitted herein, a project may not be comprised of, in whole or in part, census blocks that are not targeted service areas.

129—22.2(8B) Purpose and scope.  This chapter applies to the broadband grants program established by Iowa Code section 8B.11 and administered by the office. As authorized by Iowa Code section 8B.11(8), this chapter establishes program process, management, and measurement rules designed to ensure the effective and efficient administration and oversight of the program, the key objective of which is to reduce or eliminate targeted service areas in the state of Iowa by incentivizing the installation of broadband infrastructure by communications service providers therein.

129—22.3(8B) Notice accepting grant funds.       22.3(1)   The office shall provide notice to communications service providers when grant funds become available for distribution by the office by posting a “Notice of Funding Availability” (NOFA) online at iowagrants.gov and ocio.iowa.gov/broadband.     22.3(2)   Such NOFA may:    a.    Generally describe the application process.    b.    State the date, time, and manner by which applications for such grant funds must be submitted to the office in order to be eligible for consideration by the office for an award of grant funds.    c.    State the total amount of grant funds available for distribution under the applicable NOFA.    d.    Describe the factors the office will consider in determining whether, to which communications service providers, and in what amount(s) to award grant funds.    e.    Set forth any measurement, technical, scoring, or other similar standards, formulas or criteria the office will utilize in applying any factors considered by the office in determining whether, to which communications service providers, and in what amount(s) to award grant funds.    f.    State any other terms, conditions, requirements, or processes applicable to communications service providers submitting applications for grant funds, including but not limited to any grant agreement the office may require a grantee to enter into as a condition of receiving grant funds pursuant to subrule 22.6(1).

129—22.4(8B) Applications for grant funds.      22.4(1) Application process.  Following the issuance of a NOFA by the office, communications service providers may apply to the office for grant funds for the installation of broadband infrastructure in targeted service areas at or above 25 megabits per second of download speed and 3 megabits per second of upload speed. Applications shall be made and submitted in accordance with the terms of the NOFA.    22.4(2) Contents of application.  In addition to any other questions or requirements established by the NOFA, an application shall, at a minimum, include:    a.    The communications service provider’s legal and business name and address;    b.    The name, address, telephone number, and email address of the person authorized by the communications service provider to respond to inquiries regarding the application;    c.    The census block number(s) as provided on the statewide map referenced in rule 129—20.4(8B,427) for the targeted service area(s) forming the basis of the application/project (i.e., the targeted service area(s) in which the proposed installation of broadband infrastructure will occur);    d.    Attestation that the broadband infrastructure installed in the targeted service area(s) will facilitate broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed.    22.4(3) Deadlines.  The office will only consider applications received on or before the applicable deadline as stated in the NOFA, unless the office, in its sole discretion, establishes a different deadline for the submission of applications. The office may establish a different deadline for all applicants, but will not change the deadline for or at the request of any individual applicant.    22.4(4) Applications—public records.  Pursuant to Iowa Code section 8B.11(3), the office is required to post applications to a public Internet site. Accordingly, and consistent with Iowa Code chapter 22, except in narrowly defined circumstances as stated in the NOFA, in accordance with the terms and conditions stated therein, and solely to the extent permitted by applicable law, the office will treat all applications submitted by communications service providers and their contents as public, nonconfidential records/information and make them generally available for public inspection at ocio.iowa.gov/broadband.    22.4(5) Limited exception for broadband infrastructure installed outside of targeted service areas.  These rules generally limit the use of grant funds to and for broadband infrastructure installed within targeted service areas. This requirement is designed to ensure that the use of grant funds has the greatest possible impact on eliminating targeted service areas and to ensure the office’s effective, efficient, and responsible management/oversight of the program. Notwithstanding, the office may, on a limited basis and in the office’s sole discretion, permit communications service providers to apply for and utilize grant funds for broadband infrastructure installed outside of targeted service areas that is essential to and inextricably intertwined with facilitating broadband infrastructure within targeted service areas forming the basis of a project; provided that a communications service provider applying for any such exception shall be required to clearly demonstrate to the office’s sole satisfaction:    a.    Why reimbursement for such broadband infrastructure deployed outside of a targeted service area is essential to and inextricably intertwined with facilitating broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed in a targeted service area(s) forming the basis of a project and cannot otherwise be excluded from the application; and    b.    The specific methods/formulas the communications service provider will utilize in proportionally allocating the costs of and for such broadband infrastructure to targeted service area(s) forming the basis of the project to which broadband service is facilitated by such infrastructure.

129—22.5(8B) Application review process and award of grant funds.      22.5(1) Optional period for public comment.  Following the expiration of the deadline for the receipt of applications stated in the NOFA, the office may, in its sole discretion, open a period for public comment as it relates to such applications through the state of Iowa’s public comment website: comment.iowa.gov. If the office elects to solicit public comment pursuant to this rule, any member of the public will be permitted to submit comments regarding applications received by the office.    22.5(2) Review committee.  Following the expiration of the deadline for the receipt of applications stated in the NOFA, the office will supply all applications received by the deadline and otherwise warranting review in accordance with the terms, conditions, and requirements of the NOFA, these rules, and Iowa Code chapter 8B, to a review committee established by the office comprised of representatives selected by the office from schools, communities, agriculture, industry, and other areas. The review committee will review the applications and provide input/make recommendations to the office regarding whether, to which projects, and in what amount(s) to award grant funds, in accordance with the terms, conditions, and requirements of the NOFA, these rules, and Iowa Code chapter 8B.    22.5(3) Office final decision.  Following the office’s receipt of the review committee’s input or recommendations and the closure of the period for public comment, if any, the office will review all applications received by the deadline and otherwise warranting review in accordance with the terms, conditions, and requirements of the NOFA, these rules, and Iowa Code chapter 8B, the input/recommendations made by the review committee, and any public comment solicited/received, all in accordance with the terms, conditions, and requirements of the NOFA, these rules, and Iowa Code chapter 8B, and make a final agency decision regarding whether, to which projects, and in what amount(s) to award grant funds.     a.    In so doing, the office will take into consideration the following factors, in accordance with and in the manner specified by the terms, conditions, and requirements of the NOFA:    (1)   The relative need for broadband infrastructure in the area and the existing broadband service speeds. Existing broadband service speeds may be determined by reference to the statewide map referenced in rule 129—20.4(8B,427).    (2)   The percentage of the homes, schools, and businesses in the targeted service area(s) forming the basis of the project that will be provided access to broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed as a result of the project.    (3)   The geographic diversity of the project areas of all applicants.    (4)   The economic impact the project will have on the area.    (5)   The applicant’s total proposed budget for the project, including the amount or percentage of local match, if any.    (6)   Any other factors deemed relevant by the office as stated in the NOFA.    b.    In determining whether, to which projects, and in what amount(s) to award grant funds, the office will not:    (1)   Base its decision on the office’s prior knowledge of any applicant except for the information provided in the application; or    (2)   Make an award that exceeds 15 percent of any communications service provider’s total estimated allowable project costs for a proposed installation of broadband infrastructure.    22.5(4) Notice to applicants of decision and right to appeal.  The office shall notify each communications service provider awarded a grant by the office of the office’s decision(s) in accordance with the terms and conditions of the NOFA. The office will also post such decision(s) online at iowagrants.gov and ocio.iowa.gov/broadband. Unsuccessful applicants are solely responsible for reviewing such websites to determine their award status. Such agency decision(s) shall become final unless, within ten days of such email transmission or posting, an applicant which was adversely affected by a decision of the office files a request for a contested case proceeding pursuant to 129—Chapter 6. Failure to challenge the office’s decision under this rule by filing a request for a contested case within the ten-day period shall waive any claims an applicant may have related to the office’s administration of the process and otherwise be deemed a failure to exhaust administrative remedies.

129—22.6(8B) Administration of award.      22.6(1) Grant agreement required.  The office may require a grantee to enter into a grant agreement with the office in accordance with the terms, conditions, and requirements of the NOFA. Such grant agreement may include, but not be limited to, the total amount of the grant funds awarded to the grantee; a description of the project to be completed by the grantee and specifications related thereto; a description of allowable expenditures; conditions related to the disbursement of grant funds; default and termination procedures; performance, certification, and verification requirements/criteria necessary to confirm project success/completion; and repayment requirements in the event the grantee does not fulfill its obligations under the agreement, these rules, or Iowa Code chapter 8B. In addition to any terms, conditions, or requirements specifically set forth in such agreement, any and all requirements established by Iowa Code chapter 8B, these rules, other applicable law, rule, or regulation, or the NOFA shall be deemed incorporated by reference into such grant agreement as if fully set forth therein.    22.6(2) Mapping data required.  Upon project completion, a grantee must supply the office with geographic information system (GIS) data in a form deemed acceptable to the office demonstrating specifically where a completed project for which grant funds have been utilized traverses. As it relates to aspects of installations delivered over wireline, such GIS data must enable the office to determine which specific homes, schools, and businesses within each targeted service area forming the basis of the project have access to broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed as a result of the project.    22.6(3) Reimbursements, record keeping/audits, performance/certification, and repayment.  In the absence of more specific provisions in an agreement executed between a grantee and the office in accordance with these rules establishing conflicting or inconsistent terms and conditions, the following terms and conditions shall apply by default to any award of grant funds made by the office under Iowa Code section 8B.11 and these rules:    a.    Reimbursement.    (1)   General. A grantee shall only be reimbursed by the office for:    1.   Allowable and not disallowed expenditures actually and previously incurred by the grantee. What constitutes allowable or disallowable expenditures shall be further specified in the NOFA or grant agreement.    2.   Expenditures for broadband infrastructure installed in targeted service areas; or, in the limited circumstances permitted herein, to the extent any expenditures relate to broadband infrastructure installed outside of targeted service areas but which facilitates broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed within targeted service areas underlying the application, only for the proportionate amount that such broadband infrastructure facilitates broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed within targeted service areas; and    3.   Expenditures for which the grantee is able to supply sufficient and appropriate documentation. What constitutes sufficient or appropriate documentation shall be further specified in the NOFA or grant agreement.    (2)   Timing. Requests for reimbursement may be submitted to the office in accordance with the terms and conditions in the NOFA or grant agreement.    b.    Performance/certification.After the completion of a project utilizing, in whole or in part, grant funds, a grantee must:    (1)   Certify to the office that the project was completed as proposed in the original application, including but not limited to that the final installation was installed in or otherwise facilitates broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed in each of the applicable targeted service areas identified in the original application, and identify the total number of homes, schools, and businesses actually receiving broadband service in each targeted service areas identified in the original application as a result of the project.    (2)   Attest that any claimed, allowable expenditures are true and accurate, were directly related to the installation of broadband infrastructure that facilitates broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed in eligible targeted service areas forming the basis of the project, and were properly allocated in accordance with the terms, conditions, and requirements of the NOFA or grant agreement.    (3)   Supply the office with updated GIS data in accordance with subrule 22.6(2).    c.    Field testing.The office may, in its discretion, conduct field tests for compliance with the requirements of Iowa Code sections 8B.1 and 8B.11, these rules, and any grant agreement entered into between a grantee and the office pursuant to subrule 22.6(1) at any time after broadband service is certified as complete in accordance with paragraph 22.6(3)“b” and prior to reimbursing a grantee for any claimed, allowable expenditures. Such field tests may include but not be limited to speed tests from any location in a targeted service area or census block in which the project was to be deployed or, in the case of wireline installations, the grantee’s network operation center or central office.    d.    Disbursement/repayments.    (1)   A grantee shall not be entitled to the applicable portion of any grant funds or shall be obligated to repay the office the applicable portion of any grant funds previously distributed by the office to the grantee if the office determines that:    1.   Claimed expenditures or a prior reimbursement, in whole or in part, was comprised of expenditures that were not allowable or were disallowed, were improperly or incorrectly allocated, or were not supported by sufficient and appropriate documentation;    2.   Claimed expenditures or the total amount previously reimbursed by the office exceeds 15 percent of the grantee’s estimated or final total allowable project costs, whichever is less.    (2)   A grantee shall not be entitled to any grant funds or shall be obligated to repay the office the entire amount of any grant funds previously distributed by the office to the grantee if the office determines that:    1.   Claimed expenditures or a prior reimbursement, in whole or in part, was used for the installation of broadband infrastructure that was not in or does not facilitate broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed in a targeted service area identified in the original application;    2.   A grantee fails to complete the project as proposed in the original application; or    3.   Any representation or warranty made by a grantee in an application for grant funds, a grant agreement entered into between a grantee and the office pursuant to subrule 22.6(1), or in any other representation or statement made by the grantee to the office proves untrue in any material respect as of the date of the issuance or making thereof.    e.    Notice of default.If the office determines a grantee is not entitled to or is otherwise required to repay the office in accordance with paragraph 22.6(3)“d,” the office may issue the grantee a “Notice of Default,” which shall afford the grantee 30 days to cure the default. Whether a grantee has sufficiently cured the default shall be determined in the sole discretion of the office. If a grantee fails to cure the default within 30 days, the office may issue an order requiring the grantee to reimburse the office for the amount specified in the “Notice of Default.”    22.6(4) Remedies for noncompliance.  In addition to issuing a “Notice of Default” and subsequent order requiring the grantee to reimburse the office for failing to cure the default pursuant to paragraph 22.6(3)“e” and any other remedies available to the office pursuant to a grant agreement entered into between a grantee and the office pursuant to subrule 22.6(1), the office may, for cause, find that a grantee is not in compliance with the requirements of Iowa Code section 8B.11, these rules, or a grant agreement entered into by the office and a grantee pursuant to subrule 22.6(1).     a.    At the office’s sole discretion, remedies for noncompliance may include, but are not limited to, the following:    (1)   Issuing a warning letter stating that further failure to comply with program requirements within a stated period of time will result in a more serious action.    (2)   Conditioning a future grant on compliance with program requirements within a stated period of time.    (3)   Disallowing future reimbursements.    (4)   Requiring that some or all previously issued grant funds be reimbursed to the office.    b.    Reasons for a finding of noncompliance include, but are not limited to, one or more of the following:    (1)   A violation of any of the terms or conditions of a grant agreement entered into between the office and a grantee pursuant to subrule 22.6(1);    (2)   A grantee’s failure to complete a project in a timely manner;    (3)   A grantee’s failure to comply with any applicable state laws, rules, or regulations;    (4)   Claimed expenditures or a prior reimbursement, in whole or in part, was comprised of expenditures that were not allowable or were disallowed, were improperly or incorrectly allocated, or were not supported by sufficient and appropriate documentation;    (5)   Claimed expenditures or a prior reimbursement, in whole or in part, was used for the installation of broadband infrastructure that was not in or that does not facilitate broadband service at or above 25 megabits per second of download speed and 3 megabits per second of upload speed in a targeted service area identified in the original application;    (6)   A grantee fails to complete the project as proposed in the original application;    (7)   The total claimed expenditures or the amount previously reimbursed by the office exceeds 15 percent of the grantee’s estimated or final total allowable project costs, whichever is less;    (8)   Any representation or warranty made by a grantee in an application for grant funds, an agreement entered into between a grantee and the office pursuant to subrule 22.6(1), or in any other representation or statement made by the grantee to the office proves untrue in any material respect as of the date of the issuance or making thereof.    22.6(5) Office’s decision and right to appeal.      a.    Any decision of the office entitled “proposed decision,” “final decision,” or other like caption as relating to any issues described in subparagraphs (1) through (5) below shall become final unless, within 30 days of the transmission of such decision by the office by email to the email address of the individual identified in paragraph 22.4(2)“b” or to the email address of a person otherwise identified by the grantee in writing prior to the issuance of such decision as the person authorized by the grantee to respond to inquiries regarding the administration of the grant, a grantee which is adversely affected by the decision files a request for a contested case proceeding pursuant to 129—Chapter 6.    (1)   The interpretation, construction, or application of any terms or conditions or resolution of a dispute under a grant agreement entered into between the office and a grantee or under these rules;    (2)   Whether or in what amount a grantee is entitled to reimbursement pursuant to a grant agreement entered into between the office and a grantee, or under these rules;    (3)   Whether or in what amount a grantee must repay the office pursuant to a grant agreement entered into between the office and a grantee or under these rules;    (4)   The imposition of any remedies for noncompliance in accordance with subrule 22.6(4); or    (5)   Any other decision of the office as it relates to the administration of a grant awarded pursuant to Iowa Code section 8B.11, these rules, or a grant agreement entered into between the office and a grantee.    b.    Failure to challenge the office’s decision under this rule by filing a request for a contested case within the 30-day period shall waive any claims an applicant may have related to the administration of a grant award and otherwise be deemed a failure to exhaust administrative remedies.

129—22.7(8B) Reallocation of grant funds.  To the extent permitted by applicable law, if grant funds the office had previously committed to specific grantees are not ultimately issued to a grantee (e.g., because applicable expenditures are not allowed or are disallowed, were improperly or incorrectly allocated, or a grantee fails to provide sufficient or appropriate documentation to support a claim for reimbursement) or are otherwise repaid to the office pursuant to a grant agreement entered into between the office and a grantee or these rules, the office may award the grant funds to other previous grantees, open additional rounds of applications, or revert the moneys to the general fund. If the office awards additional grant funds to other grantees, such grantees shall submit documentation establishing how such grant funds will be expended and may, to the extent applicable, be required to execute contract amendments with the office providing for the expenditure of the additional grant funds, and will otherwise be subject to Iowa Code section 8B.11 and these rules.       These rules are intended to implement Iowa Code section 8B.11.
ARC 3732CHuman Services Department[441]Notice of Intended Action

Proposing rule making related to documentation of mental health services and providing an opportunity for public comment

    The Department of Human Services hereby proposes to amend Chapter 24, “Accreditation of Providers of Services to Persons with Mental Illness, Intellectual Disabilities, or Developmental Disabilities,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 225C.6 and 2017 Iowa Acts, House File 653, section 93.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 225C.6 and 2017 Iowa Acts, House File 653, section 93.Purpose and Summary    The requirements for documentation of the provision of mental health, intellectual disability or developmental disability services in the areas of social history, assessment, documentation of service provision, supported community living service-functional assessment, and emergency services to be in a narrative format are being removed.   These amendments will allow documentation to be made using a checkbox or other format.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. This is a change to certain documentation requirements in disability services providers’ records and will result in no fiscal impact to the state. 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 441—1.8(17A,217). Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Harry Rossander Department of Human Services Hoover State Office Building, Fifth Floor1305 East Walnut StreetDes Moines, Iowa 50319 Fax: 515.281.4980Email: policyanalysis@dhs.state.ia.usPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subparagraph 24.4(1)"b" as follows:    (1)   The organization collects and documents relevant historical information and organizes the information in one distinct document in a narrative format.

    ITEM 2.    Amend paragraph 24.4(2)"b" as follows:    b.    Performance indicators.    (1)   The assessment includes information about the individual’s current situation, diagnosis, needs, problems, wants, abilities and desired results, gathered with the individual’s involvement.    (2)   Staff solicit collateral provider information as appropriate to the individual situation in order to compile a comprehensive and full assessment.    (3)   Staff develop and complete the assessment in a narrative format.    (4)   (3)   Staff base decisions regarding the level, type and immediacy of services to be provided, or the need for further assessment or evaluation, upon the analysis of the information gathered in the assessment.    (5)   (4)   Staff complete an annual reassessment for each individual using the service and document the reassessment in a written format.    (6)   (5)   Documentation supporting the diagnosis is contained in the individual’s record. A diagnosis of mental retardationintellectual disability is supported by a psychological evaluation conducted by a qualified professional. A diagnosis of developmental disability is supported by professional documentation. A determination of chronic mental illness is supported by a psychiatric or psychological evaluation conducted by a qualified professional.

    ITEM 3.    Amend subparagraph 24.4(4)"b" as follows:    (3)   Documentation of service provision is in alegible, written, legible, narrative format in accordance with organizational policies and procedures.
ARC 3727CLabor Services Division[875]Notice of Intended Action

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

    The Elevator Safety Board hereby proposes to amend Chapter 66, “Waivers or Variances from Administrative Rules by the Elevator Safety Board,” Chapter 67, “Elevator Safety Board Petitions for Rule Making,” Chapter 68, “Declaratory Orders by the Elevator Safety Board,” Chapter 69, “Contested Cases Before the Elevator Safety Board,” Chapter 70, “Public Records and Fair Information Practices of the Elevator Safety Board,” Chapter 71, “Administration of the Conveyance Safety Program,” Chapter 72, “Conveyances Installed On or After January 1, 1975,” and Chapter 73, “Conveyances Installed Prior to January 1, 1975,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 89A.3.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 89A.Purpose and Summary    This proposed rule making would make editorial and technical changes; rescind an obsolete exception for platform guards; set forth the function of electrical protective devices that are currently required; require that certain existing control panels be locked; update obsolete language; require the installation of hoistway lighting for new and altered elevators; replace the rule concerning accident and injury reporting with a clearer rule on the same topic; create two narrow exemptions from the existing requirements for older elevators; and codify the current practice concerning the presence of a mechanic during an escalator inspection.     A proposed amendment to require that most wiring for new conveyances be installed in conduit is included.  This amendment would align the requirements for new elevators with the requirements for older elevators.  Fiscal Impact    The requirement for installation of hoistway lighting for new and altered elevators will have a minimal impact when an elevator is installed or altered. The requirement that certain existing control panels be locked represents a nominal expense. The requirement to enclose most wiring related to new conveyances will cost about $100 for a new installation. There are about 250 new installations in a year, and the majority of installers use conduit even though it is not required. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Board for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 66. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on May 2, 2018. Comments should be directed to: Kathleen Uehling Division of Labor Services1000 East Grand AvenueDes Moines, Iowa 50319-0209Email: kathleen.uehling@iwd.iowa.govPublic Hearing    If requested in accordance with Iowa Code section 17A.4(1)“b” by close of business on May 1, 2018, a public hearing at which persons may present their views orally or in writing will be held as follows: May 2, 2018150 Des Moines Street9 a.m. Des Moines, Iowa    Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Board and advise of specific needs by calling 515.725.5615.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend rule 875—66.5(17A,89A), introductory paragraph, as follows:

875—66.5(17A,89A) Content of petition.  The required form for a petition for waiver or variance is available on the board’s Web sitewebsite at http://www.iowaworkforce.org/labor/elevatorboard.htmwww.iowaelevators.gov. A petition for waiver shall include the following information where applicable and known to the petitioner:

    ITEM 2.    Amend rule 875—67.1(17A,89A), introductory paragraph, as follows:

875—67.1(17A,89A) Petitions for rule making.  Any person or agency may file a petition for rule making with the board requesting the adoption, amendment or repeal of a rule. The required form for a petition for rule making is available on the board’s Web sitewebsite at http://www.iowaworkforce.org/labor/elevatorboard.htmwww.iowaelevators.gov. The petition shall be filed at the location specified in rule 875—65.5(89A). A petition is deemed filed when it is received by the board office. The board office shall provide the petitioner with a file-stamped copy of the petition if the petitioner provides the board an extra copy for this purpose. The petition must be in writing and provide the following information where applicable and known to the petitioner:

    ITEM 3.    Amend subrule 68.1(1), introductory paragraph, as follows:    68.1(1)   The required form for a petition for declaratory order is available on the board’s Web sitewebsite at http://www.iowaworkforce.org/labor/elevatorboard.htmwww.iowaelevators.gov. The petition must be in writing and provide the following information where applicable and known to the petitioner:

    ITEM 4.    Amend subrule 69.1(1), introductory paragraph, as follows:    69.1(1)   A petition for reconsideration shall be in writing and must be signed by the requesting party or a representative of that party. The required form for a petition for reconsideration is available on the board’s Web sitewebsite at http://www.iowaworkforce.org/labor/elevatorboard.htmwww.iowaelevators.gov. A petition for reconsideration shall specify:

    ITEM 5.    Amend subrule 70.3(1) as follows:    70.3(1) Location of recordAddress.  A request for access to a record should be directed to the board at theThe board’s mailing address is Department of Workforce Development, Division of Labor Services, 1000 East Grand Avenue, Des Moines, Iowa 50319.The board’s staff is located at 150 Des Moines Street, Des Moines, Iowa.

    ITEM 6.    Adopt the following new subrule 71.11(10):    71.11(10) Escalator inspections.  The owner shall arrange for an escalator mechanic to be on site to assist with the inspection. The inspector shall work with the owner to arrange an inspection time.

    ITEM 7.    Rescind rule 875—71.19(89A) and adopt the following new rule in lieu thereof:

875—71.19(89A) Accidents and injuries.      71.19(1)   This rule applies to a conveyance in the event one of the following occurs:    a.    A personal injury accident that requires the service of a physician;    b.    A personal injury accident that causes disability exceeding one day; or    c.    Damage that will require more than one hour of mechanic’s time (excluding travel) to repair.    71.19(2)   The owner shall promptly notify the commissioner if one of the events listed in subrule 71.19(1) occurs. Notification shall be in writing and shall include the state identification number, owner, and description of accident.    71.19(3)   The removal of any part of the damaged conveyance or operating mechanism from the premises is forbidden until permission is granted by the commissioner.    71.19(4)   When an accident or injury involves the failure or destruction of any part of the conveyance or its operating mechanism, the use of the conveyance is forbidden until it has been inspected and approved by the commissioner.

    ITEM 8.    Adopt the following new subrules 72.10(3) and 72.10(4):    .(3)   Permanent lighting shall be installed in the hoistway of an elevator installed after July 1, 2018. The lighting shall be sufficient to provide 19 foot-candles to the car top regardless of where the car is located. Switches to control the hoistway lighting shall be installed at the bottom and the top hoistway access points.    .(4)   For conveyances installed after August 1, 2018, all electrical wiring in a machine room, control space, control room, machinery space, and hoistway shall be enclosed in metal conduit, flexible conduit, or metal raceways. However, this subrule shall not apply to applications such as traveling cables and car top work lights where movement is required for proper function or operating devices and control equipment where adjustment may be needed.

    ITEM 9.    Amend subrule 72.13(4) as follows:    72.13(4) Pit excavation exemption.  TheFor elevators altered before August 1, 2018, the full length of the platform guard set forth in ASME A17.1, Rule 2.15.9.2(a), shall not be required if all of the following criteria are met:    a.    No other code or rule requires that the pit be excavated or lowered.    b.    The alteration plans do not include the excavation or lowering of the pit floor for any other reason.    c.    A full-length platform guard would strike the pit floor when the elevator is on its fully compressed buffer.    d.    The clearance between the bottom of the platform guard and the pit floor is 2.5 centimeters (1 inch) when the elevator is on its fully compressed buffer.

    ITEM 10.    Amend paragraph 72.13(5)"c" as follows:    c.    The applicable version of ASME A17.1 shall be determined by reference to rule 875—72.1(89A). For purposes of rule 875—72.13(89A)subrule 72.13(5), the relevant subrule of 875—72.1(89A) shall apply based on the date the sprinkler is installed instead of the date the conveyance was installed.

    ITEM 11.    Adopt the following new subrule 72.13(7):    72.13(7) Hoistway lighting.  In conjunction with an alteration as defined by ASME A17.1, permanent lighting shall be installed in the hoistway of an elevator. The lighting shall be sufficient to provide 19 foot-candles to the car top regardless of where the car is located. Switches to control the hoistway lighting shall be installed at the bottom and the top hoistway access points.

    ITEM 12.    Adopt the following new paragraphs 73.1(3)"g" to 73.1(3)"i":    g.    Electrical protective devices required by A17.3, requirement 3.10.4, shall cause the electric power to be removed from the elevator driving-machine motor and brake.    h.    Control panels that are designed with a door or cover and lock shall be locked when not in use if equipment unrelated to the elevator is in the machine room. Group 1 security as set forth in A17.1, Section 8.1, shall be utilized.    i.    A car top emergency exit pursuant to A17.3(2011), requirement 3.4.4.1(a), shall not be required for a hydraulic elevator if the elevator has manual lowering and it is not equipped with a plunger gripper or safety as described in ASME A17.1(2013), requirement 8.6.5.8.

    ITEM 13.    Amend subrule 73.1(4) as follows:    73.1(4)   The American Society of Mechanical Engineers Safety Code for Elevators and Escalators, A17.1-2013/CSA B44-13 (2013), Rule 2.14.7.1.4,concerning car top lighting and car top electrical outlets, is adopted by reference with an effective date of May 1, 2020.However, if a car top already has a single outlet, installation of a duplex outlet will not be required.

    ITEM 14.    Amend subrule 73.8(1) as follows:    73.8(1) General.  Except as set forth in this rule, all maintenance, repairs and alterations shall comply with the edition of ASME A17.1, Part 8, currently adopted for new conveyances at rule 875—72.1(89A) or ASME A17.7-2007/CSA B44-07, as applicable. Rule 875—71.10(89A) describes alterations which require that the entire conveyance be brought into compliance with the most current code.

    ITEM 15.    Amend paragraph 73.8(5)"c" as follows:    c.    The applicable version of ASME A17.1 shall be determined by reference to rule 875—72.1(89A). For purposes of rule 875—73.8(89A)subrule 73.8(5), the relevant subrule of 875—72.1(89A) shall apply based on the date the sprinkler is installed instead of the date the conveyance was installed.

    ITEM 16.    Adopt the following new subrule 73.8(8):    73.8(8) Hoistway lighting.  In conjunction with an alteration as defined by ASME A17.1, permanent lighting shall be installed in the hoistway of an elevator. The lighting shall be sufficient to provide 19 foot-candles to the car top regardless of where the car is located. Switches to control the hoistway lighting shall be installed at the bottom and the top hoistway access points.

    ITEM 17.    Amend subrule 73.14(6) as follows:    73.14(6)   All safeties operated by a speed governor shall be provided with a speed switch operated by the governor when used with type B or C car safeties on elevators having a rated speed exceeding 150 FPM. A switch shall be provided on the speed governor when used with a counterweight safety for any car speed.The switches required by this subrule shall disconnect power to the elevator driving-machine motor and brake.
ARC 3731CNatural Resource Commission[571]Notice of Intended Action

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

    The Natural Resource Commission hereby proposes to amend Chapter 94, “Nonresident Deer Hunting,” and Chapter 106, “Deer Hunting by Residents,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 455A.5(6), 481A.38(1)“a,” 481A.39, 481A.48(1), 481A.48(5) and 481A.48(6).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 481A.38(1)“a,” 481A.39, 481A.48(1), 481A.48(5), and 481A.48(6).Purpose and Summary    Chapter 94 provides rules for deer hunting by nonresidents and includes season dates, bag limits, possession limits, shooting hours, areas open to hunting, licensing procedures, means and methods of take, and transportation and reporting requirements.  Chapter 106 provides rules for deer hunting by residents and includes season dates, bag limits, possession limits, shooting hours, areas open to hunting, licensing procedures, means and methods of take, and transportation and reporting requirements.    Chapter 94    All of the rules regarding method of take in Chapter 94 are amended to reference the method of take rules in Chapter 106 to ensure consistency in the rules and to avoid the need to amend both chapters in the future when changes apply to both chapters.    Nonresident license quotas for any-sex and mandatory antlerless licenses in Chapter 94 are decreased in Zones 1, 2, and 10 and increased in Zone 9.  The changes in quotas are intended to stabilize a declining deer population in the northwest area of the state, similar to the changes proposed in this rule making regarding Chapter 106. More specifically, both any-sex and mandatory antlerless license quotas are decreased from 180 to 90 in Zones 1 and 2 for all methods of take.  Because Iowa Code section 483A.8(3)“b” requires that a nonresident who purchases an any-sex license must also purchase an antlerless license, the two licenses are necessarily paired in the regulations.  This decrease results in a corresponding decrease in any-sex licenses for bow season from 63 to 31 because Iowa Code section 483A.8(3)“c” also requires that bow licenses not account for more than 35 percent of nonresident any-sex deer licenses available each year.  Similarly, both any-sex and mandatory antlerless license quotas will be decreased from 200 to 100 in Zone 10 for all methods of take, resulting in a corresponding decrease in any-sex licenses available for bow season from 70 to 35.  Finally, both any-sex and mandatory antlerless license quotas are increased from 600 to 880 for all methods of take in Zone 9, resulting in an increase in any-sex licenses available for bow season from 210 to 308.  The changes to the number of nonresident any-sex and mandatory antlerless licenses available in these four zones result in no net change to the number of nonresident any-sex and mandatory antlerless licenses available statewide.    Chapter 106    Several of the proposed amendments to Chapter 106 involve reestablishment of a January antlerless-deer-only season in Allamakee, Appanoose, Clayton, and Wayne counties and define license requirements, season dates, bag limits, and means and method of take. This season is coupled with increased county quotas and is targeted at slowing the spread of chronic wasting disease (CWD) in the four counties.    Modifications to the resident antlerless deer county quotas are made to Allamakee, Appanoose, Bremer, Butler, Clayton, Fayette, Madison, Wayne, and Winneshiek counties.  With the exception of Bremer County, all quotas are increased in order to reduce deer densities for disease control or to alleviate negative human-deer interactions.  The quota in Bremer County is decreased modestly as a first attempt to stabilize a healthy local population.  Statewide, the overall proposed quota change is an increase of 1,550.    For purposes of deer hunting, a limit of six cartridges is imposed for shotguns, straight wall cartridge (SWC) rifles, and handguns. The six-cartridge limit is being added to improve human and hunter safety and to reduce the likelihood of wounding deer.    Clarifications are made to the definition of a legal handgun and to the legal calibers for SWC rifles.  These clarifications will ensure that hunters can determine what firearms are a legal method of take for deer hunting in this state.  These definitions apply only to the firearms that may be used while deer hunting and have no bearing on or relevance to other firearms laws.   This rule making also removes handguns as a method of take from the late muzzleloader season to restore the original intent of the season.    Lastly, general organization and clarification changes are proposed in Chapter 106.  For example, in subrule 106.1(9), two references to 2009 Iowa Acts are being updated to reflect codification as Iowa Code section 483A.8C.Fiscal Impact    The proposed rule making should not result in any negative fiscal impact to the State. Deer hunting has been relatively constant in Iowa for many years, and none of the proposed changes will substantially alter hunters’ ability to purchase tags and pursue deer. The Department expects a very minor increase in license sales with only 1,550 additional tags being available statewide (many of which will be free or low-cost ($10) tags). The Department is not aware of any fiscal impact of this proposed rule making on the general public, counties or local governments. Jobs Impact    After analysis and review of this rule making, the Department has determined that there should not be a noticeable change overall in deer hunting in the state based upon the proposed rule making. The proposed quotas are designed to keep deer numbers stable in the identified counties and will not significantly alter license sales overall. The following types of jobs are positively impacted by deer hunting in Iowa generally and should see no noticeable change due to this rule making: hunting equipment retailers (firearms, ammunition, clothing, chairs, stands, binoculars, and other supporting equipment); field guides and outfitters; taxidermists; and restaurants, hotels, and gas stations for hunters traveling around the state.Waivers    This rule is subject to the waiver provisions of 561—Chapter 10. Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Tyler Harms Department of Natural ResourcesWallace State Office Building502 East Ninth StreetDes Moines, Iowa 50319 Phone: 515.432.2823 Email: tyler.harms@dnr.iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held. Upon arrival, attendees should proceed to the fourth floor Department reception desk to sign in and to be directed to the appropriate hearing location: May 1, 2018 Conference Room 4E 12 noon Wallace State Office Building Des Moines, Iowa    Persons who wish to make oral comments at the public hearing will be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 94.6(1) as follows:    94.6(1) Zone license quotas.  Nonresident license quotas are as follows:Any-deerAny-sex licenses    MandatoryAntlerless-only    OptionalAntlerless-onlyAll MethodsBowZone 1.    18090    6331    18090Zone 2.    18090    6331    18090Zone 3.    560    196    560Zone 4.    1280    448    1280Zone 5.    1600    560    1600Zone 6.    800    280    800Zone 7.    360    126    360Zone 8.    240    84    240Zone 9.    600880    210308    600880Zone 10.    200100    7035    200100    Total    6000    21002099    60003500

    ITEM 2.    Rescind rule 571—94.7(483A) and adopt the following new rule in lieu thereof:

571—94.7(483A) Method of take.  Permitted weapons and devices vary according to the type of season.    94.7(1) Bow season.  Bow season is as described in 571—subrule 106.7(1).    94.7(2) Regular gun seasons.  Regular gun seasons are as described in 571—subrule 106.7(2).    94.7(3) Muzzleloader seasons.  Muzzleloader seasons are as described in 571—subrule 106.7(3).    94.7(4) Prohibited weapons and devices.  Prohibited weapons and devices are as described in 571—subrule 106.7(6).    94.7(5) Discharge of firearms from roadway.  Discharge of firearms from roadway is as described in 571—subrule 106.7(7).    94.7(6) Hunting from blinds.  Hunting from blinds is as described in 571—subrule 106.7(8).

    ITEM 3.    Amend subrule 106.1(6) as follows:    106.1(6) January antlerless-deer-only licenses.  Rescinded IAB 8/6/14, effective 9/10/14.Only antlerless-deer-only licenses, paid or free, will be issued for the January antlerless-deer-only season. Free antlerless-deer-only licenses shall be available only in the portion of the farm unit located in a county where paid antlerless-deer-only licenses are available during the January antlerless-deer-only season.

    ITEM 4.    Amend subrule 106.1(9) as follows:    106.1(9) Nonambulatory deerDeer hunting licensesfor nonambulatory persons.  The commission shall issue licenses in conformance with 2009 Iowa Acts, Senate File 187Iowa Code section 483A.8C. A person applying for this license must provide a completed form obtained from the department of natural resources. The application shall be certified by the applicant’s attending physician with an original signature and declare that the applicant is nonambulatory using the criteria listed in 2009 Iowa Acts, Senate File 187Iowa Code section 483A.8C(4). A medical statement from the applicant’s attending physician that specifies criteria met shall be on 8½″ × 11″ letterhead stationery. The attending physician shall be a currently practicing doctor of medicine, doctor of osteopathy, physician assistant or nurse practitioner.

    ITEM 5.    Amend subrule 106.2(5) as follows:    106.2(5) January antlerless-deer-only season.  Rescinded IAB 8/6/14, effective 9/10/14.Antlerless deer may be taken from January 11 through the third Sunday after that date.

    ITEM 6.    Amend subrule 106.4(5) as follows:    106.4(5) January antlerless-deer-only season.  Rescinded IAB 8/6/14, effective 9/10/14.The daily bag and possession limits and tagging requirements are the same as for the regular gun seasons.

    ITEM 7.    Amend subrule 106.6(4) as follows:    106.6(4) January antlerless-deer-only licenses.  Rescinded IAB 8/6/14, effective 9/10/14.Licenses for the January antlerless-deer-only season shall be available in the following counties: Allamakee, Appanoose, Clayton, and Wayne. Prior to December 15, a hunter may purchase up to three January antlerless-deer-only licenses. Beginning December 15, an unlimited number of paid antlerless-deer-only licenses may be purchased for the January antlerless-deer-only season until the antlerless-deer-only quota as described in 106.6(6) is met in the aforementioned counties. These licenses may be obtained regardless of any other paid any-sex or paid antlerless-deer-only licenses that may have been obtained.

    ITEM 8.    Amend subrule 106.6(6) as follows:    106.6(6) Antlerless-deer-only licenses.  Paid antlerless-deer-only licenses will be available by county for the 2017–2018 deer season as follows:CountyQuotaCountyQuotaCountyQuotaAdair1025Floyd0Monona850Adams1450Franklin0Monroe1950Allamakee36003700Fremont 400Montgomery750Appanoose18002400Greene0Muscatine775Audubon0Grundy0O’Brien0Benton325Guthrie1950Osceola0Black Hawk0Hamilton0Page750Boone 300Hancock0Palo Alto0Bremer650500Hardin0Plymouth0Buchanan 300Harrison850Pocahontas0Buena Vista0Henry925Polk1350Butler0150Howard 350Pottawattamie850Calhoun0Humboldt0Poweshiek300Carroll0Ida0Ringgold 1600Cass400Iowa450Sac0Cedar775Jackson 825Scott200Cerro Gordo0Jasper775Shelby 0Cherokee0Jefferson1650Sioux0Chickasaw375Johnson850Story150Clarke2100Jones 800Tama200Clay0Keokuk450Taylor 1600Clayton34003600Kossuth0Union1500Clinton400Lee1275Van Buren 2000Crawford 0Linn850Wapello1825Dallas1875Louisa 675Warren2200Davis 1600Lucas2200Washington750Decatur2200Lyon0Wayne22002400Delaware 800Madison23502600Webster0Des Moines800Mahaska475Winnebago0Dickinson0Marion1650Winneshiek22752375Dubuque 825Marshall150Woodbury 625Emmet0Mills750Worth0Fayette18001900Mitchell0Wright0

    ITEM 9.    Amend subrule 106.7(1) as follows:    106.7(1) Bow season.  Only longbow, compound, or recurve bows shooting broadhead arrows are permitted during the bow season. Arrows must be at least 18 inches long.    a.    Crossbows, as described in 106.7(1)“b,” may be used during the bow season in the following two situations:    (1)   By persons with certain afflictions of the upper body as provided in 571—15.5(481A)571—15.22(481A); and    (2)   By persons over the age of 70 with an antlerless-deer-only license as provided in Iowa Code section 483A.8A483A.8B.    b.    Crossbow means a weapon consisting of a bow mounted transversely on a stock or frame and designed to fire a bolt, arrow, or quarrel by the release of the bow string, which is controlled by a mechanical trigger and a working safety. Crossbows equipped with pistol grips and designed to be fired with one hand are illegal for taking or attempting to take deer. All projectiles used in conjunction with a crossbow for deer hunting must be equipped with a broadhead.    b.    c.    No explosive or chemical devicesdevice may be attached to theany arrow, broadhead or bolt (if used with a crossbow).

    ITEM 10.    Amend subrule 106.7(2) as follows:    106.7(2) Regular gun seasons.  Only 10-, 12-, 16-, and 20-gauge shotguns shooting single slugs, and straight wall cartridge rifles,as described in 106.7(2)“a” and “b,” muzzleloadersas described in 106.7(3), and handguns as described more fully in 106.7(3), will be permitted for takingin 106.7(2)“c” to “e” shall be used to take deer during the regular gun seasons.Shotguns, straight wall cartridge rifles, and handguns shall be loaded with no more than six rounds of ammunition (five in the magazine, one in the chamber) while hunting deer.    a.    Legal straight wall cartridge rifle calibers for hunting deer in Iowa must meet all of the following criteria:    (1)   Be center-fired;    (2)   Be straight-walled;    (3)   Have a diameter of 0.357 inches to 0.500 inches;    (4)   Have a case length no greater than 1.800 inches; and     (5)   For rimless cartridges, have a case length of no less than 0.850 inches, and for rimmed cartridges, have a case length of no less than 1.285 inches.    b.    Notwithstanding 106.7(2)“a,” the following calibers are considered legal straight wall cartridge rifle calibers:    (1)   .375 Winchester;    (2)   .444 Marlin; or     (3)   .45-70 Gov’t.    c.    Legal centerfire handguns for hunting deer in Iowa must meet all of the following criteria:    (1)   Have a 4-inch minimum barrel length;    (2)   Have no modifications that would allow the gun to be fired from the shoulder;     (3)   Be designed to be shot with one hand using a pistol grip and have either:    1.   A cylinder of several chambers brought successively into line with the barrel and discharged with the same hammer; or    2.   A magazine feeding a single chamber integral with the barrel and using either the action of a slide or a bolt action to eject the casing, or having a break action capable of only holding one round.    d.    Legal centerfire handgun calibers for hunting deer in Iowa must meet all of the following criteria:    (1)   Be center-fired;    (2)   Be straight-walled;    (3)   Have a diameter of 0.357 inches to 0.500 inches;    (4)   Have a case length no greater than 1.800 inches; and    (5)   For rimless cartridges, have a case length of no less than 0.850 inches, or for rimmed cartridges, have a case length of no less than 1.285 inches.    e.    Notwithstanding 106.7(2)“d,” the following calibers are considered legal centerfire handgun calibers:    (1)   .375 Winchester;    (2)   .444 Marlin; or    (3)   .45-70 Gov’t.

    ITEM 11.    Amend subrule 106.7(3) as follows:    106.7(3) Muzzleloader seasons.  Only muzzleloading rifles and muzzleloading pistols will be permitted for taking deer during the early muzzleloader season. During the late muzzleloader season, deer may be taken with a muzzleloading rifle, muzzleloading pistol, centerfire handgun, crossbowas described in 106.7(1)“b,” or bow as described in 106.7(1).     a.     Muzzleloading rifles are defined as flintlock or percussion cap lock muzzleloaded rifles and muskets of not less than .44caliber and not larger than .775 caliber, shooting single projectiles only.    b.     Centerfire handguns must be .357 caliber or larger shooting straight wall cartridges propelling an expanding-type bullet (no full-metal jacket) and complying with all other requirements provided in Iowa Code section 481A.48. In addition, centerfire handguns must be designed to be shot with one hand using a pistol grip and have either:    (1)   A cylinder of several chambers brought successively into line with the barrel and discharged with the same hammer; or    (2)   A magazine feeding a single chamber integral with the barrel and using either the action of a slide or a bolt action to eject the casing, or having a break action capable of only holding one round.    c.    b.     Muzzleloading pistols must be .44 caliber or larger, shootingshoot single projectiles only, and have a 4-inch minimum barrel length.     d.    Crossbow means a weapon consisting of a bow mounted transversely on a stock or frame and designed to fire a bolt, arrow, or quarrel by the release of the bow string, which is controlled by a mechanical trigger and a working safety. Crossbows equipped with pistol grips and designed to be fired with one hand are illegal for taking or attempting to take deer. All projectiles used in conjunction with a crossbow for deer hunting must be equipped with a broadhead.    e.    Legal handgun calibers for hunting deer in Iowa are listed in the department of natural resources’ hunting and trapping regulations booklet published each summer and adopted by reference herein. Centerfire handguns and black powder handguns must have a 4-inch minimum barrel length, and centerfire handguns shall not have any parts that extend beyond the back of the pistol grip. There can be no shoulder stock or long-barrel modifications to any handgun.

    ITEM 12.    Amend subrule 106.7(5) as follows:    106.7(5) January antlerless-deer-only season.  Rescinded IAB 8/6/14, effective 9/10/14.Bows, crossbows, shotguns, muzzleloaders, and handguns as described in this rule, and centerfire rifles .24 caliber or larger, may be used during the January antlerless-deer-only season.

    ITEM 13.    Amend subrule 106.7(6) as follows:    106.7(6) Prohibited weapons and devices.  The use of dogs, domestic animals, bait, rifles other than muzzleloaded or straight wall cartridge as provided in 106.7(2), 106.7(3), 106.7(5), and 106.10(5), handguns except as provided in 106.7(2) and 106.7(3)106.7(5), crossbows except as provided in 106.7(1) and 106.7(3), automobiles, aircraft, or any mechanical conveyance or device, including electronic calls, is prohibited, except that paraplegics and single or double amputees of the legs may hunt from any stationary motor-driven land conveyance. “Bait” means grain, fruit, vegetables, nuts, hay, salt, mineral blocks, or any other natural food materials; commercial products containing natural food materials; or by-products of such materials transported to or placed in an area for the intent of attracting wildlife. Bait does not include food placed during normal agricultural activities. “Paraplegic” means an individual with paralysis of the lower half of the body with involvement of both legs, usually due to disease of or injury to the spinal cord. It shall be unlawful for a person, while hunting deer, to carry or have in possession a rifle except as provided in 106.7(2), 106.7(3), 106.7(5), and 106.10(5). A person in possession of a valid permit to carry weapons may carry a handgun while hunting. However, only the handguns listedas described in 106.7(3) shall106.7(2) may be used to hunt deer and only when a handgun is a lawful method of take.
ARC 3729CNatural Resource Commission[571]Notice of Intended Action

Proposing rule making related to wild turkey hunting and providing an opportunity for public comment

    The Natural Resource Commission hereby proposes to amend Chapter 98, “Wild Turkey Spring Hunting,” and Chapter 99, “Wild Turkey Fall Hunting,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 455A.5(6), 481A.38, 481A.39 and 481A.48.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 481A.38, 481A.39 and 481A.48(1).Purpose and Summary    Chapter 98 regulates spring wild turkey hunting for both residents and nonresidents, and includes season dates, bag limits, possession limits, shooting hours, areas open to hunting, licensing procedures, means and methods of take, and transportation tag requirements.    Several changes to Chapter 98 are proposed.  First, because the shotgun shot sizes approved for hunting wild turkey are out of date with shot types currently available on the market, the ammunition lists for both residents and nonresidents are being updated.     Second, the start of the first shotgun-and-archery season for spring wild turkey hunting is pushed back by several days and permanently established in narrative form (“second Monday of April”).     Third, the youth-only season is being reduced from nine days to three days because, pursuant to Iowa Code section 483A.7(4), youth are now allowed to hunt with an unfilled youth license and tag during any other established wild turkey season. In other words, this reduction does not limit youth opportunity and enables an earlier start to the first shotgun-and-archery season. Furthermore, the youth-only season had long been three days but was expanded in 2011 to afford youth more opportunity. Subsequently, in 2014 the Iowa Code was amended to allow unfilled youth licenses and tags to be valid in any other season, rendering the need for a longer youth-only season unnecessary, as previously noted.  Thus, this proposed amendment is a return to the original youth-only, three-day season.    Finally, references to the Iowa Code and to Chapter 98 are updated to reflect current law.    Chapter 99 regulates fall wild turkey hunting for residents, and includes season dates, bag limits, possession limits, shooting hours, areas open to hunting, licensing procedures, means and methods of take, and transportation tag requirements. (It should be noted that there is no fall wild turkey season for nonresidents in Iowa, except for nonresidents who are under 21 years old and have a severe physical disability or have been diagnosed with a terminal illness, as set forth in Iowa Code section 483A.24(12) and subrule 99.2(4)).    A proposed amendment to Chapter 99 is intended to adjust the approved shotgun shot sizes for hunting wild turkeys to reflect the materials and sizes available on the current market. This amendment is identical to that proposed in Chapter 98.  In addition, an Iowa Code reference is updated to reflect current law.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. A copy of the impact statement is available upon request from the Department. Jobs Impact    After analysis and review of this rule making, the Department does not expect any impact to private sector jobs as a result of this proposed rule making, nor does the Department expect any impact to wild turkey hunting participation or license sales. The following types of jobs are positively impacted by turkey hunting in Iowa generally and should see no noticeable change due to this rule making: hunting equipment retailers (firearms, ammunition, clothing, chairs, stands, binoculars, and other supporting equipment); field guides and outfitters; taxidermists; and restaurants, hotels, and gas stations for hunters traveling around the state. A copy of the impact statement is available upon request from the Department.Waivers    This rule is subject to the waiver provisions of 561—Chapter 10. Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any. Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: James Coffey Department of Natural Resources Chariton Research Station 24570 U.S. Hwy. 34 Chariton, Iowa 50049 Phone: 641.774.2958 Email: James.Coffey@dnr.iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held. Upon arrival, attendees should proceed to the fourth floor Department reception desk to sign in and be directed to the appropriate hearing location: May 1, 2018 Conference Room 4E 12 noon Wallace State Office Building Des Moines, Iowa    Persons who wish to make oral comments at the public hearing will be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 98.2(1) as follows:    98.2(1) Permitted weapons.  Wild turkey may be taken in accordance with the type of license issued as follows:    a.    Combination shotgun-or-archery license.Wild turkey may be taken by shotgun or muzzleloading shotgun not smaller than 20-gauge and shooting only shot sizes number 2 or 3 nontoxic shot or number 4, 5, 6, 7½, orthrough 8 lead or nontoxic shot; and by bow and arrow as defined in paragraph 98.2(1)“b.” A person shall not have shot shellsshotshells containing shot of any size other than number 2 or 3 nontoxic shot or number 4, 5, 6, 7½, orthrough 8 lead or nontoxic shot on the person while hunting wild turkey.    b.    Archery-only license.Except for crossbows for persons with certain afflictions of the upper body, as provided in 571—15.5(481A)571—15.22(481A), only longbow, compound, or recurve bows shooting broadhead arrows are permitted. Blunthead arrows with a minimum diameter of 9/16 inch may also be used. Arrows must be at least 18 inches long. No explosive or chemical devices may be attached to the arrow, broadhead, or blunthead.

    ITEM 2.    Amend paragraph 98.2(4)"a" as follows:    a.    Combination shotgun-or-archery licenses.Consecutive seasons are 4, 5, 7, and 19 days, respectively, with the first season beginning on thesecond Monday closest toof April 15. These seasons shall be designated as seasons 1, 2, 3 and 4, respectively.

    ITEM 3.    Amend subrule 98.6(2) as follows:    98.6(2) Youth season dates.  The youth turkey hunting license shall be valid during the ninethree days immediately before the first turkey season.A person who is issued a youth spring wild turkey hunting license and does not take a wild turkey during the youth spring wild turkey hunting season may use the wild turkey hunting license and unused tag during any remaining spring wild turkey hunting season in the year in which the youth license was issued.

    ITEM 4.    Amend subrule 98.9(5) as follows:    98.9(5) Special licenses.  The commission shall issue licenses in conformance with Iowa Code section 483A.24(10)483A.24(12) to nonresidents 21 years of age or younger who have a severe physical disability or who have been diagnosed with a terminal illness. A person applying for this license must provide a completed form obtained from the department of natural resources. The application shall be certified by the applicant’s attending physician with an original signature and declare that the applicant has a severe physical disability or a terminal illness using the criteria listed in 571—Chapter 15. A medical statement from the applicant’s attending physician that specifies criteria met shall be on 8½″ × 11″ letterhead stationery. The attending physician shall be a currently practicing doctor of medicine, doctor of osteopathy, physician assistant or nurse practitioner.

    ITEM 5.    Amend subrule 98.12(1) as follows:    98.12(1) Permitted weapons.  Wild turkey may be taken only with shotguns and muzzleloading shotguns not smaller than 20-gauge and shootingonly shot sizes 2 or 3 nontoxic shot ornumber 4, 5, 6, 7½, andthrough 8 leador nontoxic shot. No person may have shot shellsshotshells containing shot of any size other than 2 or 3 nontoxic shot ornumber 4, 5, 6, 7½, orthrough 8 leador nontoxic shot on the person while hunting wild turkey. Except for crossbows for persons with certain afflictions of the upper body, as provided in 571—15.5(481A)571—15.22(481A), only longbow, compound, or recurve bows shooting broadhead arrows are permitted. Blunthead arrows with a minimum diameter of 9/16 inch may also be used. Arrows must be at least 18 inches long. No explosive or chemical devices may be attached to the arrow, broadhead, or blunthead.

    ITEM 6.    Amend subrule 99.2(4) as follows:    99.2(4) Special licenses.  The commission shall issue licenses in conformance with Iowa Code section 483A.24(10)483A.24(12) to nonresidents 21 years of age or younger who have a severe physical disability or who have been diagnosed with a terminal illness. A person applying for this license must provide a completed form obtained from the department of natural resources. The application shall be certified by the applicant’s attending physician with an original signature and declare that the applicant has a severe physical disability or a terminal illness using the criteria listed in 571—Chapter 15. A medical statement from the applicant’s attending physician that specifies criteria met shall be on 8½″ × 11″ letterhead stationery. The attending physician shall be a currently practicing doctor of medicine, doctor of osteopathy, physician assistant or nurse practitioner.

    ITEM 7.    Amend subrule 99.8(1) as follows:    99.8(1) Permitted weapons.  In accordance with the type of license issued, wild turkey may be taken by shotgun and muzzleloading shotgun not smaller than 20-gauge and shooting only shot sizes 2 or 3 nontoxic shot ornumber 4, 5, 6, 7 ½ , orthrough 8 lead or nontoxic shot; and by longbow, recurve, or compound bow shooting broadhead or blunthead (minimum diameter 9/16 inch) arrows only. No person may carry or have in possession shotshells containing shot of any size other than 2 or 3 nontoxic shot ornumber 4, 5, 6, 7 ½ , orthrough 8 lead or nontoxic shot while hunting wild turkey. Arrows with chemical or explosive pods are not permitted.
ARC 3724CRevenue Department[701]Notice of Intended Action

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

    The Department of Revenue hereby proposes to amend Chapter 12, “Filing Returns, Payment of Tax, Penalty and Interest,” Chapter 42, “Adjustments to Computed Tax and Tax Credits,” Chapter 52, “Filing Returns, Payment of Tax, Penalty and Interest, and Tax Credits,” and Chapter 58, “Filing Returns, Payment of Tax, Penalty and Interest, and Tax Credits,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 421.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 15.119 and 15.352 to 15.355.Purpose and Summary    Item 1 amends subrule 12.19(2) to correct an error in terminology. The current version of the rule lists “furniture and fixtures” as ineligible for the sales and use tax refund provided by Iowa Code section 15.331A. However, the relevant statute uses the terms “furniture and furnishings” rather than “furniture and fixtures.” The amendment also establishes a definition of “furnishings” to provide a common definition of furnishings and to clarify what types of items are ineligible for the sales and use tax refund. Item 1 also amends subrule 12.19(3) to adopt by reference the definition of “project completion” as defined in Iowa Code section 15.355(2).    Items 2 and 3 amend rules 701—42.53(15) and 701—52.46(15), which implement the Workforce Housing Tax Incentives Program for individual income tax and corporation income tax, respectively, to comply with a change to the law enacted by 2017 Iowa Acts, Senate File 488, sections 1 to 8. The amendments to these rules also remove language that is duplicative of language provided in rules administered by the Iowa Economic Development Authority and clarify that there is no limit to the number of times a tax credit may be transferred, that the tax credit is transferable in variable denominations, and that the same carryforward rules apply to transferees. Additional amendments are proposed to improve readability.    Item 4 amends rule 701—58.23(15) to remove language that is duplicative of language elsewhere in the Department’s rules.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 701—7.28(17A). Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Joe FraioliDepartment of Revenue Hoover State Office Building1305 East Walnut StreetDes Moines, Iowa 50306 Phone: 515.725.4057Email: joe.fraioli@iowa.govPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrules 12.19(2) and 12.19(3) as follows:    12 12.19 19(2) Sales and use tax ineligible for refund.  The sales and use tax for which the eligible business cannot receive a refund consists of the following:    a.    Any local option sales tax paid is not eligible for the refund. The refund is limited to the state sales and use tax paid.    b.    Any sales and use tax attributable to intangible property,and furniture and fixtures, or furnishings is not eligible for the refund.“Furnishings” means any furniture, appliances, equipment, and accessories that are movable and with which a room or building is furnished for comfort, convenience, or aesthetic value. Examples include rugs, décor, and window coverings. “Furnishings” does not include installed flooring such as hardwood, carpet, ceramic, stone, laminate, or vinyl.    12 12.19 19(3) Claiming the refund.  To receive the refund, the eligible business must file a claim for refund within one year of project completion. For a manufacturing facility, project completion is the first date upon which the average annualized production of finished project for the preceding 90-day period at the manufacturing facility is at least 50 percent of the initial design capacity of the facility.For purposes of the workforce housing tax incentives program, “project completion” means the same as defined in Iowa Code section 15.355(2). For all other facilities, project completion is the date of completion of all improvements necessary for the start-up, location, expansion or modernization of the business.    a.    To request a refund of the sales and use tax paid for gas, electric, water or sewer utility services used during construction, the eligible business must file Form IA 843, Claim for Refund, with the department of revenue. The claim shall include the agreement number given by the Iowa economic development authority, along with copies of invoices or a schedule to support the refund amount.    b.    To request a refund of the sales and use tax paid on goods, wares, or merchandise, or on services rendered to, furnished to, or performed for a contractor or subcontractor relating to the construction or equipping of a facility, the eligible business must file the Construction Contract Claim for Refund form, along with the Iowa Contractor’s Statement, with the department of revenue. It is not necessary to attach invoices to the Construction Contract Claim for Refund form, but the department reserves the right to request invoices when reviewing the refund claim.    c.    To request a refund of the sales and use tax attributable to racks, shelving and conveyor equipment, the eligible business must file Form IA 843, Claim for Refund, with the department of revenue. The claim shall include the agreement number given by the Iowa economic development authority, along with copies of invoices or a schedule to support the refund amount. The combined amount of refunds attributable to sales and use tax paid on racks, shelving and conveyor equipment, along with tax credit certificates issued for sales and use tax paid on racks, shelving and conveyor equipment provided in 701—subrule 52.10(5), shall not exceed $500,000 during a fiscal year. The requests for refunds or tax credit certificates will be processed in the order the requests are received on a first-come, first-served basis until the amount of refunds or credits authorized for issuance has been exhausted. If applications for refunds or tax credit certificates exceed the $500,000 limitation for any fiscal year, the applications shall be considered in succeeding fiscal years.

    ITEM 2.    Amend rule 701—42.53(15) as follows:

701—42.53(15) Workforce housing tax incentives program.  Effective July 1, 2014, aA business which qualifies under the workforce housing tax incentives program is eligible to receive tax incentives for individual income tax. The workforce housing tax incentives program replacesreplaced the eligible housing business enterprise zone program. An eligible business under the workforce housing tax incentives program must be approved by the economic development authority and must meet the requirements of 2014 Iowa Acts, House File 2448, section 15. The administrative rules for the workforce housing tax incentives program for the economic development authority may be found at 261—Chapter 48.The general assembly has mandated that the economic development authority and the department of revenue adopt rules to jointly administer Iowa Code sections 15.351 to 15.356. In general, the economic development authority is responsible for evaluating whether projects meet the requirements for a workforce housing tax incentives program while the department of revenue administers tax credit claims and transfers.    42.53(1) Definitions.          "Costs directly related" means expenditures that are incurred for construction of a housing project to the extent that they are attributable directly to the improvement of the property or its structures. “Costs directly related” includes expenditures for property acquisition, site preparation work, surveying, construction materials, construction labor, architectural services, engineering services, building permits, building inspection fees, and interest accrued on a construction loan during the time period allowed for project completion under an agreement entered into pursuant to the program. “Costs directly related” does not include expenditures for furnishings, appliances, accounting services, legal services, loan origination and other financing costs, syndication fees and related costs, developer fees, or the costs associated with selling or renting the dwelling units whether incurred before or after completion of the housing projectthe same as defined in rule 261—48.3(15).        "Qualifying new investment" means costs that are directly related to the acquisition, repair, rehabilitation, or redevelopment of a housing project in this state. For purposes of this rule, “costs directly related to acquisition” includes the costs associated with the purchase of real property or other structures. “Qualifying new investment” includes costs that are directly related to new construction of dwelling units if the new construction occurs in a distressed workforce housing community. The amount of costs that may be used to compute “qualifying new investment” shall not exceed the costs used for the first $150,000 of value for each dwelling unit that is part of a housing projectthe same as defined in rule 261—48.3(15).“Qualifying new investment” does not include the following:
  1. The portion of the total cost of a housing project that is financed by federal, state, or local government tax credits, grants, forgivable loans, or other forms of financial assistance that do not require repayment, excluding the tax incentives provided under this program.
  2. If a housing project includes the rehabilitation, repair, or redevelopment of an existing multi-use building, the portion of the total acquisition costs of the multi-use building, including a proportionate share of the total acquisition costs of the land upon which the multi-use building is situated, that are attributable to the street-level ground story that is used for a purpose that is other than residential.
  3. Any costs, including acquisition costs, incurred before the housing project is approved by the economic development authority.
    42.53(2) Workforce housing tax incentives.  The economic development authority will allocate no more than $20 million in tax incentives for this program for any fiscal year, $5 million of which shall be reserved for allocation to qualified housing projects in small cities, as defined in Iowa Code section 15.352(10), that are registered on or after July 1, 2017. A housing business that has entered into an agreement with the economic development authority is eligible to receive the tax incentives described in the following paragraphs:    a.    Sales tax refund.A housing business may claim a refund of the sales and use tax described in rule 701—12.9(15)701—12.19(15).    b.    Investment tax credit.    (1)   Computation of the credit.A housing business may claim a tax credit in an amount not to exceed 10 percent of the qualifying new investment in a housing projectnot located in a small city, or 20 percent of the qualifying new investment in a housing project located in a small city.     (2)   Allocation of the tax credit to the individual owners of the entity or beneficiaries of an estate or trust.An individual may claim a tax credit if the housing business is a partnership, limited liability company, S corporation, estate, or trust electing to have income taxed directly to the individual. The amount claimed by the individual shall be based upon the pro rata share of the individual’s earnings from the partnership, limited liability company, S corporation, estate, or trust.     (3)   Refundability.Any tax credit in excess of the taxpayer’s liability for the tax year is not refundable but.    (4)   Carryforward. Any tax credit in excess of the taxpayer’s liabilitymay be credited to the tax liability for the following five years or until depleted, whichever is earlier.    42.53(3) Claiming the tax credit—information required.  The taxpayer must receive a tax credit certificate from the economic development authority to claim the eligible housing business tax credit. The tax credit certificate shall include the taxpayer’s name, the taxpayer’s address, the taxpayer’s tax identification number, the date the project was completed, the amount of the eligible housing business tax credit and the tax year for which the credit may be claimed. In addition, the tax credit certificate shall include a place for the name and tax identification number of a transferee and the amount of the tax credit being transferred, as provided in subrule 42.53(5). The tax credit certificate must be included with the income tax return for the tax period in which the housing is ready for occupancy.    42.53(4) Basis adjustment.  The increase in the basis of the property that would otherwise result from the qualifying new investment shall be reduced by the amount of the investment tax credit. For example, if a new housing project had qualifying new investment of $1 million which resulted in a $100,000 investment tax credit for Iowa tax purposes, the basis of the property for Iowa income tax purposes would be $900,000.    42.53(5) Transfer of the credit.      a.    Submission of transferred tax credit certificate to the department—information required.Tax credit certificates issued under an agreement entered into pursuant to subrule 42.53(3) may be transferred to any person. Within 90 days of transfer, the transferee shall submit the transferred tax credit certificate to the department of revenue along with a statement containing the transferee’s name, tax identification number, and address, the denomination that each replacement tax credit certificate is to carry, and any other information required by the department of revenue. However, tax credit certificate amounts of less than the minimum amount established in rule by the economic development authority shall not be transferable.     b.    Issuance of replacement certificate by the department.Within 30 days of receiving the transferred tax credit certificate and the transferee’s statement, the department of revenue shall issue one or more replacement tax credit certificates to the transferee. Each replacement tax credit certificate must contain the information required for the original tax credit certificate and must have the same expiration date that appeared on the transferred tax credit certificate.     c.    Claiming the transferred tax credit.A tax credit shall not be claimed by a transferee under this rule until a replacement tax credit certificate identifying the transferee as the proper holder has been issued. The transferee may use the amount of the tax credit transferred for any tax year the original transferor could have claimed the tax credit. Any consideration received for the transfer of the tax credit shall not be included in Iowa taxable income for individual income, corporation income or franchise tax purposes. Any consideration paid for the transfer of the tax credit shall not be deducted from Iowa taxable income for individual income, corporation income, or franchise tax purposes.    d.    Unlimited number of transferees and subsequent transfers.There is no limitation on the number of transferees to whom the credit may be transferred. There is no limitation on the number of times that the credit may be retransferred by a transferee. The transferor may divide the credit into multiple credits of alternate denominations so long as the resulting credits are for amounts of no less than the minimum amount established in rule by the economic development authority.    e.    Carryforward limitations on transferees.The transferee may use the amount of the transferred tax credit for any tax year that the original transferor could have claimed the tax credit. The carryforward limitations described in paragraph 42.53(2)“b”(4) shall apply.    42.53(6) Repayment of benefits.  If the housing business fails to maintain the requirements of Iowa Code section 15.353, the taxpayer may be required to repay all or a portion of the tax incentives the taxpayer received. Irrespective of the fact that the statute of limitations to assess the taxpayer for repayment of the income tax credit may have expired, the department may proceed to collect the tax incentives forfeited by failure of the taxpayer to maintain the requirements of 2014 Iowa Acts, House File 2448, section 15Iowa Code section 15.353. This repayment is required because it is a recovery of an incentive, rather than an adjustment to the taxpayer’s tax liability. Details on the calculation of the repayment can be found in 261—subrule 187.5(4) of the administrative rules of the economic development authority. If the business is a partnership, limited liability company, S corporation, estate or trust where the income of the taxpayer is taxed to the individual owner(s) of the business, the department may proceed to collect the tax incentives against the partners, members, shareholders or beneficiaries to whom the tax incentives were passed through. See Decision of the Administrative Law Judge in Damien & Colette Trebilcock, et al., Docket No. 11DORF 042-044, June 11, 2012.       This rule is intended to implement 2014 Iowa Acts, House File 2448Iowa Code sections 15.354 and 15.355.

    ITEM 3.    Amend rule 701—52.46(15) as follows:

701—52.46(15) Workforce housing tax incentives program.  Effective July 1, 2014, aA business which qualifies under the workforce housing tax incentives program is eligible to receive tax incentives for corporation income tax. The workforce housing tax incentives program replacesreplaced the eligible housing enterprise zone program. An eligible business under the workforce housing tax incentives program must be approved by the economic development authority and must meet the requirements of 2014 Iowa Acts, House File 2448, section 15. The administrative rules for the workforce housing tax incentives program for the economic development authority may be found at 261—Chapter 48.The general assembly has mandated that the economic development authority and the department of revenue adopt rules to jointly administer Iowa Code sections 15.351 to 15.356. In general, the economic development authority is responsible for evaluating whether projects meet the requirements for a workforce housing tax incentives program while the department of revenue administers tax credit claims and transfers.    52.46(1) Definitions.          "Costs directly related" means expenditures that are incurred for construction of a housing project to the extent that they are attributable directly to the improvement of the property or its structures. “Costs directly related” includes expenditures for property acquisition, site preparation work, surveying, construction materials, construction labor, architectural services, engineering services, building permits, building inspection fees, and interest accrued on a construction loan during the time period allowed for project completion under an agreement entered into pursuant to the program. “Costs directly related” does not include expenditures for furnishings, appliances, accounting services, legal services, loan origination and other financing costs, syndication fees and related costs, developer fees, or the costs associated with selling or renting the dwelling units whether incurred before or after completion of the housing projectthe same as defined in rule 261—48.3(15).        "Qualifying new investment" means costs that are directly related to the acquisition, repair, rehabilitation, or redevelopment of a housing project in this state. For purposes of this rule, “costs directly related to acquisition” includes the costs associated with the purchase of real property or other structures. “Qualifying new investment” includes costs that are directly related to new construction of dwelling units if the new construction occurs in a distressed workforce housing community. The amount of costs that may be used to compute “qualifying new investment” shall not exceed the costs used for the first $150,000 of value for each dwelling unit that is part of a housing projectthe same as defined in rule 261—48.3(15).“Qualifying new investment” does not include the following:
  1. The portion of the total cost of a housing project that is financed by federal, state, or local government tax credits, grants, forgivable loans, or other forms of financial assistance that do not require repayment, excluding the tax incentives provided under this program.
  2. If a housing project includes the rehabilitation, repair, or redevelopment of an existing multi-use building, the portion of the total acquisition costs of the multi-use building, including a proportionate share of the total acquisition costs of the land upon which the multi-use building is situated, that are attributable to the street-level ground story that is used for a purpose that is other than residential.
  3. Any costs, including acquisition costs, incurred before the housing project is approved by the economic development authority.
    52.46(2) Workforce housing tax incentives.  The economic development authority will allocate no more than $20 million in tax incentives for this program for any fiscal year, $5 million of which shall be reserved for allocation to qualified housing projects in small cities, as defined in Iowa Code section 15.352(10), that are registered on or after July 1, 2017. A housing business that has entered into an agreement with the economic development authority is eligible to receive the tax incentives described in the following paragraphs:    a.    Sales tax refund.A housing business may claim a refund of the sales and use tax described in rule 701—12.9(15)701—12.19(15).    b.    Investment tax credit.    (1)   Computation of the credit.A housing business may claim a tax credit in an amount not to exceed 10 percent of the qualifying new investment in a housing projectnot located in a small city, or 20 percent of the qualifying new investment in a housing project located in a small city.     (2)   Allocation of the tax credit to the individual owners of the entity or beneficiaries of an estate or trust.An individual may claim a tax credit if the housing business is a partnership, limited liability company, S corporation, estate, or trust electing to have income taxed directly to the individual. The amount claimed by the individual shall be based upon the pro rata share of the individual’s earnings from the partnership, limited liability company, S corporation, estate, or trust.     (3)   Refundability.Any tax credit in excess of the taxpayer’s liability for the tax year is not refundable but.    (4)   Carryforward. Any tax credit in excess of the taxpayer’s liabilitymay be credited to the tax liability for the following five years or until depleted, whichever is earlier.    52.46(3) Claiming the tax credit—information required.  The taxpayer must receive a tax credit certificate from the economic development authority to claim the eligible housing business tax credit. The tax credit certificate shall include the taxpayer’s name, the taxpayer’s address, the taxpayer’s tax identification number, the date the project was completed, the amount of the eligible housing business tax credit and the tax year for which the credit may be claimed. In addition, the tax credit certificate shall include a place for the name and tax identification number of a transferee and the amount of the tax credit being transferred, as provided in subrule 52.46(5). The tax credit certificate must be included with the income tax return for the tax period in which the housing is ready for occupancy.    52.46(4) Basis adjustment.  The increase in the basis of the property that would otherwise result from the qualifying new investment shall be reduced by the amount of the investment tax credit. For example, if a new housing project had qualifying new investment of $1 million which resulted in a $100,000 investment tax credit for Iowa tax purposes, the basis of the property for Iowa income tax purposes would be $900,000.    52.46(5) Transfer of the credit.      a.    Submission of transferred tax credit to the department—information required.Tax credit certificates issued under an agreement entered into pursuant to subrule 52.46(3) may be transferred to any person. Within 90 days of transfer, the transferee shall submit the transferred tax credit certificate to the department of revenue along with a statement containing the transferee’s name, tax identification number, and address, the denomination that each replacement tax credit certificate is to carry, and any other information required by the department of revenue. However, tax credit certificate amounts of less than the minimum amount established in rule by the economic development authority shall not be transferable.     b.    Issuance of replacement certificate by the department.Within 30 days of receiving the transferred tax credit certificate and the transferee’s statement, the department of revenue shall issue one or more replacement tax credit certificates to the transferee. Each replacement tax credit certificate must contain the information required for the original tax credit certificate and must have the same expiration date that appeared on the transferred tax credit certificate.     c.    Claiming the transferred tax credit.A tax credit shall not be claimed by a transferee under this rule until a replacement tax credit certificate identifying the transferee as the proper holder has been issued. The transferee may use the amount of the tax credit transferred for any tax year the original transferor could have claimed the tax credit. Any consideration received for the transfer of the tax credit shall not be included in Iowa taxable income for individual income, corporation income or franchise tax purposes. Any consideration paid for the transfer of the tax credit shall not be deducted from Iowa taxable income for individual income, corporation income, or franchise tax purposes.    d.    Unlimited number of transferees and subsequent transfers.There is no limitation on the number of transferees to whom the credit may be transferred. There is no limitation on the number of times that the credit may be retransferred by a transferee. The transferor may divide the credit into multiple credits of alternate denominations so long as the resulting credits are for amounts of no less than the minimum amount established in rule by the economic development authority.    e.    Carryforward limitations on transferees.The transferee may use the amount of the transferred tax credit for any tax year that the original transferor could have claimed the tax credit. The carryforward limitations described in paragraph 52.46(2)“b”(4) shall apply.    52.46(6) Repayment of benefits.  If the housing business fails to maintain the requirements of Iowa Code section 15.353, the taxpayer may be required to repay all or a portion of the tax incentives the taxpayer received. Irrespective of the fact that the statute of limitations to assess the taxpayer for repayment of the income tax credit may have expired, the department may proceed to collect the tax incentives forfeited by failure of the taxpayer to maintain the requirements of Iowa Code section 15.353. This repayment is required because it is a recovery of an incentive, rather than an adjustment to the taxpayer’s tax liability. Details on the calculation of the repayment can be found in subrule 261—subrule187.5(4) of the administrative rules of the economic development authority. If the business is a partnership, limited liability company, S corporation, estate or trust where the income of the taxpayer is taxed to the individual owner(s) of the business, the department may proceed to collect the tax incentives against the partners, members, shareholders or beneficiaries to whom the tax incentives were passed through. See Decision of the Administrative Law Judge in Damien & Colette Trebilcock, et al., Docket No. 11DORF 042-044, June 11, 2012.       This rule is intended to implement 2014 Iowa Acts, House File 2448Iowa Code sections 15.354 and 15.355.

    ITEM 4.    Amend rule 701—58.23(15) as follows:

701—58.23(15) Workforce housing tax incentives program.  Effective July 1, 2014, aA business which qualifies under the workforce housing tax incentives program is eligible to receive tax incentives for franchise tax. The workforce housing tax incentives program replaces the eligible housing enterprise zone program. An eligible business under the workforce housing tax incentives program must be approved by the economic development authority and must meet the requirements of 2014 Iowa Acts, House File 2448, section 15. For information on how the workforce housing tax incentives can be claimed, how the investment tax credit can be transferred and other details about the workforce housing tax incentives, see rule 701—52.46(15). The administrative rules for the workforce housing tax incentives program for the economic development authority may be found at 261—Chapter 48.       This rule is intended to implement 2014 Iowa Acts, House File 2448Iowa Code sections 15.354 and 15.355.
ARC 3725CRevenue Department[701]Notice of Intended Action

Proposing rule making related to assessor and deputy assessor examination and providing an opportunity for public comment

    The Department of Revenue hereby proposes to amend Chapter 72, “Examination and Certification of Assessors and Deputy Assessors,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 421.14 and 441.5(4).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 441.5.Purpose and Summary    The purpose of this rule making is to prescribe the preliminary education requirements that must be completed before a person may sit for an assessor or deputy assessor examination.  Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 701—7.28(17A). Public Comment     Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Department no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Legal ServicesDepartment of Revenue Hoover State Office BuildingP.O. Box 10457Des Moines, Iowa 50306 Phone: 515.725.2294 Email: tim.reilly@iowa.govPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 72.1(1) as follows:    72.1(1)   The application for the examination shall be made on a form prescribed by the director and shall constitute an integral part of the examination. The application form shall require information as to the education, training, and experience of the applicant, including evidence of successful completion of the preliminary education requirements required in subrule 72.3(2), and such other information as the director may deem pertinent. Applications must be received by the department at least three days prior to the date of the examination. Applications filed on or after the effective date of this ruleFebruary 9, 1976, shall be considered public records pursuant to Iowa Code chapter 22 (City of Dubuque v. Telegraph Herald, Inc., 297 N.W.2d 523 (Iowa 1980); 1982 O.A.G. 3).

    ITEM 2.    Amend rule 701—72.3(441) as follows:

701—72.3(441) Equivalent of high school diplomaEligibility requirements to take the examination.      72.3(1) High school diploma or its equivalent.  Only persons who possess a high school diploma or its equivalent are eligible to take the examination. The equivalent of high school diploma shall consist of a high school equivalency certificatediploma issued by the department of public instructioneducation pursuant to Iowa Code chapter 259A, a similar document issued by the U.S. armed forces, or a similar document issued by another state.    72.3(2) Preliminary education requirements.      a.    Only persons who have successfully completed the preliminary education requirements are eligible to take the examination. These requirements may be met by achieving one of the following:    (1)   Successful completion of a department-approved course on Iowa assessment and taxation that includes coursework on Iowa laws within the time frame defined in paragraph 72.3(2)“b”;    (2)   Successful completion of a department-approved course on general appraisal and assessment practice in addition to a department-approved course on Iowa laws. Both courses must be successfully completed within the time frame defined in paragraph 72.3(2)“b”; or    (3)   Receipt of a currently active department-approved professional appraisal designation from a recognized appraisal organization in conjunction with successful completion of a department-approved course on Iowa laws within the time frame defined in paragraph 72.3(2)“b” if the appraisal designation is not already specific to Iowa.    b.    All required coursework must be completed within five years prior to the date of the examination.    c.    For the purposes of this subrule, “successful completion” shall mean answering a minimum of 70 percent of questions correctly on the test given at the completion of the course.    d.    The department will publish a list of approved courses and professional designations on its official website.       This rule is intended to implement Iowa Code section 441.5.
ARC 3730CSoil Conservation and Water Quality Division[27]Notice of Intended Action

Proposing rule making related to agricultural drainage wells and providing an opportunity for public comment

    The Soil Conservation and Water Quality Division hereby proposes to amend Chapter 30, “Agricultural Drainage Wells—Alternative Drainage System Assistance Program,” and to rescind Chapter 101, “Organization and Purpose,” Chapter 102, “Rules of Practice,” Chapter 103, “Appointment and Terms of Members,” Chapter 104, “Local Watershed Improvement Committees,” Chapter 105, “Watershed Improvement Grant Program,” Chapter 106, “Watershed Improvement Fund,” and Chapter 107, “Public Records and Fair Information Practices,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 161A.4(1) and 460.303(3).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 460.304(2)“a”(1)(b) and 2017 Iowa Acts, Senate File 510, sections 24 and 25.Purpose and Summary    The proposed amendments allow for the closure of the last remaining registered agricultural drainage wells through the construction of wetlands with permanent easements as authorized by the Iowa Code.  This option could be used if the wetland project would be more cost-effective than alternative drainage and if all project landowners agree.  The 75 percent cost-share requirement authorized by rule would not apply.  The proposed amendments also rescind the rules for the Watershed Improvement Review Board.  The statutory provisions for the Board were repealed effective January 1, 2018. Fiscal Impact     This rule making may have a positive fiscal impact to the State of Iowa because it could provide a more cost-effective alternative to closing a registered agricultural drainage well. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Division for a waiver of the discretionary provisions, if any, pursuant to 27—Chapter 8. Public Comment     Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Division no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Margaret Thomson Iowa Department of Agriculture and Land StewardshipWallace State Office Building502 East Ninth StreetDes Moines, Iowa 50319Email: margaret.thomson@Iowaagriculture.orgPublic Hearing     No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 30.50(1) as follows:    30.50(1) Cost-share rate.  Cost-shareExcept for the cost of wetland restoration projects with permanent easements, cost-share payments from the fund shall not exceed 75 percent of the estimated cost or 75 percent of the actual cost of the project, whichever is less.

    ITEM 2.    Adopt the following new paragraphs 30.50(2)"g" and 30.50(2)"h":    g.    Costs for the purchase of permanent easements for the wetland restoration if the easements are more cost-effective than the construction of alternative drainage systems and all directly impacted landowners agree to grant permanent easements.    h.    Construction costs for wetland restoration projects with permanent easements include, but are not limited to:    (1)   Tile modifications.    (2)   Installation of water level maintenance structures.    (3)   Associated excavation, grading and seeding activities.

    ITEM 3.    Amend subrules 30.50(3) and 30.50(4) as follows:    .(3) Project design and construction.  The alternative drainage system of the drainage districtor the wetland restoration shall be designed to meet standard engineering practice for drainage district improvements and be approved by the division. Construction shall be in accordance with the design and standard construction practice for drainage district improvementsor the wetland restoration.    .(4) Noncrop acresEasement purchases.  Noncrop acres within a designated agricultural drainage well area shall not be eligible to benefit from the program.For projects where wetland restoration is completed, a permanent easement restricting active disturbance of the easement area including cropland and pasture uses shall be granted to the applicable soil and water conservation district. The value of the easement is determined by using the average farmland value per acre for all soil types as determined by the most recently published county land value survey developed by Iowa State University adjusted by the value of any existing easements on the land.

    ITEM 4.    Rescind and reserve 27—Chapter 101.

    ITEM 5.    Rescind and reserve 27—Chapter 102.

    ITEM 6.    Rescind and reserve 27—Chapter 103.

    ITEM 7.    Rescind and reserve 27—Chapter 104.

    ITEM 8.    Rescind and reserve 27—Chapter 105.

    ITEM 9.    Rescind and reserve 27—Chapter 106.

    ITEM 10.    Rescind and reserve 27—Chapter 107.
ARC 3723CTelecommunications and Technology Commission, Iowa[751]Notice of Intended Action

Proposing rule making related to ICN authorized use and users and providing an opportunity for public comment

    The Iowa Telecommunications and Technology Commission hereby proposes to amend Chapter 7, “Authorized Use and Users,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code section 8D.3(3)“b.”State or Federal Law Implemented    This rule making implements, in whole or in part, 2017 Iowa Acts, House File 467.Purpose and Summary    This rule making implements the statutory change made by 2017 Iowa Acts, House File 467, and authorizes the Iowa Communications Network to provide law enforcement communications systems should an appropriate authorized user of the network request such services.Fiscal Impact    This rule making has no fiscal impact to the State of Iowa. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any, pursuant to 751—Chapter 9. Public Comment    Any interested person may submit written or oral comments concerning this proposed rule making. Written or oral comments in response to this rule making must be received by the Commission no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Mark Johnson Iowa Telecommunications and Technology Commission Grimes State Office Building400 East 14th StreetDes Moines, Iowa 50319 Phone: 515.725.4608 Email: mark.johnson@iowa.govPublic Hearing    No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making action is proposed:

    ITEM 1.    Amend rule 751—7.1(8D), definition of “State communications,” as follows:        "State communications" refers to the transmission of voice, data, video, the written word or other visual signals by electronic means but does not include radio and television facilities and other educational telecommunications systems and services including narrowcast and broadcast systems under the public broadcasting division of the department of education,or the department of transportation distributed data processing and mobile radio network, or law enforcement communications systems.
ARC 3726CUtilities Division[199]Notice of Intended Action

Proposing rule making related to electric utility services and providing an opportunity for public comment

    The Utilities Board hereby proposes to amend Chapter 20, “Service Supplied by Electric Utilities,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is proposed under the authority provided in Iowa Code sections 474.5 and 476.2.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 476.2, 476.6, 476.8, 476.20, 476.54, 476.66, 478.18 and 546.7.Purpose and Summary    The Board is conducting a comprehensive review of its administrative rules in accordance with Iowa Code section 17A.7(2). The purpose of this review is to identify and update or eliminate rules that are outdated or inconsistent with statutes and other administrative rules. Additionally, the Board is proposing to amend Chapter 20 by adding provisions regarding meter testing to eliminate the need for future waivers, updating its customer service rules, and addressing issues regarding master metering.    The Board issued an order commencing rule making on February 23, 2018. The order is available on the Board’s electronic filing system, efs.iowa.gov, under Docket No. RMU-2016-0008.Fiscal Impact    After analysis and review of this rule making, the Board tentatively concludes that the amendments will have no effect on the expenditure of public moneys within the State of Iowa. Jobs Impact    After analysis and review of this rule making, the Board tentatively concludes that the amendments will not have a detrimental effect on employment in Iowa.Waivers    Chapter-specific waiver provisions are unnecessary since any person may apply for waiver of any Board rule under rule 199—1.3(17A,474,476). Public Comment    Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on May 1, 2018. Comments should be directed to: Iowa Utilities BoardElectronic Filing System (EFS) at efs.iowa.govPhone: 515.725.7337 Email: efshelpdesk@iub.iowa.govPublic Hearing    A public hearing at which persons may present their views orally or in writing will be held as follows: May 16, 2018Utilities Board Hearing Room9 a.m. to 12 noon1375 East Court AvenueDes Moines, Iowa    Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making.    Any persons who intend to attend a public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Board and advise of specific needs. Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).    The following rule-making actions are proposed:

    ITEM 1.    Amend subrule 20.1(2) as follows:    20.1(2) Application of rules.  The rules shall apply to any electric utility operating within the state of Iowa subject to Iowa Code chapter 476, and to the construction, operation and maintenance of electric transmission lines to the extent provided in Iowa Code chapter 478, and shall supersede all tariffs on file with the board which are in conflict with these rules.These rules are intended to promote safe and adequate service to the public, to provide standards for uniform and reasonable practices by utilities, and to establish a basis for determining the reasonableness of such demands as may be made by the public upon the utilities.A request to waive the application of any rule on a permanent or temporary basis may be made in accordance with 199—1.3(17A,474,476,78GA,HF2206)199—1.3(17A,474,476).The adoption of these rules shall in no way preclude the board from altering or amending them pursuant to statute or from making such modifications with respect to their application as may be found necessary to meet exceptional conditions.These rules shall in no way relieve any utility from any of its duties under the laws of this state.

    ITEM 2.    Amend subrule 20.1(3) as follows:    20.1(3) Definitions.  The following words and terms, when used in these rules, shall have the meaning indicated below:        "Acid Rain Program" means the sulfur dioxide and nitrogen oxides air pollution control program established pursuant to Title IV of the Act under 40 CFR Parts 72-78.        "Act" means the Clean Air Act, 42 U.S.C. Section 7401, et seq., as amended by Pub. L. 101-549, November 15, 1990.        "Affected unit" means a unit or source that is subject to any emission reduction requirement or limitation under the Acid Rain Program, the Clean Air Interstate Rule (CAIR),or the Clean Air Mercury Rule (CAMR)the Cross-State Air Pollution Rule (CSAPR), or the Mercury and Air Toxics Standards (MATS), or a unit or source that opts in under 40 CFR Part 74.        "Allowance" means an authorization, allocated by the United States Environmental Protection Agency (EPA), to emit sulfur dioxide (SO2) under the Acid Rain Program, to emit sulfur dioxide (SO2), anyor SO2 and nitrogen oxide (NOX) emissions subject tounder the Clean Air Interstate Rule (CAIR), or mercury (Hg) emissions subject to the Clean Air Mercury Rule (CAMR),and the Cross-State Air Pollution Rule (CSAPR) during or after a specified calendar year.        "Allowance forward contract" is an agreement between a buyer and seller to transfer an allowance on a specified future date at a specified price.        "Allowance futures contract" is an agreement between a futures exchange clearinghouse and a buyer or seller to buy or sell an allowance on a specified future date at a specified price.        "Allowance option contract" is an agreement between a buyer and seller whereby the buyer has the option to transfer an allowance(s) at a specified date at a specified price. The seller of a call or put option will receive a premium for taking on the associated risk.        "Board" means the utilities board.        "Clean Air Interstate Rule" "CAIR" means the requirements EPA published in the Federal Register (70 Fed. Reg. 25161) on May 12, 2005.        "Clean Air Mercury Rule" "CAMR" means the requirements EPA published in the Federal Register (70 Fed. Reg. 28605) on May 18, 2005.        "Complaint," as used in these rules, is a statement or question by anyone, whether a utility customer or not, alleging a wrong, grievance, injury, dissatisfaction, illegal action or procedure, dangerous condition or action, or utility obligation.        "Compliance plan" means the document submitted for an affected source to the EPA which specifies the methods by which each affected unit at the source will meet the applicable emissions limitation and emissions reduction requirements.        "Cross-State Air Pollution Rule" "CSAPR" means the requirements established by EPA in 40 CFR 97 Subparts AAAAA, BBBBB, CCCCC, and DDDDD as amended by 81 FR 13275 (March 14, 2016).        "Customer" means any person, firm, association, or corporation, any agency of the federal, state or local government, or legal entity responsible by law for payment for the electric service or heat from the electric utility.        "Delinquent" "delinquency" means an account for which a service bill or service payment agreement has not been paid in full on or before the last day for timely payment.        "Distribution line" means any single or multiphase electric power line operating at nominal voltage in either of the following ranges: 2,000 to 26,000 volts between ungrounded conductors or 1,155 to 15,000 volts between grounded and ungrounded conductors, regardless of the functional service provided by the line.        "Economy energy" is energy bought or sold in a transaction wherein the supplier’s incremental cost is less than the buyer’s decremental cost, and the differential in cost is shared in an equitable manner by the supplier and buyer.        "Electric plant" includes all real estate, fixtures and property owned, controlled, operated or managed in connection with or to facilitate production, generation, transmission, or distribution, in providing electric service or heat by an electric utility.        "Electric service" is furnishing to the public for compensation any electricity, heat, light, power, or energy.        "Emission for emission trade" is an exchange of one type of emission for another type of emission. For example, the exchange of SO2 emission allowances for NOX emission allowances.        "Energy" means electric energy measured in kilowatt hours.        "Firm power" is power and associated energy intended to be available at all times during the period covered by the commitment.        "Gains and losses from allowance sales" are calculated as the difference between the sale price of allowances sold during the month and the weighted average unit cost of inventoried allowances.        "Mercury and Air Toxics Standards" "MATS" means the requirements established by EPA in 40 CFR Parts 60 and 63 regarding limits of power plant emissions of toxic air pollutants (February 16, 2012).        "Meter" means, unless otherwise qualified, a device that measures and registers the integral of an electrical quantity with respect to time.        "Meter shop" is a shop where meters are inspected, repaired and tested, and may be at a fixed location or may be mobile.        "Operating reserve" is a reserve generating capacity required to ensure reliability of generation resources.        "Operational control energy" is energy supplied by a selling utility to a buying utility for the improvement of electric system operation.        "Outage energy" is energy purchased during emergency or scheduled maintenance outages of generation or transmission facilities, or both.        "Participation power" means power and associated energy or energy which is purchased or sold from a specific unit or units on the basis that its availability is subject to prorateproration or other specified reduction if the units are not operated at full capacity.        "Peaking power" is power and associated energy intended to be available at all times during the commitment and which is anticipated to have low load factor use.        "Power" means electric power measured in kilowatts.        "Price hedging" means using futures contracts or options to guard against unfavorable price changes.        "Rate-regulated utility" means any utility, as defined in 20.1(3),which is subject to board rate regulation under Iowa Code chapter 476.        "Secondary line" means any single or multiphase electric power line operating at nominal voltage less than either 2,000 volts between ungrounded conductors or 1,155 volts between grounded and ungrounded conductors, regardless of the functional service provided by the line.        "Service limitation" means the establishment of a limit on the amount of power that may be consumed by a residential customer through the installation of a service limiter on the customer’s meter.        "Service limiter" "service limitation device" means a device that limits a residential customer’s power consumption to 3,600 watts (or some higher level of usage approved by the board) and that resets itself automatically, or can be reset manually by the customer, and may also be reset remotely by the utility at all times.        "Speculation" means using futures contracts or options to profit from expectations of future price changes.        "Tariff" means the entire body of rates, tolls, rentals, charges, classifications, rules, procedures, policies, etc., adopted and filed with the board by an electric utility in fulfilling its role of furnishing service.        "Timely payment" is a payment on a customer’s account made on or before the date shown on a current bill for service, or on a form which records an agreement between the customer and a utility for a series of partial payments to settle a delinquent account, as the date which determines application of a late payment charge to the current bill or future collection efforts.        "Transmission line" means any single or multiphase electric power line operating at nominal voltages at or in excess of either 69,000 volts between ungrounded conductors or 40,000 volts between grounded and ungrounded conductors, regardless of the functional service provided by the line.        "Utility" means any person, partnership, business association or corporation, domestic or foreign, owning or operating any facilities for providing electric service or heat to the public for compensation.        "Vintage trade" is an exchange of one vintage of allowances for another vintage of allowances with the difference in value between vintages being cash or additional allowances.        "Weighted average unit cost of inventoried allowances" equals the dollars in inventory at the end of the month divided by the total allowances available for use at the end of the month.        "Wheeling service" is the service provided by a utility in consenting to the use of its transmission facilities by another party for the purpose of scheduling delivery of power or energy, or both.

    ITEM 3.    Amend subrule 20.2(2) as follows:    20.2(2) Tariffs to be filed with the board.  The schedules of rates and rules of rate-regulated electric utilities shall be filed with the board and shall be classified, designated, arranged and submitted so as to conform to the requirements of this chapter. Provisions of the schedules shall be definite and so stated as to minimize ambiguity or the possibility of misinterpretation. The form, identification and content of tariffs shall be in accordance with these rules.A rate-regulated electric utility’s current tariff will be made available through the board’s electronic filing system.Utilities which are not subject to the rate regulation provided for by Iowa Code chapter 476 shall not be required to file schedules of rates, rules, or contracts primarily concerned with a rate schedule with the board and shall not be subject to the provisions related to rate regulations, but nothing contained in these rules shall be deemed to relieve any utility of the requirement of furnishing any of these same schedules or contracts which are needed by the board in the performance of the board’s duties upon request to do so by the board.

    ITEM 4.    Amend subrule 20.2(3) as follows:    20.2(3) Form and identification.  All tariffs shall conform to the following rules:    a.    The tariff shall be printed, typewritten or otherwisefiled electronically using the board’s electronic filing system. The filed tariff shall be capable of being reproduced on 8½- × 11- inch sheets of durable white paper so as to result in a clear and permanent recordconsumers may readily view and reproduce copies of the tariff. The sheets of the tariff should be ruled or spaced to set off a border on the left side suitable for binding. In the case of utilities subject to regulation by any federal agency the format of sheets ofA tariff as filed with the board may be the same format as is required by thea federal agency provided that the rules of the board as to title page; identity of superseding, replacing or revision sheets; identity of amending sheets:; identity of the filing utility, issuing official, date of issue, effective date; and the words “Tariff with board” shall apply in the modification of the federal agency format for the purposes of filing with this board.    b.    The title page of every tariff and supplement shall show:    (1)   The first page shall be the title page which shall show:(Name of Public Utility)Electric TariffFiled withIowa Utilities Board(Date)(This requirement does not apply to tariffs or amendments filed with the board prior to July 1, 1981.)    (2)   When a tariff is to be superseded or replaced in its entirety, the replacing tariff shall show on the upper right corner of its title page that it supersedes a tariff on file and the number being superseded or replaced, for example:tariff no. supersedes tariff no. (This requirement does not apply to tariffs or amendments filed with the board prior to July 1, 1981.)    (3)   When a new part of a tariff eliminates an existing part of a tariff it shall so state and clearly indicate the part eliminated.    (4)   Any tariff modifications as defined above shall be marked in the right-hand margin of the replacing tariff sheet with symbols as here described to indicate the place, nature and extent of the change in text.—Symbols—(C)—Changed regulation(D)—Discontinued rate or regulation (I)—Increase in rate or new treatment resulting in increased rate(N)—New rate, treatment or regulation (R)—Reduction in rate or new treatment resulting in reduced rate(T)—Change in text only    c.    All sheets except the title page shall have, in addition to the above-stated requirements, the following information:    (1)   Name of utility under which shall be set forth the words “Filed with board.” If the utility is not a corporation, and a trade name is used, the name of the individual or partners must precede the trade name.    (2)   Issuing official and issue date.    (3)   Effective date (to be left blank by rate-regulated utilities).    d.    All sheets except the title page shall have the following form:(Company Name)(Part identification)Electric Tariff(This sheet identification)Filed with board(Canceled sheet identification, if any)(Content or tariff)Issued: (Date)Effective:Issued by: (Name, title)(Proposed Effective Date:)The issued date is the date the tariff or the amended sheet content was adopted by the utility.The effective date will be left blank by rate-regulated utilities and shall be determined by the board. The utility may propose an effective date.

    ITEM 5.    Amend subrule 20.2(5) as follows:    20.2(5) Annual, periodic and other reports to be filed with the board.      a.    System map verification. The utility shall file annually a verification that it has a currently correct set of utility system maps in accordance with general requirementthe general requirements of subrule20.3(11) and a statement as to the location of the utility’s offices where such maps, except those deemed confidential by the board, are accessible and available for examination by the board or its agents. The verification and map location information shall also be reported to the board upon other occasions when significant changes occur in either the maps or location of the maps.    b.    Accident reports. Rescinded IAB 12/11/91, effective 1/15/92. See 199—25.5(476,478).    c.    Rescinded IAB 11/13/02, effective 12/18/02.    d.    Electric service record. Each utility shall compile a monthly record of electric service showing the production, acquisition and disposition of electric energy, the number of customer terminal voltage investigations made, the number of customer meters tested and such other information as may be required by the board. The monthly “Electric Service” record shall be compiled not later than 30 days after the end of the month covered and such record shall, upon and after compilation, be kept available for inspection by the board or its staff at the utility’s principal office within the state of Iowa. A summary of the 12 monthly “Electric Service” records for each calendar year shall be attached to and submitted with the utility’s annual report to the board.    e.    The utility shall keep the board informed currently by written notice as to the location at which the utility keeps the various classes of records required by these rules.    f.    A copy of theThe utility’s current rules, if any, published or furnished by the utility for the use of engineers, architects, electrical contractors, etc., covering meter and service installations shall be filed withmaintained and made available to the boardupon request.    g.    A copy of each type of customer bill form in current use shall be filed with the board.    h.    A copy of the adjustment calculation shall be provided the board prior to each billing cycle on the forms adopted by the board.    i.    Rescinded IAB 1/9/91, effective 2/13/91.    j.    Residential customer statistics. Each rate-regulated electric utility shall file with the board on or before the fifteenth day of each month one copy of the following residential customer statistics for the preceding month:    (1)   Number of accounts;    (2)   Number of accounts certified as eligible for energy assistance since the preceding October 1;    (3)   Number of accounts past due;    (4)   Number of accounts eligible for energy assistance and past due;    (5)   Total revenue owed on accounts past due;    (6)   Total revenue owed on accounts eligible for energy assistance and past due;    (7)   Number of disconnection notices issued;    (8)   Number of disconnection notices issued on accounts eligible for energy assistance;    (9)   Number of disconnections for nonpayment;    (10)   Number of reconnections;    (11)   Number of accounts determined uncollectible; and    (12)   Number of accounts eligible for energy assistance and determined uncollectible.    k.    List of persons authorized to receive board inquiries. Each utility shall file with the board in the annual report required in 199—subrule 23.1(2) a list of names, titles, addresses, and telephone numbers of persons authorized to receive, act upon, and respond to communications from the board in connection with: (1) general management duties; (2) customer relations (complaints); (3) engineering operations; (4) meter tests and repairs; (5) franchises for electric lines; (6) certificates for electric generating plants. Each utility shall file with the board a telephone contact number where the board can obtain current information 24 hours a day about outages and interruptions of service from a knowledgeable person. The contact information required by this paragraph shall be kept current as changes or corrections are made.

    ITEM 6.    Amend subparagraph 20.3(1)"a" as follows:    (2)   For temporary service installationsnot otherwise metered.

    ITEM 7.    Amend paragraph 20.3(1)"b" as follows:    b.    The amount of all electricity delivered to multioccupancy premises within a single building, where units are separately rented or owned, shall be measured on the basis of individual meter measurement for each unit, except in the following instances:    (1)   Where electricity is used in centralized heating, cooling, water-heating, or ventilation systems;    (2)   Where a facility is designated for elderly or handicapped persons;    (3)   Where submetering or resale of service was permitted prior to 1966; or    (4)   Where individual metering is impractical. “Impractical” means: (1) where conditions or structural barriers exist in the multioccupancy building that would make individual meters unsafe or physically impossible to install; (2) where the cost of providing individual metering exceeds the long-term benefits of individual metering; or (3) where the benefits of individual metering (reduced and controlled energy consumption) are more effectively accomplished through a master meter arrangement.    1.   Conditions or structural barriers exist in the multioccupancy building that would make individual meters unsafe or physically impossible to install; or    2.   The cost of providing individual metering exceeds the long-term benefits of individual metering; or    (5)   Where the benefits of individual metering (reduced and controlled energy consumption) are more effectively accomplished through a master meter arrangement in which the predicted annual energy use for a new multioccupancy building would result in at least a 30 percent energy savings compared to the predicted annual energy use of a new building meeting the requirements of the State of Iowa Energy Code and operating with equipment, fixtures, and appliances meeting federal energy standards for manufactured devices for a new building. An existing multioccupancy building qualifies for master metering under this subparagraph when the predicted annual energy use would result in at least a 30 percent energy savings compared to the building’s current annual energy usage levels. Credits for on-site renewable energy generation shall not be taken into account when determining the predicted energy savings.If a multioccupancy building is master-metered, the end-user occupants may be charged for electricity as an unidentified portion of the rent, condominium fee, or similar payment, or, if some other method of allocating the cost of the electric service is used, the total charge for electric service shall not exceed the total electric bill charged by the utility for the same period.

    ITEM 8.    Rescind and reserve subrule 20.3(4).

    ITEM 9.    Amend subrule 20.3(5) as follows:    20.3(5) Meter register.  If it is necessary to apply a multiplier to the meter readings, the multiplier must be marked on the face of the meter register or stenciled in weather resistantweather-resistant paint upon the front cover of the meter. Customers shall have continuous visual access to meter registers as a means of verifying the accuracy of bills presented to them and for implementing such energy conservation initiatives as they desire, except in the individual locations where the utility has experienced vandalism to windows in the protective enclosures. Where remote meter reading is used, whether outdoor on premises or off premises automated, the customer shall also have readable meter registers at the meter.A utility may comply with the requirements of this subrule by making the required information available via the Internet or other equivalent means.Where magnetic tape or othera delayed processing means is used, the utility may comply by having readable kWh registers only, visually accessible.In instances in which the utility has determined that readable access, to locations existing July 1, 1981, will create a safety hazard, the utility is exempted from the access provisions above.In instances when a building owner has determined that unrestricted access to tenant metering installation would create a vandalism or safety hazard, the utility is exempted from the access provision above.Continuing efforts should be made to eliminate or minimize the number of restricted locations. The utility should assist affected customers in obtaining meter register information.

    ITEM 10.    Amend subrule 20.3(6) as follows:    20.3(6) Meter reading and billing interval.  Readings of all meters used for determining charges and billings to customers shall be scheduled at least monthly and for the beginning and termination of service. Bills to larger customers may, for good cause, be renderedprovided weekly or daily for a period not to exceed one month. Intervals other than monthly shall not be applied to smaller customers, or to larger customers after the initial month provided above, without a waiver from the board. A waiver request must include sufficient information to comply with 199—1.3(17A,474,476,78GA,HF2206)199—1.3(17A,474,476). If the board denies a waiver, or if a waiver is not sought with respect to a high demandhigh-demand customer after the initial month, that customer’s meter shall be read monthly for the next 12 months. The group of larger customers to which shorter billing intervals may be applied shall be specified in the utility’s tariff sheets, but shall not include residential customers.An effort shall be made to obtain readings of the meters on corresponding days of each meter-readingmeter reading period. When the meter reading date causes a given billing period to deviate by more than 10 percent (counting only business days) from the normal meter reading period, such bills shall be prorated on a daily basis.The utility may permit the customer to supply the meter readings by telephone, by electronic means, or on a form supplied by the utility. The utility may arrange for customer meter reading forms to be delivered to the utility by United States mail, electronically, or by hand delivery. The utility may arrange for the meter to be read by electronic means. Unless the utility has a plan to test check meter readings, a utility representative shall physically read the meter at least once each 12 months.In the event that the utility leaves a meter reading form with the customer when access to meters cannot be gained and the form is not returned in time for the billing operation, an estimated bill may be renderedprovided.If an actual meter reading cannot be obtained, the utility may renderprovide an estimated bill without reading the meter or supplying a meter reading form to the customer. Only in unusual cases or when approval is obtained from the customer shall more than three consecutive estimated bills be renderedprovided.

    ITEM 11.    Amend subrule 20.3(8) as follows:    20.3(8) Service areas.  Service areas are defined by the boundaries on service area maps,. Paper maps are available for viewing during regular business hours at the board’s offices, and available for purchase at the cost of reproduction.Maps are also available for viewing on the board’s website. These service area maps are adopted as part of this rule and are incorporated in this rule by this reference.

    ITEM 12.    Amend paragraph 20.3(11)"b" as follows:    b.    All maps, except those deemed confidential by the board, shall be available for examination at the utility’s designated offices during the utility’s regular office hours. The maps shall be drawn with clean, uniform lines to a scale of one inch per mile. A large scale shall be used where it is necessary to clarify areas where there is a heavy concentration of facilities. All cartographic details shall be clean cut, and the background shall contain little or no coloration or shading.

    ITEM 13.    Adopt the following new subrule 20.3(12):    20.3(12) Prepayment meters.  Prepayment meters shall not be geared or set so as to result in the charge of a rate or amount higher than would be paid if a standard type meter were used, except under tariffs approved by the board.

    ITEM 14.    Amend paragraph 20.3(13)"a", definition of “Contribution in aid of construction,” as follows:        "Contribution in aid of construction," as used in this subrule, means a nonrefundable cash payment grossed-up for the income tax effect of such revenue covering the costs of an electrical line extension ora service line that are in excess of costs paid by the utility. The amount of tax shall be reduced by the present value of the tax benefits to be obtained by depreciating the property in determining the tax liability.

    ITEM 15.    Amend subparagraph 20.3(13)"c" as follows:    (5)   Refunds. When the customer is required to make an advance for construction, the utility shall refund to the depositor for a period of ten years from the date of the original advance a pro-rata share for each service line attached to the electrical line extension. The pro-rata refund shall be computed in the following manner:
  1. If the combined total of three times estimated base revenue, or the amount allowed by the feasibility model, for the electrical line extension and each service line attached to the electrical line extension exceeds the total estimated constrictionconstruction cost to provide the electrical line extension, the entire amount of the advance for construction provided shall be refunded.
  2. If the combined total of three times estimated base revenue, or the amount allowed by the feasibility model, for the electrical line extension and each service line attached to the electrical line extension is less than the total estimated construction cost to provide the electrical line extension, the amount to be refunded shall equal three times estimated base revenue, or the amount allowed by the feasibility model, when a service line is attached to the electrical line extension.
  3. In no event shall the total amount to be refunded exceed the amount of the advance for construction. Any amounts subject to refund shall be paid by the utility without interest. At the expiration of the above-described ten-year period, the advance for construction record shall be closed and the remaining balance shall be credited to the respective plant account.

    ITEM 16.    Amend paragraph 20.3(13)"e" as follows:    e.    Extensions not required.Utilities shall not be required to make electrical line extensions or install service lines as described in this subrule, unless the electrical line extension or service line shall be of a permanent nature.When the utility provides a temporary service to a customer, the utility may require that the customer bear all the cost of installing and removing the service in excess of any salvage realized.

    ITEM 17.    Amend subrule 20.4(1) as follows:    20.4(1) Customer information.  Each utility shall:    a.    Maintain up-to-date maps, plans, or records of its entire transmission and distribution systems, together with such other information as may be necessary to enable the utility to advise prospective customers, and others entitled to the information, as to the facilities available for serving prospective customers in its service area.    b.    Assist the customer or prospective customer in selecting the most economical rate schedule available for the customer’s proposed type of service.    c.    Notify customers affected by a change in rates or schedule classification in the manner provided in the rules of practice and procedure before the board. [199—7.4(476) IAC](199—26.5(476))    d.    Post a notice in a conspicuous place in each office of the utility where applications for service are received, informing the public that copies of the rate schedules and rules relating to the service of the utility, as filed with the board, are available for public inspection. If the utility has provided access to its rate schedules and rules for service on its Web sitewebsite, the notice shouldshall include the Web sitewebsite address.    e.    Upon request, inform its customers as to the method of reading meters.    f.    State, on the bill form, that tariff and rate schedule information is available upon request at the utility’s local business office.If the utility provides access to its tariff and rate schedules on its website, the bill form should include the website address.    g.    Upon request, transmit a statement of either the customer’s actual consumption, or degree day adjusted consumption, at the company’s option, of electricity for each billing during the prior 12 months.    h.    Furnish such additional information as the customer may reasonably request.

    ITEM 18.    Amend subrule 20.4(2) as follows:    20.4(2) Customer contact employee qualifications.  Each utility shall promptly and courteously resolve inquiries for information or complaints. Employees who receive customer telephone calls and office visits shall be qualified and trained in screening and resolving complaints, to avoid a preliminary recitation of the entire complaint to employees without ability and authority to act. The employee shall provide identification to the customer that will enable the customer to reach that employee again if needed.Each utility shall notify its customers, by bill insert or notice on the bill form, of the address and telephone number where a utility representative qualified to assist in resolving the complaint can be reached. The bill insert or notice shall also include the following statement: “If (utility name) does not resolve your complaint, you may request assistance from the Iowa Utilities Board by calling (515)725-7321, or toll-free 1-877-565-4450, or by writing to 1375 E. Court Avenue, Room 69, Des Moines, Iowa 50319-0069, or by E-mailemail to customer@iub.iowa.gov.”The bill insert or notice for municipal utilities shall include the following statement: “If your complaint is related to service disconnection, safety, or renewable energy, and (utility name) does not resolve your complaint, you may request assistance from the Iowa Utilities Board by calling (515)725-7321, or toll-free 1-877-565-4450, by writing to 1375 E. Court Avenue, Room 69, Des Moines, Iowa 50319-0069, or by E-mailemail to customer@iub.iowa.gov.”The bill insert or notice for non-rate-regulated rural electric cooperatives shall include the following statement: “If your complaint is related to the (utility name) service rather than its rates, and (utility name) does not resolve your complaint, you may request assistance from the Iowa Utilities Board by calling (515)725-7321, or toll-free 1-877-565-4450, by writing to 1375 E. Court Avenue, Room 69, Des Moines, Iowa 50319-0069, or by E-mailemail to customer@iub.iowa.gov.”The bill insert or notice on the bill shall be provided monthly by utilities serving more than 50,000 Iowa retail customers and no less than annually by all other electric utilities. Any utility which does not use the standard statement described in this subrule shall file its proposed statement in its tariff for approval. A utility that bills by postcard may place an advertisement in a local newspaper of general circulation or a customer newsletter instead of a mailing. The advertisement must be of a type size that is easily legible and conspicuous and must contain the information set forth above.

    ITEM 19.    Amend subrule 20.4(9) as follows:    20.4(9) Customer bill forms.  Each customer shall be informed as promptly as possible following the reading of the customer’s meter, on bill form or otherwise, of the following:    a.    The reading of the meter at the beginning and at the end of the period for which the bill is renderedprovided.    b.    The dates on which the meter was read, at the beginning and end of the billing period.    c.    The number and kind of units metered.    d.    The applicable rate schedule, orwith the identification of the applicable rate scheduleclassification.    e.    The account balance brought forward and amount of each net charge for rate-schedule-priced utility service, sales tax, other taxes, late payment charge, and total amount currently due. In the case of prepayment meters, the amount of money collected shall be shown.    f.    The last date for timely payment shall be clearly shown and shall be not less than 20 days after the bill is renderedprovided.    g.    A distinct marking to identify an estimated bill.    h.    A distinct marking to identify a minimum bill.    i.    Any conversions from meter reading units to billing units, or any calculations to determine billing units from recording or other devices, or any other factors, such as sliding scale or automatic adjustment and amount of sales tax adjustments used in determining the bill.    j.    Customer billing information alternate. A utility serving less than 5000 electric customers may provide the information in 20.4(9) on bill form or otherwise. If the utility elects not to provide the information of 20.4(9), it shall advise the customer, on bill form or by bill insert, that such information can be obtained by contacting the utility’s local office.

    ITEM 20.    Amend subrule 20.4(11) as follows:    20.4(11) Payment agreements.      a.    Availability of a first payment agreement.When a residential customer cannot pay in full a delinquent bill for utility service or has an outstanding debt to the utility for residential utility service and is not in default of a payment agreement with the utility, a utility shall offer the customer an opportunity to enter into a reasonable payment agreement.    b.    Reasonableness.Whether a payment agreement is reasonable will be determined by considering the current household income, ability to pay, payment history including prior defaults on similar agreements, the size of the bill, the amount of time and the reasons why the bill has been outstanding, and any special circumstances creating extreme hardships within the household. The utility may require the person to confirm financial difficulty with an acknowledgment from the department of human services or another agency.    c.    Terms of payment agreements.    (1)   First payment agreement.The utility shall offer customers who have received a disconnection notice or have been disconnected 120 days or less and who are not in default of a payment agreement the option of spreading payments evenly over at least 12 months by paying specific amounts at scheduled times. The utility shall offer customers who have been disconnected more than 120 days and who are not in default of a payment agreement the option of spreading payments evenly over at least 6 months by paying specific amounts at scheduled times.The utility shall offer the following conditions to customers who have received a disconnection notice or who have been previously disconnected and are not in default of a payment agreement:
  1. The agreement shall also include provision for payment of the current account. The agreement negotiations and periodic payment terms shall comply with tariff provisions which are consistent with these rules. The utility may also require the customer to enter into a level payment plan to pay the current bill.
  2. When the customer makes the agreement in person, a signed copy of the agreement shall be provided to the customer.
  3. The utility may offer the customer the option of making the agreement over the telephone or through electronic transmission. When the customer makes the agreement over the telephone or through electronic transmission, the utility shall render to the customer a written document reflecting the terms and conditions of the agreement within three days of the date the parties entered into the oral agreement or electronic agreement. The document will be considered rendered to the customer when addressed to the customer’s last-known address and deposited in the U.S. mail with postage prepaid. If delivery is by other than U.S. mail, the document shall be considered rendered to the customer when delivered to the last-known address of the person responsible for payment for the service. The document shall state that unless the customer notifies the utility within ten days from the date the document is rendered, it will be deemed that the customer accepts the terms as reflected in the written document. The document stating the terms and agreements shall include the address and a toll-free or collect telephone number where a qualified representative can be reached. By making the first payment, the customer confirms acceptance of the terms of the oral agreement or electronic agreement.
  4. Each customer entering into a first payment agreement shall be granted at least one late payment that is made four days or less beyond the due date for payment and the first payment agreement shall remain in effect.
  1. For customers who received a disconnection notice or who have been disconnected less than 120 days and are not in default of a payment agreement, the utility shall offer an agreement with at least 12 even monthly payments. For customers who have been disconnected more than 120 days and are not in default of a payment agreement, the utility shall offer an agreement with at least 6 even monthly payments. The utility shall inform customers they may pay off the delinquency early without incurring any prepayment penalties.
  2. The agreement shall also include a provision for payment of the current account.
  3. The utility may also require the customer to enter into a budget billing plan to pay the current bill.
  4. When the customer makes the agreement in person, a signed copy of the agreement shall be provided to the customer.
  5. The utility may offer the customer the option of making the agreement over the telephone or through electronic transmission.
  6. When the customer makes the agreement over the telephone or through electronic transmission, the utility shall provide to the customer a written document reflecting the terms and conditions of the agreement within three days of the date the parties entered into the oral agreement or electronic agreement.
  7. The document will be considered provided to the customer when addressed to the customer’s last-known address and deposited in the U.S. mail with postage paid. If delivery is by other than U.S. mail, the document shall be considered provided to the customer when delivered to the last-known address of the person responsible for payment for the service.
  8. The document shall state that unless the customer notifies the utility otherwise within ten days from the date the document is provided, it will be deemed that the customer accepts the terms as stated in the written document. The document stating the terms and conditions of the agreement shall include the address and a toll-free or collect telephone number where a qualified representative can be reached.
  9. Once the first payment required by the agreement is made by the customer or on behalf of the customer, the oral or electronic agreement is deemed accepted by the customer.
  10. Each customer entering into a first payment agreement shall be granted at least one late payment that is four days or less beyond the due date for payment, and the first payment agreement shall remain in effect.
  11. The initial payment is due on the due date for the next regular bill.
    (2)   Second payment agreement. The utility shall offer a second payment agreement to a customer who is in default of a first payment agreement if the customer has made at least two consecutive full payments under the first payment agreement.     1.   The second payment agreement shall be for the same term as or longer thana term at least as long as the term of the first payment agreement.     2.   The customer shall be required to pay for current service in addition to the monthly payments under the second payment agreement and may be required to make the first payment up-front as a condition of entering into the second payment agreement.     3.   The utility may also require the customer to enter into a level paymentbudget billing plan to pay the current bill.     (3)   Additional payment agreements.The utility may offer additional payment agreements to the customer.
    d.    Refusal by utility.A customer may offer the utility a proposed payment agreement. If the utility and the customer do not reach an agreement, the utility may refuse the offer orally, but the utility must renderprovide a written refusal to the customer, stating the reason for the refusal, within three days of the oral notification. The written refusal shall be considered renderedprovided to the customer when addressed to the customer’s last-known address and deposited in the U.S. mail with postage prepaid. If delivery is by other than U.S. mail, the written refusal shall be considered renderedprovided to the customer when handed to the customer or when delivered to the last-known address of the person responsible for the payment for the service.A customer may ask the board for assistance in working out a reasonable payment agreement. The request for assistance must be made to the board within ten days after the rendering of the written refusalis provided. During the review of this request, the utility shall not disconnect the service.

    ITEM 21.    Amend subrule 20.4(12) as follows:    20.4(12) Bill payment terms.  The bill shall be considered renderedprovided to the customer when deposited in the U.S. mail with postage prepaid. If delivery is by other than U.S. mail, the bill shall be considered renderedprovided when delivered to the last-known address of the party responsible for payment. There shall not be less than 20 days between the renderingproviding of a bill and the date by which the account becomes delinquent. Bills for customers on more frequent billing intervals under subrule 20.3(6) may not be considered delinquent less than 5 days from the date of renderingthe bill is provided. However, a late payment charge may not be assessed if payment is received within 20 days of the date the bill is renderedprovided.    a.    The date of delinquency for all residential customers or other customers whose consumption is less than 3,000 kWh per month, shall be changeable for cause in writing; such as, but not limited to, 15 days from approximate date each month upon which income is received by the person responsible for payment. In no case, however, shall the utility be required to delay the date of delinquency more than 30 days beyond the date of preparation of the previous bill.    b.    In any case where net and gross amounts are billed to customers, the difference between net and gross is a late payment charge and is valid only when part of a delinquent bill payment. A utility’s late payment charge shall not exceed 1.5 percent per month of the past due amount. No collection fee may be levied in addition to this late payment charge. This rule does not prohibit cost-justified charges for disconnection and reconnection of service.    c.    If the customer makes partial payment in a timely manner, and does not designate the service or product for which payment is made, the payment shall be credited pro rata between the bill for utility services and related taxes.    d.    Each account shall be granted not less than one complete forgiveness of a late payment charge each calendar year. The utility’s rules shall be definitive that on one monthly bill in each period of eligibility, the utility will accept the net amount of such bill as full payment for such month after expiration of the net payment period. The rules shall state how the customer is notified that the eligibility has been used. Complete forgiveness prohibits any effect upon the credit rating of the customer or collection of late payment charge.    e.    Level paymentBudget billing plan. Utilities shall offer a level paymentbudget billing plan to all residential customers or other customers whose consumption is less than 3,000 kWh per month. A level paymentbudget billing plan should be designed to limit the volatility of a customer’s bill and maintain reasonable account balances. The level paymentbudget billing plan shall include at least the following:    (1)   Be offered to each eligible customer when the customer initially requests service.The plan may be estimated if there is insufficient usage history to create a budget billing plan based on actual use.    (2)   Allow for entry into the level paymentbudget billing plan anytime during the calendar year.    (3)   Provide that a customer may request termination of the plan at any time. If the customer’s account is in arrears at the time of termination, the balance shall be due and payable at the time of termination. If there is a credit balance, the customer shall be allowed the option of obtaining a refund or applying the credit to future charges. A utility is not required to offer a new level paymentbudget billing plan to a customer for six months after the customer has terminated from a level paymentbudget billing plan.    (4)   Use a computation method that produces a reasonable monthly level paymentbudget billing amount, which may take into account forward-looking factors such as fuel price and weather forecasts, and that complies with requirements in 20.4(12)“e”(4)of this subrule. The computation method used by the utility shall be described in the utility’s tariff and shall be subject to board approval. The utility shall give notice to customers when it changes the type of computation method in the level paymentbudget billing plan.The amount to be paid at each billing interval by a customer on a level paymentbudget billing plan shall be computed at the time of entry into the plan and shall be recomputed at least annually. The level paymentbudget billing amount may be recomputed monthly, quarterly, when requested by the customer, or whenever price, consumption, or a combination of factors results in a new estimate differing by 10 percent or more from that in use.When the level paymentbudget billing amount is recomputed, the level paymentbudget billing plan account balance shall be divided by 12, and the resulting amount shall be added to the estimated monthly level paymentbudget billing amount. Except when a utility has a level paymentbudget billing plan that recomputes the level paymentbudget billing amount monthly, the customer shall be given the option of applying any credit to payments of subsequent months’ level paymentbudget billing amounts due or of obtaining a refund of any credit in excess of $25.Except when a utility has a level paymentbudget billing plan that recomputes the level paymentbudget billing amount monthly, the customer shall be notified of the recomputed payment amount not less than one full billing period prior to the date of delinquency for the recomputed payment. The notice may accompany the bill prior to the bill that is affected by the recomputed payment amount.    (5)   Irrespective of the account balance, a delinquency in payment shall be subject to the same collection and disconnection procedures as other accounts, with the late payment charge applied to the level paymentbudget billing amount. If the account balance is a credit, the level paymentbudget billing plan may be terminated by the utility after 30 days of delinquency.

    ITEM 22.    Amend subrule 20.4(13) as follows:    20.4(13) Customer records.  The utility shall retain records as may be necessary to effectuate compliance with 20.4(14) and 20.6(6), but not less than threefive years. Records for customer shall show where applicable:    a.    kWh meter reading.    b.    kWh consumption.    c.    kW meter reading.    d.    kW measured demand.    e.    kW billing demand.    f.    Total amount of bill.

    ITEM 23.    Amend paragraph 20.4(14)"d" as follows:    d.    Back billing.A utility may not back bill due to underregistration unless a minimum back bill amount is specified in its tariff. The minimum amount specified for back billing shall not be less than, but may be greater than, $5 for an existing customer or $10 for a former customer. All recalculations resulting in an amount due equalto or greater than the tariff specified minimum shall result in issuance of a back bill.Back billings shall be renderedprovided no later than six months following the date of the metering installation test.

    ITEM 24.    Amend paragraph 20.4(15)"a" as follows:    a.    The utility shall give written notice of pending disconnection except as specified in paragraph 20.4(15)“b.” The notice shall set forth the reason for the notice and the final date by which the account is to be settled or specific action taken. The notice shall be considered renderedprovided to the customer when addressed to the customer’s last-known address and deposited in the U.S. mail with postage prepaid. If delivery is by other than U.S. mail, the notice shall be considered renderedprovided when delivered to the last-known address of the person responsible for payment for the service. The date for disconnection of service shall be not less than 12 days after the notice is renderedprovided. The date for disconnection of service for customers on shorter billing intervals under subrule 20.3(6) shall not be less than 24 hours after the notice is posted at the service premises.One written notice, including all reasons for the notice, shall be given where more than one cause exists for disconnection of service. In determining the final date by which the account is to be settled or other specific action taken, the days of notice for the causes shall be concurrent.

    ITEM 25.    Amend subparagraph 20.4(15)"d" as follows:    (3)   The summary of the rights and responsibilities must be approved by the board. Any utility providing electric service and defined as a public utility in Iowa Code section 476.1 which does not use the standard form set forth below for customers billed monthly shall submit to the board an original and six copies ofelectronically its proposed form for approval. A utility billing a combination customer for both gas and electric service may modify the standard form to replace each use of the word “electric” with the words “gas and electric” in all instances.CUSTOMER RIGHTS AND RESPONSIBILITIES TO AVOID SHUTOFF OF ELECTRIC SERVICE FOR NONPAYMENT1. What can I do if I receive a notice from the utility that says my service will be shut off because I have a past due bill?a. Pay the bill in full; orb. Enter into a reasonable payment plan with the utility (see #2 below); orc. Apply for and become eligible for low-income energy assistance (see #3 below); ord. Give the utility a written statement from a doctor or public health official stating that shutting off your electric service would pose an especial health danger for a person living at the residence (see #4 below); ore. Tell the utility if you think part of the amount shown on the bill is wrong. However, you must still pay the part of the bill you agree you owe the utility (see #5 below).2. How do I go about making a reasonable payment plan? (Residential customers only)a. Contact the utility as soon as you know you cannot pay the amount you owe. If you cannot pay all the money you owe at one time, the utility may offer you a payment plan that spreads payments evenly over at least 12 months. The plan may be longer depending on your financial situation.b. If you have not made the payments you promised in a previous payment plan with the utility and still owe money, you may qualify for a second payment agreement under certain conditions.c. If you do not make the payments you promise, the utility may shut off your utility service on one day’s notice unless all the money you owe the utility is paid or you enter into another payment agreement.3. How do I apply for low-income energy assistance? (Residential customers only)a. Contact the local community action agency in your area (see attached list); orvisit humanrights.iowa.gov/dcaa/where-apply.b. Contact the Division of Community Action Agencies at the Iowa Department of Human Rights, Lucas State Office Building, Des Moines, Iowa 50319; telephone (515)281-0859. To prevent disconnection, you must contact the utility prior to disconnection of your service.c.b. To avoid disconnection, you must apply for energy assistanceor weatherization before your service is shut off. Notify your utility that you may be eligible and have applied for energy assistance. Once your service has been disconnected, it will not be reconnected based on approval for energy assistance.d.c. Being certified eligible for energy assistance will prevent your service from being disconnected from November 1 through April 1.d. If you have additional questions, contact the Division of Community Action Agencies at the Iowa Department of Human Rights, Lucas State Office Building, Des Moines, Iowa 50319; telephone (515)281-3861.4. What if someone living at the residence has a serious health condition? (Residential customers only)Contact the utility if you believe this is the case. Contact your doctor or a public health official and ask the doctor or health official to contact the utility and state that shutting off your utility service would pose an especial health danger for a person living at your residence. The doctor or public health official must provide a written statement to the utility office within 5 days of when your doctor or public health official notifies the utility of the health condition; otherwise, your utility service may be shut off. If the utility receives this written statement, your service will not be shut off for 30 days. This 30-day delay is to allow you time to arrange payment of your utility bill or find other living arrangements. After 30 days, your service may be shut off if payment arrangements have not been made.5. What should I do if I believe my bill is not correct?You may dispute your utility bill. You must tell the utility that you dispute the bill. You must pay the part of the bill you think is correct. If you do this, the utility will not shut off your service for 45 days from the date the bill was mailed while you and the utility work out the dispute over the part of the bill you think is incorrect. You may ask the Iowa Utilities Board for assistance in resolving the dispute. (See #9 below.)6. When can the utility shut off my utility service because I have not paid my bill?a. Your utility can shut off service between the hours of 6 a.m. and 2 p.m., Monday through Friday.b. The utility will not shut off your service on nights, weekends, or holidays for nonpayment of a bill.c. The utility will not shut off your service if you enter into a reasonable payment plan to pay the overdue amount (see #2 above).d. The utility will not shut off your service if the temperature is forecasted to be 20 degrees Fahrenheit or colder during the following 24-hour period, including the day your service is scheduled to be shut off.e. If you have qualified for low-income energy assistance, the utility cannot shut off your service from November 1 through April 1. However, you will still owe the utility for the service used during this time.f. The utility will not shut off your service if you have notified the utility that you dispute a portion of your bill and you pay the part of the bill that you agree is correct.g. If one of the heads of household is a service member deployed for military service, utility service cannot be shut off during the deployment or within 90 days after the end of deployment. In order for this exception to disconnection to apply, the utility must be informed of the deployment prior to disconnection. However, you will still owe the utility for service used during this time.7. How will I be told the utility is going to shut off my service?a. You must be given a written notice at least 12 days before the utility service can be shut off for nonpayment. This notice will include the reason for shutting off your service.b. If you have not made payments required by an agreed-upon payment plan, your service may be disconnected with only one day’s notice.c. The utility must also try to reach you by telephone or in person before it shuts off your service. From November 1 through April 1, if the utility cannot reach you by telephone or in person, the utility will put a written notice on the door ofor another conspicuous place at your residence to tell you that your utility service will be shut off.8. If service is shut off, when will it be turned back on?a. The utility will turn your service back on if you pay the whole amount you owe or agree to a reasonable payment plan (see #2 above).b. If you make your payment during regular business hours, or by 7 p.m. for utilities permitting such payment or other arrangements after regular business hours, the utility must make a reasonable effort to turn your service back on that day. If service cannot reasonably be turned on that same day, the utility must do it by 11 a.m. the next day.c. The utility may charge you a fee to turn your service back on. Those fees may be higher in the evening or on weekends, so you may ask that your service be turned on during normal utility business hours.9. Is there any other help available besides my utility?If the utility has not been able to help you with your problem, you may contact the Iowa Utilities Board toll-free at 1-877-565-4450. You may also write the Iowa Utilities Board at 1375 E. Court Avenue, Room 69, Des Moines, Iowa 50319-0069, or by E-mail at customer@iub.iowa.gov. Low-income customers may also be eligible for free legal assistance from Iowa Legal Aid, and may contact Legal Aid at 1-800-532-1275.

    ITEM 26.    Amend subparagraph 20.4(15)"d" as follows:    (5)   When disconnecting service to a residence, made a diligent attempt to contact, by telephone or in person, the customer responsible for payment for service to the residence to inform the customer of the pending disconnection and the customer’s rights and responsibilities. During the period from November 1 through April 1, if the attempt at customer contact fails, the premises shall be posted at least one day prior to disconnection with a notice informing the customer of the pending disconnection and rights and responsibilities available to avoid disconnection.If an attempt at personal or telephone contact of a customer occupying a rental unit has been unsuccessful,the utility shall make a diligent attempt to contact the landlord of the rental unit, if known, shall be contacted to determine if the customer is still in occupancy and, if so, the customer’s present location. The landlord shall also be informed of the date when service may be disconnected.The utility shall make a diligent attempt to inform the landlord at least 48 hours prior to disconnection of service to a tenant.If the disconnection will affect occupants of residential units leased from the customer, the premises of any building known by the utility to contain residential units affected by disconnection must be posted, at least two days prior to disconnection, with a notice informing any occupants of the date when service will be disconnected and the reasons for the disconnection.

    ITEM 27.    Amend subparagraph 20.4(15)"d" as follows:    (6)   Disputed bill. If the customer has received notice of disconnection and has a dispute concerning a bill for electric utility service, the utility may require the customer to pay a sum of money equal to the amount of the undisputed portion of the bill pending settlement and thereby avoid disconnection of service. A utility shall delay disconnection for nonpayment of the disputed bill for up to 45 days after the renderingproviding of the bill if the customer pays the undisputed amount. The 45 days shall be extended by up to 60 days if requested of the utility by the board in the event the customer files a written complaint with the board in compliance with 199—Chapter 6.

    ITEM 28.    Amend subparagraph 20.4(15)"d" as follows:    (8)   Severe cold weather. A disconnection may not take place where electricity is used as the only source of space heating or to control or operate the only space heating equipment at thea residence on any day when theactual temperature or the 24-hour forecast of the National Weather Service forecast for the following 24 hours covering the area in which the residence is located includes a forecast that the temperature willresidence’s area is predicted to be 20 degrees Fahrenheit or colder. In any case whereIf the utility hasproperly posted a disconnect notice in compliance with subparagraph 20.4(15)“d”(5) but is precluded from disconnecting service because of a National Weather Service forecastsevere cold weather, the utility may immediately proceed with appropriate disconnection procedures, without further notice, when the temperature in theresidence’s area where the residence is located rises above 20 degrees Fahrenheit and is forecasted to beremain above 20 degrees Fahrenheit for at least 24 hours, unless the customer has paid in full the past due amount or isotherwise entitled to postponement of disconnection under some other provision of paragraph 20.4(15)“d.”.

    ITEM 29.    Amend subparagraph 20.4(15)"d" as follows:    (10)   Winter energy assistance (November 1 through April 1). If the utility is informed that the customer’s household may qualify for winter energy assistance or weatherization funds, there shall be no disconnection of service for 30 days from the date the utility is notified to allow the customer time to obtain assistance. Disconnection shall not take place from November 1 through April 1 for a resident who is a head of household and who has been certified to the public utility by the community action agency as eligible for either the low-income home energy assistance program or weatherization assistance program.A utility may develop an incentive program to delay disconnection on April 1 for customers who make payments throughout the November 1 through April 1 period. All such incentive programs shall be set forth in tariffs approved by the board.

    ITEM 30.    Amend subrule 20.4(16) as follows:    20.4(16) Insufficient reasons for denying service.  The following shall not constitute sufficient cause for refusal of service to a customer:    a.    Delinquency in payment for service by a previous occupant of the premises to be served.    b.    Failure to pay for merchandise purchased from the utility.    c.    Failure to pay for a different type or class of public utility service.    d.    Failure to pay the bill of another customer as guarantor thereof.    e.    Failure to pay the back bill renderedprovided in accordance with paragraph 20.4(14)“d” (slow meters).    f.    Failure to pay a bill renderedprovided in accordance with paragraph 20.4(14)“f.”    g.    Failure of a residential customer to pay a deposit during the period November 1 through April 1 for the location at which the customer has been receiving servicein the customer’s name.    h.    Delinquency in payment for service by an occupant if the customer applying for service is creditworthy and able to satisfy any deposit requirements.    i.    Delinquency in payment for service arising more than ten years prior, as measured from the most recent of:    (1)   The last date of service for the account giving rise to the delinquency,    (2)   Physical disconnection of service for the account giving rise to the delinquency, or    (3)   The last voluntary payment or voluntary written promise of payment made by the customer, if made before the ten-year period described in this paragraph has otherwise lapsed.    j.    Delinquency in payment for service that arose on or before September 4, 2010, pursuant to an oral contract, except in cases of fraud or deception that prevented the utility from timely addressing such delinquencies with the customer.

    ITEM 31.    Rescind and reserve subrule 20.4(21).

    ITEM 32.    Amend subrule 20.4(22), introductory paragraph, as follows:    20.4(22) Change in type of service.  If a change in the type of service, such as from 25- to 60-cycle or from direct or alternating current, or a change in voltage to a customer’s substation, is effected at the insistence of the utility and not solely by reason of increase in the customer’s load or change in the character thereof, the utility shall share equitably in the cost of changing the equipment of the customer affected as determined by the board in the absence of agreement between utility and customer. In general, the customer should be protected against or reimbursed for the following losses and expenses to an appropriate degree:

    ITEM 33.    Rescind and reserve subrule 20.5(5).

    ITEM 34.    Amend paragraph 20.6(3)"a" as follows:    a.    American National Standard Code for Electricity Metering, ANSI C12.1-20082014.

    ITEM 35.    Adopt the following new subrule 20.6(8):    20.6(8) Comprehensive meter upgrade programs.      a.    A utility may forego the meter testing procedures required under the utility’s own inspection and testing program and subrule 20.6(2) if:    (1)   The meters are removed or scheduled to be removed as part of a comprehensive meter upgrade program;    (2)   The meters being removed have not previously been shown to be inaccurate or otherwise faulty; and    (3)   The utility either retains the removed meters for a period of one year from the removal date to allow customers the opportunity to challenge a meter’s accuracy or tests a representative sample of 10 percent of each type of meter being removed as part of the program and maintains the removed meters for a period of at least six months.    b.    A utility foregoing its testing procedures under this subrule shall notify the board that the utility is engaging in a comprehensive meter upgrade program and state the option the utility is electing to pursue under subparagraph 20.6(8)“a”(3).    c.    A utility shall continue to follow the meter testing procedures for meters removed for any reason unrelated to the comprehensive meter upgrade program.

    ITEM 36.    Amend subrule 20.7(7) as follows:    20.7(7)   Each utility shall make a sufficient number of voltage measurements, using recording voltmeters, in order to determine if voltages are in compliance with the requirements as stated in 20.7(2), 20.7(3),and20.7(4). All voltmeter records obtained under 20.7(7)this subrule shall be retained by the utility for at least two years and shall be available for inspection by the board’s representatives. Notations on each chart shall indicate the following:    a.    The location where the voltage was taken.    b.    The time and date of the test.    c.    The results of the comparison with a working standard indicating voltmeter.

    ITEM 37.    Amend subrule 20.9(3) as follows:    20.9(3) Optional energy clause for a rate-regulated utility which does not own generation.   A rate-regulated utility which does not own generation may adopt the energy adjustment clause of this subrule in lieu of that set forth in subrule 20.9(2). Prior to each billing cycle it, the rate-regulated utility shall determine and file for board approval the adjustment amount to be charged for each energy unit consumed under rates set by the board. The filing shall include all journal entries, invoices (except invoices for fuel, freight, and transportation), worksheets, and detailed supporting data used to determine the amount of the adjustment. The estimated amount of fossil fuel should be detailed to reflect the amount of fuel, transportation, and other costs.The journal entries should reflect the following breakdown for each type of fuel: actual cost of fuel, transportation, and other costs. ItemsThe items identified as other costs should be described and their inclusion as fuelenergy costs should be justified. The utility shall also file detailed supporting data:
  1. To show the actual amount of sales of energy by month for which an adjustment was utilized, and
  2. To support the energy cost adjustment balance utilized in the monthly energy adjustment clause filings.
    a.    The energy adjustment charge shall provide for change of the price per kilowatt-hour consumed to equal the average cost per kilowatt hour delivered by the utility’s system. The calculation shall be:E0=C2 + C3 + C4- BQ2 + Q3 + Q4E0 is the energy adjustment charge to be used in the next customer billing cycle rounded on a consistent basis to either the nearest 0.01¢/kWh or 0.001¢/kWh. For deliveries at voltages higher than secondary line voltages, appropriate factors should be applied to the adjustment charge to recognize the lower losses associated with these deliveries.C2, C3 and C4 are the charges by the wholesale suppliers as recorded in account 555 offset by energy revenues from distinct interchange deliveries entered in account 447 of the Uniform System of Accounts for the first three of the four months prior to the month in which E0 will be used.Q2, Q3 and Q4 are the total electric energy delivered by the utility system, excluding energy from distinct interchange deliveries entered in account 447 during each of the months in which the expenses C2, C3 and C4 were incurred.B is the amount of the electric energy cost included in the base rates of a utility’s rate schedules.    b.    A utility purchasing its total electric energy requirements may establish an energy cost adjustment account for which the cumulative balance is the excess or deficiency arising from the difference between commission-recognized energy cost recovery and the amount recovered through application of energy charges on jurisdictional consumption.For a utility electing to use an energy cost adjustment account the calculation shall be:E0=C2 + C3 + C4+A2- BQ2 + Q3 + Q4J2 + J3 + J4E0 is the energy adjustment charge to be used in the next customer billing cycle rounded on a consistent basis to either the nearest 0.01¢/kWh or 0.001¢/kWh. For deliveries at voltages higher than secondary line voltages, appropriate factors should be applied to the adjustment charge to recognize the lower losses associated with these deliveries.C2, C3 and C4 are the charges by the wholesale suppliers as recorded in account 555 offset by energy revenues from distinct interchange deliveries entered in account 447 of the Uniform System of Accounts for the first three of the four months prior to the month in which E0 will be used.Q2, Q3 and Q4 are the total electric energy delivered by the utility system, excluding energy from distinct interchange deliveries entered in account 447 during each of the months in which the expenses C2, C3 and C4 were incurred.A2 is the end of the month energy cost adjustment account balance for the month of consumption J2. This would be the most recent month’s balance available from actual accounting data.J2, J3 and J4 are electric energy consumed under rates set by the board in the months corresponding to C2, C3 and C4.B is the amount of the electric energy cost included in the base rates of a utility’s rate schedules.    c.    The end of the month energy cost adjustment account balance (A) shall be the cumulative balance of any excess or deficiency which arises out of the difference between board recognized energy cost recovery and the amount recovered through application of energy charges to consumption under rates set by the board.Each monthly entry (D) into the energy cost adjustment account shall be the dollar amount determined from solution of the following equation (with proper adjustment for those deliveries at high voltage which for billing purposes recognized the lower losses associated with the high voltage deliveries).D = [C2×J2 ]- [J2 × ( E2 + B ) ]Q2C2 is the prior month charges by the wholesale suppliers as recorded in account 555 of the Uniform System of Accounts offset by energy revenues from distinct interchange deliveries entered in account 447.J2 is the electric energy consumed under jurisdictional rates in the prior month.Q2 is the electric energy delivered by the utility system, excluding energy from distinct interchange deliveries entered in account 447 in the prior month.E2 is the energy adjustment charge used for billing in the prior month.B is the amount of the electric energy cost included in the base rates of a utility’s rate schedules.    d.    A utility with special conditions may petition the board for a waiver which would recognize its unique circumstances.    e.    A utility which does not own generation and proposes a new sliding scale or automatic adjustment clause of electric utility rates shall conform such clause with the rules.

    ITEM 38.    Amend subrule 20.9(4) as follows:    20.9(4) Annual reviewReview of energy clause.  On or before each May 1At least biennially, but no more than annually, the board will notifyrequire each utility as to thethat owns generation and utilizes an energy adjustment clause to provide fuel, freight, and transportation invoices from two months of the previous calendar year for which fuel, freight, and transportation invoices will be required.The board will notify each utility by May 1 as to which two months’ invoices will be required. Two copies of these invoices shall be filed with the board no later than the subsequent November 1.

    ITEM 39.    Amend rule 199—20.9(476), implementation sentence, as follows:       This rule is intended to implement Iowa Code section 476.6(11)476.6(12).

    ITEM 40.    Rescind rule 199—20.11(476) and adopt the following new rule in lieu thereof:

199—20.11(476) Customer notification of peaks in electric energy demand.      20.11(1)   Pursuant to Iowa Code section 476.17, each investor-owned utility shall have available for board inspection upon request a plan to notify its customers of an approaching peak demand on the day when peak demand is likely to occur.     20.11(2)   The plan shall include, at a minimum, the following:    a.    A description and explanation of the condition(s) that will prompt a peak alert.    b.    A provision for a general notice to be given to customers prior to the time when peak demand is likely to occur and an explanation of when and how notice of an approaching peak in electric demand will be given to customers.    c.    The text of the message or messages to be given in the general notice to customers. The message shall include the name of the utility providing the notice, an explanation that conditions exist which indicate a peak in electric demand is approaching, and an explanation of the significance of reductions in electricity use during a period of peak demand and the potential benefits of energy efficiency.

    ITEM 41.    Rescind rule 199—20.13(476) and adopt the following new rule in lieu thereof:

199—20.13(476) Procurement plan.  Pursuant to Iowa Code section 476.6(12), the board shall periodically conduct a contested case proceeding for the purpose of evaluating the reasonableness and prudence of a rate-regulated public utility’s practices related to procurement of and contracting for fuel used in generating electricity. When it determines to conduct a contested case proceeding, the board shall notify a rate-regulated utility that it will be required to file an electric fuel procurement plan. The notification to the utility shall include a detailed list of what the board will be examining as part of the review and what should be filed by the utility. The utility shall file its plan not later than 105 days after notification unless otherwise directed by the board.

    ITEM 42.    Amend paragraph 20.14(3)"c" as follows:    c.    The floor for the discount rate shall be equalto the energy costs and customer costs of serving the specific customer.

    ITEM 43.    Amend subrule 20.15(1) as follows:    20.15(1) Applicability and purpose.  This rule applies to each electric public utility, as defined in Iowa Code sections 476.1, 476.1A, and 476.1B. EachPursuant to Iowa Code section 476.66, each utility shall maintain a program plan to assist the utility’s low-income customers with weatherization and to supplement assistance received under the federal low-income home energy assistance program for the payment of winter heating bills.

    ITEM 44.    Rescind and reserve subrule 20.15(2).

    ITEM 45.    Amend subrule 20.15(3), introductory paragraph, as follows:    20.15(3) Notification.  Each utility shall notify all customers of thecustomer contribution fund at least twice a year. The method of notice which will ensure the most comprehensive notification to the utility’s customers shall be employed. Upon commencement of service and at least once a year, the notice shall be mailed or personally delivered to all customers, or provided by electronic means to those customers who have consented to receiving electronic notices. The other required notice may be published in a local newspaper(s) of general circulation within the utility’s service territory. A utility serving fewer than 6,000 customers may publish theirits semiannual notices locally in a free newspaper, utility newsletter or shopper’s guide instead of a newspaper. At a minimum, the notice shall include:

    ITEM 46.    Amend subrule 20.15(4) as follows:    20.15(4) Methods of contribution.  The utility shall provide for contributions as monthly pledges, as well as one-time or periodic contributions.A pledge by a customer or other party shall not be construed to be a binding contract between the utility and the pledger. The pledge amount shall not be subject to delayed payment charges by the utility. Each utility may allow persons or organizations to contribute matching funds.

    ITEM 47.    Rescind and reserve subrule 20.15(6).

    ITEM 48.    Amend subrule 20.17(1) as follows:    20.17(1) Applicability and purpose.  This rule applies to all rate-regulated utilities providing electric service in Iowa. Under Title IV of the Clean Air Act Amendments of 1990, each electric utility is required to hold sufficient emission allowances to offset emissions at all affected and new units. The acquisition and disposition of emission allowances will be treated for ratemaking purposes as defined in this rule.

    ITEM 49.    Amend subrule 20.17(2) as follows:    20.17(2) Definitions.  The following words and terms, when used in this rule, shall have the meaning indicated below:        "Allowance futures contract" is an agreement between a futures exchange clearinghouse and a buyer or seller to buy or sell an allowance on a specified future date at a specified price.        "Allowance option contract" is an agreement between a buyer and seller whereby the buyer has the option to transfer an allowance(s) at a specified date at a specified price. The seller of a call or put option will receive a premium for taking on the associated risk.        "Auction allowances" are allowances acquired or sold through EPA’s annual allowance auction.        "Boot" means something acquired or forfeited to equalize a trade.        "Direct sale allowances" are allowances purchased from the EPA in its annual direct sale.        "Emission for emission trade" is an exchange of one type of emission for another type of emission. For example, the exchange of SO2 emission allowances for NOx emission allowances.        "Fair market value" is the amount at which an allowance could reasonably be sold in a transaction between a willing buyer and a willing seller other than in a forced or liquidation sale.        "Historical cost" is the amount of cash or its equivalent paid to acquire an asset, including any direct acquisition expenses. Any commissions paid to brokers shall be considered a direct acquisition expense.        "Original cost" is the historical cost of an asset to the person first devoting the asset to public service.        "Statutory allowances" are allowances allocated by the EPA at no cost to affected units under the Acid Rain ProgramClean Air Act either through annual allocations as a matter of statutory right and those for which a utility may qualify by using certain compliance options or effective use of conservation and renewables.        "Vintage trade" is an exchange of one vintage of allowances for another vintage of allowances with the difference in value between vintages being cash or additional allowances.

    ITEM 50.    Amend subrule 20.18(1) as follows:    20.18(1) Applicability.  Rule 199—20.18(476,478)This rule is applicable to investor-owned electric utilities and electric cooperative corporations and associations operating within the state of Iowa subject to Iowa Code chapter 476 and to the construction, operation, and maintenance of electric transmission lines by electric utilities as defined in subrule 20.18(4) to the extent provided in Iowa Code chapter 478.

    ITEM 51.    Amend subrule 20.18(2) as follows:    20.18(2) Purpose and scope.  Reliable electric service is of high importance to the health, safety, and welfare of the citizens of Iowa. The purpose ofthis rule 199—20.18(476,478) is to establish requirements for assessing the reliability of the transmission and distribution systems and facilities that are under the board’s jurisdiction. This rule establishes reporting requirements to provide consumers, the board, and electric utilities with methodology for monitoring reliability and ensuring quality of electric service within an electric utility’s operating area. This rule provides definitions and requirements for maintenance of interruption data, retention of records, and report filing.

    ITEM 52.    Amend paragraph 20.18(3)"g" as follows:    g.    Any electric utility unable to comply with applicable provisions ofthis rule 199—20.18(476,478) may file a waiver request pursuant to rule 199—1.3(17A,474,476,78GA,HF2206)199—1.3(17A,474,476).

    ITEM 53.    Amend subrule 20.18(4), introductory paragraph, as follows:    20.18(4) Definitions.  Terms and formulas when used inthis rule 199—20.18(476,478) are defined as follows:

    ITEM 54.    Amend subrule 20.18(4), definition of “Customer,” as follows:        "Customer" means (1) any person, firm, association, or corporation, (2) any agency of the federal, state, or local government, or (3) any legal entity responsible by law for payment of the electric service from the electric utility which has a separately metered electrical service point for which a bill is renderedprovided. Electrical service point means the point of connection between the electric utility’s equipment and the customer’s equipment. Each meter equals one customer. Retail customers are end-use customers who purchase and ultimately consume electricity.

    ITEM 55.    Amend subrule 20.18(7), introductory paragraph, as follows:    20.18(7) Annual reliability and service quality report for utilities with more than 50,000 Iowa retail customers.  Each electric utility with over 50,000 Iowa retail customers shall submit to the board and consumer advocate on or before May 1 of each year an annual reliability report for the previous calendar year for the Iowa jurisdiction. The report shall include the following information:

    ITEM 56.    Amend paragraph 20.18(7)"f" as follows:    f.    Plans and status report.(1)   A plan for service quality improvements, including costs, for the electric utility’s transmission and distribution facilities that will ensure quality, safe, and reliable delivery of energy to customers.
  1. The plan shall cover not less than the three years following the year in which the annual report was filed. A copy of the electric utility’s documents and databases supporting capital investment and maintenance budget amounts required in 20.18(7)“g”(1) and 20.18(7)“h”(1), respectively, (including but not limited to transmission and distribution facilities, transmission and distribution control and communication facilities, and transmission and distribution planning, maintenance, and reliability-related computer hardware and software) shall be maintained in the utility’s principal Iowa business location and shall be available for inspection by the board and office of consumer advocate. The utility’s plan may reference said budget documents and databases, instead of duplicating or restating the detail therein. Copies of capital budgeting documents shall be maintained for five years.
  2. The plan shall identify reliability challenges and may describe specific projects and projected costs. The filing of the plan shall not be considered as evidence of the prudence of the utility’s reliability expenditures.
  3. The plan shall provide an estimate of the timing for achievement of the plan’s goals.
    (2)   A progress report on plan implementation. The report shall include identification of significant changes to the prior plan and the reasons for the changes.

    ITEM 57.    Amend paragraph 20.18(7)"i" as follows:    i.    The annual reliability report, starting with the reliability report for calendar year 2008, shall include the number of poles inspected, the number rejected, and the number replaced.

    ITEM 58.    Amend subrule 20.18(8) as follows:    20.18(8) Annual report for all electric utilities not reporting pursuant to 20.18(7).      a.    By July 1, 2003, eachEach electric utility shall adopt and have approved by its board of directors or other governing authority a reliability plan and shall file an informational copy of the plan with the board. The plan shall be updated not less than annually and shall describe the following:.    (1)   The utility’s current reliability programs, including:
  1. Tree trimming cycle, including descriptions and explanations of any changes to schedules and procedures reportable in accordance with 199 IAC 25.3(3)“c”;
  2. Animal contact reduction programs, if applicable;
  3. Lightning outage mitigation programs, if applicable; and
  4. Other programs the electric utility may identify as reliability-related.
    (2)   Current ability to track and monitor interruptions.    (3)   How the electric utility plans to communicate its plan with customers/consumer owners.
    b.    By April 1, 2004, and each April 1 thereafterof each year, each electric utility shall prepare for its board of directors or other governing authority a reliability report. A copy of the annual report shall be filed with the board for informational purposes, shall be made publicly available in its entirety to customers/consumer owners, and shall report on at least the following:the reliability indices in 20.18(5)“b”(3) for each of the five previous calendar years.    (1)   Measures of reliability for each of the five previous calendar years, including reliability indices if required in 20.18(5)“b”(3). These measures shall start with data from the year covered by the first Annual Reliability Report so that by the fifth Annual Reliability Report submittal reliability measures will be based upon five years of data.    (2)   Progress on any reliability programs identified in its plan, but not less than the applicable programs listed in 20.18(8)“a”(1).

    ITEM 59.    Adopt the following new paragraph 20.19(2)"c":    c.    The utility shall notify the board once service is fully restored to all customers after an outage meeting the requirements of subrule 20.19(1).
ARC 3733CPublic Safety Department[661]Filed Emergency After Notice

Rule making related to electricians and electrical contractors and electrical inspections

    The Electrical Examining Board hereby amends Chapter 502, “Electrician and Electrical Contractor Licensing Program—Licensing Requirements, Procedures, and Fees,” Chapter 551, “Electrical Inspection Program—Definitions,” and Chapter 552, “Electrical Inspection Program—Permits and Inspections,” Iowa Administrative Code. Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 103.6.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 103.1A and 103.22(15).Purpose and Summary    These amendments remove the provisions in Chapters 502, 551, and 552 which authorized the inspections of electrical installations on farm buildings and conform the rules to 2017 Iowa Acts, Senate File 357. These amendments also address the objection to the rules filed by Governor Branstad on January 23, 2012. In summary, a license is not required for a person performing an electrical installation on a farm or farm building if the farm building is not regularly open to the public as a retail place of business and if the electrical installation is done by a person who has a legal or equitable interest in the farm, who is a relative or employee of that person, or who is an operator or manager.  Inspections and permits are also not required for these installations. Residences are excluded, meaning that a licensed person must do the work and that a permit and inspection are required, unless the work is done by the owner on the owner’s principal residence.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 17, 2018, as ARC 3580C. A public hearing was held on February 6, 2018, at 10 a.m. in the First Floor Public Conference Room 125, Oran Pape State Office Building, 215 East 7th Street, Des Moines, Iowa. There were 219 written public comments received from farmers and members of the Iowa Farm Bureau. Those comments unanimously supported the adoption of the amendments to rescind provisions for electrical inspections for farm buildings as provided for in the rules. The Iowa Farm Bureau provided written comments, and the representative of the Iowa Farm Bureau also provided oral comments in support of the amendments. No comments were received which opposed the amendments or which requested changes. Many of the comments urged the adoption of the final rules as rapidly as possible, so that the legislation can be implemented. No changes from the Notice have been made.Reason for Waiver of Normal Effective Date    Pursuant to Iowa Code section 17A.5(2)“b”(1)(b), the Board finds that the normal effective date of this rule making, 35 days after publication, should be waived and the rule making made effective on March 26, 2018, because the rule removes a restriction on the public, specifically, it rescinds provisions for electrical inspections of farm buildings, and the rescission of these provisions confers a benefit on farmers.Adoption of Rule Making    This rule making was adopted by the Board on March 20, 2018.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 rule 661—10.222(17A), the Board does not have authority to waive requirements established by statute. Pursuant to the provisions of rule 661—501.5(103), the Board has the authority to grant waivers from the rules.Review by Administrative Rules Review Committee    The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date    This rule making became effective on March 26, 2018.    The following rule-making actions are adopted:

    ITEM 1.    Amend subrule 502.1(3) as follows:    502.1(3)   A person who does not have a current valid license shall not perform work as an electrician or as an unclassified person. A person shall not perform work which requires licensing and which is not specifically authorized under the license issued.Exception 1: A person who holds a current valid license issued by a political subdivision may perform work as an electrician or unclassified person within the corporate limits of the political subdivision which issued the license.Exception 2: A person may work for up to 100 continuous days as an unclassified person prior to obtaining a license. Any documented time during which a person has worked as an unclassified person prior to January 1, 2008, or any time during which a person has worked as a licensed unclassified person shall be credited to any applicable experience requirement. Any time during which a person works as an unclassified person without a license on or after January 1, 2008, shall not be counted toward any such experience requirement, except that a person may receive credit for time worked as an unclassified person on or after January 1, 2008, without a license if the person has applied for a license.Exception 3: Electrical installations in buildings, including residences or facilities which are being constructed as part of a course of instruction by an accredited educational institution, may be performed by a person who is not licensed. Such installations are subject to the requirements for permits and inspections pursuant to 661—Chapter 552.Exception 4: A license is not required for a person who performs any electrical installation on a farm or a farm building if the farm building is not regularly open to the public as a place of business for the retail sale of goods, wares, services, or merchandise and if the person performing the installation is associated with the farm as a holder of a legal or equitable interest, a relative or employee of the holder, or an operator or manager of the farm. This exception does not apply to a residential installation located on a farm.

    ITEM 2.    Rescind the definition of “Commercial installation” in rule 661—551.2(103).

    ITEM 3.    Adopt the following new definition of “Commercial” in rule 661—551.2(103):        "Commercial" means a use, installation, structure, or premises associated with a place of business where goods, wares, services, or merchandise are stored or offered for sale on a wholesale or retail basis. “Commercial” includes a residence only if the residence is regularly open to the public as a place of business as provided in this definition. “Commercial” does not include any use, installation, structure, or premises associated with a farm or an industrial installation.

    ITEM 4.    Amend rule 661—552.1(103) as follows:

661—552.1(103) Required permits and inspections.      552.1(1)   Permits and inspections are required for any of the following electrical installations that are initiated on or after February 1, 2009:    a.    All new electrical installations for commercial or industrial applications, including installations both inside and outside buildings, and for public-use buildings and facilities and any installation at the request of the owner.    b.    All new electrical installations for residential applications in excess of single-family residential applications.    c.    All new electrical installations for single-family residential applications requiring new electrical service equipment.    d.    Any existing electrical installation observed during inspection which constitutes an electrical hazard. Existing installations shall not be deemed to constitute electrical hazards if the wiring was originally installed in accordance with the electrical code in force at the time of installation and has been maintained in that condition.    e.    Inspections of alarm system installations, rules for which are intended to be adopted as new 661—Chapter 560.Exception 1: [See Objection at end of chapter] Installations in political subdivisions which perform electrical inspections and which are inspected by the political subdivision are not required to be inspected by the state electrical inspection program. Any installation which is subject to inspection and is on property owned by the state or an agency of the state shall be inspected by the state electrical inspection program. An electrical installation on a farm which is located outside the corporate limits of any municipal corporation (city) shall not be inspected by a political subdivision, shall require a state electrical permit, and may be subject to a state electrical inspection, unless the installation is subject to Exception 2 or Exception 3.Exception 2: Any electrical work which is limited to routine maintenance shall not require an inspection.Exception 3: Neither a permit nor an inspection is required for an electrical installation which meets all of the following criteria:
  1. The installation is legally performed by a master electrician, journeyman electrician, or apprentice electrician working under the direct supervision of a master or journeyman electrician.
  2. The installation to be performed does not in any way involve work within an existing or new switchboard or panel board.
  3. The installation to be performed does not involve over-current protection of more than 30 amperes.
  4. The installation to be performed does not involve any electrical line-to-ground circuit of more than 277 volts, single phase.
Exception 4: Neither a permit nor an inspection is required for any electrical installation on a farm or a farm building if the farm building is not regularly open to the public as a place of business for the retail sale of goods, wares, services, or merchandise. This exception does not apply to a residential installation located on a farm.     552.1(2)   The owner of a property on which multiple electrical installations may be performed during a 12-month period may apply for an annual permit to cover all such installations. The holder of an annual permit shall maintain a log of all installations performed pursuant to the annual permit. The owner shall cause the electrical inspection program to be notified of any such installation requiring an inspection and shall be subject to fees for such inspections as though an individual permit had been issued for each installation requiring an inspection. The fee for an annual permit shall be $100. The log shall be available to an electrical inspector on the request of the inspector.
    [Filed Emergency After Notice 3/22/18, effective 3/26/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
ARC 3734CCredit Union Division[189]Adopted and Filed

Rule making related to votes of the membership and investment and deposit activities for credit unions

    The Credit Union Division hereby amends Chapter 12, “Votes of the Membership,” and Chapter 17, “Investment and Deposit Activities for Credit Unions,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 533.107(6).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code sections 533.107, 533.203, 533.205(7), 533.301(5) and 533.301(25).Purpose and Summary    The amendments in Chapter 12 reflect modifications to the board-of-directors nomination process allowing for nomination notification by newsletter or other written communication and include a reduction in the number of days required before the close of balloting to allow for more time for ballots to be submitted prior to the annual meeting. The amendments in Chapter 17 reflect recent changes made to permissible investments for federal credit unions which Iowa is adopting for its state-chartered credit unions with respect to charitable donation accounts and bank notes.Public Comment and Changes to Rule Making    The proposed amendments were approved by the Credit Union Review Board on December 5, 2017. Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 31, 2018, as ARC 3600C. Two comments were received regarding the obligation of the credit union to notify its members of the opportunity to nominate an individual for the board of directors, the application of subrules 12.2(2) and 12.3(7), and the consequences for violating paragraph 189—17.21(533)“3.”    Changes to the Adopted and Filed rule making include clarification regarding the obligation to notify each credit union member of the opportunity to nominate an individual for the board of directors and clarification regarding the application of subrules 12.2(2) and 12.3(7) to subrule 12.2(5). Additional changes include clarification regarding consequences for violating paragraph 189—17.21(533)“3.”Adoption of Rule Making    This rule making was adopted by the Credit Union Review Board on March 19, 2018.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 Credit Union Division for a waiver of the discretionary provisions, if any, pursuant to rule 189—17.20(533) and 189—Chapter 23. 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 May 16, 2018.    The following rule-making actions are adopted:

    ITEM 1.    Adopt the following new subrule 12.2(5):    12.2(5) Nomination notification by newsletter.  The board of directors may determine that the entire credit union membership will be notified via newsletter or other written communication of the opportunity to nominate an individual for the board of directors.    a.    If the membership is notified of nominations via newsletter or other written communication at least 90 days before the annual meeting, the secretary shall:    (1)   Send the newsletter or other written communication to the entire membership via U.S. mail or electronic mail to members who have opted to receive notices or statements electronically and indicate a physical location or email address where nominations can be sent;     (2)   Indicate in the notice that there will be no nominations from the floor at the annual meeting; and    (3)   Indicate in the notice that the nominating committee will vet the candidates and present a list of the eligible candidates prior to the voting period.    b.    If the board of directors utilizes the nomination notification by newsletter pursuant to this rule, then nominations shall not be taken from the floor at the annual meeting as set forth in subrule 12.3(7) and nomination notifications made pursuant to this rule are not subject to the nomination-by-petition process in subrule 12.2(2).

    ITEM 2.    Amend subparagraph 12.3(3)"d" as follows:    (1)   The close of balloting for ballots submitted other than in person during voting at the annual meeting shall be at least fivetwo days prior to any meeting where voting will occur.

    ITEM 3.    Amend paragraph 17.14(6)"e" as follows:    e.    Bank notes with original weighted average maturities of less than 5five years.

    ITEM 4.    Adopt the following new subrule 17.14(12):    17.14(12) Charitable donation accounts.  An Iowa-chartered credit union may apply to the superintendent for authorization to fund a charitable donation account (CDA) as approved by the National Credit Union Administration. The request to the superintendent should address the items listed in 17.19(2)“a” to “c.”    a.    If the superintendent grants the request, the CDA must satisfy all of the conditions in 12 CFR 721.3(b)(2)(i) to (vii), including but not limited to the following:    (1)   The book value of investments in all CDAs in the aggregate must be limited to 5 percent of a credit union’s net worth at all times as measured at every call report.    (2)   The assets must be held in a segregated custodial account and be specifically identified as a CDA.    (3)   If a trust is chosen as the vehicle for the CDA, the trustee must be regulated by the Office of the Comptroller of the Currency (OCC), the U.S. Securities and Exchange Commission (SEC), another federal regulatory agency, or a state regulatory agency. A regulated trustee or other person or entity that is authorized to make investment decisions for a CDA, other than the credit union itself, must be either a registered investment adviser or regulated by the OCC.    (4)   The parties to the CDA, typically the funding credit union and trustee or other manager of the account, must document the terms and conditions controlling the account in a written agreement. The terms of the agreement must be consistent with the federal rule. The credit union’s board of directors must adopt written policies governing the creation, funding, and management of the CDA that are consistent with the federal rule, must review the policies annually, and may amend them from time to time. Charitable contributions and donations can only be made to organizations that are exempt from taxation under Section 501(c)(3) of the Internal Revenue Code.    (5)   Credit unions utilizing CDAs are required to distribute 51 percent of the total return on investment to one or more qualified charities no less frequently than every five years.    b.    CDAs are investments that carry risk. It is expected that any credit union that makes this type of investment will conduct the necessary due diligence and retain the due diligence documentation for examiner review. The board must also document the investment strategies and risk tolerances and must account for the CDA in accordance with generally accepted accounting principles.

    ITEM 5.    Adopt the following new rule 189—17.21(533):

189—17.21(533) Director, officer, or employee overdraft.  A state credit union may pay an overdraft of a director, officer, or employee of the state credit union on an account at the state credit union when the payment of funds is made in accordance with any of the following:
  1. A written, preauthorized, interest-bearing extension of credit plan that specifies a method of repayment.
  2. A written, preauthorized transfer of collected funds from another account of the account holder at the state credit union.
  3. The overdraft is paid pursuant to an overdraft protection plan or courtesy pay program. Such payment is limited to one time per quarter, and the overdraft shall last no longer than ten days. Each credit union board of directors shall enact a policy regarding failure to comply with the provisions of this rule.
       This rule is intended to implement Iowa Code section 533.205(7).
    [Filed 3/19/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
ARC 3735CEnvironmental Protection Commission[567]Adopted and Filed

Rule making related to water supply

    The Environmental Protection Commission hereby amends Chapter 40, “Scope of Division—Definitions—Forms—Rules of Practice,” Chapter 41, “Water Supplies,” Chapter 42, “Public Notification, Public Education, Consumer Confidence Reports, Reporting, and Record Maintenance,” Chapter 43, “Water Supplies—Design and Operation,” Chapter 44, “Drinking Water State Revolving Fund,” Chapter 81, “Operator Certification: Public Water Supply Systems and Wastewater Treatment Systems,” and Chapter 83, “Laboratory Certification,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code chapter 272 and sections 455B.105, 455B.113, 455B.173, 455B.222 and 455B.299.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 272C and sections 17A.3(1)“b,” 455B.113 to 455B.115, 455B.171, 455B.172, 455B.173 to 455B.176, 455B.177 to 455B.183, 455B.184 to 455B.188, 455B.190, 455B.191, 455B.192, 455B.211 to 455B.224 and 455B.299.Purpose and Summary    This rule making adopts the federal Groundwater Rule (GWR, November 2006), Lead and Copper Rule – Short-Term Revisions (LCR-STR, October 2007), and Revised Total Coliform Rule (RTCR, February 2013). The U.S. Environmental Protection Agency (EPA) also made other changes to existing federal drinking water rules between August 2004 and July 2016, primarily in analytical methods, which are included in this rule making. States are expected to incorporate these federal rule provisions into state program rules in order to maintain primacy in the drinking water program, which this rule making will accomplish. In addition, other changes to the Natural Resources Department’s public drinking water, operator certification, and environmental laboratory rules are adopted.    Changes are summarized below by chapter.

  • Chapter 40: amend definitions for “sanitary survey” and “Ten States Standards”; add new definitions for the following: “clean compliance history,” “Level 1 assessment,” “Level 2 assessment,” “sanitary defect,” and “seasonal system”; include the Department’s website address; and update forms.
  • Chapter 41: rescind the existing total coliform rule and replace it with the RTCR; update analytical methods; revise the existing lead and copper rule by adopting the LCR-STR; require use of an analytical method for an organic contaminant that meets the method detection limit requirements for compliance samples; include the GWR; and make other minor corrections.
  • Chapter 42: include the public notification, consumer confidence report, lead consumer notice, and lead public education requirements for the GWR, LCR-STR, and RTCR; update the Department’s environmental emergency reporting hotline telephone number; update the American National Standards Institute (ANSI)/National Sanitation Foundation (NSF) 60 certification requirement to allow for use of chemicals that are accredited via third-party conformance with the standard; allow noncommunity systems that only use a cation-exchange softener to have bacterial compliance history reviewed before continuous disinfection is required; require all systems using water to which chlorine has been added to monitor daily in the distribution system to ensure the minimum disinfectant residual concentration is met; require inactivation ratio to be calculated each day the surface water or influenced groundwater treatment plant is in operation and to notify the Department within 24 hours if the ratio is below 1.0; and make other minor corrections.
  • Chapter 43: include the provisions for the GWR, LCR-STR, and RTCR; update the construction standards to the 2012 edition of Ten States Standards and 2016 American Water Works Standards; require new groundwater sources to be tested for ammonia; add the separation distances for ground heat exchange (GHEX) loop boreholes; update the ANSI/NSF 61 certification requirement to allow for use of drinking water system components that are accredited via third-party conformance with the standard; remove arsenic as an exception from the best available technology listing for inorganic compounds; require at least 0.5 log inactivation of Giardia lamblia cysts in treatment of surface or influenced groundwater sources to be from a chemical disinfectant; require notification by the surface water or influenced groundwater system to the Department within 24 hours if the daily total inactivation ratio is below 1.0; add the calibration and verification requirements for turbidity and residual disinfectant monitoring; update analytical methods; include federal language for the Long-Term 2 Enhanced Surface Water Treatment Rule for sample collection, analytical methods, and bank filtration credit; add CT virus inactivation tables for groundwater systems; and make other minor changes.
  • Chapter 44: revise the provision relating to allowable costs to be funded through the Drinking Water State Revolving Fund to allow for funding of the replacement of lead service lines.
  • Chapter 81: add new definitions of “operation shift” and “shift operator”; correct Iowa Code citations in the definition of “rural water district”; allow transient noncommunity systems to be classified as Grade A systems; rescind the sunset education credit; rescind the oral examination allowance and fee; change the reexamination time frame from 180 days to 30 days; remove the description of accommodations for examination; rescind temporary certification; and make other minor changes.
  • Chapter 83: update the “Manual for Certification of Laboratories Analyzing Environmental Samples for the Iowa DNR” to 2017; remove reference to “fecal coliform” and replace with reference to “E. coli” when appropriate; rescind an outdated procedure for initial certification of solid waste and contaminated sites program parameters; update the Department’s environmental emergency hotline telephone number; add a credit card fee payment option; include record-keeping requirements for a laboratory auditor; and make other minor changes.
  • Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 17, 2018, as ARC 3568C. A public hearing was held on February 8, 2018, at 10 a.m. in the Department’s Conference Room 2 North, Wallace State Office Building, Des Moines, Iowa. No one attended the public hearing. No public comments were received.     The following two changes from the Notice have been made to correct one method that had an incorrect citation and to add two sentences regarding records retention that were inadvertently omitted.    In Item 8, “B-97” has been changed to “C-97” in the method citation in 41.2(1)“b”(6)(3), fourth bulleted paragraph, which now reads as follows:    “ • Standard Methods Online 9222, ‘Membrane Filter Technique for Members of the Coliform Group’ (1997), C-97, ‘Delayed-Incubation Total Coliform Procedure.’”    In Item 31, numbered paragraph “3” has been added to new subparagraph 41.7(6)“b”(5) and reads as follows:    “3. Records of department-specified compliance requirements for membrane filtration and of parameters specified by the department for department-approved alternative treatment and records of the date and duration of any failure to meet the membrane operating, membrane integrity, or alternative treatment operating requirements for more than four hours.  Documentation shall be kept for a period of not less than five years.”Adoption of Rule Making    This rule making was adopted by the Environmental Protection Commission on March 20, 2018.Fiscal Impact     This rule making has no fiscal impact to the State of Iowa. A copy of the fiscal impact statement is available upon request from the Department. 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 upon request from the Department.Waivers    There are no specific provisions for waivers in the rules, although there are considerations for system source water, size, and type in GWR and RTCR. There are general authorities to issue waivers for some rules, which are used when appropriate. 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.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 May 16, 2018.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 567—40.2(455B), definitions of “Sanitary survey” and “Ten States Standards,” as follows:        "Sanitary survey" means a review and on-site inspection conducted by the department of the water source, facilities, equipment, operation and maintenance and records of a public water supply system for the purpose of evaluating the adequacy of such source, facilities, equipment, operation and maintenance for producing and distributing safe drinking water and identifying improvements necessary to maintain or improve drinking water quality, pursuant to 567—subrule 43.1(7).        "Ten States Standards" means the “Recommended Standards for Water Works,” 20072012 edition as adopted by the Great Lakes—Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers.

        ITEM 2.    Adopt the following new definitions of “Clean compliance history,” “Level 1 assessment,” “Level 2 assessment,” “Sanitary defect” and “Seasonal system” in rule 567—40.2(455B):        "Clean compliance history" means, for the purposes of 567—paragraph 41.2(1)“e”(4)“2,” a record of no monitoring violations and no coliform treatment technique trigger exceedances or treatment technique violations under 567—subrule 41.2(1).        "Level 1 assessment" means an evaluation to identify the possible presence of sanitary defects, defects in distribution system coliform bacteria monitoring practices, and (when possible) the likely reason that the system triggered the assessment. A Level 1 assessment is conducted by the system operator or owner. Minimum elements of the assessment include review and identification of atypical events that could affect distributed water quality or indicate that distributed water quality was impaired; changes in distribution system maintenance and operation that could affect distributed water quality (including water storage); source and treatment considerations that bear on distributed water quality, where appropriate (e.g., whether a groundwater system is disinfected); existing water quality monitoring data; and inadequacies in sample sites, sampling protocol, and sample processing. The system owner or operator must conduct the assessment consistent with any department directives that tailor specific assessment elements with respect to the size and type of the system and the size, type, and characteristics of the distribution system.        "Level 2 assessment" means an evaluation to identify the possible presence of sanitary defects, defects in distribution system coliform bacteria monitoring practices, and (when possible) the likely reason that the system triggered the assessment. A Level 2 assessment provides a more detailed examination of the system (including the system’s monitoring and operational practices) than does a Level 1 assessment through the use of more comprehensive investigation and review of available information, additional internal and external resources, and other relevant practices. A Level 2 assessment is conducted by a department water supply inspector and will typically include the system operator. Minimum elements of the assessment include review and identification of atypical events that could affect distributed water quality or indicate that distributed water quality was impaired; changes in distribution system maintenance and operation that could affect distributed water quality (including water storage); source and treatment considerations that bear on distributed water quality, where appropriate (e.g., whether a groundwater system is disinfected); existing water quality monitoring data; and inadequacies in sample sites, sampling protocol, and sample processing. The department may tailor specific assessment elements with respect to the size and type of the system and the size, type and characteristics of the distribution system. The system must comply with any expedited actions or additional actions required by the department in the case of an E. coli MCL violation.        "Sanitary defect" means a defect that could provide a pathway of entry for microbial contamination into the distribution system or that is indicative of a failure or imminent failure in a barrier that is already in place.        "Seasonal system" means a noncommunity water system that is not operated as a public water system on a year-round basis and starts up and shuts down at the beginning and end of each operating season.

        ITEM 3.    Amend rule 567—40.3(17A,455B), introductory paragraph, as follows:

    567—40.3(17A,455B) Forms.  The following forms are used by the public to apply for department approvals and to report on activities related to the public water supply program of the department. All forms may be obtained from thedepartment’s website at www.iowadnr.gov (water supply pages) or from the Environmental Services Division, Administrative Support Station, Department of Natural Resources, Henry A. Wallace Building, 502 East Ninth Street, Des Moines, Iowa 50319-0034. Properly completed application forms shall be submitted to the Water Supply Section, Environmental Services Division. Water Supply System Monthly and Other Operation Reporting forms shall be submitted to the appropriate field office (see 567—subrule 42.4(3)). Properly completed laboratory forms (reference 567—Chapter 83) shall be submitted to the State Hygienic Laboratory or as otherwise designated by the department.

        ITEM 4.    Amend the following two entries in the table in subrule 40.3(1): Schedule No. Name of Form Form Number “6b” Distribution Pumping Station 542-3141 “13a” Chemical Addition 542-3141 542-3241

        ITEM 5.    Amend subrule 40.3(2) as follows:    40.3(2) Operation permit application forms.      a.    Form 13-1 — community water supply    b.    a.    Form 13-2 — noncommunityapplication for a new water supply 542-1300    b.    Form 13-3 — renewal application for an existing water supply 542-1301

        ITEM 6.    Rescind subrule 40.3(3) and adopt the following new subrule in lieu thereof:    40.3(3) Water supply reporting forms.  The monthly water supply operation report forms are available from the department’s water supply operations section website. The laboratory analyses for compliance samples are reported via electronic means directly to the department by each certified laboratory.

        ITEM 7.    Amend rule 567—41.2(455B), catchwords, as follows:

    567—41.2(455B) Biological maximum contaminant levelslevel (MCL), treatment technique (TT), and monitoring requirements.  

        ITEM 8.    Rescind subrule 41.2(1) and adopt the following new subrule in lieu thereof:    41.2(1) Coliform bacteria and E. coli.  The provisions of this subrule include both maximum contaminant level and treatment technique requirements. The provisions of this subrule apply to all public water systems. Failure to comply with the applicable requirements in this subrule is a violation of the national primary drinking water regulations.    a.    Maximum contaminant level.A public water system must determine compliance with the MCL for E. coli for each month in which the system is required to monitor for total coliforms. A system is in compliance with the MCL for E. coli for samples taken under this subrule unless any of the following conditions occur. For purposes of the public notification requirements in 567—42.1(455B), violation of the MCL may pose an acute risk to health.    (1)   E. coli-positive repeat sample. The system has an E. coli-positive repeat sample following a total coliform-positive routine sample.    (2)   E. coli-positive routine sample. The system has a total coliform-positive repeat sample following an E. coli-positive routine sample.    (3)   Failure to collect all required repeat samples following E. coli-positive routine samples. The system fails to take all required repeat samples following an E. coli-positive routine sample.    (4)   Failure to test for E. coli on any total coliform-positive repeat sample. The system fails to test for E. coli when any repeat sample tests positive for total coliform.    b.    Analytical methodology.    (1)   Sample volume. The standard sample volume required for analysis is 100 mL, regardless of the analytical method used.    (2)   Presence/absence required. Only the presence or absence of total coliforms and E. coli is required to be determined in any compliance sample; a determination of density is acceptable but is not required.    (3)   Holding time and temperature. The time from sample collection to initiation of test medium incubation may not exceed 30 hours. Systems are encouraged but not required to hold samples below 10° C during transit.    (4)   Dechlorinating agent required for chlorinated water. If water having a residual chlorine (measured as free, combined, or total chlorine) is to be analyzed, sufficient sodium thiosulfate (Na2S2O3) must be added to the sample bottle before sterilization to neutralize any residual chlorine in the water sample. Dechlorination procedures are addressed in Section 9060A.2 of Standard Methods for the Examination of Water and Wastewater (20th and 21st editions).    (5)   Systems must conduct total coliform and E. coli analyses in accordance with one of the analytical methods in the following table.    Methodology Category    Method1    Citation1Total Coliform Bacteria Methods:Lactose Fermentation MethodsStandard Total Coliform Fermentation TechniqueStandard Methods 9221 B.1, B.2 (20th, 21st, and 22nd ed.)2, 3 Standard Methods Online 9221 B.1, B.2-99, B-062, 3Presence-Absence (P-A) Coliform TestStandard Methods 9221 D.1, D.2 (20th and 21st ed.)2, 7 Standard Methods Online 9221 D.1, D.2-992, 7Membrane Filtration MethodsStandard Total Coliform Membrane Filter ProcedureStandard Methods 9222 B, C (20th and 21st ed.)2, 4 Standard Methods Online 9222 B-972, 4, 9222 C-972, 4Membrane Filtration using MI MediumEPA Method 16042m-ColiBlue24 Test2, 4Chromocult2, 4Enzyme Substrate MethodsColilertStandard Methods 9223 B (20th, 21st and 22nd ed.)2, 5 Standard Methods Online 9223 B-97, B-042, 5Colilert-18Standard Methods 9223 B (21st and 22nd ed.)2, 5 Standard Methods Online 9223 B-042, 5ColisureStandard Methods 9223 B (20th, 21st and 22nd ed.)2, 5, 6 Standard Methods Online 9223 B-97, B-042, 5, 6E*Colite Test2Readycult Test2modified Colitag Test2Tecta EC/TC Test2Escherichia coli (E. coli) Methods:Escherichia coli Procedures (following Lactose Fermentation Methods)EC-MUG MediumStandard Methods 9221 F.1 (20th, 21st and 22nd ed.)2 Standard Methods Online 9221 F-062Escherichia coli Partition MethodEC broth with MUG (EC-MUG)Standard Methods 9222 G.1c(2) (20th and 21st ed.)2, 8NA-MUG MediumStandard Methods 9222 G.1c(1) (20th and 21st ed.)2Membrane Filtration MethodsMembrane Filtration using MI MediumEPA Method 16042m-ColiBlue24 Test2, 4Chromocult2, 4Enzyme Substrate MethodsColilertStandard Methods 9223 B (20th, 21st and 22nd ed.)2, 5 Standard Methods Online 9223 B-97, B-042, 5, 6Colilert-18Standard Methods 9223 B (21st and 22nd ed.)2, 5 Standard Methods Online 9223 B-042, 5ColisureStandard Methods 9223 B (20th, 21st and 22nd ed.)2, 5, 6 Standard Methods Online 9223 B-97, 042, 5, 6E*Colite Test2Readycult Test2modified Colitag Test2Tecta EC/TC Test2 1The procedures must be done in accordance with the documents listed in 41.2(1)“a”(6). For Standard Methods, either the 20th (1998) or 21st (2005) edition may be used. For Standard Methods Online, the year in which each method was approved by the Standard Methods Committee is designated by the last two digits following the hyphen in the method number. The methods listed are the only online versions that may be used. For vendor methods, the date of the method listed in 41.2(1)“a”(6) is the date/version of the approved method. The methods listed are the only versions that may be used for compliance with this rule. Laboratories should be careful to use only the approved versions of the methods, as product package inserts may not be the same as the approved versions of the methods. 2Incorporated by reference. See 41.2(1)“a”(6). 3Lactose broth, as commercially available, may be used in lieu of lauryl tryptose broth if the system conducts at least 25 parallel tests between lactose broth and lauryl tryptose broth using the water normally tested and if the findings from this comparison demonstrate that the false-positive rate and the false-negative rate for total coliforms, using lactose broth, is less than 10 percent. 4All filtration series must begin with membrane filtration equipment that has been sterilized by autoclaving. Exposure of filtration equipment to UV light is not adequate to ensure sterilization. Subsequent to the initial autoclaving, exposure of the filtration equipment to UV light may be used to sanitize the funnels between filtrations within a filtration series. Alternatively, membrane filtration equipment that is presterilized by the manufacturer (i.e., disposable funnel units) may be used. 5Multiple-tube and multi-well enumerative formats for this method are approved for use in presence-absence determination under this subrule. 6Colisure results may be read after an incubation time of 24 hours. 7A multiple-tube enumerative format, as described in Standard Methods for the Examination of Water and Wastewater 9221, is approved for this method for use in presence-absence determination under this subrule. 8The following changes must be made to the EC broth with MUG (EC-MUG) formulation: Potassium dihydrogen phosphate, KH2PO4, must be 1.5 g, and 4-methylumbelliferyl-beta-D-glucuronide must be 0.05 g.     (6)   Methods incorporated by reference. The standards required in this subrule are incorporated by reference with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR Part 51. All approved material is available for inspection either electronically at www.regulations.gov, in hard copy at the Water Docket, or from the sources indicated below. The Docket ID is EPA-HQ-OW-2008-0878. Hard copies of these documents may be viewed at the Water Docket in the EPA Docket Center, (EPA/DC) EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Public Reading Room is (202)566-1744, and the telephone number for the Water Docket is (202)566-2426. Copyrighted materials are only available for viewing in hard copy. These documents are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202)741-6030 or go to www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.    1.   American Public Health Association, 800 I Street, NW, Washington, DC 20001. Standard Methods for the Examination of Water and Wastewater, 20th edition (1998):
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” B.1, B.2, “Standard Total Coliform Fermentation Technique.”
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” D.1, D.2, “Presence-Absence (P-A) Coliform Test.”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” B, “Standard Total Coliform Membrane Filter Procedure.”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” C, “Delayed-Incubation Total Coliform Procedure.”
  • Standard Methods 9223, “Enzyme Substrate Coliform Test,” B, “Enzyme Substrate Test,” Colilert and Colisure.
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” F.1, “Escherichia coli Procedure: EC-MUG Medium.”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” G.1c(2), “Escherichia coli Partition Method: EC Broth with MUG (EC-MUG).”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” G.1c(1), “Escherichia coli Partition Method: NA-MUG Medium.”
  •     2.   American Public Health Association, 800 I Street, NW, Washington, DC 20001. Standard Methods for the Examination of Water and Wastewater, 21st edition (2005):
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” B.1, B.2, “Standard Total Coliform Fermentation Technique.”
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” D.1, D.2, “Presence-Absence (P-A) Coliform Test.”
  • Standard Methods 9221, “Membrane Filter Technique for Members of the Coliform Group,” B, “Standard Total Coliform Membrane Filter Procedure.”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” C, “Delayed-Incubation Total Coliform Procedure.”
  • Standard Methods 9223, “Enzyme Substrate Coliform Test,” B, “Enzyme Substrate Test,” Colilert and Colisure.
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” F.1, “Escherichia coli Procedure: EC-MUG Medium.”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” G.1.c(2), “Escherichia coli Partition Method: EC Broth with MUG (EC-MUG).”
  • Standard Methods 9222, “Membrane Filter Technique for Members of the Coliform Group,” G.1.c(1), “Escherichia coli Partition Method: NA-MUG Medium.”
  •     3.   American Public Health Association, 800 I Street, NW, Washington, DC 20001. “Standard Methods Online” available at www.standardmethods.org:
  • Standard Methods Online 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group” (1999), B.1, B.2-99, B-06, “Standard Total Coliform Fermentation Technique.”
  • Standard Methods Online 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group” (1999), D.1, D.2-99, “Presence-Absence (P-A) Coliform Test.”
  • Standard Methods Online 9222, “Membrane Filter Technique for Members of the Coliform Group” (1997), B-97, “Standard Total Coliform Membrane Filter Procedure.”
  • Standard Methods Online 9222, “Membrane Filter Technique for Members of the Coliform Group” (1997), C-97, “Delayed-Incubation Total Coliform Procedure.”
  • Standard Methods Online 9223, “Enzyme Substrate Coliform Test” (1997), B-97, “Enzyme Substrate Test,” Colilert and Colisure.
  •     4.   Charm Sciences, Inc., 659 Andover Street, Lawrence, MA 01843-1032; telephone (800)343-2170: E*Colite—“Charm E*Colite Presence/Absence Test for Detection and Identification of Coliform Bacteria and Escherichia coli in Drinking Water,” January 9, 1998.    5.   CPI International, Inc., 5580 Skylane Blvd., Santa Rosa, CA 95403; telephone (800)878-7654: modified Colitag, ATP D05-0035—“Modified Colitag Test Method for the Simultaneous Detection of E. coli and other Total Coliforms in Water,” August 28, 2009.    6.   EMD Millipore (a division of Merck KGaA, Darmstadt, Germany), 290 Concord Road, Billerica, MA 01821; telephone (800)645-5476:
  • Chromocult—“Chromocult Coliform Agar Presence/Absence Membrane Filter Test Method for Detection and Identification of Coliform Bacteria and Escherichia coli for Finished Waters,” November 2000, Version 1.0.
  • Readycult—“Readycult Coliforms 100 Presence/Absence Test for Detection and Identification of Coliform Bacteria and Escherichia coli in Finished Waters,” January 2007, Version 1.1.
  •     7.   EPA’s Water Resource Center (MC-4100T), 1200 Pennsylvania Avenue, NW, Washington, DC 20460; telephone (202)566-1729: EPA Method 1604, EPA 821-R-02-024—“EPA Method 1604: Total Coliforms and Escherichia coli in Water by Membrane Filtration Using a Simultaneous Detection Technique (MI Medium),” September 2002, www.nemi.gov.    8.   Hach Company, P.O. Box 389, Loveland, CO 80539; telephone (800)604-3493: m-ColiBlue24—“Membrane Filtration Method m-ColiBlue24 Broth,” Revision 2, August 17, 1999.    9.   American Public Health Association, 800 I Street, NW, Washington, DC 20001. Standard Methods for the Examination of Water and Wastewater, 22nd edition (2012):
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” B.1, B.2, “Standard Total Coliform Fermentation Technique.”
  • Standard Methods 9223, “Enzyme Substrate Coliform Test,” B, “Enzyme Substrate Test,” Colilert and Colisure.
  • Standard Methods 9221, “Multiple-Tube Fermentation Technique for Members of the Coliform Group,” F.1, “Escherichia coli Procedure: EC-MUG Medium.”
  •     10.   Veolia Water Solutions and Technologies, Suite 4697, Biosciences Complex, 116 Barrie Street, Kingston, Ontario, Canada K7L 3N6: Tecta EC/TC. “Presence/Absence Method for Simultaneous Detection of Total Coliforms and Escherichia coli in Drinking Water,” April 2014.
        (7)   Laboratory certification. Systems must have all compliance samples required under this subrule analyzed by a laboratory certified by the department in accordance with 567—Chapter 83 to analyze drinking water samples. The laboratory used by the system must be certified for each method and associated contaminant used for compliance monitoring analyses under this subrule.
        c.    Sampling plan.    (1)   Written sampling plan required. Systems must collect total coliform samples according to the written sampling plan.    1.   Systems must develop a written sampling plan that identifies sample locations and a sample collection schedule that are representative of water throughout the distribution system. Major elements of the plan shall include, but not be limited to, the following:
  • Map of the distribution system served by the system;
  • List of routine compliance sample locations for each sample period;
  • List of repeat compliance sample locations for each routine compliance sample location;
  • Any other sample locations necessary to meet the requirements of this subrule;
  • Sample collection schedule;
  • Proper sampling technique instructions;
  • Log of samples taken; and
  • For groundwater systems subject to 567—41.7(455B), triggered source water monitoring plan.
  •     2.   The system shall review the sampling plan every two years and update it as needed and shall retain the sampling plan on file at the facility. The plan must be made available to the department upon request and for review during sanitary surveys and must be revised by the system at the direction of the department.    3.   Monitoring under this subrule may take place at a customer’s premises, dedicated sampling station, or other designated compliance sampling location.
        (2)   Sampling schedule. Systems must collect routine samples at regular time intervals throughout the month. Systems that use only groundwater and serve 4,900 or fewer people, or regional water systems that use only groundwater and serve less than 121 miles of pipe, may collect all required routine samples on a single day if the samples are taken from different sites.    (3)   Minimum number of required routine samples. Systems must take at least the minimum number of required routine samples even if the system has had an E. coli MCL violation or has exceeded the coliform treatment technique triggers in 41.2(1)“l.” Such samples must be designated as “routine” when submitted to the laboratory.    (4)   Additional compliance monitoring samples. A system may conduct more compliance monitoring than is required to investigate potential problems in the distribution system and may use monitoring as a tool to assist in uncovering problems. A system may take more than the minimum number of required routine samples and must include the results when calculating whether the coliform treatment technique trigger in 41.2(1)“l”(1)“1” and “2” has been exceeded only if the samples are taken in accordance with the existing sampling plan and are representative of water throughout the distribution system. Such samples must be designated as “routine” when submitted to the laboratory.    (5)   Repeat samples. Systems must identify repeat monitoring locations in the sampling plan. Repeat samples must be analyzed at the same laboratory as the corresponding original routine sample(s), unless written approval for use of a different laboratory is granted by the department. The system must collect at least one repeat sample from the sampling tap where the original routine total coliform-positive sample was taken, at least one repeat sample at a tap within five service connections upstream of the original sample location, and at least one repeat sample at a tap within five service connections downstream of the original sample location. Such samples must be designated as “repeat” when submitted to the laboratory.    1.   If the sampling location of a total coliform-positive sample is at or within one service connection from the end of the distribution system, the system must still take all required repeat samples. However, the department may allow an alternative sampling location in lieu of one of the upstream or downstream sampling locations.     2.   A groundwater system with two or more wells that is required to conduct triggered source water monitoring under subrule 41.7(3) must collect groundwater source sample(s) in addition to the required repeat samples.     3.   A groundwater system with a single well that is required to conduct triggered source water monitoring may, with written department approval, collect one of its required repeat samples at the triggered source water sample monitoring location. The system must demonstrate to the department’s satisfaction that the sampling plan remains representative of water quality in the distribution system. If approved, the sample result may be used to meet the requirements of subrule 41.7(3) and this subrule. If a repeat sample taken at the triggered source water monitoring location is E. coli-positive, the system has violated the E. coli MCL, and must also comply with the requirements for additional source water samples under 41.7(3)“a”(3).    4.   The department may review, revise, and approve, as appropriate, repeat sampling proposed by the system under 41.2(1)“c”(5). The system must demonstrate that the sampling plan remains representative of the water quality in the distribution system.    (6)   Special purpose samples. Special purpose samples, such as those taken to determine whether disinfection practices are sufficient following pipe placement, replacement, or repair, must not be used to determine whether the coliform treatment technique trigger has been exceeded. Repeat samples are not considered special purpose samples and must be used to determine whether the coliform treatment technique trigger has been exceeded. Such samples must be designated as “special” when submitted to the laboratory and cannot be used for compliance.    (7)   Residual disinfectant measurement. Any system adding a chemical disinfectant to the water must meet the requirements specified in 567—subparagraph 42.4(3)“b”(1). The minimum required residual disinfectant measurements are as follows, unless otherwise directed by the department in writing:    1.   Groundwater systems. A system that uses only groundwater and adds a chemical disinfectant or provides water that contains a disinfectant must measure and record the free and total chlorine residual disinfectant concentration at least at the same points in the distribution system and at the same time as routine and repeat total coliform bacteria samples are collected, as specified in 41.2(1)“e” through 41.2(1)“j.” The system shall report the residual disinfectant concentration to the laboratory with the bacteria sample and comply with the applicable reporting requirements of 567—subrule 42.4(3).    2.   Surface water and influenced groundwater systems.
  • Any surface water or IGW PWS must meet the requirements for minimum residual disinfectant entering the distribution system pursuant to 567—paragraph 43.5(4)“b”(2)“1”; and
  • A system that uses surface water or IGW must comply with the requirements specified in 567—paragraph 43.5(4)“b”(2)“2” for daily distribution system residual disinfectant monitoring. The system must measure and record the free and total chlorine residual disinfectant concentration at least at the same points in the distribution system and at the same time as routine and repeat total coliform bacteria samples are collected, as specified in 41.2(1)“e” through 41.2(1)“j.” The residual disinfectant measurements required as a part of this subrule may be used to satisfy the requirement in 567—paragraph 43.5(4)“b”(2)“2” on the day(s) when a routine or repeat total coliform bacteria sample(s) is collected, in lieu of separate samples. The system shall report the residual disinfectant concentration to the laboratory with the bacteria sample and comply with the applicable reporting requirements of 567—subrule 42.4(3).
  •     d.    Invalidation of total coliform samples.A total coliform-positive sample invalidated under this paragraph does not count toward meeting the minimum monitoring requirements of this subrule.    (1)   The department may invalidate a total coliform-positive sample only if the following conditions are met:    1.   The laboratory establishes that improper sample analysis caused the total coliform-positive result.    2.   The department, on the basis of the results of the required repeat samples, determines that the total coliform-positive sample resulted from a domestic or other non-distribution system plumbing problem. “Domestic or other non-distribution system plumbing problem” means a coliform contamination problem in a public water system with more than one service connection that is limited to the specific service connection from which the coliform-positive sample was taken. The department cannot invalidate a sample on the basis of repeat sample results unless all repeat samples collected at the same tap as the original total coliform-positive sample are also total coliform-positive and all repeat samples collected at a location other than the original tap are total coliform-negative. The department cannot invalidate a total coliform-positive sample on the basis of repeat samples if all the repeat samples are total coliform-negative or if the system has only one service connection.    3.   The department has substantial grounds to believe that the total coliform-positive result is due to a circumstance or condition that does not reflect water quality in the distribution system. The system must still collect all repeat samples required under 41.2(1)“j” and use them to determine whether a coliform treatment technique trigger in 41.2(1)“l” has been exceeded. The decision and supporting rationale for invalidating a total coliform-positive sample under 41.2(1)“d”(1) must be documented in writing, and approved and signed by the supervisor of the water supply operations section or water supply engineering section and the department official who recommended the decision. The department must make this document available to EPA and the public. The written documentation must state the specific cause of the total coliform-positive sample and what action the system has taken, or will take, to correct this problem. The department may not invalidate a total coliform-positive sample solely on the grounds that all repeat samples are total coliform-negative or because of poor sampling technique.    (2)   Laboratory invalidation. A laboratory must invalidate a total coliform sample (unless total coliforms are detected, in which case the sample is valid) if the sample produces a turbid culture in the absence of gas production using an analytical method where gas formation is examined (e.g., the multiple-tube fermentation technique), produces a turbid culture in the absence of an acid reaction in the presence-absence (P-A) coliform test, or exhibits confluent growth or produces colonies too numerous to count with an analytical method using a membrane filter (e.g., membrane filter technique). If a laboratory invalidates a sample because of such interference, the system must collect another sample from the same location as that of the original sample within 24 hours of being notified of the interference problem and must have the sample analyzed for the presence of total coliforms. The system must continue to resample within 24 hours and have the samples analyzed until a valid result is obtained. The department may waive the 24-hour time limit on a case-by-case basis.     e.    Routine monitoring for specific groundwater noncommunity water systems serving 1,000 or fewer people.This paragraph applies to noncommunity water systems using only groundwater (not IGW) as a source and serving 1,000 or fewer people. Groundwater noncommunity water systems that serve schools, preschools, and child care facilities, and all public water systems owned or managed by state agencies, such as parks and rest areas, must monitor at the same frequency as a like-sized community water system, in accordance with 41.2(1)“f,” 41.2(1)“g,” or 41.2(1)“h.”    (1)   General. Following any total coliform-positive sample taken under 41.2(1)“e,” systems must comply with the repeat monitoring requirements and E. coli analytical requirements in 41.2(1)“j.” Once all monitoring required by 41.2(1)“e” and 41.2(1)“j” for a calendar month has been completed, systems must determine whether any coliform treatment technique triggers specified in 41.2(1)“l” have been exceeded. If any trigger has been exceeded, systems must complete assessments as required by 41.2(1)“l.”    (2)   Monitoring frequency for total coliforms. Systems must monitor each calendar quarter that the system provides water to the public, with the following exceptions:    1.   A system on quarterly monitoring that experiences any of the following events must begin monthly monitoring in the month following the event. The system must continue on monthly monitoring until the system meets the requirements for returning to quarterly monitoring.
  • The system has an E. coli MCL violation.
  • The system triggers one Level 2 assessment under the provisions of 41.2(1)“l” in a rolling 12-month period.
  • The system triggers two Level 1 assessments under the provisions of 41.2(1)“l” in a rolling 12-month period.
  • The system has a coliform treatment technique violation.
  • The system has two coliform monitoring violations in a rolling 12-month period.
  • The system has one monitoring coliform violation and one Level 1 assessment under the provisions of 41.2(1)“l” in a rolling 12-month period.
  •     2.   A system on monthly monitoring for reasons other than those identified in 41.2(1)“e”(2)“1” is not considered to be on increased monitoring for the purposes of 41.2(1).    3.   Seasonal systems must sample each month in which they are in operation. All seasonal systems must also demonstrate completion of a department-approved start-up procedure before serving water to the public, which includes a requirement for a coliform-negative start-up sample.
        (3)   Evaluation of sampling frequency during a sanitary survey. During each sanitary survey, the department must evaluate the status of the system including the distribution system, to determine whether the system is on an appropriate monitoring schedule. The department may modify the system’s monitoring schedule, as necessary, or may allow the system to stay on its existing monitoring schedule, consistent with the provisions of 41.2(1)“e.”    (4)   Requirements for returning from monthly to quarterly sampling frequency for nonseasonal noncommunity systems. The department may reduce the monitoring frequency for a nonseasonal noncommunity system on monthly monitoring triggered under 41.2(1)“e”(2)“1” to quarterly monitoring if the system meets the following criteria. For the purposes of 41.2(1)“e”(4), “protected water source” means the well meets separation distances from sources of microbial contamination pursuant to 567—subrule 43.3(7), Table A; or the system has 4-log virus inactivation treatment that is approved by the department and is in continuous usage.    1.   Within the previous 12 months, the system must have a completed sanitary survey or voluntary Level 2 assessment, be free of sanitary defects, and have a protected water source;     2.   The system must have a clean compliance history for a minimum of the previous 12 months; and    3.   The department must review the approved sampling plan, which must designate the time period(s) for monitoring based on site-specific considerations (e.g., during periods of highest demand or highest vulnerability to contamination). The system must collect compliance samples during these time periods.    (5)   Additional routine monitoring for systems on quarterly sampling in the month following a total coliform-positive routine sample. Systems collecting samples on a quarterly frequency must conduct additional routine monitoring the month following one or more total coliform-positive samples (with or without a Level 1 treatment technique trigger). Systems must collect at least three routine samples during the next month. Systems may either collect samples at regular time intervals throughout the month or may collect all required routine samples on a single day if samples are taken from different sites. Systems must use the results of additional routine samples in coliform treatment technique trigger calculations under 41.2(1)“l.”
        f.    Routine monitoring for groundwater community water systems serving 1,000 or fewer people.This paragraph applies to community water systems using only groundwater (not IGW) as a source and serving 1,000 or fewer people.    (1)   General. Following any total coliform-positive sample taken under 41.2(1)“f,” systems must comply with the repeat monitoring requirements and E. coli analytical requirements in 41.2(1)“j.” Once all monitoring required by 41.2(1)“f” and 41.2(1)“j” for a calendar month has been completed, systems must determine whether any coliform treatment technique triggers specified in 41.2(1)“l” have been exceeded. If any trigger has been exceeded, systems must complete assessments as required by 41.2(1)“l.”    (2)   Monitoring frequency for total coliforms. The routine monitoring frequency for total coliforms is one sample per month.    g.    Routine monitoring requirements for SW/IGW public water systems serving 1,000 or fewer people.This paragraph applies to all public water supply systems serving 1,000 or fewer people that use surface water/influenced groundwater sources, including consecutive systems.    (1)   General. Following any total coliform-positive sample taken under 41.2(1)“g,” systems must comply with the repeat monitoring requirements and E. coli analytical requirements in 41.2(1)“j.” Once all monitoring required by 41.2(1)“g” and 41.2(1)“j” for a calendar month has been completed, systems must determine whether any coliform treatment technique triggers specified in 41.2(1)“l” have been exceeded. If any trigger has been exceeded, systems must complete assessments as required by 41.2(1)“l.”    (2)   Monitoring frequency for total coliforms. The routine monitoring frequency for total coliforms is one sample per month. Systems may not reduce monitoring frequency.    (3)   Seasonal systems must sample each month in which they are in operation, and the monitoring frequency cannot be reduced. All seasonal systems must also demonstrate completion of a department-approved start-up procedure before serving water to the public, which includes a requirement for a coliform-negative start-up sample.    h.    Routine monitoring requirements for public water systems serving more than 1,000 people.The provisions of this paragraph apply to all public water systems serving more than 1,000 people except regional water systems. The requirements for regional water systems are listed in 41.2(1)“i.”    (1)   General. Following any total coliform-positive sample taken under 41.2(1)“h,” systems must comply with the repeat monitoring requirements and E. coli analytical requirements in 41.2(1)“j.” Once all monitoring required by 41.2(1)“h” and 41.2(1)“l” for a calendar month has been completed, systems must determine whether any coliform treatment technique triggers specified in 41.2(1)“l” have been exceeded. If any trigger has been exceeded, systems must complete assessments as required by 41.2(1)“l.”    (2)   Monitoring frequency for total coliforms. The routine monitoring frequency for total coliforms is based upon the population served by the system, as follows:Population ServedMinimum Number of Routine Samples per Month1,001 to 2,50022,501 to 3,30033,301 to 4,10044,101 to 4,90054,901 to 5,80065,801 to 6,70076,701 to 7,60087,601 to 8,50098,501 to 12,9001012,901 to 17,2001517,201 to 21,5002021,501 to 25,0002525,001 to 33,0003033,001 to 41,0004041,001 to 50,0005050,001 to 59,0006059,001 to 70,0007070,001 to 83,0008083,001 to 96,0009096,001 to 130,000100130,001 to 220,000120220,001 to 320,000150320,001 to 450,000180450,001 to 600,000210600,001 to 780,000240780,001 to 970,000270970,001 to 1,230,000300    (3)   Seasonal systems must sample each month in which they are in operation, and the monitoring frequency cannot be reduced. All seasonal systems must also demonstrate completion of a department-approved start-up procedure before serving water to the public, which includes a requirement for a coliform-negative start-up sample.    (4)   Reduced monitoring. Community systems may not reduce the number of required routine samples.     (5)   Increased monitoring. If the department, on the basis of a sanitary survey or monitoring results history, determines that some greater frequency of monitoring is more appropriate, that frequency shall be the frequency required under these rules. The increased frequency shall be confirmed or changed on the basis of subsequent surveys.    i.    Routine monitoring requirements for regional public water systems.The provisions of 41.2(1)“i” apply to all regional water systems. The supplier of water for a regional water system as defined in 567—40.2(455B) shall sample for coliform bacteria at a frequency based upon the miles of pipe in its distribution system.    (1)   General. Following any total coliform-positive sample taken under 41.2(1)“i,” systems must comply with the repeat monitoring requirements and E. coli analytical requirements in 41.2(1)“j.” Once all monitoring required by 41.2(1)“i” and 41.2(1)“j” for a calendar month has been completed, systems must determine whether any coliform treatment technique triggers specified in 41.2(1)“l” have been exceeded. If any trigger has been exceeded, systems must complete assessments as required by 41.2(1)“l.”    (2)   Monitoring frequency for total coliforms. The routine monitoring frequency for total coliforms is based upon the miles of pipe in the system’s distribution system, as indicated in the following chart. In no case shall the sampling frequency for a regional water system be less than as set forth in 41.2(1)“h” based upon the population equivalent served. The following chart represents sampling frequency per miles of pipe in the distribution system and is determined by calculating one-half the square root of the miles of pipe.Miles of PipeMinimum Number of Routine Samples per Month0 – 9110 – 25226 – 49350 – 81482 – 1215122 – 1696170 – 2257226 – 2898290 – 3619362 – 44110442 – 52911530 – 62512626 – 72913730 – 841 14842 – 96115962 – 1,089161,090 – 1,225171,226 – 1,364181,365 – 1,521191,522 – 1,681201,682 – 1,849211,850 – 2,025222,026 – 2,209232,210 – 2,401242,402 – 2,601252,602 – 2,809262,810 – 3,025273,026 – 3,249283,250 – 3,481293,482 – 3,721303,722 – 3,969313,970 – 4,225324,226 – 4,489334,490 – 4,671344,672 – 5,041355,042 – 5,329365,330 – 5,625375,626 – 5,929385,930 – 6,241396,242 – 6,561406,562 and greater41    (3)   Reduced monitoring. Regional water systems may not reduce the number of required routine samples.     (4)   Increased monitoring. If the department, on the basis of a sanitary survey or monitoring results history, determines that some greater frequency of monitoring is more appropriate, that frequency shall be the frequency required under these rules. The increased frequency shall be confirmed or changed on the basis of subsequent surveys.    j.    Repeat monitoring.If a routine sample taken under 41.2(1)“e” through 41.2(1)“i” is total coliform-positive, the system must collect a set of repeat samples. The department cannot waive the requirement for a system to collect repeat samples.    (1)   The system must collect no fewer than three repeat samples for each total coliform-positive routine sample found.    (2)   The system must collect the repeat samples within 24 hours of being notified of the positive routine sample result. The department may extend the 24-hour limit on a case-by-case basis if the system has a logistical problem in collecting the repeat samples within 24 hours that is beyond its control. In the case of an extension, the department must specify how much time the system has to collect the repeat samples.     (3)   The system must collect all repeat samples on the same day, except that the department may allow a system with a single service connection to collect the required set of repeat samples over a three-day period. “System with a single service connection” means a system which supplies drinking water to consumers through a single service line.    (4)   The system must collect an additional set of repeat samples in the manner specified in 41.2(1)“j”(1) to (3) if one or more repeat samples in the current set of repeat samples is total coliform-positive. The system must collect the additional set of repeat samples within 24 hours of being notified of the positive result, unless the department extends the limit as provided in 41.2(1)“j”(2). The system must continue to collect additional sets of repeat samples until either total coliforms are not detected in one complete set of repeat samples or the system determines that a coliform treatment technique trigger specified in 41.2(1)“l” has been exceeded as a result of a total coliform-positive repeat sample and notifies the department. If a trigger identified in 41.2(1)“l” is exceeded as a result of a total coliform-positive routine sample, systems are required to conduct only one round of repeat monitoring for each total coliform-positive routine sample.    (5)   Results of all routine and repeat samples taken under 41.2(1)“e” through 41.2(1)“i” that are not invalidated by the department must be used to determine whether a coliform treatment technique trigger specified in 41.2(1)“l” has been exceeded.    k.    E. coli testing requirements.    (1)   If any routine or repeat sample is total coliform-positive, the system must analyze that total coliform-positive culture medium to determine the presence of E. coli. If E. coli are present, the system must notify the department by the end of the same day when the system is notified of the test result. If the notification is outside of the department’s routine office hours, the system shall call the department’s Environmental Emergency Reporting Hotline at (515)725-8694.    (2)   The department has the discretion to allow a system, on a case-by-case basis, to forgo E. coli testing on a total coliform-positive sample if that system assumes that the total coliform-positive sample is E. coli-positive. Accordingly, the system must notify the department as specified in 41.2(1)“k”(1), and the provisions of 41.2(1)“a” apply.    l.    Coliform treatment technique triggers.Systems must conduct assessments in accordance with 41.2(1)“m” after exceeding any treatment technique trigger.    (1)   Level 1 treatment technique triggers.    1.   For systems taking 40 or more samples per month, the system exceeds 5.0 percent total coliform-positive samples for the month.    2.   For systems taking fewer than 40 samples per month, the system has two or more total coliform-positive samples in the same month.    3.   The system fails to take every required repeat sample after any single total coliform-positive sample.    (2)   Level 2 treatment technique triggers.    1.   An E. coli MCL violation, as specified in 41.2(1)“p”(1).    2.   A second Level 1 trigger as defined in 41.2(1)“l”(1) within a rolling 12-month period, unless the department has determined a likely reason that the samples that caused the first Level 1 treatment technique trigger were total coliform-positive and has established that the system has corrected the problem.    m.    Assessment requirements.Systems must ensure that Level 1 and 2 assessments are conducted in order to identify the possible presence of sanitary defects and defects in distribution system coliform monitoring practices. Level 1 assessments may be conducted by the system owner or operator. Level 2 assessments must be conducted by the department with the assistance of the system owner or operator.    (1)   General. When conducting assessments, systems must ensure that the assessor evaluates minimum elements that include review and identification of inadequacies in sample sites; sampling protocol; sample processing; atypical events that could affect distributed water quality or indicate that distributed water quality was impaired; changes in distribution system maintenance and operation that could affect distributed water quality (including water storage); source and treatment considerations that bear on distributed water quality, where appropriate (e.g., small groundwater systems); and existing water quality monitoring data. The system must conduct the assessment consistent with any department directives that tailor specific assessment elements with respect to the size and type of the system, and the size type, and characteristics of the distribution system.    (2)   Level 1 assessment. A system must conduct a Level 1 assessment consistent with the department requirements if the system exceeds one of the treatment technique triggers in 41.2(1)“l”(1).     1.   The system must complete the Level 1 assessment as soon as practical after any trigger in 41.2(1)“l”(1). In the completed assessment form, the system must describe sanitary defects detected, corrective actions completed, and a proposed timetable for any corrective actions not already completed. The system may also note on the assessment form that no sanitary defects were identified. The system must submit the completed Level 1 assessment form to the department within 30 days after the system learns that it has exceeded a trigger.    2.   If the department reviews the completed Level 1 assessment and determines that the assessment is not sufficient (including any proposed timetable for any corrective actions not already completed), the department must consult with the system. If the department requires revisions after consultation, the system must submit a revised assessment form to the department on an agreed-upon schedule not to exceed 30 days from the date of the consultation.    3.   Upon completion and submission of the assessment form by the system, the department must determine if the system has identified the likely cause for the Level 1 trigger and, if so, establish that the system has corrected the problem or has included a schedule acceptable to the department for correction of the problem.    (3)   Level 2 assessment. A system must ensure that a Level 2 assessment is conducted if the system exceeds one of the treatment technique triggers in 41.2(1)“l”(2). The system must comply with any expedited actions or additional actions required by the department in the case of an E. coli MCL violation.    1.   The system must ensure that a Level 2 assessment is completed by the department as soon as practical after any trigger in 41.2(1)“l”(2). The system must submit a completed Level 2 assessment form to the department within 30 days after the system learns that it has exceeded a trigger. The assessment form must contain a description of the sanitary defects detected, corrective actions completed, and a proposed timetable for any corrective actions not already completed. It may also be noted on the assessment form that no sanitary defects were identified.    2.   If the department reviews the completed Level 2 assessment and determines that the assessment is not sufficient (including any proposed timetable for any corrective actions not already completed), the department must consult with the system. If the department requires revisions after consultation, the system must submit a revised assessment form to the department on an agreed-upon schedule not to exceed 30 days.    3.   Upon completion and submission of the assessment form by the system, the department must determine if the system has identified the likely cause for the Level 2 trigger and determine whether the system has corrected the problem or has included a schedule acceptable to the department for correction of the problem.    (4)   Corrective actions. A system must correct sanitary defects found through either a Level 1 or 2 assessment conducted under 41.2(1)“l.” For corrections not completed by the time of submission of the assessment form, the system must complete the corrective action(s) in compliance with a timetable approved by the department in consultation with the system. The system must notify the department when each scheduled corrective action is completed.    (5)   Consultation. At any time during the assessment or corrective actions phase, either the water system or the department may request a consultation with the other party to determine the appropriate actions to be taken. The system may consult with the department on all relevant information that may impact on its ability to comply with a requirement of this subrule, including the method of accomplishment, an appropriate time frame, and other relevant information.    n.    Reporting requirements.    (1)   E. coli.     1.   The system must notify the department by the end of the same day when the system learns of an E. coli-positive violation. If the notification is outside of the department’s routine office hours, the system shall call the department’s Environmental Emergency Reporting Hotline at (515)725-8694.    2.   The system must notify the department by the end of the same day when the system learns of the E. coli-positive routine sample. If the notification is outside of the department’s routine office hours, the system shall call the department’s Environmental Emergency Reporting Hotline at (515)725-8694.    (2)   A system that has violated the treatment technique for coliforms in 41.2(1)“l” must report the violation to the department no later than the end of the next business day after it learns of the violation, and must notify the public in accordance with rule 567—42.1(455B).    (3)   A system required to conduct an assessment under the provisions of 41.2(1)“l” must submit the assessment report within 30 days. The system must notify the department in accordance with 41.2(1)“m”(4) when each scheduled corrective action is completed for any corrections that were not completed by the time of submission of the assessment form.    (4)   A system that has failed to comply with a coliform monitoring requirement must report the monitoring violation to the department within 10 days after the system discovers the violation, and must notify the public in accordance with rule 567—42.1(455B).    (5)   A seasonal system must certify, prior to serving water to the public, that it has complied with the department-approved start-up procedure.    o.    Record-keeping requirements.Additional record-keeping requirements are listed in 567—paragraph 42.5(1)“j.”    p.    Violations.    (1)   E. coli MCL violation. A system is in violation of the MCL for E. coli when any of the following occurs, and must conduct public notice in accordance with rule 567—42.1(455B):    1.   The system has an E. coli-positive repeat sample following a total coliform-positive routine sample.    2.   The system has a total coliform-positive repeat sample following an E. coli-positive routine sample.    3.   The system fails to take all required repeat samples following an E. coli-positive routine sample.    4.   The system fails to test for E. coli when any repeat sample tests positive for total coliform.    (2)   Treatment technique violation. A system is in violation of a treatment technique trigger when any of the following occurs, and must conduct public notice in accordance with rule 567—42.1(455B):    1.   A system exceeds a treatment technique trigger specified in 41.2(1)“l” and then fails to conduct the required assessment within the time frame specified in 41.2(1)“m.”    2.   A system exceeds a treatment technique trigger specified in 41.2(1)“l” and then fails to conduct the required corrective actions within the time frame specified in 41.2(1)“m”(4).    3.   A seasonal system fails to complete a department-approved start-up procedure prior to serving water to the public, including collection of a finished water sample that tests total coliform-negative.    (3)   Monitoring violation. A system is in violation of monitoring requirements when any of the following occurs, and must conduct public notice in accordance with rule 567—42.1(455B):    1.   Failure to take every required routine or additional routine sample in a compliance period.    2.   Failure to analyze for E. coli following a total coliform-positive routine sample.    (4)   Reporting violation. A system is in violation of reporting requirements when any of the following occurs, and must conduct public notice in accordance with rule 567—42.1(455B):    1.   Failure to submit a monitoring report after a system properly conducts monitoring in a timely manner.    2.   Failure to submit a completed assessment form after a system properly conducts an assessment in a timely manner.    3.   Failure to notify the department following an E. coli-positive sample as required by 41.2(1)“k”(1) in a timely manner.    4.   Failure to submit the certification of completion of department-approved start-up procedure by a seasonal system.    q.    Best available technology (BAT).The U.S. Environmental Protection Agency (EPA) identifies, and the department has adopted, the following as the best technology, treatment techniques, or other means available for all systems in achieving compliance with the maximum contaminant level for E. coli in 41.2(1)“a.” The following is also identified as affordable technology, treatment techniques, or other means available to systems serving 10,000 or fewer people for achieving compliance with the E. coli maximum contaminant level.    (1)   Well protection. Protection of wells from fecal contamination by appropriate placement and construction.    (2)   Disinfectant residual. Maintenance of a disinfectant residual throughout the distribution system.    (3)   Distribution system maintenance. Proper maintenance of the distribution system including appropriate pipe replacement and repair procedures, main flushing programs, proper operation and maintenance of storage tanks and reservoirs, cross-connection control, and continual maintenance of a minimum positive water pressure of 20 psi in all parts of the distribution system at all times.    (4)   Filtration or disinfection. Filtration and disinfection of surface water or groundwater under the direct influence of surface water in accordance with 567—43.5(455B), 567—43.9(455B), and 567—43.10(455B), or disinfection of groundwater in accordance with rule 567—41.7(455B) using strong oxidants such as, but not limited to, chlorine, chlorine dioxide, or ozone.    (5)   Wellhead protection program. For groundwater systems, compliance with the requirements of the department’s wellhead protection program.

        ITEM 9.    Amend subparagraph 41.2(3)"e" as follows:    (1)   Method. The heterotrophic plate count shall be performed in accordance with one of the following methods:
    1. Method 9215B Pour Plate Method, Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992, 19th edition, 1995, or 20th edition, 1998, 21st edition, 2005, and 22nd edition, 2012. The cited method in any of the threethese editions may be used.Standard Methods Online method 9215 B-04 may be used.
    2. SimPlate Method, “IDEXX SimPlate TM HPC Test Method for Heterotrophs in Water,” November 2000, IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, ME 04092, telephone (800)321-0207.

        ITEM 10.    Amend the following footnote in subparagraph 41.3(1)"b": **The recommended fluoride level is 1.10.7 milligrams per liter or the level as calculated from “Water Fluoridation, a Manual for Engineers and Technicians” Table 2-4as published by the U.S. Department of Health and Human Services, Public Health Service (September 1986July-August 2015). At this optimum level in drinking water, fluoride has been shown to have beneficial effects in reducing the occurrence of tooth decay.

        ITEM 11.    Amend subparagraph 41.3(1)"e" as follows:    (1)   Analytical methods for IOCs. Analysis for the listed inorganic contaminants shall be conducted using the following methods, or their equivalent as determined by EPA. Criteria for analyzing arsenic, barium, beryllium, cadmium, chromium, copper, lead, nickel, selenium, sodium, and thallium with digestion or directly without digestion, and other analytical test procedures are contained in Technical Notes on Drinking Water Methods, EPA-600/R-94-173, October, 1994. This document is available from the National Technical Information Service, NTIS PB95-104766, U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161. The toll-free number is (800)553-6847.INORGANIC CONTAMINANTS ANALYTICAL METHODS    Contaminant    Methodology15    EPA    ASTM3    SM    SM Online26    Other    Detection Limit,mg/LAntimonyAtomic absorption; furnace3113B4, 27, 333113 B-04, B-100.003Atomic absorption; platform200.920.000812ICP-Mass spectrometry200.820.0004Atomic absorption; hydrideD3697-92, 02, 07, 120.001Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228Arsenic16ICP-Mass spectrometry200.820.001417Atomic absorption; platform200.920.000515Atomic absorption; furnaceD2972-97C, 03C, 08C3113B4, 27, 333113 B-04, B-100.001Atomic absorption; hydrideD2972-97B, 03B, 08B3114B4, 27, 333114 B-090.001Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228AsbestosTransmission electron microscopy100.190.01 MFLTransmission electron microscopy100.210BariumInductively coupled plasma200.723120B18, 27, 333120 B-990.002ICP-Mass spectrometry200.82Atomic absorption; direct3111D4, 27, 333111 D-990.1Atomic absorption; furnace3113B4, 27, 333113 B-04, B-100.002Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228BerylliumInductively coupled plasma200.723120B18, 27, 333120 B-990.0003ICP-Mass spectrometry200.820.0003Atomic absorption; platform200.920.0000212Atomic absorption; furnaceD3645-97B, 03B, 08B3113B4, 27, 333113 B-04, B-100.0002Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228CadmiumInductively coupled plasma200.720.001ICP-Mass spectrometry200.82Atomic absorption; platform200.92Atomic absorption; furnace3113B4, 27, 333113 B-04, B-100.0001Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228ChromiumInductively coupled plasma200.723120B18, 27, 333120 B-990.007ICP-Mass spectrometry200.82Atomic absorption; platform200.92Atomic absorption; furnace3113B4, 27, 333113 B-04, B-100.001Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228CyanideManual distillation (followed by one of the following four analytical methods:)D2036-98A, D2036-06A4500-CN-C18, 27, 33    Spectrophotometric; amenable14D2036-98B, D2036-06B4500-CN-G18, 27, 334500-CN-G-990.02    Spectrophotometric; manual13D2036-98A, D2036-06A4500-CN-E18, 27, 334500-CN-E-99I-3300-8550.02    Spectrophotometric; semi-automated13335.460.005    Selective electrode134500-CN-F18, 27, 334500-CN-F-990.05UV/Distillation/SpectrophotometricUV, distillation, spectrophotometric22Kelada 01200.0005Distillation/SpectrophotometricMicro distillation, flow injection, spectrophotometric13    QuikChem10-204-00-1-X210.0006Ligand exchange with amperometry14D6888-04OIA-1677, DW250.0005Gas chromatography/mass spectrometry headspaceME355.0129FluorideIon chromatography300.06, 300.123D4327-97, 03, 114110B18, 27, 334110 B-00Manual distillation; colorimetric; SPADNS4500F-B,D18, 27, 334500 F-B,D-97Manual electrodeD1179-93B, 99B, D1179-04B, 10B4500F-C18, 27, 334500 F-C-97Automated electrode380-75WE11Automated alizarin4500F-E18, 27, 334500 F-E-97129-71W11Capillary ion electrophoresisD6508, Rev.224Arsenite-free colorimetric; SPADNSHach SPADNS 2 Method 1022531MagnesiumAtomic absorption; directD511-93B, 03B, 09B, 14B3111B4, 27, 333111 B-99ICP200.713120B18, 27, 333120 B-99Complexation Titrimetric MethodsD511-93A, 03A, 09A, 14B3500-Mg E43500-Mg B19, 27, 333500-Mg B-97Ion chromatographyD6919-03, 09Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228MercuryManual, cold vapor245.12D3223-97, 02, 123112B4, 27, 333112 B-090.0002Automated, cold vapor245.210.0002ICP-Mass spectrometry200.82NickelInductively coupled plasma200.723120B18, 27, 333120 B-990.005ICP-Mass spectrometry200.820.0005Atomic absorption; platform200.920.000612Atomic absorption; direct3111B4, 27, 333111 B-99Atomic absorption; furnace3113B4, 27, 333113 B-04, 100.001Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228NitrateIon chromatography300.06, 300.123D4327-97, 03, 114110B18, 27, 334110 B-00B-101180.01Automated cadmium reduction353.26D3867-90A4500-NO3-F18, 27, 334500-NO3-F-000.05Ion selective electrode4500-NO3-D18, 27, 334500-NO3-D-0060171Manual cadmium reductionD3867-90B4500-NO3-E18, 27, 334500-NO3-E-000.01Capillary ion electrophoresisD6508, Rev.2240.076Reduction/colorimetricSystea Easy (1-Reagent)30 NECi Nitrate- Reductase34Colorimetric; directHach TNTplusTM 835/836 Method 1020632NitriteIon chromatography300.06, 300.123D4327-97, 03, 114110B18, 27, 334110 B-00B-101180.004Automated cadmium reduction353.26D3867-90A4500-NO3-F18, 27, 334500-NO3-F-000.05Manual cadmium reductionD3867-90B4500-NO3-E18, 27, 334500-NO3-E-000.01Spectrophotometric4500-NO2-B18, 27, 334500-NO2-B-000.01Capillary ion electrophoresisD6508, Rev. 2240.103Reduction/colorimetricSystea Easy (1-Reagent)30 NECi Nitrate- Reductase34SeleniumAtomic absorption; hydrideD3859-98A, 03A, 08A3114B4, 27, 333114 B-090.002ICP-Mass spectrometry200.82Atomic absorption; platform200.92Atomic absorption; furnaceD3859-98B, 03B, 08B3113B4, 27, 333113 B-04, 100.002Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228SodiumInductively coupled plasma200.72Atomic absorption; direct3111B4, 27, 333111 B-99Ion chromatographyD6919-03, 09Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Revision 4.228ThalliumICP-Mass spectrometry200.82Atomic absorption; platform200.920.000712 The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the following documents was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, EPA West, 1301 Constitution Avenue, NW, Room B102, Washington, DC 20460 (telephone: (202)566-2426); or at the Office of Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC. 1“Methods for Chemical Analysis of Water and Wastes,” EPA-600/4-79-020, March 1983. Available at NTIS, PB84-128677. 2“Methods for the Determination of Metals in Environmental Samples—Supplement I,” EPA-600/R-94-111, May 1994. Available at NTIS, PB95-125472. 3Annual Book of ASTM Standards, 1994, 1996, or 1999or 2003, Vols. 11.01 and 11.02, American Society for Testing and Materials (ASTM) International; any year containing the cited version of the method may be usedthe methods listed are the only versions that may be used. Copies may be obtained from ASTM International, 100 Barr Harbor Drive, West Conshohocken, PA 19428. 418th and 19th editions of Standard Methods for the Examination of Water and Wastewater, 1992 and 1995, respectively, American Public Health Association; either edition may be used. Copies may be obtained from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 5Techniques of Water Resources Investigation of the U.S. Geological Survey, Book 5, Chapter A-1, 3rd edition, 1989, Method I-3300-85. Available from Information Services, U.S. Geological Survey, Federal Center, Box 25286, Denver, CO 80225-0425. 6“Methods for the Determination of Inorganic Substances in Environmental Samples,” EPA-600-R-93-100, August 1993. Available at NTIS, PB94-120821. 7The procedure shall be done in accordance with the Technical Bulletin 601, “Standard Method of Test for Nitrate in Drinking Water,” July 1994, PN221890-001, Analytical Technology, Inc. Copies may be obtained from ATI Orion, 529 Main Street, Boston, MA 02129. 8Method B-1011, “Waters Test Method for Determination of Nitrite/Nitrate in Water Using Single Column Ion Chromatography,” August 1987. Copies may be obtained from Waters Corporation, Technical Services Division, 34 Maple Street, Milford, MA 01757; telephone: (508)482-2131. 9Method 100.1, “Analytical Method for Determination of Asbestos Fibers in Water,” EPA-600/4-83-043, EPA, September 1983. Available at NTIS, PB83-260471. 10Method 100.2, “Determination of Asbestos Structure Over 10 Microns in Length in Drinking Water,” EPA-600/R-94-134, June 1994. Available at NTIS, PB94-201902. 11Industrial Method No. 129-71W, “Fluoride in Water and Wastewater,” December 1972, and Method No. 380-75WE, “Fluoride in Water and Wastewater,” February 1976, Technicon Industrial Systems. Copies may be obtained from Bran & Luebbe, 1025 Busch Parkway, Buffalo Grove, IL 60089. 12Lower MDLs are reported using stabilized temperature graphite furnace atomic absorption. 13Screening method for total cyanides. 14Measures “free” cyanideswhen distillation, digestion, or ligand exchange is omitted. 15Because MDLs reported in EPA Methods 200.7 and 200.9 were determined using a 2X preconcentration step during sample digestion, MDLs determined when samples are analyzed by direct analysis (i.e., no sample digestion) will be higher. For direct analysis of cadmium by Method 200.7, sample preconcentration using pneumatic nebulization may be required to achieve lower detection limits. Method 200.9 is capable of obtaining an arsenic MDL of 0.0001 mg/L using multiple depositions. Preconcentration may also be required for direct analysis of antimony and thallium by Method 200.9, and antimony by Method 3113B, unless multiple in-furnace depositions are made. 16If ultrasonic nebulization is used in the determination of arsenic by Method 200.8, the arsenic must be in the pentavalent state to provide uniform signal response. For direct analysis of arsenic with Method 200.8 using ultrasonic nebulization, samples and standards must contain 1 mg/L of sodium hypochlorite. 17Using selective ion monitoring, EPA Method 200.8 (ICP-MS) is capable of obtaining an MDL of 0.0001 mg/LReserved. 18The 18th, 19th, and 20th editions of Standard Methods for the Examination of Water and Wastewater, 1992, 1995, and 1998, respectively, American Public Health Association; any edition may be used, except that the versions of 3111B, 3111D, 3113B, and 3114B in the 20th edition may not be used. Copies may be obtained from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 19The 20th edition of Standard Methods for the Examination of Water and Wastewater, 1998, American Public Health Association. Copies may be obtaining from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 20The description for the Kelada 01 Method, “Kelada Automated Test Methods for Total Cyanide, Acid Dissociable Cyanide, and Thiocyanate,” Revision 1.2, August 2001, EPA #821-B-01-009 for cyanide is available from NTIS PB 2001-108275.Note: A 450W UV lamp may be used in this method instead of the 550W lamp specified if it provides performance within the quality control acceptance criteria of the method in a given instrument. Similarly, modified flow cell configurations and flow conditions may be used in the method, provided that the quality control acceptance criteria are met. 21The description for the QuikChem Method 10-204-00-1-X, “Digestion and distillation of total cyanide in drinking water and wastewaters using MICRO DIST and determination of cyanide by flow injection analysis,” Revision 2.1, November 30, 2000, for cyanide is available from Lachat Instruments, 6645 W. Mill Road, Milwaukee, WI 53218, telephone (414)358-4200. 22Measures total cyanides when UV-digestor is used, and “free” cyanides when UV-digestor is bypassed. 23“Methods for the Determination of Organic and Inorganic Compounds in Drinking Water,” Volume 1, EPA 815-R-00-014, August 2000. Available at NTIC, PB2000-106981. 24Method D6508, Rev. 2, “Test Method for Determination of Dissolved Inorganic Anions in Aqueous Matrices Using Capillary Ion Electrophoresis and Chromate Electrolyte,” available from Waters Corp., 34 Maple Street, Milford, MA 01757; telephone: (508)482-2131; fax: (508)482-3625. 25Method OIA-1677, DW “Available Cyanide by Flow Injection, Ligand Exchange, and Amperometry,” January 2004. EPA-821-R-04-001. Available from ALPKEM, a division of OI Analytical, P.O. Box 9010, College Station, TX 77542-9010. 26Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 27Standard Methods for the Examination of Water and Wastewater, 21st edition (2005). Available from American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 28EPA Method 200.5, Revision 4.2: “Determination of Trace Elements in Drinking Water by Axially Viewed Inductively Coupled Plasma-Atomic Emission Spectrometry,” 2003. EPA/600/R-06/115. Available at www.nemi.gov. 29Method ME355.01, Revision 1.0, “Determination of Cyanide in Drinking Water by GC/MS Headspace,” May 26, 2009. Available at www.nemi.gov or from H & E Testing Laboratory, 221 State Street, Augusta, ME 04333; telephone: (207)287-2727. 30Systea Easy (1-Reagent), “Systea Easy (1-Reagent) Nitrate Method,” February 4, 2009. Available at www.nemi.gov or from Systea Scientific, LLC, 900 Jorie Blvd., Suite 35, Oak Brook, IL 60523. 31Hach Company Method, “Hach Company SPADNS 2 (Arsenic-free) Fluoride Method 10225 – Spectrophotometric Measurement of Fluoride in Water and Wastewater,” January 2011. 5600 Lindbergh Drive, P.O. Box 389, Loveland, CO 80539. Available at www.hach.com. 32Hach Company Method, “Hach Company TNTplusTM 835/836 Nitrate Method 10206 – Spectrophotometric Measurement of Nitrate in Water and Wastewater,” January 2011. 5600 Lindbergh Drive, P.O. Box 389, Loveland, CO 80539. Available at www.hach.com. 33Standard Methods for the Examination of Water and Wastewater, 22nd edition (2012), American Public Health Association. Available from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 34Nitrate Elimination Company, Inc. (NECi). “Method for Nitrate Reductase Nitrate-Nitrogen Analysis of Drinking Water,” February 2016. Superior Enzymes, Inc., 334 Hecla Street, Lake Linden, MI 49945.

        ITEM 12.    Amend subrule 41.4(1), introductory paragraph, as follows:    41.4(1) Lead, copper, and corrosivity regulation by the setting of a treatment technique requirement.  The lead and copper rules do not set an MCL, although this could be changed in the future. The rules set two enforceable action levels, which trigger tap monitoring, corrosion control, source water treatment, lead service line replacement, and public education if exceeded.establish a treatment technique that includes requirements for corrosion control treatment, source water treatment, lead service line replacement, and public education. These requirements are triggered, in some cases, by lead and copper action levels measured in samples collected at consumers’ taps.

        ITEM 13.    Amend subparagraph 41.4(1)"b" as follows:    (3)   Calculation of 90th percentile. The 90th percentile lead and copper levels shall be computed as follows:    1.   The results of all lead or copper samples taken during a monitoring period shall be placed in ascending order from the sample with the lowest concentration to the sample with the highest concentration. Each sampling result shall be assigned a number, ascending by single integers beginning with the number 1 for the sample with the lowest contaminant level. The number assigned to the sample with the highest contaminant level shall be equal to the total number of samples taken.    2.   The number of samples taken during the monitoring period shall be multiplied by 0.9.    3.   The contaminant concentration in the numbered sample yielded by this calculation is the 90th percentile contaminant level.    4.   For water systems serving fewer than 100 people that collect five samples per monitoring period, the 90th percentile is computed by taking the average of the highest and second highest concentrations.    5.   For a public water system that has been allowed by the department to collect fewer than five samples in accordance with 41.4(1)“c”(3), the sample result with the highest concentration is considered the 90th percentile value.

        ITEM 14.    Amend subparagraph 41.4(1)"c" as follows:    (2)   Sample collection methods.
    1. Tap samples for lead and copper collected in accordance with this subparagraph, with the exception of lead service line samples collected under 567—subrule 43.7(4) and 41.4(1)“c”(2)“5,” shall be first-draw samples.
    2. First-draw tap samples for lead and copper shall be one liter in volume and have stood motionless in the plumbing system of each sampling site for at least six hours. First-draw samples from residential housing shall be collected from the cold-water kitchen tap or bathroom sink tap. First-draw samples from a nonresidential building shall be collected at an interior tap from which water is typically drawn for consumption. Non-first-draw samples collected in lieu of first-draw samples pursuant to 41.4(1)“c”(2)“5” shall be one liter in volume and shall be collected at an interior tap from which water is typically drawn for consumption. First-draw samples may be collected by the system or the system may allow residents to collect first-draw samples after instructing the residents of the sampling procedures specified in this paragraph. To avoid problems of residents handling nitric acid, acidification of first-draw samples may be done up to 14 days after the sample is collected. After acidification to resolubilize the metals, the sample must stand in the original container for the time specified in the approved EPA method before the sample can be analyzed. If a system allows residents to perform sampling, the system may not challenge, based on alleged errors in sample collection, the accuracy of sampling results.
    3. Service line samples collected to determine if the service line is directly contributing lead (as described in 567—subrule 43.7(4)) shall be one liter in volume and have stood motionless in the lead service line for at least six hours and be collected at the tap after flushing the volume of water between the tap and the lead service line. The volume of water shall be calculated based on the interior diameter and length of the pipe between the tap and the lead service line; tapping directly into the lead service line; or if the sampling site is a building constructed as a single-family residence, allowing the water to run until there is a significant change in temperature which would be indicative of water that has been standing in the lead service line.
    4. A public water supply system shall collect each first-draw tap sample from the same sampling site from which it collected a previous sample. If, for any reason, the water system cannot gain entry to a sampling site in order to collect a follow-up tap sample, the system may collect the follow-up tap sample from another sampling site in its sampling pool as long as the new site meets the same targeting criteria, and is within reasonable proximity of the original site.
    5. An NTNC system, or a CWS system that meets the criteria of 567—paragraphs 42.2(4)“h”(1)“1” and “2,”567—subparagraph 42.2(2)“b”(7) that does not have enough taps that can supply first-draw samples, as defined in 567—40.2(455B), may apply to the department in writing to substitute non-first-draw samples. Such systems must collect as many first-draw samples from appropriate taps as possible and identify sampling times and locations that would likely result in the longest standing time for the remaining sites. The department may waive the requirement for prior department approval of non-first-draw sample sites selected by the system, through written notification to the system.

        ITEM 15.    Amend subparagraph 41.4(1)"c", introductory paragraph, as follows:    (3)   Number of samples. Water systems shall collect at least one sample during each monitoring period specified in 41.4(1)“c”(4) from the number of sites as listed in the column below titled “standard monitoring.” A system conducting reduced monitoring under 41.4(1)“c”(4) shall collect at least one sample from the number of sites specified in the column titled “reduced monitoring” during each monitoring period specified in 41.4(1)“c”(4). Such reduced monitoring sites shall be representative of the sites required for standard monitoring.A public water system that has fewer than five drinking water taps that can be used for human consumption meeting the sample site criteria of 41.4(1)“c”(1) to reach the required number of sample sites listed in 41.4(1)“c”(3) must collect at least one sample from each tap and then must collect additional samples from those taps on different days during the monitoring period to meet the required number of sites. Alternatively, the department may allow these systems to collect a number of samples less than the number of sites specified in 41.4(1)“c”(1), provided that 100 percent of all taps that can be used for human consumption are sampled. The department must approve this reduction of the minimum number of samples in writing based upon a request from the system or on-site verification by the department. The department may specify sampling locations when a system is conducting reduced monitoring.

        ITEM 16.    Amend subparagraph 41.4(1)"c" as follows:    (4)   Timing of monitoring.1. Initial tap sampling. The first six-month monitoring period for small, medium-size and large systems shall begin on the following dates:System Size (Number of People Served)First Six-month Monitoring Period Begins on:    greater than 50,000 (large system)January 1, 1992    3,301 to 50,000 (medium system)July 1, 1992    less than or equal to 3,300 (small system)July 1, 1993All large systems shall monitor during two consecutive six-month periods. All small and medium-size systems shall monitor during each six-month monitoring period until the system exceeds the lead or copper action level and is, therefore, required to implement the corrosion control treatment requirements under 567—paragraph 43.7(1)“a,” in which case the system shall continue monitoring in accordance with 41.4(1)“c”(4), or the system meets the lead and copper action levels during two consecutive six-month monitoring periods, in which case the system may reduce monitoring in accordance with 41.4(1)“c”(4).2. Monitoring after installation of corrosion control and source water treatment. Large systems which install optimal corrosion control treatment pursuant to 567—subparagraph 43.7(1)“d”(4) shall monitor during two consecutive six-month monitoring periods by the date specified in 567—subparagraph 43.7(1)“d”(5). Small or medium-size systems which install optimal corrosion control treatment pursuant to 567—subparagraph 43.7(1)“e”(5) shall monitor during two consecutive six-month monitoring periods as specified in 567—subparagraph 43.7(1)“e”(6). Systems which install source water treatment shall monitor during two consecutive six-month monitoring periods by the date specified in 567—subparagraph 43.7(3)“a”(4).
    1. Monitoring after the department specifies water quality parameter values for optimal corrosion control. After the department specifies the values for water quality control parameters under 567—paragraph 43.7(2)“f,” the system shall monitor during each subsequent six-month monitoring period, with the first monitoring period to begin on the date the department specifies the optimal values under 567—paragraph 43.7(2)“f.”
    2. Reduced monitoring.
  • A small or medium-size water system that meets the lead and copper action levels during each of two consecutive six-month monitoring periods may reduce the number of lead and copper samples according to 41.4(1)“c”(3) and reduce the frequency of sampling to once per year.A small or medium-size water system collecting fewer than five samples as specified in 41.4(1)“c”(3) that meets the lead and copper action levels during each of two consecutive six-month monitoring periods may reduce the frequency of sampling to once per year. The system may not ever reduce the number of samples required below the minimum of one sample per available tap. This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period.
  • Any public water supply system thatmeets the lead action level and maintains the range of values for the water quality control parameters reflecting optimal corrosion control treatment specified by the department under 567—paragraph 43.7(2)“f” during each of two consecutive six-month monitoring periods may reduce the monitoring frequency to once per year and reduce the number of lead and copper samples according to 41.4(1)“c”(3), upon written approval by the department.This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period. The department shall review monitoring, treatment, and other relevant information submitted by the water system in accordance with 567—subrule 42.4(2), and shall notify the system in writing when it determines that the system is eligible to commence reduced monitoring. Where appropriate, theThe department willreview and, where appropriate, revise its determination when the system submits new monitoring or treatment data, or when other data relevant to the number and frequency of tap sampling becomes available.
  • A small or medium-size water system that meets the lead and copper action levels during three consecutive years of monitoring may reduce the frequency of monitoring for lead and copper from annually to once every three years. Any water system thatmeets the lead action level and maintains the range of values for the water quality control parameters reflecting optimal corrosion control treatment specified by the department under 567—paragraph 43.7(2)“f” during three consecutive years of monitoring may reduce the frequency of monitoring from annually to once every three years if it receives written approval by the department.Samples collected once every three years shall be collected no later than every third calendar year. The department shall review monitoring, treatment, and other relevant information submitted by the water system in accordance with 567—subrule 42.4(2), and shall notify the system in writing when it determines that the system is eligible to reduce the monitoring frequency to once every three years. Where appropriate, theThe department willreview and, where appropriate, revise its determination when the system submits new monitoring or treatment data, or when other data relevant to the number and frequency of tap sampling becomes available.
  • A water system that reduces the number and frequency of sampling shall collect these samples from sites included in the pool of targeted sampling sites identified in 41.4(1)“c”(1). Systems sampling annually or less frequently shall conduct the lead and copper tap sampling during the months of June through September, unless the department, at its discretion, has approved a different sampling period. If approved by the department, the period shall be no longer than four consecutive months and must represent a time of normal operation where the highest levels of lead are most likely to occur. The department shall designate a period that represents a time of normal operation for an NTNC system that does not operate during the months of June through September, and for which the period of normal operation where the highest levels of lead are most likely to occur is not known.This sampling shall begin during the period approved or designated by the department in the calendar year immediately following the end of the second consecutive six-month monitoring period for systems initiating annual monitoring and during the three-year period following the end of the third consecutive calendar year of annual monitoring for systems initiating triennial monitoring.
  • Systems monitoring annually that have been collecting samples during the months of June through September and that receive department approval to alter their sample collection period must collect their next round of samples during a time period that ends no later than 21 months after the previous round of sampling.Systems monitoring triennially that have been collecting samples during the months of June through September and that receive department approval to alter the sampling collection period must collect their next round of samples during a time period that ends no later than 45 months after the previous round of sampling.Subsequent rounds of sampling must be collected annually or triennially, as required by 41.4(1)“c.”Small systems that have been granted waivers pursuant to 41.4(1)“c”(7), that have been collecting samples during the months of June through September and that receive department approval to alter their sample collection period as previously stated, must collect their next round of samples before the end of the nine-year period.
  • Any water system that demonstrates for two consecutive six-month monitoring periods that the 90th percentile tap water level computed under 41.4(1)“b”(3) is less than or equal to 0.005 mg/L for lead and is less than or equal to 0.65 mg/L for copper may reduce the number of samples in accordance with 41.4(1)“c”(3) and reduce the frequency of sampling to once every three calendar years, if approved by the department.
  • A small or medium-size water system subject to reduced monitoring that exceeds the lead or copper action level shall resume sampling according to 41.4(1)“c”(4)“3” and collect the number of samples specified for standard monitoring in 41.4(1)“c”(3). Any such system shall also conduct water quality parameter monitoring in accordance with 41.4(1)“d”(2), (3), or (4), as appropriate, during the monitoring period in which it exceeded the action level. Any such system may resume annual monitoring for lead and copper at the tap at the reduced number of sites specified in 41.4(1)“c”(3) after it has completed two subsequent consecutive six-month rounds of monitoring that meet the criteria of 41.4(1)“c”(4)“4,” first bulleted paragraph, and may resume triennial monitoring for lead and copper at the reduced number of sites after it demonstrates through subsequent rounds of monitoring that it meets the criteria of either 41.4(1)“c”(4)“4,” third bulleted paragraph or fifth bulleted paragraph, and has received department approval.
  • Any water system subject to reduced monitoring frequency that fails tomeet the lead action level during any four-month monitoring period or that fails to operateat or above the minimum value or within the range of values for the water quality control parameters specified by the department under 567—paragraph 43.7(2)“f” for more than nine days in any six-month period specified in 41.4(1)“d”(4) shall resume tap water sampling according to 41.4(1)“c”(4)“3,” collect the number of samples specified for standard monitoring in 41.4(1)“c”(3), and resume monitoring for water quality parameters within the distribution system in accordance with 41.4(1)“d”(4).This standard tap water sampling shall begin no later than the six-month period beginning January 1 of the calendar year following the lead action level exceedance or water quality parameter excursion. The system may resume reduced monitoring for lead and copper at the tap and for water quality parameters within the distribution system under the following conditions:The system may resume annual monitoring for lead and copper at the tap at the reduced number of sites specified in 41.4(1)“c”(3) after it has completed two subsequent six-month rounds of monitoring that meet the criteria of 41.4(1)“c”(4)“4,” second bulleted paragraph, and upon written approval from the department to resume reduced annual monitoring.This sampling shall begin during the calendar year immediately following the end of the second consecutive six-month monitoring period.The system may resume triennial monitoring for lead and copper at the tap at the reduced number of sites after it demonstrates through subsequent rounds of monitoring that it meets the criteria of either 41.4(1)“c”(4)“4,” third bulleted paragraph or fifth bulleted paragraph, and upon written approval from the department to resume triennial monitoring.The system may reduce the number of water quality parameter tap water samples required in 41.4(1)“d”(5)“1” and the sampling frequency required in 41.4(1)“d”(5)“2.” Such a system may not resume triennial monitoring for water quality parameters at the tap until it demonstrates that it has requalified for triennial monitoring, pursuant to 41.4(1)“d”(5)“2.”
  • Any water system subject to a reduced monitoring frequency under 41.4(1)“c”(4)“4” that either adds a new source of water or changes any water treatment shall informmust notify the department in writing in accordance with 567—subparagraph 42.4(2)“a”(3)of any upcoming long-term change in treatment or addition of a new source as described in that subparagraph.The department must review and approve the addition of a new source or long-term change in water treatment before it is implemented by the system. The department may require the system to resume sampling pursuant to 41.4(1)“c”(4)“3” and collect the number of samples specified for standard monitoring under 41.4(1)“c”(3), or take other appropriate steps such as increased water quality parameter monitoring or reevaluation of its corrosion control treatment given the potentially different water quality considerations.
  •     ITEM 17.    Amend subparagraph 41.4(1)"c" as follows:    (7)   Monitoring waivers for small systems. Any small system that meets the criteria of this subparagraph may apply to the department to reduce the frequency of monitoring for lead and copper under subrule 41.4(1) to once every nine years if it meets all of the materials criteria specified in 41.4(1)“c”(7)“1” and the monitoring criteria specified in 41.4(1)“c”(7)“2.”
    1. Materials criteria. The system must demonstrate that its distribution system and service lines and all drinking water supply plumbing, including plumbing conveying drinking water within all residences and buildings connected to the system, are free of lead-containing materials and copper-containing materials, as defined below:
  • Lead. The water system must provide certification and supporting documentation to the department that the system is free of all lead-containing materials. The system does not contain any plastic pipes which contain lead plasticizers, or plastic service lines which contain lead plasticizers. The system must be free of lead service lines, lead pipes, lead soldered pipe joints, and leaded brass or bronze alloy fittings and fixtures, unless such fittings and fixtures meet the specifications of any standard established pursuant to 42 U.S.C. 300-g-6(e).
  • Copper. The water system must provide certification and supporting documentation to the department that the system contains no copper pipes or copper service lines.
    1. Monitoring criteria. The system must have completed at least one six-month round of standard tap water monitoring for lead and copper at sites approved by the department and from the number of sites required by 41.4(1)“c”(3), and demonstrate that the 90th percentile levels for any and all rounds of monitoring conducted since the system became free of all lead-containing and copper-containing materials meet the following criteria:
  • Lead levels. The system must demonstrate that the 90th percentile lead level does not exceed 0.005 mg/L.
  • Copper levels. The system must demonstrate that the 90th percentile copper level does not exceed 0.65 mg/L.
    1. Department approval of waiver application. The department shall notify the system of its waiver determination in writing, including the basis of its decision and any condition of the waiver. The department may require as a waiver condition that the system conduct specific activities, such as limited monitoring and periodic outreach to customers to remind them to avoid installation of materials that would void the waiver. The system must continue monitoring for lead and copper at the tap as required by 41.4(1)“c”(4)“1” through “4,” as appropriate, until the system receives written approval for the waiver from the department.
    1. Monitoring frequency of systems with waivers.
  • A system must conduct tap water monitoring for lead and copper in accordance with 41.4(1)“c”(4)“4” at the reduced number of sampling sites identified in subparagraph 41.4(1)“c”(3) at least once every nine years and provide the materials certification specified in 41.4(1)“c”(7)“1” for both lead and copper to the department along with the monitoring results.Samples collected every nine years shall be collected no later than every ninth calendar year.
  • If aA system with a waiver adds a new source of water or changes any water treatment, the system must notify the department in writing pursuant to 567—subparagraph 42.4(2)“a”(3)of any upcoming long-term change in treatment or addition of a new source, as described in that subparagraph. The department must review and approve the addition of a new source or long-term change in water treatment before it is implemented by the system. The department has the authority to require the system to add or modify waiver conditions, such as to require recertification that the system is free of lead-containing and copper-containing materials or to require additional monitoring, if the department deems such modifications are necessary to address treatment or source water changes at the system.
  • If a system with a waiver becomes aware that it is no longer free of lead-containing or copper-containing materials, such as from new construction or repairs, the system shall notify the department in writing no later than 60 days after becoming aware of such a change.
    1. Continued eligibility. If the system continues to satisfy the requirements of 41.4(1)“c”(7)“4,” the waiver will be renewed automatically, unless any of the conditions listed below occur. A system whose waiver has been revoked may reapply for a waiver at such time as it again meets the appropriate materials and monitoring criteria of 41.4(1)“c”(7)“1” and 41.4(1)“c”(7)“2.”
  • A system no longer satisfies the materials criteria of 41.4(1)“c”(7)“1,” or has a 90th percentile lead level greater than 0.005 mg/L or a 90th percentile copper level greater than 0.65 mg/L.
  • The department notifies the system in writing that the waiver has been revoked, including the basis of its decision.
    1. Requirements following waiver revocation. A system whose waiver has been revoked by the department is subject to the corrosion control treatment and lead and copper tap water monitoring requirements as follows:
  • If the system exceeds the lead or copper action level, the system must implement corrosion control treatment in accordance with the deadlines specified in 567—paragraph 43.7(1)“e,” and any other applicable parts of 567—41.4(455B).
  • If the system meets both the lead and copper action levels, the system must monitor for lead and copper at the tap no less frequently than once every three years using the reduced number of sample sites specified in subparagraph 41.4(1)“c”(3).
  •     ITEM 18.    Amend subparagraph 41.4(1)"d"“2,” second bullet, as follows:
  • Except as provided in 41.4(1)“d”(3)3,” systems shall collect two samples for each applicable water quality parameter at each entry point to the distribution system during each six-month monitoring period specified in 41.4(1)“d”(2). During each monitoring period specified in 41.4(1)“d”(2). During each monitoring period specified in 41.4(1)“d”(3) through (5), systems shall collect one sample for each applicable water quality parameter at each entry point to the distribution system.
  •     ITEM 19.    Amend subparagraph 41.4(1)"d" as follows:    (4)   Monitoring after the department specifies water quality parameter values for optimal corrosion control. After the department specifies the values for applicable water quality control parameters reflecting optimal corrosion control treatment, all large systems shall measure the applicable water quality parameters according to 41.4(1)“d”(3) and determine compliance with the requirements of 567—paragraph 43.7(2)“g” every six months, with the first six-month period to begin on the dateeither January 1 or July 1, whichever comes first, after the department specifies the optimal values under 567—paragraph 43.7(2)“f.” Any small or medium-size system shall conduct such monitoring during each monitoring period specified in 41.4(1)“c”(4)“3” in which the system exceeds the lead or copper action level. For any such small and medium-size system that is subject to a reduced monitoring frequency pursuant to 41.4(1)“c”(4)“4” at the time of the action level exceedance, the endstart of the applicable six-monthmonitoring period under this paragraph shall coincide with the end of the applicable monitoring period under 41.4(1)“c”(4)“4.” Compliance with department-designated optimal water quality parameter values shall be determined as specified in 567—paragraph 43.7(2)“g.”

        ITEM 20.    Amend subparagraph 41.4(1)"d" as follows:    (5)   Reduced monitoring.
    1. Public water supply systems that maintain the range of values for the water quality parameters reflecting optimal corrosion control treatment during each of two consecutive six-month monitoring periods under 41.4(1)“c”(4) shall continue monitoring at the entry point(s) to the distribution system as specified in 567—paragraph 43.7(2)“f.” Such system may collect two tap samples for applicable water quality parameters from the following reduced number of sites during each six-month monitoring period.
    REDUCED WATER QUALITY PARAMETER MONITORING    System Size(Number of People Served)    Reduced Number of Sites forWater Quality Parameters    greater than 100,000    10    10,001 to 100,000    7    3,301 to 10,000    3    501 to 3,300     2    101 to 500    1    less than or equal to 100    1
    1. A public water system that maintains the range of values for the water quality parameters reflecting optimal corrosion control treatment specified by the department under 567—paragraph 43.7(2)“f” during three consecutive years of monitoring may reduce the frequency with which the system collects the number of tap samples for applicable water quality parameters specified in 41.4(1)“d”(5) from every six months to annually.This sampling shall begin during the calendar year immediately following the end of the monitoring period in which the third consecutive year of six-month monitoring occurs. Any system that maintains the range of values for the water quality parameters reflecting optimal corrosion control treatment specified by the department under 567—paragraph 43.7(2)“f” during three consecutive years of annual monitoring may reduce the frequency with which it collects the number of tap samples for applicable water quality parameters specified in 41.4(1)“d”(5) from annually to every three years.This sampling shall begin no later than the third calendar year following the end of the monitoring period in which the third consecutive year of monitoring occurs.
    A water system may reduce the frequency with which it collects tap samples for applicable water quality parameters specified in 41.4(1)“d”(5)“1” to every three years if it demonstrates during two consecutive monitoring periods that its tap water lead level at the 90th percentile is less than or equal to 0.005 mg/L, that its tap water copper level at the 90th percentile is less than or equal to 0.65 mg/L, and that it also has maintained the range of values for the water quality parameters reflecting optimal corrosion control treatment specified by the department under 567—paragraph 43.7(2)“f.”Monitoring conducted every three years shall be done no later than every third calendar year.
    1. A public water system that conducts sampling annually shall collect these samples evenly throughout the year so as to reflect seasonal variability.
    1. Any water system subject to the reduced monitoring frequency that fails to operate at or above the minimum value or within the range of values for the water quality parameters specified by the department under 567—paragraph 43.7(2)“f” for more than nine days in any six-month period specified in 567—paragraph 43.7(2)“g” shall resume distribution system tap water sampling in accordance with the number and frequency requirements in 41.4(1)“d”(3). Such a system may resume annual monitoring for water quality parameters at the tap at the reduced number of sites specified in 41.4(1)“d”(5)“1” after it has completed two subsequent consecutive six-month rounds of monitoring that meet the criteria of that paragraph or may resume triennial monitoring for water quality parameters at the tap at the reduced number of sites after it demonstrates through subsequent rounds of monitoring that it meets the criteria in 41.4(1)“d”(5)“2.”

        ITEM 21.    Amend subparagraph 41.4(1)"e" as follows:    (2)   Monitoring after system exceeds tap water action level. Any system which exceeds the lead or copper action level at the tap shall collect one source water sample from each entry point to the distribution system withinno later than six months after the exceedanceend of the monitoring period during which the lead or copper action level was exceeded.For monitoring periods that are annual or less frequent, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs or, if the department has established an alternate monitoring period, the last day of that period.

        ITEM 22.    Amend subparagraph 41.4(1)"e" as follows:    (4)   Monitoring frequency after the department specifies maximum permissible source water levels or determines that source water treatment is not needed.
    1. A system shall monitor at the frequency specified below in cases where the department specifies maximum permissible source water levels under 567—subparagraph 43.7(3)“b”(4) or determines that the system is not required to install source water treatment under 567—subparagraph 43.7(3)“b”(2). A water system using only groundwater shall collect samples once during the three-year compliance period in effect when the department makes this determination. Such systems shall collect samples once during each subsequent compliance period.Triennial samples shall be collected every third calendar year. A public water system using surface water (or a combination of surface and groundwater) shall collect samples once during each year, the first annual monitoring period to begin on the date onduring the year in which the department makes this determinationis made under this subparagraph.
    2. A system using only groundwater is not required to conduct source water sampling for lead or copper if the system meets the action level for the specific contaminant in tap water samples during the entire source water sampling.

        ITEM 23.    Amend subparagraph 41.4(1)"e" as follows:    (5)   Reduced monitoring frequency.
    1. A water system using only groundwater may reduce the monitoring frequency for lead and copper in source water to once during each nine-year compliance cycleprovided that the samples are collected no later than every ninth calendar year and if the system meets one of the following criteria:
  • The system demonstrates that finished drinking water entering the distribution system has been maintained below the maximum permissible lead or copper concentrations specified by the department in 567—subparagraph 43.7(3)“b”(4) during at least three consecutive compliance periods under 41.4(1)“e”(4)“1”; or
  • The department has determined that source water treatment is not needed and the system demonstrates that, during at least three consecutive compliance periods in which sampling was conducted under 41.4(1)“e”(4)“1,” the concentration of lead in source water was less than or equal to 0.005 mg/L and the concentration of copper in source water was less than or equal to 0.65 mg/L.
    1. A water system using surface water (or a combination of surface water and groundwater) may reduce the monitoring frequency in 41.4(1)“e”(4)“1” to once during each nine-year compliance cycleprovided that the samples are collected no later than every ninth calendar year and if that system meets one of the following criteria:
  • The system demonstrates that finished drinking water entering the distribution system has been maintained below the maximum permissible lead and copper concentrations specified by the department in 567—subparagraph 43.7(3)“b”(4) for at least three consecutive years; or
  • The department has determined that source water treatment is not needed and the system demonstrates that, during at least three consecutive years, the concentration of lead in source water was less than or equal to 0.005 mg/L and the concentration of copper in source water was less than or equal to 0.65 mg/L.
    1. A water system that uses a new source of water is not eligible for reduced monitoring for lead or copper until concentrations in samples collected from the new source during three consecutive monitoring periods are below the maximum permissible lead and copper concentrations specified.

        ITEM 24.    Amend subparagraph 41.4(1)"f" as follows:    (4)   Corrosivity indices methodology. The following methods must be used to calculate the corrosivity indices:
    1. Aggressiveness Index—“ANSI/AWWA C401-93: AWWA Standard for the Selection of Asbestos Cement Pressure Pipe, 4″–16″ for Water Distribution Systems,” American Water Works Association, Denver, CO.
    2. Langelier Index—“Standard Methods for the Examination of Water and Wastewater,” 14th edition, American Public Health Association, 1015 15th Street NW,800 I Street, NW, Washington, DC 2000520001-3710, (1975), Method 203, pp. 61-63.

        ITEM 25.    Amend subparagraph 41.4(1)"g", table, as follows:LEAD, COPPER AND WATER QUALITY PARAMETER ANALYTICAL METHODS Contaminant EPA Contaminant Code Methodology9 Reference (Method Number) EPA ASTM3 SM SM Online16 USGS5 or OtherAlkalinity1927TitrimetricD1067-92B, 02B, 06B, 11B2320 B11, 15, 182320 B-97Electrometric titrationI-1030-85Calcium1919EDTA titrimetricD511-93A, 03A, 09A, 14A3500-Ca D43500-Ca B-973500-Ca B12, 15, 183500-Ca B-97Atomic absorption; direct aspirationD511-93B, 03B, 09B, 14B3111 B4, 15, 183111 B-99Inductively coupled plasma200.723120 B11, 15, 183120 B-99Ion chromatographyD6919-03, 09Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Rev. 4.217Chloride1017Ion chromatography300.08, 300.113D4327-97, 034110 B11, 154550 B-00Potentiometric titration4500-Cl- D11, 154500-Cl- D-97Argentometric titrationD512-89B (reapproved 1999), D512-04B4500-Cl- B11, 154500-Cl- B-97Capillary ion electrophoresisD6508, Rev. 214Conductivity1064ConductanceD1125-95A (reapproved 1999), 14A2510 B11, 15, 182510 B-97Copper61022Atomic absorption; furnace techniqueD1688-95C, 02C, 07C, 12C3113 B4, 15, 183113 B-99, 04, 10Atomic absorption; direct aspirationD1688-95A, 02A, 07A, 12A3111 B4, 15, 183111 B-99Inductively coupled plasma200.723120 B11, 15, 183120 B-99Inductively coupled plasma; mass spectrometry200.82Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Rev. 4.217Atomic absorption; platform furnace200.92ColorimetricHach Method 802619; Hach Method 1027220Lead61030    Atomic absorption;furnace techniqueD3559-96D, 03D, 08D3113 B4, 15, 183113 B-99, 04, 10Inductively coupled plasma; mass spectrometry200.82Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Rev. 4.217Atomic absorption; platform furnace technique200.92Differential pulse anodic stripping voltammatryvoltammetryMethod 100110pH1925Electrometric150.11D1293-95, 99, 124500-H+ B11, 15, 184500-H+ B-00150.21Orthophosphate (Unfiltered, no digestion or hydrolysis)1044Colorimetric, automated, ascorbic acid    365.184500-P F11, 15, 184500-P F-99Thermo Fisher Discrete Analyzer21Colorimetric, ascorbic acid, single reagentD515-88A4500-P E11, 15, 184500-P E-99Colorimetric, phosphomolybdate;I-1602-85Automated-segmented flowI-2601-908Automated discreteI-2598-85Ion chromatography300.07, 300.113D4327-97, 03, 114110 B11, 15, 184110 B-00Capillary ion electrophoresisD6508, Rev. 214Silica1049Colorimetric, molybdate blueI-1700-85Automated-segmented flow I-2700-85ColorimetricD859-95, 00, 05, 10Molybdosilicate4500-Si D44500-SiO2 C-97    4500-SiO2 C12, 15, 184500-SiO2 C-97Heteropoly blue4500-Si E154500-SiO2 D-974500-SiO2 D12, 15, 184500-SiO2 D-97Automated method for molybdate-reactive silica    4500-Si F4500-SiO2 E12, 15, 184500-SiO2 E-97Inductively coupled plasma6200.723120 B11, 15, 183120 B-99Axially viewed inductively coupled plasma-atomic emission spectrometry (AVICP-AES)200.5, Rev. 4.217Sulfate1055Ion chromatography300.07, 300.113D4327-97, 03411011, 15, 184110 B-00Automated methylthymol blue375.274500-SO4 F11, 154500-SO4-2 F-97Gravimetric    4500-SO4 C11, 154500-SO4 D11, 154500-SO4-2 C-97 4500-SO4-2 D-97 TurbidimetricD516-90, 02, 074500-SO4 E11, 154500-SO4-2 E-97Capillary ion electrophoresisD6508, Rev. 214Temperature1996Thermometric2550 B11, 15, 182550-00, 10Total Filterable Residue (TDS)1930Gravimetric2540 C11, 152540 C-97 The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the following documents was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street, SW, Washington, DC 20460 (telephone: (202)260-3027); or at the Office of Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC. 1“Methods for Chemical Analysis of Water and Wastes,” EPA-600/4-79-020, March 1983. Available at NTIS as PB84-128677. 2“Methods for the Determination of Metals in Environmental Samples,” EPA-600/4-91-010, June 1991. Available at NTIS as PB91-231498. 3Annual Book of ASTM Standards, 1994, 1996, or 1999,or 2003, Vols. 11.01 and 11.02, American Society for Testing and Materials, International; any year containing the cited version of the methodthe methods listed are the only versions that may be used. The previous versions of D1688-95A and D1688-95C (copper), D3559-95D (lead), D1293-95 (pH), D1125-91A (conductivity), and D859-94 (silica) are also approved. These previous versions, D1688-90A, C, D3559-90D, D1293-84, D1125-91A and D859-88, respectively, are located in the Annual Book of ASTM Standards, 1994, Volume 11.01. Copies may be obtained from ASTM International, 100 Barr Harbor Drive, West Conshohocken, PA 19428 or www.astm.org. 418th and 19th editions of Standard Methods for the Examination of Water and Wastewater, 1992 and 1995, respectively, American Public Health Association. Either edition may be used. Copies may be obtained from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 5Techniques of Water Resources Investigation of the U.S. Geological Survey, Book 5, Chapter A-1, 3rd ed., 1989. Available from Information Services, U.S. Geological Survey, Federal Center, Box 25286, Denver, CO 80225-0425. 6Samples may not be filtered. Samples that contain less than 1 NTU (Nephelometric turbidity unit) and are properly preserved (concentrated nitric acid to pH < 2) may be analyzed directly (without digestion) for total metals; otherwise, digestion is required. When digestion is required, the total recoverable technique as defined in the method must be used. 7“Methods for the Determination of Inorganic Substances in Environmental Samples,” EPA/600/R-93/100, August 1993. Available at NTIS as PB94-120821. 8“Methods of Analysis by the U.S. Geological Survey National Water Quality Laboratory—Determination of Inorganic and Organic Constituents in Water and Fluvial Sediments, Open File Report 93-125.” Available from Information Services, U.S. Geological Survey, Federal Center, Box 25286, Denver, CO 80225-0425. 9Because MDLs reported in EPA Methods 200.7 and 200.9 were determined using a 2X preconcentration step during sample digestion, MDLs determined when samples are analyzed by direct analysis (i.e., no sample digestion) will be higher. Preconcentration may be required for direct analysis of lead by Methods 200.9, 3113B, and 3559-90D unless multiple in-furnace depositions are made. 10The description for Method 1001 is available from Palintest, Ltd., 21 Kenton Lands Road, P.O. Box 18395, Erlanger, KY 41018; or from the Hach Company, P.O. Box 389, Loveland, CO 80538. 11The 18th, 19th, and 20th editions of Standard Methods for the Examination of Water and Wastewater, 1992, 1995, and 1998, respectively, American Public Health Association. Any edition may be used, except that the versions of 3111B and 3113B in the 20th edition may not be used. Copies may be obtained from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 12The 20th edition of Standard Methods for the Examination of Water and Wastewater, 1998, American Public Health Association. Copies may be obtained from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 13“Methods for the Determination of Organic and Inorganic Compounds in Drinking Water,” Vol. 1, EPA 815-R-00-014, August 2000. Available at NTIS, PB2000-106981. 14Method D6508, Rev. 2, “Test Method for Determination of Dissolved Inorganic Anions in Aqueous Matrices Using Capillary Ion Electrophoresis and Chromate Electrolyte,” available from Waters Corp., 34 Maple Street, Milford, MA 01757; telephone: (508)482-2131. 15Standard Methods for the Examination of Water and Wastewater, 21st edition (2005), American Public Health Association. Available from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 16Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 17EPA Method 200.5, Revision 4.2: “Determination of Trace Elements in Drinking Water by Axially Viewed Inductively Coupled Plasma-Atomic Emission Spectrometry,” 2003. EPA/600/R-06/115. Available at www.nemi.gov. 18Standard Methods for the Examination of Water and Wastewater, 22nd edition (2012), American Public Health Association. Available from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 19Hach Company. “Hach Method 8026 – Spectrophotometric Measurement of Copper in Finished Drinking Water,” December 2015, Revision 1.2. Available from www.hach.com. 20Hach Company. “Hach Method 10272 – Spectrophotometric Measurement of Copper in Finished Drinking Water,” December 2015, Revision 1.2. Available from www.hach.com. 21Thermo Fisher. “Thermo Fisher Scientific Drinking Water Orthophosphate Method for Thermo Scientific Gallery Discrete Analyzer,” February 2016. Revision 5. Thermo Fisher Scientific, Ratastie 2 01620 Vantaa, Finland.

        ITEM 26.    Amend paragraph 41.5(1)"b" as follows:    b.    Maximum contaminant levels (MCLs) and analytical methodology for organic compounds.The maximum contaminant levels for organic chemicals are listed in the table in subparagraph 41.5(1)“b”(1). Analyses for the contaminants in this subrule shall be conducted using the following methods, or their equivalent as approved by EPA.For analysis of a compliance sample, a certified laboratory must be able to achieve at least the method detection limit for the specific contaminant as listed in the following table.    (1)   Table:ORGANIC CHEMICAL CONTAMINANTS, CODES, MCLS, ANALYTICAL METHODS,AND DETECTION LIMITSContaminantEPA Contaminant CodeMCL (mg/L)Methodology1Detection Limit (mg/L) Volatile Organic Chemicals (VOCs):Benzene    2990     0.005502.2, 524.2, 524.3, 524.47     0.0005Carbon tetrachloride    2982     0.005502.2, 524.2,524.3, 524.47, 551.1     0.0005Chlorobenzene (mono)    2989     0.1502.2, 524.2, 524.3, 524.47     0.00051,2-Dichlorobenzene (ortho)    2968     0.6502.2, 524.2, 524.3, 524.47     0.00051,4-Dichlorobenzene (para)    2969     0.075502.2, 524.2, 524.3, 524.47     0.00051,2-Dichloroethane    2980     0.005502.2, 524.2, 524.3, 524.47     0.00051,1-Dichloroethylene    2977     0.007502.2, 524.2, 524.3, 524.47     0.0005cis-1,2-Dichloroethylene    2380     0.07502.2, 524.2, 524.3, 524.47     0.0005trans-1,2-Dichloroethylene    2979     0.1502.2, 524.2, 524.3, 524.47     0.0005Dichloromethane    2964     0.005502.2, 524.2, 524.3, 524.47     0.00051,2-Dichloropropane    2983*     0.005502.2, 524.2, 524.3, 524.47     0.0005Ethylbenzene    2992     0.7502.2, 524.2, 524.3, 524.47     0.0005Styrene    2996     0.1502.2, 524.2, 524.3, 524.47     0.0005Tetrachloroethylene    2987     0.005502.2, 524.2,524.3, 524.47, 551.1     0.0005Toluene    2991     1502.2, 524.2, 524.3, 524.47     0.00051,1,1-Trichloroethane    2981     0.2502.2, 524.2,524.3, 524.47, 551.1     0.0005Trichloroethylene    2984     0.005502.2, 524.2, 524.3, 524.47, 551.1     0.00051,2,4-Trichlorobenzene    2378     0.07502.2, 524.2, 524.3, 524.47    0.00051,1,2-Trichloroethane    2985     0.005502.2, 524.2,524.3, 524.47, 551.1     0.0005Vinyl chloride    2976     0.002502.2, 524.2, 524.3, 524.47     0.0005Xylenes (total)    2955*     10502.2, 524.2, 524.3, 524.47     0.0005 Synthetic Organic Chemicals (SOCs):Alachlor3    2051     0.002505, 507, 508.1, 525.2, 525.3,551.1     0.0002Aldicarb    2047     0.003531.1, 6610     0.0005Aldicarb sulfone    2044     0.002531.1, 6610     0.0008Aldicarb sulfoxide    2043     0.004531.1, 6610     0.0005Atrazine3    2050     0.003505, 507, 508.1,523, 525.2,525.3, 536, 551.1, Syngenta AG-6255     0.0001Benzo(a)pyrene    2306     0.0002525.2,525.3, 550, 550.1     0.00002Carbofuran    2046     0.04531.1, 531.2, 6610, 6610B, 6610 B-042     0.0009Chlordane3    2959     0.002505, 508, 508.1, 525.2, 525.3     0.00022,4-D6 (as acids, salts, and esters)    2105     0.07515.1, 515.2, 515.3, 515.4, 555, D5317-93, 98 (Reapproved 2003), 6610B, 6640-B, 6640 B-01, 6640 B-06     0.0001Dalapon    2031     0.2515.1, 515.3, 515.4, 552.1, 552.2, 552.3, 557, 6640, 6610B, 6640-B, 6640 B-01, 6640 B-06     0.0011,2-Dibromo-3-chloropropane (DBCP)    2931     0.0002504.1,524.3, 551.1     0.00002Di(2-ethylhexyl)adipate    2035     0.4506, 525.2, 525.3     0.0006Di(2-ethylhexyl)phthalate    2039     0.006506, 525.2, 525.3     0.0006Dinoseb6    2041     0.007515.1, 515.2, 515.3, 515.4, 555, 6610B, 6640-B, 6640 B-01, 6640 B-06     0.0002Diquat    2032     0.02549.2     0.0004Endothall    2033     0.1548.1     0.009Endrin3    2005     0.002505, 508, 508.1, 525.2,525.3, 551.1     0.00001Ethylene dibromide (EDB)    2946     0.00005504.1,524.3, 551.1     0.00001Glyphosate    2034     0.7547, 6651, 6651B, 6651 B-00, 6640 B-05     0.006Heptachlor3    2065     0.0004505, 508, 508.1, 525.2,525.3, 551.1     0.00004Heptachlor epoxide3    2067     0.0002505, 508, 508.1, 525.2,525.3, 551.1     0.00002Hexachlorobenzene3    2274     0.001505, 508, 508.1, 525.2,525.3, 551.1     0.0001Hexachlorocyclopentadiene3    2042     0.05505, 508, 508.1, 525.2,525.3, 551.1     0.0001Lindane (gamma BHC)3    2010     0.0002505, 508, 508.1, 525.2,525.3, 551.1     0.00002Methoxychlor3    2015     0.04505, 508, 508.1, 525.2,525.3, 551.1     0.0001Oxamyl    2036     0.2531.1, 531.2, 6610, 6610B, 6610 B-042     0.002Pentachlorophenol    2326     0.001515.1, 515.2, 515.3, 515.4, 525.2,525.3, 555, D5317-93, 98 (Reapproved 2003), 6610B, 6640-B, 6640 B-01, 6640 B-06     0.00004Picloram3, 6    2040     0.5515.1, 515.2, 515.3, 515.4, 555, D5317-93, 98 (Reapproved 2003), 6610B, 6640-B, 6640 B-01, 6640 B-06     0.0001    Polychlorinated biphenyls4(as decachlorobiphenyl)(as Arochlors)3    2383     0.0005    508A505, 508, 508.1, 525.2, 525.3     0.0001Simazine3    2037     0.004505, 507, 508.1,523, 525.2,525.3, 536, 551.1     0.000072,3,7,8-TCDD (dioxin)    2063     3x10-81613     5x10-92,4,5-TP6 (Silvex)    2110     0.05515.1, 515.2, 515.3, 515.4, 555, D5317-93, 98 (Reapproved 2003), 6610B, 6640-B, 6640 B-01, 6640 B-06     0.0002Toxaphene3    2020     0.003505, 508, 508.1, 525.2, 525.3     0.001 *As of January 1, 1999, the contaminant codes for the following compounds were changed from the Iowa Contaminant Code to the EPA Contaminant Code: ContaminantIowa Contaminant Code (Old)EPA Contaminant Code (New)1,2 Dichloropropane23252983Xylenes (total)29742955 1Analyses for the contaminants in this section shall be conducted using the following EPA methods or their equivalent as approved by EPA. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies may be inspected at EPA’s Drinking Water Docket, EPA West, 1301 Constitution Avenue, NW, Room B1023334, Washington, DC 20460 (telephone: (202) 566-2426); or at the Office of the Federal Register, 800 North Capitol Street NW, Suite 700, Washington, DCNational Archives and Records Administration (NARA).For information on the availability of this material at NARA, call (202)741-6030, or via Internet at www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. The following methods are available from the National Technical Information Service, U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161 (telephone: (800)553-6847). Methods for the Determination of Organic Compounds in Drinking Water, EPA-600/4-88-039, December 1988, Revised July 1991 (NTIS PB91-231480): Methods 508A and 515.1. Methods for the Determination of Organic Compounds in Drinking Water—Supplement I, EPA-600/4-90-020, July 1990 (NTIS PB91-146027): Methods 547, 550, 550.1. Methods for the Determination of Organic Compounds in Drinking Water—Supplement II, EPA-600/R-92-129, August 1992 (NTIS PB92-207703): Methods 548.1, 552.1, 555. Methods for the Determination of Organic Compounds in Drinking Water—Supplement III, EPA-600/R-95-131, August 1995 (NTIS PB95-261616): Methods 502.2, 504.1, 505, 506, 507, 508, 508.1, 515.2, 524.2, 525.2, 531.1, 551.1, 552.2. EPA Method 523, “Determination of Triazine Pesticides and Their Degradates in Drinking Water by Gas Chromatography/Mass Spectrometry (GC/MS),” 2011. EPA-815-R-11-002. Available at www.nepis.epa.gov. EPA Method 524.3, Version 1.0. “Measurement of Purgeable Organic Compounds in Water by Capillary Column Gas Chromatography/Mass Spectrometry,” June 2009. EPA 815-B-09-009. Available at www.nemi.gov. EPA Method 525.3, “Determination of Semivolatile Organic Chemicals in Drinking Water by Solid Phase Extraction and Capillary Column Gas Chromatograph/Mass Spectrometry (GC/MS),” 2012. EPA/600/R-12-010. Available at www.nepis.epa.gov. EPA Method 536, “Determination of Triazine Pesticides and Their Degradates in Drinking Water by Liquid Chromatography Electrospray Ionization Tandem Mass Spectrometry (LC/ESI-MS/MS),” 2007. EPA/815-B-07-002. Available at www.nepis.epa.gov. EPA Method 557, “Determination of Haloacetic Acids, Bromate, and Dalapon in Drinking Water by Ion Chromatography Electrospray Ionization Tandem Mass Spectrometry (IC-ESI-MS/MS),” September 2009. EPA 815-B-09-012. Available at www.nemi.gov. Method 1613 “Tetra-through Octa-Chlorinated Dioxins and Furans by Isotope-Dilution HRGC/HRMS,” EPA-821-B-94-005, October 1994 (NTIS PB95-104774). The following American Public Health Association (APHA) documents are available from APHA, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. Supplement to the 18th Edition of Standard Methods for the Examination of Water and Wastewater, 1994, Standard Methods for the Examination of Water and Wastewater, 19th edition, 1995, or 20th edition, 1998, 21st edition, 2005, or 22nd edition, 2012 (any of the threethese editions may be used), APHA: Method 6610and (carbofuran and oxamyl only) 6610B and 6610 B-04; Method 6640B (21st and 22nd editions only) and SM online 6640 B-01 for 2,4-D, 2,4,5-TP Silvex, dalapon, dinoseb, pentachlorophenol, and picloram; Method 6651B (21st and 22nd editions only) and SM online 6670-B-00 for glyphosate. Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992, 19th edition, 1995, or 20th edition, 1998, (any of the threethese editions may be used), APHA: Method 6651. The following American Society for Testing and Materials (ASTM) method is available from ASTM International, 100 Barr Harbor Drive, West Conshohocken, PA 19428. Annual book of ASTM Standards, 1999, Vol. 11.02 (or any edition published after 1993), ASTM: D5317-93, 98 (Reapproved 2003). Methods 515.3 and 549.2 are available from U.S. EPA NERL, 26 W. Martin Luther King Drive, Cincinnati, OH 45268. Method 515.4, “Determination of Chlorinated Acids in Drinking Water by Liquid-Liquid Microextraction, Derivatization and Fast Gas Chromatography with Electron Capture Detection,” Revision 1.0, April 2000, EPA 815/B-00/001and EPA Method 552.3, “Determination of Haloacetic Acids and Dalapon in Drinking Water by Liquid-liquid Microextraction, Derivatization, and Gas Chromatography with Electron Capture Detection,” Revision 1.0, July 2003, EPA 815-B-03-002, available at www.epa.gov/safewater/methods/sourcalt.html. Method 531.2, “Measurement of n-Methylcarbamoyloximes and n-Methylcarbamates in Water by Direct Aqueous Injection HPLC with Photocol-umnPostcolumn Derivatization,” Revision 1.0, September 2001, EPA 815/B-01/002, available at www.epa.gov/safewater/methods/sourcalt.html. Syngenta AG-625 Method, “Atrazine in Drinking Water by Immunoassay,” February 2001, is available from Syngenta Crop Protection, Inc., 410 Swing Road, P.O. Box 18300, Greensboro, NC 27419, telephone (336)632-6000. Other required analytical test procedures germane to the conduct of these analyses are contained in Technical Notes on Drinking Water Methods, EPA-600/R-94-173, October 1994 (NTIS PB95-104766). 2Reserved.Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 3Substitution of the detector specified in Method 505, 507, 508, or 508.1 for the purpose of achieving lower detection limits is allowed as follows. Either an electron capture or nitrogen-phosphorus detector may be used provided all regulatory requirements and quality control criteria are met. 4PCBs are qualitatively identified as Aroclors and measured for compliance purposes as decachlorobiphenyl. Users of Method 505 may have more difficulty in achieving the required detection limits than users of Method 508. 508.1, or 525.2. 5Reserved.This method may not be used for the analysis of atrazine in any system where chlorine dioxide is used in the drinking water treatment. In samples from all other systems, any result for atrazine generated by Method AG-625 that is greater than one-half the MCL (i.e., greater than 0.0015 mg/L) must be confirmed using another approved method for this contaminant and should use additional volume of the original sample collected for compliance monitoring. In instances where a result from Method AG-625 triggers such confirmatory testing, the confirmatory result is to be used to determine compliance. 6Accurate determination of the chlorinated esters requires hydrolysis of the sample as described in EPA Methods 515.1, 515.2, 515.3, 515.4, and 555, and ASTM Method D5317-93, 98 (Reapproved 2003). 7EPA Method 524.4, Version 1.0. “Measurement of Purgeable Organic Compounds in Water by Gas Chromatography/Mass Spectrometry Using Nitrogen Purge Gas,” May 2013, EPA 815-R-13-002.     (2)   Organic chemical compliance calculations. Compliance with 41.5(1)“b”(1) shall be determined based on the analytical results obtained at each sampling point. If one sampling point is in violation of an MCL listed in 41.5(1)“b”(1), the system is in violation of the MCL. If a system fails to collect the required number of samples, compliance will be based on the total number of samples collected. If a sample result is less than the detection limit, zero will be used when calculating the running annual average. If the system is in violation of an MCL, the water supplier is required to give notice to the department in accordance with 567—subrule 42.4(1) and to notify the public as required by 567—42.1(455B).
    1. Systems monitoring more than once per year for VOC or SOC contaminants. For systems which monitor more than once per year, compliance with the MCL is determined by a running annual average of all samples collected at each sampling point.
    2. Systems monitoring annually or less frequently for VOC contaminants. Systems which monitor annually or less frequently and whose VOC sample result exceeds the MCL must begin quarterly sampling. The system will not be considered in violation of the MCL until it has completed one year of quarterly sampling. However, if any sample result will cause the running annual average to exceed the MCL at any sampling point, the system is immediately out of compliance with the MCL.
    3. Systems monitoring annually or less frequently for SOC contaminants. Systems which monitor annually or less frequently and whose SOC sample result exceeds the regulatory detection limit specified in subparagraph 41.5(1)“b”(1) must begin quarterly sampling. The system will not be considered in violation of the MCL until it has completed one year of quarterly sampling. However, if any sample result will cause the running annual average to exceed the MCL at any sampling point, the system is immediately out of compliance with the MCL.
        (3)   Treatment techniques for acrylamide and epichlorohydrin. Each public water supply system must certify annually in writing to the department (using third-party or manufacturer’s certification) that when acrylamide and epichlorohydrin are used in drinking water systems, the combination (or product) of dose and monomer level does not exceed the levels specified as follows:Acrylamide = 0.05% dosed at 1 ppm (or equivalent)Epichlorohydrin = 0.01% dosed at 20 ppm (or equivalent)Certifications can rely on information provided by manufacturers or third parties, as approved by the department.

        ITEM 27.    Amend numbered paragraph 41.5(1)"c"“4,” table, fourth row, as follows: Sources of ContaminationShallow Wells as defined in 567—40.2(455B)Deep Wells as definedin 567—40.2(455B)Chemical andmineral storage (aboveground)200 ftl00 ft

        ITEM 28.    Amend subparagraph 41.6(1)"d" as follows:    (2)   Systems must measure disinfection byproducts by the methods (as modified by the footnotes) listed in the following table:Approved Methods for Disinfection Byproduct Compliance MonitoringContaminant and MethodologyEPA Method 1 Standard Method 2 ASTM Method 3 TTHM P&T/GC/EICD & PID502.2 4 P&T/GC/MS524.2, 524.3, 524.4 LLE/GC/ECD551.1HAA5 LLE (diazomethane)/GC/ECD6251 B 5 , 6251 B-0712 SPE (acidic methanol)/GC/ECD552.1 5 LLE (acidic methanol)/GC/ECD552.2, 552.3 Ion chromatography electrospray ionization tandem mass spectrometry (IC-ESI-MS/MS)55710Bromate Ion chromatography300.1D 6581-00 Ion chromatography & postcolumn reaction 9 317.0 Rev. 2.0 6 , 326.0 6 IC/ICP-MS 9 321.8 6, 7 Two-dimensional ion chromatography (IC)302.011 Ion chromatography electrospray ionization tandem mass spectrometry (IC-ESI-MS/MS)55710 Chemically suppressed ion chromatographyD 6581-08 A Electrolytically suppressed ion chromatographyD 6581-08 BChlorite8 Amperometric titration4500-ClO 2 E 8 Amperometric sensorChlordioX Plus8, 13 Spectophotometry327.0 Rev. 1.1 8 Ion chromatography300.0, 300.1, 317.0 Rev. 2, 326.0 Chemically suppressed ion chromatographyD 6581-08 A Electrolytically suppressed ion chromatographyD 6581-08 BECD = electron capture detectorIC = ion chromatographyP&T = purge and trapEICD = electrolytic conductivity detectorLLE = liquid/liquid extractionPID = photoionization detectorGC = gas chromatographyMS = mass spectrometerSPE = solid phase extractor The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the following documents was approved by the Director of the Federal Register on February 16, 1999, in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street, SW, Washington, DC 20460 (telephone: (202)260-3027); or at the Office of Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC 20408. 1 EPA: The following methods are available from the National Technical Information Service (NTIS), U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161 (telephone: (800)553-6847): Methods 300.0 and 321.8: Methods for the Determination of Organic and Inorganic Compounds in Drinking Water, Volume 1, USEPA, August 2000, EPA 815-R-00-014 (available through NTIS, PB2000-106981). Method 300.1: “Determination of Inorganic Anions in Drinking Water by Ion Chromatography, Revision 1.0,” EPA-600/R-98/118, 1997 (available through NTIS, PB98-169196). Method 317.0: “Determination of Inorganic Oxyhalide Disinfection By-Products in Drinking Water Using Ion Chromatography with the Addition of a Postcolumn Reagent for Trace Bromate Analysis, Revision 2.0,” USEPA, July 2001, EPA 815-B-01-001. Method 326.0: “Determination of Inorganic Oxyhalide Disinfection By-Products in Drinking Water Using Ion Chromatography Incorporating the Addition of a Suppressor Acidified Postcolumn Reagent for Trace Bromate Analysis, Revision 1.0,” USEPA, June 2002, EPA 815-R-03-007. Method 327.0: “Determination of Chlorine Dioxide and Chlorite Ion in Drinking Water Using Lissamine Green B and Horseradish Peroxidase with Detection by Visible Spectrophotometry, Revision 1.1,” USEPA, May 2005, EPA 815-R-05-008. Methods 502.2, 524.2, 551.1, and 552.2: Methods for the Determination of Organic Compounds in Drinking Water—Supplement III, EPA-600/R-95-131, August 1995 (NTIS PB95-261616). Method 524.3: “Measurement of Purgeable Organic Compounds in Water by Capillary Column Gas Chromatography/Mass Spectrometry, Version 1.0,” June 2009. EPA 815-B-09-009. Available at www.nemi.gov. Method 524.4: “Measurement of Purgeable Organic Compounds in Water by Gas Chromatography/Mass Spectrometry Using Nitrogen Purge Gas, Version 1.0,” May 2013. EPA 815-R-13-002. Available at www.nepis.epa.gov. Method 552.1: Methods for the Determination of Organic Compounds in Drinking Water—Supplement II, EPA-600/R-92-129, August 1992 (NTIS PB92-207703). Method 552.3: “Determination of Haloacetic Acids and Dalapon in Drinking Water by Liquid-liquid Microextraction, Derivatization, and Gas Chromatography with Electron Capture Detection, Revision 1.0,” USEPA, July 2003, EPA-815-B-03-002. 2 4500-ClO2 Eand 6251B: Standard Methods for the Examination of Water and Wastewater, 19th(1995),and 20th(1998), 21st (2005), and 22nd (2012) editions, American Public Health Association, 1995 and 1998, respectively, which isare available from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 3 Method D 6581-00: American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohoken, PA 19428: Annual Book of ASTM Standards, Volume 11.01, American Society for Testing and Materials, 2001 (or any year containing the cited version). 4 If TTHMs are the only analytes being measured in the sample, then a PID is not required. 5 The samples must be extracted within 14 days of sample collection. 6 Ion chromatography and postcolumn reaction or IC/ICP-MS must be used for bromate analysis for purposes of demonstrating eligibility of reduced monitoring. 7 Samples must be preserved at sample collection with 50 mg ethylenediamine (EDA)/L of sample and must be analyzed within 28 days. 8 Amperometric titration or spectrophotometry may be used for routine daily monitoring of chlorite at the entrance to the distribution system, as prescribed in 41.6(1)“c”(3)“1.” Ion chromatography must be used for routine monthly monitoring of chlorite and additional monitoring of chlorite in the distribution system, as prescribed in 41.6(1)“c”(3)“2” and “3.” 9 These are the only methods approved for reduced bromate monitoring under 41.6(1)“c”(2)“2.” 10EPA Method 557, “Determination of Haloacetic Acids, Bromate, and Dalapon in Drinking Water by Ion Chromatography Electrospray Ionization Tandem Mass Spectrometry (IC-ESI-MS/MS),” August 2009. EPA 815-B-09-012. Available at www.nemi.gov. 11EPA Method 302.0, “Determination of Bromate in Drinking Water Using Two-Dimensional Ion Chromatography with Suppressed Conductivity Detection,” September 2009. EPA 815-B-014. Available at www.nemi.gov. 12Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 13ChlordioX Plus. “Chlorine Dioxide and Chlorite in Drinking Water by Amperometry Using Disposable Sensors,” November 2013. Available from Palintest Ltd., Jamike Avenue (Suite 100), Erlanger, KY 41018.

        ITEM 29.    Amend paragraph 41.6(3)"c" as follows:    c.    Routine monitoring.Systems are required to start monitoring at the locations specified in the approved disinfection byproducts monitoring plan and on the schedule specified in 41.6(3)“a”(1). Each system must monitor the disinfection byproducts at the minimum number of locations identified in the Routine Monitoring table.Routine Monitoring    Source water type    Population size category    Monitoring frequency    Total number of distribution system monitoring location sites per monitoring period    SW/IGW    <500    per year    2    500-3,300    per quarter    2    3,301-9,999    per quarter    2    10,000-49,999    per quarter    4    50,000-249,999    per quarter    8    250,000-999,999    per quarter    12    Groundwater    <500    per year    2    500-9,999    per year    2    10,000-99,999    per quarter    4    100,000-499,999    per quarter    6    (1)   All systems must monitor during the month of highest disinfection byproduct concentrations.    (2)   Systems on a quarterly monitoring frequency must collect samples for TTHM and HAA5 every 90 days at each monitoring location, except that SW/IGW systems serving 500 to 3,300 people may collect at one location as provided in 41.6(3)“c”(3). Each sample collected at each location must be analyzed for both TTHM and HAA5 components.    (3)   Systems on an annual monitoring frequency and SW/IGW systems serving 500 to 3,300 people are required to collect TTHM and HAA5 samples at the locations with the highest TTHM and HAA5 concentrations, respectively. Each sample must be analyzed for both TTHM and HAA5 components. Sample collection is required from only one location if the highest TTHM concentration and the highest HAA5 concentration occur at the same location.    (4)   Analytical methods. Systems must use an approved method listed in 41.6(1)“d”(2) for TTHM and HAA5 analyses pursuant to this subrule. Analyses must be conducted by laboratories certified for disinfection byproducts analyses in accordance with 567—Chapter 83.

        ITEM 30.    Amend paragraph 41.6(3)"d" as follows:    d.    Reduced monitoring.A system may reduce monitoring to the level specified in the Reduced Monitoring table anytime the locational running annual average is less than or equal to half the MCL for TTHM and HAA5 at all monitoring locations (i.e., less than or equal to 0.040 mg/L for TTHM and 0.030 mg/L for HAA5). Only data collected under the provisions of this rule may be used to qualify for reduced monitoring. Reduced Monitoring    Source water type    Population size category    Monitoring frequency1    Distribution system monitoring location sites per monitoring period2 SW/IGW    <500    per yearMonitoring may not be reduced    500-3,300    per year1 sample per year at the same location if the highest TTHM and HAA5 measurements occurred at the same location and in the same quarter, analyzed for both TTHM and HAA5    3,301-9,999    per year2 samples: one at the location and during the quarter with the highest TTHM single measurement; one at the location and during the quarter with the highest HAA5 single measurement    10,000-49,999    per quarter2 samples: one at the highest TTHM LRAA location and one at the highest HAA5 LRAA location    50,000-249,999    per quarter4 samples: one sample each at the highest two TTHM LRAA locations and one sample each at the highest two HAA5 LRAA locations    250,000-999,999    per quarter6 samples: one sample each at the highest three TTHM LRAA locations and one sample each at the highest three HAA5 LRAA locations Groundwater    <500    every third year1 sample per year at the same location if the highest TTHM and HAA5 measurements occurred at the same location and in the same quarter, analyzed for both TTHM and HAA5    500-9,999    per year1 sample per year at the same location if the highest TTHM and HAA5 measurements occurred at the same location and in the same quarter, analyzed for both TTHM and HAA5    10,000-99,999    per year2 samples: one at the location and during the quarter with the highest TTHM single measurement; one at the location and during the quarter with the highest HAA5 single measurement    100,000-499,999    per quarter2 samples: one at the highest TTHM LRAA location and one at the highest HAA5 LRAA location 1Systems on a quarterly monitoring frequency must collect the sample(s) every 90 days. 2Each sample must be analyzed for all TTHM and HAA5 components.     (1)   Additional source water TOC requirement for SW/IGW systems. For SW/IGW systems, the source water running annual average TOC level, before any treatment, must be less than or equal to 4.0 mg/L at each treatment plant treating surface water or influenced groundwater, based on the monitoring conducted under 567—paragraph 43.6(2)“b,” in order to qualify for reduced monitoring.    (2)   Continued reduced monitoring frequency. Systems may remain on a reduced monitoring frequency as long as they meet the following criteria. For SW/IGW systems, the source water annual average TOC level requirement in 41.6(3)“d”(1) must continue to be met.
    1. A system with a quarterly reduced monitoring frequency may remain on reduced monitoring as long as the TTHM LRAA is less than or equal to 0.040 mg/L and the HAA5 LRAA is less than or equal to 0.030 mg/L at each monitoring location.
    2. A system with an annual or triennial monitoring frequency may remain on reduced monitoring as long as each TTHM sample is less than or equal to 0.060 mg/L and each HAA5 sample is less than or equal to 0.045 mg/L.
        (3)   Return to routine monitoring frequency. Systems that cannot meet the requirements for reduced monitoring must resume routine monitoring according to 41.6(3)“c” or begin increased monitoring according to 41.6(3)“e.”
    1. A system with a quarterly reduced monitoring frequency must resume routine monitoring if the LRAA from any location exceeds either 0.040 mg/L for TTHM or 0.030 mg/L for HAA5.
    2. A system with an annual or triennial monitoring frequency must resume routine monitoring if the annual sample at any location exceeds either 0.060 mg/L for TTHM or 0.045 mg/L for HAA5.
    3. Any SW/IGW system must resume routine monitoring if the running annual average source water TOC level, prior to any treatment, is more than 4.0 mg/L.
    4. In addition, the department may require any system to resume routine monitoring at the department’s discretion.
        (4)   Remaining on reduced monitoring from Stage 1 to Stage 2 transition. A system may remain on reduced monitoring after the dates listed in 41.6(3)“a”(1) if all of the following three criteria are met. If the three criteria are not met, the system must return to routine monitoring.
    1. Under the IDSE, the system qualified for a 40/30 certification or received a very small system waiver;
    2. The system meets the reduced monitoring criteria of this paragraph; and
    3. The system has not changed or added locations for disinfection byproduct monitoring from those used under the Stage 1 requirements in 41.6(1).

        ITEM 31.    Adopt the following new rule 567—41.7(455B):

    567—41.7(455B) Groundwater rule: sanitary survey, microbial source water monitoring, treatment technique.      41.7(1) General requirements.      a.    Scope.The requirements of this rule constitute national primary drinking water regulations.    b.    Applicability.This rule applies to all public water systems that use groundwater except that it does not apply to public water systems that combine all of their groundwater with surface water or with influenced groundwater prior to treatment under 567—43.5(455B). For the purposes of this rule, “groundwater system” is defined as any public water system meeting this applicability statement, including consecutive systems receiving finished groundwater. For the purposes of this rule, “4-log treatment of viruses” means treatment that includes inactivation, removal, or a department-approved combination of inactivation and removal before or at the first customer of 4-log (99.99%) of viruses.    c.    General requirements.Systems subject to this rule must comply with the following requirements:    (1)   Sanitary survey information requirements for all groundwater systems as described in 41.7(2).    (2)   Microbial source water monitoring requirements for groundwater systems that do not treat all of their groundwater to at least 99.99 percent (4-log) treatment of viruses, using inactivation, removal, or a department-approved combination of inactivation and removal before or at the first customer, as described in 41.7(3).    (3)   Treatment technique requirements, as described in 41.7(4), that apply to groundwater systems that have fecally contaminated source waters, as determined by source water monitoring conducted under 41.7(3), or that have significant deficiencies that are identified by the department. A groundwater system with fecally contaminated source water or with significant deficiencies subject to the treatment technique requirements of this rule must implement one or more of the following corrective action options:    1.   Correct all significant deficiencies;    2.   Provide an alternate source of water;    3.   Eliminate the source of contamination; or    4.   Provide treatment that reliably achieves at least 4-log treatment of viruses (using inactivation, removal, or a department-approved combination of 4-log virus inactivation and removal) before or at the first customer.    (4)   Groundwater systems that provide at least 4-log treatment of viruses are required to conduct compliance monitoring to demonstrate treatment effectiveness, as described in 41.7(4).    (5)   If requested by the department, groundwater systems must provide the department with any existing information that will enable the department to perform a hydrogeologic sensitivity assessment. For the purposes of this rule, “hydrogeologic sensitivity assessment” is a determination of whether groundwater systems obtain water from hydrogeologically sensitive settings.    (6)   Certified laboratory requirements. Analyses under this rule shall only be conducted by laboratories that have been certified by the department and are in compliance with the requirements of 567—Chapter 83.    41.7(2) Sanitary surveys for groundwater systems.  For the purposes of this rule, a “sanitary survey,” as conducted by the department in accordance with 567—subrule 43.1(7), includes but is not limited to the following: an on-site review of the water sources (identifying sources of contamination using results of source water assessments or other relevant information where available), facilities, equipment, operation, maintenance, and monitoring compliance of a public water system to evaluate the adequacy of the system, its sources and operations and the distribution of safe drinking water.    41.7(3) Groundwater source microbial monitoring and analytical methods.  A groundwater system that has a department-approved 4-log treatment process for viruses and is fulfilling the requirements of 41.7(4)“b” is not required to conduct the triggered source water monitoring under 41.7(3)“a.”    a.    Triggered source water monitoring.    (1)   General requirements. A groundwater system must conduct triggered source water monitoring if the conditions identified as follows exist:    1.   The system does not provide at least 4-log treatment of viruses for each groundwater source; and    2.   The system is notified that a sample collected under 41.2(1)“e” through 41.2(1)“i” is total coliform-positive, and the sample is not invalidated under 41.2(1)“d.”    (2)   Sampling requirements. A groundwater system must collect at least one groundwater source sample from each groundwater source in use at the time the total coliform-positive sample was collected under 41.2(1)“e” through 41.2(1)“i” that could have reasonably contributed to the positive sample. The source sample must be collected within 24 hours of when the system is notified of the total coliform-positive sample.    1.   The department may extend the 24-hour time limit on a case-by-case basis if the system cannot collect the groundwater source water sample within 24 hours due to circumstances beyond the system’s control. In the case of an extension, the department must specify how much time the system has to collect the sample.    2.   A groundwater system serving 1,000 or fewer people may use a repeat sample collected from a groundwater source to meet both the requirements of 41.2(1)“j” and to satisfy the monitoring requirements of 41.7(3)“a” if:
  • The department approves the use of E. coli as the fecal indicator,
  • The system only has one groundwater source required to be sampled,
  • The system has no treatment, and
  • Should the source water sample be E. coli-positive, the system would incur an acute coliform bacteria maximum contaminant level violation, must comply with Tier 1 public notification requirements, and must also comply with the additional sample monitoring in 41.7(3)“a”(3).
  •     (3)   Additional samples required. Unless the department requires corrective action for a valid triggered source water sample that tested positive for the fecal indicator, the system must collect five additional source water samples from that same source within 24 hours of being notified of the fecal indicator-positive sample result.    (4)   Further requirements for consecutive and wholesale systems.     1.   In addition to the other requirements in 41.7(3)“a,” a consecutive groundwater system that has a total coliform-positive sample collected under 41.2(1)“f” through 41.2(1)“i” must notify the wholesale system(s) within 24 hours of being notified of the total coliform-positive sample.    2.   In addition to the other requirements in 41.7(3)“a,” a wholesale groundwater system that does not provide the 4-log treatment of viruses as described in 41.7(3) must comply with the following:
  • A wholesale groundwater system that receives notice from a consecutive system it serves that a sample collected under 41.2(1)“f” through 41.2(1)“i” is total coliform-positive must, within 24 hours of being notified, collect triggered sample(s) from its groundwater source(s) under 41.7(3)“a”(2) and analyze the sample(s) for a fecal indicator.
  • If the triggered source sample(s) is fecal indicator-positive, the wholesale groundwater system must notify all consecutive systems served by that groundwater source of the fecal indicator-positive result within 24 hours of being notified of the result and must collect the required additional five samples from the source within 24 hours under 41.7(3)“a”(3).
  •     (5)   Exceptions to the triggered source water monitoring requirements. A groundwater system is not required to comply with the source water monitoring requirements of 41.7(3)“a” if either of the following conditions exists:    1.   The department determines and documents in writing that the total coliform-positive sample collected under 41.2(1)“e” through 41.2(1)“i” is caused by a distribution system deficiency; or    2.   The total coliform-positive sample collected under 41.2(1)“e” through 41.2(1)“i” is collected at a location that meets department criteria for distribution system conditions that will cause total coliform-positive samples.
        b.    Assessment source water monitoring.If directed by the department, groundwater systems must conduct assessment source water monitoring that meets department-determined requirements for such monitoring. A groundwater system conducting assessment source water monitoring may use a triggered source water sample collected under 41.7(3)“a”(2) to meet the requirements of this paragraph. Department-determined assessment source water monitoring requirements may include:    (1)   Collection of a total of 12 groundwater source samples that represent each month the system provides groundwater to the public;    (2)   Collection of samples from each well unless the system obtains written department approval to conduct monitoring at one or more wells within the groundwater system that are representative of multiple wells used by that system and that draw water from the same hydrogeologic setting;    (3)   Collection of a standard sample volume of at least 100 mL for fecal indicator analysis regardless of technical indicator or analytical method used;    (4)   Analysis of all groundwater source samples using one of the analytical methods listed in 41.7(3)“c” for the presence of E. coli, enterococci, or coliphage;    (5)   Collection of groundwater source samples at a location before any treatment of the groundwater source unless the department approves a sampling location after treatment; and    (6)   Collection of groundwater source samples at the well itself unless the system’s configuration does not allow for sampling at the well itself and the department approves an alternate sampling location that is representative of the water quality of that well.    c.    Analytical methods.    (1)   A groundwater system subject to the source water monitoring requirements of this rule must collect a standard sample volume of at least 100 mL for fecal indicator analysis regardless of the fecal indicator or analytical method used.    (2)   A groundwater system must analyze all groundwater source samples collected under 567—41.7(455B) using one of the analytical methods in the following table for the presence of E. coli, enterococci, or coliphage.Analytical Methods for Source Water MonitoringFecal Indicator1MethodologyMethod CitationE. coli    Colilert3    9223B2, 12, 13    9223 B-97, B-0418    Colisure3    9223B2, 12, 139223B-97, B-0418    Membrane filter method with MI agarEPA Method 16044    Colilert-18    9223B2, 12, 13    9223B-97, B-0418    m-ColiBlue24 Test5    E*Colite Test6    EC-MUG7    9221F2, 13    9221 F-0618    NA-MUG7    9222G2    Readycult    Readycult14    Colitag    Modified Colitag15    Chromocult    Chromocult16    Tecta EC/TC    Tecta EC/TC19Enterococci    Multiple-tube technique    9230B29230 B-0418    Membrane filter technique    9230C2    Membrane filter technique    EPA Method 16008    Enterolert9Coliphage    Two-step enrichment presence-absence procedure    EPA Method 160110, FastPhage17    Single agar layer procedure    EPA Method 160211 Analyses must be conducted in accordance with the documents listed below. The Director of the Federal Register approves the incorporation by reference of the documents listed in footnotes 2 through 11 in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Copies may be inspected at EPA’s Drinking Water Docket, EPA West, 1301 Constitution Avenue, NW, EPA West Room B102, Washington, DC 20460; (telephone: (202)566-2426); or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202)741-6030, or go to: www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. The address for EPA’s Water Resource Center, referenced in several of the footnotes, is EPA Water Resource Center (RC-4100T), 1200 Pennsylvania Avenue, NW, Washington, DC 20460. 1The time from sample collection to initiation of analysis may not exceed 30 hours. The groundwater system is encouraged but is not required to hold samples below 10°C during transit. 2Methods are described in Standard Methods for the Examination of Water and Wastewater, 20th edition (1998), and copies may be obtained from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 3Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, ME 04092. 4EPA Method 1604: Total Coliforms and Escherichia coli in Water by Membrane Filtration Using a Simultaneous Detection Technique (MI Medium); September 2002, EPA 821-R-02-024. Method is available at www.nemi.gov. 5A description of the m-ColiBlue24 Test, “Total Coliforms and E. coli Membrane Filtration Method with m-ColiBlue24 Broth,” Method No. 10029, Revision 2, August 17, 1999, is available from Hach Company, 100 Dayton Avenue, Ames, IA 50010. 6A description of the E*Colite Test, “Charm E*Colite Presence/Absence Test for Detection and Identification of Coliform Bacteria and Escherichia coli in Drinking Water,” January 9, 1998, is available from Charm Sciences, Inc., 659 Andover Street, Lawrence, MA 01843-1032. 7EC-MUG (Method 9221F) or NA-MUG (Method 9222G) can be used for E. coli testing step as described in 41.2(1)“f”(6) or (7) after use of Standard Method 9221B, 9221D, 9222B, or 9222C. 8EPA Method 1600: Enterococci in Water by Membrane Filtration Using Membrane-Enterococcus Indoxyl-β-D-Glucoside Agar (MEI), EPA 821-R-02-022 (September 2002), is an approved variation of Standard Method 9230C. The method is available at www.nemi.gov. The holding time and temperature for groundwater samples is specified in footnote 1 above, rather than as specified in Section 8 of EPA Method 1600. 9Medium is available through IDEXX Laboratories, Inc., One IDEXX Drive, Westbrook, ME 04092. Preparation and use of the medium is set forth in the article “Evaluation of Enterolert for Enumeration of Enterococci in Recreational Waters” by Budnick, G.E., Howard, R.T., and Mayo, D.R., 1996, Applied and Environmental Microbiology, 62:3881-3884. 10EPA Method 1601: Male-Specific (F+) and Somatic Coliphage in Water by Two-Step Enrichment Procedure; April 2001, EPA 821-R-01-030. Method is available at www.nemi.gov. 11EPA Method 1602: Male-Specific (F+) and Somatic Coliphage in Water by Single Agar Layer (SAL) Procedure; April 2001, EPA 821-R-01-029. Method is available at www.nemi.gov. 12Standard Methods for the Examination of Water and Wastewater, 21st edition (2005). Available from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 13Standard Methods for the Examination of Water and Wastewater, 22nd edition (2012). Available from the American Public Health Association, 800 I Street, NW, Washington, DC 20001-3710. 14Readycult Method, “Readycult Coliforms 100 Presence/Absence Test for Detection and Identification of Coliform Bacteria and Escherichia coli in Finished Waters,” January 2007, Version 1.1. Available from EMD Millipore, 290 Concord Road, Billerica, MA 01821. 15Modified Colitag Method, “Modified Colitag Test Method for the Simultaneous Detection of E. coli and Other Total Coliforms in Water (ATP D05-0035),” August 28, 2009. Available from www.nemi.gov or CPI International, 5580 Skylane Blvd., Santa Rosa, CA 95403. 16Chromocult Method, “Chromocult Coliform Agar Presence/Absence Membrane Filter Test Method for Detection and Identification of Coliform Bacteria and Escherichia coli in Finished Waters,” November 2000, Version 1.0. Available from EMD Millipore, 290 Concord Road, Billerica, MA 01821. 17Charm Sciences, Inc., “FastPhage Test Procedure. Presence/Absence for Coliphage in Ground Water with Same Day Positive Prediction,” Version 009, November 2012. Available at www.charmsciences.com. 18Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 19Tecta EC/TC. “Presence/Absence Method for Simultaneous Detection of Total Coliforms and Escherichia coli in Drinking Water,” April 2014. Available from Veolia Water Solutions and Technologies, Suite 4697, Biosciences Complex, 116 Barrie Street, Kingston, Ontario, Canada K7L 3N6.     d.    Invalidation of a fecal indicator-positive groundwater source sample.    (1)   A groundwater system may obtain invalidation from the department of a fecal indicator-positive groundwater source sample collected under 41.7(3)“a” only under these conditions:    1.   The system provides the department with written notice from the laboratory that improper sample analysis occurred; or    2.   The department determines and documents in writing that there is substantial evidence that a fecal indicator-positive groundwater source sample is not related to source water quality.    (2)   If the department invalidates a fecal indicator-positive groundwater source sample, the system must collect another source water sample under 41.7(3)“a” within 24 hours of being notified by the department of its invalidation decision. The sample must be analyzed for the same fecal indicator using the analytical methods in 41.7(3)“c.” The department may extend the 24-hour time limit on a case-by-case basis if the system cannot collect the source water sample within 24 hours due to circumstances beyond the system’s control. In the case of an extension, the department must specify how much time the system has to collect the sample.    e.    Sampling location.    (1)   Any groundwater source sample required under 41.7(3)“a” must be collected at a location prior to any treatment of the groundwater source unless the department approves a sampling location after treatment.    (2)   If the system’s configuration does not allow for sampling at the well itself, the system may collect a sample at a department-approved location to meet the requirements of 41.7(3)“a” if the sample is representative of the water quality of that well.    f.    New sources.A groundwater system that places a new groundwater source into service must conduct assessment source water monitoring as directed by the department to include those items listed in 41.7(3)“b”(3) to (6). If directed by the department, the system must begin monitoring before the groundwater source is used to provide water to the public.    g.    Public notification.A system with a groundwater source sample collected under 41.7(3)“a” or 41.7(3)“b” that is fecal indicator-positive and that is not invalidated under 41.7(3)“d,” including consecutive systems served by the groundwater source, must conduct Tier 1 public notification under 567—subrule 42.1(2).    h.    Monitoring violations.Failure to meet the requirements of 41.7(3)“a” through 41.7(3)“f” is a monitoring violation and requires the system to provide Tier 3 public notification under 567—subrule 42.1(4).
        41.7(4) Treatment technique requirements for groundwater systems.      a.    Groundwater systems with significant deficiencies or source water fecal contamination.    (1)   The treatment technique requirements of this subrule, 41.7(4), must be met by groundwater systems when a significant deficiency is identified or when a groundwater source sample collected under 41.7(3)“a”(3) is fecal indicator-positive.    (2)   If directed by the department, a groundwater system with a groundwater source sample collected under 41.7(3)“a”(2), 41.7(3)“a”(4), or 41.7(3)“b” that is fecal indicator-positive must comply with the treatment technique requirements of 41.7(4).    (3)   When a significant deficiency is identified at a surface water or influenced groundwater system that also uses a groundwater source not under the influence of surface water, the system must comply with provisions of 41.7(4)“a” except in cases where the department determines that the significant deficiency is in a portion of the distribution system that is served solely by the surface water or influenced groundwater source.    (4)   Unless the department directs the groundwater system to implement a specific corrective action, the groundwater system must consult with the department regarding the appropriate corrective action within 30 days of receiving written notice from the department of a significant deficiency, written notice from a laboratory that a groundwater source sample collected under 41.7(3)“a”(3) was found to be fecal indicator-positive, or direction from the department that a fecal indicator-positive sample collected under 41.7(3)“a”(2), 41.7(3)“a”(4), or 41.7(3)“b” requires corrective action. For the purposes of 41.7(4), significant deficiencies include, but are not limited to, defects in design, operation, or maintenance, or a failure or malfunction of the sources, treatment, storage, or distribution system that the department determines to be causing, or have potential for causing, the introduction of contamination into the water delivered to consumers.    (5)   Within 120 days, or earlier if directed by the department, of receiving written notification from the department of a significant deficiency, written notice from a laboratory that a groundwater source sample collected under 41.7(3)“a”(3) was found to be fecal indicator-positive, or direction from the department that a fecal indicator-positive sample collected under 41.7(3)“a”(2), 41.7(3)“a”(4), or 41.7(3)“b” requires corrective action, the groundwater system must either:    1.   Have completed corrective action in accordance with applicable department plan review processes or other department guidance or direction, if any, including department-specified interim measures; or    2.   Be in compliance with a department-approved corrective action plan and schedule subject to the specified conditions as follows:
  • Any subsequent modifications to a department-approved corrective action plan and schedule must also be approved by the department; and
  • If the department specifies interim measures for protection of the public health pending department approval of the corrective action plan and schedule, or pending completion of the corrective action plan, the system must comply with these interim measures as well as with any schedule specified by the department.
  •     (6)   Corrective action alternatives. Groundwater systems that meet the conditions of 41.7(4)“a”(1) or (2) must implement one or more of the following corrective action alternatives:    1.   Correct all significant deficiencies;    2.   Provide an alternate source of water;    3.   Eliminate the source of contamination; or    4.   Provide treatment that reliably achieves at least 4-log treatment of viruses for the groundwater source.    (7)   Special notice to the public of significant deficiencies or source water fecal contamination.    1.   In addition to the applicable Tier 1 public notification requirements of 567—subrule 42.1(2), a community groundwater system that receives notice from the department of a significant deficiency or notification of a fecal indicator-positive groundwater source sample that is not invalidated by the department under 41.7(3)“d” must inform the public served by the water system under 567—subparagraph 42.3(3)“h”(5) of the fecal indicator-positive source sample or of any significant deficiency that has not been corrected. The system must continue to inform the public annually until the significant deficiency is corrected or the fecal contamination in the groundwater source is determined by the department to be corrected under 41.7(3)“a”(5).    2.   In addition to the applicable Tier 1 public notification requirements of 567—subrule 42.1(2), a noncommunity groundwater system that receives notice from the department of a significant deficiency must inform the public served by the water systems in a manner approved by the department of any significant deficiency that has not been corrected within 12 months of being notified by the department or earlier if directed by the department. The system must continue to inform the public annually until the significant deficiency is corrected. The information must include:
  • The nature of the significant deficiency and the date the significant deficiency was identified by the department;
  • The department-approved plan and schedule for correction of the significant deficiency, including interim measures, progress to date, and any interim measures completed; and
  • For systems with a large proportion of non-English speaking consumers, as determined by the department, information in the applicable language(s) regarding the importance of the notice or a telephone number or address where consumers may contact the system to obtain a translated copy of the notice or assistance in the appropriate language.
  •     3.   If directed by the department, a noncommunity water system with significant deficiencies that have been corrected must inform its customers of the significant deficiencies, how the deficiencies were corrected, and the dates of correction under 41.7(4)“a”(7)“2.”
        b.    Compliance monitoring.    (1)   Existing groundwater sources. A groundwater system that provides at least 4-log treatment of viruses must make a written application to the department in order to avoid the source water monitoring requirements of 41.7(3). Notification to the department must include engineering, operational, or other information that the department requests to evaluate the submission. The department must approve the 4-log request in writing before the system can avoid the groundwater source monitoring requirements. The system’s operation permit will include the mandatory operational requirements for the approved 4-log virus treatment. If the system subsequently discontinues 4-log treatment of viruses of a groundwater source or no longer wishes to be exempt from the groundwater source monitoring requirements, the system must conduct groundwater source monitoring as required under 41.7(3).    (2)   New groundwater sources. A groundwater system that places a groundwater source in service that is not required to meet the source water monitoring requirements of 41.7(4) because the system provides at least 4-log treatment of viruses for the groundwater source must comply with the following requirements:    1.   The system must notify the department in writing that it provides at least 4-log treatment of viruses for the groundwater source. Notification to the department must include engineering, operational, or other information that the department requests to evaluate the submission. The contact time values for inactivation of viruses using free chlorine, chlorine dioxide, and ozone are listed in 567—Chapter 43, Appendix C. No CT table is provided for chloramines and total chlorine because the CT values would be prohibitively high for groundwater systems.    2.   The system must conduct compliance monitoring as required under 41.7(4)“b”(3) within 30 days of placing the source in service.    3.   The system must conduct groundwater source monitoring under 41.7(3) if the system subsequently discontinues 4-log treatment of viruses for the groundwater source.    (3)   Monitoring requirements. A groundwater system subject to the requirements of 41.7(4)“a” and 41.7(4)“b”(1) and (2) must monitor the effectiveness and reliability of treatment for that groundwater source before or at the first customer as follows:    1.   Chemical disinfection.
  • A groundwater system serving more than 3,300 people must continuously monitor the residual disinfectant concentration, using analytical methods specified in 567—subparagraph 43.5(4)“a”(5), at a location approved by the department and must record the lowest residual disinfectant concentration each day that water from the groundwater source is served to the public. The groundwater system must maintain the department-determined minimum residual disinfectant concentration every day the groundwater system serves water from the groundwater source to the public. If there is a failure in the continuous monitoring equipment, the groundwater system must conduct grab sampling every four hours until the continuous monitoring equipment is returned to service. The system must resume continuous residual disinfectant monitoring within 14 days.
  • A groundwater system serving 3,300 or fewer people must monitor the residual disinfectant concentration using analytical methods specified in 567—subparagraph 43.5(4)“a”(5) at a location approved by the department and must record the residual disinfectant concentration each day that water from the groundwater source is served to the public. The groundwater system must maintain the department-determined minimum residual disinfectant concentration every day the groundwater system serves water from the groundwater source to the public. The groundwater system must take a daily grab sample during the hour of peak flow or at another time specified by the department. If any daily grab sample measurement falls below the department-determined minimum residual disinfectant concentration, the groundwater system must take follow-up samples every four hours until the residual disinfectant concentration is restored to the department-determined minimum level. Alternatively, a groundwater system that serves 3,300 or fewer people may monitor continuously and meet the requirements of 41.7(4)“b”(3)“1,” first bulleted paragraph.
  •     2.   Membrane filtration. A groundwater system that uses membrane filtration to meet the requirements of 41.7(4)“b” to provide at least 4-log treatment of viruses must monitor the membrane filtration process in accordance with all department-specified monitoring requirements and must operate the membrane filtration in accordance with all department-specified compliance requirements. A groundwater system that uses membrane filtration is in compliance with the requirement to achieve at least 4-log removal of viruses when:
  • The membrane has an absolute molecular weight cut-off (MWCO), or an alternate parameter that describes the exclusion characteristics of the membrane, that can reliably achieve at least 4-log removal of viruses;
  • The membrane process is operated in accordance with department-specified compliance requirements; and
  • The integrity of the membrane is intact.
  •     3.   Alternative treatment. A groundwater system that uses a department-approved alternative treatment to meet the requirements of 41.7(4)“b” by providing at least 4-log treatment of viruses must:
  • Monitor the alternative treatment in accordance with all department-specified monitoring requirements; and
  • Operate the alternative treatment in accordance with all compliance requirements that the department determines to be necessary to achieve at least 4-log treatment of viruses.
  •     c.    Discontinuing treatment.A groundwater system may discontinue 4-log treatment of viruses for a groundwater source if the department determines and documents in writing that 4-log treatment of viruses is no longer necessary for that groundwater source. A system that discontinues 4-log treatment of viruses is subject to the source water monitoring and analytical methods requirements of 41.7(3).    d.    Monitoring violation.Failure to meet the monitoring requirements of 41.7(4)“b” is a monitoring violation and requires the groundwater system to provide Tier 3 public notification under 567—subrule 42.1(4).
        41.7(5) Treatment technique violations for groundwater systems.  A groundwater system must give Tier 2 public notification under 567—subrule 42.1(3) for the treatment technique violations specified in 41.7(5)“a,” 41.7(5)“b,” and 41.7(5)“c.”    a.    Significant deficiency.A groundwater system with a significant deficiency is in violation of the treatment technique requirement if, within 120 days (or earlier if directed by the department) of receiving written notice from the department of the significant deficiency, the system:    (1)   Does not complete corrective action in accordance with any applicable department plan review processes or other department guidance and direction, including department-specified interim actions and measures; or    (2)   Is not in compliance with a department-approved corrective action plan and schedule.    b.    Fecal indicator-positive source sample.Unless the department invalidates a fecal indicator-positive groundwater source sample under 41.7(3)“d”(1), a groundwater system is in violation of the treatment technique requirement if, within 120 days (or earlier if directed by the department) of meeting the conditions of 41.7(4)“a”(1) or (2), the system:    (1)   Does not complete corrective action in accordance with any applicable department plan review processes or other department guidance and direction, including department-specified interim measures; or    (2)   Is not in compliance with a department-approved corrective action plan and schedule.    c.    Failure to maintain 4-log treatment.A groundwater system subject to the requirements of 41.7(4)“b”(3) that fails to maintain at least 4-log treatment of viruses for a groundwater source is in violation of the treatment technique requirement if the failure is not corrected within four hours of the determination that the system is not maintaining at least 4-log treatment of viruses before or at the first customer.    41.7(6) Reporting and record keeping for groundwater systems.      a.    Reporting.In addition to meeting the requirements of 567—subrule 42.4(1), a groundwater system regulated under this rule must provide the following information to the department:    (1)   A groundwater system conducting compliance monitoring under 41.7(4)“b” must notify the department any time the system fails to meet any of the department-specified requirements for 4-log virus treatment including, but not limited to, minimum residual disinfectant concentration, membrane operating criteria or membrane integrity, and alternative treatment operating criteria, if operation in accordance with the criteria or requirements is not restored within four hours. The groundwater system must notify the department as soon as possible, but in no case later than the end of the next business day.    (2)   After completing any corrective action under 41.7(4)“a,” a groundwater system must notify the department within 30 days of completion of the corrective action.    (3)   If a groundwater system subject to the requirements of 41.7(3)“a” does not conduct source water monitoring under 41.7(3)“a”(5)“2,” the system must provide documentation to the department within 30 days of the total coliform-positive sample that it met the department’s criteria.    b.    Record keeping.In addition to the requirements in 567—subrule 42.5(1), a groundwater system regulated under this rule must maintain the following information in its records:    (1)   Documentation of corrective actions, which must be kept for a period of not less than ten years.    (2)   Documentation of notice to the public as required under 41.7(4)“a”(7), which must be kept for a period of not less than three years.    (3)   Records of decisions under 41.7(3)“a”(5)“2” and records of invalidation of fecal indicator-positive groundwater source samples under 41.7(3)“d”(1), both of which must be kept for a period of not less than five years.    (4)   For consecutive systems, documentation of notification to the wholesale system(s) of total coliform-positive samples that are not invalidated under 41.2(1)“d,” which must be kept for a period of not less than five years.    (5)   For systems, including wholesale systems, that are required to perform compliance monitoring under 41.7(4)“b”(1), the following documentation must be maintained:    1.   Records of the department-specified minimum disinfectant residual, which must be kept for a period of not less than ten years.    2.   Records of the lowest daily residual disinfectant concentration and records of the date and duration of any failure to maintain the department-prescribed minimum residual disinfectant concentration for a period of more than four hours, both of which must be kept for a period of not less than five years.    3.   Records of department-specified compliance requirements for membrane filtration and of parameters specified by the department for department-approved alternative treatment and records of the date and duration of any failure to meet the membrane operating, membrane integrity, or alternative treatment operating requirements for more than four hours. Documentation shall be kept for a period of not less than five years.

        ITEM 32.    Amend subparagraph 41.8(1)"d" as follows:    (1)   Radionuclide Analytical Methodology Table.RADIONUCLIDE ANALYTICAL METHODOLOGYReference (method or page number)ContaminantMethodologyEPA1EPA2EPA3EPA4SM5ASTM6USGS7DOE8OtherNaturally occurring: Gross alpha11 & betaEvaporation900.0    p. 100-01    p. 1    302, 7110B, 7110 B-00R-1120-76 Gross alpha11Co-precipitation00-02    7110C, 7110 C-00 Radium-226Radon emanation903.1    p. 16Ra-04    p. 19    305, 7500-Ra C, 7500Ra C-01D 3454-97, 05R-1141-76Ra-04NY9Radiochemical903.0    p. 13Ra-03    304, 7500-Ra B, 7500-Ra B-01D 2460-97, 07R-1140-76GA14 Radium-228Radiochemical904.0    p. 24Ra-05    p. 19    7500-Ra D, 7500-Ra D-01R-1142-76    NY9NJ10 GA14 Uranium12Radiochemical908.0    7500-U B, 7500-U B-00Fluorometric908.1    7500-U C (17th edition)D 2907-97    R-1180-76R-1181-76U-04ICP-MS200.8133125D 5673-03, 05, 10Alpha spectrometry00-07    p. 33    7500-U C, 7500-U C-00D 3972-97, 02, 09R-1182-76U-02Laser phosphorimetryD 5174-97, 02, 07Alpha liquid scintillation spectrometryD 6239-09Man-made: Radioactive CesiumRadiochemical901.0    p. 4    7500-Cs B, 7500-Cs B-00D 2459-72R-1111-76Gamma ray spectrometry901.1    p. 92    7120, 7120-97D 3649-91, 98a, 06R-1110-764.5.2.3 Radioactive IodineRadiochemical902.0    p. 6p. 9    7500-I B, 7500-I B-007500-I C, 7500-I C-007500-I D, 7500-I D-00D 3649-91, 98a, 06Gamma ray spectrometry901.1    p. 92    7120, 7120-97D 4785-93, 00a, 084.5.2.3     RadioactiveStrontium 89, 90Radiochemical905.0    p. 29Sr-04    p. 65    303, 7500-Sr B, 7500-Sr B-01R-1160-76    Sr-01Sr-02 TritiumLiquid scintillation906.0    p. 34H-02    p. 87    306, 7500-3H B, 7500-3H B-00D 4107-91, 98 (Reapproved 2002), 08R-1171-76 Gamma emittersGamma ray spectrometry    901.1902.0901.0    p. 92    71207500-Cs B, 7500-Cs B-007500-I B, 7500-I B-00    D 3649-91, 98a, 06D 4785-93, 00a, 08R-1110-76Ga-01-R The procedures shall be done in accordance with the documents listed below. The incorporation by reference of documents 1 through 10 was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, EPA West, 1301 Constitution Avenue, NW, Room B135, Washington, DC 20460 (telephone (202)566-2426); or at the Office of Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC. 1“Prescribed Procedures for Measurement of Radioactivity in Drinking Water,” EPA 600/4-80-032, August 1980. Available at the US Department of Commerce, NTIS, 5285 Port Royal Road, Springfield, VA 22161 (telephone (800)553-6847) PB 80-224744. 2“Interim Radiochemical Methodology for Drinking Water,” EPA 600/4-75-008(revised), March 1976. Available at NTIS, ibid. PB 253258. 3“Radiochemistry Procedures Manual,” EPA 520/5-84-006, December 1987. Available at NTIS, ibid. PB 84-215581. 4“Radiochemical Analytical Procedures for Analysis of Environmental Samples,” March 1979. Available at NTIS, ibid. EMSL LV 053917. 5Standard Methods for the Examination of Water and Wastewater, 13th, 17th, 18th, 19th,or 20th, 21st, and 22nd editions, 1971, 1989, 1992, 1995, 1998, 2005, and 2012. Available at American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. Methods 302, 303, 304, 305, and 306 are only in the 13th edition. Methods 7110B, 7500-Ra B, 7500-Ra C, 7500-Ra D, 7500-U B, 7500-Cs B, 7500-I B, 7500-I C, 7500-I D, 7500-Sr B, 7500-3H B are in the 17th, 18th, 19th, and 20th, 21st, and 22nd editions. Method 7110C isand Method 7500-U C Alpha spectrometry are in the 18th, 19th, and 20th, 21st, and 22nd editions. Method 7500-U C Fluorimetric Uranium is only in the 17th editionand 21st editions. Method 7500-U C Alpha spectrometry is only in the 18th, 19th, and 20th editions. Method 7120 is only in the 19th,and 20th, 21st, and 22nd editions.Method 3125 is only in the 20th edition. Methods 7110 B-00, 7110 C-00, 7500-Ra B-01, 7500-Ra C-01, 7500-Ra D-01, 7500-U B-00, 7500-U C-00, 7500-I B-00, 7500-I C-00, 7500-I D-00, 7120-97, 7500-Sr B-01, and 7500-3H B-00 are available online at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 6Annual Book of ASTM Standards, Vol.Volumes 11.01 and 11.02, 19992002. Any year containing the cited version of the method may be used. Available at ASTM International, 100 Barr Harbor Drive, West Conshohocken, PA 19428. 7“Methods for Determination of Radioactive Substances in Water and Fluvial Sediments,” Chapter A5 in Book 5 of Techniques of Water-Resources Investigations of the United States Geological Survey, 1977. Available at USU.S. Geological Survey (USGS) Information Services, Box 25286, Federal Center, Denver, CO 80225-0425. 8“EML Procedures Manual,” 28th (1997) or 27th (1990) editionsedition, Volumes 1 and 2; either edition may be used. In the 27th edition, Method Ra-04 is listed as Ra-05, and Method Ga-01-R is listed as Sect. 4.5.2.3. Available at the Environmental Measurements Laboratory, USU.S. Department of Energy (DOE), 376 Hudson Street, New York, NY 10014-3621. 9“Determination of Ra-226 and Ra-228 (Ra-02),” January 1980, revised June 1982. Available at Radiological Sciences Institute Center for Laboratories and Research, New York State Department of Health, Empire State Plaza, Albany, NY 12201. 10“Determination of Radium-228 in Drinking Water,” August 1980. Available at State of New Jersey, Department of Environmental Protection, Division of Environmental Quality, Bureau of Radiation and Inorganic Analytical Services, 9 Ewing Street, Trenton, NJ 08625. 11Natural uranium and thorium-230 are approved as gross alpha calibration standards for gross alpha with co-precipitation and evaporation methods; americium-241 is approved with co-precipitation methods. 12If uranium (U) is determined by mass, a 0.67 pCi/ μ g of uranium conversion factor must be used. This conversion factor is based on the 1:1 activity ratio of U-234 to U-238 that is characteristic of naturally occurring uranium. 13“Determination of Trace Elements in Waters and Wastes by Inductively Coupled Plasma-Mass Spectrometry,” Revision 5.4, which is published in “Methods for the Determination of Metals in Environmental Samples – Supplement 1,” EPA 600-R-94-111, May 1994. Available at NTIS, PB 95-125472. 14“The Determination of Radium-226 and Radium-228 in Drinking Water by Gamma-Ray Spectrometry Using HPGW or Ge(Li) Detectors,” Revision 1.2, December 2004. Available from Environmental Resources Center, Georgia Institute of Technology, 620 Cherry Street, Atlanta, GA 30332-0335; telephone: (404)894-3776.

        ITEM 33.    Amend subparagraph 42.1(2)"a" as follows:    (1)   Violation of the MCL for total coliforms when fecal coliform or E. coli are present in the water distribution system, as specified in 567—paragraph 41.2(1)“b.”41.2(1)“a.”

        ITEM 34.    Rescind and reserve subparagraph 42.1(2)"a".

        ITEM 35.    Adopt the following new subparagraph 42.1(2)"a":    (11)   Detection of E. coli, enterococci, or coliphage in source water samples, as specified in 567—paragraphs 41.7(3)“a” and 41.7(3)“b.”

        ITEM 36.    Amend subparagraph 42.1(2)"b" as follows:    (2)   Initiate consultation with the department as soon as practical, but no later than 24 hours after the system learns of the violation or situation, to determine additional public notice requirements. For consultation with department staff after normal business hours, the system should contact the department via the Emergency Responsedepartment’s Environmental Emergency Reporting Hotline telephone number (515)281-8694(515)725-8694; and

        ITEM 37.    Amend paragraph 42.1(3)"a" as follows:    a.    Violations and situations which require Tier 2 notice.The following types of violations or situations require Tier 2 public notice:    (1)   All violations of the MCL, MRDL, and treatment technique requirements, except where a Tier 1 notice is required under subrule 42.1(2);    (2)   Violations of the monitoring and testing procedure requirements, where the department determines that a Tier 2 rather than a Tier 3 public notice is required, taking into account potential health impacts and persistence of the violation;     (3)   Failure to comply with the requirements of any compliance schedule prescribed in an operation permit, administrative order, or court order pursuant to 567—subrule 43.2(5); and    (4)   Failure to comply with a health advisory as determined by the department.; and    (5)   Failure to take corrective action or failure to maintain at least 4-log treatment of viruses (using inactivation, removal, or a department-approved combination of 4-log virus inactivation and removal) before or at the first customer under 567—paragraph 41.7(4)“a.”

        ITEM 38.    Amend subparagraph 42.1(3)"b" as follows:    (2)   The public water system must repeat the notice every three months as long as the violation or situation persists, unless the department determines that appropriate circumstances warrant a different repeat frequency. If the department determines that a repeat notice frequency of longer than every three months is allowed, that decision must be made in writing by the departmentand must be on a case-by-case basis. In no circumstance may the repeat notice be given less frequently than once per year. Repeat notices for a total coliform bacteria MCL, a treatment technique violationunder 567—paragraph 41.2(1)“a” or 41.2(1)“l,” or a turbidity treatment technique violationunder rule 567—43.9(455B) or 567—43.10(455B) must be made every three months or more frequently.

        ITEM 39.    Amend subparagraph 42.1(3)"b" as follows:    (3)   A public water system using surface water or influenced groundwater with a treatment technique violation resulting from a single exceedance of the maximum allowable turbidity limit pursuant to rule 567—43.5(455B) or 567—43.9(455B)or 567—43.10(455B) must consult with the department as soon as practical, but no later than 24 hours after the public water system learns of the violation, to determine whether a Tier 1 or Tier 2 public notice is required to protect public health.For consultation with department staff after normal business hours, the system should contact the department via the department’s Environmental Emergency Reporting Hotline telephone number (515)725-8694. If the consultation does not occur within the 24-hour period, the public water system must distribute a Tier 1 notice of the violation within the next 24 hours, or no later than 48 hours after the system learns of the violation, following the requirements of paragraphs 42.1(2)“b” and 42.1(2)“c.”

        ITEM 40.    Amend paragraph 42.1(4)"a" as follows:    a.    Violations and situations which require Tier 3 notice.The following types of violations or situations require Tier 3 public notice:    (1)   Monitoring violations under 567—Chapters 41, 42, and 43, except where a Tier 1 notice is required under subrule 42.1(2) or where the department determines that a Tier 2 notice is required;    (2)   Failure to comply with a testing procedure established in 567—Chapters 41, 42, and 43, except where a Tier 1 notice is required under subrule 42.1(2) or where the department determines that a Tier 2 notice is required;    (3)   Availability of unregulated contaminant monitoring results, as required of certain public water supply systems by CFR Title 40, Part 141.40, as required under paragraph 42.1(7)“a”;    (4)   Exceedance of the fluoride level of 2.0 mg/L and not exceeding the MCL of 4.0 mg/L, as required under paragraph 42.1(7)“b”;    (5)   Failure to report data or analytical results required under 567—Chapters 41, 42, and 43 to the department;    (6)   Failure to meet the requirements of this chapter for public notification, public education, or the development and distribution of the Consumer Confidence Report;     (7)   Failure to retain a certified operator in accordance with 567—subrule 43.1(5) and the department determines that public notification is required; and    (8)   Failure to maintain records required under 567—Chapters 41, 42, and 43; and    (8)   (9)   Any other situation where the department determines public notification is needed.

        ITEM 41.    Rescind rule 567—42.2(455B) and adopt the following new rule in lieu thereof:

    567—42.2(455B) Lead consumer notice and public education for lead action level exceedance.  All CWS and NTNC systems must comply with the lead consumer notice in accordance with 42.2(1). A CWS or NTNC system that exceeds the lead action level based on tap water samples collected in accordance with 567—paragraph 41.4(1)“c” must comply with the public education requirements in accordance with 42.2(2).    42.2(1) Lead consumer notice.  All CWS and NTNC systems must provide a consumer notice of lead tap water monitoring results to persons served at the sites (taps) that are tested as listed in 567—42.2(455B). Any system exceeding the lead action level shall also implement the public education requirements of 42.2(2).    a.    Reporting requirement.All CWS and NTNC systems must provide a notice of the individual tap results from lead tap water monitoring carried out under the requirements of 567—paragraph 41.4(1)“c” to the persons served by the water system at the specific sampling site from which the sample was taken (e.g., the occupants of the residence where the tap was tested).    b.    Timing of notification.A water system must provide the consumer notice as soon as practical, but no later than 30 days after the system learns of the tap monitoring results.    c.    Content of notice.The consumer notice must include the following:    (1)   Results of the lead tap water monitoring for the tap that was tested,     (2)   An explanation of the health effects of lead,     (3)   A list of steps consumers can take to reduce exposure to lead in drinking water,     (4)   Contact information for the water utility, and    (5)   The lead maximum contaminant level goal of 0 mg/L and the 90th percentile lead action level of 0.015 mg/L and the definitions for these two terms from rule 567—40.2(455B).    d.    Delivery of notice.The consumer notice must be provided to persons served at the tap that was tested, either by mail or by another method approved by the department. For example, upon approval by the department, an NTNC system could post the results on a bulletin board in the facility to allow users to review the information. The system must provide the notice to customers at sample taps tested, including consumers who do not receive water bills.    e.    Inclusion of copper results.The system may also include results of copper testing in the notice along with the 90th percentile copper action level of 1.3 mg/L, copper MCLG of 1.3 mg/L, and health effects language.    42.2(2) Lead public education for lead action level exceedance.  A water system that exceeds the lead action level based on tap water samples collected in accordance with 567—paragraph 41.4(1)“c” shall deliver the public education materials contained in 42.2(2)“a” in accordance with 42.2(2)“b.” Water systems that exceed the lead action level must sample the tap water of any customer who requests it in accordance with 42.2(2)“c.”    a.    Content of written public education materials.CWS and NTNC systems must include the following elements in printed materials (e.g., brochures and pamphlets) in the same order as listed in this paragraph. In addition, language in 42.2(2)“a”(1), (2), and (6) must be included in the materials exactly as written, except for the text in brackets in these paragraphs for which the water system must substitute system-specific information. Any additional information presented by a water system must be consistent with the information in 42.2(2)“a” and be in plain language that can be understood by the general public. Water systems must submit all written public education materials to the department prior to delivery. The department may require the system to obtain approval of the content of written public education materials prior to delivery.    (1)   The following information must be included exactly as written. “IMPORTANT INFORMATION ABOUT LEAD IN YOUR DRINKING WATER. [Insert name of water system] found elevated levels of lead in drinking water in some homes/buildings. Lead can cause serious health problems, especially for pregnant women and young children. Please read this information closely to see what you can do to reduce lead in your drinking water.”    (2)   The following information must be included exactly as written. “Health effects of lead. Lead can cause serious health problems if too much enters your body from drinking water or other sources. It can cause damage to the brain and kidneys, and can interfere with the production of red blood cells that carry oxygen to all parts of your body. The greatest risk of lead exposure is to infants, young children, and pregnant women. Scientists have linked the effects of lead on the brain with lowered IQ in children. Adults with kidney problems and high blood pressure can be affected by low levels of lead more than healthy adults. Lead is stored in the bones, and it can be released later in life. During pregnancy, the child receives lead from the mother’s bones, which may affect brain development.”    (3)   Sources of lead. The printed materials must:    1.   Explain what lead is.    2.   Explain possible sources of lead in drinking water and how lead enters drinking water and include information on home/building plumbing materials and service lines that may contain lead.    3.   Discuss other important sources of lead exposure in addition to drinking water (e.g., paint).    (4)   Discuss the steps the consumers can take to reduce their exposure to lead in drinking water as follows:    1.   Encourage running the water to flush out the lead.    2.   Explain concerns with using hot water from the tap and specifically caution against the use of hot water for preparing baby formula.    3.   Explain that boiling the water does not reduce lead levels.    4.   Discuss other options consumers can take to reduce exposure to lead in drinking water, such as alternative sources or treatment of water.    5.   Suggest that parents have their child’s blood tested for lead.    (5)   The printed materials must explain why there are elevated levels of lead in the system’s drinking water (if known) and what the water system is doing to reduce the lead levels in homes/buildings in this area.    (6)   The following information must be included exactly as written. “For more information, call us at [insert your telephone number] or visit our website at [insert your website link here]. For more information on reducing lead exposure around your home/building and the health effects of lead, visit EPA’s website at www.epa.gov/lead or contact your health care provider.”    (7)   Community water systems must also include the following elements:    1.   Tell consumers how to get their water tested.    2.   Discuss lead in plumbing components and the difference between low lead and lead free.    b.    Delivery of public education materials.    (1)   Outreach to non-English speaking consumers. For public water systems serving a large proportion of non-English speaking consumers, as determined by the department, the public education materials must contain information in the appropriate language(s) regarding the importance of the notice or contain a telephone number or address where persons served may contact the water system to obtain a translated copy of the public education materials or to request assistance in the appropriate language.    (2)   Delivery of public education at CWS. A CWS that exceeds the lead action level on the basis of tap water samples collected in accordance with 567—paragraph 41.4(1)“c” and that is not already conducting public education tasks under 42.2(2) must conduct the public education tasks within 60 days of the date of notification of the action level exceedance:    1.   Deliver printed materials meeting the content requirements of 42.2(2)“a” to all bill-paying customers.    2.   Contact customers who are most at risk by delivering education materials that meet the content requirements of 42.2(2)“a” to local public health agencies even if they are not located within the water system’s service area, along with an informational notice that encourages distribution to all the organization’s potentially affected customers or CWS’s users. The water system must contact the local public health agencies directly by phone or in person. The local public health agencies may provide a specific list of additional community-based organizations serving target populations, which may include organizations outside the service area of the water system. If such lists are provided, systems must deliver education materials that meet the content requirement of 42.2(2)“a” to all organizations on the provided lists.    3.   Contact customers who are most at risk by delivering materials that meet the content requirements of 42.2(2)“a” to the following organizations that are located within the water system’s service area, along with an informational notice that encourages distribution to all the organization’s potentially affected customers or community public water supply system’s users:
  • Public and private schools or school boards;
  • Women, Infants, and Children (WIC) and Head Start programs;
  • Public and private hospitals and medical clinics;
  • Pediatricians;
  • Family planning clinics; and
  • Local welfare agencies.
  •     4.   Make a good-faith effort to locate the following organizations within the service area and to deliver to them materials that meet the content requirements of 42.2(2)“a,” along with an informational notice that encourages distribution to all potentially affected customers or users. The good-faith effort to contact at-risk customers may include requesting a specific contact list of these organizations from the local public health agencies, even if the agencies are not located within the water system’s service area:
  • Licensed child care centers;
  • Public and private preschools;
  • Obstetricians, gynecologists, and midwives.
  •     5.   No less often than quarterly, provide information on or in each water bill as long as the system exceeds the action level for lead. The message on the water bill must include the following statement exactly as written except for the text in brackets for which the water system must substitute system-specific information: “[insert name of water system] found high levels of lead in drinking water in some homes. Lead can cause serious health problems. For more information, please call [insert telephone number of water system] or visit [insert your website link here].”The message or delivery mechanisms can be modified in consultation with the department; specifically, the department may allow a separate mailing of public education materials to customers if the water system cannot place the information on water bills.    6.   Post material meeting the content requirements of 42.2(2)“a” on the water system’s website if the system serves a population greater than 100,000.    7.   Submit a press release to newspaper, television, and radio stations.    8.   In addition to including those items previously listed, systems must implement at least three activities from one or more of the following categories. The educational content and selection of these activities must be determined in consultation with the department.
  • Public service announcement;
  • Paid advertisement;
  • Public area information displays;
  • Emails to customers;
  • Public meetings;
  • Household deliveries;
  • Targeted individual customer contact;
  • Direct material distribution to all multifamily homes and institutions; and
  • Other methods approved by the department.
  • For systems that are required to conduct monitoring annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs, or if the department has established an alternate monitoring period, the last day of that period.
        (3)   Continuing public education at a CWS. As long as a CWS exceeds the action level, it must repeat the activities pursuant to 42.2(2)“b”(2) as follows:    1.   A CWS shall repeat the tasks contained in 42.2(2)“b”(2)“1,” “2,” and “8” every 12 months.    2.   A CWS shall repeat the tasks contained in 42.2(2)“b”(2)“5” with each billing cycle.    3.   A CWS serving a population greater than 100,000 shall post and retain material on a publicly accessible website pursuant to 42.2(2)“b”(2)“6.”    4.   A CWS shall repeat the task in 42.2(2)“b”(2)“7” twice every 12 months on a schedule agreed upon with the department. The department can allow activities in 42.2(2)“b”(2) to extend beyond the 60-day requirement if needed for implementation purposes on a case-by-case basis; however, this extension must be approved in writing by the department in advance of the 60-day deadline, and the system must already have initiated public education activities prior to the end of the 60-day deadline.    (4)   Delivery of public education at an NTNC system. Within 60 days of the date of notification of the action level exceedance, an NTNC system shall deliver the public education materials specified as follows:    1.   Post informational posters on lead in drinking water in a public place or common area in each of the buildings served by the system; and    2.   Distribute informational pamphlets or brochures on lead in drinking water to each person served by the nontransient noncommunity water system. The department may allow the system to utilize electronic transmission in lieu of or combined with printed materials as long as at least the same coverage is achieved. If the system serves children 18 years of age and under, such as a school or child care facility, the public education notice must be provided to the parents or legal guardians of the children.For systems that are required to conduct monitoring annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs or, if the department has established an alternate monitoring period, the last day of that period.    (5)   Continuing public education at an NTNC system. An NTNC system shall repeat the tasks contained in 42.2(2)“b”(4) at least once during each calendar year in which the system exceeds the lead action level. The department can allow activities in 42.2(2)“b”(4) to extend beyond the 60-day requirement if needed for implementation purposes on a case-by-case basis; however, this extension must be approved in writing by the department in advance of the 60-day deadline, and the system must already have initiated public education activities prior to the end of the 60-day deadline.    (6)   Discontinuation of public education activities. A CWS or NTNC system may discontinue delivery of public education materials if the system has met the lead action level during the most recent six-month monitoring period conducted pursuant to 567—paragraph 41.4(1)“c.” Such system shall recommence public education in accordance with 42.2(2) if the system subsequently exceeds the lead action level during any monitoring period.    (7)   Special population CWS allowance. A CWS that meets the following criteria may apply to the department in writing for reduced public education and notification requirements:    1.   The CWS is a facility, such as a prison or hospital, where the population served is not capable of or is prevented from making improvements to plumbing or installing point-of-use treatment devices; and    2.   The CWS provides water as part of the cost of services provided and does not separately charge for water consumption.If the department approves the request in writing, the CWS is not required to include the language in 42.2(2)“a”(7) and must deliver the public education in accordance with 42.2(2)“b”(4) and (5), in lieu of 42.2(2)“b”(2) and (3).     (8)   CWS serving 3,300 or fewer people. A CWS serving 3,300 or fewer people may limit certain aspects of its public education programs as follows:    1.   The system must implement at least one of the activities listed in 42.2(2)“b”(2)“8.”    2.   The system may limit the distribution of the public education materials in 42.2(2)“b”(2)“2” and “3” to facilities and organizations served by the system that are most likely to be visited regularly by pregnant women and children.    3.   The department may waive the requirements of 42.2(2)“b”(2)“7” for the system provided the system distributes notices to every household served by the system.
        c.    Supplemental monitoring and notification of results.A water system that fails to meet the lead action level on the basis of tap samples collected in accordance with 567—paragraph 41.4(1)“c” shall offer to sample the tap water of any customer who requests it. The system is not required to pay for collecting or analyzing the sample, nor is the system itself required to collect and analyze the sample.

        ITEM 42.    Adopt the following new subparagraph 42.3(3)"b":    (6)   A report that contains information regarding a Level 1 or Level 2 assessment required under 567—subrule 41.2(1) must include the applicable definitions:    1.   “Level 1 Assessment” is a study of the water system to identify potential problems and determine (if possible) why total coliform bacteria have been found in our water system.    2.   “Level 2 Assessment” is a very detailed study of the water system to identify potential problems and determine (if possible) why an E. coli MCL violation has occurred or why total coliform bacteria have been found in our water system on multiple occasions.

        ITEM 43.    Rescind and reserve numbered paragraph 42.3(3)"c"“6.”

        ITEM 44.    Amend numbered paragraph 42.3(3)"c"“7” as follows:
    1. For fecal coliformE. coli analytical results under 567—subrule 41.2(1), the total number of positive samples.

        ITEM 45.    Amend subparagraph 42.3(3)"f" as follows:    (3)   In order to ensure that tap water is safe to drink, the department prescribes regulations which limit the amount of certain contaminants in water provided by public water systems. The United States Food and Drug Administration regulations establish limits for contaminants in bottled water which must provide the same protection for public heathhealth.

        ITEM 46.    Amend subparagraph 42.3(3)"g" as follows:    (5)   Lead 95th percentile levels above the action level (0.015 mg/L). Systems which detect lead above the action level in more than 5 percent (95th percentile) and up to and including 10 percent (90th percentile) of homes sampled:Lead information statement for all CWS. Every report must include the following lead-specific information:
    1. Must include a short informational statement about the special impact of lead on children using language such as: Infants and young children are typically more vulnerable to lead in drinking water than the general population. It is possible that lead levels at your home may be higher than at other homes in the community as a result of materials used in your home’s plumbing. If you are concerned about elevated lead levels in your home’s water, you may wish to have your water tested and flush your tap for 30 seconds to 2 minutes before using tap water. Additional information is available from the Safe Drinking Water Hotline ((800)426-4791).A short informational statement about lead in drinking water and the effects it has on children. The statement must include the following information: “If present, elevated levels of lead can cause serious health problems, especially for pregnant women and young children. Lead in drinking water is primarily from material and components associated with service lines and home plumbing. [insert name of system] is responsible for providing high quality drinking water, but cannot control the variety of materials used in plumbing components. When your water has been sitting for several hours, you can minimize the potential for lead exposure by flushing your tap for 30 seconds to 2 minutes before using water for drinking or cooking. If you are concerned about lead in your water, you may wish to have your water tested. Information on lead in drinking water, testing methods, and steps you can take to minimize exposure is available from the Safe Drinking Water Hotline (800)426-4791 or at www.epa.gov/safewater/lead.”
    2. MayA system may write its own educational statement, but only in consultation with the department.

        ITEM 47.    Amend paragraph 42.3(3)"h" as follows:    h.    Additional mandatory report requirements.    (1)   The report must include the telephone number of the owner, operator, or designee of the community water system as a source of additional information concerning the report.    (2)   In communities with a large proportion of non-English speaking residents, as determined by the department, the report must contain information in the appropriate language(s) regarding the importance of the report or contain a telephone number or address where such residents may contact the system to obtain a translated copy of the report or assistance in the appropriate language.    (3)   The report must include information (e.g., time and place of regularly scheduled board meetings) about opportunities for public participation in decisions that may affect the quality of the water.    (4)   The systems may include such additional information as they deem necessary for the public education consistent with, and not detracting from, the purpose of the report.    (5)   Systems required to comply with 567—41.7(455B), the groundwater rule, must include the following when applicable:    1.   Any groundwater system that receives notice from the department of a significant deficiency must inform its customers of any significant deficiency that is uncorrected at the time of the next report. The system must continue to inform the public annually until the department determines that particular significant deficiency is corrected. Each report must include the following elements:
  • The nature of the particular significant deficiency and the date the significant deficiency was identified by the department; and
  • For each significant deficiency, the department-approved plan and schedule for correction, including interim measures, progress to date, and any interim measures completed.
  • Only if directed by the department, a system with significant deficiencies that have been corrected before the next report is issued must inform its customers of the significant deficiency, how the deficiency was corrected, and the date of correction.    2.   Any groundwater system that receives notice from the department or laboratory of a fecal indicator-positive groundwater source sample that is not invalidated by the department under 567—paragraph 41.7(3)“d” must inform its customers of any fecal indicator-positive groundwater source sample in the next report. The system must continue to inform the public annually until the department determines that the fecal contamination in the groundwater source is addressed under 567—paragraph 41.7(4)“a.” Each report must include the following elements:
  • The source of the fecal contamination (if the source is known) and the dates of the fecal indicator-positive groundwater source samples;
  • Whether the fecal contamination in the groundwater source has been addressed under 567—paragraph 41.7(4)“a” and the date of such action;
  • For each fecal contamination in the groundwater source that has not been addressed under 567—paragraph 41.7(4)“a,” the department-approved plan and schedule for correction, including interim measures, progress to date, and any interim measures completed; and
  • If the system receives notice of a fecal indicator-positive groundwater source sample that is not invalidated by the department under 567—paragraph 41.7(3)“d,” the potential health effects, using the “Fecal coliform or E. coli” or “Fecal Indicators (enterococci or coliphage)” health effects language of Appendix C in Chapter 42.
  •     (6)   Pursuant to 567—subrule 41.2(1), any system required to comply with the Level 1 assessment requirement or a Level 2 assessment requirement that is not due to an E. coli MCL violation must include in the report the text in 42.3(3)“h”(6)“1” to “3” as appropriate, filling in the blanks accordingly and including the text found in the bulleted paragraphs of 42.3(3)“h”(6)“4” if appropriate.    1.   Coliforms are bacteria that are naturally present in the environment and are used as an indicator that other, potentially harmful, waterborne pathogens may be present or that the potential pathway exists through which contamination may enter the drinking water distribution system. We found coliforms indicating the need to look for potential problems in water treatment or distribution. When this occurs, we are required to conduct assessment(s) to identify problems and to correct any problems that were found during these assessments.    2.   During the past year, we were required to conduct [insert number of required Level 1 assessments] Level 1 assessment(s). [insert number of completed Level 1 assessments] Level 1 assessment(s) were completed. In addition, we were required to take [insert number of required corrective actions] corrective actions, and we completed [insert number of completed corrective actions] of these actions.     3.   During the past year, [insert number of required Level 2 assessments] Level 2 assessments were required to be completed for our water system. [insert number of completed Level 2 assessments] Level 2 assessment(s) were completed. In addition, we were required to take [insert number of required corrective actions] corrective actions, and we completed [insert number of completed corrective actions] of these actions.    4.   Any system that has failed to complete all the required assessments or correct all identified sanitary defects is in violation of the treatment technique requirement and must also include one or both of the following statements, as appropriate:
  • During the past year, we failed to conduct all of the required assessment(s).
  • During the past year, we failed to correct all identified defects that were found during the assessment.
  •     (7)   Pursuant to 567—subrule 41.2(1), any system required to conduct a Level 2 assessment due to an E. coli MCL violation must include in the report the text in 42.3(3)“h”(7)“1” and “2” as appropriate, filling in the blanks accordingly and including the text found in the bulleted paragraphs of 42.3(3)“h”(7)“3” if appropriate.     1.   E. coli are bacteria whose presence indicates that the water may be contaminated with human or animal wastes. Human pathogens in these wastes can cause short-term effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a greater health risk for infants, young children, the elderly, and people with severely compromised immune systems. We found E. coli bacteria, indicating the need to look for potential problems in water treatment or distribution. When this occurs, we are required to conduct assessment(s) to identify problems and to correct any problems that were found during these assessments.     2.   We were required to complete a Level 2 assessment because we found E. coli bacteria in our water system. In addition, we were required to take [insert number of required corrective actions] corrective actions, and we completed [insert number of completed corrective actions] of these actions.    3.   Any system that has failed to complete the required assessment or correct all identified sanitary defects is in violation of the treatment technique requirement and must also include one or both of the following statements, as appropriate:
  • We failed to conduct the required assessment.
  • We failed to correct all sanitary defects that were identified during the assessment that we conducted.
  •     (8)   Pursuant to 567—subrule 41.2(1), if a system detects E. coli and violated the E. coli MCL, in addition to completing the table as required in 42.3(3)“c,” the system must include one or more of the following statements to describe any noncompliance, as applicable:    1.   We had an E. coli-positive repeat sample following a total coliform-positive routine sample.    2.   We had a total coliform-positive repeat sample following an E. coli-positive routine sample.    3.   We failed to take all required repeat samples following an E. coli-positive routine sample.    4.   We failed to test for E. coli when any repeat sample tested positive for total coliform.    (9)   Pursuant to 567—subrule 41.2(1), if a system detects E. coli and has not violated the E. coli MCL, in addition to completing the table as required in 42.3(3)“c,” the system may include a statement that explains that although the system has detected E. coli, the system is not in violation of the E. coli MCL.

        ITEM 48.    Amend paragraph 42.3(4)"c", introductory paragraph, as follows:    c.    Waiver from mailing requirements for systems serving fewer than 10,000 persons.All community public water supply systems with fewer than 10,000 persons served will be granted the waiver, except for those systems which have the following: one or more exceedances of a maximum contaminant level, treatment technique, action level, or health advisory; an administrative order; a court order; significant noncompliance with monitoring or reporting requirements; or an extended compliance schedule contained in the operation permit. Even though a public water supply system has been granted a mailing waiver, subparagraphs 42.3(4)“a”(2) to (4)and (3) and paragraph 42.3(4)“b” still apply to all community public water supply systems. A mailing waiver is not allowed for the report covering the year during which one of the previously listed exceptions occurred. Systems which use the mailing waiver must:

        ITEM 49.    Amend paragraph 42.3(4)"d" as follows:    d.    Waiver from mailing requirements for systems serving 500 or fewer in population.All community public water supply systems serving 500 or fewer persons will be granted the waiver, except for those systems which have the following: one or more exceedances of a maximum contaminant level, treatment technique, action level, or health advisory; an administrative order; a court order; significant noncompliance with monitoring or reporting requirements; or an extended compliance schedule contained in the operation permit. Systems serving 500 or fewer persons which use the waiver may forego the requirements of subparagraphs 42.3(4)“c”(1) and (2) if they provide notice at least once per year to their customers by mail, door-to-door delivery, or by posting that the report is available upon request, in conspicuous places within the area served by the system acceptable to the department. A mailing waiver is not allowed for the report covering the year during which one of the previously listed exceptions occurred. Even though a public water supply system has been granted a mailing waiver, subparagraphs 42.3(4)“a”(2) to (4)and (3) and paragraph 42.3(4)“b” still apply to all community public water supply systems.

        ITEM 50.    Adopt the following new paragraph 42.4(1)"d":    d.    Groundwater rule. Additional reporting requirements for the groundwater rule are listed in 567—paragraph 41.7(6)“a.”

        ITEM 51.    Adopt the following new paragraph 42.4(1)"e":    e.    Coliform rule. Additional reporting requirements for the coliform rule are listed in 567—paragraph 41.2(1)“n.”

        ITEM 52.    Amend subparagraph 42.4(2)"a", introductory paragraph, as follows:    (1)   Except as provided in 42.4(2)“a”(1)“8,” a water system shall report the information specified below for all tap water samples specified in 567—paragraph 41.4(1)“c” and for all water quality parameter samples specified in 567—paragraph 41.4(1)“d” within the first ten days following the end of each applicable monitoring period specified in 567—41.4(455B) (i.e., every six months, annually, or every three years).For monitoring periods with a duration of less than six months, the end of the monitoring period is the last date samples can be collected during that period as specified in 567—paragraphs 41.4(1)“c” and 41.4(1)“d.”

        ITEM 53.    Amend subparagraph 42.4(2)"a", introductory paragraph, as follows:    (2)   Certain systems that do not have enough taps that can provide first-draw samples that have met the six-hour stand time criteria, such as an NTNC that has 24-hour operation or a CWS that meets the criteria of 42.2(4)“g”(1) and (2)42.2(2)“b”(7), must either:

        ITEM 54.    Amend subparagraph 42.4(2)"a" as follows:    (3)   No later than 60 days after the addition of a new source or any change in water treatment, unless the department specifies earlier notificationAt a time specified by the department or, if no specific time is designated by the department, then as early as possible prior to the addition of a new source or any long-term change in water treatment, a water system that has optimized corrosion control under 567—subparagraph 43.7(1)“b”(3), a water system subject to reduced monitoring pursuant to 567—paragraph 41.4(1)“c”(4)“4,” or a water system subject to a monitoring waiver pursuant to 567—subparagraph 41.4(1)“c”(7), shall send written documentation to the department describing the changeor addition.The department must review and approve the addition of a new source or long-term change in treatment before it is implemented by the water system. Examples of long-term treatment changes include the addition of a new treatment process or modification of an existing treatment process. Examples of modifications include the switching of secondary disinfectants, switching of coagulants (e.g., alum to ferric chloride), and switching of corrosion inhibitor products (e.g., orthophosphate to blended phosphate). Long-term changes can include dose changes to existing chemicals if the system is planning long-term changes to its finished water pH or residual inhibitor concentration. Long-term treatment changes would not include chemical dose fluctuations associated with daily water quality changes. In those instances where prior department approval of the treatment change or new source is not required, water systems are encouraged to provide the notification to the department beforehand to minimize the risk that the treatment change or new source will adversely affect optimal corrosion control.

        ITEM 55.    Amend subparagraph 42.4(2)"e" as follows:    (1)   WithinNo later than 12 months afterthe end of a monitoring period in which a system exceeds the lead action level in sampling referred to in 567—paragraph 43.7(4)“a,” the system shall demonstrate in writingmust submit to the department that it has conducted a materials evaluation, including written documentation of thematerial evaluation pursuant to 567—subparagraph 41.4(1)“c”(1),to identify the initial number of lead service lines in its distribution systemat the time the system exceeds the lead action level, and shall provide the department with the system’s schedule for replacing annually at least 7 percent of the initial number of lead service lines in its distribution system.

        ITEM 56.    Amend subparagraph 42.4(2)"e" as follows:    (2)   WithinNo later than 12 months afterthe end of a monitoring period in which a system exceeds the lead action level in sampling referred to in 567—paragraph 43.7(4)“a” and every 12 months thereafter, the system shall demonstrate in writing that the system has either:
    1. Replaced in the previous 12 months at least 7 percent of the initial lead service lines (or a greater number of lines specified by the department under 567—paragraph 43.7(4)“e” in its distribution system), or
    2. Conducted sampling which demonstrates that the lead concentration in all service line samples from individual line(s), taken pursuant to 567—paragraph 41.4(1)“c”(2)“3,” is less than or equal to 0.015 mg/L. In such cases, the total number of lines replaced and those lines which meet the criteria in 567—paragraph 43.7(4)“c” shall equal at least 7 percent of the initial number of lead lines identified under 567—paragraph 43.7(4)“b”42.4(2)“e”(1) or the percentage specified by the department under 567—paragraph 43.7(4)“e.” A lead service line meeting the criteria of 567—paragraph 43.7(4)“c” may only be used to comply with the 7 percent criteria for a specific year, and may not be used again to calculate compliance with the 7 percent criteria in future years.

        ITEM 57.    Amend paragraph 42.4(2)"f" as follows:    f.    Public education program reporting requirements.    (1)   Any water system that is subject to the public education requirements in 567—42.2(455B)42.2(2) shall, within ten days after the end of each period in which the system is required to perform public education tasks in accordance within 42.2(4),with 42.2(2)“b,” send written documentation to the department that contains:
    1. A demonstration that the system has delivered the public education materials that meet the content requirements in 42.2(2) and 42.2(3)42.2(2)“a” and the delivery requirements in 42.2(4)42.2(2)“b”; and
    2. A list of all the newspapers, radio stations, television stations, facilities and organizations to which the system delivered public education materials during the period in which the system was required to perform public education tasks.
        (2)   Unless required by the department, a system that previously has submitted the information required by 42.4(2)“f”(1)“2” need not resubmit the same information, provided there have been no changes in the distribution list and the system certifies that the public education materials were distributed to the same list previously submitted. The certification is due within ten days after the end of each period in which the system is required to perform public education.    (3)   No later than three months following the end of the monitoring period, each system must mail a sample copy of the consumer notification of tap results to the department along with a certification that the notification has been distributed in a manner consistent with the requirements of 42.2(1).

        ITEM 58.    Amend subparagraph 42.4(3)"a" as follows:    (1)   Applicability. Monthly records of operation shall be completed by all public water supplies, on forms provided by the department or on similar forms, unless a public water supply meets all of the following conditions:
    1. Supplies an annual average of not more than 25,000 gpd or serves no more than an average of 250 individuals daily;
    2. Is a community public water supply and does not provide any type of treatment, or is a noncommunity system (NTNC and TNC) which has only a cation-exchange softening or iron/manganese removal treatment unit, and meets the requirements of 42.4(3)“a”(2)“7”;
    3. Does not utilize either a surface water or a groundwater under the direct influence of surface water either in whole or in part as a water source.;
    4. Does not use a treatment technique such as blending to achieve compliance with a maximum contaminant level, treatment technique, action level, or health advisory.
    The reports shall be completed as described in 42.4(3)“a”(2) and maintained at the facility for inspection by the department for a period of five years. For CWS and NTNC PWSs, the monthly operation report must be signed by the certified operator in charge. For TNC PWSs, the monthly operation report, if required by the department, must be signed by the owner or the owner’s designee.All public water supplies using a surface water or influenced groundwater source must also comply with the applicable record-keeping requirements in 567—43.5(455B), 567—43.9(455B), and 567—43.10(455B), and 567—43.11(455B).

        ITEM 59.    Amend paragraph 42.4(3)"b", introductory paragraph, as follows:    b.    Chemical quality and application.Any drinking water system chemical which is added to raw, partially treated, or finished water must be suitable for the intended use in a potable water system. Effective on October 1, 2000, the chemical must be certified to meet the currentby an American National Standards Institute (ANSI) accredited third party for conformance with American National Standards Institute/National Sanitation Foundation (ANSI/NSF) Standard 60, if such certification exists for the particular product, unless certified chemicals are not reasonably available for use, in accordance with guidelines provided by the department. If the chemical is not certified byto meet the ANSI/NSF Standard 60 or no certification is available, the person seeking to supply or use the chemical must prove to the satisfaction of the department that the chemical is not toxic or otherwise a potential hazard in a potable public water supply system.

        ITEM 60.    Amend subparagraph 42.4(3)"b" as follows:    (1)   Continuous disinfection.
    1. When required. Continuous disinfection must be provided at all public water supply systems, except for the following: groundwater supplies that have no treatment facilities or have only fluoride, sodium hydroxide or soda ash addition and that meet the bacterial standards as provided in 567—41.2(455B)567—subrule 41.2(1) and do not show other actual or potential hazardous contamination by microorganisms.For a noncommunity system that only uses a cation-exchange softening unit that meets the requirements of 42.3(4)“a”(7), the requirement for continuous disinfection is based upon the system’s history of both coliform bacteria detection and compliance with the coliform bacteria monitoring requirements as provided in 567—subrule 41.2(1).
    2. Method. Chlorine is the preferred disinfecting agent. Chlorination may be accomplished with liquid chlorine, calcium or sodium hypochlorites or chlorine dioxide. Other disinfecting agents will be considered, provided a residual can be maintained in the distribution system, reliable application equipment is available and testing procedures for a residual are recognized in Standard Methods for the Analysis of Water and Wastewater.
    3. Chlorine residual. A minimum free available chlorine residual of 0.3 mg/L or a minimum total available chlorine residual of 1.5 mg/L must be continuously maintained throughout the water distribution system, except for those points in the distribution system that terminate as dead ends or areas that represent very low use when compared to usage throughout the rest of the distribution system as determined by the department.All systems using water to which chlorine has been added must monitor daily in the distribution system to ensure the minimum disinfectant residual concentration is met, including both wholesale systems and consecutive systems.
    4. Test kit. A test kit capable of measuring free and combined chlorine residuals in increments no greater than 0.1 mg/L in the range below 0.5 mg/L, and in increments no greater than 0.2 mg/L in the range from 0.5 mg/L to 1.0 mg/L, and in increments no greater than 0.3 mg/L in the range from 1.0 mg/L to 2.0 mg/L must be provided at all chlorination facilities. The test kit must use a method of analysis that is recognized in Standard Methods for the Examination of Water and Wastewater.
    5. Leak detection, control and operator protection. A bottle of at least 56 percent ammonium hydroxide must be provided at all gas chlorination installations for leak detection. Leak repair kits must be available where ton chlorine cylinders are used.
    6. Other disinfectant residuals. If an alternative disinfecting agent is approved by this department, the residual levels and type of test kit used will be assigned by the department in accordance with and based upon analytical methods contained in Standard Methods for the Examination of Water and Wastewater.

        ITEM 61.    Amend subparagraph 42.4(3)"c" as follows:    (2)   Disinfection information specified in 567—subrule 43.5(2) and paragraph 42.4(3)“b” must be reported to the department within ten days after the end of each month the system serves water to the public. Information that must be reported includes:
    1. For each day, the lowest measurement of residual disinfectant concentration in mg/L in water entering the distribution system.
    2. The date and duration of each period when the residual disinfectant concentration in water entering the distribution system fell below 0.3 mg/L free residual chlorine or 1.5 mg/L total residual chlorine and when the department was notified of the occurrence. If at any time the residual falls below 0.3 mg/L free residual chlorine or 1.5 mg/L total residual chlorine in the water entering the distribution system, the system must notify the department as soon as possible, but no later than by the end of the next business day. The system also must notify the department by the end of the next business day whether or not the residual was restored to at least 0.3 mg/L free residual chlorine or 1.5 mg/L total residual chlorine within four hours. This requirement is in addition to the monthly reporting requirement, pursuant to 567—43.5(455B).
    3. The information on the samples taken in the distribution system in conjunction with total coliform monitoring listed in 567—paragraph 43.5(2)“d” and pursuant to 567—paragraph 41.2(1)“c.”567—subparagraph 41.2(1)“c”(7).

        ITEM 62.    Adopt the following new subparagraph 42.4(3)"c":    (3)   Total inactivation ratio. The total inactivation ratio must be calculated each day the treatment plant is in operation, pursuant to 567—paragraph 43.5(2)“a,” and reported on the monthly operation report. If the total inactivation ratio is below 1.0, the system must notify the department within 24 hours.

        ITEM 63.    Amend subparagraph 42.4(3)"d", introductory paragraph, as follows:    (3)   Disinfectants. In addition to the requirements in 567—subparagraph 41.2(1)“c”(2)41.2(1)“c”(7), systems must report the information specified in the following table:

        ITEM 64.    Adopt the following new paragraph 42.5(1)"i":    i.    Groundwater rule.Additional record-keeping requirements for the groundwater rule are listed in 567—paragraph 41.7(6)“b.”

        ITEM 65.    Adopt the following new paragraph 42.5(1)"j":    j.    Level 1 and 2 assessment forms and corrective action.These record-keeping requirements pertain to the coliform bacteria requirements in 567—subrule 41.2(1).    (1)   The system must maintain any assessment form, regardless of who conducts the assessment, and documentation of corrective actions completed as a result of those assessments, or other available summary documentation of the sanitary defects and corrective actions taken under 567—paragraph 41.2(1)“m” for department review. This record must be maintained by the system for a period not less than five years after completion of the assessment or corrective action.    (2)   The system must maintain a record of any repeat sample taken that meets department criteria for an extension of the 24-hour period for collecting repeat samples as provided for under 567—paragraph 41.2(1)“j.”

        ITEM 66.    Rescind the “Microbiological Contaminants” section of 567—Chapter 42, Appendix A, and adopt the following new section in lieu thereof:ContaminantStandard Health Effects LanguageMicrobiological ContaminantsColiform assessment and/or corrective action violations, under 567—subrule 41.2(1)Coliforms are bacteria that are naturally present in the environment and are used as an indicator that other potentially harmful waterborne pathogens may be present or that a potential pathway exists through which contamination may enter the drinking water distribution system. We found coliforms indicating the need to look for potential problems in water treatment or distribution. When this occurs, we are required to conduct assessments to identify problems and to correct any problems that are found. [THE SYSTEM MUST INCLUDE THE FOLLOWING APPLICABLE SENTENCES]
  • We failed to conduct the required assessment.
  • We failed to correct all identified sanitary defects that were found during the assessment(s).
  • E. coliE. coli are bacteria whose presence indicates that the water may be contaminated with human or animal wastes. Human pathogens in these wastes can cause short-term effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a greater health risk for infants, young children, the elderly, and people with severely compromised immune systems.E. coli assessment and/or corrective action violations, under 567—subrule 41.2(1)E. coli are bacteria whose presence indicates that the water may be contaminated with human or animal wastes. Human pathogens in these wastes can cause short-term effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a greater health risk for infants, young children, the elderly, and people with severely compromised immune systems. We violated the standard for E. coli, indicating the need to look for potential problems in water treatment or distribution. When this occurs, we are required to conduct a detailed assessment to identify problems and to correct any problems that are found. [THE SYSTEM MUST INCLUDE THE FOLLOWING APPLICABLE SENTENCES]
  • We failed to conduct the required assessment.
  • We failed to correct all identified sanitary defects that were found during the assessment(s).
  • Seasonal system treatment technique violation
  • When this violation includes the failure to monitor for total coliforms or E. coli prior to serving water to the public, the mandatory language for monitoring violation in 42.1(5)“c”(2) must be used.
  • When this violation includes failure to complete other actions, the appropriate elements found in 42.1(5)“c” to describe the violation must be used.
  • Fecal indicators for the groundwater rule (E. coli, enterococci, and coliphage)Fecal indicators are microbes whose presence indicates that the water may be contaminated with human or animal wastes. Microbes in these wastes can cause short-term health effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a special health risk for infants, young children, some of the elderly, and people with severely compromised immune systems.

        ITEM 67.    Adopt the following new “Groundwater Treatment Technique Requirements” section in 567—Chapter 42, Appendix A, after “Microbiological Contaminants” section:ContaminantStandard Health Effects LanguageGroundwater Treatment Technique RequirementsGroundwater rule treatment technique violationsInadequately treated or inadequately protected water may contain disease-causing organisms. These organisms can cause symptoms such as diarrhea, nausea, cramps, and associated headaches.

        ITEM 68.    Rescind the “Bacteria” section of 567—Chapter 42, Appendix C, and adopt the following new “Microbiological Contaminants” section in lieu thereof:    Contaminant(CCR units)MCL, in mg/LTo convert for CCR, multiply by    MCLin CCR units    MCLGin CCR unitsMajor sources in drinking waterHealth effects languageMicrobiological ContaminantsTotal coliform bacteriaTTTTn/aNaturally present in the environmentColiforms are bacteria that are naturally present in the environment and are used as an indicator that other, potentially harmful, waterborne pathogens may be present or that a potential pathway exists through which contamination may enter the drinking water distribution system.E. coliRoutine and repeat samples are total coliform-positive and either is E. coli-positive, or system fails to take repeat samples following E. coli-positive routine sample, or system fails to analyze total coliform-positive repeat sample for E. coliRoutine and repeat samples are total coliform- positive and either is E. coli-positive, or system fails to take repeat samples following E. coli-positive routine sample, or system fails to analyze total coliform- positive repeat sample for E. coli0Human and animal fecal wasteE. coli are bacteria whose presence indicates that the water may be contaminated with human or animal wastes. Human pathogens in these wastes can cause short-term effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a greater health risk for infants, young children, the elderly, and people with severely compromised immune systems.Fecal indicators (enterococci or coliphage)TTTTn/aHuman and animal fecal wasteFecal indicators are microbes whose presence indicates that the water may be contaminated with human or animal wastes. Microbes in these wastes can cause short-term health effects, such as diarrhea, cramps, nausea, headaches, or other symptoms. They may pose a special health risk for infants, young children, some of the elderly, and people with severely compromised immune systems.

        ITEM 69.    Amend subrule 43.1(7) as follows:    43.1(7) Sanitary surveys.  Each public water supply system must have a periodic sanitary survey, conducted by the department or its designee, which is a records review and on-site inspection of the system.Systems must provide the department, at its request, any existing information that will enable the department to conduct the sanitary survey. The inspection evaluates the system’s ability to produce and distribute safe drinking water and identifies improvements necessary to maintain or improve drinking water quality. The sanitary survey includes review and inspection of the following areas: water source;treatment facilities (treatment, storage, distribution system);distribution system; finished water storage; pumps, pump facilities, controls and other equipment;monitoring, reporting, and data verification, including self-monitoring requirements; system operation and management; maintenance; self-monitoring requirements; properly certified operators; and records. A report of the sanitary survey is issued by the departmentor its designee, and may include both enforceable required actions for remedying significant deficiencies and nonenforceable recommended actions. The frequency of the sanitary survey inspection must be at least once every five years for noncommunity systems,and once every fivethree years for community systems using groundwater, and once every three years for community systems using surface water or influenced groundwater sources.The department or its designee must provide the system with a written notice describing any significant deficiencies identified no later than 30 days after the department identifies the significant deficiency. The notice may be included in the sanitary survey report and may specify corrective actions and deadlines for completion of corrective actions. Systems must respond in writing to significant deficiencies outlined in the sanitary survey reportor written notice within the time period specified in the report, indicating how and on what schedule the system will address significant deficiencies noted in the survey. At a maximum, the written response must be received within 4530 days of receiving the survey report. All systems must take the steps necessary to address significant deficiencies identified in the sanitary survey report that are within the control of the system and its governing body.

        ITEM 70.    Amend paragraph 43.3(2)"a", introductory paragraph, as follows:    a.    The standards for a project are the Ten States Standards as adopted through 20072012 and the American Water Works Association (AWWA) Standards as adopted through 20102016 and 43.3(7) to 43.3(9). To the extent of any conflict between the Ten States Standards and the American Water Works Association Standards and 43.3(7) to 43.3(9), the Ten States Standards, 43.3(2), and 43.3(7) to 43.3(9) shall prevail. Additional standards include the following:

        ITEM 71.    Amend subparagraph 43.3(7)"c" as follows:    (2)   Groundwater sources. Water samples collected from groundwater sources in accordance with 43.3(7)“c”(1) shall be conducted at the conclusion of the drawdown/yield test pumping procedure, with the exception of bacteriological monitoring. Bacteriological monitoring must be conducted after disinfection of each new well and subsequent pumping of the chlorinated water to waste.Water samples must be analyzed for ammonia. Water samples should also be analyzed for alkalinity, ammonia, pH, calcium, chloride, copper, hardness, iron, magnesium, manganese, potassium, silica, specific conductance, sodium, sulfate, filterable and nonfilterable solids, and zinc.

        ITEM 72.    Amend subparagraph 43.3(7)"c" as follows:    (3)   Surface water sources. Water samples collected from surface water sources in accordance with 43.3(7)“c”(1) should be collected prior to the design of the surface water treatment facility and shall be conducted and analyzed prior to utilization of the source. The samples shall be collected during June, July, and August. In addition, quarterly monitoring shall be conducted in March, June, September, and December at a location representative of the raw water at its point of withdrawal. Monitoring shall be for turbidity, alkalinity, pH, calcium, chloride, color, copper, hardness, iron, magnesium, manganese, potassium, silica, specific conductance, sodium, sulfate, filterable and nonfilterable solids, carbonate, bicarbonate, algae (qualitative and quantitative), total organic carbon, five-day biochemical oxygen demand, dissolved oxygen, surfactants, nitrogen series (organic, ammonia, nitrite, and nitrate), and phosphate.TABLE A: SEPARATION DISTANCESSOURCE OF CONTAMINATION    REQUIRED MINIMUMLATERAL DISTANCE FROM WELLAS HORIZONTAL ON THE GROUND SURFACE,IN FEETDeep Well1Shallow Well1    WASTEWATER STRUCTURES:    Point of Discharge to Ground Surface    Sanitary & industrial discharges    400    400    Water treatment plant wastes    50    50    Well house floor drains    5    5    Sewers & Drains2    Sanitary & storm sewers, drains    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer pipe    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer main pipe    Sewer force mains    0 – 75 feet: prohibited75 – 400 feet if water main pipe400 – 1000 feet if water main or sanitary sewer pipe    0 – 75 feet: prohibited75 – 400 feet if water main pipe400 – 1000 feet if water main or sanitary sewer main pipe    Water plant treatment process wastes that are treated onsite     0 – 5 feet: prohibited5 – 50 feet if sanitary sewer pipe    0 – 5 feet: prohibited5 – 50 feet if sanitary sewer main pipe    Water plant wastes to sanitary sewer    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer pipe    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer main pipe    Well house floor drains to sewers    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer pipe    0 – 25 feet: prohibited25 – 75 feet if water main pipe75 – 200 feet if sanitary sewer main pipe    Well house floor drains to surface    0 – 5 feet: prohibited5 – 50 feet if sanitary sewer pipe    0 – 5 feet: prohibited5 – 50 feet if sanitary sewer main pipe    Land Disposal of Treated Wastes    Irrigation of wastewater    200    400    Land application of solid wastes3    200    400    Other    Cesspools & earth pit privies    200    400    Concrete vaults & septic tanks    100    200    Lagoons    400    1000    Mechanical wastewater treatment plants    200    400    Soil absorption fields    200    400    CHEMICALS:    Chemical application to ground surface    100    200    Chemical & mineral storage above ground    100    200    Chemical & mineral storage on or under ground    200    400    Transmission pipelines (such as fertilizer, liquid petroleum, or anhydrous ammonia)    200    400    ANIMALS:    Animal pasturage    50    50    Animal enclosure    200    400    Earthen silage storage trench or pit    100    200    Animal Wastes    Land application of liquid or slurry    200    400    Land application of solids    200    400    Solids stockpile    200    400    Storage basin or lagoon    400    1000    Storage tank    200    400    MISCELLANEOUS:    Basements, pits, sumps    10    10    Cemeteries    200    200    Cisterns    50    100    Flowing streams or other surface water bodies    50    50    GHEX loop boreholes    200    200    Railroads    100    200    Private wells    200    400    Solid waste landfills and disposal sites4    1000    1000 1Deep and shallow wells, as defined in 567—40.2(455B): A deep well is a well located and constructed in such a manner that there is a continuous layer of low permeability soil or rock at least 5 feet thick located at least 25 feet below the normal ground surface and above the aquifer from which water is to be drawn. A shallow well is a well located and constructed in such a manner that there is not a continuous layer of low permeability soil or rock (or equivalent retarding mechanism acceptable to the department) at least 5 feet thick, the top of which is located at least 25 feet below the normal ground surface and above the aquifer from which water is to be drawn. 2The separation distances are dependent upon two factors: the type of piping that is in the existing sewer or drain, as noted in the table, and that the piping was properly installed in accordance with the standards. 3Solid wastes are those derived from the treatment of water or wastewater. Certain types of solid wastes from water treatment processes may be land-applied within the separation distance on an individual, case-by-case basis. 4Solid waste means garbage, refuse, rubbish, and other similar discarded solid or semisolid materials, including but not limited to such materials resulting from industrial, commercial, agricultural, and domestic activities.

        ITEM 73.    Amend subrule 43.3(8) as follows:    43.3(8) Drinking water system components.  Any drinking water system component which comes into contact with raw, partially treated, or finished water must be suitable for the intended use in a potable water system. The component must meet the currentbe certified by an American National Standards Institute (ANSI) accredited third party for conformance with American National Standards Institute/National Sanitation Foundation (ANSI/NSF) Standard 61 specifications, if such specification exists for the particular product, unless approved components are not reasonably available for use, in accordance with guidance provided by the department. If the component does not meet the ANSI/NSF Standard 61 specifications or no specification is available, the person seeking to supply or use the component must prove to the satisfaction of the department that the component is not toxic or otherwise a potential hazard in a potable public water supply system.

        ITEM 74.    Amend subparagraph 43.3(10)"b", introductory paragraph, as follows:    (1)   Inorganic compounds. The department identifies the following as the best technology, treatment techniques, or other means available for achieving compliance with the maximum contaminant levels for the inorganic contaminants listed in 567—paragraph 41.3(1)“b,” except arsenic and fluoride.

        ITEM 75.    Amend paragraph 43.5(2)"a" as follows:    a.    Disinfection treatment criteria.The disinfection treatment must be sufficient to ensure that the total treatment processes of that system achieve at least 99.9 percent (3-log) inactivation or removal of Giardia lamblia cysts and at least 99.99 percent (4-log) inactivation or removal of viruses, acceptable to the department. At least 0.5 log inactivation of Giardia lamblia cysts must be achieved through disinfection treatmentusing a chemical disinfectant even if the required inactivation or removal is met or exceeded through physical treatment processes. Each system is required to calculate the total inactivation ratio (CT calculated /CT required ) each day the treatment plant is in operation. The system’s total inactivation ratio must be equal to or greater than 1.0 in order to ensure that the minimum inactivation and removal requirements have been achieved.If the system’s total inactivation ratio for the day is below 1.0, the system must notify the department within 24 hours.

        ITEM 76.    Amend subparagraph 43.5(4)"a" as follows:    (1)   Turbidity analytical methodology. Turbidity analysis shall be conducted using the following methodology:methodology in the following table. Each turbidimeter must be calibrated at least once every 90 days with a primary standard. The calibration of each turbidimeter used for compliance must be verified at least once per week with a primary standard, secondary standards, or the manufacturer’s proprietary calibration confirmation device or by a method approved by the department. If the verification is not within plus or minus 0.05 NTU for measurements of less than or equal to 0.5 NTU, or within plus or minus 10 percent of measurements greater than 0.5 NTU, the turbidimeter must be recalibrated.Analytical MethodMethodologyEPASMGLIHACHOtherNephelometric5180.112130B2Method 23FilterTrak 101334Laser Nephelometry (online)Mitchell M52716; Mitchell M5331 Rev. 1.210LED Nephelometry (online)Mitchell M53317; Mitchell M5331 Rev. 1.210; AMI Turbiwell9LED Nephelometry (portable)Orion AQ45008360-degree NephelometryHach Method 1025811 1“Methods for the Determination of Inorganic Substances in Environmental Samples,” EPA-600/R-93-100, August 1993. Available at NTIS, PB94-121811. 2Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992, 19th edition, 1995, or 20th edition, 1998, 21st edition, 2005, and 22nd edition, 2012 (any of the threethese editions may be used), American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 3GLI Method 2, “Turbidity,” November 2, 1992, Great Lakes Instruments, Inc., 8855 North 55th Street, Milwaukee, WI 53223. 4Hach FilterTrak Method 10133, “Determination of Turbidity by Laser Nephelometry,” January 2000, Revision 2.0, Hach Co., P.O. Box 389, Loveland, CO 80539-0389, telephone (800)227-4224. 5Styrene divinyl benzene beads (e.g., AMCO-AEPA-1 or equivalent) and stabilized formazin (e.g., Hach StablCalTM or equivalent) are acceptable substitutes for formazin. 6Mitchell Method M5271, Revision 1.1. “Determination of Turbidity by Laser Nephelometry,” March 5, 2009. Available at www.nemi.gov or from Leck Mitchell, 656 Independence Valley Drive, Grand Junction, CO 81507. 7Mitchell Method M5331, Revision 1.1. “Determination of Turbidity by LED Nephelometry,” March 5, 2009. Available at www.nemi.gov or from Leck Mitchell, 656 Independence Valley Drive, Grand Junction, CO 81507. 8Orion Method AQ4500, Revision 1.0. “Determination of Turbidity by LED Nephelometry,” May 8, 2009. Available at www.nemi.gov or from Thermo Scientific, 166 Cummings Center, Beverly, MA 01915, www.thermo.com. 9AMI Turbiwell, “Continuous Measurement of Turbidity Using a SWAN AMI Turbiwell Turbidimeter,” August 2009. Available at www.nemi.gov or from Markus Bernasconi, SWAN Analytische Instrumente AG, Studbachstrasse 13, CH-8340 Hinwil, Switzerland. 10Mitchell Method M5331, Revision 1.2. “Determination of Turbidity by LED or Laser Nephelometry,” February 2016. Available from Leck Mitchell, 656 Independence Valley Drive, Grand Junction, CO 81507. 11Hach Company. “Hach Method 10258 – Determination of Turbidity by 360-Degree Nephelometry,” January 2016. Available at www.hach.com.

        ITEM 77.    Amend subparagraph 43.5(4)"a" as follows:    (5)   Residual disinfectant analytical methodology. The residual disinfectant concentrations shall be determined in compliance with one of the analytical methods in the following table. Residual disinfectant concentrations for free chlorine and combined chlorine may also be measured by using DPD colorimetric test kits. Free and total chlorine residuals may be measured continuously by adapting a specified chlorine residual method for use with a continuous monitoring instrument provided the chemistry, accuracy and precision remain the same. Instruments used for continuous monitoring must be calibratedverified with a grab sample measurement at least every fiveseven days.The analyzer concentration must be within plus or minus 0.1 mg/L or plus or minus 15 percent (whichever is larger) of the grab sample measurement. If the verification is not within this range, immediate actions must be taken to resolve the issue and another verification must be conducted.Disinfectant Analytical MethodologyResidualMethodologyStandard Methods1,2Standard Methods Online6OtherFree chlorineAmperometric Titration4500-Cl D4500-Cl D-00D1253-034, 08, 14DPD Ferrous Titrimetric4500-Cl F4500-Cl F-00DPD Colorimetric4500-Cl G4500-Cl G-00Hach Method 1026010Syringaldazine (FACTS)4500-Cl H4500-Cl H-00Online Chlorine AnalyzerEPA 334.07Amperometric SensorChloroSense8Indophenol ColorimetricHach Method 1024111Total chlorineAmperometric Titration4500-Cl D4500-Cl D-00D1253-034, 08, 14Amperometric Titration (low-level measurement)4500-Cl E4500-Cl E-00DPD Ferrous Titrimetric4500-Cl F4500-Cl F-00DPD Colorimetric4500-Cl G4500-Cl G-00Hach Method 1026010Iodometric Electrode4500-Cl I4500-Cl I-00Online Chlorine AnalyzerEPA 334.07Amperometric SensorChloroSense8Chlorine dioxideAmperometric Titration4500-ClO2 C4500-C102 C-00DPD Method4500-ClO2 DAmperometric Titration4500-ClO2 E4500-C102 E-00Amperometric SensorChlordioX Plus9Spectrophotometric327.0, Revision 1.15OzoneIndigo method4500-O3 B34500-O3 B-97 1Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992, 19th edition, 1995, or 20th edition, 1998, 21st edition, 2005, or 22nd edition, 2012 (any of the threethese editions may be used), American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710.Only the 18th, 19th, and 20th editions may be used for chlorine dioxide Method 4500-ClO2 D. 2Other analytical test procedures are contained within Technical Notes on Drinking Water Methods, EPA-600/R- 94-173, October 1994, which is available as NTIS PB95-104766. 3Standard Methods for the Examination of Water and Wastewater, 18th edition (1992),and 19th edition (1995),21st edition (2005), and 22nd edition (2012) (eitherany edition may be used); American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710. 4Annual Book of ASTM Standards, Vol. 11.01, 2004; ASTM International; any year containing the cited version of the method may be used. Copies of this method may be obtained from ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959. 5EPA Method 327.0, Revision 1.1, “Determination of Chlorine Dioxide and Chlorite Ion in Drinking Water Using Lissamine Green B and Horseradish Peroxidase with Detection by Visible Spectrophotometry,” US EPA, May 2005, EPA 815-R-05-008. Available online at www.nemi.gov. 6Standard Methods Online is available at www.standardmethods.org. The year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that may be used. 7EPA Method 334.0, “Determination of Residual Chlorine in Drinking Water Using an On-Line Chlorine Analyzer,” August 2009. EPA 815-B-09-013. Available at www.nemi.gov. 8ChloroSense, “Measurement of Free and Total Chlorine in Drinking Water by Palintest ChloroSense,” September 2009. Available at www.nemi.gov or from Palintest Ltd., 21 Kenton Lands Road, P.O. Box 18395, Erlanger, KY 41018. 9ChlordioX Plus. “Chlorine Dioxide and Chlorite in Drinking Water by Amperometry Using Disposable Sensors,” November 2013. Available from Palintest Ltd., Jamike Avenue (Suite 100), Erlanger, KY 41018. 10Hach Company. “Hach Method 10260 – Determination of Chlorinated Oxidants (Free and Total) in Water Using Disposable Planar Reagent-Filled Cuvettes and Mesofluidic Channel Colorimetry,” April 2013. Available at www.hach.com. 11Hach Company. “Hach Method 10241 – Spectophotometric Measurement of Free Chlorine in Finished Drinking Water,” November 2015, Revision 1.2. Available at www.hach.com.

        ITEM 78.    Amend paragraph 43.5(4)"b", introductory paragraph, as follows:    b.    Monitoring requirements.A public water system that uses a surface water source or groundwater source under the influence of surface water must monitor in accordance with this paragraph or some interim requirements required by the department, until filtration is installed.

        ITEM 79.    Amend subparagraph 43.5(4)"b" as follows:    (1)   Turbidity.
    1. Routine turbidity monitoring requirements. Turbidity measurements as required by 43.5(3) must be performed on representative samples of the system’s filtered water every four hours (or more frequentlyas long as measurements are recorded at equal time intervals and detailed in the turbidity protocol) that the system serves water to the public. A public water system may substitute continuous turbidity monitoring for grab sample monitoringor may monitor more frequently than every four hours if it validates the continuous measurement for accuracy on a regular basis using a calibrationturbidity protocol approved by the department and audited for compliance during sanitary surveys. Major elements of the protocol shall include, but are not limited to:sample measurement location, method of calibration, calibration frequency, calibration standards,method of verification, verification frequency, documentation, data collection, data recording frequency, and data reporting. For any systems using slow sand filtration or filtration treatment other than conventional treatment, direct filtration, or diatomaceous earth filtration, the department may reduce the sampling frequency to once per day if it determines that less frequent monitoring is sufficient to indicate effective filtration performance. For systems serving 500 or fewer persons, the department may reduce the turbidity sampling frequency to once per day, regardless of the type of filtration treatment used, if the department determines that less frequent monitoring is sufficient to indicate effective filtration performance. Approval shall be based upon documentation provided by the system, acceptable to the department and pursuant to the conditions of an operation permit.
    2. Turbidity monitoring requirements for population greater than 100,000. A supplier of water serving a population or population equivalent of greater than 100,000 persons shall provide a continuous or rotating cycle turbidity monitoring and recording device or take hourly grab samples to determine compliance with 43.5(3).The system must meet the requirements in 43.5(4)“b”(1)“1,” including the turbidity protocol.
    1. Failure of the continuous turbidity monitoring equipment. If there is a failure in the continuous turbidity monitoring equipment, the system must conduct grab sampling every four hours in lieu of continuous monitoring until the turbidimeter is repaired and back online. A system has a maximum of five working days after failure to repair the equipment or else the system is in violation. The system must notify the department within 24 hours of both when the turbidimeter was taken offline and when it was returned online.

        ITEM 80.    Amend numbered paragraph 43.5(4)"b"“2” as follows:
    1. Residual disinfectant in the system. The residual disinfectant concentration must be measured at least daily in the distribution system. Residual disinfectant measurements that are required as part of the total coliform bacteria sample collection under 567—paragraph 41.2(1)“c”567—subparagraph 41.2(1)“c”(7) shall be used to satisfy this requirement on the day(s) when a bacteria sample(s) is collected. The department may allow a public water system that uses both a groundwater source and a surface water source or a groundwater source under direct influence of surface water to take residual disinfectant samples at points other than the total coliform sampling points, if these points are included as a part of the coliform sample site plan meeting the requirements of 567—paragraph 41.2(1)“c”(1)“1” and if the department determines that such points are representative of treated (disinfected) water quality within the distribution system. Heterotrophic plate count bacteria (HPC) may be measured in lieu of residual disinfectant concentration, using Method 9215B, Pour Plate Method, Standard Methods for the Examination of Water and Wastewater, 18th edition, 1992the analytical methods specified in 567—subparagraph 41.2(3)“e”(1). The time from sample collection to initiation of analysis shall not exceed eight hours. SamplesHPC samples must be kept below 10 degrees C during transit to the laboratory. AllHPC samples must be analyzed by a department-certified laboratory meeting the requirements of 567—Chapter 83.

        ITEM 81.    Adopt the following new paragraph 43.5(5)"e":    e.    Total inactivation ratio below 1.0.If the system’s total inactivation ratio for the day is below 1.0, the system must notify the department within 24 hours.

        ITEM 82.    Amend subparagraph 43.6(1)"d" as follows:    (1)   Analytical methods. Systems must measure residual disinfectant concentrations for free chlorine, combined chlorine (chloramines), and chlorine dioxide by the methods listed in the following table:Approved Methods for Residual Disinfectant Compliance MonitoringMethodologyStandard MethodsOther MethodResidual measured1    FreeChlorineCombined Chlorine    TotalChlorineChlorine DioxideAmperometric Titration 4500-Cl DASTM: D 1253-86 (96), 03, 08, 14XXXLow Level Amperometric Titration 4500-Cl EXDPD Ferrous Titrimetric 4500-Cl FXXXDPD Colorimetric 4500-Cl GHach Method 102604XXXSyringaldazine (FACTS) 4500-Cl HXAmperometric SensorChloroSense3XXOnline Chlorine AnalyzerEPA 334.02XXIndophenol ColorimetricHach Method 102416XXXIodometric Electrode 4500-Cl IXDPD 4500-ClO2 DXAmperometric Method II 4500-ClO2 EXLissamine Green SpectrophotometricEPA: 327.0 Rev. 1.1XAmperometric SensorChlordioX Plus5X The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the following documents was approved by the Director of the Federal Register on February 16, 1999, in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street, SW, Washington, DC 20460 (telephone: (202)260-3027); or at the Office of Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC 20408. The following method is available from the American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428: Annual Book of ASTM Standards, Volume 11.01, American Society for Testing and Materials, 1996: Method D 1253-86. The following methods are available from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710: Standard Methods for the Examination of Water and Wastewater, 19th and(1995), 20th(1998), 21st (2005), and 22nd (2012) editions, American Public Health Association, 1995 and 1998, respectively (both editions are acceptable): Methods: 4500-Cl D, 4500-Cl E, 4500-Cl F, 4500-Cl G, 4500-Cl H, 4500-Cl I, 4500-ClO2 D, 4500-ClO2 E.Only the 19th and 20th editions may be used for the chlorine dioxide Method 4500-ClO2 D. The following methods are available from the National Technical Information Service, U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161 (telephone: (800)553-6847): “Determination of Chlorine Dioxide and Chlorite Ion in Drinking Water Using Lissamine Green B and Horseradish Peroxidase with Detection by Visible Spectrophotometry, Revision 1.1,” USEPA, May 2005, EPA 815-R-05-008. 1 X indicates method is approved for measuring specified residual disinfectant. Free chlorine or total chlorine may be measured for demonstrating compliance with the chlorine MRDL, and combined chlorine or total chlorine may be measured for demonstrating compliance with the chloramine MRDL. 2EPA Method 334.0, “Determination of Residual Chlorine in Drinking Water Using an On-Line Chlorine Analyzer,” August 2009. EPA 815-B-09-013. Available at www.epa/gov/safewater/methods/analyticalmethods_ogwdw.html. 3ChloroSense, “Measurement of Free and Total Chlorine in Drinking Water by Palintest ChloroSense,” September 2009. Available at www.nemi.gov or from Palintest Ltd., 21 Kenton Lands Road, P.O. Box 18395, Erlanger, KY 41018. 4Hach Method 10260, “Determination of Chlorinated Oxidants (Free and Total) in Water Using Disposable Planar Reagent-Filled Cuvettes and Mesofluidic Channel Colorimetry,” April 2013. Available at Hach Company, P.O. Box 389, Loveland, CO 80539, or www.hach.com. 5ChlordioX Plus. “Chlorine Dioxide and Chlorite in Drinking Water by Amperometry Using Disposable Sensors,” November 2013. Available from Palintest Ltd., Jamike Avenue (Suite 100), Erlanger, KY 41018. 6Hach Company. “Hach Method 10241 – Spectrophotometric Measurement of Free Chlorine in Finished Drinking Water,” November 2015, Revision 1.2. Available at www.hach.com.

        ITEM 83.    Amend subparagraph 43.6(2)"c" as follows:    (1)   Analytical methods. Systems required to monitor disinfectant byproduct precursors must use the following methods, which must be conducted by a certified laboratory pursuant to 567—Chapter 83, unless otherwise specified.Approved Methods for Disinfection Byproduct Precursor Monitoring1AnalyteMethodologyEPA    StandardMethodsASTMOtherAlkalinity6Titrimetric 2320B D 1067-92BElectrometric titration I-1030-85BromideIon chromatography300.0300.1317.0 Rev. 2.0326.0D 6581-00Dissolved Organic Carbon2(DOC)    High temperature combustion415.3 Rev. 1.2 5310B or 5310B-00Persulfate-UV or heated-persulfate oxidation415.3 Rev. 1.2 5310C or 5310C-00Wet oxidation415.3 Rev. 1.1, 415.3 Rev. 1.2 5310D or 5310D-00pH3Electrometric150.1 4500-H+-B D 1293-84150.2Specific Ultraviolet Absorbance (SUVA)Calculation using DOC and UV254 data415.3 Rev. 1.2Total Organic Carbon4    High temperature combustion415.3 Rev. 1.2 5310B or 5310B-00Persulfate-UV or heated-persulfate oxidation415.3 Rev. 1.2 5310C or 5310C-00Hach Method 102677Wet oxidation415.3 Rev. 1.1, 415.3 Rev. 1.2 5310D or 5310D-00Ozone OxidationHach Method 102618    Ultraviolet Absorption at 254 nm5UV absorptionSpectrophotometry415.3 Rev. 1.1, 415.3 Rev. 1.2 5910B or 5910B-00, 11 1 The procedures shall be done in accordance with the documents listed below. The incorporation by reference of the following documents was approved by the Director of the Federal Register on February 16, 1999, in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Copies of the documents may be obtained from the sources listed below. Information regarding obtaining these documents can be obtained from the Safe Drinking Water Hotline at (800)426-4791. Documents may be inspected at EPA’s Drinking Water Docket, 401 M Street SW, Washington, DC 20460 (telephone: (202)260-3027); or at the Office of Federal Register, 800 North Capitol Street NW, Suite 700, Washington, DC 20408. The following methods are available from the American Society for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428: Annual Book of ASTM Standards, Volume 11.01, American Society for Testing and Materials, 1996: Method D 1067-92B and Method D 1293-84. Annual Book of ASTM Standards, Volume 11.01, American Society for Testing and Materials, 2001 (or any year containing the cited version): Method D 6581-00. The following methods are available from the National Technical Information Service, U.S. Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161 (telephone: (800)553-6847): “Determination of Inorganic Anions in Drinking Water by Ion Chromatography, Revision 1.0,” EPA-600/R-98/118, 1997 (NTIS, PB98-169196): Method 300.1. Methods for Chemical Analysis of Water and Wastes, EPA-600/4-79-020, March 1983, (NTIS PB84-128677): Methods 150.1 and 150.2. Methods for the Determination of Inorganic Substances in Environmental Samples, EPA-600/R-93/100, August 1993, (NTIS PB94-121811): Method 300.0. “Determination of Inorganic Oxyhalide Disinfection By-Products in Drinking Water Using Ion Chromatography with the Addition of a Postcolumn Reagent for Trace Bromate Analysis, Revision 2.0,” USEPA, July 2001, EPA 815-B-01-001: Method 317.0. “Determination of Inorganic Oxyhalide Disinfection By-Products in Drinking Water Using Ion Chromatography Incorporating the Addition of a Suppressor Acidified Postcolumn Reagent for Trace Bromate Analysis, Revision 1.0,” USEPA, June 2002, EPA 815-R-03-007: Method 326.0. “Determination of Total Organic Carbon and Specific UV Absorbance at 254 nm in Source Water and Drinking Water, Revision 1.1,” USEPA, February 2005, EPA/600/R-05/055: Method 415.3 Revision 1.1. “Determination of Total Organic Carbon and Specific UV Absorbance at 254 nm in Source Water and Drinking Water, Revision 1.2,” USEPA, September 2009, EPA/600/R-09/122: Method 415.3 Revision 1.2. The following methods are available from the American Public Health Association, 1015 Fifteenth Street NW,800 I Street, NW, Washington, DC 2000520001-3710: Standard Methods for the Examination of Water and Wastewater, 19th edition(1995), 21st (2005), and 22nd (2012) editions, American Public Health Association, 1995: Methods: 2320B (20th edition, 1998, is also accepted for this method), 4500-H+-B, and 5910B(22nd edition, 2012, is also accepted for this method). Standard Methods for the Examination of Water and Wastewater, Supplement to the 19th edition(1996), 21st (2005), and 22nd editions, American Public Health Association, 1996: Methods: 5310B, 5310C, and 5310D. For method numbers ending “-00”, the year in which each method was approved by the Standard Methods Committee is designated by the last two digits in the method number. The methods listed are the only online versions that are IBR-approved. Method I-1030-85 is available from the Books and Open-File Reports Section, U.S. Geological Survey, Federal Center, Box 25425, Denver, CO 80225-0425. 2 Dissolved Organic Carbon (DOC). DOC and UV254 samples used to determine a SUVA value must be taken at the same time and at the same location, prior to the addition of any disinfectant or oxidant by the system. Prior to analysis, DOC samples must be filtered through a 0.45 μ pore-diameter filter, as soon as practical after sampling, not to exceed 48 hours. After filtration, DOC samples must be acidified to achieve pH less than or equal to 2 with minimal addition of the acid specified in the method or by the instrument manufacturer. Acidified DOC samples must be analyzed within 28 days. Inorganic carbon must be removed from the samples prior to analysis. Water passed through the filter prior to filtration of the sample must serve as the filtered blank. This filtered blank must be analyzed using procedures identical to those used for analysis of the samples and must meet a DOC concentration of <0.5 mg/L. 3 pH must be measured by a laboratory certified by the department to perform analysis under 567—Chapter 83; a Grade II, III or IV operator meeting the requirements of 567—Chapter 81; or any person under the supervision of a Grade II, III or IV operator meeting the requirements of 567—Chapter 81. 4 Total Organic Carbon (TOC). Inorganic carbon must be removed from the samples prior to analysis. TOC samples may not be filtered prior to analysis. TOC samples must be acidified at the time of sample collection to achieve a pH less than or equal to 2 with minimal addition of the acid specified in the method or by the instrument manufacturer. Acidified TOC samples must be analyzed within 28 days. 5 Ultraviolet Absorption at 254 nm (UV 254 ). DOC and UV 254 samples used to determine a SUVA value must be taken at the same time and at the same location, prior to the addition of any disinfectant or oxidant by the system. UV absorption must be measured at 253.7 nm (may be rounded off to 254 nm). Prior to analysis, UV 254 samples must be filtered through a 0.45 µ pore-diameter filter. The pH of UV 254 samples may not be adjusted. Samples must be analyzed as soon as practical after sampling, not to exceed 48 hours. 6 Alkalinity must be measured by a laboratory certified by the department to perform analysis under 567—Chapter 83; a Grade II, III or IV operator meeting the requirements of 567—Chapter 81; or any person under the supervision of a Grade II, III or IV operator meeting the requirements of 567—Chapter 81. Only the listed titrimetric methods are acceptable. 7Hach Company. “Hach Method 10267 – Spectrophotometric Measurement of Total Organic Carbon (TOC) in Finished Drinking Water,” December 2015, Revision 1.2. Available at www.hach.com. 8Hach Company. “Hach Method 10261 – Total Organic Carbon in Finished Drinking Water by Catalyzed Ozone Hydroxyl Radical Oxidation Infrared Analysis,” December 2015, Revision 1.2. Available at www.hach.com.

        ITEM 84.    Amend subparagraph 43.7(1)"b" as follows:    (3)   Any water system has optimized corrosion control if it submits results of tap water monitoring conducted in accordance with 567—paragraph 41.4(1)“c” and source water monitoring conducted in accordance with 567—paragraph 41.4(1)“e” that demonstrate for two consecutive six-month monitoring periods that the difference between the 90th percentile tap water lead level computed under 567—subparagraph 41.4(1)“b”(3) and the highest source water lead concentration is less than the practical quantitation level for lead specified in 567—paragraph 41.4(1)“g.”
    1. Those systems whose highest source water lead level is below the method detection limit may also be deemed to have optimized corrosion control under this paragraph if the 90th percentile tap water lead level is less than or equal to the practical quantitation level for lead for two consecutive six-month monitoring periods.
    2. Any water system deemed to have optimized corrosion control in accordance with this paragraph shall continue monitoring for lead and copper at the tap no less frequently than once every three calendar years using the reduced number of sites specified in 567—subparagraph 41.4(1)“c”(3) and collecting the samples at times and locations specified in 567—paragraph 41.4(1)“c”(4)“4,” fourth bulleted paragraph.
    3. Any water system deemed to have optimized corrosion control pursuant to this paragraph shall notify the department in writing pursuant to 567—subparagraph 42.4(2)“a”(3) of anyupcoming long-term change in treatment or the addition of a new sourceas described in 567—subparagraph 42.4(2)“a”(3). The department may require any such system to conduct additional monitoring or to take other action the department deems appropriate to ensure that the system maintains minimal levels of corrosion in the distribution systemmust review and approve the addition of a new source or long-term change in water treatment before it is implemented by the water system.
    4. Unless a system meets the copper action level, it is not deemed to have optimized corrosion control under this paragraph and shall implement corrosion control treatment pursuant to 43.7(1)“b”(3)“5.”
    5. Any system triggered into corrosion control because it is no longer deemed to have optimized corrosion control under this paragraph shall implement corrosion control treatment in accordance with the deadlines in paragraph 43.7(1)“e.” Any such large system shall adhere to the schedule specified in that paragraph for medium-size systems, with the time periods for completing each step being triggered by the date the system is no longer deemed to have optimized corrosion control under this paragraph.

        ITEM 85.    Amend subparagraph 43.7(1)"e" as follows:    (1)   Step 1. The system shall conduct initial tap sampling pursuant to 567—paragraph 41.4(1)“c”(4)“1” and 567—subparagraph 41.4(1)“d”(2) until the system either exceeds the lead or copper action level or becomes eligible for reduced monitoring under 567—paragraph 41.4(1)“c”(4)“4.” A system exceeding the lead or copper action level shall recommend optimal corrosion control treatment under 43.7(2)“a” within six months afterthe end of the monitoring period during which it exceeds one of the action levels.

        ITEM 86.    Amend subparagraph 43.7(1)"e" as follows:    (2)   Step 2. Within 12 months afterthe end of the monitoring period during which a system exceeds the lead or copper action level, the department may require the system to perform corrosion control studies under 43.7(2)“b.” If the system is not required to perform such studies, the department will specify optimal corrosion control treatment under 43.7(2)“d” as follows: for medium-size systems, within 18 months afterthe end of the monitoring period during which such system exceeds the lead or copper action level, and, for small systems, within 24 months afterthe end of the monitoring period during which such system exceeds the lead or copper action level.

        ITEM 87.    Amend subparagraph 43.7(3)"a" as follows:    (1)   Step 1. A public water supply system exceeding the lead or copper action level shall complete lead and copper source water monitoring under 567—subparagraph 41.4(1)“e”(2) and make a written treatment recommendation to the department within six months after exceedingno later than 180 days after the end of the monitoring period during which the lead or copper action levelwas exceeded.

        ITEM 88.    Amend paragraph 43.7(4)"b" as follows:    b.    Lead service line replacement schedule.A public water supply system shall replace annually at least 7 percent of the initial number of lead service lines in its distribution system. The initial number of lead service lines is the number of lead lines in place at the time the replacement program begins. The system shall identify the initial number of lead service lines in its distribution system, including an identification of the portion(s) owned by the system, based upon a materials evaluation, including the evaluation required under 567—subparagraph 41.4(1)“c”(1), and relevant legal authorities regarding the portion owned by the system such as contracts and local ordinances.     (1)   The first year of lead service line replacement shall begin on the datefirst day following the end of the monitoring period in which the action level was exceeded in tap sampling referenced in 43.7(4)“a.”If monitoring is required annually or less frequently, the end of the monitoring period is September 30 of the calendar year in which the sampling occurs. If the department has established an alternate monitoring period, then the end of the monitoring period will be the last day of that period.    (2)   Any water system resuming a lead service line replacement program after the cessation of its lead service line replacement program as allowed by 43.7(4)“g” shall update its inventory of lead service lines to include those sites that were previously determined not to require replacement through the sampling provision under 43.7(4)“c.” The system will then divide the updated number of remaining lead service lines by the number of remaining years in the program to determine the number of lines that must be replaced per year. Seven percent lead service line replacement is based on a 15-year replacement program. For example, systems resuming lead service line replacement after previously conducting two years of replacement would divide the updated inventory by 13.    (3)   For those systems that have completed a 15-year lead service line replacement program, the department will determine a schedule for replacing or retesting lines that were previously exempted through testing under 43.7(4)“c” from the replacement program when the system re-exceeds the action level.

        ITEM 89.    Amend paragraph 43.9(3)"a" as follows:    a.    Conventional filtration treatment or direct filtration.    (1)   Turbidity requirement in 95 percent of samples. For systems using conventional filtration or direct filtration, the turbidity level of representative samples of a system’s filtered water(combined filter effluent or CFE) must be less than or equal to 0.3 NTU in at least 95 percent of the measurements taken each month, measured as specified in 43.5(4)“a”(1) and 43.5(4)“b”(1).    (2)   Maximum turbidity level. The turbidity level of representative samples of a system’s filtered water(combined filter effluent or CFE) must at no time exceed 1 NTU, measured as specified in 43.5(4)“a”(1) and 43.5(4)“b”(1).If at any time the combined filter effluent turbidity exceeds 1 NTU, either in a grab sample used for compliance or in a continuously monitored flow, the system must inform the department as soon as possible, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under 567—subparagraph 42.1(3)“b”(3).    (3)   Systems with lime-softening treatment. A system that uses lime softening may acidify representative samples prior to analysis using a protocol approved by the department.

        ITEM 90.    Amend paragraph 43.9(4)"a" as follows:    a.    Monitoring requirements for systems using filtration treatment.In addition to monitoring required by 43.5(4), a public water system subject to the requirements of this rule that provides conventional filtration treatment or direct filtration must conduct continuous monitoring of turbidity for each individual filter using an approved method in 43.5(4)“a”(1) and must calibrate turbidimeters using the procedure specified by the manufacturerat least every 90 days with a primary standard.The calibration of each turbidimeter used for compliance must be verified at least once per week with a primary standard, secondary standards, or the manufacturer’s proprietary calibration confirmation device or by a method approved by the department. If the verification is not within plus or minus 0.05 NTU for measurements of less than or equal to 0.5 NTU, or within plus or minus 10 percent of measurements greater than 0.5 NTU, then the turbidimeter must be recalibrated. Systems must record the results of individual filter monitoring every 15 minutes.

        ITEM 91.    Amend paragraph 43.9(5)"a" as follows:    a.    Turbidity.Turbidity measurements as required by 43.9(3) must be reported in a format acceptable to the department and within ten days after the end of each month that the system serves water to the public. Information that must be reported includes:    (1)   The total number of filtered water(combined filter effluent or CFE) turbidity measurements taken during the month;    (2)   The number and percentage of filtered water(combined filter effluent or CFE) turbidity measurements taken during the month which are less than or equal to the turbidity limits specified in 43.9(3)“a” or “b”; and    (3)   The date and value of anycombined filter effluent or CFE turbidity measurements taken during the month which exceed 1 NTU for systems using conventional filtration treatment or direct filtration or which exceed the maximum level set by the department under 43.9(3)“b.”    (4)   The dates and summary of calibration and verification of all compliance turbidimeters.

        ITEM 92.    Amend subparagraph 43.9(5)"b" as follows:    (2)   For any individual filter that has a measured turbidity level of greater than 0.5 NTU in two consecutive measurements taken 15 minutes apart at the end ofanytime following the first four hours of continuous filter operation after the filter has been backwashed or otherwise taken offline, the system must report the filter number, the turbidity, and the date(s) on which the exceedance occurred. In addition, the system must either produce a filter profile for the filter within seven days of the exceedance (if the system is not able to identify an obvious reason for the abnormal filter performance) and report that the profile has been produced or report the obvious reason for the exceedance.

        ITEM 93.    Amend paragraph 43.9(5)"c" as follows:    c.    Additional reporting requirement for turbidity combined filter effluent.    (1)   If at any time the turbidity exceeds 1 NTU in representative samples of filtered water(combined filter effluent or CFE) in a system using conventional filtration treatment or direct filtration, the system must consult with the department as soon as practical, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under 567—subparagraph 42.1(3)“b”(3).    (2)   If at any time the turbidity in representative samples of filtered water(combined filter effluent or CFE) exceeds the maximum level set by the department under 43.9(3)“b” for filtration technologies other than conventional filtration treatment, direct filtration, slow sand filtration, or diatomaceous earth filtration, the system must consult with the department as soon as practical, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under 567—subparagraph 42.1(3)“b”(3).

        ITEM 94.    Amend subparagraph 43.10(4)"a" as follows:    (3)   The turbidity in the combined filter effluent must never exceed 1 NTU at any time during the month.If at any time the combined filter effluent turbidity exceeds 1 NTU, either in a grab sample used for compliance or in a continuously monitored flow, the system must inform the department as soon as possible, but no later than 24 hours after the exceedance is known, in accordance with the public notification requirements under 567—subparagraphs 42.1(3)“b”(3) and 42.1(2)“a”(8).

        ITEM 95.    Amend subparagraph 43.10(5)"a" as follows:    (2)   Calibration of turbidimeters must be conducted using procedures specified by the manufacturerat least every 90 days with a primary standard. The calibration of each turbidimeter used for compliance must be verified at least once per week with a primary standard, secondary standards, or the manufacturer’s proprietary calibration confirmation device or by a method approved by the department. If the verification is not within plus or minus 0.05 NTU for measurements of less than or equal to 0.5 NTU, or within plus or minus 10 percent of measurements greater than 0.5 NTU, the turbidimeter must be recalibrated;

        ITEM 96.    Amend subparagraph 43.10(6)"a" as follows:    (1)   The following information must be reported in the monthly operation report to the department by the tenth day of the following month.    1.   Total number of filtered water turbidity measurements taken during the month.    2.   The number and percentage of filtered water turbidity measurements taken during the month which are less than or equal to the system’s required 95th percentile limit.    3.   The date and analytical result of any turbidity measurements taken during the month which exceeded the maximum turbidity limit for the system, in addition to the requirements of (2).    4.   The dates and summary of calibration and verification of all compliance turbidimeters.

        ITEM 97.    Amend subparagraph 43.10(6)"b" as follows:    (2)   For any filter that had two consecutive measurements taken 15 minutes apart that exceeded 1.0 NTU, the following information must be reported:    1.   The filter number(s);    2.   The corresponding dates; and    3.   The turbidity values that exceeded 1.0 NTU.; and    4.   The cause, if known, of the exceedance.

        ITEM 98.    Adopt the following new subparagraph 43.10(6)"b":    (5)   The dates and summary of calibration and verification of all compliance turbidimeters.

        ITEM 99.    Amend subparagraph 43.11(3)"b" as follows:    (3)   Plants operating only part of the year. Systems with surface water or influenced groundwater treatment plants that operate for only part of the year must conduct source water monitoring in accordance with this rule, but with the following modifications.    1.   Systems must sample their source water only during the months that the plant operates unless the department specifies another monitoring period based on plant operating practices.    2.   Systems with plants that operate less than six months per year and that monitor for must collect at least six samples per year for two years.The samples must be evenly spaced throughout the period the plant operates.

        ITEM 100.    Amend paragraph 43.11(3)"d", introductory paragraph, as follows:    d.    Sampling locations.Systems must collect samples for each treatment plant that treats a surface water or influenced groundwater source.If multiple plants draw water from the same influent (same pipe or intake), the department may approve one set of monitoring results to be used to satisfy the requirements for those plants.

        ITEM 101.    Amend subparagraph 43.11(3)"e" as follows:    (1)   Cryptosporidium. Systems must have Cryptosporidium samples analyzed by a laboratory that is approved under EPA’s Laboratory Quality Assurance Evaluation Program for Analysis of Cryptosporidium in Water.    1.   There are twoThese are the approved analytical methods for Cryptosporidium:
  • “Method 1623: Cryptosporidium and Giardia in Water by Filtration/IMS/FA,” 2005, US EPA, EPA-815-R-05-002. Available at www.nemi.gov; and,
  • “Method 1622: Cryptosporidium in Water by Filtration/IMS/FA,” 2005, US EPA, EPA-815-R-05-001.Available at www.nemi.gov; and
  • “Method 1623.1: Cryptosporidium and Giardia in Water by Filtration/Immunomagnetic Separation/Immunofluorescence Assay Microscopy,” 2012, EPA-816-R-12-001. Available at www.nepis.epa.gov.
  •     2.   Using one of the two approved methods, the laboratory must analyze at least a 10 L sample or a packed pellet volume of at least 2 mL.Systems unable to process a 10 L sample must analyze as much sample volume as can be filtered by two filters specified in the method, up to a packed pellet volume of at least 2 mL.    3.   A matrix spike (MS) sample must be spiked and filtered by the laboratory according to the approved method. If the volume of the MS sample is greater than 10 L, the system may filter all but 10 L of the MS sample in the field and ship the filtered sample and the remaining 10 L of source water to the laboratory. In this case, the laboratory must spike the remaining 10 L of water and filter it through the filter used to collect the balance of the sample in the field.    4.   Flow cytometer-counted spiking suspensions must be used for the matrix spike samples and the ongoing precision and recovery samples.    5.   The following data elements must be reported for each Cryptosporidium analysis:
  • PWSID.
  • Facility ID.
  • Sample collection date.
  • Sample type (i.e., field or matrix spike).
  • Sample volume filtered (L), to the nearest 0.25 L.
  • Whether 100 percent of the filtered volume was examined by the laboratory.
  • Number of oocysts counted.
  • For matrix spike samples: sample volume spiked and estimated number of oocysts spiked.
  • For samples in which less than 10 L is filtered or less than 100 percent of the sample volume is examined: the number of filters used and the packed pellet volume.
  • For samples in which less than 100 percent of sample volume is examined: the volume of resuspended concentrate and the volume of this resuspension processed through immunomagnetic separation.
  •     ITEM 102.    Amend subparagraph 43.11(3)"e" as follows:    (2)   E. coli. Systems must have the E. coli samples analyzed by a laboratory certified by EPA, the National Environmental Laboratory Accreditation Conference, or the department for total coliform or fecal coliform analysis in drinking water samples using the same approved E. coli method for the analysis of source water.1. The approved analytical methods for the enumeration of E. coli in source water are shown in Table 2.Table 2: E. coli Analytical Methods    Method    EPA    Standard Methods: 18th, 19th, and 20th editions    OtherMost probable number with multiple tube or multiple well1,2    9223 B311    991.154Colilert3,5Colilert-183,5,6Membrane filtration, single step1,7,816039    m-ColiBlue2410Membrane filtration, two step9222D/9222G12 1Tests must be conducted to provide organism enumeration (i.e., density). Select the appropriate configuration of tubes/filtrations and dilutions/volumes to account for the quality, consistency, and anticipated organism density in the water sample. 2Samples shall be enumerated by the multiple-tube or multiple-well procedure. Using multiple-tube procedures, employ an appropriate tube and dilution configuration of the sample as needed and report the Most Probable Number (MPN). Samples tested with Colilert® may be enumerated with the multiple-well procedures, Quanti-Tray®, Quanti-Tray® 2000, and the MPN calculated from the table provided by the manufacturer. 3These tests are collectively known as defined enzyme substrate tests, where, for example, a substrate is used to detect the enzyme beta-glucouronidase produced by E. coli. 4Association of Official Analytical Chemists, International. “Official Methods of Analysis of AOAC International, 16th Ed., Volume 1, Chapter 17, 1995. AOAC, 481 N. Frederick Ave., Suite 500, Gaithersburg, MD 20877-2417. 5Descriptions of the Colilert®, Colilert-18®, Quanti-Tray®, and Quanti-Tray® 2000 may be obtained from IDEXX Laboratories, Inc., 1 IDEXX Drive, Westbrook, ME 04092. 6Colilert-18® is an optimized formulation of the Colilert® for the determination of total coliforms and E. coli that provides results within 18 hours of incubation at 35 degrees C rather than the 24 hours required for the Colilert® test. 7The filter must be a 0.45 micron membrane filter or a membrane filter with another pore size certified by the manufacturer to fully retain organisms to be cultivated and to be free of extractables which could interfere with organism growth. 8When the membrane filter method has been used previously to test waters with high turbidity or large numbers of noncoliform bacteria, a parallel test should be conducted with a multiple-tube technique to demonstrate applicability and comparability of results. 9“Method 1603: Escherichia coli (E. coli) in Water by Membrane Filtration Using Modified Membrane-Thermotolerant Escherichia coli Agar (modified mTEC), USEPA, July 2006.” US EPA, Office of Water, Washington, DC, EPA 821-R-06-011.Available at www.nepis.epa.gov. 10A description of the m-ColiBlue24® test, Total Coliforms and E. coli, is available from Hach Company, 100 Dayton Ave., Ames, IA 50010. 11Standard Methods for the Analysis of Water and Wastewater, 18th (1992), 19th (1995), and 20th (1998) editions, American Public Health Association. Available from APHA, 800 I Street, NW, Washington, DC 20001-3710. 12Standard Methods for the Examination of Water and Wastewater, 20th edition (1998). Available from APHA, 800 I Street, NW, Washington, DC 20001-3710. 2. The holding time (the time period from sample collection to initiation of analysis) shall not exceed 30 hours. The department may approve on a case-by-case basis an extension of the holding time to 48 hours, if the 30-hour holding time is not feasible. If the extension is allowed, the laboratory must use the Colilert® reagent version of the Standard Methods 9223B to conduct the analysis.3. The samples must be maintained between 0 and 10 degrees C during storage and transit to the laboratory.4. The following data elements must be reported for each E. coli analysis:
  • PWSID.
  • Facility ID.
  • Sample collection date.
  • Analytical method number.
  • Method type.
  • Source type (flowing stream or river; lake or reservoir; or influenced groundwater).
  • Number of E. coli per 100 mL.
  • Turbidity in NTU.
  •     ITEM 103.    Adopt the following new subparagraph 43.11(10)"c":    (6)   Springs and infiltration galleries. This treatment credit is not eligible for springs and infiltration galleries. Springs and infiltration galleries are eligible for credit through demonstration of performance study under 43.11(11)“c.”

        ITEM 104.    Adopt the following new subparagraph 43.11(10)"c":    (7)   Bank filtration demonstration of performance. The department may approve Cryptosporidium treatment credit for bank filtration based on a demonstration of performance study that meets the criteria in this subparagraph. This treatment credit may be greater than 1.0-log and may be awarded to bank filtration that does not meet the criteria in 43.11(10)“c”(1) to (5).    1.   The study must follow a protocol approved by the department and must involve the collection of data on the removal of Cryptosporidium or a surrogate for Cryptosporidium and related hydrogeologic and water quality parameters during the full range of operating conditions.     2.   The study must include sampling both from the production well(s) and from monitoring wells that are screened and located along the shortest flow path between the surface water source and the production well(s).

        ITEM 105.    Adopt the following new appendix C in 567—Chapter 43:APPENDIX C: CT TABLES FOR VIRUS INACTIVATION UNDER THE GROUNDWATER RULE, 567—41.7(455B)TABLE 1: CT Values (mg-min/L) for Inactivation of Viruses by Free Chlorine, pH 6.0-9.01InactivationWater Temperature, °CLog Credit12345678910111213141516171819202122232425    25.85.34.94.44.03.83.63.43.23.02.82.62.42.22.01.81.61.41.21.01.01.01.01.01.0    38.78.07.36.76.05.65.24.84.44.03.83.63.43.23.02.82.62.42.22.01.81.61.41.21.0    411.610.79.88.98.07.67.26.86.46.05.65.24.84.44.03.83.63.43.23.02.82.62.42.22.0 1 CT values provided in the table are modified by linear interpolation between 0.5°C increments.TABLE 2: CT Values (mg-min/L) for Inactivation of Viruses by Free Chlorine, pH 9.1-10.0InactivationWater Temperature, °CLog Credit0.5510152025    245302215117    3664433221611    4906045302215TABLE 3: CT Values (mg-min/L) for Inactivation of Viruses by Chlorine Dioxide, pH 6.0-9.01InactivationWater Temperature, °CLog Credit123456789101112    28.47.77.06.35.65.35.04.84.54.23.93.6    325.623.521.419.217.116.215.414.513.712.812.011.1    450.145.941.837.633.431.730.128.426.825.123.421.7 1 CT values provided in the table are modified by linear interpolation between 0.5°C increments.InactivationWater Temperature, °CLog Credit13141516171819202122232425    23.43.12.82.72.52.42.22.12.01.81.71.51.4    310.39.48.68.27.77.36.86.46.05.65.14.74.3    420.118.416.715.915.014.213.312.511.710.910.09.28.4 1 CT values provided in the table are modified by linear interpolation between 0.5°C increments.TABLE 4: CT Values (mg-min/L) for Inactivation of Viruses by Ozone1InactivationWater Temperature, °CLog Credit123456789101112    20.900.830.750.680.600.580.560.540.520.500.460.42    31.401.281.151.030.900.880.860.840.820.800.740.68    41.801.651.501.351.201.161.121.081.041.000.920.84 1 CT values provided in the table are modified by linear interpolation between 0.5°C increments.InactivationWater Temperature, °CLog Credit13141516171819202122232425    20.380.340.300.290.280.270.260.250.230.210.190.170.15    30.620.560.500.480.460.440.420.400.370.340.310.280.25    40.760.680.600.580.560.540.520.500.460.420.380.340.30 1 CT values provided in the table are modified by linear interpolation between 0.5°C increments.No CT table is provided for chloramines or total chlorine because the CT values would be prohibitively high for groundwater systems.Tables are from the EPA Groundwater Rule Implementation Guidance, EPA 816-R-09-004, January 2009, pages 97-98.

        ITEM 106.    Amend subrule 44.10(1) as follows:    44.10(1) Allowable costs.  Allowable costs shall be limited to those costs deemed necessary, reasonable, and directly related to the efficient completion of the project. The director will determine project costs eligible for state assistance in accordance with rule 567—44.6(455B). Land purchase, easement, or rights-of-way costs are ineligible with the exception of land which is integral to a project needed to meet or maintain public health protection and which is needed to locate eligible treatment or distribution works. Source water protection easements are considered to be integral to a project. (The acquisition of land or easements has to be from a willing seller.) In addition to those costs identified in this chapter, unallowable costs include the following:    a.    Costs of service lines and, except lead-containing service lines and connectors which are exterior to a home.    b.    Costs ofin-house plumbing.    b.    c.    Administrative costs of the loan recipient.    c.    d.    Vehicles and tools.

        ITEM 107.    Adopt the following new definitions of “Operating shift” and “Shift operator” in rule 567—81.1(455B):        "Operating shift" means a specified period of time when an operator is present to conduct testing or evaluation to control operations of the plant or distribution system, to make process control changes, and to be responsible for the repair or maintenance of a plant or distribution system. An operating shift may include on-call shifts.        "Shift operator" means the operator on site who has responsibility for making process control changes and adjustments to the operation, repair, and maintenance of a plant or distribution system during any operating shift. Duties include testing or evaluation to control operations of the plant or distribution system.

        ITEM 108.    Amend rule 567—81.1(455B), definition of “Rural water district,” as follows:        "Rural water district" means a water supply incorporated and organized as such pursuant to Iowa Code chapter357, 357A or 504A358.

        ITEM 109.    Adopt the following new paragraph 81.6(1)"c":    c.    Transient noncommunity water system.A transient noncommunity water system which serves a population of 500 or fewer persons and provides no treatment other than hypochlorination or treatment which does not require any chemical addition, process adjustment, backwashing or media regeneration by an operator shall be classified as a Grade A water system.

        ITEM 110.    Amend subrule 81.7(1), introductory paragraph, as follows:    81.7(1) Education and experience requirements.  All applicants shall meet the education and experience requirements for the grade of certificate shown in the table below prior to being allowed to take the examination. Experience shall be in the same classification for which the applicant is applying except that partial credit may be given in accordance with 81.7(2) and 81.7(3). Directly related post-high school education shall be in the same subject matter as the classification in which the applicant is applying. Directly related post-high school education will be granted education credit 2.0 times the number of semester, quarter or CEU credits until January 1, 2006. The director will determine which courses qualify as “directly related” in cases which are not clearly defined. A military service applicant may apply for credit for verified military education, training, or service toward any education or experience requirement for certification, pursuant to subrule 81.7(4).

        ITEM 111.    Rescind and reserve subrule 81.8(2).

        ITEM 112.    Amend subrule 81.9(5) as follows:    81.9(5) Reexamination.  Upon failure of the first examination, the applicant may be reexamined at the next scheduled examinationapply for reexamination. Upon failure of the second examination, the applicant shall be required to wait a period of 180at least 30 days between each subsequent examination.

        ITEM 113.    Rescind and reserve subrule 81.9(9).

        ITEM 114.    Amend subrule 81.9(10) as follows:    81.9(10) Reasonable accommodation.  Upon request for certification by an applicant, the director will consider on an individual basis reasonable accommodation to allow administration of the examination without discrimination on the basis of disability. The applicant shall request the accommodation 30 days prior to the date of the examination. The applicant must provide documentation of eligibility for the accommodation. Documentation shall be submitted with the completed examination application. Accommodations based on documentation may include site accessibility, oral examination, extended time, separate testing area, or other concerns.

        ITEM 115.    Amend rule 567—81.12(455B) as follows:

    567—81.12(455B) Restricted and temporary certification.  Restricted certification. Upon written request by an operator, the director may determine that further education requirements be waived when a plant or distribution system grade has been increased and the operator has been in direct responsible charge of the existing plant or distribution system. An operator successfully completing the examination will be restricted to that plant or distribution system until the education requirements are met.    81.12(2) Temporary certification.  Upon written request by the owner of a plant or system not previously required to have a certified operator, the director may issue a temporary certificate of the appropriate grade and classification to the operator(s)-in-charge. The temporary certificate holder will be restricted to that plant or distribution system until all certification requirements, in accordance with rules 567—81.6(455B), 567—81.8(455B) and 567—81.9(455B), are met. The temporary certificate is not renewable and will expire 24 months after issuance. No temporary certificates will be issued to operators of new water plants or distribution systems, as defined in 567—subrule 43.8(1).

        ITEM 116.    Amend rule 567—83.2(455B), definition of “Manual for the Certification of Laboratories Analyzing Environmental Samples for the Iowa Department of Natural Resources,” as follows:        "Manual for the Certification of Laboratories Analyzing Environmental Samples for the Iowa Department of Natural Resources" (2003)(2017) (Iowa Manual) is incorporated by reference in this chapter.Chapter 1 of the Iowa Manual pertains to certification of laboratories analyzing samples of drinking water and incorporates by reference the Manual for the Certification of Laboratories Analyzing Drinking Water, 4th edition, March 1997, EPA document 815-B-97-0015th edition, January 2005, EPA document 815-R-05-004, January 2005; Supplement 1, June 2008, EPA 815-F-08-006; and Supplement 2, November 2012, EPA 815-F-12-006.Chapter 2 of the Iowa Manual, 2003(2017), pertains to laboratories analyzing samples for the underground storage tank program.Chapter 3 of the Iowa Manual, 2003(2017), pertains to laboratories analyzing samples for wastewater and sewage sludge disposal programs.Chapter 4 of the Iowa Manual, 2003(2017), pertains to laboratories analyzing samples for the solid waste and contaminated site programs.

        ITEM 117.    Amend paragraph 83.3(2)"c", table, entry for “Basic Drinking Water,” as follows:ANALYTICAL GROUPREGULATORY PROGRAM & PARAMETERS1FEEBasic Drinking WaterSDWA (includes total and fecal coliform bacteria, E. coli, heterotrophic plate count, nitrate, nitrite, and fluoride)$800

        ITEM 118.    Amend paragraph 83.3(2)"c", table, entry for “Bacteria,” as follows:ANALYTICAL GROUPREGULATORY PROGRAM & PARAMETERS1FEEBacteriaCWA (includes total coliform, fecal coliform,and E. coliand enterococci bacteria)$800    SDWA (includes total coliform, fecal coliform,E. coli, and heterotrophic plate count)$800SDWA & CWA combined$1,300

        ITEM 119.    Amend paragraph 83.3(2)"d" as follows:    d.    Payment of fees. Fees shall be paid by bank draft, check, money order,credit card, electronic payment, or other means acceptable to the department, made payable to the Iowa Department of Natural Resources.Credit card or electronic payment may incur an additional fee. Purchase orders are not an acceptable form of payment.

        ITEM 120.    Amend subrule 83.3(3), introductory paragraph, as follows:    83.3(3) Reciprocity.  Reciprocal certification of out-of-state laboratories by Iowa, and of Iowa laboratories by other states or accreditation providers, is encouragedallowed. A laboratory must meet all Iowa certification criteria and pay all applicable fees as listed in this chapter. Any laboratory which is granted reciprocal certification in Iowa using primary certification from another state or provider is required to report any change in certification status from the accrediting state or provider to the department within 1415 days of notification. A laboratory that loses primary certification, either in its resident state program or third-party accreditation program, will also immediately lose certification for the same program area and parameters in Iowa, pursuant to 83.7(5)“a”(9).

        ITEM 121.    Rescind and reserve rule 567—83.4(455B).

        ITEM 122.    Amend subrule 83.6(1) as follows:    83.6(1) Approved methodology required.  Laboratories must use the approved methodology for all analyses the results of which are to be submitted to the department. A laboratory may not analyze and report data from samples collected for an environmental program area until certified in that area.

        ITEM 123.    Amend subrule 83.6(2) as follows:    83.6(2) Performance evaluation (proficiency testing) samples required.  Certified laboratories must satisfactorily analyze PEs at least once every 12 months for each analyte by each method for which the laboratory wishes to retain certification unless a PE sample is not available for the particular analyte or method. Results must be submitted to Iowa department of natural resourcesand the state of Iowa hygienic laboratory, or as otherwise directed, along with a statement of the method used within 30 days of receipt from the provider. The laboratory must maintain records of all PE samples for a minimum of 5 years.

        ITEM 124.    Amend subrule 83.6(3) as follows:    83.6(3) Notification of major changes.  Laboratories must notify the department, in writing, within 15 days of major changes in essential personnel, equipment, laboratory location, or other major change which might alter or impair analytical capability. An example of a major change in essential personnel includes the loss or replacement of the laboratory supervisor, or a trained and experienced analyst is no longer available to analyze a particular parameter for which certification has been granted.

        ITEM 125.    Amend paragraph 83.6(6)"a" as follows:    a.    Water supply program.    (1)   Certified laboratories must report to the department, or its designee such as SHL, all analytical test results for all public water supplies,in a manner acceptable to the department, using forms, including electronic forms, provided or approved by the department or by electronic means acceptable to the department. If a public water supply is required by the department to collect and analyze a sample for an analyte not normally required by 567—Chapters 41 and 43, the laboratory testing for that analyte must also be certified and report the results of that analyte to the department. It is the responsibility of the laboratory to correctly assign and track the sample identification number as well as facility ID and source/entry point data for all reported samples.
    1. The following are examples of sample types for which data results must be reported:
    2. Routine: a regular sample which includes samples collected for compliance purposes from such locations as the source/entry point and in the distribution system, at various sampling frequencies;
    3. Repeat: a sample which must be collected after a positive result from a routine or previous repeat total coliform sample, per 567—41.2(455B).567—paragraph 41.2(1)“j.” Repeat samples must be analyzed at the same laboratory from which the associated original routine sample was analyzed;
    4. Confirmation: a sample which verifies a routine sample, normally used in determination of compliance with a health-based standard, such as nitrate;
    5. Special: a nonroutine sample, such as raw, plant, and troubleshooting samples, which cannot be used to comply with monitoring requirements assigned by the department;
    6. Maximum residence time: a sample which is collected at the maximum residence time location in the distribution system, usually for disinfection byproduct measurement; and
    7. Replacement: a sample which replaces a missed sample from a prior monitoring period resulting in a monitoring violation.
    1. The following additional types of data must be reported to the department:
    2. Monthly Operation Report (MOR) data which has been specifically required by the department to demonstrate compliance with public health standards;
    3. Chemical results not required to be analyzed but which are detected during analysis, such as detection of a synthetic organic chemical during a routine analysis of that related analytical series for compliance reporting; and
    4. Raw water sampling results specifically covered by 567—Chapters 40 to 43 for new surface water or groundwater sources, or reconstruction of groundwater sources.
    5. The following are examples of data results that are not required to be reported by the laboratory to the department:
    6. Routine MOR data;
    7. Distribution samples for the Total Coliform Rule(567—subrule 41.2(1)) for water main repair or installation; or
    8. Results for contaminants that are not required by the department to be analyzed, which are below detection level.
    9. The sample type cannot be changed after submittal to the laboratory, without written approval by the department. The prescreening, splitting, or selective reporting of compliance samples is not allowed.
        (2)   Certified laboratories must report all analytical results to the public water supply for which the analyses were performed.    (3)   Analytical results must be reported to and received by the department’s designeedepartment by the seventh day of the month following the month in which the samples were analyzed.    (4)   In addition to the monthly reporting of the analytical results, the following results must be reported within 24 hours of the completion of the analysis to the department by facsimile transmission (fax)email or other method acceptable to the department, and to the public water supply for which the analyses were conducted:
    1. Results of positive routine coliform bacteria samples, and all repeat and follow-up samples, reported within 24 hours of the completion of each sample’s analysis.
    2. Results of any contaminant which exceeds public drinking water standards (maximum contaminant level, treatment technique,action level, or health advisory), and any subsequent confirmation samples, excluding lead and copper.
    For results available outside of routine business hours, the results must also be reported to the department’s Environmental Emergency Reporting Hotline number at (515)725-8694.
        (5)   If requested by the department, certified laboratories shall report their method detection levels, levels of quantitation, and any other pertinent information when reporting results for public water supplies.

        ITEM 126.    Adopt the following new subrule 83.6(8):    83.6(8) Record keeping.  The laboratory certification program appraisal authority must retain the records for on-site laboratory assessments and certification program reviews. The records must be maintained in an easily accessible manner for a period of at least six years to include the last two on-site audits. The records include correspondence used to determine compliance with the laboratory certification program requirements and may include checklists, corrective action reports, final reports, certificates, performance evaluation/proficiency testing study results, and any other related documents.

        ITEM 127.    Amend paragraph 83.7(1)"c" as follows:    c.    A laboratory will not be granted provisional certification by the department forwater supply contaminants which pose an acute risk to human health, including nitrate, nitrite, fecal coliform bacteria, and Escherichia coli bacteria.

        ITEM 128.    Amend subparagraph 83.7(3)"a" as follows:    (1)   Failure to analyze a PE sample annually forwater supply contaminants which pose an acute risk to human health, including nitrate, nitrite, fecal coliform bacteria, and Escherichia coli bacteria, or which pose an imminent risk to the environment;

        ITEM 129.    Amend subparagraph 83.7(3)"a" as follows:    (2)   Failure to analyze a PE sample annually within Iowa acceptance limits forwater supply contaminants which pose an acute risk to human health, including nitrate, nitrite, fecal coliform bacteria, and Escherichia coli bacteria, or which pose an imminent risk to the environment;    [Filed 3/21/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3736CEnvironmental Protection Commission[567]Adopted and Filed

    Rule making related to environmental management systems

        The Environmental Protection Commission hereby amends Chapter 111, “Annual Reports of Solid Waste Environmental Management Systems,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 455J.4(2).State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 455J.Purpose and Summary    Many of the amendments are necessary to conform Chapter 111 to 2017 Iowa Acts, House File 202, signed by Governor Branstad on April 12, 2017.   House File 202 amended the Iowa Code chapter related to environmental management systems, Iowa Code chapter 455J.  This legislation removed the Solid Waste Alternatives Program Advisory Council (council) from Iowa Code chapter 455J.  This council had been vital in the oversight of the establishment of the environmental management systems program; however, once the program was established, it was determined that the council was no longer necessary.   House File 202 shifted the duties of the council to the Department of Natural Resources. This legislation also changed the due date by which the Department of Natural Resources must review the annual report submitted by each designated system to determine if that system remains in compliance with Iowa Code chapter 455J (formerly the council’s duty).  The amendments implement these changes from House File 202.  The amendments also reformat and clarify the required annual report submittal information.    Specifically, the amendments:

  • Eliminate the council and move the council’s prior responsibilities to the Department of Natural Resources;
  • Amend definitions to be consistent with terminology used in Iowa Code chapter 455J;
  • Reorganize rule 567—111.6(455J) to clarify annual report submittal information requirements for program participants; and
  • Amend rule 567—111.7(455J) to change the annual report review date from October 1 to January 1 of each year.  
  • Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on January 17, 2018, as ARC 3569C. A public hearing was held on February 13, 2018, at 10 a.m. in Conference Room 5 West, Wallace State Office Building, Des Moines, Iowa. No comments were received at the public hearing. No additional public comments were received. No changes from the Notice have been made.Adoption of Rule Making    This rule making was adopted by the Environmental Protection Commission on March 20, 2018.Fiscal Impact     This rule making has no negative fiscal impact to the State of Iowa. This rule making may result in a small cost savings to the environmental management systems program because the program will no longer have to pay for council members’ travel costs and for the routine meetings held by the council. A copy of the fiscal impact statement is available from the Department upon request. Jobs Impact    After analysis and review of this rule making, no impact on jobs has been found. A copy of the jobs impact statement is available from the Department upon request.Waivers    Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the 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 May 16, 2018.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 567—111.4(455J), definition of “Plan component,” as follows:        "Plan component" means each of the six areas that are required to be addressed in an environmental management system, including: yardorganics waste management, hazardous household wastematerials collection, water quality improvement, greenhouse gas reduction, recycling services, and environmental education.

        ITEM 2.    Adopt the following new definition of “Department” in rule 567—111.4(455J):        "Department" means the department of natural resources.

        ITEM 3.    Rescind the definition of “Council” in rule 567—111.4(455J).

        ITEM 4.    Amend rule 567—111.6(455J) as follows:

    567—111.6(455J) Contents of annual reports.  The following elements shall be included in the annual report.    111.6(1) Executive summary.  The executive summary shall include an overview of the environmental improvements and benefits achieved during the past year as related to the system’s objectives and targets. This summary would be similar to what is presented for management review.    111.6(2) Environmental policy statement.  The annual report shall include a copy of the planning or service area’s environmental policy statement and the date it was last reviewed and, if appropriate, revised. A copy of the communication procedure or other documents describing how the environmental policy statement has been conveyed to staff, management, and other individuals having a formal role in the implementation of the EMS shall also be included.    111.6(3) Aspects and impacts.  The annual report shall identify and evaluate the actual or potential significant aspects and impacts to the environment, whether adverse or beneficial, from the planning or service area’s activities, services and facilities. A description of the significant impacts to the environment that have been determined and the methodology used for this determination shall be included. Any changes that occurred or may occur in the near future that are likely to affect the identified impacts in the coming year shall be described. Such changes may include, but are not limited to, the closure or opening of facilities, other changes to the EMS’s fenceline, the initiation of major new programs, and the discontinuation of a major service.    111.6(4) Legal and other requirements.  The annual report shall list the legal requirements for the planning or service area’s operations and facilities included in its EMS fenceline, including but not limited to, relevant environmental laws, regulations and permits, and worker health and safety regulations. A process for tracking any changes in these requirements shall be described. A brief summary of the planning area’s regulatory compliance performance for the previous year, including a listing of recurring or significant violations related to the identified legal requirements and how they were or are being resolved, shall be included.    111.6(5) Plan components.Objectives and targets.  The following elements shall be addressed for each of the six plan components.a.    Objectives and targets. This element describesThe annual report shall describe the objective(s) relevant to theeach of the six plan componentcomponents and the targets established for achieving the objective(s).    111.() 111.6(6) Action plan.  b.    This element providesThe annual report shall provide a plan that describes the actions necessary to achieve the objectives and targets. The plan includes the identification of the individuals and organizations responsible for carrying out specific tasks, time lines for completion of each step in the plan, and a schedule for periodically reviewing and updating, as conditions dictate, the objectives and targets.     111.6(7) Roles and responsibilities.  The annual report shall include identification and documentation of individuals and organizations responsible for specific tasks to carry out the objectives.    111.() 111.6(8) Communication and training.  c.    This element describesThe annual report shall describe the processes that have been established for internal and external communication.    (1)   a.    External communication includes reaching out to those groups and organizations that have been identified as having an interest, stake, or role in the planning or service area’s ongoing EMS program. There shall also be procedures for receiving and responding to relevant communication from external interested parties.    (2)   b.    Internal communication is directed to individuals, organizations and entities that have a role or responsibility within the action plan. Internal communication includes a process to ensure that all responsible parties are familiar with the EMS and have the training necessary to capably execute their roles. A description of the training provided to responsible parties shall be included.    111.() 111.6(9) Monitoring and measurement.  d.    This element describesThe annual report shall describe the documented process for monitoring key activities and, at a minimum, measuring performance related to each objective and target.    111.() 111.6(10) Assessment.Audit/assessment.  e.    This element providesThe annual report shall provide documented procedures for assessing the performance of the component’s action plan(s) in terms of achieving the stated objectives and targets and conformance with the overall EMS. The assessment element shall draw conclusions from the performance measurements.    a.    Internal audit.A copy of the result of the latest internal audit that includes the date(s) it was conducted and the identity of the auditor(s) shall be provided as part of the report. An internal audit shall be conducted each state fiscal year.    b.    External audit.An external audit shall occur each state fiscal year. The date of the latest external audit or the date the audit will take place, along with the identity and pertinent qualifications of the independent, third-party auditor(s), shall be provided. The results of the external audit shall be incorporated into the report. The department has a prequalification process for external auditors.    111.() 111.6(11) Reevaluation and modification.  f.    The reevaluationReevaluation and modification element is an activityare activities that allowsallow a planning or service area to improve and strengthen the EMS on an ongoing basis. This element considersThe annual report shall describe areas where the EMS has met, exceeded, or failed to meet expectations. For each plan component, the report shall identify root causes of those outcomes and develop revised goals and activities appropriate to each.    111.6(6) Internal audit.  A copy of the result of the latest internal audit that includes the date(s) it was conducted and the identity of the auditor(s) shall be provided as part of the report. An internal audit shall be conducted each state fiscal year.    111.6(7) External audit.  An external audit shall occur each state fiscal year. The date of the latest external audit or the date the audit will take place, along with the identity and pertinent qualifications of the independent, third-party auditor(s) shall be provided. The results of the external audit shall be incorporated into the report. The department has a prequalification process for external auditors.

        ITEM 5.    Amend rule 567—111.7(455J) as follows:

    567—111.7(455J) Evaluation criteria.  Each annual report shall be reviewed by the councildepartment, and a determination as to whether a planning or service area’s EMS is in compliance with Iowa Code section 455J.3 shall be made by OctoberJanuary 1 of each year. Reports shall be reviewed for the following:
    1. Completeness in terms of addressing all of the elements set forth in 567—111.6(455J).
    2. Progress toward achieving the objectives and targets set forth in the EMS.
    3. Clear demonstration of continuous improvement in terms of progress toward achieving the objectives and targets set forth in the EMS.
    Upon achievement of these objectives and targets, a reevaluation and decision will be needed to verify whether a new target should be assigned to an objective or, if the objectives and targets were not achieved, what new initiatives should be incorporated into the EMS. Planning and service areas shall review procedures on a regular basis and revise as appropriate.

        ITEM 6.    Amend rule 567—111.8(455J) as follows:

    567—111.8(455J) Evaluation outcomes.      111.8(1)   If the councildepartment determines that the annual report adequately demonstrates compliance with the requirements of Iowa Code section 455J.3, the planning or service area shall remain designated as an EMS and shall continue to be qualified for the incentives set forth in Iowa Code section 455J.5.    111.8(2)   If the councildepartment determines that the annual report clearly demonstrates that the planning or service area’s EMS is no longer in compliance with Iowa Code section 455J.3, the councildepartment may recommend to the environmental protection commission the revocation of the EMS designation. If the commission concurs with the council’sdepartment’s recommendation, the planning or service area shall adhere to the comprehensive planning requirements in 567—Chapter 101.    111.8(3)   Failure by a planning or service area to submit an annual report by September 1 in any year will result in revocation of the EMS designation, following which the planning or service area shall adhere to the comprehensive planning requirements in 567—Chapter 101.
        [Filed 3/21/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3737CInspections and Appeals Department[481]Adopted and Filed

    Rule making related to licensure and regulation of residential care facilities

        The Department of Inspections and Appeals hereby amends Chapter 57, “Residential Care Facilities,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 10A.104(5) and 135C.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 135C.14.Purpose and Summary    Iowa Code section 135C.2(3)“b” allows the Department to establish by administrative rule special classifications within the residential care facility category for facilities intended to serve individuals who have special health care problems or conditions in common. Currently, Chapter 63 applies to residential care facilities for persons with an intellectual disability (RCFs/ID). After reviewing several chapters, the Department has determined that an entire chapter specific to RCFs/ID is not necessary as many of the provisions of Chapter 63 overlap with those in Chapter 57. These amendments add licensure for RCFs/ID to Chapter 57, “Residential Care Facilities.” In an Adopted and Filed rule making published simultaneously with this rule making (see ARC 3740, herein), the Department is rescinding Chapter 63 and adopting in lieu thereof a new Chapter 63 specific to three- to five-bed residential 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 December 6, 2017, as ARC 3472C. A public hearing was held on January 3, 2018, at 10 a.m. in the Lucas State Office Building, Des Moines, Iowa. Comments about the Department’s changes to Chapter 63 were discussed at the public hearing.  However, no comments were received on these specific rules. The Department made one change to the rule making by adding a new Item 3, which requires training for staff relating to the identification and reporting of dependent adult abuse as required by Iowa Code section 235B.16.Adoption of Rule Making    This rule making was initially reviewed by the State Board of Health at its November 8, 2017, meeting, and subsequently approved by the Board at its March 14, 2018, meeting. This rule making was adopted by the Department on March 14, 2018.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 May 16, 2018.    The following rule-making actions are adopted:

        ITEM 1.    Amend rule 481—57.1(135C), introductory paragraph, as follows:

    481—57.1(135C) Definitions.  For the purposes of these rules, the following terms shall have the meanings indicated in this rule.The following definitions apply to this chapter and to 481—Chapter 62. The definitions set out in Iowa Code section 135C.1 shall be considered to be incorporated verbatim in these rules.

        ITEM 2.    Amend rule 481—57.6(135C) as follows:

    481—57.6(135C) Special classification—memory careclassifications.      57.6(1) Memory care.      a.    Designation and application.A residential care facility may choose to care for residents who require memory care in a distinct part of the facility or designate the entire residential care facility as one that provides memory care. Residents in the memory care unit or facility shall meet the level of care requirements for a residential care facility. “Memory care” in a residential care facility means the care of persons with early Alzheimer’s-type dementia or other disorders causing dementia. (I, II, III)    a.    (1)   Application for approval to provide this category of care shall be submitted by the licensee on a form provided by the department. (III)    b.    (2)   Plans to modify the physical environment shall be submitted to the department for review based on the requirements of 481—Chapter 60. (III)    c.    (3)   If the unit or facility is to be a locked unit or facility, all locking devices shall meet the Life Safety Code and any requirements of the state fire marshal. If the unit or facility is to be unlocked, a system of security monitoring is required. (I, II, III)    b.    Résumé of care.A résumé of care shall be submitted to the department for approval at least 30 days before a separate memory care unit or facility is opened. For facilities with a memory care unit, this résumé of care is in addition to the résumé of care required by subrule 57.3(2). A new résumé of care shall be submitted when services are substantially changed. The résumé of care shall:    a.    (1)   Describe the population to be served;    b.    (2)   State the philosophy and objectives;    c.    (3)   List criteria for transfer to and from the memory care unit or facility;    d.    (4)   Include a copy of the floor plan;    e.    (5)   List the titles of policies and procedures developed for the unit or facility;    f.    (6)   Propose a staffing pattern;    g.    (7)   Set out a plan for specialized staff training;    h.    (8)   State visitor, volunteer, and safety policies;    i.    (9)   Describe programs for activities, social services and families; and    j.    (10)   Describe the interdisciplinary team and the role of each team member.    c.    Policies and procedures.Separate written policies and procedures shall be implemented in the memory care unit or facility and shall address the following:    a.    (1)   Criteria for admission and the preadmission evaluation process. The policy shall require a statement from the primary care provider approving the placement before a resident may be moved into a memory care unit or facility. (II, III)    b.    (2)   Safety, including a description of the actions required of staff in the event of a fire, natural disaster, or emergency medical event or catastrophic event. Safety procedures shall also explain steps to be taken when a resident is discovered to be missing from the unit or facility,and when hazardous cleaning materials or potentially dangerous mechanical equipment is being used in the unit or facility, andexplain the manner in which the effectiveness of the security system will be monitored. (II, III)    c.    (3)   Staffing requirements, including the minimum number, types and qualifications of staff in the unit or facility in accordance with resident needs. (II, III)    d.    (4)   Visitation policies, including suggested times for visitation and ensuring the residents’ rights to free access to visitors unless visits are contraindicated by the interdisciplinary team. (II, III)    e.    (5)   The process and criteria which will be used to monitor and to respond to risks specific to the residents, including but not limited to drug use, restraint use, infections, incidents and acute behavioral events. (II, III)    d.    Assessment prior to transfer or admission.Prior to the transfer or admission of a resident applicant to the memory care unit or facility, a complete assessment of the resident applicant’s physical, mental, social and behavioral status shall be completed to determine whether the applicant meets admission criteria. This assessment shall be completed by facility staff and shall become part of the resident’s permanent record upon admission. (II, III)    e.    Staff training.All staff working in a memory care unit or facility shall have training appropriate to the needs of the residents. (I, II, III)    a.    (1)   Upon assignment to the unit or facility, all staff working in the unit or facility shall be oriented to the needs of residents requiring memory care. Staff members shall have at least six hours of special training appropriate to their job descriptions within 30 days of assignment to the unit or facility. (I, II, III)    b.    (2)   Training shall include the following topics: (II, III)    (1)   1.   An explanation of Alzheimer’s disease and related disorders, including symptoms, behavior and disease progression;    (2)   2.   Skills for communicating with persons with dementia;    (3)   3.   Skills for communicating with family and friends of persons with dementia;    (4)   4.   An explanation of family issues such as role reversal, grief and loss, guilt, relinquishing the caregiving role, and family dynamics;    (5)   5.   The importance of planned and spontaneous activities;    (6)   6.   Skills in providing assistance with activities of daily living;    (7)   7.   Skills in working with challenging residents;    (8)   8.   Techniques for cueing, simplifying, and redirecting;    (9)   9.   Staff support and stress reduction;    (10)   10.   Medication management and nonpharmacological interventions.    c.    (3)   Nursing staff, certified medication aides, medication managers, social services personnel, housekeeping and activity personnel shall have a minimum of six hours of in-service training annually. This training shall be related to the needs of memory care residents. The six-hour initial training required in paragraph 57.6(5)“a”subparagraph 57.6(1)“e”(1) shall count toward the required annual in-service training. (II, III)    f.    Staffing.There shall be at least one staff person on a memory care unit at all times. (I, II, III)    g.    Others living in the memory care unit.A resident not requiring memory care services may live in the memory care unit if the resident’s spouse requiring memory care services lives in the unit or if no other beds are available in the facility and the resident or the resident’s legal representative consents in writing to the placement. (II, III)    h.    Revocation, suspension or denial.The memory care unit license or facility license may be revoked, suspended or denied pursuant to Iowa Code chapter 135C and 481—Chapter 50.    57.6(2) Residential care facility for persons with an intellectual disability (RCF/ID).      a.    Definition.For purposes of this rule, the following term shall have the meaning indicated.        "Qualified intellectual disability professional" means a psychologist, physician, registered nurse, educator, social worker, physical or occupational therapist, speech therapist or audiologist who meets the educational requirements for the profession, as required in the state of Iowa, and has one year’s experience working with persons with an intellectual disability.    b.    Designation and application.A residential care facility may choose to care for persons with an intellectual disability in a distinct part of the facility or designate the entire residential care facility as a residential care facility for persons with an intellectual disability. Residents shall meet the level of care requirements for a residential care facility. (I, II, III)    (1)   Application for approval to provide this category of care shall be submitted by the licensee on a form provided by the department. (III)    (2)   Plans to modify the physical environment shall be submitted to the department for review based on the requirements of 481—Chapter 60. (III)    c.    Résumé of care.A résumé of care shall be submitted to the department for approval at least 30 days before a residential care facility for persons with an intellectual disability is opened. A new résumé of care shall be submitted when services are substantially changed. The résumé of care shall:    (1)   Describe the population to be served;    (2)   Include a copy of the floor plan;    (3)   List the titles of policies and procedures developed for the unit or facility;    (4)   Set out a plan for specialized staff training;    (5)   State visitor, volunteer, and safety policies;    (6)   Describe programs for activities, social services and families; and    (7)   Describe the interdisciplinary team and the role of each team member.    d.    Policies and procedures.Separate written policies and procedures shall be implemented in the residential care facility for persons with an intellectual disability and shall address the following:    (1)   Criteria for admission and the preadmission evaluation process. The policy shall require a statement from the primary care provider approving the placement before a resident may be moved into a residential care facility for persons with an intellectual disability. The policy shall require a primary diagnosis of an intellectual disability for admission. (II, III)    (2)   Safety, including a description of the actions required of staff in the event of a fire, natural disaster, emergency medical event or catastrophic event. (II, III)    (3)   Staffing requirements, including the minimum number, types and qualifications of staff in the facility in accordance with resident needs. (II, III)    (4)   Visitation policies, including suggested times for visitation and ensuring the residents’ rights to free access to visitors unless visits are contraindicated by the interdisciplinary team. (II, III)    (5)   The process and criteria which will be used to monitor and to respond to risks specific to the residents, including but not limited to drug use, restraint use, infections, incidents and acute behavioral events. (II, III)    e.    Assessment prior to transfer or admission.Prior to the transfer or admission of a resident applicant to the facility, a complete assessment of the resident applicant’s physical, mental, social and behavioral status shall be completed to determine whether the applicant meets admission criteria. This assessment shall be completed by facility staff and shall become part of the resident’s permanent record upon admission. (II, III)    f.    Administrator qualifications.In addition to meeting the requirements of subrule 57.10(1), the administrator of a residential care facility for persons with an intellectual disability shall have at least one year’s documented experience in direct care or supervision of persons with an intellectual disability. An individual employed as an administrator on May 16, 2018, will be deemed to meet the requirements of this subrule.    g.    In-service educational programming.The in-service educational programming required by paragraph 57.10(2)“c” shall include educational programming specific to serving persons with an intellectual disability.    h.    Revocation, suspension or denial.The facility license may be revoked, suspended or denied pursuant to Iowa Code chapter 135C and 481—Chapter 50.       This rule is intended to implement Iowa Code sections 135C.2(3)“b” and 135C.14.

        ITEM 3.    Adopt the following new subrule 57.32(5):    57.32(5)   Staff shall receive training relating to the identification and reporting of dependent adult abuse as required by Iowa Code section 235B.16. (I, II, III)    [Filed 3/14/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3738CInspections and Appeals Department[481]Adopted and Filed

    Rule making related to prohibition of mechanical restraints in residential care facilities

        The Department of Inspections and Appeals hereby amends Chapter 57, “Residential Care Facilities,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 10A.104 and 135C.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 135C.14.Purpose and Summary    The amendments add definitions of “mechanical restraint,” “physical restraint” and “prone restraint”; add a requirement for facilities to provide staff with proper training on the use of physical restraints; and expressly prohibit the use of mechanical restraints in residential 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 December 6, 2017, as ARC 3473C. A public hearing was held on January 3, 2018, at 10 a.m. in the Lucas State Office Building, Des Moines, Iowa. The public hearing addressed four Notices of Intended Action. Representatives from Hillcrest Family Services and Community NeuroRehab submitted written comments concerning the proposed amendments to the Department’s administrative rules dealing with residential care facilities.  However, no comments addressed this specific rule making. The Department has made one change from the Notice by adding a new Item 2, which contains an amendment that requires facilities that use physical restraints as part of a crisis intervention program to provide staff with proper training on the use of physical restraints. Item 2 of the Notice has been renumbered as Item 3.Adoption of Rule Making    This rule making was initially reviewed by the State Board of Health at its November 8, 2017, meeting, and subsequently approved by the Board at its March 14, 2018, meeting. This rule making was adopted by the Department on March 14, 2018.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.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 May 16, 2018.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new definitions in rule 481—57.1(135C):        "Mechanical restraint" means restriction by the use of a mechanical device of a resident’s mobility or ability to use the hands, arms or legs.        "Physical restraint" means direct physical contact on the part of a staff person to control a resident’s physical activity for the resident’s own protection or for the protection of others.        "Prone restraint" means a restraint in which a resident is in a face-down position against the floor or another surface.

        ITEM 2.    Amend rule 481—57.33(135C), introductory paragraph, as follows:

    481—57.33(135C) Crisis intervention.  If a facility utilizes physical restraints, therethe facility shall behave written policies that define the uses of physical restraints, designate the administrator or designee as the person who may authorize their use, and establish a mechanism for monitoring and controlling their use, and provide staff with proper training. (I, II, III)

        ITEM 3.    Adopt the following new subrule 57.33(8):    57.33(8)   Mechanical restraint is prohibited. Staff persons who find themselves involved in the use of a mechanical restraint when responding to an emergency must take immediate steps to end the mechanical restraint. (I, II)    [Filed 3/14/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3739CInspections and Appeals Department[481]Adopted and Filed

    Rule making related to licensure and regulation of residential care facilities for persons with mental illness

        The Department of Inspections and Appeals hereby rescinds Chapter 62, “Residential Care Facilities for Persons with Mental Illness (RCF/PMI),” and adopts new Chapter 62, “Residential Care Facilities for Persons with Mental Illness (RCFs/PMI),” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 10A.104(5) and 135C.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 135C.14.Purpose and Summary    The Department completed a review of all chapters related to residential care facilities and determined that duplication could be eliminated by using Chapter 57, “Residential Care Facilities,” as the primary chapter containing information common to all residential care facilities. This rule making rescinds Chapter 62 and replaces it with a new Chapter 62 that includes only those rules specific to RCFs/PMI and refers to Chapter 57 for general rules pertaining to RCFs.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on December 6, 2017, as ARC 3474C. A public hearing was held on January 3, 2018, at 10 a.m. in the Lucas State Office Building, Des Moines, Iowa. Comments were received regarding the Department’s proposed changes to Chapter 63, as well as all the residential care facility rules.  However, no comments were received on this specific rule making. One change from the Notice has been made to add the potential class of violation in subparagraph 62.5(4)“c”(13).    Adoption of Rule Making    This rule making was initially reviewed by the State Board of Health at its November 8, 2017, meeting, and subsequently approved by the Board at its March 14, 2018, meeting. This rule making was adopted by the Department on March 14, 2018.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 May 16, 2018.    The following rule-making action is adopted:

        ITEM 1.    Rescind 481—Chapter 62 and adopt the following new chapter in lieu thereof: CHAPTER 62RESIDENTIAL CARE FACILITIES FOR PERSONS WITH MENTAL ILLNESS (RCFs/PMI)

    481—62.1(135C) Applicability.  This chapter relates specifically to the licensing and regulation of residential care facilities for persons with mental illness (RCFs/PMI). Refer to 481—Chapter 57 for the licensing and regulation of all residential care facilities, including RCFs/PMI, and to 481—Chapter 60 for minimum physical standards for all residential care facilities.

    481—62.2(135C) Definitions.  In addition to the definitions in 481—Chapter 57 and Iowa Code chapter 135C, the following definitions apply.         "Commission" means the mental health and disability services commission.        "Department" means the Iowa department of inspections and appeals.        "Dependent adult abuse" is as defined in rule 481—52.1(235E).        "Evaluation services" means those activities designed to identify a person’s current level of functioning and those factors which are barriers to maintaining the current level or achieving a higher level of functioning.        "Interdisciplinary team process" means an approach to assessment, service planning, and service implementation in which members of an interdisciplinary team utilize the skills, competencies, insights and perspectives provided by each member’s training and experience to develop a single, integrated, individual program plan to meet a resident’s needs for services.         "Level of functioning" means a person’s current physiological and psychological status and current academic, community living, self-care, and vocational skills.        "Mental health counselor" means a person who is certified or eligible for certification as a mental health counselor by the National Academy of Certified Clinical Mental Health Counselors.        "Mental illness" means a substantial disorder of thought or mood which significantly impairs judgment, behavior, or the capacity to recognize reality or the ability to cope with the ordinary demands of life. Mental disorders include the organic and functional psychoses, neuroses, personality disorders, alcoholism and drug dependence, behavioral disorders and other disorders as defined by the current edition of American Psychiatric Association Diagnostic and Statistical Manual of Mental Disorders.        "Physical or physiological treatment" means those activities designed to prevent, halt, control, relieve, or reverse symptoms or conditions which interfere with the physical or physiological functioning of the human body.        "Psychiatric advanced registered nurse practitioner" means an individual currently licensed as a registered nurse under Iowa Code chapter 152 or 152E who holds a national certification in psychiatric mental health care and who is licensed by the board of nursing as an advanced registered nurse practitioner.        "Psychiatric nurse" means a person who meets the requirements of a certified psychiatric nurse, is eligible for certification by the American Nursing Association, and is licensed by the state of Iowa to practice nursing as defined in Iowa Code chapter 152.        "Psychiatrist" means a doctor of medicine or osteopathic medicine and surgery who is certified by the American Board of Psychiatry and Neurology or who is eligible for certification.        "Psychologist" means a person who is licensed to practice psychology in the state of Iowa, or is certified by the Iowa department of education as a school psychologist, or is eligible for certification, or meets the requirements for eligibility for a license to practice psychology in the state of Iowa that were effective prior to July 1, 1985.        "Psychotherapeutic treatment" means those activities designed to assist a person in the identification or modification of beliefs, emotions, attitudes, or behaviors in order to maintain or improve the person’s functioning in response to the physical, emotional and social environment.        "Qualified mental health professional" "QMHP" means a person who:
    1. Is a psychiatrist, psychologist, social worker, certified psychiatric nurse, psychiatric advanced registered nurse practitioner, or mental health counselor; or
    2. Is a doctor of medicine or osteopathic medicine, a physician assistant, or an advanced registered nurse practitioner and has at least one year’s documented supervised experience in providing mental health services; or
    3. Has a master’s degree with coursework focusing on diagnosis, evaluation, and psychotherapeutic treatment of mental health problems and mental illness; or
    4. Is employed by a community mental health center or mental health service provider accredited by the commission and has less than a master’s degree but at least a bachelor’s degree and sufficient education and experience as determined by the chief administrative officer of the community mental health center, with the approval of the commission, with coursework and experience focusing on diagnosis and evaluation and treatment of persons with mental health problems and mental illness.
    If the person is practicing in a field covered by an Iowa licensure law, the person shall hold a current Iowa license.
            "Resident" means a person who has been admitted to the facility to receive care and services.        "Social worker" means a person who is licensed to practice social work in the state of Iowa or who is eligible for licensure.

    481—62.3(135C) Personnel.  In addition to personnel requirements found in 481—Chapter 57, the RCF/PMI shall provide for services of a qualified mental health professional, by direct employment or contract, whose responsibilities shall include, but not be limited to: (II, III)
    1. Approval of each resident’s service plan; (II, III)
    2. Monitoring the implementation of each resident’s service plan; (II, III)
    3. Recording each resident’s progress; and (II, III)
    4. Participating in a periodic review of each resident’s service plan. (II, III)

    481—62.4(135C) Admission criteria.  In addition to admission criteria found in 481—Chapter 57, the facility’s admission criteria shall include but not be limited to age, sex, diagnosis from the American Psychiatric Association Diagnostic and Statistical Manual of Mental Disorders, substance abuse, dual diagnosis and criteria that are consistent with the résumé of care. (III)

    481—62.5(135C) Evaluation services.      62.5(1)   Evaluation services shall be provided to each resident. An annual evaluation of each resident shall be completed no later than 12 months from the date of the last available evaluation. For residents who are on leave from a state mental health institution, the institution shall be responsible for the completion of the evaluation. The facility shall ensure the completion of the evaluation of all other residents. The annual evaluation shall identify physical health and current level of functioning and need for services. (II, III)    62.5(2)   The portion of the evaluation to identify the resident’s physical health shall:    a.    Result in identification of current illness and disabilities and recommendations for physical and physiological treatment and services. (II, III)    b.    Include an evaluation of the resident’s ability for health maintenance. (III)    c.    Be performed by a primary care provider. (II, III)    62.5(3)   Evaluation.    a.    The portion of the evaluation to identify the resident’s current level of functioning and need for services shall:    (1)   Identify the resident’s level of functioning and need for services in each of the following areas: self-care, community living skills, psychotherapeutic treatment, vocational skills, and academic skills. (II, III)    (2)   Be of sufficient detail to determine the appropriateness of placement according to the skills and needs of the resident. (II, III)    (3)   Be made without regard to the availability of services. (III)    (4)   Be performed by a QMHP, in consultation with the interdisciplinary team. (II, III)    b.    If an evaluation is available from the referral source, the evaluation shall be secured by the facility prior to the admission of the applicant. (III)    c.    If an evaluation is not available or does not contain all the required information, the facility shall ensure an evaluation to the extent necessary to determine if the applicant meets the criteria for admission. For those admitted, the remainder of the evaluation shall be performed prior to the development of a service plan. (III)    d.    Results of all evaluations shall be in writing and maintained in the resident’s record. Evaluations subsequent to the initial evaluation shall be performed in sufficient detail to determine changes in the resident’s physical health, skills and need for services. (II, III)    62.5(4)   A narrative social history shall be completed for each resident within 30 days of admission and approved by the qualified mental health professional prior to the development of the service plan. (III)    a.    When the social history was secured from another provider, the information contained shall be reviewed within 30 days of admission. The date of the review, signature of the staff reviewing the history, and a summary of significant changes in the information shall be entered in the resident’s record. (III)    b.    An annual review of the information contained within the social history shall be incorporated into the service plan progress note. (III)    c.    The social history shall minimally address the following areas:    (1)   Referral source and reason for admission, (II, III)    (2)   Legal status, (II, III)    (3)   A description of previous living arrangements, (III)    (4)   A description of previous services received and summary of current service involvements, (II, III)    (5)   A summary of significant medical conditions including, but not limited to, illnesses, hospitalizations, past and current drug therapies, and special diets, (II, III)    (6)   Substance abuse history, (II, III)    (7)   Work history, (III)    (8)   Educational history, (III)    (9)   Relationship with family, significant others, and other support systems, (III)    (10)   Cultural and ethnic background and religious affiliation, (II, III)    (11)   Hobbies and leisure time activities, (III)    (12)   Likes, dislikes, habits, and patterns of behavior, (II, III)    (13)   Impressions and recommendations. (II, III)       These rules are intended to implement Iowa Code section 135C.14(7).
        [Filed 3/14/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3740CInspections and Appeals Department[481]Adopted and Filed

    Rule making related to specialized licensure for three- to five-bed residential care facilities for the intellectually disabled

        The Department of Inspections and Appeals hereby rescinds Chapter 63, “Residential Care Facilities for the Intellectually Disabled,” and adopts a new Chapter 63, “Residential Care Facility—Three- to Five-Bed Specialized License,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code sections 10A.104(5) and 135C.14.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code section 135C.14.Purpose and Summary    Iowa Code section 135C.2(3)“b” allows the Department to establish by administrative rule special classifications within the residential care facility category for facilities intended to serve individuals who have special health care problems or conditions in common. Iowa Code section 135C.2(5) requires the Department to establish a special classification within the residential care facility category in order to foster the development of three- to five-bed residential care facilities that serve persons with an intellectual disability, chronic mental illness, a developmental disability, or brain injury.    Currently, Chapter 63 addresses licensure of residential care facilities for the intellectually disabled. After a review of the administrative rules related to licensure of several residential care facility types, the Department determined that an entire chapter specific to residential care facilities for the intellectually disabled was not necessary because many of the provisions of Chapter 63 overlapped with those in Chapter 57, “Residential Care Facilities.”    Additionally, the Department has determined that the current rule regarding licensure of these specialized units (481—63.47(135C)) is confusing as written and should be given its own chapter as the number of this type of facility is increasing in Iowa. Therefore, the amendment rescinds the current Chapter 63 and replaces it with a new Chapter 63, which details the specialized licensure of three- to five-bed residential care facilities serving persons with an intellectual disability, chronic mental illness, a developmental disability, or brain injury.Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on December 6, 2017, as ARC 3475C. A public hearing was held on January 3, 2018, at 10 a.m. in the Lucas State Office Building, Des Moines, Iowa. Representatives from Hillcrest Family Services and Community NeuroRehab were in attendance. Both companies operate small three- to five-bed residential care facilities, and both submitted written comments to the Department prior to the public hearing held on January 3, 2018.  Both the written comments and the oral comments focused on clarification of the rules, and the Department agreed with many of the comments.  In response to the comments, the Department made several changes to the rule making, including lessening the burden on operators of three- to five-bed facilities, clarifying the rules regarding group homes, reducing confusion regarding the difference between RCFs and the smaller three- to five-bed facilities, correcting an oversight by adding the mechanical restraint prohibition to the rule making, and updating language to reflect industry terminology.Adoption of Rule Making    This rule making was initially reviewed by the State Board of Health at its November 8, 2017, meeting, and subsequently approved by the Board at its March 14, 2018, meeting. This rule making was adopted by the Department on March 14, 2018.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 May 16, 2018.    The following rule-making action is adopted:

        ITEM 1.    Rescind 481—Chapter 63 and adopt the following new chapter in lieu thereof: CHAPTER 63RESIDENTIAL CARE FACILITY—THREE- TO FIVE-BED SPECIALIZED LICENSE

    481—63.1(135C) Definitions.  For the purpose of these rules, the following terms shall have the meanings indicated in this chapter. The definitions set out in Iowa Code section 135C.1 shall be considered to be incorporated verbatim in the rules.        "Accommodation" means the provision of lodging, including sleeping, dining, and living areas.        "Administrator" means a person approved by the department who administers, manages, supervises, and is in general administrative charge of a three- to five-bed residential care facility, whether or not such individual has an ownership interest in such facility, and whether or not the functions and duties are shared with one or more individuals.        "Ambulatory" means the condition of a person who immediately and without aid of another person is physically and mentally capable of traveling a normal path to safety, including the ascent and descent of stairs.        "Basement" means that part of a building where the finish floor is more than 30 inches below the finish grade of the building.        "Board" means the regular provision of meals.        "Change of ownership" means the purchase, transfer, assignment or lease of a licensed three- to five-bed residential care facility.        "Communicable disease" means a disease caused by the presence within a person’s body of a virus or microbial agents which may be transmitted either directly or indirectly to other persons.        "Department" means the state department of inspections and appeals.        "Interdisciplinary team" means the group of persons who develop a single, integrated, individual program plan to meet a resident’s needs for services. The interdisciplinary team consists of, at a minimum, the resident, the resident’s legal guardian if applicable, the resident’s advocate if desired by the resident, a referral agency representative, other appropriate staff members, other providers of services, and other persons relevant to the resident’s needs.        "Legal representative" means the resident’s guardian or conservator if one has been appointed or the resident’s power of attorney.        "Mechanical restraint" means restriction by the use of a mechanical device of a resident’s mobility or ability to use the hands, arms or legs.        "Medication" means any drug, including over-the-counter substances.        "Nonambulatory" means the condition of a person who immediately and without the aid of another person is not physically or mentally capable of traveling a normal path to safety, including the ascent and descent of stairs.        "Personal care" means assistance with the activities of daily living which the recipient can perform only with difficulty. Examples are help in getting in and out of bed, assistance with personal hygiene and bathing, help with dressing and eating, and supervision over medications which can be self-administered.        "Physical restraint" means direct physical contact on the part of a staff person to control a resident’s physical activity for the resident’s own protection or for the protection of others.        "Primary care provider" means any of the following who provide primary care and meet licensure standards:
    1. A physician who is a family or general practitioner or an internist.
    2. An advanced registered nurse practitioner.
    3. A physician assistant.
            "Program of care" means all services being provided for a resident in a health care facility.        "Prone restraint" means a restraint in which a resident is in a face-down position against the floor or another surface.        "Rate" means that daily fee charged for all residents equally and shall include the cost of all minimum services required in these rules.        "Records" includes electronic records.        "Responsible party" means the person who signs or cosigns the residency agreement required by rule 481—63.12(135C) or the resident’s legal representative. In the event that a resident has neither a legal representative nor a person who signed or cosigned the resident’s residency agreement, the term “responsible party” shall include the resident’s sponsoring agency, e.g., the department of human services, the U.S. Department of Veterans Affairs, a religious group, fraternal organization, or foundation that assumes responsibility and advocates for its client patients and pays for their health care.        "Restraints" means the measures taken to control a resident’s physical activity for the resident’s own protection or for the protection of others.        "Specialized residential care facility license" means a license for three- to five-bed residential care facilities serving persons with an intellectual disability, chronic mental illness, a developmental disability or brain injury.

    481—63.2(135C,17A) Waiver or variance.  A waiver or variance from these rules may be granted by the director of the department in accordance with 481—Chapter 6. A request for waiver or variance will be granted or denied by the director within 120 calendar days of receipt.

    481—63.3(135C) Application for licensure.      63.3(1) Application and licensing—new facility or change of ownership.  In order to obtain a specialized residential care facility license for a facility not currently licensed as a specialized residential care facility or for a specialized residential care facility when a change of ownership is contemplated, the applicant must:    a.    Make application at least 30 days prior to the proposed opening date of the facility. Application shall be made on forms provided by the department.    b.    Meet all of the rules, regulations, and standards contained in this chapter and in 481—Chapters 50 and 60. Exceptions noted in 481—subrule 60.3(2) shall not apply.    c.    Submit a letter of intent and a written résumé of care. The résumé of care shall meet the requirements of subrule 63.3(2).    d.    Submit a floor plan of each floor of the residential care facility. The floor plan of each floor shall be drawn on 8½″ × 11″ paper, show room areas in proportion, room dimensions, window and door locations, designation of the use of each room, and the room numbers for all rooms, including bathrooms.    e.    Submit a photograph of the front and side of the residential care facility.    f.    Submit the fee for a specialized residential care facility license in accordance with 481—paragraph 50.3(2)“a.”    g.    Comply with all other local statutes and ordinances in existence at the time of licensure.    h.    Submit a certificate signed by the state or local fire inspection authority as to compliance with fire safety rules and regulations.    63.3(2) Résumé of care.  The résumé of care shall describe the following:    a.    Purpose of the facility;    b.    Criteria for admission to the facility;    c.    Ownership of the facility;    d.    Composition and responsibilities of the governing board;    e.    Qualifications and responsibilities of the administrator;    f.    Medical services provided to residents, to include the availability of emergency medical services in the area and the designation of a primary care provider to be responsible for residents in an emergency;    g.    Dental services provided to residents and available in the area;    h.    Nursing services provided to residents, if applicable;    i.    Personal services provided to residents, including supervision of or assistance with activities of daily living;    j.    Activity program;    k.    Dietary services, including qualifications of the person in charge, consultation service (if applicable) and meal service;    l.    Other services available as applicable, including social services, physical therapy, occupational therapy, and recreational therapy;    m.    Housekeeping;    n.    Laundry;    o.    Physical plant; and    p.    Staffing provided to meet residents’ needs.    63.3(3) Renewal application.  In order to obtain a renewal of the specialized residential care facility license, the applicant must submit the following:    a.    The completed application form 30 days prior to the annual license renewal date of the residential care facility license;    b.    The fee for a specialized residential care facility license in accordance with 481—paragraph 50.3(2)“a”;    c.    An approved current certificate signed by the state or local fire inspection authority as to compliance with fire safety rules and regulations;    d.    Changes to the résumé of care, if any; and    e.    Changes to the current residency agreement, if any.

    481—63.4(135C) Issuance of license.  Licenses are issued to the person, entity or governmental unit with responsibility for the operation of the facility and for compliance with all applicable statutes, rules and regulations.

    481—63.5(135C) General requirements.      63.5(1)   The license shall be displayed in the facility in a conspicuous place which is accessible to the public. (III)    63.5(2)   The license shall be valid only in the possession of the licensee to whom it is issued.    63.5(3)   The posted license shall accurately reflect the current status of the facility. (III)    63.5(4)   The license shall expire one year after the date of issuance or as indicated on the license.    63.5(5)   The licensee shall:    a.    Assume the responsibility for the overall operation of the facility. (I, II, III)    b.    Be responsible for compliance with all applicable laws and with the rules of the department. (I, II, III)    c.    Provide an organized continuous 24-hour program of care commensurate with the needs of the residents. (I, II, III)    63.5(6)   Each citation or a copy of each citation issued by the department for a class I or class II violation shall be prominently posted by the facility in plain view of the residents, visitors, and persons inquiring about placement in the facility. The citation or copy of the citation shall remain posted until the violation is corrected to the satisfaction of the department. (I, II, III)

    481—63.6(135C) Required notifications to the department.  The department shall be notified:    63.6(1)   Thirty days before any proposed change in the residential care facility’s functional operation or addition or deletion of required services; (III)    63.6(2)   Thirty days before the beginning of the renovation, addition, functional alteration, change of space utilization, or conversion in the residential care facility or on the premises; (III)    63.6(3)   Thirty days before closure of the residential care facility; (III)    63.6(4)   Within two weeks of any change in administrator; (III)    63.6(5)   Ninety days before a change in the category of license; (III)    63.6(6)   Thirty days before a change of ownership. The licensee shall:    a.    Inform the department of the pending change of ownership; (III)    b.    Inform the department of the name and address of the prospective purchaser, transferee, assignee, or lessee; (III)    c.    Submit a written authorization to the department permitting the department to release all information of whatever kind from the department’s files concerning the licensee’s residential care facility to the named prospective purchaser, transferee, assignee, or lessee. (III)

    481—63.7(135C) Administrator.  Each facility shall have one person in charge, duly approved by the department or acting in a provisional capacity in accordance with these rules. (III)    63.7(1) Qualifications of an administrator.      a.    The administrator shall be at least 21 years of age and shall have a high school diploma or equivalent. (III) In addition, this person shall meet at least one of the following conditions:    (1)   Have a two-year degree in human services, psychology, sociology, nursing, health care administration, public administration, or a related field and have a minimum of two years’ experience in the field; or (III)    (2)   Have a four-year degree in human services, psychology, sociology, nursing, health care administration, public administration, or a related field and have a minimum of one year of experience in the field; or (III)    (3)   Have a master’s degree in human services, psychology, sociology, nursing, health care administration, public administration, or a related field and have a minimum of one year of experience in the field; or (III)    (4)   Be a licensed nursing home administrator; or (III)    (5)   Have completed a one-year educational training program approved by the department for residential care facility administrators; or (III)    (6)   Have passed the National Association of Long Term Care Administrator Boards (NAB) RC/AL administrator licensure examination; or    (7)   Have two years of direct care experience and at least six months of administrative experience in a residential care facility. (III)    b.    The administrator shall have at least one year of documented experience in a supervisory or direct care position working with persons with an intellectual disability, mental illness, a developmental disability, or brain injury.    c.    An individual employed as an administrator on May 16, 2018, will be deemed to meet the requirements of this subrule.    63.7(2) Duties of an administrator.  The administrator shall:    a.    Select and direct competent personnel who provide services for the residential care program. (III)    b.    Provide in-service educational programming for all employees with direct resident contact and maintain records of programs and participants. (III) In-service educational programming offered during each calendar year shall include, at minimum, the following topics: (I, II, III)    (1)   Infection control.    (2)   Emergency preparedness (e.g., fire, tornado, flood, 911).    (3)   Meal time procedures/dietary.    (4)   Resident activities.    (5)   Mental illness, brain injury or intellectual disabilities, including behavioral intervention, de-escalation, and crisis intervention techniques.    (6)   Resident safety/supervision.    (7)   Resident rights.    (8)   Medication education, to include administration, storage and drug interactions.    (9)   Resident service plans/programming/goals.    63.7(3) Administrator serving at more than one residential care facility.  The administrator may be responsible for no more than 150 beds in total if the administrator is an administrator of more than one facility. (II)    a.    An administrator of more than one facility shall designate in writing an administrative staff person in each facility who shall be responsible for directing programs in the facility.    b.    The administrative staff person designated by the administrator shall:    (1)   Have at least one year of documented experience in a supervisory or direct care position working with persons with an intellectual disability, mental illness, a developmental disability, or brain injury; (II, III)    (2)   Be knowledgeable of the operation of the facility; (II, III)    (3)   Have access to records concerned with the operation of the facility; (II, III)    (4)   Be capable of carrying out administrative duties and of assuming administrative responsibilities; (II, III)    (5)   Be at least 21 years of age; (III)    (6)   Be empowered to act on behalf of the licensee concerning the health, safety and welfare of the residents; and (II, III)    (7)   Have training in emergency response, including how to respond to residents’ sudden illnesses. (II, III)    c.    If an administrator serves more than one facility, the administrator must designate in writing regular and specific times during which the administrator will be available to consult with staff and residents to provide direction and supervision of resident care and services. (II, III)    63.7(4) Provisional administrator.  A provisional administrator may be appointed on a temporary basis by the residential care facility licensee to assume the administrative responsibilities for a residential care facility for a period not to exceed one year when the facility has lost its administrator and has not been able to replace the administrator, provided that the department has been notified and has approved the provisional administrator prior to the date of the provisional administrator’s appointment. (III) The provisional administrator must meet the requirements of paragraph 63.7(3)“b.”    63.7(5) Temporary absence of administrator.      a.    In the temporary absence of the administrator, a responsible person shall be designated in writing to the department to be in charge of the facility. (III) The person designated shall:    (1)   Be knowledgeable of the operation of the facility; (III)    (2)   Have access to records concerned with the operation of the facility; (III)    (3)   Be capable of carrying out administrative duties and of assuming administrative responsibilities; (III)    (4)   Be at least 21 years of age; (III)    (5)   Be empowered to act on behalf of the licensee during the administrator’s absence concerning the health, safety, and welfare of the residents; (III)    (6)   Have training in emergency response, including how to respond to residents’ sudden illnesses. (II, III)    b.    If the administrator is absent for more than six weeks, a provisional administrator must be appointed pursuant to subrule 63.7(4).

    481—63.8(135C) Personnel.      63.8(1) Alcohol and drug use prohibited.  No person under the influence of intoxicating drugs or alcoholic beverages shall be permitted to provide services in a residential care facility. (I, II)    63.8(2) Job description.  There shall be a written job description developed for each category of worker. The job description shall include the job title, responsibilities and qualifications. (III)    63.8(3) Employee criminal record, child abuse and dependent adult abuse checks and employment of individuals who have committed a crime or have a founded abuse.  The facility shall comply with the requirements found in Iowa Code section 135C.33 and rule 481—50.9(135C) related to completion of criminal record checks, child abuse checks, and dependent adult abuse checks and to employment of individuals who have committed a crime or have a founded abuse. (I, II, III)    63.8(4) Personnel record.  A personnel record shall be kept for each employee and shall include but not be limited to the following information about the employee: name and address; social security number; date of birth; date of employment; position; job description; experience and education; results of criminal record checks, child abuse checks and dependent adult abuse checks; and date of discharge or resignation. (III)    63.8(5) Supervision and staffing.      a.    The facility shall provide sufficient staff to meet the needs of the residents served. (I, II, III)    b.    Personnel in a specialized residential care facility shall provide 24-hour coverage for residential care services. Personnel shall be up and dressed when residents are awake. (I, II, III)    c.    Direct care staff shall be present in the facility unless all residents are involved in activities away from the facility. (I, II, III)    d.    Staff shall be aware of and provide supervision levels based on the present needs of the residents in the staff’s care. The facility shall document the supervision of residents who require more than general supervision, as defined by facility policy. (I, II, III)    e.    The facility shall maintain an accurate record of actual hours worked by employees. (III)    63.8(6) Physical examination and screening.  Employees shall have a physical examination within 12 months prior to beginning employment and every four years thereafter. Screening and testing for tuberculosis shall be conducted pursuant to 481—Chapter 59. (I, II, III)

    481—63.9(135C) General policies.  The licensee shall establish and implement written policies and procedures as set forth in this rule. The policies and procedures shall be available for review by the department, other agencies designated by Iowa Code section 135C.16(3), staff, residents, residents’ families or legal representatives, and the public and shall be reviewed by the licensee annually. (II)    63.9(1) Facility operation.  The licensee shall establish written policies for the operation of the facility, including but not limited to the following: (III)    a.    Personnel; (III)    b.    Admission; (III)    c.    Evaluation services; (II, III)    d.    Programming and individual program plans; (II, III)    e.    Registered sex offender management; (II, III)    f.    Crisis intervention; (II, III)    g.    Discharge or transfer; (III)    h.    Medication management, including self-administration of medications and chemical restraints; (III)    i.    Resident property; (II, III)    j.    Resident finances; (II, III)    k.    Records; (III)    l.    Health and safety; (II, III)    m.    Nutrition; (III)    n.    Physical facilities and maintenance; (III)    o.    Resident rights; (II, III)    p.    Investigation and reporting of alleged dependent adult abuse; (II, III)    q.    Investigation and reporting of accidents or incidents; (II, III)    r.    Transportation of residents; (II, III)    s.    Resident supervision; (II, III)    t.    Smoking; (III)    u.    Visitors; (III)    v.    Disaster/emergency planning; (III) and    w.    Infection control. (III)    63.9(2) Personnel policies.  Written personnel policies shall include the hours of work and attendance at educational programs. (III)    63.9(3) Infection control.  The facility shall have a written and implemented infection control program, which shall include policies and procedures based on guidelines issued by the Centers for Disease Control and Prevention, U.S. Department of Health and Human Services. The infection control program shall address the following:    a.    Techniques for hand washing; (I, II, III)    b.    Techniques for the handling of blood, body fluids, and body wastes; (I, II, III)    c.    Dressings, soaks or packs; (I, II, III)    d.    Infection identification; (I, II, III)    e.    Resident care procedures to be used when there is an infection present; (I, II, III)    f.    Sanitation techniques for resident care equipment; (I, II, III)    g.    Techniques for sanitary use and reuse of feeding syringes and single-resident use and reuse of urine collection bags; (I, II, III) and    h.    Techniques for use and disposal of needles, syringes, and other sharp instruments. (I, II, III)    63.9(4) Resident care techniques.  The facility shall have written and implemented procedures to be followed if a resident needs any of the following treatment or devices:    a.    Intravenous or central line catheter; (I, II, III)    b.    Urinary catheter; (I, II, III)    c.    Respiratory suction, oxygen or humidification; (I, II, III)    d.    Decubitus care; (I, II, III)    e.    Tracheostomy; (I, II, III)    f.    Nasogastric or gastrostomy tubes; (I, II, III)    g.    Sanitary use and reuse of feeding syringes and single-resident use and reuse of urine collection bags. (I, II, III)    63.9(5) Emergency care.  The facility shall establish written policies for the provision of emergency medical care to residents and employees in case of sudden illness or accident. The policies shall include a list of those individuals to be contacted in case of an emergency. (I, II, III)

    481—63.10(135C) Admission, transfer and discharge.      63.10(1) General admission policies.      a.    Residents shall be admitted to a specialized residential care facility only on a written order signed by a primary care provider or psychiatrist, specifying the level of care, and certifying that the individual being admitted requires no more than personal care and supervision and does not require routine nursing care. (II, III)    b.    No residential care facility shall admit or retain a resident who is in need of greater services than the facility can provide. (I, II, III)    c.    No residential care facility shall admit more residents than the number of beds for which the facility is licensed. (II, III)    d.    A residential care facility is not required to admit an individual through court order, referral or other means without the express prior approval of the administrator. (III)    e.    The admission of a resident shall not grant the residential care facility the authority or responsibility to manage the personal affairs of the resident except as may be necessary for the safety of the resident and the safe and orderly management of the residential care facility as required by these rules. (III)    f.    Individuals under the age of 18 shall not be admitted to a residential care facility without prior written approval by the department. A distinct part of a residential care facility, segregated from the adult section, may be established based on a résumé of care that is submitted by the licensee or applicant and is commensurate with the needs of the residents of the residential care facility and that has received the department’s review and approval. (III)    g.    No health care facility and no owner, administrator, employee or representative thereof shall act as guardian, trustee, or conservator for any resident’s property unless such resident is related within the third degree of consanguinity to the person acting as guardian. (III)    63.10(2) Discharge or transfer.      a.    Notification shall be made to the legal representative, primary care provider, psychiatrist, if any, and sponsoring agency, if any, prior to the transfer or discharge of any resident. (III)    b.    The licensee shall not refuse to discharge or transfer a resident when the primary care provider, family, resident, or legal representative requests such transfer or discharge. (II, III)    c.    Advance notification will be made to the receiving facility prior to the transfer of any resident. (III)    d.    When a resident is transferred or discharged, the appropriate record will accompany the resident to ensure continuity of care. “Appropriate record” includes the resident’s face sheet, service plan, most recent orders of the primary care provider and any notifications of upcoming scheduled appointments. (II, III)    e.    When a resident is transferred or discharged, the resident’s unused prescriptions shall be sent with the resident or with a legal representative only upon the written order of a primary care provider. (II, III)

    481—63.11(135C) Involuntary discharge or transfer.      63.11(1) Involuntary discharge or transfer permitted.  A facility may involuntarily discharge or transfer a resident for only one of the following reasons:    a.    Medical reasons;    b.    The resident’s welfare or that of other residents;    c.    Repeated refusal by the resident to participate in the resident’s service plan;    d.    Due to action pursuant to Iowa Code chapter 229; or    e.    Nonpayment for the resident’s stay, as described in the residency agreement for the resident’s stay.    63.11(2) Medical reasons.  Medical reasons for transfer or discharge shall be based on the resident’s needs and shall be determined and documented in the resident’s record by the primary care provider. Transfer or discharge may be required in order to provide a different level of care to the resident. (II)    63.11(3) Welfare of a resident.  Welfare of a resident or that of other residents refers to a resident’s social, emotional, or physical well-being. A resident may be transferred or discharged because the resident’s behavior poses a continuing threat to the resident (e.g., suicidal) or to the well-being of other residents or staff (e.g., the resident’s behavior is incompatible with other residents’ needs and rights). Written documentation that the resident’s continued presence in the facility would adversely affect the resident’s own welfare or that of other residents shall be made by the administrator or designee and shall include specific information to support this determination. (II)    63.11(4) Notice.  Involuntary transfer or discharge of a resident from a facility shall be preceded by a written notice to the resident and the responsible party. (II, III)    a.    The notice shall contain all of the following information:    (1)   The stated reason for the proposed transfer or discharge. (II)    (2)   The effective date of the proposed transfer or discharge. (II)    (3)   A statement, in not less than 12-point type, that reads as follows: (II)You have a right to appeal the facility’s decision to transfer or discharge you. If you think you should not have to leave this facility, you may request a hearing, in writing or verbally, with the Iowa department of inspections and appeals (hereinafter referred to as “department”) within 7 days after receiving this notice. You have a right to be represented at the hearing by an attorney or any other individual of your choice. If you request a hearing, it will be held no later than 14 days after receipt of your request by the department and you will not be transferred prior to a final decision. In emergency circumstances, extension of the 14-day requirement may be permitted upon request to the department’s designee. If you lose the hearing, you will not be transferred before the expiration of (1) 30 days following receipt of the original notice of the discharge or transfer, or (2) 5 days following final decision of such hearing, including exhaustion of all appeals, whichever occurs later. To request a hearing or receive further information, call the department at (515)281-4115, or write to the department to the attention of: Administrator, Division of Health Facilities, Department of Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319-0083.    b.    The notice shall be personally delivered to the resident and a copy placed in the resident’s record. A copy shall also be transmitted to the department; the resident’s responsible party; the resident’s primary care provider; and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. The notice shall indicate that a copy has been transmitted to the required parties by using the abbreviation “cc:” and listing the names of all parties to whom copies were sent. (II)    c.    The notice required by paragraph 63.11(4)“a” shall be provided at least 30 days in advance of the proposed transfer or discharge unless one of the following occurs: (II)    (1)   An emergency transfer or discharge is mandated by the resident’s health care needs and is in accordance with the written orders and medical justification of the primary care provider. Emergency transfers or discharges may also be mandated in order to protect the health, safety, or well-being of other residents and staff from the resident being transferred. (II)    (2)   The transfer or discharge is subsequently agreed to by the resident or the resident’s responsible party, and notification is given to the responsible party, the resident’s primary care provider, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility.    d.    A hearing requested pursuant to this subrule shall be held in accordance with subrule 63.11(6).    63.11(5) Emergency transfer or discharge.  In the case of an emergency transfer or discharge, the resident must be given a written notice prior to or within 48 hours following transfer or discharge. (II, III)    a.    A copy of this notice must be placed in the resident’s file. The notice must contain all of the following information:    (1)   The stated reason for the transfer or discharge. (II)    (2)   The effective date of the transfer or discharge. (II)    (3)   A statement, in not less than 12-point type, that reads: (II)You have a right to appeal the facility’s decision to transfer or discharge you on an emergency basis. If you think you should not have to leave this facility, you may request a hearing, in writing or verbally, with the Iowa department of inspections and appeals (hereinafter referred to as “department”) within 7 days after receiving this notice. You have the right to be represented at the hearing by an attorney or any other individual of your choice. If you request a hearing, it will be held no later than 14 days after receipt of your request by the department. You may be transferred or discharged before the hearing is held or before a final decision is rendered. If you win the hearing, you have the right to be transferred back into the facility. To request a hearing or receive further information, call the department at (515)281-4115, or write to the department to the attention of: Administrator, Division of Health Facilities, Department of Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319-0083.    b.    The notice shall be personally delivered to the resident and a copy placed in the resident’s record. A copy shall also be transmitted to the department; the resident’s responsible party; the resident’s primary care provider; and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. The notice shall indicate that a copy has been transmitted to the required parties by using the abbreviation “cc:” and listing the names of all parties to whom copies were sent. (II)    c.    A hearing requested pursuant to this subrule shall be held in accordance with subrule 63.11(6).    63.11(6) Hearing.      a.    Request for hearing.    (1)   The resident must request a hearing within 7 days of receiving the written notice.    (2)   The request must be made to the department, either in writing or verbally.    b.    The hearing shall be held no later than 14 days after receipt of the request by the department unless the resident requests an extension due to emergency circumstances.    c.    Except in the case of an emergency discharge or transfer, a request for a hearing shall stay a transfer or discharge pending a final decision, including the exhaustion of all appeals. (II)    d.    The hearing shall be heard by a department of inspections and appeals administrative law judge pursuant to Iowa Code chapter 17A and 481—Chapter 10. The hearing shall be public unless the resident or the resident’s legal representative requests in writing that the hearing be closed. In a determination as to whether a transfer or discharge is authorized, the burden of proof by a preponderance of evidence rests on the party requesting the transfer or discharge.    e.    Notice of the date, time, and place of the hearing shall be sent by certified mail or delivered in person to the facility, the resident, the responsible party, and the office of the long-term care ombudsman not later than 5 full business days after receipt of the request. The notice shall also inform the facility and the resident or the responsible party that they have a right to appear at the hearing in person or be represented by an attorney or other individual. The appeal shall be dismissed if neither party is present or represented at the hearing. If only one party appears or is represented, the hearing shall proceed with one party present. A representative of the office of the long-term care ombudsman shall have the right to appear at the hearing.    f.    The administrative law judge’s written decision shall be mailed by certified mail to the licensee, resident, responsible party, and the office of the long-term care ombudsman within 10 working days after the hearing has been concluded.    63.11(7) Nonpayment.  If nonpayment is the basis for involuntary transfer or discharge, the resident shall have the right to make full payment up to the date that the discharge or transfer is to be made and then shall have the right to remain in the facility. (II)    63.11(8) Discussion of involuntary transfer or discharge.  Within 48 hours after notice of involuntary transfer or discharge has been received by the resident, the facility shall discuss the involuntary transfer or discharge with the resident, the resident’s responsible party, and the person or agency responsible for the resident’s placement, maintenance, and care in the facility. (II)    a.    The facility administrator or other appropriate facility representative serving as the administrator’s designee shall provide an explanation and discussion of the reasons for the resident’s involuntary transfer or discharge. (II)    b.    The content of the explanation and discussion shall be summarized in writing, shall include the names of the individuals involved in the discussion, and shall be made part of the resident’s record. (II)    c.    The provisions of this subrule do not apply if the involuntary transfer or discharge has already occurred pursuant to subrule 63.11(5) and emergency notice is provided within 48 hours.    63.11(9) Transfer or discharge planning.      a.    The facility shall develop a plan to provide for the orderly and safe transfer or discharge of each resident to be transferred or discharged. (II)    b.    To minimize the possible adverse effects of the involuntary transfer, the resident shall be offered counseling services by the sending facility before the involuntary transfer and by the receiving facility after the involuntary transfer. Counseling, if accepted, shall be provided by a licensed mental health professional as defined in Iowa Code section 228.1(6). Counseling shall be documented in the resident’s record. (II)    c.    The counseling requirement in paragraph 63.11(9)“b” does not apply if the discharge has already occurred pursuant to subrule 63.11(5) and emergency notice is provided within 48 hours.    d.    The receiving health care facility of a resident involuntarily transferred shall immediately formulate and implement a plan of care which takes into account possible adverse effects the transfer may cause. (II)    63.11(10) Transfer upon revocation of license or voluntary closure.  Residents shall not have the right to a hearing to contest an involuntary discharge or transfer resulting from the revocation of the facility’s license by the department of inspections and appeals. In the case of the voluntary closure of a facility, a period of 30 days must be allowed for an orderly transfer of residents to other facilities.    63.11(11) Intrafacility transfer.      a.    Residents shall not be arbitrarily relocated from room to room within a licensed health care facility. (I, II) Involuntary relocation may occur only in the following situations, which shall be documented in the resident’s record: (II)    (1)   Incompatibility with or disturbing to other roommates.    (2)   For the welfare of the resident or other residents of the facility.    (3)   To allow a new admission to the facility that would otherwise not be possible due to separation of roommates by sex.    (4)   In the case of a resident whose source of payment was previously private, but who now is eligible for Title XIX (Medicaid) assistance, the resident may be transferred from a private room to a semiprivate room or from one semiprivate room to another.    (5)   Reasonable and necessary administrative decisions regarding the use and functioning of the building.    b.    Unreasonable and unjustified reasons for changing a resident’s room without the concurrence of the resident or responsible party include:    (1)   Change from private pay status to Title XIX, except as outlined in subparagraph 63.11(11)“a”(4). (II)    (2)   As punishment or behavior modification, except as specified in subparagraph 63.11(11)“a”(1). (II)    (3)   Discrimination on the basis of race or religion. (II)    c.    If intrafacility relocation is necessary for reasons outlined in paragraph 63.11(11)“a,” the resident shall be notified at least 48 hours prior to the transfer and the reason therefor shall be explained. The responsible party shall be notified as soon as possible. The notification shall be documented in the resident’s record and signed by the resident or responsible party. (II, III)    d.    If emergency relocation is required in order to protect the safety or health of the resident or other residents, the notification requirements may be waived. The conditions of the emergency shall be documented. The family or responsible party shall be notified immediately or as soon as possible of the condition that necessitates emergency relocation, and such notification shall be documented. (II, III)    e.    A transfer to a part of a facility that has a different license must be handled the same way as a transfer to another facility, and not as an intrafacility transfer. (II, III)

    481—63.12(135C) Residency agreement.      63.12(1)   Each residency agreement shall:    a.    State the base rate or scale per day or per month, the services included, and the method of payment. (III)    b.    Contain a complete schedule of all offered services for which a fee may be charged in addition to the base rate. (III) Furthermore, the agreement shall:    (1)   Stipulate that no further additional fees shall be charged for items not contained in the complete schedule of services; (III)    (2)   State the method of payment for additional charges; (III)    (3)   Contain an explanation of the method of assessment of such additional charges and an explanation of the method of periodic reassessment, if any, resulting in changing such additional charges; (III)    (4)   State that additional fees may be charged to the resident for nonprescription drugs, other personal supplies, and services provided by a barber, beautician, and such. (III)    c.    Contain an itemized list of services to be provided to the resident based on an assessment at the time of the resident’s admission and in consultation with the administrator and including the specific fee the resident will be charged for each service and the method of payment. (III)    d.    Include the total fee to be charged initially to the resident. (III)    e.    State the conditions whereby the facility may make adjustments to its overall fees for resident care as a result of changing costs. (II, III) Furthermore, the agreement shall provide that the facility shall give:    (1)   Written notification to the resident, or the responsible party when appropriate, of changes in the overall rates of both base and additional charges at least 30 days prior to the effective date of such changes; (II, III)    (2)   Notification to the resident, or the responsible party when appropriate, of changes in additional charges, based on a change in the resident’s condition. Notification must occur prior to the date such revised additional charges begin. If notification is given orally, subsequent written notification must also be given within a reasonable time, not to exceed one week, listing specifically the adjustments made. (II, III)    f.    State the terms of agreement in regard to a refund of all advance payments in the event of the transfer, death, or voluntary or involuntary discharge of the resident. (II, III)    g.    State the terms of agreement concerning the holding of and charging for a bed when a resident is hospitalized or leaves the facility temporarily for recreational or therapeutic reasons. The terms shall contain a provision that the bed will be held at the request of the resident or the resident’s responsible party. (II, III)    (1)   The facility shall ask the resident or responsible party whether the resident’s bed should be held. This request shall be made before the resident leaves or within 48 hours after the resident leaves. The inquiry and the response shall be documented. (II, III)    (2)   The facility shall inform the resident or responsible party that, when requested, the bed may be held beyond the number of days designated by the funding source, as long as payments are made in accordance with the agreement. (II, III)    h.    State the conditions under which the involuntary discharge or transfer of a resident would be effected. (II, III)    i.    Set forth any other matters deemed appropriate by the parties to the agreement. No agreement or any provision thereof shall be drawn or construed so as to relieve any health care facility of any requirement or obligation imposed upon it by this chapter or any standards or rules in force pursuant to this chapter. (II, III)    63.12(2)   Each party to the residency agreement shall be provided a copy of the signed agreement. (II, III)

    481—63.13(135C) Medical examinations.      63.13(1)   Each resident in a residential care facility shall have a designated primary care provider who may be contacted when needed. (II, III)    63.13(2)   Each resident admitted to a residential care facility shall have a physical examination prior to admission. (II, III)    a.    If the resident is admitted directly from a hospital, a copy of the hospital admission physical and discharge summary may be a part of the record in lieu of an additional physical examination. A record of the examination, signed by the primary care provider, shall be a part of the resident’s record. (II, III)    b.    The record of the admission physical examination and medical history shall portray the current medical status of the resident and shall include the resident’s name, sex, age, medical history, physical examination, diagnosis, statement of medical concerns, and results of any diagnostic procedures. (II, III)    c.    Screening and testing for tuberculosis shall be conducted pursuant to 481—Chapter 59. (I, II, III)    63.13(3)   The person in charge shall immediately notify the primary care provider of any accident, injury or adverse change in the resident’s condition that has the potential for requiring further medical treatment. (I, II, III)    63.13(4)   Each resident shall be visited by or shall visit the resident’s primary care provider at least once each year. The one-year period shall be measured from the date of admission and does not include the resident’s preadmission physical. (III)

    481—63.14(135C) Records.      63.14(1) Resident record.  The licensee shall keep a permanent record on all residents admitted to a specialized residential care facility with all entries current, dated, and signed. (III) The record shall include:    a.    Name and previous address of resident; (III)    b.    Birth date, sex, and marital status of resident; (III)    c.    Church affiliation; (III)    d.    Primary care provider’s name, telephone number, and address; (III)    e.    Dentist’s name, telephone number, and address; (III)    f.    Name, address, and telephone number of next of kin or legal representative; (III)    g.    Name, address, and telephone number of person to be notified in case of emergency; (III)    h.    Mortuary’s name, telephone number, and address; (III)    i.    Pharmacist’s name, telephone number, and address; (III)    j.    Physical examination and medical history; (III)    k.    Certification by the primary care provider that the resident requires no more than personal care and supervision, but does not require nursing care; (III)     l.    Primary care provider’s orders for medication, treatment, and diet in writing and signed by the primary care provider; (III)     m.    A notation of yearly or other visits to primary care provider or other professional services; (III)    n.    Any change in the resident’s condition; (II, III)    o.    If the primary care provider has certified that the resident is capable of taking prescribed medications, the resident shall be required to keep the administrator advised of current medications, treatments, and diet. The administrator shall keep a listing of medication, treatments, and diet prescribed by the primary care provider for each resident; (III)     p.    If the primary care provider has certified that the resident is not capable of taking prescribed medication, it must be administered by a qualified person of the facility. A qualified person shall be defined as either a registered or licensed practical nurse or an individual who has completed the state-approved training course in medication administration, including a medication manager or certified medication aide; (II)    q.    Medications administered by an employee of the facility shall be recorded on a medication record by the individual who administers the medication; (II, III)    r.    A notation describing the resident’s condition on admission, transfer, and discharge; (III)    s.    In the event of a resident’s death, notations in the resident’s record shall include the date and time of the resident’s death, the circumstances of the resident’s death, the disposition of the resident’s body, and the date and time that the resident’s family and primary care provider were notified of the resident’s death; (III)    t.    A copy of instructions given to the resident, legal representative, or facility in the event of discharge or transfer; (III)    u.    Disposition of valuables; (III)    v.    Current individual program plans. (II, III)    63.14(2) Confidentiality of resident records.       a.    Each resident shall be ensured confidential treatment of all information contained in the resident’s records. The resident’s written consent shall be required for the release of information to persons not otherwise authorized under law to receive it. (II)    b.    The facility shall limit access to any medical records to staff and consultants providing professional service to the resident. This is not meant to preclude access by representatives of state and federal regulatory agencies. (II)     c.    Similar procedures shall safeguard the confidentiality of residents’ personal records, e.g., financial records and social services records. Only those personnel concerned with the financial affairs of the residents may have access to the financial records. This is not meant to preclude access by representatives of state and federal regulatory agencies. (II)    d.    The resident or the resident’s responsible party shall be entitled to examine all information contained in the resident’s record and shall have the right to secure full copies of the record at reasonable cost upon request, unless the primary care provider determines the disclosure of the record or section thereof is contraindicated in which case this information will be deleted before the record is made available to the resident or responsible party. This determination and the reasons for it must be documented in the resident’s record. (II)    63.14(3) Incident record.      a.    Each residential care facility shall maintain an incident record report and shall have available incident report forms. (II, III)    b.    Report of incidents shall be in detail on an incident report form. (III)    c.    The person in charge at the time of the incident shall oversee the preparation of and sign the incident report. The administrator or designee shall review, sign and date the incident report within 72 hours of the accident, incident or unusual occurrence. (II, III)    d.    An incident report shall be completed for every accident or incident where there is apparent injury or where an injury of unknown origin may have occurred. (II)    e.    An incident report shall be completed for every accident, incident or unusual occurrence within the facility or on the premises that affects a resident, visitor, or employee. (II, III)    f.    A copy of the incident report shall be kept on file in the facility. (II, III)    63.14(4) Retention of records.      a.    Records shall be retained in the facility for five years following the termination of services to a resident. (III)    b.    Records shall be retained within the facility upon change of ownership. (III)    c.    When the facility ceases to operate, a copy of the resident’s record shall be released to the facility to which the resident is transferred. (III)    d.    When the facility ceases to operate, records shall be maintained for five years in a clean, dry secured storage area. (III)    63.14(5) Electronic records.  In addition to the access provided in 481—subrule 50.10(2), an authorized representative of the department shall be provided unrestricted access to electronic records pertaining to the care provided to the residents of the facility. (II, III)    a.    If access to an electronic record is requested by the authorized representative of the department, the facility may provide a tutorial on how to use its particular electronic system or may designate an individual who will, when requested, access the system, respond to any questions or assist the authorized representative as needed in accessing electronic information in a timely fashion. (II, III)    b.    The facility shall provide a terminal where the authorized representative may access records. (II, III)    c.    If the facility is unable to provide direct print capability to the authorized representative, the facility shall make available a printout of any record or part of a record on request in a time frame that does not intentionally prevent or interfere with the department’s survey or investigation. (II, III)    63.14(6) Reports to the department.  The licensee shall furnish statistical information concerning the operation of the facility to the department on request. (III)    63.14(7) Personnel record.      a.    Personnel records for each employee shall be kept in accordance with subrule 63.8(4). (III)    b.    The personnel records shall be made available for review upon request by the department. (III)

    481—63.15(135C) Resident care and personal services.      63.15(1)   A complete change of bed linens shall be provided at least once a week and more often if necessary. (III)    63.15(2)   Residents shall receive sufficient supervision to promote personal cleanliness. (II, III)    63.15(3)   Residents shall have clean clothing as needed. Clothing shall be appropriate to residents’ activities and to the weather. (III)    63.15(4)   Residents shall be encouraged to bathe at least twice a week. (II, III)    63.15(5)   All nonambulatory residents shall be housed on the grade level floor unless the facility has a suitably sized elevator. (II)

    481—63.16(135C) Drugs.      63.16(1) Drug storage.      a.    Residents who have been certified in writing by their primary care provider as capable of taking their own medications may retain these medications in their bedroom, but locked storage must be provided, with staff and the resident having access, and the drug storage shall be kept locked when not in use. Monitoring of the storage, administration, and documentation by the resident shall be carried out by a person who meets the requirements of subrule 63.16(3) and is responsible for administering medications. (II, III)    b.    Drug storage for residents who are unable to take their own medications and require supervision shall meet the following requirements:    (1)   Locked storage for drugs, solutions, and prescriptions shall be provided. (III)    (2)   A bathroom shall not be used for drug storage. (III)    (3)   The drug storage shall be kept locked when not in use. (III)    (4)   The drug storage key shall be secured and available only to those employees charged with the responsibility of administering medications. (II, III)    (5)   Schedule II drugs, as defined by Iowa Code chapter 124, shall be kept in a locked box within the locked drug storage. (II, III)    (6)   Medications requiring refrigeration shall be kept locked in a refrigerator and separated from food and other items. (II, III)    (7)   Drugs for external use shall be stored separately from drugs for internal use. (II, III)    (8)   All potent, poisonous, or caustic materials shall be stored separately from drugs, shall be plainly labeled and stored in a specific, well-illuminated cabinet, closet, or storeroom, and shall be made accessible only to authorized persons. (I, II)    (9)   Inspection of drug storage shall be made by the administrator or designee and a registered pharmacist not less than once every three months. The inspection shall be verified by a report signed by the administrator and the pharmacist and filed with the administrator. The report shall include, but not be limited to, certification of the absence of the following: expired drugs, deteriorated drugs, improper labeling, drugs for which there is no current primary care provider’s order, and drugs improperly stored. (III)    (10)   Bulk supplies of prescription drugs for multiresident use shall not be kept in a residential care facility. (III)    63.16(2) Drug safeguards.      a.    All prescribed medications shall be clearly labeled indicating the resident’s full name, primary care provider’s name, prescription number, name and strength of drug, dosage, directions for use, date of issue, and name and address and telephone number of pharmacy or primary care provider issuing the drug. Where unit dose is used, prescribed medications shall, at a minimum, indicate the resident’s full name, primary care provider’s name, name and strength of drug, and directions for use. Standard containers shall be utilized for dispensing drugs. (III)    b.    Sample medications provided by the resident’s primary care provider shall clearly identify to whom the medications belong. (III)    c.    Medication containers having soiled, damaged, illegible, or makeshift labels shall be returned to the issuing pharmacist, pharmacy, or primary care provider for relabeling or disposal. (III)    d.    The medication for each resident shall be kept or stored in the original containers unless the resident is participating in an individualized medication program. (II, III)    e.    Unused prescription drugs shall be destroyed by the person in charge, in the presence of a witness, and with a notation made on the resident’s record or shall be returned to the supplying pharmacist. (III)    f.    Prescriptions shall be refilled only with the permission of the resident’s primary care provider. (II, III)    g.    Medications prescribed for one resident shall not be administered to or allowed in the possession of another resident. (I, II)    h.    Instructions shall be requested from the Iowa board of pharmacy concerning disposal of unused Schedule II drugs prescribed for a resident who has died or for whom the Schedule II drug was discontinued. (III)    i.    Discontinued medications shall be destroyed within a specified time by a responsible person, in the presence of a witness, and with a notation made to that effect or shall be returned to the pharmacist for destruction. Drugs listed under the Schedule II drugs shall be destroyed in accordance with the requirements established by the Iowa board of pharmacy. (II, III)    j.    All medication orders which do not specifically indicate the number of doses to be administered or the length of time the drug is to be administered shall be stopped automatically after a given time period. The automatic-stop order may vary for different types of drugs. The resident’s primary care provider, in conjunction with the pharmacist, shall institute these policies and provide procedures for review and endorsement. (II, III)    k.    No resident shall be allowed to possess any medications unless the primary care provider has certified in writing on the resident’s medical record that the resident is mentally and physically capable of doing so. (II)    l.    No medications or prescription drugs shall be administered to a resident without a written order signed by the primary care provider. (II)    m.    The facility shall establish a policy to govern the distribution of prescribed medications to residents who are on leave from the facility. (II, III)    (1)   Medications may be issued to residents who will be on leave from a facility for less than 24 hours. Only those medications needed for the time period that the resident will be on leave from the facility may be issued. Non-child-resistant containers may be used. Instructions shall be provided and include the date, the resident’s name, the name of the facility, and the name of the medication, its strength, dose and time of administration. (II, III)    (2)   Medication for residents on leave from a facility for longer than 24 hours shall be obtained in accordance with requirements established by the Iowa board of pharmacy. (II, III)    (3)   Medication for residents on leave from a facility may be issued only by facility personnel responsible for administering medication. (II, III)    63.16(3) Drug administration—authorized personnel.      a.    A properly trained person shall be charged with the responsibility of administering medications as ordered by a primary care provider. (II, III)    b.    The person shall have knowledge of the purpose of the drugs and their dangers and contraindications. (II, III)    c.    The person shall be a licensed nurse or primary care provider or an individual who has completed the state-approved training course in medication administration, including a medication manager or certified medication aide. (II, III)     d.    Prior to taking a department-approved medication aide course, the person shall:    (1)   Successfully complete an approved residential aide course, nurse aide course, nurse aide training and testing program or nurse aide competency examination; (III)    (2)   Have a letter of recommendation for admission to the medication aide course from the employing facility. (III)    e.    A person who is a nursing student or a graduate nurse may take the medication aide challenge examination in place of taking a course. The person shall do all of the following before taking the challenge examination:    (1)   Complete a clinical or nursing theory course within six months before taking the challenge examination; (III)    (2)   Successfully complete a nursing program pharmacology course within one year before taking the challenge examination; (III)    (3)   Provide to the community college a written statement from the nursing program’s pharmacology or clinical instructor indicating that the person is competent in medication administration. (III)    f.    A person who has written documentation of certification as a medication aide in another state may become a medication aide in Iowa by successfully completing a department-approved nurse aide competency examination and a medication aide challenge examination. The requirements of paragraph 63.16(3)“d” do not apply to this person. (III)     63.16(4) Drug administration.      a.    Unless the unit dose system is used, the person assigned the responsibility of medication administration must complete the procedure by personally preparing the dose, observing the actual act of swallowing the oral medication, and charting the medication. In facilities where the unit dose system is used, the person assigned the responsibility of medication administration must complete the procedure by observing the actual act of swallowing the oral medication and by charting the medication. Medications shall be prepared on the same shift of the same day that they are administered unless the unit dose system is used. (II)    b.    Injectable medications shall be administered as permitted by Iowa law by a registered nurse, licensed practical nurse, primary care provider or pharmacist. For purposes of this subrule, “injectable medications” does not include an epinephrine autoinjector, e.g., an EpiPen. (II, III)    c.    A resident certified by the resident’s primary care provider as capable of injecting the resident’s own insulin may do so. Insulin may be administered pursuant to paragraph 63.16(4)“b” or as otherwise authorized by the resident’s primary care provider. (II, III) Authorization shall:    (1)   Be in writing,    (2)   Be maintained in the resident’s record,    (3)   Be renewed quarterly,    (4)   Include the name of the person authorized to administer the insulin,    (5)   Include documentation by the primary care provider that the authorized person is qualified to administer insulin to that resident. (II, III)    d.    A resident may participate in the administration of the resident’s own medication if the primary care provider has certified in writing in the resident’s medical record that the resident is mentally and physically capable of participating and has explained in writing in the resident’s medical record what the resident’s participation may include.    e.    An individual inventory record shall be maintained for each Schedule II drug prescribed for each resident, with an accurate count and authorized signatures at every shift. (II)    f.    The facility may use a unit dose system.    g.    Medication aides and medication managers may administer PRN medications without contacting a licensed nurse or primary care provider if all of the following apply: (I, II, III)    (1)   A written order from the resident’s primary care provider specifies the purpose of the PRN medication and the frequency, dosage and strength of the PRN medication.    (2)   The resident’s primary care provider provides in writing specific criteria for administering PRN medications.    (3)   The pharmacist assesses the resident’s use of PRN medications when conducting the inspection of drug storage as required by subparagraph 63.16(1)“b”(9).    h.    The pharmacist shall assess the use of PRN medications when conducting the inspection of drug storage as required by subparagraph 63.16(1)“b”(9). (II, III)    i.    Medications administered by an employee of the facility shall be recorded on a medication record by the individual who administers the medication. (I, II, III)

    481—63.17(135C) Dental services.      63.17(1)   The residential care facility personnel shall assist residents in obtaining annual and emergency dental services and shall arrange transportation for such services. (III)    63.17(2)   Dental services shall be performed only on the request of the resident, responsible party, legal representative, or primary care provider. The resident’s primary care provider shall be advised of the resident’s dental problems. (III)    63.17(3)   All dental reports or progress notes shall be included in the resident record as available. The facility shall make reasonable efforts to obtain the records following the provision of services. (III)    63.17(4)   Personal care staff shall assist the resident in carrying out the dentist’s recommendations. (III)

    481—63.18(135C) Dietary.      63.18(1) Dietary staffing.  Personnel who are responsible for food preparation or service, or both food preparation and service, shall have an orientation on sanitation and safe food handling prior to handling food and shall have annual in-service training on food protection. (III)    63.18(2) Nutrition and menu planning.      a.    Menus shall be planned and followed to meet the nutritional needs of residents in accordance with the primary care provider’s orders. Diet orders should be reviewed as necessary, but at least quarterly, by the primary care provider. (II, III)    b.    In facilities where residents plan and prepare their own meals, education and support shall be provided to residents regarding proper food preparation, dietary guidelines, and food safety.    c.    In facilities where food is regularly prepared for residents, the following shall apply:    (1)   Menus shall be planned and served to include foods and amounts necessary to meet federal dietary guidelines. (II, III)    (2)   At least three meals or their equivalent shall be offered daily, at regular hours. (II, III)
    1. There shall be no more than a 14-hour span between offering a substantial evening meal and breakfast. (II, III)
    2. Unless contraindicated, evening snacks shall be offered routinely to all residents. Special nourishments shall be available when ordered by the primary care provider. (II, III)
        (3)   Menus shall include a variety of foods prepared in various ways. (III)    (4)   Menus shall be written at least one week in advance. The current menu shall be located in an accessible place for easy use by persons purchasing, preparing, and serving food. (III)    (5)   Records of menus as served shall be filed and maintained for 30 days and shall be available for review by departmental personnel. When substitutions are necessary or requested, they shall be of similar nutritive value and recorded on the menu or in a notebook. (III)    (6)   The facility shall provide an alternative choice at scheduled meal times. (III)
        63.18(3) Dietary storage, food preparation, and service.      a.    All food shall be handled, prepared, served and stored in compliance with the Food Code adopted pursuant to Iowa Code section 137F.2. (I, II, III)    b.    Supplies of staple foods for a minimum of a one-week period and of perishable foods for a minimum of a two-day period shall be maintained on the premises. Minimum food portion requirements for a low-cost plan shall conform to information supplied by the bureau of nutrition and health promotion of the department of public health. (II, III)    c.    Dishes shall be free of cracks, chips, and stains. (III)    d.    If family-style service is used, all leftover prepared food that has been on the table shall be properly handled. (III)    63.18(4) Sanitation in food preparation area.  There shall be written procedures established for cleaning all work and serving areas. (III)

    481—63.19(135C) Orientation and service plan.      63.19(1) Orientation.  Within 24 hours of admission, each resident shall receive orientation to the facility. The orientation program shall be documented in the resident’s file and shall include, but shall not be limited to, a review of the resident’s rights, the daily schedule, house rules and the facility’s evacuation plan. (II, III)    63.19(2) Initial service plan.  Within 48 hours of admission, the administrator or the administrator’s designee shall develop an initial service plan to address any immediate health and safety needs. The plan shall be based on information gathered from the resident, family, referring party, primary care provider, and other significant persons. The plan shall be followed until the service plan required in subrule 63.19(3) is complete. (I, II, III)    63.19(3) Service plan.  Within 30 days of admission, the administrator or the administrator’s designee, in conjunction with the resident and the resident’s interdisciplinary team, shall develop a written, individualized, and integrated service plan for the resident. The service plan shall be developed and implemented to address the resident’s priorities and assessed needs, such as activities of daily living, rehabilitation, activity, and social, behavioral, emotional, physical and mental health. (I, II, III)    a.    The service plan shall include measurable goals and objectives and the specific service(s) to be provided to achieve the goals. Each goal shall include the date of initiation and anticipated duration of service(s). Any restriction of rights shall be included in the service plan. (I, II, III)    b.    The service plan shall include the documentation procedure for each goal and objective. (II, III)    c.    The service plan should be modified to add or delete goals and objectives as the resident’s needs change. Communications related to service plan changes or changes in the resident’s condition shall occur within five working days of the change and shall be conveyed to all individuals inside and outside the residential care facility who work with the resident, as well as to the resident’s responsible party. (I, II, III)    d.    The service plan shall be reviewed at least quarterly by relevant staff, the resident and appropriate others, such as the resident’s family, case manager and responsible party. The review shall include a written report which addresses a summary of the resident’s progress toward goals and objectives and the need for continued services. (I, II, III)

    481—63.20(135C) Resident activities program.      63.20(1) Activities program.  Each residential care facility shall provide suitable group and individual activities for residents. (III)    a.    The activities provided shall be designed to meet the needs and interests of each resident and to assist residents in continuing normal activities within limitations set by the resident’s primary care provider. This shall include helping residents continue in their individual interests or hobbies. (III)    b.    Residents shall be encouraged, but not required, to participate in activities. (III)    63.20(2)   Each resident may participate in activities of social, religious, and community groups at the resident’s discretion unless contraindicated for reasons documented by the primary care provider or interdisciplinary team as appropriate in the resident’s record. (II)    63.20(3)   Residents who wish to meet with or participate in activities of social, religious, or other community groups in or outside of the facility shall be informed, encouraged, and assisted to do so. (II)    63.20(4) Supplies, equipment, and storage.      a.    Each facility shall provide a variety of supplies and equipment of a nature calculated to fit the needs and interests of the residents. (III)    b.    Storage shall be provided for recreational equipment and supplies. (III)

    481—63.21(135C) Residents’ rights.      63.21(1)   Each facility shall ensure that policies and procedures are written and implemented which include, at a minimum, the provisions of this rule and which govern all areas of service provided by the facility. These policies and procedures shall be available to staff, residents, residents’ families or legal representatives and the public and shall be reviewed annually. (II, III)    63.21(2)   Policies and procedures shall include a method for submitting complaints and recommendations by residents or their responsible parties and for ensuring a response and disposition by the facility. (II, III) The written procedures shall:    a.    Ensure the provision of assistance to residents as necessary to complete and submit complaints and recommendations; (II, III)    b.    Ensure protection of the resident from any form of reprisal or intimidation; (II, III)    c.    Include designation of an employee responsible for handling grievances and recommendations; (II, III)    d.    Include a method of investigating and assessing the validity of a grievance or recommendation; (II, III) and    e.    Include methods of recording grievances and actions taken. (II, III)    63.21(3)   Policies and procedures shall include provisions governing access to, duplication of, and dissemination of information from the residents’ records. (II, III)    63.21(4)   Policies and procedures shall include a provision that each resident shall be fully informed of the resident’s rights and responsibilities as a resident and of all rules governing resident conduct and responsibilities. This information must be provided upon the resident’s admission or, in the case of residents already in the facility, upon the facility’s adoption or amendment of residents’ rights policies. (II, III)    a.    The facility shall communicate to residents prior to or within five days after admission what residents may expect from the facility and its staff and what is expected from residents. The communication shall be in writing, e.g., in a separate handout or brochure describing the facility, and interpreted verbally, e.g., as part of a preadmission interview, resident counseling, or in individual or group orientation sessions following the resident’s admission. (II, III)    b.    Residents’ rights and responsibilities shall be presented in language understandable to the resident. If the facility serves residents who are non-English-speaking or deaf, steps shall be taken to translate the information into a foreign or sign language. In the case of blind residents, either Braille or a recording shall be provided. Residents shall be encouraged to ask questions about their rights and responsibilities, and these questions shall be answered. (II, III)    c.    A statement shall be signed by the resident, or the resident’s responsible party if applicable, indicating an understanding of these rights and responsibilities and shall be maintained in the resident’s record. The statement shall be signed no later than five days after admission, and a copy of the signed statement shall be given to the resident or responsible party. (II, III)    d.    In order to ensure that residents continue to be aware of these rights and responsibilities during their stay, a written copy shall be prominently posted in a location that is available to all residents. (II, III)    e.    All residents shall be advised within 30 days following changes made in the statement of residents’ rights and responsibilities. Appropriate means shall be utilized to inform non-English-speaking, deaf or blind residents of changes. (II, III)    63.21(5)   Choice of primary care provider. Each resident shall be permitted free choice of a primary care provider, and pharmacy, if accessible. The facility may require the selected pharmacy to utilize a drug distribution system compatible with the system currently used by the facility. (II)    63.21(6)   Each resident shall be afforded the opportunity to participate in the planning of the resident’s total care and treatment, which may include, but shall not be limited to, medical care, nutritional needs, activities, and social work services. Each resident has the right to refuse treatment except as provided by Iowa Code chapter 229. In the case of a resident with a responsible party, the responsible party shall be afforded the opportunity to participate in the planning of the resident’s total care and medical treatment and to be informed of the resident’s medical condition. (II, III)    63.21(7)   Each resident shall be encouraged and assisted throughout the resident’s period of stay to exercise the resident’s rights as a resident and as a citizen and may voice grievances and recommend changes in policies and services to administrative staff or to outside representatives of the resident’s choice, free from interference, coercion, discrimination, or reprisal. (II)    63.21(8)   The facility shall provide ongoing opportunities for residents to be aware of and to exercise their rights as residents. Residents shall be kept informed of changes in policies and services that are more restrictive, and their views shall be solicited prior to action. (II)    63.21(9)   The facility shall post in a prominent area the text of Iowa Code section 135C.46 (Retaliation by facility prohibited) and the name, telephone number, and address of the long-term care ombudsman, the department, and the local law enforcement agency to provide residents a further course of redress. (II)    63.21(10)   All rights and responsibilities of the resident devolve to the resident’s responsible party or any legal surrogate designated in accordance with state law, to the extent permitted by state law. This subrule is not intended to limit the authority of any individual acting pursuant to Iowa Code chapter 144A. (II, III)

    481—63.22(135C) Dignity preserved.  The resident shall be treated with consideration, respect, and full recognition of dignity and individuality, including privacy in treatment and in care for personal needs. (I, II)    63.22(1)   Staff shall display respect for residents when speaking with, caring for, or talking about them, as constant affirmation of their individuality and dignity as human beings. (I, II)    63.22(2)   Schedules of daily activities shall allow maximum flexibility for residents to exercise choice about what they will do and when they will do it. Residents’ individual preferences regarding such things as menus, clothing, religious activities, friendships, activity programs, entertainment, sleeping and eating, also times to retire at night and arise in the morning shall be elicited and considered by the facility. (II)    63.22(3)   Residents shall be examined and treated in a manner that maintains the privacy of their bodies. A closed door or a drawn curtain shall shield the resident from passersby. People not involved in the care of the residents shall not be present without the resident’s consent while the resident is being examined or treated. (II)    63.22(4)   Privacy of a resident’s body also shall be maintained during toileting, bathing, and other activities of personal hygiene, except as needed for resident safety or assistance. (II)    63.22(5)   Staff shall knock and be acknowledged before entering a resident’s room unless the resident is not capable of a response. This shall not apply under emergency conditions. (II)

    481—63.23(135C) Communications.  Each resident may communicate, associate, and meet privately with persons of the resident’s choice, unless to do so would infringe upon the rights of other residents, and may send and receive personal mail unopened. (II)    63.23(1)   Subject to reasonable scheduling restrictions, visiting policies and procedures shall permit residents to receive visits from anyone they wish. Visiting hours shall be posted. (II)    63.23(2)   Reasonable, regular visiting hours shall not be less than 12 hours per day and shall take into consideration the special circumstances of each visitor. A particular visitor(s) may be restricted by the facility for one of the following reasons:    a.    The resident refuses to see the visitor(s). (II)    b.    The resident’s primary care provider documents specific reasons why such a visit would be harmful to the resident’s health. (II)    c.    The visitor’s behavior is unreasonably disruptive to the functioning of the facility. This judgment must be made by the administrator, and the reasons shall be documented and kept on file. (II)    63.23(3)   Decisions to restrict a visitor are reviewed and reevaluated:    a.    Each time the medical orders are reviewed by the primary care provider;    b.    At least quarterly by the facility’s staff; or    c.    At the resident’s request. (II)    63.23(4)   Space shall be provided for residents to receive visitors in reasonable comfort and privacy. (II)    63.23(5)   Telephones shall be available and accessible for residents to make and receive calls with privacy. Residents who need help shall be assisted in using the telephone. (II)    63.23(6)   Arrangements shall be made to provide assistance to residents who require help in reading or sending mail. (II)    63.23(7)   Residents, including residents court-ordered to the facility, shall be permitted to leave the facility at reasonable times unless there are justifiable reasons established in writing by court order, the primary care provider, the interdisciplinary team, or the facility administrator for refusing permission. (II)    63.23(8)   Residents shall not have their personal lives regulated beyond reasonable adherence to meal schedules, bedtime hours, and other written policies which may be necessary for the orderly management of the facility and as required by these rules. However, residents shall be encouraged to participate in recreational programs. (II)

    481—63.24(135C) Resident property.      63.24(1)   Residents shall be permitted to keep reasonable amounts of personal clothing and possessions for their use while in the facility. The facility shall offer the resident the opportunity to have personal property itemized and documented on an inventory sheet upon the resident’s admission. The inventory sheet shall be kept in a safe location which is convenient for the resident to review and update. At discharge, residents may sign off on a list of the personal property they are taking with them. (II, III)    63.24(2)   The facility shall provide for the safekeeping of personal effects, funds and other property of its residents. The facility may require that items of exceptional value or that would convey unreasonable responsibilities to the licensee be removed from the premises of the facility for safekeeping. (III)    63.24(3)   Any funds or other property belonging to or due a resident, or expendable for the resident’s account, which is received by the facility shall be trust funds; shall be kept separate from the funds and property of the facility and of its other residents, or specifically credited to such resident; and shall be used or otherwise expended only for the account of the resident. (III)

    481—63.25(135C) Financial affairs—management.  Each resident who has not been assigned a guardian or conservator by the court may manage the resident’s own personal financial affairs. To the extent the facility assists in management, under written authorization by the resident, the management shall be carried out in accordance with Iowa Code section 135C.24. (II)    63.25(1)   The facility shall maintain a written account of all residents’ funds received by or deposited with the facility. (II)    63.25(2)   An employee shall be designated in writing to be responsible for resident accounts. (II)    63.25(3)   The facility shall keep on deposit personal funds over which the resident has control in accordance with Iowa Code section 135C.24. Should the resident request these funds, they shall be given to the resident on request with receipts maintained by the facility and a copy to the resident. In the case of a resident with impaired decision-making skills, the resident’s legal representative shall designate a method of disbursing the resident’s funds. (II)    63.25(4)   If the facility makes financial transactions on a resident’s behalf, the facility must document that it has prepared and sent an itemized accounting of disbursements and current balances at least quarterly. A copy of this statement shall be maintained in the resident’s financial or business record. (II)    63.25(5)   A resident’s personal funds shall not be used without the written consent of the resident or the resident’s legal representative. (I, II)    63.25(6)   A resident’s personal funds shall be returned to the resident when the funds have been used without the written consent of the resident or the resident’s legal representative. The department may report findings that resident funds have been used without written consent to the department’s investigations division or to the local law enforcement agency, as appropriate. (II)

    481—63.26(135C) Resident work.  No resident may be required to perform services for the facility, except as provided by Iowa Code section 347B.5. (II)    63.26(1)   Residents may not be used to provide a source of labor for the facility against their will. Approval by the primary care provider or physiatrist is required for all work programs. (I, II)    63.26(2)   Residents who perform work for the facility must receive compensation unless the work is part of their approved training program. Persons on the resident census who perform work shall not be used to replace paid employees in fulfilling staffing requirements. (II)

    481—63.27(135C) Resident abuse prohibited.  Each resident shall receive kind and considerate care at all times and shall be free from mental, physical, sexual, and verbal abuse, exploitation, neglect, and physical injury. (I, II)    63.27(1)   Mental abuse includes, but is not limited to, humiliation, harassment, and threats of punishment or deprivation. (I, II)    63.27(2)   Physical abuse includes, but is not limited to, corporal punishment and the use of restraints as punishment. (I, II)    63.27(3)   Drugs such as tranquilizers shall only be used in accordance with orders of the primary care provider. (I, II)    63.27(4)   Allegations of dependent adult abuse. Allegations of dependent adult abuse shall be reported and investigated pursuant to Iowa Code chapter 235E and 481—Chapter 52. (I, II, III)    63.27(5)   Staff shall receive training relating to the identification and reporting of dependent adult abuse as required by Iowa Code section 235B.16. (I, II, III)

    481—63.28(135C) Crisis intervention.  If a facility utilizes physical restraints, the facility shall have written policies that define the uses of physical restraints, designate the administrator or designee as the person who may authorize their use, establish a mechanism for monitoring and controlling their use, and provide staff with proper training. (I, II)    63.28(1)   Temporary physical restraint of residents shall be used only under the following conditions: (I, II)    a.    An emergency to prevent injury to the resident or to others; or (I, II)    b.    For crisis intervention, but shall not be used for punishment, for the convenience of staff or as a substitution for supervision or programming; (I, II) and    c.    No staff person shall use any restraint that obstructs the airway of the resident. (I, II)    63.28(2)   Authorization for the use of physical restraints must be prior to or immediately after application of the restraint. (I, II)    63.28(3)   Prone restraint is prohibited. Staff persons who find themselves involved in the use of a prone restraint when responding to an emergency must take immediate steps to end the prone restraint. (I, II)    63.28(4)   The rationale and authorization for the use of physical restraint and staff action and procedures carried out to protect the resident’s rights and to ensure safety shall be clearly set forth in the resident’s record by the responsible staff persons. (I, II)    63.28(5)   The primary care provider, the interdisciplinary team and the resident’s responsible party shall be notified of any restraints administered. (I, II, III)    63.28(6)   The facility shall provide to the staff a department-approved training program by qualified professionals on physical restraint techniques. (I, II)    a.    The facility shall keep a record of training for review by the department and shall include attendance. (II, III)    b.    Only staff with documented training in physical restraint and techniques shall be authorized to assist with physical restraint of a resident. (I, II)    c.    Under no circumstances shall a resident be allowed to actively or passively assist in the restraint of another resident. (I, II)    63.28(7)   Residents shall not be kept behind locked doors. (I, II)    63.28(8)   Mechanical restraint is prohibited. Staff persons who find themselves involved in the use of a mechanical restraint when responding to an emergency must take immediate steps to end the mechanical restraint. (I, II)

    481—63.29(135C) Safety.  The licensee of a residential care facility shall be responsible for the provision and maintenance of a safe environment for residents and personnel. (I, II, III)    63.29(1) Fire safety.      a.    All residential care facilities shall meet the fire safety rules and regulations as promulgated by the state fire marshal. (I, II)    b.    The size of the facility and needs of the residents shall be taken into consideration in evaluating safety precautions and practices.    63.29(2) Safety duties of administrator.  The administrator shall have a written emergency plan to be followed in the event of fire, tornado, explosion, or other emergency. (III)    a.    The plan shall be prominently posted in a common area of the building. (III)    b.    In-service shall be provided to ensure that all employees are knowledgeable of the emergency plan. (II, III)    63.29(3) Resident safety.      a.    Smoking shall be prohibited, except as allowed by Iowa Code chapter 142D, the smokefree air Act. (II, III)    b.    Whenever full or empty tanks of oxygen are being used or stored, they shall be securely supported in an upright position. (II, III)    c.    Residents shall receive adequate supervision to ensure against hazard from themselves, others, or elements in the environment. (I, II, III)    d.    Storage areas for cleaning agents, bleaches, insecticides, or any other poisonous, dangerous, or flammable materials shall be locked. Residents permitted to access these materials shall have an order by their primary care provider stating the resident is able to utilize such materials, and staff shall supervise the residents as identified in the resident’s service plan. (I, II, III)    e.    Sufficient numbers of noncombustible trash containers with covers shall be available. (III)    f.    Residents’ personal possessions that may constitute a hazard to residents or others shall be removed and stored. (III)    63.29(4) First-aid kit.  A first-aid emergency kit shall be available on each floor in every facility. (II, III)

    481—63.30(135C) Housekeeping.      63.30(1)   Each resident room shall be cleaned on a routine schedule. (III)    63.30(2)   All rooms, corridors, storage areas, linen closets, attics, and basements shall be kept in a clean, orderly condition, free of unserviceable furniture and equipment and accumulations of refuse. (II, III)    63.30(3)   A hallway or corridor shall not be used for storage of equipment. (II, III)    63.30(4)   All odors shall be kept under control by cleanliness and proper ventilation. (III)    63.30(5)   Clothing worn by personnel shall be clean and washable. (III)    63.30(6)   All furniture, bedding, linens, and equipment shall be cleaned periodically and before use by another resident. (II, III)    63.30(7)   Polishes used on floors shall provide a nonslip finish. (II, III)    63.30(8)   Throw or scatter rugs shall have nonskid backing. (II, III)    63.30(9)   Entrances, exits, steps, and outside walkways shall be kept free from ice, snow, and other hazards. (II, III)

    481—63.31(135C) Maintenance.      63.31(1)   The building, grounds, and other buildings shall be maintained in a clean, orderly condition and in good repair. (II, III)    63.31(2)   Window treatments and furniture shall be clean and in good repair. (II, III)    63.31(3)   Cracks in plaster, peeling wallpaper or paint, and tears or splits in floor coverings shall be promptly repaired or replaced in a professional manner. (II, III)    63.31(4)   The electrical systems, including appliances, cords, and switches, shall be maintained to guarantee safe functioning and comply with the National Electric Code. (II, III)    63.31(5)   All plumbing fixtures shall function properly and comply with the state plumbing code. (II, III)    63.31(6)   Yearly inspections of the heating and cooling systems shall be made to guarantee safe operation. (II, III)    63.31(7)   The building, grounds, and other buildings shall be kept free of breeding areas for flies, other insects, and rodents. (II, III)    63.31(8)   The facility shall be kept free of flies, other insects, and rodents. (II, III)

    481—63.32(135C) Laundry.      63.32(1)   Residents’ personal laundry shall be marked with an identification if commingled with other residents’ personal laundry. (III)    63.32(2)   Bed linens, towels, and washcloths shall be clean and stain-free. (III)    63.32(3)   If laundry is done in the facility, a clean, dry, well-lit area to accommodate a washer and dryer of adequate size to serve the needs of the facility shall be provided. (III)

    481—63.33(135C) Garbage and waste disposal.      63.33(1)   All garbage shall be gathered, stored, and disposed of in a manner that will not permit transmission of disease, create a nuisance, or provide a breeding or feeding place for vermin or insects. (III)    63.33(2)   All containers for refuse shall be watertight and rodent-proof and have tight-fitting covers. (III)    63.33(3)   All unlined containers inside of the facility shall be thoroughly cleaned each time the containers are emptied. (III)    63.33(4)   All waste shall be properly disposed of in compliance with local ordinances and state codes. (III)

    481—63.34(135C) Supplies.      63.34(1) Linen supplies.      a.    There shall be an adequate supply of linens so that each resident shall have at least three washcloths, hand towels, and bath towels per week. (III)    b.    A complete change of bed linens shall be available in the linen storage area for each bed. (III)    c.    Sufficient lightweight, clean, serviceable blankets shall be available. All blankets shall be laundered as often as necessary for cleanliness and freedom from odors. (III)    d.    Each bed shall be provided with clean, washable bedspreads. There shall be a supply available when changes are necessary. (III)    e.    Adequate storage shall be provided for linens, pillows, and bedding. (III)    63.34(2) Supplies, equipment and storage.      a.    All equipment shall be properly cleaned and sanitized before use by another resident. (III)    b.    Clean and sanitary storage shall be provided for equipment and supplies. (III)    c.    Locked storage should be available for potentially dangerous items such as scissors, knives, and toxic materials. (III)

    481—63.35(135C) Buildings, furnishings, and equipment.      63.35(1) Buildings—general requirements.      a.    All windows shall be supplied with window treatments that are kept clean and in good repair. (III)    b.    Whenever glass sliding doors or transparent panels are used, they shall be marked conspicuously. (III)    c.    The facility shall meet the equivalent requirements of the appropriate group occupancy of the state building code. (III)    63.35(2) Furnishings and equipment.      a.    All furnishings and equipment shall be durable, cleanable, and appropriate to their function. (III)    b.    All resident areas shall be decorated, painted, and furnished to provide a homelike atmosphere. (III)    63.35(3) Dining areas and living rooms.      a.    Living rooms shall be maintained for the use of residents and their visitors and may be used for recreational activities. Living rooms shall be suitably furnished. (III)    b.    Dining areas shall be furnished with dining tables and chairs appropriate to the size and function of the facility. Dining rooms and furnishings shall be kept clean and sanitary. (III)    63.35(4) Bedrooms.      a.    Each resident shall be provided with a standard, single, or twin bed, substantially constructed and in good repair. Rollaway beds, metal cots, or folding beds are not acceptable. (III)    b.    Each bed shall be equipped with the following: casters or glides; clean springs in good repair; a clean, comfortable, well-constructed mattress approximately five inches thick and standard in size for the bed; and clean, comfortable pillows of average bed size. (III)    c.    There shall be a comfortable chair, either a rocking chair or armchair, per resident bed. The resident’s personal wishes shall be considered. (III)    d.    There shall be drawer space for each resident’s clothing. In a bedroom in which more than one resident resides, drawer space shall be assigned to each resident. (III)    e.    Beds and other furnishings shall not obstruct free passage to and through doorways. (III)    f.    Beds shall not be placed in such a manner that the side of the bed is against the radiator or in close proximity to it unless the radiator is covered so as to protect the resident from contact with it or from excessive heat. (III)    g.    There shall be a wardrobe or closet in each resident’s room. Minimum clear dimensions shall be 1 foot 10 inches deep by 1 foot 8 inches wide with full hanging space and provide a clothes rod and shelf. In a multiple bedroom, closet or wardrobe space shall be assigned each resident sufficient for the resident’s needs. (III)    h.    Each room shall have sufficient accessible mirrors to serve resident’s needs. (III)    i.    Useable floor space of a room shall be no less than 8 feet in any major dimension. (III)    j.    Bedrooms shall have a minimum of 60 square feet of useable floor space per bed for a double room, 80 square feet of useable floor space for a single room. (III)    k.    There shall be no more than two residents per room. (III)    63.35(5) Bath and toilet facilities.      a.    All sinks shall have paper towel dispensers and an available supply of soap. (III)    b.    Toilet paper shall be readily available to residents. (III)    c.    There shall be a minimum of one toilet and bath facility for five residents. (III)    63.35(6) Heating.  A centralized heating system shall be maintained in good working order and capable of maintaining a comfortable temperature for residents of the facility. Portable units or space heaters are prohibited from being used in the facility except in an emergency. (II, III)    63.35(7) Water supply.      a.    Private sources of water supply shall be tested annually and the report made available for review by the department upon request. (III)    b.    A bacterially unsafe source of water supply shall be grounds for denial, suspension, or revocation of license. (III)    c.    The department may require testing of private sources of water supply at its discretion in addition to the annual test. The facility shall supply reports of such tests as directed by the department. (III)    d.    Hot and cold running water under pressure shall be available in the facility. (II, III)    e.    Prior to construction of a new facility or new water source, private sources of water supply shall be surveyed and shall comply with the requirements of the department. (III)

    481—63.36(135C) Family and employee accommodations.  If the family or employees live within the facility, separate living quarters and recreation facilities shall be required for the family or employees distinct from such areas provided for the residents. (III)

    481—63.37(135C) Animals.  No animals shall be allowed to reside in the facility except with written approval of the department and under controlled conditions. (II, III)       These rules are intended to implement Iowa Code chapter 135C.
        [Filed 3/14/18, effective 5/16/18][Published 4/11/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 4/11/18.
    ARC 3741CInsurance Division[191]Adopted and Filed

    Rule making related to securities

        The Insurance Division hereby amends Chapter 50, “Regulation of Securities Offerings and Those Who Engage in the Securities Business,” Iowa Administrative Code.Legal Authority for Rule Making    This rule making is adopted under the authority provided in Iowa Code section 502.605.State or Federal Law Implemented    This rule making implements, in whole or in part, Iowa Code chapter 502.Purpose and Summary    These amendments implement Iowa Code chapter 502, the Iowa Uniform Securities Act, which regulates the sale of securities in Iowa. The amendments do the following:

  • Amend the filing procedures for an investment adviser’s business continuity and succession plan from license applications to an examination procedure under Iowa Code section 502.411(4).
  • Adopt the model rule of the North American Securities Administrators Association (NASAA) regarding merger and acquisition brokers.
  • Adopt provisions regarding intrastate crowdfunding offerings.
  • Conform to the implementation by the Financial Industry Regulatory Authority (FINRA) of the Securities Industry Essentials Exam.
  • Mandate use of NASAA’s electronic filing depository (EFD) system for unit investment trust notice filings by a person who is the issuer of a federal covered security under Section 18(b)(2) of the Securities Act of 1933.
  • Public Comment and Changes to Rule Making    Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on February 14, 2018, as ARC 3615C. A public hearing was held on March 6, 2018, at 10:30 a.m. at the Division offices, Fourth Floor, Two Ruan Center, 601 Locust Street, Des Moines, Iowa. No one attended the public hearing.    Changes to the Noticed rules, based on written comments received by the Division and on observations of the Division, were made based on the reasoning as follows:
  • The requirement for a written acknowledgment in subparagraph 50.90(11)“c”(2) was changed to a requirement for an affirmative representation that the purchaser acknowledges receipt of the disclosure statement provided to the purchaser by the issuer pursuant to subrule 50.90(8).  This requirement mirrors the requirement for an affirmative representation in subparagraph 50.90(11)“c”(3).
  • Concerns were expressed about allowing unauthenticated users to access the intermediary website forum of paragraph 50.90(11)“e.”  The following sentence was added to the end of the paragraph to allow reasonable means to prevent that from happening:  “The intermediary may adopt reasonable rules and procedures for the website forum, including registration and authentication requirements.”
  • The requirement for notice to be distributed in Iowa was relaxed in paragraph 50.90(14)“a” by removing the words “within Iowa” because of the difficulty in limiting email distribution or website visitation to one state. 
  • Revisions for clarity were made to subparagraph 50.90(2)“a”(2) in Item 13.
  • Adoption of Rule Making    This rule making was adopted by the Division on March 21, 2018.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    The Division’s general waiver provisions of 191—Chapter 4 apply to these rules.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 May 16, 2018.    The following rule-making actions are adopted:

        ITEM 1.    Adopt the following new subrule 50.10(10):    50.10(10)   Registration exemption for merger and acquisition brokers.    a.    Definitions.For purposes of rule 191—50.10(502), in addition to the definitions set forth in rule 191—50.1(502), the following definitions apply:    (1)   "Control" means the power, directly or indirectly, to direct the management or policies of a company, whether through ownership of securities, by contract or otherwise. There is a presumption of control for any person who meets at least one of the following conditions:    1.   Is a director, general partner, member, or manager of a limited liability company, or officer exercising executive responsibility (or similar status or functions).    2.   Has the right to vote 20 percent or more of a class of voting securities or the power to sell or direct the sale of 20 percent or more of a class of voting securities.    3.   In the case of a partnership or limited liability company, has the right to receive upon dissolution, or has contributed, 20 percent or more of the capital.    (2)   "Eligible privately held company" means a company that meets both of the following conditions:    1.   The company does not have any class of securities:
  • Registered, or required to be registered, pursuant to the Securities Exchange Act of 1934 (15 U.S.C. Section 781); or
  • For which the company files, or is required to file, periodic information, documents, and reports pursuant to the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(d)).
  •     2.   In the fiscal year ending immediately before the fiscal year in which the services of the merger and acquisition broker are initially engaged with respect to the securities transaction, the company meets either or both of the following conditions (determined in accordance with the historical financial accounting records of the company):
  • The earnings of the company before interest, taxes, depreciation, and amortization are less than $25 million.
  • The gross revenues of the company are less than $250 million.
  •     (3)   "Merger and acquisition broker" means any broker-dealer and any person that is associated with a broker-dealer:    1.   That is engaged in the business of effecting securities transactions solely in connection with the transfer of ownership of an eligible privately held company; and
  • That is thus engaged regardless of whether that broker-dealer acts on behalf of a seller or buyer; and
  • That is thus engaged through the purchase, sale, exchange, issuance, repurchase, or redemption of, or a business combination involving, securities or assets of the eligible privately held company; and
  •     2.   That meets both of the following conditions:
  • The broker-dealer reasonably believes that, upon consummation of the transaction, any person acquiring securities or assets of the eligible privately held company, acting alone or in concert, will control and, directly or indirectly, will be active in the management of the eligible privately held company or the business conducted with the assets of the eligible privately held company; and
  • If any person offered securities in exchange for securities or assets of the eligible privately held company, such person will, prior to becoming legally bound to consummate the transaction, receive or have reasonable access to both of the following: o The most recent fiscal year-end financial statements of the issuer of the securities as customarily prepared by its management in the normal course of operations; and o If the financial statements of the issuer are audited, reviewed or compiled, all of the following: ♦ Any related statement by the independent accountant; ♦ A balance sheet dated not more than 120 days before the date of the exchange offer; ♦ Information pertaining to the management, business, and results of operations for the period covered by the foregoing financial statements; and ♦ Any material loss contingencies of the issuer.
  •     (4)   "Public shell company" means a company that, at the time of a transaction with an eligible privately held company, meets all three of the following conditions:     1.   Has any class of securities registered, or required to be registered, with the SEC pursuant to the Securities Exchange Act of 1934 (15 U.S.C. Section 781), or with respect to which the company files, or is required to file, periodic information, documents, and reports pursuant to the Securities Exchange Act of 1934 (15 U.S.C. 78o(d)).    2.   Has no or nominal operations.    3.   Has assets consisting of one of the following:
  • No or nominal assets.
  • Cash and cash equivalents.
  • Any amount of cash and cash equivalents and nominal other assets.
  •     b.    Merger and acquisition broker exemption from registration requirements.    (1)   Exemption. Except as provided in subparagraphs 50.10(10)“b”(2) and (3), a merger and acquisition broker is exempt from the broker-dealer registration requirements and procedures of Iowa Code sections 502.401 and 502.406.    (2)   Activities not exempt. A merger and acquisition broker is not exempt from the broker-dealer registration requirements of Iowa Code sections 502.401 and 502.406 if the merger and acquisition broker does any of the following:    1.   Directly or indirectly, in connection with the transfer of ownership of an eligible privately held company, receives, holds, transmits, or has custody of the funds or securities to be exchanged by the parties to the transaction.    2.   Engages on behalf of an issuer in a public offering of any class of securities that is registered, or is required to be registered, with the SEC under the Securities Exchange Act of 1934 (15 U.S.C. Section 781) or with respect to which the issuer files, or is required to file, periodic information, documents, and reports under the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(d)).    3.   Engages on behalf of any party in a transaction involving a public shell company.    (3)   Disqualifications. A merger and acquisition broker is not exempt from registration under this subrule if the merger and acquisition broker is subject to any of the following:    1.   Suspension or revocation of registration under the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(b)(4));    2.   A statutory disqualification described in the Securities Exchange Act of 1934 (15 U.S.C. Section 78c(a)(39));    3.   A disqualification under the rules adopted by the SEC pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (15 U.S.C. Section 77d note)); or    4.   A final order described in the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(b)(4)(H)).    (4)   Rule of construction. Nothing in this subrule shall be construed to limit any other authority of the administrator to exempt any person, or any class of persons, from Iowa Code chapter 502 or from any provision of this chapter.    c.    Inflation adjustment.On July 1, 2023, and every five years thereafter, each dollar amount in 50.10(10)“a”(2)“2” shall be adjusted by the following calculation, and the dollar amount determined under the calculation shall be rounded to the nearest multiple of $100,000:    (1)   Dividing the annual value of the Employment Cost Index for Wages and Salaries, Private Industry Workers (or any successor index), as published by the Bureau of Labor Statistics, for the calendar year preceding the calendar year in which the adjustment is being made by the annual value of such index (or successor index) for the calendar year ending December 31, 2017; and    (2)   Multiplying the dollar amount in 50.10(10)“a”(2)“2” by the quotient obtained under subparagraph 50.10(10)“c”(1), above.

        ITEM 2.    Amend paragraph 50.12(1)"b" as