PrintProposing rule making related to update of references, including those of department organization, and providing an opportunity for public comment
The Department of Administrative Services hereby proposes to amend Chapter 1, “Department Organization,” Chapter 4, “Public Records and Fair Information Practices,” Chapter 5, “Petitions for Rule Making,” Chapter 6, “Agency Procedure for Rule Making,” Chapter 7, “Contested Cases,” Chapter 8, “Declaratory Orders,” Chapter 9, “Waivers,” Chapter 41, “Auditing Claims,” Chapter 42, “Accounting Procedures of Public Impact,” Chapter 48, “Prepayment of Expenses,” Chapter 55, “Eligible Lists,” Chapter 56, “Filling Vacancies,” Chapter 58, “Probationary Period,” Chapter 59, “Promotion, Transfer, Temporary Assignment, Reassignment and Voluntary Demotion,” Chapter 61, “Grievances and Appeals,” Chapter 62, “Performance Review,” Chapter 64, “Benefits,” Chapter 65, “Political Activity,” Chapter 66, “Conduct of Employees,” Chapter 71, “Combined Charitable Campaign,” Chapter 100, “Capitol Complex Operations,” Chapter 101, “Parking,” Chapter 102, “State Printing,” Chapter 103, “State Employee Driving Guidelines,” and Chapter 119, “Uniform Terms and Conditions for Service Contracts,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 8A.104, 17A.3 and 17A.4.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 7E.4, 8A.104 and 17A.7.Purpose and Summary These rules are being amended to correct outdated references to the Iowa Code and session law and to update procedure references. The proposed amendments address changes in 25 of the Department’s chapters of administrative rules in the Iowa Administrative Code and are part of the Department’s five-year review of 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 The Department will not grant waivers under the provisions of these rules, other than as may be allowed under Chapter 9 of the Department’s rules concerning waivers. Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 5, 2018. Comments should be directed to: Tami Wiencek Department of Administrative Services Hoover State Office Building1305 East Walnut StreetDes Moines, Iowa 50319-0114Fax: 515.281.6140Email: tami.wiencek@iowa.govPublic Hearing A public hearing at which persons may present their views orally or in writing will be held as follows: September 5, 2018Procurement Conference Room, A Level 11 a.m. to 12 noon Hoover State Office Building 1305 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 the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Department and advise of specific needs. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 11—1.1(8A), introductory paragraph, as follows:11—1.1(8A) Creation and mission. The department of administrative services (DAS) is established in Iowa Code chapter 8A. The department manages and coordinates the major resources of state government, including the human, financial,and physical and informational resources. The department was created to implement a world-class, customer-focused organization that provides a complement of valued products and services to the internal customers of state government. ITEM 2. Amend rule 11—1.2(8A) as follows:11—1.2(8A) Location. The department’s primary office is located in the Hoover State Office Building, Third Floor, 1305 East Walnut Street, Des Moines, Iowa 50319-0150; telephone (515)242-5120. Office hours are 8 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. The department’s Web sitewebsite at www.das.iowa.govdas.iowa.gov provides information about all department organizational unitsthe department’s organization and services. 1.2(1) General services enterprise location. The general services enterprise’s primary office is located in the Hoover State Office Building, Level A-South, 1305 East Walnut Street, Des Moines, Iowa 50319; telephone (515)242-5120. Office hours are 7:30 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. 1.2(2) Human resources enterprise location. The human resources enterprise’s primary office is located in the Hoover State Office Building, Level A, 1305 East Walnut Street, Des Moines, Iowa 50319-0150; telephone (515)281-3351. Office hours are 8 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. 1.2(3) Information technology enterprise location. The information technology enterprise is located in the Hoover State Office Building, Level B, Des Moines, Iowa 50319. The general office telephone number is (515)281-5503. Hours of operation are 8 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. 1.2(4) State accounting enterprise location. The state accounting enterprise’s primary office is located in the Hoover State Office Building, Third Floor, 1305 East Walnut Street, Des Moines, Iowa 50319; telephone (515)281-4877. Office hours are 8 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. 1.2(5) Central procurement enterprise location. The central procurement enterprise’s primary office is located in the Hoover State Office Building, Third Floor, 1305 East Walnut Street, Des Moines, Iowa 50319; telephone (515)725-2725. Office hours are 8 a.m. to 4:30 p.m., Monday through Friday, excluding holidays. ITEM 3. Amend rule 11—1.3(8A), introductory paragraph, as follows:11—1.3(8A) Director. The chief executive officerhead of the department is the director, who is appointed by the governor with the approval of two-thirds of the members of the senate. The director serves at the pleasure of the governor. ITEM 4. Amend rule 11—1.4(8A) as follows:11—1.4(8A) Administration of the department. In order to carry out the functions of the department, the following enterprises and bureaus have been established: 1.4(1) General services enterprise. The mission of the general services enterprise is to act as the state’s business agent to meet agencies’ needs for quality, timely, reliable and cost-effective support services and provide a work environment that is healthy, safe, and well-maintained. The chief operating officer, appointed by the director, heads the general services enterprise. The following bureaus have been established within the general services enterprise: a. Capitol complex maintenance.The capitolCapitol complex maintenance bureau is responsible for the maintenance, appearance, and facility sanitation of the capitol complex buildings and grounds, including environmental control (heating, ventilation and cooling) and all support features including, but not limited to, parking lot maintenance, main electrical distribution, power generation, water supply, utilities, energy efficiency, wastewater removal, on-site safety consultation, work requests for the capitol complex, major maintenance projects associated with the capitol complex, special event coordination, monuments, physical security and access control. b. Design and construction resources.The designDesign and construction resources bureau provides administration of public improvement projects, including design services, contracting for construction, and construction management oversight for state agencies except any agency of the state exempted by law. Capital funding appropriated to participating state agencies shall be transferred to the design and construction resources bureau for administration. The designDesign and construction resources bureau is responsible for the administration of major maintenance for agencies in accordance with Iowa Code section 8A.302(4). c. Mailservices.The mail bureauMail services is responsible for the processing and distribution of mail, which consists of U.S. Mail, UPS, Federal Express, courier service and interoffice mail for the state agencies on the capitol complex and in designated areas in the Des Moines metropolitan area. d. Service deliveryCapitol complex events.The service delivery bureauCapitol complex events is responsible for the following functions for the enterprise: parking and building access; coordination of events in the public area of the capitol, in other buildings on the capitol complex (excluding the historical building), and on the capitol complex grounds; and providing general information regarding the buildings and grounds on the capitol complex. e. Real estate servicesLeasing and space management.The real estate services bureauLeasing and space management is directly responsible for the management of all leased real estate across the state while also providing real estate consultation services pertaining to acquisition, disposition, and development of real property. Specific services may include market research, opinion of property value, financial analysis, long-term real estate strategy, and project management in accordance with Iowa Code section 8A.321(6). Space planning, including moves, additions, and changes, and surplus property are, is also coordinated by the bureauleasing and space management. 1.4(2) Human resources enterprise. The human resources enterprise is responsible for human resource management in the executive branch of Iowa state government and provides limited services to the judicial and legislative branches. The mission of the human resources enterprise is to support state agencies in their delivery of services to the people of Iowa by providing programs that recruit, develop, and retain a diverse and qualified workforce, and to administer responsible employee benefits programs for the members and their beneficiaries. The director appoints the chief operating officer of the enterprise. The following bureaus have been established within the human resources enterprise: a. BenefitsRisk and benefits management.The benefits bureauRisk and benefits management administers and coordinates the provision of health, dental, life, and disability insurance programs; employee leave programs; workers’ compensation, return to work, and loss control and safety programs; 457 deferred compensation; 403(b) tax-sheltered annuity and 401(a) employer match programs; unemployment insurance; and flexible spending and premium conversion programs for state employees. b. Employmentservices.The employment bureauEmployment services provides application, referral, recruitment, selection, EEO/AA and diversity services related to state employment; administration of the state classification and compensation programs; and audit of personnel and payroll transactions. c. Program delivery servicesOrganizational performance.The program delivery services bureauOrganizational performance is responsible for employment relations between the state and the certified employee representative; provides consultative services to state departments, boards, and commissions on human resource program matters; provides organization and employee development services including workforce planning and performance evaluation; and represents the state in contested case matters regarding such programs. 1.4(3) Information technology enterprise. The mission of the information technology enterprise is to provide high-quality, customer-focused information technology services and business solutions to government and to citizens. The director appoints the chief information officer for the state, who also serves as the chief operating officer of the enterprise. The following bureaus have been established within the information technology enterprise: a. Application and E-government services.The application and E-government services bureau is responsible for support of departmental information technology services; providing software applications development, support, and training; and providing advice and assistance in developing and supporting business applications throughout state government. b. Infrastructure services.The infrastructure services bureau is responsible for providing server systems, including mainframe and other server operations, desktop support, printing and printing procurement services. c. Integrated Information for Iowa (I/3) project.The I/3 project office provides the strategic direction, functional deployment, and technical support for the I/3 system, including the enterprise accounting, procurement, budget preparation, human resources and payroll functions for the state of Iowa. I/3’s vision is to provide greater responsiveness to customers, improved productivity, increased accountability and efficient delivery of services across state government, and consistent and accurate information that Iowans want. d. Advisory groups. (1) Technology governance board. The technology governance board operates pursuant to 2005 Iowa Acts, House File 839. (2) IOWAccess advisory council. The IOWAccess advisory council is established within the department for the purpose of creating and providing to the citizens of this state a gateway for one-stop electronic access to government information and transactions, whether federal, state, or local. 1.(4) 1.4(3) State accounting enterprise. The state accounting enterprise was created to provide for the efficient management and administration of the financial resources of state government. The chief operating officer, appointed by the director, heads the enterprise. The following functional units have been established within the state accounting enterprise: a. Accounting and daily processing.The accountingAccounting and daily processing bureau includes the functions of daily processing, income offset, and financial systems. b. Other sectionsfunctions.The state accounting enterprise also includes the financial reporting section, the I/3 program team, and the centralized payroll section. 1.(5) 1.4(4) Central administration. a. Director’s office.The director is the chief executive officer forhead of the department. The director’s central administration area provides support to the director and to the governmental and business operations of the department and its enterprises. The following functions are included in this area: general counsel; legislative liaison; rules administrator; strategic, performance, and business continuity planning; program oversight and accountability; and departmental and enterprise policy and standards development. b. Information security office.The information security office is responsible for developing, implementing and maintaining information security policies, standards, and practices that enhance the confidentiality, integrity and availability of computer systems and electronic data resources, and for ensuring enterprise-wide compliance with security requirements. This office includes the chief information security officer for state government. c. b. Marketing, communications andcustomer council support.Marketing, communications andcustomer council support suppliesprovides the department’s media, public relations, and employee communications services; supports product and service marketing within each of the department’s enterprises; and coordinates customer council activities for the department. 1.(6) 1.4(5) Customer management, finance, and internal operations. This divisionCustomer management, finance, and internal operations provides customer management, finance, and internal operations oversight, administration, and support in a manner that provides accurate and timely information, safeguards assets, and facilitates fiscally responsible, employee-centered and customer-focused decision making for the department. The functional units of the customer management, finance and internal operations division are: a. Activity-based costing; b. Accounts payable, purchasing, human resources, and administrative support; c. Financial reporting and budget; and d. Accounts receivable, billing, collections, and customer resource management. 1.(7) 1.4(6) Central procurement and fleet services enterprise. The chief operating officer of the enterprise is appointed by the director and directs the work of the enterprise. a. The centralCentral procurement bureau is charged with procuring goods and services for agencies pursuant to Iowa Code chapter 8A. These rules and applicable Iowa Code sections apply to the purchase of goods and services of general use by any unit of the state executive branch, except any agencies or instrumentalities of the state exempted by law. b. The centralCentral procurement bureau shall manage statewide purchasing and electronic procurement, including managing procurement of commodities, equipment and services for all state agencies not exempted by law. c. The fleetFleet services bureau is responsible for the management of vehicular risk and travel requirements for state agencies not exempted by law. ITEM 5. Amend 11—Chapter 1, implementation sentence, as follows: These rules are intended to implement Iowa Code chapter 8A and sections 7E.1 through 7E.5 and 17A.3, and 2005 Iowa Acts, House File 776 and House File 839. ITEM 6. Amend subrule 4.3(1) as follows: 4.3(1) Location of record. A request for access to a record under the jurisdiction of the department shall be directed to the office where the record is kept. If the location of the record is not known by the requester, the request shall be directed to the Iowa Department of Administrative Services, Hoover State Office Building, Level AThird Floor, Des Moines, Iowa 50319. The department will forward the request appropriately. If a request for access to a record is misdirected, department personnel will forward the request to the appropriate person within the department. ITEM 7. Amend paragraph 4.13(2)"l" as follows: l. Confidential assignments of state vehicles by the state vehicle dispatcher. These records include letters/memos detailing driver assignments and plate numbers for selected vehicles pursuant to 2003 Iowa Code Supplement sectionsections 8A.362, and Iowa Code section 321.19(1). ITEM 8. Amend rule 11—4.15(8A,22) as follows:11—4.15(8A,22) Other groups of records. This rule describes groups of records maintained by the department other than record systems retrieved by individual identifiers as defined in rule 11—4.1(8A,22). The records listed may contain information about individuals. These records are routinely available to the public, subject to costs. Unless otherwise designated, the authority for the department to maintain the record is provided by 2003 Iowa Code Supplement chapter 8A. All records may be stored on paper, microfilm, tape or in automated data processing systems unless otherwise noted. 4.15(1) Rule-making records. Official documents executed during the promulgation of department rules and public comments. This information is collected pursuant to Iowa Code chapter 17A. 4.15(2) Board and commission records. Agendas, minutes, and materials presented to boards and commissions within the department are available from the department except those records concerning closed sessions which are exempt from disclosure under Iowa Code section 21.5(4) or which are otherwise confidential by law. These records may identify individuals who participate in meetings. This information is collected pursuant to Iowa Code section 21.3. These records may also be stored on audiotapes. 4.15(3) Publications. Publications include but are not limited to news releases, annual reports, project reports, and newsletters which describe various department programs. 4.15(4) Information about individuals. Department news releases, final project reports, and newsletters may contain information about individuals, including staff or members of boards or commissions. 4.15(5) Statistical reports. Periodic reports of activity for various department programs are available from the department. 4.15(6) Appeal decisions and advisory opinions. All final orders, decisions and opinions are open to the public except for information that is confidential according to rule 11—4.5(8A,17A,22) or subrule 4.13(2). These records, collected under the authority of 2003 Iowa Code Supplement chapter 8A, and Iowa Code chapters8A, 19B, 20, 70A, 85, 85A, 85B, 91A, 97A, 97B, 97C, and 509A, may contain confidential information about individuals. 4.15(7) Published materials. The department uses many legal and technical publications in its work. The public may inspect these publications upon request. Some of these materials may be protected by copyright laws. 4.15(8) Published manuals. The department uses many legal and technical publications in its work. The public may inspect these publications upon request. Some of these materials may be protected by copyright law. 4.15(9) Mailing lists and contact lists. The department maintains lists including names, mailing addresses, and telephone numbers of state employees, commission members, officials in government of other states, and members of the general public. These lists may be used for distribution of informational material, such as newsletters, policy directives, or educational bulletins. These lists are also used to provide contacts for coordination of services or as reference information sources. 4.15(10) Authorized user lists. The information technology enterprise maintains a list of persons authorized to use their on-line services. 4.15(11) Publication sales files. The general services enterprise maintains records of persons purchasing legal publications. Records are used to produce mailing lists for renewal notification and publication mailings. Records are maintained by ZIP code. These are paper records except for mailing list production. 4.15(12) Bid/purchasing process. The department maintains records of specifications, proposals, bid documents, awards, contracts, agreements, leases, performance bonds, requisitions, purchase orders, printing orders, supply orders, and correspondence. 4.15(13) Project files. The department maintains plans, specifications, contracts, studies, drawings, photos, blueprints, requests for services, abstracts, lease/rental files, 28E agreements, space administration, and facilities records. 4.15(14) Property/equipment files. The department maintains records of inventory, assignments, distribution, maintenance, requests, operations, shipping/receiving reports, and adjustments. 4.15(15) Education program records. Educational records include a library of training courses and reference materials, a library of course documentation, TSO data sets, Iowa interagency training system, class registrations of state employees, and files of course evaluations. 4.15(16) Data processing files. Data processing files include operations logs, database user requests, job number maintenance/update, data entry format book, integrated data dictionary, computer output forms designations, system software, hardware/software configurations, problem determination/resolution records, and incident reports. 4.15(17) Federal surplus property records. Donee files include applications for eligibility and records of distribution, transfer orders of property from other federal agencies, and auction files. Auction records are filed by auction date only, but award forms may contain names of individuals purchasing property. 4.15(18) Administrative records. Administrative records include the following: a. Reports: weekly, monthly, annual, biennial, statistical, analysis, activity. b. Correspondence: public, interdepartmental, internal. c. Policies and procedures. d. Organizational charts or table of authorized positions. e. Memberships: professional/technical organizations. f. Budget and financial records. g. Accounting records: accounts receivable, accounts payable, receipts, invoices, claims, vouchers, departmental billings. h. Requisition of equipment and supplies. 4.15(19) Legislative files. Legislative files include pending bills, enrolled bills, legislative proposals, and copies of amendments. 4.15(20) Printing files. Printing files include print requisition, plates, negatives, samples, typesetting, artwork, and production logs. 4.15(21) All other records. Records are open if not exempted from disclosure by law. ITEM 9. Amend subrule 5.1(1) as follows: 5.1(1) Filing. Any person or agency may file a petition for adoption of rules or request for review of rules with theDepartment of Administrative Services Department, Office of the Director, Hoover State Office Building, Third Floor, Des Moines, Iowa 50319. A petition is deemed filed when it is received by the department. The department shall provide the petitioner with a file-stamped copy of the petition if the petitioner provides the department an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:DEPARTMENT OFADMINISTRATIVE SERVICES DEPARTMENT Petition by (Name of Petitioner)for the (adoption, amendment, or repeal)of rules relating to (state the subject matter). } PETITION FORRULE MAKINGThe petition must provide the following information: a. A statement of the specific rule-making action sought by the petitioner including the text or a summary of the contents of the proposed rule or amendment to a rule and, if it is a petition to amend or repeal a rule, a citation and the relevant language to the particular portion or portions of the rule proposed to be amended or repealed. b. A citation to any law deemed relevant to the department’s authority to take the action urged or to the desirability of that action. c. A brief summary of petitioner’s arguments in support of the action urged in the petition. d. A brief summary of any data supporting the action urged in the petition. e. The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by or interested in, the proposed action which is the subject of the petition. f. Any request by petitioner for a meeting provided for by rule 5.4(17A). ITEM 10. Amend 11—Chapter 5, implementation sentence, as follows: These rules are intended to implement Iowa Code chapterchapters 8A and 17A and 2003 Iowa Code Supplement chapter 8A. ITEM 11. Amend subrule 6.4(3) as follows: 6.4(3) Copies of notices. Persons desiring to receive copies of future Notices of Intended Action by subscription must file with the department a written request indicating the name and address to which such notices should be sent. Within seven days after submission of a Notice of Intended Action to the administrative rules coordinator for publication in the Iowa Administrative Bulletin, the agency shall mail or electronically transmit a copy of that notice to subscribers who have filed a written request for either mailing or electronic transmittal with the agency for Notices of Intended Action. The written request shall be accompanied by payment of the subscription price which may cover the full cost of the subscription service, including its administrative overhead and the cost of copying and mailing the Notices of Intended Action for a period of one year. Inquiries regarding the subscription price should be directed to theDepartment of Administrative Services Department, Office of the Director, Hoover State Office Building, Level A-SouthThird Floor, Des Moines, Iowa 50319. ITEM 12. Amend subrule 6.11(1) as follows: 6.11(1) General. When requested by a person, either prior to the adoption of a rule or within 30 days after its publication in the Iowa Administrative Bulletin as an adopted rule, the department shall issue a concise statement of reasons for the rule. Requests for such a statement must be in writing and be delivered to the Rules Administrator,Department of Administrative Services Department, Hoover State Office Building, Level A-SouthThird Floor, Des Moines, Iowa 50319. The request should indicate whether the statement is sought for all or only a specified part of the rule. Requests will be considered made on the date received. ITEM 13. Amend subrule 6.12(2), introductory paragraph, as follows: 6.12(2) Incorporation by reference. The department may incorporate by reference in a proposed or adopted rule, and without causing publication of the incorporated matter in full, all or any part of a code, standard, rule, or other matter if the department finds that the incorporation of its text in the department proposed or adopted rule would be unduly cumbersome, expensive, or otherwise inexpedient. The reference in the department proposed or adopted rule shall fully and precisely identify the incorporated matter by location, title, citation, date, and edition, if any; shall briefly indicate the precise subject and the general contents of the incorporated matter; and shall state that the proposed or adopted rule does not include any later amendments or editions of the incorporated matter. The department may incorporate such matter by reference in a proposed or adopted rule only if the department makes copies of it readily available to the public. The rule shall state how and where copies of the incorporated matter may be obtained at cost from thedepartment of administrative services department, and how and where copies may be obtained from the agency of the United States, this state, another state, or the organization, association, or persons, originally issuing that matter. The department shall retain permanently a copy of any materials incorporated by reference in a rule of thedepartment of administrative services department. ITEM 14. Amend rule 11—7.1(8A,17A) as follows:11—7.1(8A,17A) Scope and applicability. This chapter applies to contested case proceedings conducted by thedepartment of administrative services department, or by the division of administrative hearings in the department of inspections and appeals on behalf of the department. Excepted from this chapter are matters covered by rule 11—60.2(8A), disciplinary actions; rule 11—61.1(8A), grievances; 11—subrule 61.2(6), appeal of disciplinary actions; rule 11—68.6(19B), discrimination complaints, including disability-related and sexual harassment complaints; matters covered by the grievance procedure in any collective bargaining agreement with state employees; matters within the exclusive jurisdiction of the industrialworkers’ compensation commissioner; and matters related to any of the department’s vendors that administer group benefits if the vendor has an established complaint or appeal procedure. Further, the provisions of 11—Chapter 52, job classification, are exempt from subrules 7.5(4) to 7.5(7) and rules 11—7.6(8A,17A) and 11—7.8(8A,17A). ITEM 15. Amend paragraph 7.12(3)"b" as follows: b. After the notice of hearing, when a matter has not been assigned to the department of inspections and appeals for hearing, all pleadings, motions, documents or other papers in a contested case proceeding shall be filed with theDepartment of Administrative Services Department, Hoover State Office Building, Level AThird Floor, Des Moines, Iowa 50319. All pleadings, motions, documents or other papers that are required to be served upon a party shall be filed simultaneously with the department. ITEM 16. Amend paragraph 7.12(5)"d" as follows: d. A certification in substantially the following form:I certify under penalty of perjury and pursuant to the laws of Iowa that, on (date of mailing), I mailed copies of (describe document) addressed to the Department of Administrative Services, Hoover State Office Building, Level AThird Floor, Des Moines, Iowa 50319, and to the names and addresses of the parties listed below by depositing the same in (a United States post office mailbox with correct postage properly affixed) or (state interoffice mail).(SIGNATURE)(DATE) ITEM 17. Amend 11—Chapter 7, implementation sentence, as follows: These rules are intended to implement Iowa Code chapterchapters 8A and 17A and Iowa Code Supplement chapter 8A. ITEM 18. Amend rule 11—8.1(17A) as follows:11—8.1(17A) Petition for declaratory order. Any person may file a petition with thedepartment of administrative services department for a declaratory order as to the applicability to specified circumstances of a statute, rule, or order within the primary jurisdiction of theDepartment of Administrative Services Department, Hoover State Office Building, Third Floor, Des Moines, Iowa 50319, Attn: Legal Counsel. A petition is deemed filed when it is received by that office. Thedepartment of administrative services department shall provide the petitioner with a file-stamped copy of the petition if the petitioner provides the department an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:DEPARTMENT OF ADMINISTRATIVE SERVICES DEPARTMENT Petition by (Name of Petitioner)for a Declaratory Order on(Cite the provisions of law involved). } PETITION FORDECLARATORY ORDERThe petition must provide the following information:- A clear and concise statement of all relevant facts on which the order is requested.
- A citation and the relevant language of the specific statutes, rules, policies, decisions, or orders, whose applicability is questioned, and any other relevant law.
- The questions petitioner wants answered, stated clearly and concisely.
- The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers.
- The reasons for requesting the declaratory order and disclosure of the petitioner’s interest in the outcome.
- A statement indicating whether the petitioner is currently a party to another proceeding involving the questions at issue and whether, to the petitioner’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
- The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition.
- Any request by petitioner for a meeting provided for by rule 8.7(17A).
- Facts supporting the intervenor’s standing and qualifications for intervention.
- The answers urged by the intervenor to the question or questions presented and a summary of the reasons urged in support of those answers.
- Reasons for requesting intervention and disclosure of the intervenor’s interest in the outcome.
- A statement indicating whether the intervenor is currently a party to any proceeding involving the questions at issue and whether, to the intervenor’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
- The names and addresses of any additional persons, or a description of any additional class of persons, known by the intervenor to be affected by, or interested in, the questions presented.
- Whether the intervenor consents to be bound by the determination of the matters presented in the declaratory order proceeding.
- Contracts for software purchases, software maintenance, or other maintenance contracts which have been negotiated with a clause requiring prepayment.
- Subscriptions for magazines and periodicals.
- Publications.
- Rental of building space, post office boxes, parking spaces, and booths (only the portion that must be prepaid to reserve a space). Documentation must be attached to the claim.
- Yearly memberships approved by the executive council.
- 6Maintenance contracts that have been negotiated with a clause requiring prepayment.
- 7If there is documentation attached to the claim which indicates the registration must be paid prior to the function, or there is documentation attached which indicates there is a savings of at least current general fund earning rate of the state treasurer if the registration is paid in advance.
- Failure by the applicant to maintain a record of current address as evidenced by the return of a properly addressed letter or other similar evidence.
- Failure by the applicant to respond to a written inquiry from the director or an appointing authority as to availability within five workdays following the date the inquiry was sent.
- Receipt of a statement that the applicant no longer wants to be on the list for the class.
- Declination of an appointment or promotion under previously agreed to conditions.
- Appointment to a job class.
- Abolition or expiration of an eligible list for a job class(es).
- In the case of promotional lists, separation from state service.
- Correction of erroneous placement on a list.
- Violation of any of the provisions of Iowa Code Supplement chapter 8A or these rules. Applicants removed for this reason shall be notified in writing by the director within five workdays following removal. Appeal of removal for this reason shall be in accordance with 11—subrule 61.2(4).
- Failure by the applicant to maintain contact as instructed by the department concerning current availability, mailing address and telephone number.
Proposing rule making related to organizational structure and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 1, “Description of Organization,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 17A.3 and 524.208.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 1 make changes so that rule 187—1.3(17A,524) more accurately reflects the current organizational structure of the IDOB.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.state.ia.usPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 187—1.3(17A,524), introductory paragraph, as follows:187—1.3(17A,524) Division of banking. The division of banking is a subdivision of the department of commerce and consists of the superintendent and those employees who discharge the duties and responsibilities imposed upon the superintendent by the laws of this state. The superintendent has general control, supervision and regulatory authority over all entities which the division is given authority to regulate pursuant to the Code of Iowa. The division consists of twothree separate bureaus: the bank bureau, the finance bureau, and the professional licensing and regulation bureau. The bank bureau has primary responsibility relating to the supervision, regulation, and chartering of state banks. The finance bureau has primary responsibilities relating to the supervision, regulation, and licensing ofappraisal management companies, closing agents, debt management businesses, delayed deposit services businesses, industrial loan companies, money services businesses, mortgage bankers, mortgage brokers, mortgage loan originators, real estate appraisers, and regulated loan companies; industrial loan companies; mortgage bankers, brokers, and registrants; delayed deposit service licensees; persons engaged in the business of selling written instruments; and persons engaged in the business of debt management.The professional licensing and regulation bureau has primary responsibilities relating to the regulation and licensing of specified professions by providing administrative support to and coordinating the activities of the following licensing boards: the Iowa accountancy examining board, the architectural examining board, the engineering and land surveying examining board, the interior design examining board, the landscape architectural examining board, and the real estate commission. ITEM 2. Amend subrule 1.3(1) as follows: 1.3(1) Organization—superintendent. The superintendent is the administrator of the division. The superintendent is appointed by the governor, by and with the approval of the senate, for a term of four years. The superintendent’s office is located at 200 East Grand Avenue, Suite 300, Des Moines, Iowa 50309-1827. The superintendent is assisted by the following officials who are responsible to the superintendent: a. Bank bureau chief.The bank bureau chief performs such duties as the superintendent prescribes, including general supervision of all bank examining personnel, administration and supervision of regulatory examinations, and administration and supervision of all matters relating to the exercise of banking powers authorized by the laws of this state. During the absence or disability of the superintendent, or as directed by the superintendent, a deputy superintendent who possesses the powers and performs the duties of the superintendent may be appointed by the superintendent. b. Bank analysts.Bank analysts perform such duties as the superintendent prescribes, including advanced technical analysis and review of examination and financial reports of banks and bank holding companies; assessing, measuring, and monitoring the risk conditions in state banks and bank holding companies; assisting the superintendent and banking council in the analysis of applications submitted to the division for approval; and the review and analysis of bank examination reports. c. Finance bureau chief.The finance bureau chief performs duties prescribed by the superintendent, including general supervision over all matters relating to the licensing and supervision ofappraisal management companies, closing agents, debt management businesses, delayed deposit services businesses, industrial loan companies, money services businesses, mortgage bankers, mortgage brokers, mortgage loan originators, real estate appraisers, and regulated loan companies; industrial loan companies; mortgage bankers, brokers, and registrants; delayed deposit service licensees; persons engaged in the business of debt management; and persons engaged in the sale of written instruments. d. ComptrollerChief operating officer.The comptrollerchief operating officer performs duties prescribed by the superintendent, including management of the administrative functions, information technology needs, and fiscal affairs of the division of banking. The comptrollerchief operating officer is also responsible for administration of personnel policies, work rules, payrolls, and employee benefits for all employees of the division. e. Examiners.RegulatoryEach examiner performs duties prescribed by the superintendent in a manner consistent with the laws of this state and may be predominantly trained in an area within the jurisdiction of the superintendent. Bank examinations are performed by examining personnel situated in examination regions throughout the state. Each region is headed by a supervisorregional manager who is assisted by a staff of examiners. Each examiner performs duties prescribed by the superintendent in a manner consistent with the laws of this state and may be predominantly trained in the specialized fields of commercial bank and bank holding company regulation, trust asset administration, finance company and mortgage banking regulation, data processing, and other areas within the jurisdiction of the office of the superintendent. f. Professional licensing bureau chief.The professional licensing bureau chief performs such duties as the superintendent prescribes, including budgetary and personnel matters related to the licensing and regulation of several professions by providing administrative support to and coordinating the activities of the following licensing boards: the Iowa accountancy examining board created pursuant to Iowa Code chapter 542, the real estate commission created pursuant to Iowa Code chapter 543B, the architectural examining board created pursuant to Iowa Code chapter 544A, the landscape architectural examining board created pursuant to Iowa Code chapter 544B, the real estate appraiser examining board created pursuant to Iowa Code section 543D.4, and the interior design examining board created pursuant to Iowa Code chapter 544C.ARC 3949CBanking Division[187]Notice of Intended ActionProposing rule making related to application procedures and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 2, “Application Procedures,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 524.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 2 are intended to eliminate outdated requirements. The IDOB proposes to eliminate existing requirements stating that the Superintendent must determine that a reasonable share price is being paid in a cash out merger or reverse stock split, because the IDOB is able to fulfill its statutory duty to protect the interests of shareholders without engaging in the detailed analysis of these transactions currently required by rule. The IDOB proposes to rescind current rules regarding the licensing of debt management companies and is separately promulgating a new Chapter 20 (ARC 3954C, IAB 8/15/18) applicable to debt management companies. The IDOB proposes to eliminate a rule that imposes a notice and publication requirement in association with applications for which no statutory notice and publication requirement exists. The IDOB has concluded that this type of notice requirement is rarely invoked and adds unnecessary burden to the application process. The IDOB proposes to add rule language to clarify that an applicant may not declare the entire contents of an application confidential. Finally, the IDOB proposes several corrections to update references to statutes and certain federal guidance documents.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.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. Rescind and reserve subrule 2.3(6). ITEM 2. Amend rule 187—2.5(17A,524), implementation sentence, as follows: This rule is intended to implement Iowa Code sectionssection 524.312 and 524.1202. ITEM 3. Rescind and reserve subrule 2.7(3). ITEM 4. Rescind and reserve subrule 2.7(4). ITEM 5. Rescind and reserve rule 187—2.9(17A). ITEM 6. Amend rule 187—2.12(17A,524) as follows:187—2.12(17A,524) Supplemental application procedures. 2.12(1) Scope. Subrules 2.12(2) to 2.12(14) containThis rule contains procedures by which the superintendent may reach informed decisions with respect to those applicationsfor which the superintendent shall deem a public hearing necessary. These procedures provide a method by which all persons interested in the subject matter of such applications or other cases in which a public hearing is deemed necessary may present their views. Nothing contained herein shall be construed to prevent interested persons from presenting their views in a more informal manner when deemed appropriate by the superintendent or to prevent the superintendent from conducting such other investigation as may be deemed appropriate. 2.12(2) Notice of filing of application. Except in the case of proposed transactions where notice by publication is governed by statute, the applicant shall, within 15 days after the superintendent has notified the applicant in writing that an application has been accepted for processing, publish one time in a newspaper of general circulation in the community in which the applicant proposes to engage in business a notice containing the name of the applicant or applicants, the subject matter of the application, and the date upon which the application was accepted for processing. Immediately thereafter, the applicant shall furnish the superintendent with proof of such publication. The superintendent may solicit, in whatever manner deemed appropriate, comments from banks which may be affected by or have an interest in the pending application. 2.(3) 2.12(2) Public file. The public file in each case shall consist of the application with supporting data and supplementary information with the exception of material deemed by the superintendent to be confidential. In addition, the public file shall contain all data and information submitted by interested persons in favor of or in opposition to such application, excluding any material deemed by the superintendent to be confidential. The superintendent or the superintendent’s designee shall not deem information confidential for purposes of the two immediately preceding sentences unless the person submitting the information requests that such information be deemed confidential. All factual information contained in any internal investigation report made by a bank examiner shall also be made a part of the public file, unless deemed confidential by the superintendent.The person submitting the application may not request that the entire application be deemed confidential. a. The public file shall be available for inspection in the office of the superintendent upon request from a protesting person and to such other persons as the superintendent shall deem to have a direct interest therein during such periods of time as the superintendent shall prescribe. b. No documentation in the public file may be removed from the superintendent’s office by persons other than members of the superintendent’s staff. Photocopies may be made available, on request, to protesting and other interested parties. The charge for such copies shall be made in accordance with a written schedule maintained by the superintendent. 2.12(4) Written comments and requests for an opportunity to be heard. Within ten days after the notice of publication described in subrule 2.12(2), any interested person may submit to the superintendent written comments concerning the application or a written request for an opportunity to be heard before the superintendent or the superintendent’s designee. The request shall state the nature of the issues or facts to be presented and the reasons why written submissions would be insufficient to make an adequate presentation to the superintendent. In the absence of a request, the superintendent, when it is believed to be in the public interest, may order a hearing to be held. 2.(5) 2.12(3) Place of hearing. Hearings granted by the superintendent shall be heard in the office of the superintendent. The superintendent, in any matter, reserves the right to conduct hearings at any location deemed to be appropriate. 2.(6) 2.12(4) Date of hearing. An opportunity to be heard shall be given as soon as practicable after ordered. 2.(7) 2.12(5) Notice of hearing. The notice given by the superintendent concerning the hearing shall set forth the subject matter of the application, the legal authority for such hearing, and the date, time, and place of the hearing. The notice shall be sent to the person or persons requesting the hearing,to the applicant and to other interested persons who have sent written comments to the superintendent. 2.(8) 2.12(6) Attendance at hearing. Each person who wishes to be heard shall notify the superintendent within five days after the date of the notice described in subrule 2.12(7)2.12(5) of theirthe person’s intention to attend and shall submit the number and names of witnesses to be presented. 2.(9) 2.12(7) Presiding officer. The presiding officer at the hearing shall be the superintendent or such other person as may be designated by the superintendent. 2.(10) 2.12(8) Hearing rules. The applicant and each participant may make opening statements of a length within the discretion of the presiding officer. Such opening statements should concisely state what the participant intends to show. The applicant shall have the opportunity to present a statement first. Following the opening statements, the applicant shall present data and materials, oral or documentary. Following the applicant’s presentation, the persons protesting the application shall present their data and materials, oral or documentary. The protesters may agree, with the approval of the presiding officer, to have one of their number make their presentation. Following the evidence of the applicant and the protester, the presiding officer may recognize other interested persons who may present their views with respect to the application under consideration. After all the above presentations have been concluded, the participants before the panel may make short and concise summary statements reviewing their positionpositions. The applicant shall present a concluding summary statement. a. The obtaining and use of witnesses is the responsibility of the parties. All witnesses will be present on their own volition, but any person appearing as a witness may be subject to questioning by any participant. The refusal of a witness to answer questions may be considered by the superintendent in determining the weight to be accorded the testimony of that witness. Witnesses shall be sworn. b. The presiding officer shall have the authority to exclude data or materials deemed to be improper or irrelevant. Formal rules of evidence shall not be applicable to these hearings. Documentary material must be of a size consistent with ease of handling, transportation and filing, and copies must be provided for each participant. While large exhibits may be used during the hearing, copies of such exhibits must be provided by the party in reduced size for submission as evidence. Two copies of all such documentary evidence shall be furnished to the superintendent, and one copy shall be furnished to each other person represented at the proceeding. c. The superintendent or the superintendent’s designee shall determine all procedural questions not governed by these rules. The superintendent or the superintendent’s designee shall have the authority to limit the number of witnesses to be used by any party, and to impose such time limitations as shall be deemed reasonable. d. A transcript of each proceeding shall be arranged for by the superintendent’s officeperson or persons requesting the opportunity to be heard, with all expenses of such service, including the furnishing of one copy of the transcript to the superintendent, being borne by the person or persons requesting the opportunity to be heard, except for hearings ordered by the superintendent’s office on its own volition, in which case, the applicant will bear the expense of furnishing transcripts of the record. e. The public file described in subrule 2.12(3)2.12(2) shall automatically be deemed a part of the record of these proceedings, as well as all evidence submitted and the transcript described in paragraph “d” of this subrule.2.12(8)“d.” 2.(11) 2.12(9) Closing of the public file. If requested by any participant, the public file shall remain open for five days following receipt of the transcript by the superintendent, during which time the applicant and protesters may submit additional written statements. A copy of any statement so submitted during this period of time shall also be sent simultaneously to the other persons represented at the hearing. 2.12(12) Reserved. 2.(13) 2.12(10) Decision. The applicant and all persons so requesting in writing shall be notified of the final disposition of the application by the superintendent. 2.(14) 2.12(11) Computation of time. In computing any period of days provided for in this rule, the day of the event from which the period begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday. As used in this subrule, “legal holiday” means a day on which the office of the superintendent remains closed. This rule is intended to implement Iowa Code sections 17A.3, 524.305, 524.312, 524.1201, 524.1303, and 524.1403. ITEM 7. Rescind paragraph 2.16(2)"e". ITEM 8. Rescind and reserve subrule 2.17(3).ARC 3948CBanking Division[187]Notice of Intended ActionProposing rule making related to public records and fair information practices and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 7, “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 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 22.11.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 7 are intended to clarify the meaning of the chapter and to eliminate outdated requirements. Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.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 187—Chapter 7, preamble, as follows:The Iowa division of banking hereby adopts, with the following exceptions and amendments, rules of the Governor’s Task Force onthe Uniform Rules of Agency Procedure relating to public records and fair information practices, which are printed in the first Volume of the Iowa Administrative Codepublished on the Iowa general assembly’s website at www.legis.iowa.gov/DOCS/Rules/Current/UniformRules.pdf. ITEM 2. Amend subrule 7.15(6) as follows: 7.15(6) Policy manuals. The agency’s employees’ manual, containing information concerning policies and procedures for programs administered by the agency, is available in the office of the agency. Subscriptions to all or part of the employees’ manual are available at the cost of production and handling. Requests for subscription information should be addressed to Iowa Division of Banking, 200 East Grand Avenue, Suite 300, Des Moines, Iowa 50309-1827. Policy manuals do not contain information about individuals.ARC 3952CBanking Division[187]Notice of Intended ActionProposing rule making related to general banking powers and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 8, “General Banking Powers,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 12B.10 and 524.103.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 8 are intended to clarify the meaning of Chapter 8 and to eliminate outdated requirements.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa. Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.state.ia.usPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 187—8.8(12B) as follows:187—8.8(12B) Approved rating services. Rating services approved by the superintendent as provided by Iowa Code section 12B.10 for use by the treasurer of state and the treasurer of each political subdivision in determining qualifying commercial paper investments are Moody’s Investors Services, New York, New York 10007, and Standard & Poor’s, Chicago, Illinois 60606. This rule is intended to implement Iowa Code section 12B.10. ITEM 2. Amend rule 187—8.9(524) as follows:187—8.9(524) General definition of bank. It is the superintendent’s intent that the term “bank” used in Iowa Code section 524.103(8) means a corporation organized under Iowa Code chapter 524 or a corporation organized under 12 U.S.C. §21. The general definition of “bank” as set forth in Iowa Code section 524.103(8) does not include a state savings association, federal savings association, state credit union, or federal credit union. This rule is intended to implement Iowa Code section 524.103(8).ARC 3953CBanking Division[187]Notice of Intended ActionProposing rule making related to investment and lending powers and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 9, “Investment and Lending Powers,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 524.905 and 524.908.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 9 are intended to clarify the meaning of the chapter and to eliminate outdated requirements.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact on the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa. Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12.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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.state.ia.usPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 187—9.2(17A,524) as follows:187—9.2(17A,524) Real estate lending. This rule is promulgated to provide more uniformity with the final guidelines adopted by the Federal Deposit Insurance Corporation, the Federal Reserve System, and the Department of the Treasury. This rule shall apply to real estate loans either originated by the state bank or acquired by purchase, assignment, or otherwise. 9.2(1) Written policy. The board of directors of the state bank shall formulate and maintain a written real estate lending policy that is appropriate for its size and the nature and scope of its operation. Each policy must be comprehensive and consistent with safe and sound lending practices. The standards and limits established in the policy must be reviewed and approved at least annually by the board. The real estate lending policy should reflect the level of risk that is acceptable to the board and should provide clear and measurable underwriting standards that enable the state bank’s lending staff to evaluate all relevant credit factors. The real estate lending policy, at a minimum, should: a. Identify the geographic area where the state bank will consider lending. b. Establish loan portfolio diversification standards. c. Set appropriate terms and conditions by type of real estate loan. d. Establish loan origination and approval procedures. e. Establish prudent underwriting standards which include clear and measurable loan-to-value limitations. f. Establish review and approval procedures for exempted loans. g. Establish loan administration procedures. h. Establish real estate appraisal and evaluation programs. i. Monitor the portfolio and provide timely reports to the board of directors. j. Establish procedures for conformance with secondary market investor requirements where applicable.When formulating the real estate policy, the board should consider both internal and external factors, such as size and condition of the state bank, expertise of its lending staff, avoidance of undue concentrations of risk, compliance with all real estate-related laws and rules, and general market conditions. 9.2(2) Loan-to-value limits. The board of directors of the state bank shall establish its own internal loan-to-value (LTV) limits for real estate loans. 9.2(3) In transit loans. Real estate loans made for sale into the secondary market shall be considered in transit for a period of 90 days after being sold and shall not be considered risk assets for reserving purposes during this time period. 9.2(4) Reserved. 9.(5) 9.2(4) Evidence of title. The state bank shall obtain, when lending for the purpose of acquisition or for the purpose of refinance of acquisition when a new mortgage, deed of trust, or similar instrument is filed, eitherone of the following: a. A written legal opinion by an attorney admitted to practice in the state in which the real estate is located showing marketable title in the mortgagor and describing any existing liens and stating that the state bank’s mortgage, deed of trust, or similar instrument is a lien on the real estate, or. An Iowa title guaranty certificate issued by the Iowa title guaranty division of the Iowa finance authority satisfies this requirement. b. TitleIf the real property is located in a state other than Iowa, title insurance written by an insurance company licensed to do business in the state in which the real property is located, describing any existing liens and insuring the title to the real property and the validity and enforceability of the mortgage, deed of trust, or similar instrument as a lien on the real property. 9.2(6) Insurance. Rescinded IAB 3/2/05, effective 4/6/05. 9.2(7) Disclosures. Rescinded IAB 3/2/05, effective 4/6/05. 9.(8) 9.2(5) Exceptions. There are certain real estate transactions in which other factors significantly outweigh the need to apply the provisions of this rule. Therefore, the following transactions are exempt from this rule: a. Loans guaranteed, insured, or for which a written commitment for such has been issued by the U.S. government or its agencies. b. Loans guaranteed, insured, or for which a written commitment for such has been issued by the state of Iowa, a political subdivision, or agency thereof, provided that the state bank has determined that the guarantor or insurer has the financial capacity and willingness to perform under the terms of the agreement. c. Acceptance of real estate as collateral to secure debts previously contracted in good faith. d. Securities collateralized by real estate, but in which a state bank may invest pursuant to Iowa Code section 524.901. e. With the prior approval of the superintendent, any other loans approved, issued, insured or guaranteed by any other federal or state-sponsored program. 9.(9) 9.2(6) Exempted transactions. In addition to the exemptions set forth in subrule 9.2(8)9.2(5), it may be appropriate, in light of all relevant credit considerations, including community reinvestment factors, for state banks, in certain instances, to originate or purchase real estate loans that do not meet the requirements of this rule. State banks shall be allowed to make such loans; however, the aggregate amount of all real estate loans that fall into this category shall not exceed aggregate capital as reflected on the state bank’s most recent consolidated report of condition, unless prior approval to exceed this limitation has been obtained from the superintendent. These exempted loans must be identified by the board of directors by name and outstanding balance and must be reviewed by the board no less frequently than annually. Examiners, during the course of their examinations, will determine whether these exempted loans are adequately documented and appropriate in light of overall safety and soundness considerations. No real estate loans to directors, officers, or principal shareholders or their related interests shall be allowed in the exempted category of this subrule. This rule is intended to implement Iowa Code section 524.905. ITEM 2. Amend paragraph 9.3(2)"k" as follows: k. All lease receivables shall be booked in accordance with call reportthe instructionsfor preparation of the consolidated reports of condition and income. ITEM 3. Rescind paragraph 9.3(3)"b". ITEM 4. Reletter paragraph 9.3(3)"c" as 9.3(3)"b".ARC 3951CBanking Division[187]Notice of Intended ActionProposing rule making related to contested cases and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 11, “Contested Cases,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 17A.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 11 are intended to clarify the discovery process and applicability of the rules of civil procedure in contested cases and to enable communications and submissions pertaining to a contested case via telephone, email, and other electronic means.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.state.ia.usPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 187—11.1(17A) as follows:187—11.1(17A) Scope and applicabilityof the Iowa Rules of Civil Procedure. Except when inconsistent with Iowa Code chapter 524, this chapter applies to contested case proceedings conducted by the Division of Bankingdivision of banking.Except as expressly provided in Iowa Code chapter 17A and these rules, the Iowa Rules of Civil Procedure do not apply to contested case proceedings. However, upon application by a party, the division may permit the use of procedures provided for in the Iowa Rules of Civil Procedure unless doing so would unreasonably complicate the proceedings or impose an undue hardship on a party. ITEM 2. Amend rule 187—11.2(17A), definitions of “Contested case” and “Presiding officer,” as follows: "Contested case" means a proceeding defined by Iowa Code section 17A.2(5) and includes any matter defined as a no factual dispute contested case under 1998 Iowa Acts, chapter 1202, section 14Iowa Code section 17A.10A. "Presiding officer" means the superintendent of banking, the superintendent’s designee or, under certain circumstances, thean administrative law judge. ITEM 3. Amend subrule 11.5(2) as follows: 11.5(2) Contents. The notice of hearing shall contain the following information: a. A statement of the time, place, and nature of the hearing; b. A statement of the legal authority and jurisdiction under which the hearing is to be held; c. A reference to the particular sections of the statutes and rules involved; d. A short and plain statement of the matters asserted. If the division or other party is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to a statement of the issues involved. Thereafter, upon application, a more definite and detailed statement shall be furnished; e. Identification of all parties including the name, address, and telephone number of the person who will act as advocate for the division or the state and of parties’ counsel where known; f. Reference to the procedural rules governing conduct of the contested case proceeding; g. Reference to the procedural rules governing informal settlement; h. Identification of the presiding officer, if known. If not known, a description of who will serve as presiding officer (e.g., superintendent, superintendent’s designee, administrative law judge from the department of inspections and appeals); and i. Notification of the time period in which a party may request, pursuant to 1998 Iowa Acts, chapter 1202, section 15(1),Iowa Code section 17A.11 and rule 187—11.6(17A), that the presiding officer be an administrative law judge.; j. A statement requiring the respondent to submit an answer of the type specified in subrule 11.11(2) within 20 days after service of the notice of hearing; k. Information on whom to contact if, because of a disability, auxiliary aids or services are needed to enable a person to participate in the matter; l. If applicable, the date, time, and manner of conduct of a prehearing conference under rule 187—11.16(17A); and m. The mailing address and email address for filing with the division and notice of the option of email service as provided in subrule 11.12(6). ITEM 4. Amend rule 187—11.8(17A) as follows:187—11.8(17A) Telephoneand electronic proceedings. The presiding officer may resolve preliminary procedural motions by telephone conferenceor other electronic means in which all parties have an opportunity to participate. Other telephone proceedings may be heldby telephone or other electronic means with the consent of all parties. The presiding officer will determine the location of the parties and witnesses for telephone hearingsheld by telephone or other electronic means. The convenience of the witnesses or parties, as well as the nature of the case, will be considered when location is chosen.Disciplinary hearings will generally not be held by telephone or electronic means in the absence of consent by all parties, but the presiding officer may permit any witness to testify by telephone or other electronic means. Parties shall disclose at or prior to the prehearing conference whether any witness will be testifying by telephone or other electronic means. Objections, if any, shall be filed with the division and served on all parties at least three business days in advance of hearing. ITEM 5. Amend rule 187—11.9(17A) as follows:187—11.9(17A) Disqualification. 11.9(1) A presiding officer or other person shall withdraw from participation in the making of any proposed or final decision in a contested case if that person: a. Has a personal bias or prejudice concerning a party or a representative of a party; b. Has personally investigated, prosecuted or advocated in connection with that case, the specific controversy underlying that case, another pending factually related contested case, or a pending factually related controversy that may culminate in a contested case involving the same parties; c. Is subject to the authority, direction or discretion of any person who has personally investigated, prosecuted or advocated in connection with that contested case, the specific controversy underlying that contested case, or a pending factually related contested case or controversy involving the same parties; d. Has acted as counsel to any person who is a private party to that proceeding within the past two years; e. Has a personal financial interest in the outcome of the case or any other significant personal interest that could be substantially affected by the outcome of the case; f. Has a spouse or relative within the third degree of relationship that: (1) is a party to the case, or an officer, director or trustee of a party; (2) is a lawyer in the case; (3) is known to have an interest that could be substantially affected by the outcome of the case; or (4) is likely to be a material witness in the case; or g. Has any other legally sufficient cause to withdraw from participation in the decision making in that case. 11.9(2) The term “personally investigated” means taking affirmative steps to interview witnesses directly or to obtain documents or other information directly. The term “personally investigated” does not include general direction and supervision of assigned investigators, unsolicited receipt of information which is relayed to assigned investigators, review of another person’s investigative work product in the course of determining whether there is probable cause to initiate a proceeding, or exposure to factual information while performing other division functions, including fact gathering for purposes other than investigation of the matter which culminates in a contested case.A person voluntarily appearing before the division waives any objection to a division staff member’s participation in the appearance and later participation as a decision maker or aid to the decision maker in a contested case. Factual information relevant to the merits of a contested case received by a person who later serves as presiding officer in that case shall be disclosed if required by Iowa Code section 17A.17 as amended by 1998 Iowa Acts, chapter 1202, section 19,17A.17(3) and subrules 11.9(3) and 11.23(9). 11.9(3) In a situation where a presiding officer or other person knows of information which might reasonably be deemed to be a basis for disqualification and decides voluntary withdrawal is unnecessary, that person shall submit the relevant information for the record by affidavit and shall provide for the record a statement of the reasons for the determination that withdrawal is unnecessary. 11.9(4) If a party asserts disqualification on any appropriate ground, including those listed in subrule 11.9(1), the party shall file a motion supported by an affidavit pursuant to 1998 Iowa Acts, chapter 1202, section 19(7)Iowa Code sections 17A.11(3) and 17A.17(7). The motion must be filed as soon as practicable after the reason alleged in the motion becomes known to the party. 11.9(5) If, during the course of the hearing, a party first becomes aware of evidence of bias or other grounds for disqualification, the party may move for disqualification but must establish the grounds by the introduction of evidence into the record. 11.9(6) A motion to disqualify a division staff member or other person shall first be directed to the affected division staff member or other person for determination. If the division staff member or other person determines that disqualification is appropriate, the division staff member or other person shall withdraw from further participation in the case. If the division staff member or other person determines that withdrawal is not required, the presiding officer shall promptly review that determination, provided that, if the person at issue is an administrative law judge, the review shall be by the division.If the presiding officer determines that disqualification is appropriate, the presiding officer or other person shall withdraw. If the presiding officer determines that withdrawal is not required, the presiding officer shall enter an order to that effect. A party asserting disqualification may seek an interlocutory appeal under rule 187—11.25(17A), if applicable, and seek a stay under rule 187—11.29(17A). ITEM 6. Amend subrule 11.11(2) as follows: 11.11(2) Answer. An answer shall be filed within 20 days of service of a petition unless otherwise ordered. A party may move to dismiss or apply for a more definite and detailed statement when appropriate.AnUnless otherwise provided in the notice of hearing, an answer shall show on whose behalf it is filed and specifically admit, deny, or otherwise answer all material allegations of the pleading to which it responds. It shall state any facts deemed to show an affirmative defense and contain as many additional defenses as the pleader may claim.AnUnless otherwise provided in the notice of hearing, an answer shall state the name, address and telephone number of the person filing the answer, the person or entity on whose behalf it is filed, and the attorney representing that person, if any.Any allegation in the petition not denied in the answer is considered admitted. The presiding officer may refuse to consider any defense not raised in the answer which could have been raised on the basis of facts known when the answer was filed if any party would be prejudiced. ITEM 7. Amend subrule 11.12(4) as follows: 11.12(4) Filing—how andwhen made. Except where otherwise provided by law, a document is deemed filed at the time it is delivered to the division of banking, delivered to an established courier service for immediate delivery to that office, or mailed by first-class mail or state interoffice mail to that office, so long as there is proof of mailing, or delivered by electronic transmission to the email address specified in the notice of hearing. Filing by electronic transmission is complete upon transmission unless the party making the filing learns the attempted filing did not reach the division. The division will not provide a mailed file-stamped copy of documents that are filed by email or other approved electronic means. ITEM 8. Adopt the following new subrule 11.12(6): 11.12(6) Electronic service. The presiding officer may by order or a party or a party’s attorney may by consent permit service of particular documents by email or similar electronic means, unless precluded by a provision of law. In the absence of such an order or consent, electronic transmission shall not satisfy service requirements but may be used to supplement service when rapid notice is desirable. Consent to electronic service by a party or a party’s counsel shall be in writing, may be accomplished through electronic transmission to the board and other parties, and shall specify the email address for such service. Service by electronic transmission is complete upon transmission unless the board or party making service learns the attempted service did not reach the party to be served. ITEM 9. Amend rule 187—11.13(17A) as follows:187—11.13(17A) Discovery. 11.13(1) Discovery procedures applicable in civil actions are applicable in contested cases. Unless lengthened or shortened by these rules or by order of the presiding officer, time periods for compliance with discovery shall be as provided in the Iowa Rules of Civil Procedure.The scope of discovery described in Iowa Rule of Civil Procedure 1.503 shall apply to contested case proceedings. 11.13(2) Any motion relating to discovery shall allege that the moving party has previously made a good-faith attempt to resolve the discovery issues involved with the opposing party. Motions in regard to discovery shall be ruled upon by the presiding officer. Opposing parties shall be afforded the opportunity to respond within ten days of the filing of the motion unless the time is shortened as provided in subrule 11.13(1). The presiding officer may rule on the basis of the written motion and any response, or may order argument on the motion.The following discovery procedures available in the Iowa Rules of Civil Procedure are available to the parties in a contested case proceeding: depositions upon oral examination or written questions; written interrogatories; production of documents, electronically stored information, and things; and requests for admission. The time frames for discovery in the specific Iowa Rules of Civil Procedure govern those specific procedures, unless they are lengthened or shortened by the presiding officer. a. Iowa Rules of Civil Procedure 1.701 through 1.717 regarding depositions shall apply to any depositions taken in a contested case proceeding. Any party taking a deposition in a contested case shall be responsible for any deposition costs, unless otherwise specified or allocated in an order. Deposition costs include, but are not limited to, reimbursement for mileage of the deponent, costs of a certified shorthand reporter, and expert witness fees, as applicable. b. Iowa Rule of Civil Procedure 1.509 shall apply to any interrogatories propounded in a contested case proceeding. c. Iowa Rule of Civil Procedure 1.512 shall apply to any requests for production of documents, electronically stored information, and things in a contested case proceeding. d. Iowa Rule of Civil Procedure 1.510 shall apply to any requests for admission in a contested case proceeding. Iowa Rule of Civil Procedure 1.511 regarding the effect of an admission shall apply in contested case proceedings. 11.13(3) Evidence obtained in discovery may be used in the contested case proceeding if that evidence would otherwise be admissible in that proceeding.The mandatory disclosure and discovery conference requirements in Iowa Rules of Civil Procedure 1.500 and 1.507 do not apply to contested case proceedings. However, upon application by a party, the presiding officer may order the parties to comply with these procedures unless doing so would unreasonably complicate the proceedings or impose an undue hardship. As a practical matter, the purpose of the disclosure requirements and discovery conference is served by the division’s obligation to supply the information that is described in Iowa Code section 17A.13(2) upon request while a contested case is pending and by the mutual exchange of information that is required in a prehearing conference under rule 187—11.16(17A). 11.13(4) Iowa Rule of Civil Procedure 1.508 shall apply to discovery of any experts identified by a party to a contested case proceeding. 11.13(5) Discovery shall be served on all parties to the contested case proceeding but shall not be filed with the division. 11.13(6) A party may file a motion to compel or other motion related to discovery in accordance with this subrule. Any motion filed with the division relating to discovery shall allege that the moving party has previously made a good-faith attempt to resolve the discovery issues involved with the opposing party. Motions in regard to discovery shall be ruled upon by the presiding officer. Opposing parties shall be afforded the opportunity to respond within ten days of the filing of the motion unless the time is lengthened or shortened by the presiding officer. The presiding officer may rule on the basis of the written motion and any response, or may order argument on the motion. 11.13(7) Evidence obtained in discovery may be used in the contested case proceeding if that evidence would otherwise be admissible in that proceeding. ITEM 10. Amend paragraph 11.14(1)"a" as follows: a. A division subpoena shall be issued to a party on request. Such a request must be in writing. In the absence of good cause for permitting later action, a request for a subpoena must be received at least three days before the scheduled hearing. The request shall include the name, address,email address, and telephone number of the requesting party. ITEM 11. Amend rule 187—11.16(17A) as follows:187—11.16(17A) Prehearing conferenceand disclosures. 11.16(1) Any party may request a prehearing conference. A written request for prehearing conference or an order for prehearing conference on the presiding officer’s own motion shall be filed not less than seven days prior to the hearing date. A prehearing conference shall be scheduled not less than three business days prior to the hearing date.Written notice of the prehearing conference shall be given by the presiding officer to all parties. For good cause the presiding officer may permit variances from this rule. 11.16(2) Each party shall bringdisclose at or prior to the prehearing conference: a. A final list of the witnesses who the party anticipates will testify at hearing. Witnesses not listed may be excluded from testifying unless there was good cause for the failure to include their names; and b. A final list of exhibits which the party anticipates will be introduced at hearing. Exhibits other than rebuttal exhibits that are not listed may be excluded from admission into evidence unless there was good cause for the failure to include them. c. Witness or exhibit lists may be amended subsequent to the prehearing conference within the time limits established by the presiding officer at the prehearing conference. Any such amendments must be served on all parties. 11.16(3) In addition to the requirements of subrule 11.16(2), the parties at a prehearing conference may: a. Enter into stipulations of law or fact; b. Enter into stipulations on the admissibility of exhibits; c. Identify matters which the parties intend to request be officially noticed; d. Enter into stipulations for waiver of any provision of law; and e. Consider any additional matters which will expedite the hearing. 11.16(4) Prehearing conferences shall be conducted by telephone unless otherwise ordered. Parties shall exchange and receive witness and exhibit lists in advance of a telephone prehearing conference.Unless otherwise provided in the order setting a prehearing conference, the prehearing conference shall be conducted by an administrative law judge. 11.16(5) The parties shall exchange copies of all exhibits marked for introduction at hearing in the manner provided in subrule 11.21(4) no later than three business days in advance of hearing, or as ordered by the presiding officer at the prehearing conference. ITEM 12. Amend rule 187—11.20(17A) as follows:187—11.20(17A) Hearing procedures. 11.20(1) The presiding officer presides at the hearing, and may rule on motions, require briefs, issue a proposed decision, and issue such orders and rulings as will ensure the orderly conduct of the proceedings. 11.20(2) All objections shall be timely made and stated on the record. 11.20(3) Parties have the right to participate or to be represented in all hearings or prehearing conferences related to their case. Partnerships, corporations, or associations may be represented by any member, officer, director,shareholder, or duly authorized agent. Any party may be represented by an attorney, or another person authorized by law, at the party’s expense. 11.20(4) Subject to terms and conditions prescribed by the presiding officer, parties have the right to introduce evidence on issues of material fact, cross-examine witnesses present at the hearing as necessary for a full and true disclosure of the facts, present evidence in rebuttal, and submit briefs and engage in oral argument. 11.20(5) The presiding officer shall maintain the decorum of the hearing and may refuse to admit or may expel anyone whose conduct is disorderly. 11.20(6) Witnesses may be sequestered during the hearing. 11.20(7) The presiding officer shall conduct the hearing in the following manner: a. The presiding officer shall give an opening statement briefly describing the nature of the proceedings; b. The parties shall be given an opportunity to present opening statements; c. Parties shall present their cases in the sequence determined by the presiding officer; d. Each witness shall be sworn or affirmed by the presiding officer or the court reporter, and be subject to examination and cross-examination. The presiding officer may limit questioning in a manner consistent with law; e. When all parties and witnesses have been heard, parties may be given the opportunity to present final arguments. 11.20(8) Depositions may be used at hearing to the extent permitted by Iowa Rule of Civil Procedure 1.704. 11.20(9) Witnesses are entitled to be represented by an attorney at their own expense. The attorney may assert legal privileges personal to the client but may not make other objections. The attorney may only ask questions of the client to prevent a misstatement from entering the record. 11.20(10) The parties in a contested case shall be responsible for any witness fees and expenses incurred by witnesses appearing at the contested case hearing, unless otherwise specified or allocated in an order. The costs for lay witnesses shall be determined in accordance with Iowa Code section 622.69. The costs for expert witnesses shall be determined in accordance with Iowa Code section 622.72. Witnesses are entitled to reimbursement for mileage and may be entitled to reimbursement for meals and lodging, as incurred. ITEM 13. Amend subrule 11.21(4) as follows: 11.21(4) The party seeking admission of an exhibit must provide opposing parties with an opportunity to examine the exhibit prior to the ruling on its admissibility. Copies of documents should normally be provided to opposing parties.All exhibits admitted into evidence shall be appropriately marked and be made part of the record. The state’s exhibits shall be marked numerically, and the applicant’s or respondent’s exhibits shall be marked alphabetically. All exhibits admitted into evidence shall be appropriately marked and be made part of the record. ITEM 14. Amend subrule 11.22(6) as follows: 11.22(6) “Good cause” for purposes of this rule shall have the same meaning as “good cause” for setting aside a default judgment under Iowa Rule of Civil Procedure 2361.971. ITEM 15. Amend subrule 11.27(1) as follows: 11.27(1) Appeal by party. Any adversely affected party may appeal a proposed decision to the superintendent within 30 days after issuance of the proposed decision.Such an appeal is required to exhaust administrative remedies and is a jurisdictional prerequisite to seeking judicial review. ITEM 16. Amend paragraph 11.29(1)"b" as follows: b. Any party to a contested case proceeding may petition the division of banking for a stay or other temporary remedies pending judicial review of all or part of that proceeding. The petition shall state the reasons justifying a stay or other temporary remedy.Seeking a stay from the division is required to exhaust administrative remedies prior to seeking a stay from the district court. ITEM 17. Amend subparagraph 11.31(2)"b" as follows: (5) FaxElectronic service. Faxor email may be used as the sole method of delivery if the person required to comply with the order has filed a written request that division orders be sent by faxor email and has provided a fax numberor email address for that purpose. ITEM 18. Amend 187—Chapter 11, implementation sentence, as follows: These rules are intended to implement Iowa Code chapter 17A as amended by 1998 Iowa Acts, chapter 1202.ARC 3950CBanking Division[187]Notice of Intended ActionProposing rule making related to uniform waiver and variance and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to amend Chapter 12, “Uniform Waiver and Variance Rules,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 524.213.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 17A.9A and chapter 524.Purpose and Summary The proposed amendments reflect the Iowa Division of Banking’s compliance with Iowa Code section 17A.7(2), which states that, as of July 1, 2012, “over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules [and t]he goal of the review is the identification and elimination of all rules of the agency that are outdated, redundant, or inconsistent or incompatible with statute or its own rules or those of other agencies.” The proposed amendments to Chapter 12 are intended to update statutory references to reflect the correct authority for the rules.Fiscal Impact No current fees are being changed, and no new fees are being added; therefore, the IDOB has concluded that the proposed amendments will not have a fiscal impact to the State of Iowa. Jobs Impact Because no existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added, the IDOB has concluded that the proposed amendments will have no impact on jobs in Iowa.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.state.ia.usPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 187—12.1(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.1(17A,ExecOrd11524) Scope of chapter. ITEM 2. Amend rule 187—12.2(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.2(17A,ExecOrd11524) Superintendent discretion. ITEM 3. Amend rule 187—12.3(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.3(17A,ExecOrd11524) Requester’s responsibilities in filing a waiver or variance petition. ITEM 4. Amend rule 187—12.4(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.4(17A,ExecOrd11524) Notice. ITEM 5. Amend rule 187—12.5(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.5(17A,ExecOrd11524) Superintendent’s responsibilities regarding petition for waiver or variance. ITEM 6. Amend rule 187—12.6(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.6(17A,ExecOrd11524) Public availability. ITEM 7. Amend rule 187—12.7(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.7(17A,ExecOrd11524) Voiding or cancellation. ITEM 8. Amend rule 187—12.8(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.8(17A,ExecOrd11524) Violations. ITEM 9. Amend rule 187—12.9(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.9(17A,ExecOrd11524) Defense. ITEM 10. Amend rule 187—12.10(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.10(17A,ExecOrd11524) Appeals. ITEM 11. Amend rule 187—12.11(17A,ExecOrd11), parenthetical implementation statute, as follows:187—12.11(17A,ExecOrd11524) Summary reports. ITEM 12. Amend 187—Chapter 12, implementation sentence, as follows: These rules are intended to implement Executive Order Number 11 and Iowa Code section 17A.9Aand chapter 524.ARC 3954CBanking Division[187]Notice of Intended ActionProposing rule making related to debt management and providing an opportunity for public comment
The Iowa Division of Banking (IDOB) hereby proposes to adopt new Chapter 20, “Debt Management,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 17A.3 and 533A.12.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 533A.Purpose and Summary The proposed rules establish the details of the procedures for an application for a debt management license; renewal of an existing debt management license; submission of required notices regarding changes in name, location, or control of a licensee; and complaints, investigations, and disciplinary actions. The proposed rules also establish record-keeping requirements for licensees. The proposed rules specifically instruct licensees and applicants regarding the requirements to use the nationwide multistate licensing system to apply for and maintain debt management licenses. The nationwide multistate licensing system makes the licensing process faster, easier, and more uniform for both licensees and the licensing staff who process applications and other submissions. In the interest of making state government more efficient and transparent, the structure of these rules is very similar to the structure of the Iowa Division of Banking’s rules applicable to other nondepository financial institutions.Fiscal Impact No existing fees are being altered, and no new fees are being added, so the IDOB has concluded that the proposed rules will have no fiscal impact to the State of Iowa. Jobs Impact No existing authorized activities are being restricted, no new activities are being authorized, no existing fees are being increased, and no new fees are being added. The IDOB has therefore concluded that the proposed rules should not have an impact on jobs in Iowa. Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the IDOB for a waiver of the discretionary provisions, if any, pursuant to 187—Chapter 12. 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 IDOB no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Zak Hingst Iowa Division of Banking 200 East Grand Avenue, Suite 300Des Moines, Iowa 50309-1827 Phone: 515.281.4014Email: zak.hingst@idob.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 action is proposed:
ITEM 1. Adopt the following new 187—Chapter 20: CHAPTER 20DEBT MANAGEMENT187—20.1(17A,533A) Definitions. For the purposes of this chapter, the definitions in Iowa Code chapter 533A shall apply. In addition, unless the context otherwise requires: "Debt management business" means a person that performs debt management as defined in Iowa Code section 533A.1(2) or debt settlement as defined in Iowa Code section 533A.1(3). "Nationwide multistate licensing system" "NMLS" means a multistate licensing system developed and maintained by the Conference of State Bank Supervisors and the American Association of Residential Mortgage Regulators for the licensing and registration of nondepository financial institutions. "Upon completion of a settlement of a debtor’s debt" means when all of the payments necessary to completely satisfy a debtor’s debt have been remitted to the creditor. 187—20.2(17A,533A) Utilization of the NMLS. All application and licensing information shall be submitted through the NMLS including but not limited to the following: original application information; changes in application information; license renewal information; changes in name, location, and control; and notices of significant events. The applicant or licensee shall pay any fees required by the NMLS including but not limited to the following: system processing fees, background check fees, and credit background check fees. 187—20.3(17A,533A) Application for license. 20.3(1) An application for a license to operate a debt management business in Iowa shall be submitted to the superintendent, on the form provided and with the information requested, through the NMLS. The superintendent may consider an application withdrawn if it does not contain all of the information required and the missing information is not submitted to the superintendent within 30 days after the superintendent requests the missing information. The applicant may also request that the application be withdrawn at any time before the superintendent has decided to grant or deny the application. 20.3(2) Each officer, director, and individual who has control of an applicant must provide fingerprints, authorize a fingerprint background check through the NMLS, and pay the appropriate fees for the purpose of conducting a national criminal history background check through the Federal Bureau of Investigation. 20.3(3) The applicant shall submit with the application an application fee of $100 and an initial license fee of $250. The superintendent shall refund the initial license fee if the application is denied, but the application fee is not subject to refund. 20.3(4) If any information material to the application changes after the applicant files the initial application, the applicant shall provide updated information to the superintendent within ten days of the change. When such a material change in information has occurred, the superintendent may deny an application if the applicant fails to provide updated information within the prescribed time frame. 20.3(5) An applicant for a license to operate a debt management business must file with the superintendent a $25,000 surety bond in compliance with the provisions of Iowa Code section 533A.2(4). 20.3(6) Licenses expire on the next December 31 after they are issued, but licenses granted on or after November 1 but before January 1 will not expire until December 31 of the following year. For example, a license granted on November 17, 2017, would not expire until December 31, 2018. 187—20.4(17A,533A) Grounds for approval or denial. 20.4(1) The superintendent shall approve or deny a license application in accordance with the provisions of Iowa Code section 533A.3. 20.4(2) The following may be considered evidence that the business of the applicant may not be operated lawfully and honestly consistent with the purposes of Iowa Code chapter 533A and may therefore be considered grounds for denial of an application: a. An applicant, or an officer, director, or individual who has control of an applicant, has had a mortgage loan originator license or any lending license revoked in any governmental jurisdiction. b. An applicant, or an officer, director, or individual who has control of an applicant, has been convicted of, or pled guilty or no contest to, a felony in a domestic, foreign, or military court if such felony involved an act of fraud, dishonesty, or breach of trust, or money laundering. 187—20.5(17A,533A) Renewal of license. 20.5(1) To remain authorized to operate a debt management business, a licensee must renew a license before the expiration date of the license. A licensee who fails to renew a license before the expiration date is not authorized to operate a debt management business in Iowa after the expiration date. 20.5(2) An application to renew a license shall be submitted to the superintendent, on the form provided and with the information requested, through the NMLS by December 1 of the year of expiration. For example, for a license that will expire on December 31, 2017, an application for renewal shall be submitted by December 1, 2017. All requested information, including any material change to information contained in the original application, shall be provided to the superintendent. The superintendent may assess late fees of up to $10 per day for applications submitted and accepted for processing after December 1. 20.5(3) The superintendent shall grant an application to renew a license if: a. The licensee submits the application and the appropriate renewal fee by December 1 or the licensee submits the application after December 1 but before January 1 and pays the appropriate renewal fee and the appropriate late fee; b. The application is fully completed and includes all necessary information; and c. The application does not reveal grounds to deny a license. 20.5(4) It is within the discretion of the superintendent to reject for processing a renewal application submitted after December 31 or to treat such an application as an application for a new license. A licensee who fails to renew a license before the expiration date is not authorized to operate a debt management business in Iowa after the expiration date. 187—20.6(17A,533A) Changes in the licensee’s name, location, or control. 20.6(1) A licensee wishing to change the name or location of a debt management business shall notify the superintendent at least 30 days prior to the requested change. The request shall include proof that the licensee has either obtained a new bond or amended the existing bond to reflect the new name or location. The licensee shall submit a $25 fee per license in conjunction with the request. A licensee may not operate a debt management business under a different name without providing such notice and submitting the required fee. 20.6(2) A licensee wishing to establish a branch office must submit the application to the superintendent, on the form provided and with the information requested, through the NMLS, along with a fee of $250. Licenses issued to branch offices are treated as independent licenses and are subject to the renewal requirements, fees, and procedures specified in rule 187—20.5(17A,533A). 20.6(3) When change in control of a licensee is proposed, the party that will assume control of the licensee shall give notice to the superintendent at least 60 days before the proposed change will take effect. Change in control is defined in Iowa Code section 533A.5A. The party that will assume control of the licensee shall furnish the superintendent with the same information required of initial applicants for a license, along with a fee of $100. The party that will assume control may be required to provide fingerprints, authorize a fingerprint background check through the NMLS, and pay the appropriate fees for the purpose of conducting a national criminal history background check through the Federal Bureau of Investigation. The superintendent shall approve or deny the request in accordance with the provisions of Iowa Code section 533A.3. 20.6(4) Failure to notify the superintendent within the prescribed time as required by this rule may subject the licensee to disciplinary action. 187—20.7(17A,533A) Notice of significant events. A licensee shall notify the superintendent immediately and in writing within ten days of the occurrence of any of the following events. 20.7(1) The licensee or any of the licensee’s officers, directors, principal stockholders, or affiliates file for bankruptcy protection or commence reorganization proceedings. 20.7(2) A prosecuting authority files criminal charges against the licensee or any of the licensee’s officers, directors, principal stockholders, or affiliates. 20.7(3) Another state or jurisdiction institutes license denial, cease and desist, suspension or revocation procedures, or other formal or informal regulatory action against the licensee or any of the licensee’s officers, directors, principal stockholders, or affiliates. 20.7(4) The attorney general of Iowa, the Federal Trade Commission, or the enforcer of the consumer protection laws of any other jurisdiction initiates an action to enforce the consumer protection laws against the licensee or any of the licensee’s officers, directors, principal stockholders, or affiliates. 187—20.8(17A,533A) Administrative fees. 20.8(1) Examination or investigation fees. A licensee shall pay an investigation or examination fee as determined by the superintendent based on the actual cost of the operation of the finance bureau of the banking division, as described in Iowa Code section 533A.10(1). 20.8(2) Late fees for failing to respond. In the process of administering this chapter, the superintendent may require a person to provide responses to formal orders, examinations, or complaint inquiries. If a person fails to respond within 30 days of the request, the superintendent may assess a penalty of $10 per day after the initial 30 days. 20.8(3) NMLS system processing fees. In addition to the fees set forth in this chapter, the applicant or licensee shall pay any fee assessed by the NMLS attributed to the licensee’s record in the NMLS including but not limited to the initial set-up fee and annual processing fee. 187—20.9(17A,533A) Licensee records. 20.9(1) General record requirements. A licensee must keep records that allow the superintendent to determine the licensee’s compliance with relevant statutes and regulations. a. The licensee may keep the records as a hard copy or in an electronic equivalent. b. The licensee shall keep records for at least 36 months from the date of the final transaction with the debtor. c. The licensee shall maintain all books and records in good order and shall produce books and records for the superintendent upon request. Failure to produce such books and records within 30 days of the superintendent’s request may be grounds for disciplinary action against the licensee. d. The obligation to maintain records continues even after the licensee ceases business operations in Iowa and turns in or surrenders its license. The owners and directors of the licensee are responsible for ensuring that this requirement is met. 20.9(2) Required records. A licensee operating a debt management business shall keep, at its principal place of business, an index, a client log, an account file, and an account ledger. 20.9(3) Index. All records kept by a debt management business shall be accessible by the debtor’s name and account number. 20.9(4) Client log. The client log is a chronological list of active and inactive clients. The client log shall include the name of the client, the account number, the date the account was opened, the date the account was closed, and the expiration date of the account. 20.9(5) Account file. The account file consists of the application, the licensee’s comprehensive review of the debtor’s debts and monthly budget as required by Iowa Code section 533A.8(2), a copy of the debt management contract, and all disclosures to the debtor required by Iowa Code section 533A.8(3). 20.9(6) Account ledger. A licensed debt management business whose debt management program is based on a model which requires the licensee or any licensee to receive money or evidences thereof from the debtor to distribute to the debtor’s creditors shall maintain an account ledger for each debtor, which shall show: a. The name and address of the debtor, the account number, the amount of the debtor’s outstanding debts, and the total of payments the debtor has made to the licensee. b. A transaction history that lists all transactions with the debtor and the debtor’s creditors. Payments from the debtor shall be posted to the account ledger, effective the date the payments were received, and shall show the date payment was received and the total amount of the payment. Payments to the debtor’s creditors made from the debtor’s account shall be posted to the account ledger effective the date the payments were made. The account ledger shall show the date the payment was made, the total amount of the payment, and a description of how the payment was applied to the debtor’s account. Fees that the licensee deducts from the debtor’s account shall be posted to the account ledger effective the date the fees were collected, and the account ledger shall show the date the fees were collected and the total amount of fees collected. Other transactions shall be fully described. Corrections to the transaction history shall be made by corrective entry and not by erasure. 20.9(7) General business records. A licensee must keep the following general business records for at least 36 months: a. All checkbooks, check registers, bank statements, deposit slips, withdrawal slips, and canceled checks (or copies thereof) relating to the debt management business of the licensee. b. Complete records (including invoices and supporting documentation) for all expenses and fees paid on behalf of each applicant for debt management or debt settlement, including a record of the date and amount of all such payments actually made by each applicant. c. Copies of all federal tax withholding forms, reports of income for federal taxation, and evidence of payments to all employees, independent contractors, and others compensated by a licensee in connection with the conduct of the debt management business. d. All correspondence and other records relating to the maintenance of any surety bond required by Iowa Code chapter 533A. e. Copies of all reports of audits, examinations, inspections, reviews, investigations, or other similar functions performed by any third party, including but not limited to the superintendent or any other regulatory or supervisory authority. f. Copies of all advertisements and solicitations concerning debt management or debt settlement directed at Iowa residents, including advertisements and solicitations on the Internet or by other electronic means, in the format (e.g., recorded sound, video, print) in which the advertisements and solicitations were published or distributed. 20.9(8) Disposal of records. If a licensee or former licensee disposes of records at the end of the retention period, the licensee or former licensee shall dispose of the records in a reasonable manner that safeguards any identification information, as defined in Iowa Code section 715A.8(1)“a.” The owners and directors of licensees and former licensees are responsible for ensuring that this requirement is met.187—20.10(17A,533A) Complaints and investigations. 20.10(1) The superintendent may, at any time and as often as the superintendent deems necessary, investigate a licensee and examine the licensee’s books, accounts, records, and files. 20.10(2) The superintendent may investigate complaints about, or alleged violations by, any licensee. 20.10(3) The following shall constitute a complaint or alleged violation: a. A written complaint received from a consumer, member of the public, employee, business affiliate, or governmental agency. b. Notice to the superintendent from any source that the licensee has been the subject of disciplinary proceedings in another jurisdiction. c. Notice to the superintendent from any source that the licensee has been convicted of forgery, embezzlement, obtaining money under false pretenses, extortion, conspiracy to defraud, or other similar offense, in a court of competent jurisdiction in this state or in any other state, territory, or district of the United States, or in any foreign jurisdiction.187—20.11(17A,533A) Disciplinary action. 20.11(1) The superintendent has authority pursuant to Iowa Code chapters 533A and 17A to impose discipline for violations of Iowa Code chapter 533A and the rules promulgated thereunder. 20.11(2) Grounds for discipline. The superintendent may impose any of the disciplinary sanctions set out in Iowa Code section 533A.7(2) when the superintendent finds any of the following: a. The licensee has violated a provision of Iowa Code chapter 533A or a rule adopted under Iowa Code chapter 533A or any other state or federal law applicable to the conduct of the licensee’s business. b. A fact or condition exists which, had it existed at the time of the licensee’s original application for a license, would have warranted the superintendent to refuse to issue the original license. c. The licensee is found upon investigation to be insolvent, in which case the license shall be revoked immediately. d. The licensee has violated an order of the superintendent. e. The licensee fails to fully cooperate with an examination or investigation, including failing to respond to an inquiry from the superintendent within 30 days of the date the superintendent mails a written communication directed to the licensee’s last-known address on file with the superintendent. f. The licensee has engaged in any conduct that subverts or attempts to subvert an examination or investigation by the superintendent. g. The licensee continues to operate a debt management business without an active and current license. h. The licensee operates a debt management business in the same location as another business without the superintendent’s written approval. i. The licensee has abandoned its place of business for 60 or more days. j. The licensee fails to notify the superintendent within ten days of the occurrence of one of the significant events set forth in rule 187—20.7(17A,533A). k. Another state or jurisdiction has denied, suspended, revoked, or refused to renew the licensee’s license, registration, or authorization to operate a debt management business under the other state’s or jurisdiction’s law. l. The licensee fails to create and maintain complete and accurate records as required by state or federal law, regulation, or rule. m. The licensee fails to notify the superintendent of a change in ownership, name, or principal place of business. n. The licensee fails to pay a license fee required by Iowa Code chapter 533A or to maintain a bond required by Iowa Code chapter 533A. 20.11(3) The superintendent shall not refund a license fee, in whole or in part, for a license that has been suspended, revoked, or surrendered.187—20.12() Reserved.187—20.13(17A,533A) Restrictions on operating a debt management business. A licensee shall adhere to the following restrictions related to operating a debt management business. 20.13(1) Licensees shall not engage in any of the acts prohibited by Iowa Code section 533A.11. 20.13(2) Licensees may not establish branch locations outside the United States. These rules are intended to implement Iowa Code chapter 533A.ARC 3938CCollege Student Aid Commission[283]Notice of Intended ActionProposing rule making related to all Iowa opportunity scholarships and providing an opportunity for public comment
The College Student Aid Commission hereby proposes to amend Chapter 8, “All Iowa Opportunity Scholarship Program,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 261 as amended by 2018 Iowa Acts, House File 2502, sections 80 and 81.Purpose and Summary The proposed amendments reflect changes to Iowa Code section 261.87 that were enacted in 2018 Iowa Acts, House File 2502, sections 80 and 81. Section 80 defines “eligible surviving-child student,” and section 81 provides students who meet that definition with second priority for awards under the All Iowa Opportunity Scholarship Program.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7.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 September 4, 2018. Comments should be directed to: Karen Misjak Executive DirectorCollege Student Aid Commission 475 S.W. Fifth Street, Suite DDes Moines, Iowa 50309-4608Phone: 515.725.3410 Fax: 515.725.3401 Email: karen.misjak@iowa.gov or via the Iowa administrative rules website: rules.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. Adopt the following new definition of “Eligible surviving-child student” in rule 283—8.2(261): "Eligible surviving-child student" means a person who is under age 26, or under age 30 if the student is a veteran who is eligible for or has exhausted benefits under the federal Post-9/11 Veterans Educational Assistance Act of 2008; who is not a convicted felon as defined in Iowa Code section 910.15; and who meets any of the following criteria: 1. Is the child of a peace officer, as defined in Iowa Code section 97A.1, who was killed in the line of duty as determined by the board of trustees of the Iowa department of public safety peace officers’ retirement, accident, and disability system in accordance with Iowa Code section 97A.6(16). 2. Is the child of a police officer or fire fighter, as defined in Iowa Code section 411.1, who was killed in the line of duty as determined by the statewide fire and police retirement system in accordance with Iowa Code section 411.6(15). 3. Is the child of a sheriff or deputy sheriff, as defined in Iowa Code section 97B.49C, who was killed in the line of duty as determined by the Iowa public employees’ retirement system in accordance with Iowa Code section 97B.52(2). 4. Is the child of a fire fighter or police officer included under Iowa Code section 97B.49B, who was killed in the line of duty as determined by the Iowa public employees’ retirement system in accordance with Iowa Code section 97B.52(2). ITEM 2. Amend subrule 8.4(2) as follows: 8.4(2) Priority for grants. Only applicants with expected family contributions (EFCs) at or below the average tuition and fees for regent university students for the academic year for which awards are being made will be considered for awards. a. All eligible new and renewal foster care students will receive first priority for funding. Awards to eligible foster care students will be made based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first and at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed. b. All new and renewal eligible surviving-child students will receive second priority for funding. Awards to eligible surviving-child students will be made based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first and at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed. b. c. All eligible renewal applicants will receive secondthird priority for funding. Awards to renewal applicants will be made based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first and at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed. c. d. If funding remains after all eligible foster care students, eligible surviving-child students, and renewal students have been awarded, thirdfourth priority will be given to students who participated in federal TRIO programs, participated in alternative programs in high school, or graduated from alternative high schools. Awards will be made to students in this category based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first and at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed. d. e. If funding remains after all priority applicants have been awarded, fourthfifth priority will be given to students who participated in federal GEAR UP programs. Awards will be made to students in this category based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first, followed by awards to students at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed. e. f. If funding is available, awards to remaining eligible applicants will be made based on EFC levels within the parameters defined by the commission, with students in the lowest EFC levels awarded first, followed by awards to students at increasing EFC levels until the maximum EFC level is reached. If all students in a given EFC level cannot be funded, students will be ranked according to the date the state application was filed.ARC 3940CCollege Student Aid Commission[283]Notice of Intended ActionProposing rule making related to application requirements and providing an opportunity for public comment
The College Student Aid Commission hereby proposes to amend Chapter 20, “Iowa National Guard Educational Assistance Program,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 261 and 2018 Iowa Acts, Senate File 2415, section 14.Purpose and Summary This proposed amendment reflects changes to Iowa Code section 261.86 that were enacted in 2018 Iowa Acts, Senate File 2415, section 14. Section 14 requires recipients of the Iowa National Guard Educational Assistance Program to complete the Free Application for Federal Student Aid (FAFSA) to apply for state and federal nonrepayable aid.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7. 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 September 4, 2018. Comments should be directed to: Karen Misjak Executive DirectorCollege Student Aid Commission 475 S.W. Fifth Street, Suite DDes Moines, Iowa 50309-4608Phone: 515.725.3410 Fax: 515.725.3401 Email: karen.misjak@iowa.gov or administrative rules website at rules.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 subrule 20.1(2) as follows: 20.1(2) Guard member eligibility. A recipient must: a. Be a resident of Iowa, as defined by the adjutant general of Iowa, and a member of an Iowa army or air national guard unit throughout each term for which the member receives benefits. b. Have satisfactorily completed required guard training. c. Have maintained satisfactory performance of guard duty. d. Have applied to the adjutant general of Iowa for program eligibility by the established application deadline date(s)by completing the Free Application for Federal Student Aid (FAFSA) and any other application form required. The adjutant general shall accept an application from an eligible member of the Iowa national guard who was on federal active duty at the time of an application deadline if the application is received within 30 days after the eligible member returns to Iowa from federal active duty. The applicant will be considered for funding for the state-defined payment period in which the application was received and any future state-defined payment periods in that academic year. e. Be pursuing a certificate or undergraduate degree program at an eligible Iowa college or university and maintaining satisfactory academic progress. f. Provide notice of national guard status to the college or university at the time of registration.ARC 3941CCollege Student Aid Commission[283]Notice of Intended ActionProposing rule making related to waivers and postponement provisions and providing an opportunity for public comment
The College Student Aid Commission hereby proposes to amend Chapter 25, “Rural Iowa Advanced Registered Nurse Practitioner and Physician Assistant Loan Repayment Program,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 261 and 2018 Iowa Acts, Senate File 2415, sections 16 and 17.Purpose and Summary These proposed amendments reflect changes to Iowa Code section 261.114 that were enacted in 2018 Iowa Acts, Senate File 2415, sections 16 and 17. Section 16 repeals a provision related to a full-time practice waiver, and section 17 repeals provisions related to postponement of the service obligation.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7. 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 September 4, 2018. Comments should be directed to: Karen Misjak Executive DirectorCollege Student Aid Commission 475 S.W. Fifth Street, Suite DDes Moines, Iowa 50309-4608Phone: 515.725.3410 Fax: 515.725.3401 Email: karen.misjak@iowa.gov or administrative rules website at rules.iowa.govPublic Hearing No public hearing is scheduled at this time. As provided in Iowa Code section 17A.4(1)“b,” an oral presentation regarding this rule making may be demanded by 25 interested persons, a governmental subdivision, the Administrative Rules Review Committee, an agency, or an association having 25 or more members. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend rule 283—25.5(261) as follows:283—25.5(261) Waivers. 25.5(1) Service commitment area. The commission may waive the requirement that the advanced registered nurse practitioner or physician assistant practice in the same service commitment area for five years. The advanced registered nurse practitioner or physician assistant must request a waiver from the commission in writing. 25.5(2) Full-time employment. The commission may waive the requirement that the advanced registered nurse practitioner or physician assistant be employed full-time if the advanced registered nurse practitioner or physician assistant demonstrates exceptional circumstances. The advanced registered nurse practitioner or physician assistant must request a waiver from the commission in writing. If a waiver request is granted by the commission, the agreement will be amended to provide an allowance for part-time employment. The five-year employment obligation will be proportionally extended to ensure the advanced registered nurse practitioner or physician assistant is employed in a service commitment area for the equivalent of five full-time years. 25.5(3) Postponement of advanced registered nurse practitioner or physician assistant employment. The advanced registered nurse practitioner or physician assistant obligation to engage in practice in accordance with 25.3(4) may be postponed for no more than two years from the time full-time practice was to commence. The advanced registered nurse practitioner or physician assistant must request a waiver from the commission in writing for one of the following purposes: a. Active duty service in the armed forces, the armed forces military reserve, or the national guard. b. Service in Volunteers in Service to America or the federal Peace Corps. c. A service commitment to the United States Public Health Service Commissioned Corps. d. A period of religious missionary work conducted by an organization exempt from federal income taxation pursuant to Section 501(c)(3) of the Internal Revenue Code.The advanced registered nurse practitioner or physician assistant obligation to engage in practice in accordance with 25.3(4) may be postponed for a period exceeding two years for any period of temporary medical incapacity, including leave approved under the Family and Medical Leave Act, during which the advanced registered nurse practitioner or physician assistant is unable to engage in full-time practice. The advanced registered nurse practitioner or physician assistant must request a waiver from the commission in writing. 25.(4) 25.5(2) Satisfaction of advanced registered nurse practitioner or physician assistant employment. All obligations under the rural Iowa advanced registered nurse practitioner and physician assistant loan repayment program are considered to be satisfied when any of the following conditions are met: a. All terms of the agreement are met. b. The person who entered into the agreement dies. c. The person who entered into the agreement, due to permanent disability, is unable to meet the requirements of these rules. d. The person who entered into the agreement has no remaining eligible loan balance to repay. ITEM 2. Amend 283—Chapter 25, implementation sentence, as follows: These rules are intended to implement Iowa Code section 261.114 as amended by 2014 Iowa Acts, Senate File 23472018 Iowa Acts, Senate File 2415.ARC 3939CCollege Student Aid Commission[283]Notice of Intended ActionProposing rule making related to health care loan repayment program and providing an opportunity for public comment
The College Student Aid Commission hereby proposes to adopt new Chapter 26, “Health Care Loan Repayment Program,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 261.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 261 and 2018 Iowa Acts, Senate File 2415, section 20.Purpose and Summary The proposed chapter implements a new loan repayment program enacted in 2018 Iowa Acts, Senate File 2415, section 20.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commission for a waiver of the discretionary provisions, if any, pursuant to 283—Chapter 7. 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 September 4, 2018. Comments should be directed to: Karen Misjak Executive DirectorCollege Student Aid Commission 475 S.W. Fifth Street, Suite DDes Moines, Iowa 50309-4608 Phone: 515.725.3410 Fax: 515.725.3401 Email: karen.misjak@iowa.gov or administrative rules website at rules.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. Adopt the following new 283—Chapter 26: CHAPTER 26HEALTH CARE LOAN REPAYMENT PROGRAM283—26.1(261) Health care loan repayment program. The health care loan repayment program is a state-supported and state-administered program established to repay the qualified student loans of nurse educators teaching at eligible Iowa colleges and universities, as well as applicants who agree to practice as registered nurses, advanced registered nurse practitioners, or physician assistants in service commitment areas for five consecutive years, and who meet the requirements of these rules.283—26.2(261) Definitions. As used in this chapter: "Advanced registered nurse practitioner" means an individual who graduated from an accredited graduate or postgraduate advanced practice educational program, is licensed by the board of nursing as a registered nurse, is licensed by the board of nursing as an advanced registered nurse practitioner, and is employed as an advanced registered nurse practitioner in an eligible service commitment area. "Nurse educator" means a registered nurse who holds a master’s or doctorate degree and is employed by an Iowa community college, an accredited private institution defined in Iowa Code section 261.9, or an institution of higher learning governed by the state board of regents as a faculty member who teaches nursing as provided in 655—Chapter 2 at a nursing program approved by the board of nursing pursuant to Iowa Code section 152.5. "Physician assistant" means an individual who graduated with a master’s degree, holds a practitioner’s license to practice as a physician assistant pursuant to Iowa Code chapter 148C, and is employed as a physician assistant in an eligible service commitment area. "Qualified student loan" means a loan that was made, insured, or guaranteed under Title IV of the federal Higher Education Act of 1965, as amended, or under Title VII or VIII of the federal Public Health Service Act, as amended, directly to the borrower for attendance at an approved postsecondary institution. Only the outstanding portion of a federal consolidation loan that was used to repay a qualified student loan qualifies for loan repayment. "Registered nurse" means a nurse who is licensed by the board of nursing as a registered nurse and is employed as a registered nurse in an eligible service commitment area. "Service commitment area" means a city in Iowa with a population of less than 26,000 that is located more than 20 miles from a city with a population of 50,000 or more.283—26.3(261) Eligibility requirements. 26.3(1) An eligible applicant must be an advanced registered nurse practitioner, nurse educator, physician assistant, or registered nurse. 26.3(2) An eligible applicant must annually complete and file an application for the program by the deadline established by the commission. If funds remain available after the application deadline, the commission will continue to accept applications. 26.3(3) An eligible applicant must annually complete and return to the commission an affidavit of practice verifying full-time employment, as defined by the employer, in a service commitment area during the entire year as an advanced registered nurse practitioner, physician assistant, or registered nurse, or full-time employment, as defined by the employer, as a nurse educator.283—26.4(261) Awarding of funds. 26.4(1) Selection criteria. All completed applications received on or before the published deadline will be considered for funding. To the extent possible, an equal number of new advanced registered nurse practitioners, nurse educators, physician assistants, and registered nurses will be offered awards based on the availability of appropriated funds. In the event that funding is insufficient to award all eligible applicants within an occupation category, criteria for selection of eligible applicants within each occupation category will be prioritized as follows: a. Renewal status. Recipients of awards through the registered nurse and nurse educator loan forgiveness program during the 2018 state fiscal year will be eligible for funding under the health care loan repayment program if the eligible applicants meet the eligibility criteria of the health care loan repayment program. Under this provision, no recipient will receive more than five consecutive awards between the registered nurse and nurse educator loan forgiveness program and the health care loan repayment program; b. Iowa residency status; c. Members of the Iowa national guard, if requested by the adjutant general. (1) Members of the Iowa national guard are exempt from the service commitment area requirement, and (2) Members of the Iowa national guard must have satisfactorily completed required guard training and must maintain satisfactory performance of guard duty; d. Date of application. 26.4(2) Annual award. The maximum annual award shall be the lesser of: a. $6,000, or b. Twenty percent of the eligible applicant’s total outstanding qualified student loan. 26.4(3) Extent of repayment. Eligible applicants may receive loan repayment for no more than five consecutive years. Eligible applicants who fail to receive loan repayment awards in consecutive years will not be considered for subsequent years of loan repayment. 26.4(4) Disbursement of loan repayment funds. a. Loan repayment awards will be disbursed upon completion of the year for which the award was approved and upon certification from the employer that the advanced registered nurse practitioner, nurse educator, physician assistant, or registered nurse was employed full-time, as defined by the employer, during the entire year and completed the year in good standing. b. Loan repayment awards will be distributed to the eligible applicant’s student loan holder and applied directly to qualified student loans.283—26.5(261) Loan repayment cancellation. 26.5(1) An eligible applicant who has been designated for a loan repayment award shall notify the commission within 30 days following termination or cessation of full-time practice in a service commitment area as an advanced registered nurse practitioner, physician assistant, or registered nurse, or termination or cessation of full-time employment as a nurse educator. 26.5(2) A recipient of an award is responsible for notifying the commission immediately of a change in name, place of employment, or home address.283—26.6(261) Restrictions. An advanced registered nurse practitioner, nurse educator, physician assistant, or registered nurse who is in default on a qualified student loan or who owes a repayment on any Title IV grant assistance or state award shall be ineligible for loan repayment benefits. Eligibility may be reinstated upon payment in full of the delinquent obligation or by commission ruling on the basis of adequate extenuating evidence presented in appeal under the procedures set forth in 283—Chapters 4 and 5. These rules are intended to implement Iowa Code section 261.116 as amended by 2018 Iowa Acts, Senate File 2415.ARC 3946CEngineering and Land Surveying Examining Board[193C]Notice of Intended ActionProposing rule making related to review of agency’s rules and providing an opportunity for public comment
The Engineering and Land Surveying Examining Board hereby proposes to amend Chapter 1, “Administration,” Chapter 3, “Application and Renewal Process,” Chapter 4, “Engineering Licensure,” Chapter 5, “Land Surveying Licensure,” Chapter 7, “Professional Development,” Chapter 8, “Professional Conduct of Licensees,” Chapter 9, “Complaints, Investigations and Disciplinary Action,” Chapter 10, “Peer Review,” Chapter 11, “Minimum Standards for Property Surveys,” and Chapter 12, “Minimum Standards for U.S. Public Land Survey Corner Certificates,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 542B.6.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 542B.Purpose and Summary The proposed amendments reflect partial compliance with Iowa Code section 17A.7(2), which states that beginning July 1, 2012, over each five-year period of time, an agency shall conduct an ongoing and comprehensive review of all of the agency’s rules. The goal of the review is to identify and eliminate all rules that are outdated, redundant, or inconsistent or incompatible with statute or the agency’s rules or the rules of other agencies.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. No current fees are being changed, and no new fees are being imposed. Jobs Impact After analysis and review of this rule making, there is a potential impact on jobs. The proposed amendment to 4.1(2)“c” decreases from 25 to 10 the required years of experience necessary for a waiver of the Fundamentals of Engineering (FE) examination. This change may make Professional Engineering (PE) licensure available to a larger group of candidates. Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Board for a waiver of the discretionary provisions, if any, pursuant to 193—Chapter 5. Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on September 5, 2018. Comments should be directed to: Robert Lampe Iowa Engineering and Land Surveying Examining Board 200 East Grand Avenue, Suite 350Des Moines, Iowa 50309Phone: 515.725.9024Email: robert.lampe@iowa.govPublic Hearing A public hearing at which persons may present their views orally or in writing will be held as follows: September 5, 2018Board Office, Suite 3509 to 10:30 a.m.200 East Grand 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 the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Board and advise of specific needs. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Amend subrule 1.1(1) as follows: 1.1(1) Administration. Administration of the board has not been separated into panels, divisions, or departments. While the expertise of a board member may be called upon to frame special examinations and evaluate applications for licensing in a specialized engineering branch, the board functions in a unified capacity on all matters that may come before it. The board maintains an office at 1920 S.E. Hulsizer Road, Ankeny, Iowa 50021200 East Grand Avenue, Suite 350, Des Moines, Iowa 50309, and requests or submissions may be directed to the secretary of the board at that location. ITEM 2. Amend subrule 1.1(2) as follows: 1.1(2) Meetings. Regular meetings of the board are held in AnkenyDes Moines, Iowa. Information concerning the location and dates for meetings may be obtained from the board’s office at 1920 S.E. Hulsizer Road, Ankeny, Iowa 50021200 East Grand Avenue, Suite 350, Des Moines, Iowa, or by telephoning (515)281-4126(515)725-9022. ITEM 3. Adopt the following new definition of “Retired” in rule 193C—1.2(542B): "Retired" means that a professional engineer or land surveyor is not engaged in the practice of engineering or land surveying or earning monetary compensation by providing professional engineering or land surveying services in any licensing jurisdiction of the United States or a foreign country. ITEM 4. Amend subrule 3.1(1) as follows: 3.1(1) Application expiration. On the examination applicationand comity applications due date, the examination application isapplications are considered current if it has been one year or less since it was signed and notarized. A comity application expires one year from the date that it was signed and notarizedthe applications were received by the board office. ITEM 5. Amend subrule 3.2(2) as follows: 3.2(2) Fundamentals of Land Surveying examination application componentsand due dates. The components of this application include: the completed, notarized application form;, references pursuant to 193C—paragraph 5.1(5)“b”; and transcripts. Fundamentals of Land Surveying examination applications must be submitted to the board office. Applicationssubmitted by the first day of each month will be reviewed by the board at the next regularly scheduled board meeting. ITEM 6. Amend subrule 3.2(3) as follows: 3.2(3) Principles and Practice examination application components and due dates. Principles and Practice of Engineering and Principles and Practice of Land Surveying examination applications require a detailed review and must, therefore, be submitted to the board office, postmarked on or before July 15 of each year for the examination given in the fall and on or before January 15 of each year for the examination given in the spring.To facilitate the transition to computer-based testing offered throughout the year, application files with all required components submitted to the board office by the first day of each month will be reviewed at the next regularly scheduled board meeting. The Principles and Practice examination application packet, includingincludes the following components, must be postmarked on or before the deadline date: (1) the completed, notarized and signedonline application form;, (2) the required number of references;, (3) the project statement;, and (4) the ethics questionnaire. In addition, a complete application file must include verification of examination records and transcripts. Examination applications will not be reviewed by the board until the application file is complete. Since the verification of examination records must be sent directly from the jurisdiction where the applicant took the Fundamentals of Engineering examination, the applicant should contact the other jurisdiction well in advance of the deadline for submittal of the application to request this verification in order to ensure that the verification is received by the board no later than July 25 for the fall examination or by January 25 for the spring examination. For transcripts, the applicant should contact the university well in advance of the deadline for submittal of the application to ensure that the transcripts are received no later than July 25 for the fall examination or by January 25 for the spring examination. Examination application files that are not complete by January 25 will not be reviewed for the spring examination. Likewise, examination applications that are not complete by July 25 will not be reviewed for the fall examinationby the deadline. ITEM 7. Adopt the following new subrule 3.4(12): 3.4(12) Retired status. Licensees who are not engaged in the practice of engineering or land surveying or earning monetary compensation by providing professional engineering or land surveying services in any licensing jurisdiction of the United States or a foreign country may be granted retired status during the open online renewal. There is no fee for retired status. Retired status allows the individual to use the title “PE retired” or “PLS retired.” Applicants do not need to reinstate an expired license to be eligible for retired status. Applicants may apply for retired status on forms provided by the board. The board will not provide a refund of biennial license fees if an application for retired status is granted in a biennium in which the applicant has previously paid the biennial fees for either active or inactive status. Persons licensed in retired status are exempt from the renewal requirement. Once retired status is granted, a license may not be reactivated for any reason. ITEM 8. Amend paragraph 4.1(2)"c" as follows: c. An applicant who graduated from a satisfactory engineering program and has 2510 years or more of work experience satisfactory to the board shall not be required to take the FE exam. ITEM 9. Amend paragraph 4.1(6)"a" as follows: a. Fundamentals of Engineering examination (fundamentals examination).The Fundamentals of Engineering examination is a writtencomputer-based examination covering general engineering principles and other subjects commonly taught in accredited engineering programs. ITEM 10. Amend paragraph 4.1(6)"b" as follows: b. Principles and Practice of Engineering examination (professional examination).The Principles and Practice of Engineering examination is a writtencomputer-based examination designed to determine proficiency and qualification to engage in the practice of professional engineering only in a specific branch. The Principles and Practice of Engineering two-module Structural examination is a writtencomputer-based examination designed to determine proficiency and qualification to engage in the practice of structural engineering. A separate examination shall be required for each branch in which licensure is granted. An applicant may obtain a Structural branch license by passing either the Principles and Practice of Engineering Civil (Structural) examination or the Principles and Practice of Engineering two-module Structural examination. ITEM 11. Amend subparagraph 4.2(3)"b" as follows: (1) An applicant who graduated from a satisfactory engineering program and who has 2510 years or more of work experience satisfactory to the board shall not be required to take the Fundamentals of Engineering examination. ITEM 12. Amend paragraph 4.2(4)"b" as follows: b. For applicants who were originally licensed in another jurisdiction and who meet the requirements of Iowa Code section 542B.14(1)(a)(3)542B.14(1)“a”(1)(c), the board will employ the following chart to determine if the applicant’s licensure was granted after satisfaction of requirements substantially equivalent to those which were required by Iowa Code section 542B.14 at the time of the applicant’s original licensure. Column 1 indicates the years of practical experience that were required prior to the Fundamentals of Engineering examination in addition to the completion of the required educational level. To determine the total years of practical experience that were required prior to taking the Principles and Practice of Engineering examination, column 2 is added to column 1. experience requirements for comity applicantsWho meet the requirements of Iowa Code section 542B.14(1)(a)(3)542B.14(1)“a”(1)(c)If the applicant’s educational level was:The applicant must have had the following additional years of experience prior to taking the Fundamentals of Engineering examination:The applicant must have had the following years of experience after receipt of the qualifying degree and prior to taking the Principles and Practice of Engineering examination:College or junior college (mathematics or physical sciences) Two years64 Three years54 Four-year BS degree34 Four-year BS degree plus master’s degree in engineering04All engineering technology programs and architecture Two years64 Three years54 Four-year degree, nonaccredited technology or BA in architecture34 Four-year degree, accredited technology24 Four-year degree or more, bachelor of architecture24 Four-year BS degree, technology or architecture plus master’s degree in engineering04Engineering program, nonaccredited Two years64 Three years34 Four-year BS degree14 Four-year BS degree plus master’s degree in engineering04Engineering program, accredited Two years64 Three years34 Four-year BS degree04 ITEM 13. Amend paragraph 5.1(3)"a" as follows: a. To qualify to take this examination, the applicant must present a record of four years or more of practical experience in land surveying work which is of a character satisfactory to the boardand which includes a minimum of one year of field experience. This experience must have been obtained after the receipt of the qualifying education and prior to the application due date for the examination. This practical experience is in addition to the initial experience required prior to taking the Fundamentals of Land Surveying examination. ITEM 14. Amend subrule 5.1(7), introductory paragraph, as follows: 5.1(7) Practical experience requirements. Practical land surveying experience, of which a minimum of 25 percent is field experience, is required prior to licensing. The purpose of this requirement is to ensure that the applicant has acquired the professional judgment, capacity and competence to determine land boundaries. The following criteria will be considered by the board in determining whether an applicant’s experience satisfies the statutory requirements. ITEM 15. Amend paragraph 5.1(8)"a" as follows: a. Fundamentals examination.The Fundamentals of Land Surveying examination is a writtencomputer-based examination covering general surveying principles. ITEM 16. Rescind paragraph 5.1(8)"b". ITEM 17. Reletter paragraphs 5.1(8)"c" to 5.1(8)"h" as 5.1(8)"b" to 5.1(8)"g". ITEM 18. Amend relettered subparagraph 5.1(8)"d" as follows: (4) An applicant who has failed two consecutive examinations of the state-specific portion of the professional land surveying examination shall not be allowed to retake the state-specific portion for the next two yearsone year in order for the applicant to acquire the necessary skill and knowledge to successfully pass the examination. ITEM 19. Amend subrule 5.2(1) as follows: 5.2(1) References. An applicant for licensure by comity shall submit threeone or more professional land surveyor references on forms provided by the board, at least two of which shall be from licensed professional land surveyorsto verify the number of years of satisfactory experience required with the applicant’s level of education. The board reserves the right to contact employers for information about the applicant’s professional experience and competence. ITEM 20. Amend paragraph 7.3(1)"i" as follows: i. Attendance at satellite down-linkonline video courses; ITEM 21. Amend subrule 7.4(1) as follows: 7.4(1) Group 1 activities. Group 1 activities are intended to maintain, improve, or expand skills and knowledge obtained prior to initial licensure. The following chart illustrates the maximum PDH allowable per renewal period for Group 1 activities: Type of course/activity Number of PDH allowed per renewal period Mathematics and basic sciencesMath beyond TrigonometryBasic sciences: Chemistry, Physics, Life sciences, Earth sciences10 PDH Engineering sciencesMechanics, Thermodynamics, Electrical and electrical circuits, Materials science, *Computer science*Courses in computer science will generally be considered a part of the Engineering Sciences category in the ABET criterion and, therefore, limited to a maximum of 10 PDH per renewal period.10 PDH Humanities and social sciencesPhilosophy, Religion, History, Literature, Fine arts, Sociology, Psychology, Political science, Anthropology, Economics, Foreign languages, Professional ethics, Social responsibility5 PDH Engineering curriculumEngineering-related coursesAccounting, Industrial management, Finance, Personnel administration, Engineering economy, English, Speech, *Computer applications*Courses in CAD and fundamental computer applications will generally not be applicable in either Group 1 or Group 2 activities. The computer is viewed as a tool available to the engineer or land surveyor, much as a pencil or hand-held calculator is a tool. Only computer courses that have the solution of engineering or land surveying problems as a purpose will be considered acceptable. An example of this might be a course that trains an engineer in the utilization of a specific software package to perform structural analysis. The concept of the computer as a tool does not apply to a computer engineer.*The computer is considered a tool available to engineers and land surveyors. Courses related to computer drafting and general computer applications are generally not applicable to either Group 1 or Group 2 activities. Computer courses that relate to engineering or land surveying design applications, such as structural design/analysis software, are considered acceptable. 10 PDH ITEM 22. Amend subrule 7.8(1) as follows: 7.8(1) Record keeping. Maintaining records to be used to support professional development hours claimed is the responsibility of the licensee. It is recommended that each licensee keep a log showing the type of activity claimed, sponsoring organization, location, duration, instructor’s or speaker’s name, and PDH credits earned.Documentation of reported PDHs shall be maintained by the licensee for two years after the period for which the form was submitted. ITEM 23. Amend subrule 7.8(2) as follows: 7.8(2) Compliance review. The board may select licensees for review of compliance with continuing education requirements on a random basis or upon receiving information regarding noncompliance and shall review compliance with continuing education requirements for reinstatement of lapsed or inactive licenses.Each licensed board member shall be audited for PDH compliance for a biennium that is within each member’s respective three-year appointment terms. For each professional development hourPDH claimed, licensees chosen for compliance review shall furnish: a. Proof of attendance. Attendance verification records in the form of completion certificates, or other documents supporting evidence of attendance; b. Verification of the hours claimed; and c. Information about the course content. ITEM 24. Amend subrule 7.8(3) as follows: 7.8(3) Compliance review sanctions. Any discrepancy between the number of PDHs reported and the number of PDHs actually supported by documentation may result in a disciplinary review.If, after the disciplinary review, the board disallows any PDH, or the licensee has failed to complete the required PDHs, the licensee shall have 60 days from board notice to either provide further evidence of having completed the PDHs disallowed or remedy the discrepancy by completing the required number of PDHs (provided that such PDHs shall not again be used for the next renewal). Extension of time may be granted on an individual basis and must be requested by the licensee within 30 days of notification by the board. If the licensee fails to comply with the requirements of this subrule, the licensee may be subject to disciplinary action. If the board finds, after proper notice and hearing, that the licensee willfully disregarded these requirements or falsified documentation of required PDHs, the licensee may be subject to disciplinary action as further identified in 193C—paragraphs 9.3(1)“c” and 9.3(3)“e.” ITEM 25. Amend subrule 8.5(2), definition of “In responsible charge,” as follows: "In responsible charge" means having direct control of and personal supervision over any professional land surveying work or work involving the practice of professional engineering. One or more persons, jointly or severally, may be in responsible charge. IndiciaIndications of being “inin responsible charge”charge include:- Obtaining or setting the project or service parameters or criteria.
- Dictating the manner and methods by which professional services are performed.
- Establishing procedures for quality control and authority over professional services in a manner that ensures that the professional licensee is in control of the work and of all individuals performing the work under the licensee’s supervision.
- Spending sufficient time directly performing the work or directly supervising the work to ensure that the licensee is familiar with all significant details of the work.
- Maintaining familiarity with the capabilities and methods of the persons performing professional services, and providing adequate training for all persons working under the licensee’s direct supervision.
- Sustaining readily accessible contact with all persons performing professional services by direct physical proximity, or as appropriate in the licensee’s professional judgment, by frequent communication, in clear and complete verbal and visual form, of information about the work being performed.
- Specifically pertaining to land surveying, reviewing all field evidence and making all final decisions concerning the placement of survey monuments and surveyed lines.
- Following suspension of a professional land surveyor’s license, notification must be mailedissued to the county recorders and county auditors of the county of residence and immediately adjacent counties in Iowa.
- Following revocation of a professional land surveyor’s license, notification must be mailed to all county auditors in Iowa and the county recorders in the county of residence and immediately adjacent counties in Iowa.
- Following the suspension or revocation of the license of a professional engineer or professional land surveyor, notification must be issued to other boards of examiners for engineers and land surveyors under the jurisdiction of the government of the United States. This notification may be made through the National Council of Examiners for Engineering and Surveying or other national organizations recognized by the board. In addition, if the licensee is known to be registered in another nation in North America, the appropriate board(s) shall be notified of the action.
Proposing rule making related to mental health and disability services regions and providing an opportunity for public comment
The Human Services Department hereby proposes to amend Chapter 25, “Disability Services Management,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 225C.6 and 2018 Iowa Acts, House File 2456.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 225C.6 and 2018 Iowa Acts, House File 2456.Purpose and Summary These proposed amendments implement 2018 Iowa Acts, House File 2456, which requires the mental health and disability services regions to initiate new core services, expand the core services the regions currently provide, meet new access standards for these services, and include the service changes in their services, budget planning, and reporting by a specified date. The regions must also collaborate to ensure that core services are available in minimum numbers strategically located throughout the state. These amendments also establish new and revised service standards for providers of comprehensive crisis services, subacute mental health services, and intensive mental health services. Finally, these amendments provide for a broader and more accessible statewide array of crisis and intensive mental health services to individuals with serious mental illness and to other individuals experiencing a mental health or substance use crisis.Fiscal Impact This rule making has a fiscal impact to the State of Iowa of $100,000 annually or $500,000 over five years. The fiscal impact statement containing a detailed discussion of assumptions and how estimates were derived is available from the Department upon request.Jobs Impact These amendments are not expected to have a significant impact on private-sector jobs and employment opportunities in Iowa. However, the introduction of new and expanded services may provide a small number of new jobs or opportunities for job change or advancement. Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Department for a waiver of the discretionary provisions, if any, pursuant to rule 441—1.8(17A,217). Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Harry Rossander Department of Human Services Bureau of Policy CoordinationHoover State Office Building, Fifth Floor1305 East Walnut StreetDes Moines, Iowa 50319-0114Email: 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 441—Chapter 25, chapter preamble, as follows: This chapter provides for definitions of regional core services,; accessstandards; implementation dates;and practice standards,; reporting of regional expenditures,; development and submission of regional management plans,; data collection,; applications for funding as they relate to regional service systems for individuals with mental illness, intellectual disabilities, developmental disabilities, or brain injury,; and submission of data for Medicaid offset calculations. ITEM 2. Amend 441—Chapter 25, Division I title, as follows:REGIONAL CORE SERVICES ITEM 3. Amend rule 441—25.1(331), definitions of “Assertive community treatment,” “Case manager” and “Home and vehicle modification,” as follows: "Assertive community treatment" or “ACT”means a program of comprehensive outpatient servicesconsistent with evidence-based practice standards published by the Substance Abuse and Mental Health Services Administration, provided in the communityand directed toward the amelioration of symptoms and the rehabilitation of behavioral, functional, and social deficits of individuals with severe and persistent mental disordersillness and individuals with complex symptomatologysymptomology who require multiple mental health and supportive services to live in the community consistent with evidence-based practice standards published by the Substance Abuse and Mental Health Services Administration. "Case manager" means a person who has completed specified and required training to provide case management through the medical assistance program or the Iowa Behavioral Health Care Plan. "Home and vehicle modification" means a service that provides physical modifications to the home or vehicle that directly address the medical health or remedial needs of the individualand that are necessary to provide for the health, welfare, and safety of the memberindividual and to increase or maintain independence. ITEM 4. Adopt the following new definitions of “Access center,” “ACT full-size team,” “ACT population,” “ACT small-size team,” “Adult,” “Brain injury,” “Care coordination,” “Comprehensive assessment,” “Crisis assessment,” “Crisis intervention plan,” “Crisis screening,” “Crisis stabilization community-based services,” “Crisis stabilization residential services,” “Emergency detention,” “HCBS,” “Homeless,” “Intake assessment,” “Intensive residential service homes,” “Medically stable,” “Mobile response,” “Multi-occurring conditions,” “No reject, no eject,” “Precariously housed,” “Prescreening assessment,” “Region,” “Severe and persistent mental illness,” “Subacute mental health services,” “Substance-related disorder,” “Twenty-four-hour crisis response,” “Twenty-three-hour observation and holding,” and “Warm handoff,” in rule 441—25.1(331): "Access center" means the coordinated provision of intake assessment, screening for multi-occurring conditions, care coordination, crisis stabilization residential services, subacute mental health services, and substance abuse treatment for adults with serious mental health conditions or substance use disorders who do not need inpatient psychiatric hospital treatment, but who do need significant amounts of supports and services not available in other home- and community-based settings. "ACT full-size team" means a team with a minimum of ten multidisciplinary staff that serves a maximum of 100 individuals. "ACT population" means 0.06 percent of the adult population of the region. "ACT small-size team" means a team with a minimum of six multidisciplinary staff that serves a maximum of 48 individuals. "Adult" means the same as defined in 441—subrule 78.27(1). "Brain injury" means the same as defined in rule 441—83.81(249A). "Care coordination" means facilitating communication and ensuring provision of services among multiple professionals and service providers, the individual, and family members or other natural supports when designated by the individual, and ensuring the individual has the information necessary to actively participate in service and discharge planning. "Comprehensive assessment" means the same as “crisis assessment” defined in rule 441—24.20(225C) for individuals being referred to crisis stabilization residential services and means the same as “assessment” defined in rule 481—71.2(135G) for individuals being referred to subacute mental health services. "Crisis assessment" means the same as defined in rule 441—24.20(225C). "Crisis intervention plan" means the same as defined in rule 441—24.1(225C). "Crisis screening" means a brief assessment to make a determination of the presenting problem and referral to the appropriate level of care. "Crisis stabilization community-based services" "CSCBS" means the same as defined in rule 441—24.20(225C). "Crisis stabilization residential services" "CSRS" means the same as defined in rule 441—24.20(225C). "Emergency detention" means the same as “immediately detained” as described in Iowa Code section 229.22(1). "HCBS" means home- and community-based services as defined in rule 441—78.27(249A). "Homeless" means the same as “homeless person” defined in rule 441—25.11(331). "Intake assessment" means the process used with an individual to collect information related to the individual’s history, needs, strengths, and abilities for the purpose of determining the individual’s need for comprehensive assessment, appropriate services or referral. "Intensive residential service homes" "intensive residential services" means intensive, community-based services provided 24 hours a day, 7 days a week, 365 days a year to individuals with a severe and persistent mental illness or multi-occurring conditions. Providers of intensive residential service homes are enrolled with Medicaid as providers of HCBS habilitation or HCBS intellectual disability waiver supported community living and meet additional criteria specified in subrule 25.6(8). "Medically stable" means the individual is conscious and comfortable, has vital signs within normal limits as determined by a medical professional, and shows no obvious signs of illness or injury indicating a need for immediate medical attention. "Mobile response" means the same as defined in rule 441—24.20(225C). "Multi-occurring conditions" means a diagnosis of a severe and persistent mental illness occurring along with one or more of the following: a physical health condition, a substance-related disorder, an intellectual or developmental disability, or a brain injury. "No reject, no eject" means that an individual who otherwise meets the eligibility criteria for a service shall not be denied access to that service or discharged from that service based on the severity or complexity of that individual’s mental health and multi-occurring needs. "Precariously housed" means that a person does not have a permanent household and is living day-to-day in a motel, in a vehicle, with family or friends, or in some other temporary location. "Prescreening assessment" means a face-to-face, in-person, or telehealth clinical interview to ascertain an individual’s current and previous level of functioning, potential for dangerousness, physical health, and psychiatric and medical condition. "Region" means a mental health and disability service region that operates as the “‘regional administrator’ or ‘regional administrative entity’” as defined in rule 441—25.11(331). "Severe and persistent mental illness" "SPMI" means a documented principal mental health disorder diagnosed by a mental health professional that causes symptoms and impairments in basic mental and behavioral processes that produce distress and major functional disability in adult role functioning inclusive of social, personal, family, educational or vocational roles. The individual has a degree of impairment arising from a psychiatric disorder such that: (1) the individual does not have the resources or skills necessary to maintain function in the home or community environment without assistance or support; (2) the individual’s judgment, impulse control, or cognitive perceptual abilities are compromised; (3) the individual exhibits significant impairment in social, interpersonal, or familial functioning; and (4) the individual has a documented mental health diagnosis. For this purpose, a “mental health diagnosis” means a disorder, dysfunction, or dysphoria diagnosed pursuant to the current version of the Diagnostic and Statistical Manual of Mental Disorders published by the American Psychiatric Association, excluding neurodevelopmental disorders, substance-related disorders, personality disorders, medication-induced movement disorders and other adverse effects of medication, and other conditions that may be a focus of clinical attention as defined in the current version of the Diagnostic and Statistical Manual of Mental Disorders published by the American Psychiatric Association. "Subacute mental health services" means the same as defined in Iowa Code section 225C.6(4)“c.” "Substance-related disorder" means the same as defined in Iowa Code section 125.2(15). "Twenty-four-hour crisis response" means the same as defined in rule 441—24.20(225C). "Twenty-three-hour observation and holding" means the same as defined in rule 441—24.20(225C). "Warm handoff" means an approach to care transitions in which a health care provider uses face-to-face or telephone contact to directly link individuals being treated to other providers or specialists. ITEM 5. Rescind subrule 25.2(3) and adopt the following new subrule in lieu thereof: 25.2(3) The region shall ensure that the following services are available in the region: a. Access centers. b. Assertive community treatment. c. Assessment and evaluation. d. Case management. e. Crisis evaluation. f. Crisis stabilization community-based services. g. Crisis stabilization residential services. h. Day habilitation. i. Family support. j. Health homes. k. Home and vehicle modification. l. Home health aide. m. Intensive residential service homes. n. Job development. o. Medication prescribing and management. p. Mental health inpatient treatment. q. Mental health outpatient treatment. r. Mobile response. s. Peer support. t. Personal emergency response system. u. Prevocational services. v. Respite. w. Subacute mental health services. x. Supported employment. y. Supportive community living. z. Twenty-four-hour access to crisis response. aa. Twenty-three-hour crisis observation and holding.Regions may fund or provide other services in addition to the required core services consistent with requirements set forth in subrules 25.2(4) and 25.2(5). ITEM 6. Amend subrule 25.2(5), introductory paragraph, as follows: 25.2(5) A regional service system may provide funding for other appropriate services or other support. In considering whether to provide such funding, a region may consider the following criteria: ITEM 7. Rescind rule 441—25.3(331) and adopt the following new rule in lieu thereof:441—25.3(331) Implementation dates. 25.3(1) Regions shall implement the following core services effective July 1, 2014: a. Assessment and evaluation. b. Case management. c. Crisis evaluation. d. Day habilitation. e. Family support. f. Health homes. g. Home and vehicle modification. h. Home health aide. i. Job development. j. Medication prescribing and management. k. Mental health inpatient therapy. l. Mental health outpatient therapy. m. Peer support. n. Personal emergency response system. o. Prevocational services. p. Respite. q. Supported employment. r. Supportive community living. s. Twenty-four-hour access to crisis response. 25.3(2) Regions shall implement the following intensive mental health core services on or before July 1, 2021, provided that federal matching funds are available under the Iowa health and wellness plan pursuant to Iowa Code chapter 249N: a. Access centers. b. Assertive community treatment. c. Crisis stabilization community-based services. d. Crisis stabilization residential services. e. Intensive residential service homes. f. Mobile response. g. Subacute mental health services provided in facility and community-based settings. h. Twenty-three-hour crisis observation and holding. ITEM 8. Rescind rule 441—25.4(331) and adopt the following new rule in lieu thereof:441—25.4(331) Access standards. Regions shall meet the following access standards: 25.4(1) A sufficient provider network which shall include: a. A community mental health center or federally qualified health center that provides psychiatric and outpatient mental health services in the region. b. A hospital with an inpatient psychiatric unit or state mental health institute located in or within reasonably close proximity that has the capacity to provide inpatient services to the applicant. 25.4(2) Crisis services shall be available 24 hours per day, 7 days per week, 365 days per year for mental health and disability-related emergencies. A region may make arrangements with one or more other regions to meet the required access standards. a. Basic crisis response. (1) Twenty-four-hour crisis response. An individual shall have immediate access to crisis response services by means of telephone, electronic, or face-to-face communication. (2) Crisis evaluation. An individual shall have immediate access to a crisis screening and will have a crisis assessment by a licensed mental health professional within 24 hours of referral. b. Crisis stabilization community-based services.An individual shall receive face-to-face contact from the CSCBS provider within 120 minutes from the time of referral. c. Crisis stabilization residential services.An individual shall receive CSRS within 120 minutes of referral. The service shall be located within 100 miles from the residence of the individual. d. Mobile response.An individual in need of mobile response services shall have face-to-face contact with mobile crisis staff within 60 minutes of dispatch. e. Twenty-three-hour observation and holding.An individual shall receive 23-hour observation and holding within 120 minutes of referral. The service shall be located within 100 miles from the residence of the individual. 25.4(3) The region shall provide the following treatment services: a. Outpatient. (1) Emergency: During an emergency, outpatient services shall be initiated to an individual within 15 minutes of telephone contact. (2) Urgent: Outpatient services shall be provided to an individual within one hour of presentation or 24 hours of telephone contact. (3) Routine: Outpatient services shall be provided to an individual within four weeks of request for appointment. (4) Distance: Outpatient services shall be offered within 30 miles for an individual residing in an urban community and 45 miles for an individual residing in a rural community. b. Inpatient. (1) An individual in need of emergency inpatient services shall receive treatment within 24 hours. (2) Inpatient services shall be available within reasonably close proximity to the region. c. Assessment and evaluation.An individual who has received inpatient services shall be assessed and evaluated within four weeks. 25.4(4) Subacute facility-based mental health services. An individual shall receive subacute facility-based mental health services within 24 hours of referral. The service shall be located within 100 miles of the residence of the individual. 25.4(5) Support for community living. The first appointment shall occur within four weeks of the individual’s request of support for community living. 25.4(6) Support for employment. The initial referral shall take place within 60 days of the individual’s request of support for employment. 25.4(7) Recovery services. An individual receiving recovery services shall not have to travel more than 30 miles if residing in an urban area or 45 miles if residing in a rural area to receive services. 25.4(8) Service coordination. a. An individual receiving service coordination shall not have to travel more than 30 miles if residing in an urban area or 45 miles if residing in a rural area to receive services. b. An individual shall receive service coordination within ten days of the initial request for such service or being discharged from an inpatient facility. 25.4(9) The region shall make the following intensive mental health services available. A region may make arrangements with one or more other regions to meet the required access standards. a. Assertive community treatment. (1) A minimum of 22 ACT teams shall be operational statewide. (2) A sufficient number of ACT teams shall be available to serve the identified ACT population of the region. The region may utilize a combination of ACT full-size teams and ACT small-size teams depending on the ACT population in a geographic area. The region may identify multiple geographic areas within the region for ACT team coverage. Regions may work with one or more other regions to identify geographic areas for ACT team coverage. b. Access centers. (1) A minimum of six access centers shall be operational statewide. (2) An access center shall be located within 100 miles of the residence of the individual or be available within 90 minutes from the time of the determination that the individual needs access center services. c. Intensive residential services. (1) A minimum of 120 intensive residential service beds shall be available statewide. (2) An individual receiving intensive residential services shall have the service available within two hours of the individual’s residence. (3) An individual shall be admitted to intensive residential services within four weeks from referral. 25.4(10) The following limitations apply to home and vehicle modification for an individual receiving mental health and disability services: a. A lifetime limit equal to that established for the home- and community-based services waiver for individuals with intellectual disabilities in the medical assistance program. b. A provider reimbursement payment will be no lower than that provided through the home- and community-based services waiver for individuals with intellectual disabilities in the medical assistance program. ITEM 9. Rescind rule 441—25.5(331) and adopt the following new rule in lieu thereof:441—25.5(331) Practices. A region shall ensure that access is available to providers of core services that demonstrate the following competencies: 25.5(1) Regions shall have service providers that are trained to provide effective services to individuals with multi-occurring conditions. Training for serving individuals with multi-occurring conditions provided by the region shall be training identified by the Substance Abuse and Mental Health Services Administration, the Dartmouth Psychiatric Research Center or other generally recognized professional organization specified in the regional service system management plan. 25.5(2) Regions shall have service providers that are trained to provide effective trauma-informed care. Trauma-informed care training provided by the region shall be recognized by the National Center for Trauma-Informed Care or other generally recognized professional organization specified in the regional service system management plan. 25.5(3) Regions must have evidence-based practices that the region has independently verified as meeting established fidelity to evidence-based service models including, but not limited to, assertive community treatment or strengths-based case management; integrated treatment of co-occurring substance abuse and mental health disorders; supported employment; family psychoeducation; illness management and recovery; and permanent supportive housing. ITEM 10. Adopt the following new rule 441—25.6(331):441—25.6(331) Intensive mental health services. The purpose of intensive mental health services is to provide a continuum of services and supports to individuals with complex mental health and multi-occurring conditions who need a high level of intensive and specialized support to attain stability in health, housing, and employment and to work toward recovery. 25.6(1) Access centers. The purpose of an access center is to serve individuals with a serious mental health condition or substance use disorder who are otherwise medically stable, who are not in need of an inpatient psychiatric level of care, and who do not have alternative, safe, effective services immediately available. a. Regional coordination.Each region shall designate at least one access center provider and ensure that access center services are available to the residents of the region consistent with subrule 25.4(9). (1) Regions shall work collaboratively to develop a minimum of six access centers strategically located throughout the state. (2) Access centers may be shared by two or more regions. (3) Each region shall establish methods to provide for reimbursement of a region when a non-Medicaid-eligible resident of another region utilizes an access center or other non-Medicaid-covered services located in that region. b. Access center standards.A designated access center shall meet all of the following criteria: (1) An access center shall have no residential facility-based setting with more than 16 beds. (2) An access center provider shall be accredited to provide crisis stabilization residential services pursuant to 441—Chapter 24. (3) An access center provider shall be licensed to provide subacute mental health services as described in rule 441—77.56(249A). (4) An access center provider shall be licensed as a substance abuse treatment program pursuant to Iowa Code chapter 125 or have a cooperative agreement with and immediate access to licensed substance abuse treatment services or medical care that incorporates withdrawal management. (5) An access center shall provide services to eligible individuals on a no reject, no eject basis. (6) An access center shall accept and serve eligible individuals who are court-ordered to participate in mental health or substance use disorder treatment. c. Eligibility for access center services.To be eligible to receive access center services, an individual shall meet all of the following criteria: (1) The individual is an adult in need of services or treatment related to a serious mental health condition or a substance use disorder. (2) The individual is medically stable. (3) The individual has been determined not to need an inpatient psychiatric hospital level of care. (4) The individual does not have immediate access to alternative, safe, and effective services. d. Access center services.An access center shall provide or arrange for the provision of all of the following: (1) Immediate intake assessment and screening for multi-occurring conditions, including but not limited to suicide risk, brain injury, and drug and alcohol use. A crisis evaluation may serve as an intake assessment. (2) Comprehensive person-centered mental health assessments by appropriately licensed or credentialed professionals, as indicated by the intake assessment. (3) Comprehensive person-centered substance use disorder assessments by appropriately licensed or credentialed professionals, as indicated by the intake assessment. (4) Peer support services, as indicated by a comprehensive assessment. (5) Mental health treatment, as indicated by a comprehensive assessment. (6) Substance use treatment, as indicated by a comprehensive assessment. (7) Medically necessary physical health services. (8) Care coordination as defined in rule 441—25.1(331). (9) Service navigation and linkage to needed services including housing, employment, shelter services, and brain injury services, with warm handoffs to other service providers. 25.6(2) Assertive community treatment (ACT) services. The purpose of assertive community treatment is to serve individuals with the most severe and persistent mental illness conditions and functional impairments. ACT services provide a set of comprehensive, integrated, intensive outpatient services delivered by a multidisciplinary team under the supervision of a psychiatrist, an advanced registered nurse practitioner, or a physician assistant under the supervision of a psychiatrist. An ACT program shall designate an individual to be responsible for administration of the program and with the authority to sign documents and receive payments on behalf of the program. a. Regional coordination.Each region shall designate at least one ACT provider and ensure that ACT services are available to the residents of the region consistent with subrule 25.4(9). Regions may work collaboratively with other regions when an ACT team is serving more than one region. (1) Each region shall determine if an ACT full-size team, ACT small-size team, or a combination of ACT full-size and ACT small-size teams is needed to serve the ACT population in that region. (2) Each region shall verify that all ACT programs operating in the region meet fidelity criteria consistent with evidence-based practice standards published by the Substance Abuse and Mental Health Services Administration (SAMHSA) as determined by a review of each team, which includes peer review. ACT programs shall have an initial fidelity review and be reviewed no less than biennially. b. ACT team composition.ACT teams shall include the following: (1) A psychiatrist, an advanced registered nurse practitioner, or a physician assistant under the supervision of a board-certified psychiatrist. (2) A team leader. (3) A registered nurse. (4) A mental health professional. (5) A substance abuse treatment provider. (6) A community support specialist. (7) A peer support specialist. (8) An employment specialist. c. Staff qualifications.ACT team members shall meet the following qualifications: (1) Psychiatrist. A psychiatrist on the team shall be a person who meets all of the following criteria: 1. Is a doctor of medicine (M.D.) or a doctor of osteopathy (D.O.). 2. Is licensed in Iowa pursuant to 653—Chapter 9. 3. Is certified as a psychiatrist by the American Board of Medical Specialties’ Board of Psychiatry and Neurology or by the American Osteopathic Board of Neurology and Psychiatry. 4. Has experience working with persons with severe and persistent mental illness. 5. Provides a minimum of 16 hours per week of psychiatrist time for every 50 ACT clients. (2) Advanced registered nurse practitioner. An advanced registered nurse practitioner on the team shall be a person who meets all of the following criteria: 1. Is licensed pursuant to 655—Chapter 7. 2. Has a mental health certification. 3. Has experience working with persons with severe and persistent mental illness. 4. Provides a minimum of 16 hours per week of advanced registered nurse practitioner time for every 50 ACT clients. (3) Physician assistant. A physician assistant on the team shall be a person who meets all of the following criteria: 1. Is licensed pursuant to 645—Chapter 326. 2. Has experience working with persons with severe and persistent mental illness. 3. Is practicing under the supervision of a board-certified psychiatrist. 4. Provides a minimum of 16 hours per week of physician assistant time for every 50 ACT clients. (4) Team leader. A team leader shall be a person on the team who meets all of the following criteria: 1. Has a master’s degree in nursing, social work, psychiatric rehabilitation, or psychology. 2. Is an actively practicing clinician on the team. 3. Is a full-time staff member whose responsibilities are limited to the ACT team and who serves as the clinical and administrative supervisor of the team. (5) Registered nurse. A registered nurse on the team shall be a person who meets all of the following criteria: 1. Is licensed as a registered nurse pursuant to 655—Chapter 3. 2. Has experience working with persons with severe and persistent mental illness. (6) Mental health professional. A mental health professional on the team shall be a person who meets all of the following criteria: 1. Is a mental health counselor or marital and family therapist licensed pursuant to 645—Chapter 31 or is a social worker licensed as a master or independent social worker pursuant to 645—Chapter 280. 2. Has experience working with persons with severe and persistent mental illness. (7) Substance abuse treatment professional. A substance abuse treatment professional on the team shall be a person who meets all of the following criteria: 1. Is an appropriately credentialed counselor pursuant to 641—subparagraph 155.21(8)“b”(1). 2. Has at least three years of experience working with persons for substance abuse. (8) Community support specialist. A community support specialist on the team shall be a person who meets all of the following criteria: 1. Has a bachelor’s degree with at least 30 semester hours or equivalent quarter hours in a human services field, including but not limited to sociology, social work, counseling, psychology, or human services. 2. Has experience working with persons with severe and persistent mental illness. (9) Peer support specialist. A peer support specialist on the team shall be a person who meets all of the following criteria: 1. Has been diagnosed with a severe and persistent mental illness. 2. Has met all requirements of the Appalachian Consulting Group Peer Support Training Model. (10) Psychologist. A psychologist on the team shall be a person who meets all of the following criteria: 1. Is licensed pursuant to 645—Chapter 240. 2. Has experience working with persons with a severe and persistent mental illness. d. ACT provider standards.Organizations seeking regional designation as an ACT provider shall meet the following criteria at initial application and annually thereafter. A designated ACT provider shall: (1) Develop and maintain written ACT-specific admission policies and procedures, including but not limited to a gradual rate of admission and program eligibility requirements. (2) Develop and maintain written ACT-specific discharge policies and procedures. Discharge criteria shall include but are not limited to the following: 1. An individual reaches individually established goals for discharge, and the individual and program staff mutually agree to the termination of services; or 2. An individual requests discharge, demonstrates the ability to function in all major role areas without ongoing assistance from the program and without significant relapse when services are withdrawn, and the program staff agree to the termination of services; or 3. An individual moves outside the geographic area of the team’s responsibility. In such cases, the team shall arrange for transfer of responsibility for mental health services to an ACT program or another provider wherever the individual is relocating, and the team shall maintain contact with the individual until the service transfer is implemented; or 4. An individual declines or refuses services and requests discharge despite the team’s best efforts to develop an acceptable treatment plan with the individual. (3) Documentation of discharges. Documentation shall include: 1. The reason(s) for discharge as stated by both the individual and the team. 2. A summary of the individual’s biopsychosocial status at the time of discharge. 3. A written final evaluation summary of the individual’s progress toward the goals in the treatment plan. 4. A plan developed in conjunction with the individual for follow-up treatment after discharge. 5. The signature of each of the following:- Services actually provided.
- Actual numbers of individuals served.
- Documentation that each regionally designated access center has met the service standards in subrule 25.6(1).
- Documentation that each regionally designated ACT team has been evaluated, including a peer review as required by subrule 25.6(2), and has met program fidelity at the time the ACT team is initiated and no less than every two years thereafter.
- Documentation that each regionally designated subacute service has met the service standards in subrule 25.6(7).
- Documentation that each regionally designated intensive residential service home or intensive residential service has met the service standards in subrule 25.6(8).
- 3Moneys expended.
- 4Outcomes achieved.
Proposing rule making related to beryllium standards and providing an opportunity for public comment
The Labor Commissioner hereby proposes to amend Chapter 10, “General Industry Safety and Health Rules,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 88.5.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 88.Purpose and Summary The Labor Commissioner is required by state law to adopt by reference changes to federal occupational safety and health regulations. This proposed amendment will adopt by reference the most recent in a series of changes to the occupational health standards concerning exposure to beryllium. The changes adopted by the federal Occupational Safety and Health Administration amend numerous definitions and clarify that certain methods of employee protection are not needed where only trace amounts of beryllium are present.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. It is anticipated that compliance costs will be reduced for aluminum production facilities and coal-fired utilities as a result of the changes. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers Any person who believes that the application of the discretionary provisions of this rule making would result in hardship or injustice to that person may petition the Commissioner for a waiver of the discretionary provisions, if any, pursuant to 875—Chapter 5.Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Commissioner no later than 4:30 p.m. on September 6, 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 A public hearing at which persons may present their views orally or in writing will be held as follows: September 6, 2018150 Des Moines Street10 a.m. Des Moines, Iowa(If requested) Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making. Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should telephone 515.725.5615 and advise of specific needs. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making action is proposed:
ITEM 1. Amend rule 875—10.20(88) by inserting the following at the end thereof:83 Fed. Reg. 19948 (May 7, 2018)ARC 3943CProfessional Licensure Division[645]Notice of Intended ActionProposing rule making related to licensure of chiropractic physicians and providing an opportunity for public comment
The Board of Chiropractic hereby proposes to amend Chapter 41, “Licensure of Chiropractic Physicians,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code sections 147.76, 151.11 and 272C.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapters 147, 151 and 272C.Purpose and Summary The proposed amendment provides clarification that if an applicant has held an active license during three of the past five years, the applicant can forgo the requirement of taking the Special Purposes Examination for Chiropractic (SPEC) to reactivate the license.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 A waiver provision is not included in this rule making because all administrative rules of the professional licensure boards in the Professional Licensure Division are subject to the waiver provisions accorded under 645—Chapter 18. 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 September 4, 2018. Comments should be directed to: Susan ReynoldsProfessional Licensure DivisionDepartment of Public Health Lucas State Office BuildingDes Moines, Iowa 50319-0075Email: susan.reynolds@idph.iowa.govPublic Hearing A public hearing at which persons may present their views orally or in writing will be held as follows: September 4, 2018 Fifth Floor Conference Room 526 7:30 to 8 a.m. Lucas State Office Building Des Moines, Iowa Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making. In an effort to ensure accuracy in memorializing a person’s comments, a person may provide written comments in addition to or in lieu of oral comments at the hearing. Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Division and advise of specific needs. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making action is proposed:
ITEM 1. Amend subparagraph 41.14(3)"b" as follows: (3) Verification of passing the SPEC if the applicant does not have a current license and has not been in active practicehad an active license in the United States duringthree of the past five years.ARC 3944CProfessional Licensure Division[645]Notice of Intended ActionProposing rule making related to physical therapy licensure compact and background check requirements and providing an opportunity for public comment
The Board of Physical and Occupational Therapy hereby proposes to amend Chapter 200, “Licensure of Physical Therapists and Physical Therapist Assistants,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 147.76 and chapter 148A.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 272C.Purpose and Summary The proposed amendments define the requirements for participation in the physical therapy licensure compact, add background check requirements for initial licensure and licensure by endorsement for all physical therapist (PT) and physical therapist assistant (PTA) applicants, add a fee for the issuance of a compact privilege to practice in Iowa, and waive the compact privilege fee for an active duty military member or spouse.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. No costs are involved for the Department of Public Health. All new PT and PTA licensure applicants will be required to pay the fee for a criminal background check regardless of whether or not they choose to participate in the PT licensure compact. Jobs Impact After analysis and review of this rule making, no impact on jobs has been found.Waivers A waiver provision is not included in this rule making because all administrative rules of the professional licensure boards in the Professional Licensure Division are subject to the waiver provisions accorded under 645—Chapter 18.Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Board no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Venus Vendoures-Walsh Professional Licensure Division Department of Public HealthLucas State Office Building321 East 12th StreetDes Moines, Iowa 50319 Email: venus.vendoures-walsh@idph.iowa.govPublic Hearing A public hearing at which persons may present their views orally or in writing will be held as follows: September 4, 2018Fifth Floor Conference Room 5268 to 8:30 a.m.Lucas State Office BuildingDes Moines, Iowa Persons who wish to make oral comments at the public hearing may be asked to state their names for the record and to confine their remarks to the subject of this proposed rule making. Any persons who intend to attend the public hearing and have special requirements, such as those related to hearing or mobility impairments, should contact the Board and advise of specific needs. Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6). The following rule-making actions are proposed:
ITEM 1. Renumber subrules 200.2(5) to 200.2(8) as 200.2(6) to 200.2(9). ITEM 2. Adopt the following new subrule 200.2(5): 200.2(5) The applicant shall submit two completed fingerprint cards and a signed waiver form to facilitate a national criminal history background check by the Iowa division of criminal investigation (DCI) and the Federal Bureau of Investigation (FBI). The cost of the criminal history background check by the DCI and the FBI shall be assessed to the applicant. ITEM 3. Adopt the following new rule 645—200.3(147):645—200.3(147) Physical therapy compact. The rules of the physical therapy compact commission are incorporated by reference. A physical therapist or physical therapist assistant may engage in the practice of physical therapy in Iowa without a license issued by the board if the individual has a current compact privilege to practice in Iowa issued by the physical therapy compact commission. The state fee for issuance of a compact privilege to practice in Iowa shall be $60, which will be collected by the physical therapy compact commission. The state fee for issuance of a compact privilege to practice in Iowa shall be waived for an active duty military member or spouse of an individual who is an active duty military member. A physical therapist or physical therapist assistant who practices physical therapy in Iowa using a compact privilege is subject to the rules governing licensees in rule 645—200.6(147) and in 645—Chapters 201 and 202. Complaints, investigations, and disciplinary proceedings involving a compact privilege shall be handled in accordance with Iowa Code chapters 17A and 272C; 2018 Iowa Acts, House File 2425; and the rules in 645—Chapters 9, 11, 12, and 13. ITEM 4. Reletter paragraphs 200.7(1)"e" and 200.7(1)"f" as 200.7(1)"f" and 200.7(1)" g". ITEM 5. Adopt the following new paragraph 200.7(1)"e": e. Submits two completed fingerprint cards and a signed waiver form to facilitate a national criminal history background check by the Iowa division of criminal investigation (DCI) and the Federal Bureau of Investigation (FBI). The cost of the criminal history background check by the DCI and the FBI shall be assessed to the applicant;ARC 3936CVeterans Affairs, Iowa Department of[801]Notice of Intended ActionProposing rule making related to veterans trust fund and providing an opportunity for public comment
The Iowa Department of Veterans Affairs hereby proposes to amend Chapter 14, “Veterans Trust Fund,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 35A.13.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 35A.13.Purpose and Summary The Iowa Commission of Veterans Affairs is cleaning up Chapter 14 rules related to the Veterans Trust Fund, making all areas of assistance consistent for eligibility requirements. The rules have not been changed since the program began in 2007.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. Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: Missy Miller Iowa Department of Veterans Affairs Camp Dodge, Bldg. #3465 7105 NW 70th Avenue Johnston, Iowa 50131 Email: melissa.miller2@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 801—14.4(35A) as follows:801—14.4(35A) Benefits available. Applications may be approved for any of the following purposes. By a majority vote, the commission may suspend some or all of these benefits for payment. 14.4(1) Travel expenses for wounded veterans, and their spouses, directly related to follow-up medical care. Travel expenses under this subrule include the unreimbursed cost of airfare, lodging, and a per diem of $25 per day for required out-of-state medical travel that exceeds 125 miles from the veteran’s home. Spouses may be reimbursed for in-state lodging and a per diem of $25 per day when visiting a veteran who is in a hospital for medical care related to a service-connected disability. The distance from the veteran’s home to the hospital must exceed 100 miles. The veteran or the veteran’s spouse shall provide such evidence as the commission may require, which includes but is not limited to evidence the injury or disability is service-connected, the necessity of treatment in a particular facility, and documentation of expenses. The maximum amount for lodging reimbursement shall be $90. The maximum amount of aid payable in a consecutive 12-month period under this subrule is $1,000. The commission may waive the income threshold for this benefit. 14.4(2) Job training or college tuition assistance for job retraining. a. The commission may pay a veteran not more than $3,000 for retraining or postsecondary education to enable the veteran to obtain gainful employment. The commission may provide aid under this subrule if all of the following apply: (1) The veteran is enrolled in a training course in a technical college or school, is enrolled in an accredited postsecondary institution, or is engaged in a structured on-the-job training program. (2) The veteran is unemployed, underemployed, or has received a notice of termination of employment. (3) The commission determines that the veteran’s proposed program, or current program, will provide retraining or initial training that could enable the veteran to find gainful employment. In making its determination, the commission shall consider whether the proposed program, or current program, provides adequate employment skills and is in an occupation for which favorable employment opportunities are anticipated. (4) The veteran requesting aid has not received full reimbursement or payment from any other retraining or education scholarship programs and the veteran does not have other assets or income available to meet retraining or initial training expenses. Applicants requesting aid under this subrule will only be granted the unpaid portion of their tuition statement, and the payment will be made directly to the institution. b. The veteran shall provide such evidence as the commission may require to satisfy the requirements of this subrule. 14.4(3) Unemployment or underemployment assistance during a period of unemployment or underemployment due to prolonged physical or mental illness resulting from military service or disability resulting from military service(must be physically and mentally able to return to work). The commission may provide subsistence payments only to a veteran who has suffered a loss of income due to prolonged physical or mental illness resulting from military service or disability resulting from military service. The commission may provide subsistence payments of up to $500 per month of unemployment or underemployment to a veteran.A veteran must provide documentation of assistance from Iowa workforce development and vocational rehabilitation, if eligible. No payment may be made under this subrule if the veteran has other assets or income available to meet basic subsistence needs. A period of unemployment implies that it is possible for the veteran to be employed in the future. A rating from the VA of 100 percent due to individual unemployability (IU) rated permanent and total indicates that a veteran is unemployable and will not qualify for assistance under this subrule. The veteran shall provide such evidence as the commission may require, which includes but is not limited to evidence that the mental illness or disability is service-connected and evidence that the veteran is unemployed or underemployed for the period of payments. To qualify as underemployed, the applicant must be currently working at an income that is below 150 percent of federal poverty guidelines due to limitations caused by the applicant’s service-connected disability or illness. The maximum amount of aid payable in a consecutive 12-month period under this subrule is $3,000 and a lifetime maximum of $6,000. 14.4(4) Expenses related to hearing care, dental care, vision care, or prescription drugs. a. The commission may provide health care aid to a veteran, to the veteran's spouse or dependents, or to the unremarried spouse of a deceased veteran for dental care, including dentures; vision care, including eyeglass frames and lenses; hearing care, including hearing aids; and prescription drugs that are not covered by the Veterans Affairs medical center. b. The maximum amount that may be paid under this subrule for any consecutive 12-month period may not exceed $2,500 for dental care, $500 for vision care, $1,500 per ear for hearing care, and $1,500 for prescription drugs.Lifetime maximum benefit: $10,000. c. The commission shall not provide health care aid under this subrule unless the aid recipient’s health care provider agrees to accept, as full payment for the health care provided, the amount of the payment; the amount of the recipient’s health insurance or other third-party payments, if any; and the amount that the commission determines the veteran is capable of paying. Payment under this subrule will be provided directly to the health care provider. The commission shall not pay health care aid under this subrule if the available liquid assets of the veteran are in excess of $5,000$15,000. d. Applicants for assistance under this subrule will be required to provide the commission with an unpaid bill for service or an estimated cost of service from the health care provider and documentation of the need for the service. For prescription drugs, the applicant must produce documentation of the need for the prescribed drug and documentation stating whether a generic drug is available or appropriate. The commission payment will not exceed an estimated cost of service by a health care provider. 14.4(5) Expenses relating to the purchase of durable equipment or services to allow a veteran, the veteran’s spouse or dependents, or the unremarried spouse of a deceased veteran to remain in their home. a. The commission may make reimbursement payments to a veteran or to the unremarried spouse of a deceased veteran for the purchase of durable equipment that allows the veteran, the veteran's spouse or dependents, or the unremarried spouse of a deceased veteran to remain in their home or allows them the ability to utilize more of their home. b. Individuals requesting reimbursement under this subrule will be required to provide verification of the purchase and installation of the equipment and information relating to the need for the equipment. Individuals may also provide a product and installation cost estimate to the commission for approval, with the understanding that the commission will pay no more than the cost estimate to the supplier or installer. Applicants needing durable equipment as a medical necessity should provide information from a physician. c. Assistance under this subrule cannot duplicate assistance from other entities, and the maximum amount that may be paid may not exceed $2,500. d. The commission shall not pay a reimbursement under this subrule if the available liquid assets of the veteran are in excess of $5,000$15,000. 14.4(6) Individual counseling or family counseling programs. a. The commission may make mental health, substance abuse, and family counseling available to veterans and their families. Individual family members are eligible for counseling. b. The assistance may include appropriate counseling and treatment programs for veterans and their families in need of services. c. Any assistance provided under this subrule shall not duplicate other services readily available to veterans and their families. Veterans who are eligible for VA mental health services must initially visit their nearest VA medical facility for initial consultation and continued psychiatric treatment. Payment under this subrule will be made for additional services for the veteran in a location closer to the veteran's home and at a greater frequency than the VA medical center can accommodate. d. The commission may provide up to $150 per hour and $75 per half-hour for outpatient counseling visits to providers who will accept as full payment for the counseling services the amount provided. Counseling and substance abuse services provided in a group setting may be paid up to $40 per hour. Counseling and substance abuse services may also be provided in an inpatient setting, subject to the maximum amount eligible under 14.4(6)“f.” e. The maximum amount that may be paid under this subrule for any consecutive 12-month period shall not exceed $5,000. Individuals seeking counseling services are eligible for up to $2,500, individuals seeking substance abuse treatment and counseling combined are eligible for up to $3,500, and families seeking counseling services that may also include individual counseling and substance abuse services are eligible for up to $5,000. f. The commission may not provide counseling under this subrule unless the aid recipient’s counseling service provider agrees to accept, as full payment for the counseling services provided, the amount of the payment; the amount of the recipient’s health insurance or other third-party payments, if any; and the amount that the commission determines the veteran is capable of paying. The commission will make payment directly to the entity providing counseling and substance abuse services. The commission shall not pay for counseling under this subrule if the available liquid assets of the veteran are in excess of $5,000$15,000. 14.4(7) Expenses relating to ambulance and emergency room services for veteransand emergency lodging for immediate family members. a. The commission may provide assistance to veterans for expenses related to ambulance trips, including air ambulance transportation, and emergency room visits for emergency care patients or VA health care patients thatwho cannot indicate to emergency personnel that they are to be presented to a VA medical center. b. Funding through this subrule shall be paid directly to the entity providing the emergency service or transportation after the commission is provided with an unpaid bill. All efforts should be made to utilize all other methods of payment prior to accessing assistance under this subrule. c. The maximum amount that may be paid under this subrule may not exceed $5,000$7,500. 14.4(8) Emergency expenses related to vehicle repair, housing repair, or temporary housing assistance. a. The commission may provide assistance to a veteran or to the unremarried spouse of a deceased veteran for emergency vehicle repair, emergency housing repair, and temporary housing. b. Assistance for vehicle repair is limited to expenses that are required for continued use of the vehicle. This assistance will only be granted in cases where the vehicle is needed for travel to and from work-related activities, the applicant is over the age of 65, or substantial hardship will occur if the vehicle is not repaired. Assistance may be provided in situations where the applicant does not have sufficient means to pay an insurance deductible. Assistance may be paid directly to the entity performing the maintenance or the insurance company owed the deductible. In certain circumstances, reimbursement may be made to the veteran or to the unremarried spouse of a deceased veteran in order for the vehicle to be released from the entity providing the service. Assistance will not be provided for damage caused during the commission of a crime, for cosmetic needs, for damage resulting in an auto accident when automobile insurance has not been purchased, or for routine maintenance. c. Assistance for home repair is limited to repairs that are required to improve the conditions and integrity of the home and are necessary for the safety and security of the residents. Applicants with homeowners insurance may request assistance for payment of a deductible. Assistance may be provided for applicants in disaster situations, home accidents, vandalism, or other situations as determined by the commission. In situations where a home is damaged beyond repair, assistance under this subrule is available to assist the applicant in purchasing a new home. d. Assistance for transitional housing may be provided to applicants who are displaced from their home during a period of repairs related to a disaster, vandalism, home accident, or other reason that makes staying in the home hazardous to the health of the residents. Any refunded security deposits paid for under this subrule shall be returned to the Iowa veterans trust fund. e. The maximum amount that may be paid under this subrule for any consecutive 12-month period may not exceed $2,500 for vehicle repair, $3,000 for housing repair, and $1,000 for transitional housing.Lifetime maximum benefit for housing repair and vehicle repair: $10,000 each. f. The commission shall not pay a reimbursement under this subrule if the available liquid assets of the veteran are in excess of $3,000$15,000. 14.4(9) Expenses related to establishing whether a minor child is a dependent of a deceased veteran. a. The commission may provide assistance to the family of veterans who are killed while serving on active federal service, for expenses related to paternity or maternity tests or the cost of procuring additional DNA samples from the deceased veteran. This assistance is available to determine whether a child is eligible for United States Department of Veterans Affairs war orphan benefits. b. Applicants are required to provide the results of the paternity or maternity examinations to the commission upon completion of the tests. Where the deceased veteran is not the parent of the child, the applicant will be required to repay the assistance received as provided in 801—14.6(35A). c. The maximum amount that may be paid under this subrule is $2,500. d. The commission may waive the income threshold for this benefit. 14.4(10) Family support group programs or programs for children of members of the military. a. The commission may award grants to unit family readiness/support groups, family support offices, and other such organizations providing support and programs to families and children of family members. b. The grant shall be only for projects or programs which are not funded from any other source. The commission shall determine if the applicant’s proposed project or program will provide the intended support. In making its determination, the commission shall consider whether the proposed program will provide anticipated favorable results. c. The maximum amount of aid payable in a consecutive 12-month period under this subrule to a family readiness/support group is $500. 14.4(11) Honor guard services. a. The commission may reimburse veterans organizations for providing military funeral honors as follows: (1) If a single veterans organization provides basic honors, $25. (2) If a single veterans organization provides full honors, $50. (3) If two or more veterans organizations participate in providing full honors and one of the organizations provides a firing detail, $50. The organizations may request that the commission split the reimbursement. (4) If two or more veterans organizations participate in providing basic honors, $25. Payment shall be to one veterans organization, as determined by the commission. b. Notwithstanding paragraph 14.4(11)“a,” the commission shall not reimburse a veterans organization if federal funding is available to reimburse the veterans organization for providing military funeral honors. The veterans organization shall request reimbursement from federal sources. If a veterans organization receives federal funding for providing military funeral honors at the reimbursement rate of one funeral per day, the department shall reimburse the organization for the provision of military funeral honors at any additional funerals on that day. c. The maximum amount of aid payable in a calendar year under this subrule to a veterans organization is $1000. d. Veterans service organizations that are not currently providing honor guard services may apply for a $500, up-front grant, for the use of creating a new honor guard within their organization. Applicants must present the commission with an estimated cost for purchasing uniforms and firearms for providing military honors and an estimated number of members who will be available to perform honor guard services. Organizations should also provide information regarding how they plan to pay for additional expenses that may occur outside of trust fund assistance. Applicants will be eligible for reimbursements under paragraphs 14.4(11)“a” to “c” 12 months after the receipt of their original $500 grant. 14.4(12) Matching funds to veterans service organizations to provide for accredited veteran service officers. a. The commission may provide matching funds to veterans service organizations for maintaining accredited veteran service officers located at the Des Moines Veterans Affairs Regional Office. b. Funding for all service organizations combined is available in an amount of up to 20 percent of the interest and earnings on the trust fund balance during the fiscal year or $150,000, whichever is less. c. Service organizations requesting funding from the trust fund must provide financial data on the level of organizational funding for the staffing and operation of an office in the Des Moines Veterans Affairs Regional Office. Of the available amount outlined in this subrule, assistance will be split evenly among the service organizations eligible for the trust fund assistance. If the service organization’s expenditures are less than theirits share of the grant, the grant amount will be reduced to the amount of theirthe organization’s previous fiscal year’s expenditures. d. Service organizations will be required to maintain the same level of expenditures in the year they receive funding as in the previous year. Funding will be recaptured by the treasurer of the state of Iowa if this funding is used to supplant funding from an individual veterans service organization. Trust fund assistance will not be included in future fiscal year maintenance of effort requirements. A report on the previous fiscal year’s expenditures will be required to determine the maintenance of effort for the organization.ARC 3945CWorkforce Development Department[871]Notice of Intended ActionProposing rule making related to claims and benefits and providing an opportunity for public comment
The Workforce Development Department hereby proposes to amend Chapter 24, “Claims and Benefits,” and Chapter 25, “Benefit Payment Control,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is proposed under the authority provided in Iowa Code section 96.11.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapter 96.Purpose and Summary These proposed amendments rescind a previous change that the Department has determined was not appropriate regarding the role of the Administrative Judge in determining a disqualification for failure to report. Further clarifying rules may be proposed in the future. Also, current procedures allow for an inequity to develop in cases of overpayment where a claimant may have exhausted the claimant’s entire claim. This proposed rule making will ensure that claimants who are overpaid do not have that overpayment eliminated by the simple addition of claim weeks they would otherwise have been ineligible to receive.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. Public Comment Any interested person may submit written comments concerning this proposed rule making. Written comments in response to this rule making must be received by the Department no later than 4:30 p.m. on September 4, 2018. Comments should be directed to: David Steen, AttorneyDepartment of Workforce Development 1000 East Grand AvenueDes Moines, Iowa 50319-0209Email: david.steen@iwd.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. Rescind paragraph 24.6(7)"f". ITEM 2. Amend subrule 25.8(1) as follows: 25.8(1) Good faith overpayment. If an individual has acted in good faith in claiming benefits for any week and it is later determined that the individual iswas not entitled to receive the benefits, the department shall recover the overpayment of benefits either by having a sum equal to the overpayment deducted from any future benefits payable to the individual or by having the individual pay to the department a sum equal to the overpayment.During a benefit year in which the maximum benefit amount has been paid or the maximum number of weeks has been paid and an overpayment is established for any benefits paid that the individual was not entitled to during that benefit year, no additional benefits will be payable to offset the overpayment. The department shall mail the overpayment decision to the claimant’s last-known address. Once the overpayment amount has been established, an overpayment schedule shall be set up to leave a proper audit trail even if the claimant pays to the department a sum equal to the overpayment. a. The department shall mail a first statement of overpayment to the claimant’s last-known address. This statement will request full repayment in the form of a negotiable check, money order, or bank draft payable to the Department of Workforce Development. b. If a claimant fails to respond to the first statement of overpayment a second statement shall be sent 30 days later. The second statement notifies the claimant that full repayment must be made. If the claimant cannot make full repayment the department will consider a monthly repayment agreement. c. Rescinded IAB 10/15/03, effective 11/19/03. d. If an individual has acted in good faith and is without fault in claiming federal unemployment compensation under any of the following programs: (1) Unemployment Compensation Federal Employees (UCFE) (2) Unemployment Compensation Ex-servicemembers (UCX) (3) Trade Readjustment Allowances (TRA) (4) Disaster Unemployment Assistance (DUA)and it is subsequently determined that the individual is not entitled to the benefits, the department shall have the right to recover the benefits in accordance with the procedure outlined in subrule 25.8(1). Any federal unemployment compensation overpayments recovered shall be credited to the appropriate account of the United States. Three years after the instance of the federal unemployment compensation overpayment, if the department concludes that continued collection efforts would result in diminishing returns, then the unrecovered amount will be removed from the department accounting records. An administrative record will be maintained for possible collection through offset or other appropriate method. If no collection action has taken place during the three years after the department has removed the overpayment from its accounting records, then the overpayment will be disposed of.Any overpayment of Trade Readjustment Allowances or Trade Adjustment Assistance or Disaster Unemployment Assistance will be offset at the rate of 50 percent of the benefit amount otherwise payable to the individual for unemployment insurance, extended benefits or any other federal unemployment compensation program.ARC 3963CDental Board[650]Adopted and FiledRule making related to overpayment
The Dental Board hereby amends Chapter 1, “Administration,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code section 147.76.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 147.80.Purpose and Summary The amendment updates the definition of “overpayment” to more closely match the definition of “fee” in rule 650—15.2(147,153). The current definition of “overpayment” indicates that overpayments of less than $10 shall not be refunded. A recently adopted amendment to 650—Chapter 15 indicates that requests received with an overpayment shall be returned prior to processing. The definition of “fee” was updated following comments received from the Administrative Rules Review Committee. The amendment eliminates confusion about the process for handling overpayments.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on March 28, 2018, as ARC 3703C. A public hearing was held on April 24, 2018, at 2 p.m. in the Board Office, Suite D, 400 S.W. Eighth Street, Des Moines, Iowa. No one attended the public hearing. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making This rule making was adopted by the Board on June 8, 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 Board for a waiver of the discretionary provisions, if any, pursuant to 650—Chapter 7.Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date This rule making will become effective on September 19, 2018. The following rule-making action is adopted:
ITEM 1. Amend rule 650—1.1(153), definition of “Overpayment,” as follows: "Overpayment" means payment in excess of the required fee. Overpayment of less than $10 received by the board shall not be refundedshall result in the return of the original request and payment, prior to processing, with a clarification of the total amount due. [Filed 7/17/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3961CDental Board[650]Adopted and FiledRule making related to licensure of foreign-trained dentists
The Dental Board hereby amends Chapter 11, “Licensure to Practice Dentistry or Dental Hygiene,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code sections 147.76 and 153.33.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 147.2, 147.33 and 153.21.Purpose and Summary The amendments to rule 650—11.4(153) implement a clearer pathway for foreign-trained dentists to obtain licensure in Iowa. Historically, the Board has approved a number of rule waivers allowing foreign-trained dentists to obtain licensure in Iowa if they completed a minimum of one year in a general practice residency at an ADA-accredited dental school in lieu of the education currently required by rule. The amendments to rule 650—11.4(153) reflect the circumstances under which the Board has historically approved rule waivers. The amendments also update the references to successful completion of the Test of English as a Foreign Language (TOEFL) and remove the reference to the Test of Spoken English (TSE) since this examination is no longer offered.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on March 28, 2018, as ARC 3705C. A public hearing was held on April 24, 2018, at 2 p.m. in the Board Office, Suite D, 400 S.W. Eighth Street, Des Moines, Iowa. No one attended the public hearing. No public comments were received. One change has been made since publication of the Notice to add a citation to Iowa Code chapter 147 in the implementation sentence of rule 650—11.4(153).Adoption of Rule Making This rule making was adopted by the Board on June 8, 2018.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. Jobs Impact More practitioners may qualify for licensure under this amendment, as opposed to the more limited program and requirements currently established.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 650—Chapter 7.Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date This rule making will become effective on September 19, 2018. The following rule-making action is adopted:
ITEM 1. Amend rule 650—11.4(153) as follows:650—11.4(153) Graduates of foreign dental schools. In addition to meeting the other requirements for licensure specified in rule 650—11.2(147,153) or 650—11.3(153), an applicant for dental licensure who did not graduate with a DDS or DMD from an accredited dental college approved by the board must provide satisfactory evidence of meeting the following requirements. 11.4(1) The applicant must complete a full-time, undergraduate supplemental dental education program of at least two academic years at an accredited dental college. The undergraduate supplemental dental education program must provide didactic and clinical education to the level of a DDS or DMD graduate of the dental college.The program must consist of either: a. An undergraduate supplemental dental education program of at least two academic years. The undergraduate supplemental dental education program must provide didactic and clinical education to the level of a DDS or DMD graduate of the accredited dental college; or b. A postgraduate general practice residency program of at least one academic year. 11.4(2) The applicant must receive a dental diploma, degree or certificate from the accredited dental college upon successful completion of the program. 11.4(3) The applicant must present to the board the following documents: a. An official transcript issued by the accredited dental college that verifies completion of all coursework requirements of the undergraduate supplemental dental education program;Satisfactory evidence of completion of board-approved dental education at an accredited dental college; b. A dental diploma, degree or certificate issued by the accredited dental college or a certified copy thereof; c. A letter addressed to the board from the dean of the accredited dental college verifying that the applicant has successfully completed the requirements set forth in 11.4(1); d. b. A final, official transcript verifying graduation from the foreign dental school at which the applicant originally obtained a dental degree. If the transcript is written in a language other than English, an original, official translation shall also be submitted; and e. c. Verification from the appropriate governmental authority that the applicant was licensed or otherwise authorized by law to practice dentistry in the country in which the applicant received foreign dental school training and that no adverse action was taken against the license. 11.4(4) The applicant must demonstrate to the satisfaction of the board an ability to read, write, speak, understand, and be understood in the English language. The applicant may demonstrate English proficiency by submitting to the board proofevidence of a passing score on one of the following examinations:achieving a score sufficient to be rated in the highest level of ability on each section of the Test of English as a Foreign Language (TOEFL) as administered by the Educational Testing Service (ETS). a. Test of English as a Foreign Language (TOEFL) administered by the Educational Testing Service. A passing score on TOEFL is a minimum overall score of 550 on the paper-based TOEFL or a minimum overall score of 213 on the computer-administered TOEFL. b. Test of Spoken English (TSE) administered by the Educational Testing Service. A passing score on TSE is a minimum of 50. This rule is intended to implement Iowa Code chapterchapters 147 and153. [Filed 7/17/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3962CProfessional Licensure Division[645]Adopted and FiledRule making related to colleges and continuing education for chiropractic physicians
The Board of Chiropractic hereby amends Chapter 42, “Colleges for Chiropractic Physicians,” and Chapter 44, “Continuing Education for Chiropractic Physicians,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code sections 147.76, 151.11 and 272C.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapters 151 and 272C.Purpose and Summary These amendments remove outdated or redundant references and reduce the number of continuing education hours required per biennium.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on May 9, 2018, as ARC 3774C. A public hearing was held on May 29, 2018, at 8 a.m. in the Fifth Floor Conference Room 526, Lucas State Office Building, Des Moines, Iowa. Representatives of the Iowa Chiropractic Society were in attendance to support the amendments. No public comments were received. One change from the Notice has been made. A cross reference to the mandatory reporter training requirements was added to subrule 44.3(2).Adoption of Rule Making This rule making was adopted by the Board on July 11, 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 A waiver provision is not included in this rule making because all administrative rules of the professional licensure boards in the Division of Professional Licensure are subject to the waiver provisions accorded under 645—Chapter 18.Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date This rule making will become effective on September 19, 2018. The following rule-making actions are adopted:
ITEM 1. Rescind and reserve subrule 42.2(2). ITEM 2. Amend subrule 42.5(1) as follows: 42.5(1) The board shall approve a chiropractic physician to be a chiropractic physician preceptor if the chiropractic physician meets the following criteria: a. The chiropractic physician holds a current Iowa chiropractic license and has continuously held licensure in the United States for the previous five years prior to preceptorship; b. The chiropractic physician is currently fully credentialed by the sponsoring chiropractic college and approved by the board; and c. The chiropractic physician has not had any formal disciplinary action orhas not, within the past three years, been a party to a malpractice settlement or judgment within the past three yearswhich the board has determined to be disqualifying.The preceptor shall supervise no more than one chiropractic intern or one chiropractic resident for the duration of the preceptorship period. ITEM 3. Amend rule 645—42.6(151) as follows:645—42.6(151) Termination of preceptorship. A preceptorship shallmay terminate upon the occurrence of one of the following events: 42.6(1) Interns. The intern graduates from a board-approved college of chiropractic. 42.6(2) Residents. Twelve months have passed since the resident graduated from a board-approved college of chiropractic. 42.6(3) Formal disciplinary action is taken against the preceptor or the preceptor is a party to a final malpractice judgment or settlement agreement. ITEM 4. Amend rule 645—44.1(151) as follows:645—44.1(151) Definitions. For the purpose of these rules, the following definitions shall apply: "Active license" means a license that is current and has not expired. "Approved program/activity" means a continuing education program/activity meeting the standards set forth in these rules. "Audit" means the selection of licensees for verification of satisfactory completion of continuing education requirements during a specified time period. "Board" means theIowa board of chiropractic. "Clinical case management" means coursework pertaining to diagnosis, treatment, and appropriate referral or coordination of care. "Continuing education" means planned, organized learning actsmeeting the standards set forth in these rules, acquired during licensure, and designed to maintain, improve, or expand a licensee’s knowledge and skills in order for the licensee to develop new knowledge and skills relevant to the enhancement ofchiropractic practice, education, or theory development to improve the safety and welfare of the public. "Hour of continuing education" means at least 50 minutes spent by a licensee in actual attendance at and completion of an approved continuing education activity. "Inactive license" means a license that has expired because it was not renewed by the end of the grace period. The category of “inactive license” may include licenses formerly known as lapsed, inactive, delinquent, closed, or retired. "Independent study" means a subject/program/activity that a person pursues autonomously that meets standards for approval criteria in the rules and includes a posttest and certificate of completion. "License" means license to practicechiropractic in Iowa. "Licensee" means any person licensed to practice as a chiropractic physician in the state of Iowa. ITEM 5. Amend rule 645—44.2(272C) as follows:645—44.2(272C) Continuing education requirements. 44.2(1) The biennial continuing education compliance period shall extend for a two-year period beginning on July 1 of each even-numbered year and ending on June 30 of each even-numbered year two years later. EachStarting with the 2018-2020 biennium, each person who is licensed to practice as a licensee in this state shall be required to complete a minimum of 6040 hours of continuing education approved by the board. 44.2(2) Rescinded IAB 8/3/05, effective 9/7/05. 44.(3) 44.2(2) Requirements of new licensees. Those persons licensed for the first time shall not be required to complete continuing education as a prerequisite for the first renewal of their licenses with the exception of two hours in the content areas of Iowa Administrative Code,645—Chapters 4041 through 4645 and Iowa Code chapter 151. Continuing education hours acquired anytime from the initial licensing until the second license renewal, with the exception of two hours in the content areas of Iowa Administrative Code,645—Chapters 4041 through 4645 and Iowa Code chapter 151, may be used. The new licensee will be required to complete a minimum of 6040 hours of continuing education per biennium for each subsequent license renewal. 44.(4) 44.2(3) Hours of continuing education credit may be obtained by attending and participating in a continuing education activity. These hours must be in accordance with these rules. 44.(5) 44.2(4) No hours of continuing education shall be carried over into the next biennium except as stated in 44.2(3)44.2(2) and 44.3(2)“a”(3). A licensee whose license is reactivated during the current renewal compliance period may use continuing education earned during the compliance period for the first renewal following reactivation. 44.(6) 44.2(5) It is the responsibility of each licensee to finance the cost of continuing education. ITEM 6. Amend subrule 44.3(2) as follows: 44.3(2) Specific criteria. a. Continuing education hours of credit shall be obtained by completing: (1) At least 36 hours of continuing education credit obtained from a program that directly relates to clinical case management of chiropractic patients. Beginning with the July 1, 2014, to June 30, 2016, renewal cycle, atAt least 20 of these hours shall be earned by completing a program in which an instructor conducts the classby employing a traditional in-person, classroom-type presentation and the licensee is in attendance in the same room as that instructor. The remaining 16 hours of continuing education credit relating to clinical case management of chiropractic patients may be obtained by independent study, including any on-lineonline instruction, that complies with conditions specified in 645—44.1(151)44.3(1). (2) A minimum of two hours per biennium in professional boundaries regarding ethical issues related to professional conduct that may include but are not limited to sexual harassment, sensitivity training and ethics. (3) Starting with the 2006 renewal cycle, aA minimum of 12 hours per biennium of continuing education in the field of acupuncture if the chiropractic physician is engaged in the practice of acupuncture. Continuing education hours in the field of acupuncture earned between December 31, 2003, and June 30, 2004, up to a maximum of 12 hours may be used to satisfy licensure renewal requirements for either the 2004 or 2006 renewal cycle. The licensee may use the earned continuing education credit hours only once. Credit can not be duplicated for both the 2004 and 2006 compliance periods.Chiropractic physicians not engaged in the active practice of acupuncture may take continuing education hours in the field of acupuncture for continuing education credit. (4) Classes on child abuse and dependent adult abuse that meet the criteria in subrule645—subrules 41.8(4) and 44.3(1). (5) Two hours of continuing education credit at the time of the first biennial renewal period and one hour every biennial renewal period after that in the content areas of Iowa Administrative Code,the administrative rules related to chiropractic physicians in Iowa, found at645—Chapters 4041 through 4645 andthe statutory provisions specific to the practice of chiropractic in Iowa, found at Iowa Code chapter 151. b. Continuing education hours of credit may be obtained by: (1) Teaching at a Council on Chiropractic Education (CCE)-approved program or board of chiropractic-approved institution. A maximum of 15 hours per biennium may be obtained for each course taught. (2) Completing electronically transmitted programs/activities or independent study programs/activities that have a certificate of completion that meets criteria in 645—44.3(151,272C). (3) A licensee who is a presenter of a continuing education program that meets criteria in 645—44.3(151,272C) may receive credit once per biennium for the initial presentation of the program. (4) Completing continuing education that meets criteria in 645—44.3(151,272C) or a program provided by a CCE-accredited chiropractic college in the United States, the Iowa Chiropractic Society, American Chiropractic Association or International Chiropractors Association. (5) Completing continuing education courses/programs that are certified by the Providers of Approved Continuing Education (PACE) through the Federation of Chiropractic Licensing Boards (FCLB). (6) Proctoring at the NBCE examination. Fifteen hours of continuing education hours per NBCE examination event may be claimed up to a maximum of 30 hours of continuing education credit per biennium. The proctoring hours may apply toward the clinical requirement. c. Continuing education may not be obtained by completing or teaching classes in basic anatomy and physiology or undergraduate level coursework. [Filed 7/23/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3956CProfessional Licensure Division[645]Adopted and FiledRule making related to practice and discipline of chiropractic physicians
The Board of Chiropractic hereby amends Chapter 43, “Practice of Chiropractic Physicians,” and Chapter 45, “Discipline for Chiropractic Physicians,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code sections 147.76, 151.11 and 272C.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code chapters 147, 151, 272C and 514F.Purpose and Summary These amendments establish rules related to sexual misconduct and failure to maintain a patient record(s). The amendments also define electronic records and set forth reporting requirements for a chiropractic insurance consultant. All other changes are technical in nature.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on April 25, 2018, as ARC 3754C. A public hearing was held on May 15, 2018, at 7:30 a.m. in the Fifth Floor Conference Room 526, Lucas State Office Building, Des Moines, Iowa. No one attended the public hearing. No public comments were received. Three changes from the Notice were made. In Item 2, “of” was stricken in the phrase “of the location” in subrule 43.4(2) for clarity. Based on recommendations received from the Administrative Rules Review Committee and legal counsel, the Board did not adopt proposed subrule 45.2(34) on direct solicitation and revised new paragraph 45.2(28)“f” regarding doctor/patient relationships.Adoption of Rule Making This rule making was adopted by the Board on July 11, 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 A waiver provision is not included in this rule making because all administrative rules of the professional licensure boards in the Professional Licensure Division are subject to the waiver provisions accorded under 645—Chapter 18.Review by Administrative Rules Review Committee The Administrative Rules Review Committee, a bipartisan legislative committee which oversees rule making by executive branch agencies, may, on its own motion or on written request by any individual or group, review this rule making at its regular monthly meeting or at a special meeting. The Committee’s meetings are open to the public, and interested persons may be heard as provided in Iowa Code section 17A.8(6).Effective Date This rule making will become effective on September 19, 2018. The following rule-making actions are adopted:
ITEM 1. Amend rule 645—43.3(514F) as follows:645—43.3(151,514F) Utilization and cost control review. 43.3(1) ThePursuant to Iowa Code section 514F.1, the board shall establish utilization and cost control review (UCCR) committee(s). A UCCR committee shall be established by approval of the board upon a showing that the committee meets the requirements of this rule. The name of each committee and a list of committee members shall be on file with the board and available to the public. As a condition of board approval, each committee shall agree to submit to the board an annual report which meets the requirements of this rule. 43.3(2) Each member of a UCCR committee shall: a. Hold a current license in Iowa. b. Have practiced chiropractic in the state of Iowa for a minimum of five years prior to appointment. c. Be actively involved in a chiropractic practice during the term of appointment as a UCCR committee member. d. Have no pending disciplinary action, no disciplinary action taken during the three years prior to appointment, and no disciplinary action pending or taken during the period of appointment. e. Have no malpractice judgment awarded or settlement paid during the three years prior to appointment or during the period of appointment. f. Not assist in the review or adjudication of claims in which the committee member may reasonably be presumed to have a conflict of interest. g. Rescinded IAB 5/10/06, effective 6/14/06. 43.3(3) Procedures for utilization and cost control review. A request for review may be made to the UCCR committee by any person governed by the various chapters of Title XIII, subtitle 1, of the Iowa Code, self-insurers for health care benefits to employees, other third-party payers, chiropractic patients or licensees. a. There shall be a reasonable fee, as established by the UCCR committee and approved by the board, for services rendered, which will be made payable directly to the UCCR committee that conducts the review. Each UCCR committee approved by the board shall make a yearly accounting to the board. b. A request for service shall be submitted to the executive director of the UCCR committee on a submission form approved by the board, and shall be accompanied by the number of copies required by the UCCR committee. c. The UCCR committee shall respond in writing to the parties involved with its findings and recommendations within 90 days of the date the request for review was submitted. The committee shall review the appropriateness of levels of treatment and give an opinion as to the reasonableness of charges for diagnostic or treatment services rendered as requested. 43.3(4) Types of cases reviewed shall include: a. Utilization. (1) Frequency of treatment; (2) Amount of treatment; (3) Necessity of service; (4) Appropriateness of treatment. b. Usual and customary service. 43.3(5) Criteria for review may include but are not limited to: a. Was diagnosis compatible and consistent with information? b. Were X-ray and other examination procedures adequate, or were they insufficient or unrelated to history or diagnosis? c. Were clinical records adequate, complete, and of sufficient frequency? d. Was treatment consistent with diagnosis? e. Was treatment program consistent with scientific knowledge and with academic and clinical training provided in accredited chiropractic colleges? f. Were charges reasonable and customary for the service? 43.3(6) Confidentiality. Members of the UCCR committee shall observe the requirements of confidentiality imposed by Iowa Code chapter 272C. 43.3(7) Annual report. Each UCCR committee shall annually submit a report to the board, and shall meet to review that report with the board chairperson or designee upon the board’s request. The annual report shall include the following information: a. The fee to be charged the party requesting UCCR review. b. A report regarding the activities of the committee for the past year, including a report regarding each review conducted, the conclusions reached regarding that review, and any recommendations made following the review. 43.3(8) A conclusion or recommendation, or both, made by a UCCR committee does not constitute a decision of the board. ITEM 2. Amend subrule 43.4(2) as follows: 43.4(2) All licensees who review chiropractic records for the purposes of determining the adequacy or sufficiency of chiropractic treatments, or the clinical indication for those treatments, shall notify the board annuallyindicate on their licensure renewals that they are engaged in those activities and of the location where those activities are performed. ITEM 3. Amend subrules 43.10(4) and 43.10(8) as follows: 43 43.10 10(4) Electronic record keeping. When electronic records, which include both electronically created records and scanned paper records, are utilized, a chiropractic physician shall maintain either a duplicate hard-copy record or a backup electronic record. 43 43.10 10(8) Confidentiality and transfer of records. Chiropractic physicians shall preserve the confidentiality of patient records. Upon signed request of the patient, the chiropractic physician shall furnish such records or copies of the records as directed by the patient within 30 days. A notation indicating the items transferred, dateof transfer and method of transfer shall be maintained in the patient record. The chiropractic physician may charge a reasonable fee for duplication of records, but may not refuse to transfer records for nonpayment of any fees.A written request may be required before the transfer of the record(s), including, for example, compliance with HIPAA regulations. In certain instances, a summary of the record may be more beneficial for the future treatment of the patient; however, if a third party requests copies of the original documentation, that request must be honored. ITEM 4. Amend 645—Chapter 43, implementation sentence, as follows: These rules are intended to implement Iowa Code chapterchapters 147,151, 272C and 514F. ITEM 5. Amend rule 645—45.2(151,272C) as follows:645—45.2(151,272C) Grounds for discipline. The board may impose any of the disciplinary sanctions provided in rule 645—45.3(147,272C) when the board determines that the licensee is guilty of any of the following acts or offenses: 45.2(1) Fraud in procuring a license. Fraud in procuring a license includes, but is not limited to, an intentional perversion of the truth in making application for a license to practice in this state, which includes the following: a. False representations of a material fact, whether by word or by conduct, by false or misleading allegations, or by concealment of that which should have been disclosed when making application for a license in this state, or b. Attempting to file or filing with the board or the department of public health any false or forged diploma or certificate or affidavit or identification or qualification in making an application for a license in this state. 45.2(2) Professional incompetency. Professional incompetency includes, but is not limited to: a. A substantial lack of knowledge or ability to discharge professional obligations within the scope of practice. b. A substantial deviation from the standards of learning or skill ordinarily possessed and applied by other chiropractic physicians in the state of Iowa acting in the same or similar circumstances. c. A failure to exercise the degree of care which is ordinarily exercised by the average chiropractic physician acting in the same or similar circumstances. d. Failure to conform to the minimal standard of acceptable and prevailing practice of a chiropractic physician in this state. e. Inability to practice with reasonable skill and safety by reason of illness, drunkenness, excessive use of drugs, narcotics, chemicals, or other type of material or as a result of a mental or physical condition. f. Being adjudged mentally incompetent by a court of competent jurisdiction. g. Failure to maintain a patient’s record(s) for a minimum of six years after the date of last examination or treatment. Records for minors shall be maintained for one year after the patient reaches the age of majority (18) or six years after the date of last examination or treatment, whichever is longer. Proper safeguards shall be maintained to ensure the safety of records from destructive elements. This provision includes both clinical and fiscal records. 45.2(3) Knowingly making misleading, deceptive, untrue or fraudulent representations in the practice of the profession or engaging in unethical conduct or practice harmful or detrimental to the public. This includes representations utilizing the term “physical therapy” when informing the public of the services offered by the chiropractic physician unless a licensed physical therapist is performing such services. Nothing herein shall be construed as prohibiting a chiropractic physician from making representations regarding physiotherapy that may be the same as, or similar to, physical therapy or physical medicine as long as treatment is appropriate as authorized in Iowa Code chapter 151. Proof of actual injury need not be established. 45.2(4) Practice outside the scope of the profession. 45.2(5) Use of untruthful or improbable statements in advertisements. Use of untruthful or improbable statements in advertisements includes, but is not limited to, an action by a licensee in making information or intention known to the public which is false, deceptive, misleading or promoted through fraud or misrepresentation or representations that are likely to cause the average person to misunderstand. 45.2(6) Habitual intoxication or addiction to the use of drugs. 45.2(7) Obtaining, possessing, attempting to obtain or possess, or administering controlled substances without lawful authority. 45.2(8) Falsification of client records. 45.2(9) Acceptance of any fee by fraud or misrepresentation. 45.2(10) Negligence by the licensee in the practice of the profession. Negligence by the licensee in the practice of the profession includes a failure to exercise due care including negligent delegation of duties or supervision of employees or other individuals, whether or not injury results; or any conduct, practice or conditions which impair the ability to safely and skillfully practice the profession. 45.2(11) Conviction of a crime related to the profession or occupation of the licensee or the conviction of any crime that would affect the licensee’s ability to practice within the profession, regardless of whether the judgment of conviction or sentence was deferred. A copy of the record of conviction or plea of guilty shall be conclusive evidence. 45.2(12) Violation of a regulation or law of this state, another state, or the United States, which relates to the practice of the profession. 45.2(13) Revocation, suspension, or other disciplinary action taken by a licensing authority of this state, another state, territory, or country; or failure by the licensee to report in writing to the board revocation, suspension, or other disciplinary action taken by a licensing authority within 30 days of the final action. A stay by an appellate court shall not negate this requirement; however, if such disciplinary action is overturned or reversed by a court of last resort, the report shall be expunged from the records of the board. 45.2(14) Failure of a licensee or an applicant for licensure in this state to report any voluntary agreements restricting the practice of the profession in another state, district, territory or country. 45.2(15) Failure to notify the board of a criminal conviction within 30 days of the action, regardless of the jurisdiction where it occurred. 45.2(16) Failure to notify the board within 30 days after occurrence of any judgment or settlement of a malpractice claim or action. 45.2(17) Engaging in any conduct that subverts or attempts to subvert a board investigation. 45.2(18) Failure to comply with a subpoena issued by the board, or otherwise fail to cooperate with an investigation of the board. 45.2(19) Failure to comply with the terms of a board order or the terms of a settlement agreement or consent order. 45.2(20) Failure to pay costs assessed in any disciplinary action. 45.2(21) Submission of a false report of continuing education or failure to submit the biennial report of continuing education. 45.2(22) Failure to report another licensee to the board for any violations listed in these rules, pursuant to Iowa Code section 272C.9. 45.2(23) Knowingly aiding, assisting, procuring, or advising a person to unlawfully practice as a chiropractic physician. 45.2(24) Failure to report a change of name or address within 30 days after it occurs. 45.2(25) Representing oneself as a chiropractic physician when one’s license has been suspended or revoked, or when one’s license is on inactive status. 45.2(26) Permitting another person to use the licensee’s license for any purposes. 45.2(27) Permitting an unlicensed employee or person under the licensee’s control to perform activities requiring a license. 45.2(28) Unethical conduct. In accordance with Iowa Code section 147.55(3), behavior (i.e., acts, knowledge, and practices) which constitutes unethical conduct may include, but need not be limited to, the following: a. Verbally or physically abusing a patient, client or coworker. b. Improper sexual contact with, or making suggestive, lewd, lascivious or improper remarks or advances to a patient, client or coworker, regardless of the patient’s, client’s, or coworker’s consent. c. Betrayal of a professional confidence. d. Engaging in a professional conflict of interest. e. Engaging in a sexual or emotional relationship with a former patient when there is a risk of exploitation or harm to the patient, regardless of patient consent. f. Failing to terminate the doctor-patient relationship before dating or having a sexual relationship with a patient. Such termination shall be done in writing and signed by both the patient and the chiropractic physician and placed in the patient’s record. This paragraph shall not apply to a chiropractic physician who is treating the chiropractic physician’s spouse or to a sexual relationship that predates the initiation of the doctor-patient relationship. Further, a chiropractic physician shall not have consensual sexual relations with a former patient until three months after the termination of the doctor-patient relationship. 45.2(29) Failure to comply with universal precautions for preventing transmission of infectious diseases as issued by the Centers for Disease Control and Prevention of the United States Department of Health and Human Services. 45.2(30) Violation of the terms of an initial agreement with the impaired practitioner review committee or violation of the terms of an impaired practitioner recovery contract with the impaired practitioner review committee. 45.2(31) Unprofessional conduct or behavior. A chiropractor shall not exhibit unprofessional behavior in connection with the practice of chiropractic. Unprofessional behavior shall include, but not be limited to, the following acts: verbal abuse, coercion, intimidation, harassment, sexual advances, threats, degradation of character, indecent or obscene conduct, requesting patient records without a medical justification, and theft. 45.2(32) Failure to respond within 30 days of receipt of communication from the board which was sent by registered or certified mail. 45.2(33) Failure to maintain a patient’s record(s) for a minimum of six years after the date of last examination or treatment. Records for minors shall be maintained for one year after the patient reaches the age of majority (18) or six years after the date of last examination or treatment, whichever is longer. Proper safeguards shall be maintained to ensure the safety of records from destructive elements. This provision includes both clinical and fiscal records. [Filed 7/24/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3957CSoil Conservation and Water Quality Division[27]Adopted and FiledRule making related to water quality initiative
The Soil Conservation and Water Quality Division hereby amends Chapter 16, “Water Quality Initiative,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code section 161A.4(6).State or Federal Law Implemented This rule making implements, in whole or in part, 2018 Iowa Acts, Senate File 512, sections 23 and 24.Purpose and Summary These amendments update rules for the Water Quality Initiative to reflect changes made in 2018 Iowa Acts, Senate File 512, by adding new eligible practices. The amendments identify the applicable standards for urban infrastructure program projects. Additionally, the 50 percent cost-share limitation will not apply to edge-of-field practices and land use changes. Some technical updates are also made.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 20, 2018, as ARC 3847C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making This rule making was adopted by the Division on July 25, 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, a positive impact on jobs has been found. While the majority of the impact comes from the legislation, the rules provide clarity and ease of implementation of practices. 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.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 September 19, 2018. The following rule-making actions are adopted:
ITEM 1. Rescind the definition of “Eligible cost-share applicants” in rule 27—16.2(161A). ITEM 2. Amend rule 27—16.2(161A), definitions of “Funds” and “Nutrient reduction strategy,” as follows: "Funds" include the water quality initiative fund in Iowa Code section 466B.45, include the water quality infrastructure funds in 2018 Iowa Acts, Senate File 512, sections 23 and 24, and may include other moneys appropriated to the department from the environment first fund created in Iowa Code section 8.57A for cost sharing to match federal funds or other nongovernmental funds. "Nutrient reduction strategy" means the document createdand updated by the department, the department of natural resources, and Iowa State University of Science and Technology dated May 29, 2013in order to assess and reduce nutrients in watersheds. ITEM 3. Amend rule 27—16.3(161A) as follows:27—16.3(161A,466B) Cost share. TheExcept for edge-of-field practices and land use changes, the division’s share of the practice cost shall not exceed the lesser of 50 percent of the estimated cost of establishing the practice as determined by the division or 50 percent of the actual cost of the practice. ITEM 4. Amend rule 27—16.4(161A) as follows:27—16.4(161A,466B) Eligible practices. Only practices applied to agricultural crop and pasture land whose primary function is to improveimproves water quality will be eligible for funds. These practices are identified in the nutrient reduction strategy or by the division. Practices shall meet applicable Natural Resources Conservation Service conservation standards and specifications or applicable standards and specifications set out by the department.Urban infrastructure program projects shall meet the applicable standards in the Iowa storm water management manual published by the department of natural resources. Permanent practices eligible for funding include but are not limited to wetlands, bioreactors, and buffers, structures, land use changes, terraces, waterways and managed drainage systems. Management practices eligible for funding include but are not limited to cover crops and living mulches. Application may be made to the division for cost-share funding for individual cost-share practices or for targeted watershed demonstration projects. ITEM 5. Amend 27—Chapter 16, implementation sentence, as follows: These rules are intended to implement 20132018 Iowa Acts, House File 648, section 20, and Senate File 435, sections 8 and 10 and Iowa Code sections 466B.42 and 466B.45Senate File 512. [Filed 7/25/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3958CTelecommunications and Technology Commission, Iowa[751]Adopted and FiledRule making related to sole-source agreements
The Iowa Telecommunications and Technology Commission hereby amends Chapter 5, “Purchasing,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code section 8D.3.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code sections 8D.11 and 8D.13.Purpose and Summary This rule making will increase the Commission’s oversight and accountability of potential sole-source agreements being considered by the Iowa Communications Network. Specifically, the rule making will accomplish two things: (1) eliminate a general and overly broad justification for a sole-source agreement, and (2) require that any sole-source justification form be approved and signed by both the Executive Director and the Chief Financial Officer.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on May 9, 2018, as ARC 3781C. A public hearing was held on June 4, 2018. No one attended the public hearing. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making This rule making was adopted by the Commission on July 19, 2018.Fiscal Impact The Commission is unable to determine the number of potential agreements this rule making will impact and is therefore unable to determine if there will be any fiscal impact. 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.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 September 19, 2018. The following rule-making actions are adopted:
ITEM 1. Amend paragraphs 5.1(2)"g" and 5.1(2)"h" as follows: g. The item is maintenance services for the network for which the vendor supplies remote maintenance service for network components or software or the vendor supplies software upgrades, patches, modifications or the like electronically or for which the service will preserve equipment or software warranties; or. h. The executive director or the commission’s designee determines that the best interests of the commission will be served by exemption from the bidding process. ITEM 2. Amend subrule 5.1(3) as follows: 5.1(3) When the annual value of the contract exceeds $5,000 or when the estimated value of the multiyear contract in the aggregate, including renewals, is equal to or greater than $15,000, the commission shall complete a sole-source justification form. The executive director or the executive director’s designee shall sign the sole-source justification formThe sole-source justification form shall be reviewed, approved and signed by both the executive director and the chief financial officer before the commission proceeds with the sole-source procurement. [Filed 7/27/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3959CTelecommunications and Technology Commission, Iowa[751]Adopted and FiledRule making related to authorized use and users
The Iowa Telecommunications and Technology Commission hereby amends Chapter 7, “Authorized Use and Users,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted 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.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on April 11, 2018, as ARC 3723C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making This rule making was adopted by the Commission on July 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 Commission for a waiver of the discretionary provisions, if any, pursuant to 751—Chapter 9.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 September 19, 2018. The following rule-making action is adopted:
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. [Filed 7/27/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.ARC 3960CVeterinary Medicine Board[811]Adopted and FiledRule making related to veterinary technician examination fees
The Veterinary Medicine Board hereby amends Chapter 8, “Auxiliary Personnel,” Iowa Administrative Code.Legal Authority for Rule Making This rule making is adopted under the authority provided in Iowa Code section 169.5.State or Federal Law Implemented This rule making implements, in whole or in part, Iowa Code section 169.9.Purpose and Summary The amendment clarifies that if a veterinary technician state examination is given by a professional examination service, an additional fee may be charged. The rule currently states that a fee may be charged by a professional examination service for the national veterinary technician examination.Public Comment and Changes to Rule Making Notice of Intended Action for this rule making was published in the Iowa Administrative Bulletin on June 6, 2018, as ARC 3821C. No public comments were received. No changes from the Notice have been made.Adoption of Rule Making This rule making was adopted by the Board on July 25, 2018.Fiscal Impact This rule making has no fiscal impact to the State of Iowa. The state currently conducts the veterinary technician state examination. If a professional examination service conducted the examination and charged a fee, the fee would go to the company.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.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 September 19, 2018. The following rule-making action is adopted:
ITEM 1. Amend subrule 8.3(1) as follows: 8.3(1) An application fee in an amount determined by the board not to exceed $45 shall accompany the application to take the veterinary technician state examination; both the fee and the application must be received by the board at least 30 days before the examination. An additional fee shall be submitted for the veterinary technician national examination when a professional examination service is utilized by the board. The additional fee shall be the charges for the examination by the professional examination service plus administrative costs in an amount determined by the board. The fee for the veterinary technician state examination may be waived for qualifying military service personnel upon request. [Filed 7/25/18, effective 9/19/18][Published 8/15/18]Editor’s Note: For replacement pages for IAC, see IAC Supplement 8/15/18.