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Iowa Administrative

Code Supplement

Biweekly

August 30, 1995

PHYLLIS BARRY ADMINISTRATIVE CoDE EDITOR

KATHLEEN BATES DEPUTY EDITOR

PUBLISHED BY THE

~ STATE OF IOWA UNDER AUTHORITY OF IOWA CODE SECTION 17A.6

IAC Supp. PREFACE lAC 1/18/95

Since the Iowa Administrative Procedure Act [Iowa Code chapter 17A] took effect July I, 1975, over 100 agencies have complied with statutory requirements relating to rule making. The Code of Iowa is implemented by administrative rules contained in the "Iowa Administrative Code" which constitutes 18 loose-leaf volumes and one volume of Index.

Pursuant to Iowa Code section 17 A.6, the Iowa Administrative Code [lAC] Supplement is published biweekly, beginning July 14, 1975.

The Supplement contains replacement pages to be inserted in the loose-leaf lAC according to instructions in the respective Supplement. Replacement pages incorporate amendments to existing rules or entirely new rules which have been adopted by the agency and filed with the Administrative Rules Coordinator as provided in Iowa Code sections 7.17, 17A.4 to 17A.6. [It is necessary to refer to the Iowa Administrative Bulletin* to determine the specific change.] The Supplement may also contain new or replacement pages for "General Information," "Style and Form," "Chapter 17 A" and other governing statutes, "Uniform Rules," "Table of Rules Implementing Statutes," and "Index."

When formal Objections to rules are filed by the Administrative Rules Review Committee, Governor or Attorney General, the text will be published with the rule to which the Objection applies.

Any Delay by the Administrative Rules Review Committee of the effective date of filed rules will also be published in the Supplement.

Each page in the Supplement contains a line at the top similar to the following:

lAC 1/18/95 Revenue and Finance[701] Ch 39, p.21

This indicates a page in the IAC published on January 18, 1995. It relates to the Revenue and Finance Department, Agency No. 701, and is page 21 of Chapter 39.

If a rule appearing on this page is subsequently amended, it will be reprinted in amended form and the new page to be inserted will be included in a biweekly Supplement. The new page to be inserted will carry a later date, perhaps in this form:

lAC 211/95 Revenue and Finance[701] Ch 39, p.21

*Section 17A.6 has mandated that the "Iowa Administrative Bulletin" be published in pamphlet form. The Bulletin will contain Notices of Intended Action, Filed Rules, effective date Delays, Economic Impact Statements, and text of formal Objections to rules filed by the Administrative Rules Review Committee, Governor, or Attorney General.

In addition, the Bulletin shaH contain a11 Proclamations and Executive Orders of the Governor which are general and permanent in nature, as well as other materials which are deemed fitting and proper by the Committee.

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lAC Supp. 8/30/95 Instructions

INSTRUCTIONS FOR

Updating Iowa Administrative Code with Biweekly Supplement

Page 1

NOTE: Please review the "Preface" for both the Iowa Administrative Code and Biweekly Supplement and follow carefully the updating instructions.

The boldface entries in the left-hand column of the updating instructions correspond to the tab sections in the lAC Binders.

\.-) Obsolete pages of lAC are listed in the column headed "Remove Old Pages." New and replacement pages in this Supplement are listed in the column headed "Insert New Pages." It is important to follow instructions in both columns.

Editor's phone: (515) 281-3355 or (515) 281-8157

UPDATING INSTRUCTIONS August 30, 1995, Biweekly Supplement

[Previous Supplement dated 8116/95]

IOWA ADMINISI'RA TIVE CODE

Remove Old Pages• Insert New Pages

Utilities Division[199] Analysis, p. 5, 6 Ch 31, p. 1, 2

Analysis, p. 5, 6 Ch 31, p. 1 - Ch 31, p. 3

Libraries and Information Services Division[286] Analysis, p. 1 - Ch 2, p. 1

HUMAN SERVICES DEPARTMENT[441] Analysis, p. 11, 11a

Ch 52, p. 1 - Ch 52, p. 4 Ch 76, p. 7 - Ch 76, p. 9 Ch 79, p. 1, 2 Ch 79, p. 3a- Ch 79, p. 6a Ch 79, p. 18, 18a Ch 79, p. 31, 32 Ch 81, p. 9, 10 Ch 81, p. 59 Ch 83, p. 3, 4 Ch 83, p. 15- Ch 83, p. 17 Ch 109, p. 1- Ch 110, p. 1 Ch 130, p. 3 - Ch 130, p. 6 Ch 130, p. 11 Ch 150, p. 11, lla

Analysis, p. 1 - Ch 2, p. 1

Analysis, p. 11, 11a Ch 52, p. 1 - Ch 52, p. 4 Ch 76, p. 7 - Ch 76, p. 10 Ch 79, p. 1, 2 Ch 79, p. 3a- Ch 79, p. 6a Ch 79, p. 18, 18a Ch 79, p. 31 - Ch 79, p. 33 Ch 81, p. 9, 10 Ch 81, p. 59 Ch 83, p. 3, 4 Ch 83, p. 15- Ch 83, p. 17 Ch 109, p. 1 - Ch 110, p. 1 Ch 130, p. 3 - Ch 130, p. 6 Ch 130, p. 11 Ch 150, p. 11, lla

*It is recommended that "Old Pages" be retained indefinitely in a place of your choice. They may prove helpful in tracing the history of a rule.

Page 2 Instructions lAC Supp. 8/30/95

Remove Old Pages• Insert New Pages HUMAN SERVICES

DEPARTMENT[441] Ch 150. p. 20- Ch 151. p. 1 Ch 150. p. 20- Ch 151, p. 1 (Cont'd) Ch 156, p. 5, 6 Ch 156, p. 5, 6

Ch 156, p. 16. 17 Ch 156, p. 16, 17 Ch 170, p. 1- Ch 170, p. 4 Ch 170, p. 1- Ch 170. p. 4 Ch 170, p. 7, 8 Ch 170, p. 7, 8 Ch 177. p. 1. 2 Ch 177, p. 1, 2 Ch 177, p. 5, 6 Ch 177. p. 5, 6 Ch 185, p. 43-Ch 185, p. 46 Ch 185, p. 43-Ch 185, p. 46 Ch 201, p. 4-Ch 201, p. 6 Ch 201. p. 4-Ch 201, p. 6 Ch 202, p. 11-Ch 202, p. 13 Ch 202, p. 11-Ch 202. p. 13

LIVESTOCK HEALTH ADVISORY COUNCIL[S21] Ch 1, p. 1. 2 Ch 1, p. 1, 2

Natural Resource Commission[S71] Analysis, p.3-Analysis, p.5a Analysis, p.3-Analysis, p.5a

Ch 37. p. 1 - Ch 37, p. 3 Ch 37. p. 1 - Ch 37. p. 4 Ch 40, p. 3 - Ch 40, p. 6 Ch 40, p. 3 - Ch 40, p. 7 Ch 52, p. 3 - Ch 54, p. 1 Ch 52. p. 3 - Ch 54, p. 1 Ch 92, p. 1 - Ch 92, p. 3 Ch 92, p. 1 - Ch 92, p. 3 Ch 103, p. 1- Ch 106, p. 2 Ch 103, p. 1- Ch 106, p. 2 Ch 106, p. 5- Ch 106, p. 7 Ch 106, p.5-0bjection,l06.5(l)"b" Ch 110, p. 1, 2 Ch 110. p. 1, 2

PERSONNEL DEPARTMENT[S81] Ch 14, p. 8 Ch 14, p. 8

Ch21, p. 7, 8 Ch 21, p. 7 - Ch 21. p. 8 Ch 21. p. 29 Ch 21. p. 29

PETROLEUM UST FUND BOARD, IOWA COMPREHENSIVE[S91] Ch 10, p. 2 - Ch 10, p. 6 Ch 10, p. 2 - Ch 10, p. 6

Professional Licensure Division[64S] Ch 325, p. 6, 7 Ch 325, p. 6. 7

Ch 325, p. 24, 25 Ch 325, p. 24, 25

Index Volume "A" Tab, p. 11. 12 "A" Tab, p. 11- 12a "A" Tab. p. 19, 20 "A" Tab, p. 19, 20 "A" Tab, p. 29-32 "A" Tab, p. 29-32 "B" Tab, p. 1-4 "B" Tab, p. 1 - 4 "C" Tab, p. 19- 22 "C" Tab, p. 19- 22 "P" Tab, p. 17-22 "P" Tab, p. 17-22 "S" Tab, p. 1-6 "S" Tab, p. 1 - 6

*It is recommended that "Old Pages" be retained indefinitely in a place of your choice. They may prove helpful in tracing the history of a rule.

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lAC 8/30/95 Utilities[ 199) Analysis, p.5

CHAPTER 28 IOWA SUPPLEMENTAL ENERGY

CONSERVATION PLAN 28.1(476) Purpose and coverage 28.2(476) Definitions 28.3(476) Compliance and monitoring 28.4(476) Scope of benefits 28.5(476) Program announcements 28.6(476) Requirements for program

audits 28.7(476) Qualification of program audi-

tors 28.8(476) Listing 28.9(476) Arranging installation 28.10(476) Arranging financing 28.11 (476) Postinstallation inspection 28.12(476) Consumer grievance procedure 28.13(476) Customer billing, repayment of

loans, and termination of service

28.14(476) Accounting 28.15(476) Reporting 28.16( 476) Record keeping

CHAPTER 29 MANAGEMENT EFFICIENCY

STANDARDS 29.1(476) Policy and purpose 29.2(476) Efficiency considered in rate

case 29.3(476) Management efficiency

standards 29.4(476) Rewards and penalties 29.5(476) Annual reports of management

efficiency

CHAPTER 30 TAX REFORM REVENUE ADJUSTMENT 30.1(476) Applicability 30.2(476) General filing requirement 30.3(476) Revenue adjustment 30.4(476) Revised revenue requirement 30.5(476) Rate filing 30.6(476) Board approval

CHAPTER 31 ACCESS TO AFFILIATE RECORDS,

REQUIREMENTS FOR ANNUAL FILINGS, AND ASSET AND SERVICE

TRANSFERS 31.1(476) Applicability and definition of

terms 31.2(476) Availability of records 31.3(476) Annual filing 31.4(476) Verified copies and confidential

treatment 31.5(476) Comparable information 31.6( 476) Standards for costing service

transfers between regulated oper­ations and nonregulated affiliates

31. 7( 4 76) Standards for costing asset trans­fers between regulated operations and nonregulated affiliates valued at less than $2 million

31.8(476) Waivers

CHAPTER 32 REORGANIZATION

32.1(476) Applicability and definition of terms

32.2(476) Substantial part of a public utili­ty's assets

32.3(476) Declaratory rulings 32.4(476) Proposal for reorganization-

filing requirements 32.5(476) Effective date 32.6(476) Insufficient filing 32. 7(476) Additional information

authorized 32.8(476) Waivers 32.9(476) Procedural matters

CHAPTER 33 NONUTILITY ACTIVITIES-RECORD KEEPING AND COST ALLOCATIONS

33.1(476) Applicability 33.2(476) Definitions 33.3(476) Availability of records 33.4(476) Costing methodology 33.5(476) Cost allocation manuals 33.6(476) Standards for costing service

transfers within a regulated subsidiary or utility

33.7(476) Standards for costing asset transfers within a regulated subsidiary or utility.

Analysis, p.6 Utilities[ 199] lAC 10/26/94

CHAPTER 34 NONUTILITY SERVICE

34.1(476) Statement of purpose 34.2(476) Definition-nonutility service 34.3(476) Definition-systematic marketing

effort 34.4(476) Engaged primarily in providing

the same competitive nonutility services in the area-defined

34.5(476) Charges permitted 34.6(476) Procedures for utilization of bill­

ing and collection system 34. 7(476) Complaints

CHAPTER 35 ENERGY EFFICIENCY PLANNING

AND COST REVIEW 35.1(476) Policy and purpose 35.2(476) Definitions 35.3(476) Applicability 35.4(476) Schedule of filings 35.5(476) Required programs 35.6(476) Procedures 35. 7(476) Waivers 35.8(476) Energy efficiency plan re­

quirements 35.9(476) Additional requirements for

electric utilities 35.10(476) Additional requirements for gas

utilities 35.11(476) Additional filing requirements 35.12(476) Recovery of energy efficiency

expenditures and related costs

CHAPTER 36 ENERGY EFFICIENCY PLANNING

AND REPORTING FOR NONRATE-REGULATED

GAS AND ELECTRIC UTILITIES 36.1 (476) Nonrate-regulated utilities 36.2(476) Definitions 36.3(476) Schedule of filings 36.4(476) Joint filing of plans 36.5(476) Energy efficiency plan

requirements 36.6(476) Program selection criteria

CHAPTER 37 EQUIPMENT DISTRIBUTION

PROGRAM 37.1(477C) Policy and purpose 37.2(477C) Program structure 37 .3(477C) Eligibility 37 .4(477C) Equipment 37 .5(477C) Complaints

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lAC 8/30/95 Utilities[ 199)

CHAPTER 31 ACCESS TO AFFILIATE RECORDS,

REQUIREMENTS FOR ANNUAL FILINGS, AND ASSET AND SERVICE TRANSFERS

Ch3I,p.l

199-31.1(476) Applicability and definition of terms. This chapter applies to all rate-regulated gas or electric public utilities and rate-regulated telephone utilities providing local exchange telecommunication service. All terms used in this chapter shall be defined as the terms are defined in Iowa Code section 476.72 unless further defined in this chapter.

"Fully distrihwed cost" is a costing approach that fully allocates all current and embedded costs to determine the revenue contribution of regulated and nonregulated affiliate opera­tions.

"Net hook value" means the original purchase price minus depreciation.

199-31.2(476) Availability of records. 31.2(1) Separate records. All affiliates of the public utility shall maintain records which

are separate from the records of the public utility. 31.2(2) Records to be maintained. The records maintained by each affiliate and made avail­

able for inspection through the public utility shall include, but not be limited to: ledgers; balance sheets; income statements-both consolidated and consolidating; documents depicting accounts payable and vouchers; purchase orders; time sheets; journal entries; source and supporting documents for all transactions; all contracts, including summaries of unwritten contracts or agreements; a description of methods used to allocate revenues, expenses, and investments among affiliates or jurisdictions, including supporting detail; and copies of all filings required by other state and federal agencies.

31.2(3) Method of inspection. The records of each affiliate shall be made available to the board at the principal place of business of the public utility. Notwithstanding rule 199-18.3(476), upon receipt of a formal request in writing from the board for information, the public utility shall produce the requested information within seven days. Upon a showing of good cause, the board may approve additional time for response.

199-31.3(476) Annual filing. On or before June 30 of each year, all public utilities shall file with the board the following information:

1. Verified copies of all contracts, arrangements, or other similar transactions between the public utility and an affiliate made or entered into on or after July I, 1989, and verified copies or a verified summary of all contracts, arrangements, or other similar transactions between the public utility and an affiliate made or entered into prior to July 1, 1989, but in force and effect on or after July I, 1989. This includes all contracts or arrangements, or other similar transactions as required by Iowa Code subsections 476. 74(1) to 476. 74(4).

2. Contracts, arrangements, or other similar transactions with an affiliate where the con­sideration is not in excess of $50,000 or 5 percent of the capital equity of the utility, whichever is smaller, are exempt from this filing requirement. In lieu of the filing requirement, the pub­lic utility shall file on or before June 30 of each year a report of the total amount of each contract, arrangement, or other similar transactions with affiliates qualifying under this ex­emption. Each affiliate shall be identified separately.

31.3(1) After an initial filing under rule 31.3(476), a public utility shall file only new con­tracts or arrangements or other similar transactions and modifications or amendments to ex­isting contracts or arrangements, or other similar transactions on an annual basis. If there have been no new contracts or arrangements or other similar transactions, the public utility shall file a statement to that effect.

31.3(2) If a new affiliate is created, if an existing affiliate is dissolved or merged, if a con­tractual arrangement or other similar transactional relationship between the public utility and

Ch 31. p.2 Utiliticsl199l lAC 8/30/95

an affiliate is created, or if a contractual arrangement or other similar transactional relation­ship is terminated between the public utility or an affiliate, the public utility shall notify the board in writing within 30 days of the date of the event. This subrule does not apply if a proposal for reorganization pursuant to 199-Chapter 32 is to be filed with the board.

199-31.4(476) Verified copies and confidential treatment. 31.4(1) Verified copies. For purposes of this chapter, a copy is verified if it is accompa­

nied by an affidavit signed by a corporate officer with personal knowledge of the veracity of the copy. Only one affidavit signed by a corporate officer with personal knowledge of the veracity of the copy need be included in an individual filing in order to verify all contracts, arrangements, or other similar transactions included in the filing.

31.4(2) Confidential treatment. When a public utility files contracts, arrangements, or other similar transactions with the board, all such contracts or arrangements for which con­fidential treatment is sought shall be clearly marked. In addition to the requirements set out in 199-1.9(22), the public utility shall provide, at the time of filing with the board, a list desig­nating the contracts, arrangements, and other similar transactions, if any, for which confidential treatment is sought. The public utility shall designate where and to whom contracts, arrange­ments, and other similar transactions determined by the board to be confidential shall be returned.

199-31.5(476) Comparable information. For the purpose of satisfying the filing require­ments of this chapter, the public utility may request approval to file alternative but compara­ble information which the public utility files with other state or federal regulatory agencies. If the proposal is approved by the board, the public utility may file the information as a par­tial substitute for. or in lieu of, the information required by rule 31.3(476), and the board may provide that the public utility continue to file the approved alternative information in future filings. The public utility shall file the same information, whether it is the alternative information filed with other agencies, or the information required by rule 31.3(476), for at least five consecutive years. Proposals to file alternative information shall be filed by the public utility on or before December I of the year preceding the year for which approval is sought.

199-31.6(476)" Standards for costing service transfers between regulated operations and nonregulated affiliates.

31.6(1) Nonregulated aj]iliate prol'ides sen'ice to a regulated affiliate. The service shall be priced to the regulated affiliate's operations at the price charged to nonaffiliates. If no such price is available, the service shall be priced at the lower of fully distributed cost, the lowest price actually charged to other affiliates, or a market price of comparable services. If a mar­ket price of comparable services is not reasonably determinable, the service shall be priced at the lower of fully distributed cost or the lowest price actually charged to other affiliates. Under no circumstances shall the service be priced to a regulated affiliate's operations at a higher. cost than what the regulated affiliate actually paid the unregulated affiliate for the service.

31.6(2) Sen,ice is prodded by the utility to a nonregulated affiliate. Utility service shall be provided at the tariffed price. If it is not a tariffed service, the service shall be recorded at fully distributed cost.

199-31.7(476) Standards for costing asset transfers between regulated operations and nonregulated affiliates valued at less than $2 million.

31.7(1) Asset of a nonregulated affiliate transferred to a regulated affiliate. The asset trans­fer shall be recorded at the lesser of net book value, the price actually charged to affiliates or nonaffiliates, or the market price of comparable assets. Under no circumstances shall the asset be recorded at a cost higher than what the regulated affiliate actually paid for the asset.

lAC 8/30/95 Utilities[ 199] Ch 31, p.3

31.7(2) Asset of a regulated affiliate transfe1Ted to a nonregulated affiliate. The asset trans­fer to the nonregulatcd affiliate shall be recorded at the greater of net book value, a price actu­ally charged to other affiliates or nonaffiliates, or the market price of comparable assets.

199-31.8(476) Waivers. Any public utility may file an application for waiver of the require­ments of this chapter. The application shall include a detailed statement of why the waiver is in the public interest.

These rules are intended to implement Iowa Code sections 476.73 and 476.74. [Filed 1/4/91, Notice 8/8/90-published 1/23/91, effective 2/27/91]

[Filed 8/10/95, Notice 2/1/95-published 8/30/95, effective 10/4/95]

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lAC 8/30/95 Library/Information Services[286 J Analysis, p.l

LIBRARIES AND INFORMATION SERVICES DIVISION[286]

[Prior to 6/26/91, see Library Dc:panmen1(560) Ch I) [Prior to 3/30/94, sc:e Cultural Affairs Department(221), Library Division(224), Chs I and 6)

CHAPTER 1 ORGANIZATION AND OPERATION

1.1 (256) Definitions 1.2(256) Mission 1.3(256) Organization and operation 1.4(256) Information delivery 1.5(256) Access to library's collections 1.6(256) Collection policy of the library 1.7(256) Disposal of library materials

CHAPTER 2 PUBLIC RECORDS AND FAIR INFORMATION PRACTICES

2.1 ( 17 A,22) Definitions 2.3(17A,22) Requests for access to records 2.9(17A,22) Disclosures without the

consent of the subject 2.10( 17 A,22) Routine use 2.11 ( 17 A,22) Consensual disclosure of

confidential records 2.12(17 A,22) Release to subject 2.13(17 A,22) Availability of records 2.14(17 A,22) Personally identifiable

information 2.15(17 A,22) Other groups of records 2.16( 17 A,22) Data processing systems 2.17( 17 A,22) Applicability

CHAPTER 3 STATEWIDE PROGRAMS AND AGREEMENTS BACKGROUND

3.1(256) Iowa Resources and Information Sharing (IRIS)

3.2(256) Iowa Locator 3.3(256) Open Access 3.4(256) Access Plus 3.5(256) Iowa Fax Network 3 .6(256) In Service to Iowa: Public

Library Measures of Quality 3.7(256) Iowa Certification Program for

Public Librarians 3.8(256) Summer library program 3.9(256) Iowa Depository for Iowa

Publications Purpose

CHAPTERS 4 and 5 Reserved

CHAPTER 6 LIBRARY SERVICES AND

CONSTRUCTION ACT (LSCA) GRANT PROGRAM

6.1(256) Description 6.2(256) State LSCA advisory council 6.3(256) Grant process

Ch 1, p.l Library /Information Services[286]

CHAPTER 1 ORGANIZATION AND OPERATION

[Prior to 6126/91, see Library Department(560) Ch 11 [Prior to 3/30/94. see Cultural Affairs Departmcnt(221), Library Division (224) Ch I)

lAC 5/25/94

286-1.1(256) Definitions. The definitions used in Iowa Code chapters 17 A and 256 will apply for terms used throughout this chapter. In addition, the following definitions will apply:

"ADA, means the Americans with Disabilities Act of 1990. "Administrator, means the state librarian, who shall serve as the administrator of the divi-

sion of libraries of the department of education. "Department" means the department of education. "Director" means the director of the department of education. "LSCA •• means the Library Services and Construction Act Grant Program as defined by

P.L. 101-254 (1990). "State librarian'' means the chief operating officer of the state library. -.....,.,; "State library" means the library agency within the division of libraries of the department -

of education.

286-1.2(256) Mission. The mission of the state library is to promote excellence in libraries and library services to Iowans; foster the development of statewide cooperative services and shared resources among libraries; and meet the informational needs of the three branches of government and Iowa's medical and legal communities.

286-1.3(256) Organization and operation. 1.3(1) Location. The state library is located at East 12th Street and Grand A venue, Des

Moines, Iowa 50319; telephone (515)281-4105; fax (515)281-6191. Business hours are 8 a.m. to 4:30 p.m., Monday through Friday, excepting legal holidays.

1.3(2) Sections. The state library consists of eight sections: library development (includes ~ the Library Services and Construction Act Grant Program, library accreditation, library staff certification, Open Access, Access Plus, continuing education and consulting); networking (includes the Iowa Locator, the Iowa Fax Network, and Iowa Resources and Information Sharing (IRIS)); information services (includes the state medical, federal documents, state docu-ments, and patents depository collections); the state law library; technical services (includes the state documents depository program); the state data center; audiovisual services; and administration.

1.3(3) Commission on libraries. The commission on libraries consists of seven members as defined in Iowa Code section 256.52. The commission shall meet at a time and place specified by the chair. Notice of a meeting and the agenda will be posted at the state library at least ten days prior to the meeting and shall be mailed to any interested individual or organization upon request. The operation of commission meetings shall be governed by the following procedures: \._,I

a. A quorum shall consist of four members. b. Any action taken by the commission requires an affirmative vote by at least four members. c. Persons wishing to appear before the commission shall submit a written request to the

state librarian not less than 14 days prior to a meeting. Presentations shall be allowed at the discretion of the chair. Persons wishing to submit written material shall do so at least 14 days prior to a meeting so that commission members have adequate time to receive and evaluate the material.

d. Near the conclusion of each meeting, the chair shall set the date, time and location of the next meeting.

1.3(4) Minutes. Minutes of commission meetings are available for inspection at the state librarian's office during regular business hours. Copies of minutes are available upon request at no charge, allowing for reasonable transcription time. ~

lAC 8/30/95 Library/Information Services[286] Ch l,p.2

286-1.4(256) Information delivery. 1.4(1) Photocopies of library materials for Iowa residents. The state library will provide

library service to any resident of Iowa. To ensure the availability of high-demand library materials for in-house use, the state library may choose not to lend specific library items. In lieu of lending the original item, the library may choose to provide a photocopy of the re­quested material at a nominal charge. Fax and priority delivery services may also be request­ed by the borrower at additional expense.

1.4(2) Photocopies of library materials for nonresidents of Iowa. To encourage interstate resource sharing, the state library may enter into reciprocal free interlibrary loan photocopy agreements with out-of-state libraries. For other out-of-state businesses and residents, the state library will charge the following fees:

first 10 pages $ 5.00 minimum 11-20 6.50 21-30 8.00 31-50 10.00 over 50 10.00 plus 15¢ per page

Fax and priority delivery services may also be requested by the borrower at additional cost to the borrower.

This rule shall not preclude the state library from participating in interstate library com­pacts to support reciprocal resource sharing.

286-1.5(256) Access to library's collections. 1.5(1) The state library's materials collections are housed in the Historical Building, East

12th Street and Grand Avenue, Des Moines, and in the State Capitol Building. Both build­ings are listed on the National Register of Historic Places under the National Historic Preser­vation Act and are accessible to the disabled.

1.5(2) Primary research and study areas of the library's two locations are accessible to the disabled; however, upper tiers are generally closed to all public access. Staff may authorize access on a case-by-case basis or will retrieve materials requested by library users.

286-1.6(256) Collection policy of the library. Purpose is to define the intended coverage and clientele; establish collection management and selection policies; provide staff with the means to ensure consistency, responsiveness, and wise use of funds in collection building; as­sist in development of performance measures; establish priorities to guide budget allocations and cataloging and preservation decisions; and document the library's commitment to intellectual freedom.

SEE: Collection Policy. State Library of Iowa, May 28, 1993.

286-1.7(256) Disposal of library materials. 1.7(1) Purpose. Disposal of library materials shall be undertaken by the state librarian

only as a means of strengthening and benefiting the mission of the state library. Disposal shall not be used solely to generate operating funds for the library.

1.7(2) Definitions. "Deaccession" means permanent removal of materials from the state library's collections. "Library materials" includes, but is not limited to, books, journals, documents, audio visuals,

and software in any format. "State librarian" means the chief operating officer of the state library. "State librmy" means the library agency within the division of libraries of the department of

education. 1.7(3) Ethics. a. Disposal of materials shall be undertaken in an open, public manner conforming to

appropriate ethics guidelines.

ChI. p.3 Lihrary/1 nformation Services[2Htl] lAC 8/30/95

h. Ownership of deaccessioned materials shall not, under any circumstances, be transferred to or personally benefit any employee, spouse or immediate family member of an employee of the library.

1.7(4) Criteria. Materials may be deaccessioned from the collections of the state library if they are no longer deemed relevant and appropriate to the mission of the state library or if they have deteriorated beyond repair and usefulness.

1.7(5) Procedure. a. The appropriate unit supervisor shall recommend and justify in writing to the state

librarian those materials to be deaccessioned. h. The state librarian shall approve or disapprove those recommendations from the unit

supervisor. c. The method for disposition of the deaccessioned materials, including sales, donation or

destruction, shall be decided by the state librarian. 1.7(6) Limitations. a. Revenue from the disposition of any books or other library materials shall be credited to

the state library fund established by the treasurer of state. h. Proceeds shall be used solely for the purchase of books and other information resources

for the state library. c. Any balance in the fund on June 30 of the fiscal year shall remain in the state library fund

and shall not become part of the state's general fund. This rule is intended to implement Iowa Code section 25tl.52(3)"c." These rules are intended to implement Iowa Code sections 256.50 to 256.56.

[Filed 6/3/91, Notice 3/20/91-published 6/26/91, effective 7/31/91) [Filed emergency 3/3/94-published 3/30/94, effective 3/30/94]

[Filed 5/6/94, Notice 3/30/94-published 5/25/94, effective 6/29/94] [Filed emergency 8/10/95-published 8/30/95, effective 8/11/95)

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lAC 5/25/94, 8/30/95 Library/Information Scrvices[28oJ Ch 2. p.l

CHAPTER 2 PUBLIC RECORDS AND FAIR INFORMATION PRACTICES

The library division hereby adopts, with the following exceptions and amendments, rules of the Governor•s Task Force on Uniform Rules of Agency Procedure relating to public records and fair information practices, which are printed in the first Volume of the Iowa Administra­tive Code:

286-2.1(17A,22) Definitions. As used in this chapter: "Agency." In lieu of the words "(official or body issuing these Tules),, insert "library

division,,.

286-2.3(17A,22) Requests for access to records. 2.3(1) Location of record. In lieu of the words "(insert agency heady•, insert "state librar­

ian". Also in lieu of the words "(insert agency name and addressY', insert "State Librarian, State Library of Iowa, East 12th Street and Grand Avenue, Des Moines, Iowa 50319".

2.3(2) Office hours. In lieu of the words "(insert customary office hours of at least thirty hours per week, insert hours specified in Iowa Code section 22.4Y', insert "8 a.m. to 4:30 p.m., Monday through Friday, excepting legal holidays,.

286-2.9(17A,22) Disclosures without the consent of the subject. 2.9(1) Open records are routinely disclosed without the consent of the subject. 2.9(2) To the extent allowed by law, disclosure of confidential records may occur without

the consent of the subject. Following are instances where disclosure, if lawful, will generally occur without notice to the subject:

a. For a routine use as defined in rule 2.10(17 A,22) or in any notice for a particular record system.

b. To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record, provided that the record is trans­ferred in a form that does not identify the subject.

c. To another government agency or to an instrumentality of any governmental jurisdic­tion within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if an authorized representative of such govern­ment agency or instrumentality has submitted a written request to the agency specifying the record desired and the law enforcement activity for which the record is sought.

d. To an individual pursuant to a showing of compelling circumstances affecting the health or safety of any individual if a notice of the disclosure is transmitted to the last known address of the subject.

e. To the legislative fiscal bureau under Iowa Code section 2.52. f. Disclosures in the course of employee disciplinary proceedings. g. In response to a court order or subpoena.

286-2.10(17A,22) Routine use. 2.10(1) Defined. "Routine use" means the disclosure of a record without the consent of

the subject or subjects, for a purpose which is compatible with the purpose for which the record was collected. It includes disclosures required to be made by statute other than the public records law, Iowa Code chapter 22.

2.10(2) To the extent allowed by law, the following uses are considered routine uses of all agency records: ,

a. Disclosure to those officers, employees, and agents of the agency who have a need for the record in the performance of their duties. The custodian of the record may, upon request of any officer or employee, or on the custodian's own initiative, determine what constitutes legitimate need to use confidential records.

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lAC 9/1/93 Human Services[441] Analysis, p.11

101.10(218) Admission procedures 105.5(232) Staff \._) 101.11(218) Program assignment 105.6(232) Intake procedures

101.12(218) Individual care plan 105.7(232) Assessments 101.13(218) Special staffing 105.8(232) Program services 101.14 Reserved 105.9(232) Drug utilization and control 101.15(218) Grievance procedure 105.10(232) Control room-juvenile deten-101.16(218) Alleged child abuse tion home only 101.17(218) Temporary home visits 105.11(232) Clothing 101.18(218) Prerelease staffing 105.12(232) Staffings 101.19(218) Attorney contacts 105.13(232) Child abuse 101.20(244) Standards 105.14(232) Daily log

105.15(232) Children's rights CHAPTER 102 105.16(232) Discipline

'--" Reserved 105.17(232) Case files 105.18(232) Discharge

CHAPTER 103 105.19(232) Approval ELDORA TRAINING SCHOOL 105.20(232) Provisional approval

103.1(218) Definitions 105.21(232) Mechanical restraint-juvenile 103.2(218) Visiting detention only 103.3(218) Interviews and statements 105.22(232) Chemical restraint 103.4(218) Mail and packages 103.5(218) Use of buildings and grounds CHAPTER 106 103.6(218) Incoming phone calls Reserved 103.7(218) Resident employment 103.8(218) Tours CHAPTER 107 103.9(218) Acceptance CERTIFICATION OF

\.._) 103.10(218) Admission procedures ADOPTION INVESTIGATORS 103.11(218) Program assignment 107.1(600) Introduction 103.12(218) Individual care plan 107.2(600) Definitions 103.13(218) Special staffing 107 .3(600) Application 103.14(218) Detention 107.4(600) Requirements for certification 103.15(218) Grievance procedure 107.5(600) Granting, denial, or revocation 103.16(218) Alleged child abuse of certification 103.17(218) Temporary home visits 107.6(600) Certificate 103.18(218) Prerelease staffing 107.7(600) Renewal of certification 103.19(218) Attorney contacts 107.8(600) Investigative services 103.20(218,24-'J Standards 107.9(600) Retention of adoption records 103.21(218,242) Advisory committee 107 .10(600) Reporting of violations

\._,) 107.11 ( 600) Appeals

CHAPTER 104 Reserved CHAPTER 108

LICENSING AND REGULATION OF TITLE XII CHILD-PLACING AGENCIES

liCENSING AND APPROVED 108.1(238) Definitions STANDARDS 108.2(238) Licensing procedure

108.3(238) Administration and organization CHAPTER 105 108.4(238) Staff qualifications

COUNTY AND MULTICOUNTY 108.5(238) Staffing requirements JUVENILE DETENTION HOMES AND 108.6(238) Personnel administration

COUNTY AND MULTICOUNTY 108.7(238) Foster care services JUVENILE SHELTER CARE HOMES 108.8(238) Foster home studies

~ 105.1(232) Definitions 108.9(238) Adoption services 105.2(232) Buildings and grounds 108.10(238) Independent living placement 105.3(232) Personnel policies services 105.4(232) Procedures manual

Analysis, p.II a Human Services[441)

CHAPTER 109 CHILD CARE CENTERS

109.1(237A) Administration 109.2(237A) Records 109.3(237A) Health and safety policies 109.4(237A) Personnel 109.5(237A) Physical facilities 109.6(237A) Food services 109. 7(237A) Activity program requirements 109.8(237 A) Parental participation 109.9(237A) Licensure procedures 109.10(237A) Complaint file 109.11 (237 A) Get -well center 109.12(237A) Exclusion 109.13(237A) Definitions

CHAPTER 110 FAMILY AND GROUP

DAY CARE HOMES 110.1 (237 A) Definitions 110.2(237A) Application 11 0.3(237 A) Renewal 11 0.4(237 A) Issuance of certificate 110.5(237A) Standards 110.6(237A) List of registered homes 110. 7(237 A) Denials and revocations 110.8(237A) Complaints 11 0.9(237 A) Additional requirements for

group day care homes 110.10(237A) Compliance checks 110.11(237A) Parental access

lAC 8/30/95

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lAC 8/30/95 Human SeJVices[441]

CHAPTER 52 PAYMENT

(Prior to 7/1/83, Social Services[770), Ch 52) [Prior to 2/11/87, Human Services(498JI

Ch 52, p.l

441-52.1(249) Assistance standards. Assistance standards are the amounts of money allowed on a monthly basis to recipients of state supplementary assistance in determining financial need and the amount of assistance granted.

52.1(1) Protective living arrangement. The following assistance standards have been established for state supplementary assistance for persons living in a protective living arrangement:

Family life home certified under rules in 441-Chapter Ill. $476.20 care allowance

64.00 personal allowance $540.20 Total 52.1(2) Dependent relative. The following assistance standards have been established for

state supplementary assistance for dependent relatives residing in a recipient's home. a. Aged or disabled client and a dependent relative ............................ $687 b. Aged or disabled client, eligible spouse, and a dependent relative ............. $916 c. Blind client and a dependent relative ...................................... $709 d. Blind client, aged or disabled spouse and a dependent relative ................ $938 e. Blind client, blind spouse and a dependent relative .......................... $960 52.1(3) Residential care. Payment to a recipient in a residential care facility shall be made

on a flat per diem rate of $15.25 or on a cost-related reimbursement system with a maximum reimbursement per diem rate of $21.32. A cost-related per diem rate shall be established for each facility choosing this method of payment according to rule 441-54.3(249).

The facility shall accept the per diem rate established by the department for state supplemen­tary assistance recipients as payment in full from the recipient and make no additional charges to the recipient.

a. All income of a recipient as described in this subrule after the disregards described in this subrule shall be applied to meet the cost of care before payment is made through the state supplementary assistance program.

Income applied to meet the cost of care shall be the income considered available to the resi­dent pursuant to supplemental security income (SSI) policy plus the SSI benefit less the fol­lowing monthly disregards applied in the order specified:

(1) When income is earned, impairment related work expenses, as defined by SSI plus $65 plus one-half of any remaining earned income.

(2) Effective January I, 1995, a $64 allowance to meet personal expenses and Medicaid copay­ment expenses.

(3) When there is a spouse at home, the amount of the SSI benefit for an individual minus the spouse's countable income according to SSI policies. When the spouse at home has been determined eligible for SSI benefits, no income disregard shall be made.

(4) When there is a dependent child living with the spouse at home who meets the definition of a dependent according to the SSI program, the amount of the SSI allowance for a depen­dent minus the dependent's countable income and the amount of income from the parent at home that exceeds the SSI benefit for one according to SSI policies.

(5) Established unmet medical needs of the resident, excluding private health insurance premi­ums and Medicaid copayment expenses. Unmet medical needs of the spouse at home, exclu­sive of health insurance premiums and Medicaid copayment expenses, shall be an ~dditional

Ch 52, p.2 Human Services[441] lAC 5/13/92

deduction when the countable income of the spouse at home is not sufficient to cover those expenses. Unmet medical needs of the dependent living with the spouse at home, exclusive of health insurance premiums and Medicaid co payment expenses, shall also be deducted when the countable income of the dependent and the income of the parent at home that exceeds the SSI benefit for one is not sufficient to cover the expenses.

(6) The income of recipients of state supplementary assistance or Medicaid needed to pay the cost of care in another residential care facility, a family life home, an in-home health relat­ed care provider, a home and community based waiver setting, or a medical institution is not available to apply to the cost of care. The income of a resident who lived at home in the month of entry shall not be applied to the cost of care except to the extent the income exceeds the SSI benefit for one person or for a married couple if the resident also had a spouse living in the home in the month of entry.

b. Payment is made for only the days the recipient is a resident of the facility. Payment shall be made for the date of entry into the facility, but not the date of death or discharge.

c. Payment shall be made in the form of a grant to the recipient on a post payment basis.

d. Payment shall not be made when income is sufficient to pay the cost of care in a month with less than 31 days, but the recipient shall remain eligible for all other benefits of the program.

e. Payment will be made for periods the resident is absent overnight for the purpose of visitation or vacation. The facility will be paid to hold the bed for a period not to exceed 30 days during any calendar year, unless a family member or legal guardian of the resident, the resident's physician, case manager, or department service worker provide signed documen­tation that additional visitation days are desired by the resident and are for the benefit of the resident. This documentation shall be obtained by the facility for each period of paid absence which exceeds the 30-day annual limit. This information shall be retained in the resident's personal file. If documentation is not available to justify periods of absence in excess of the 30-day annual limit, the facility shall submit a Case Activity Report, Form AA-4166-0, to the county office of the department to terminate the state supplementary assistance payment.

A family member may contribute to the cost of care for a resident subject to supplementa­tion provisions at rule 441-51.2(249) and any contributions shall be reported to the county office of the department by the facility.

f. Payment will be made for a period not to exceed ten days in any calendar month when the resident is absent due to hospitalization. Payment will not be authorized for over ten days for any continuous hospital stay whether or not the stay extends into a succeeding month or months.

g. The per diem rate established for recipients of state supplementary assistance shall not exceed the average rate established by the facility for private pay residents.

( 1) Residents placed in a facility by another governmental agency are not considered private paying individuals. Payments received by the facility from such an agency shall not be included in determining the average rate for private paying residents.

(2) To compute the facility-wide average rate for private paying residents, the facility shall accumulate total monthly charges for those individuals over a six-month period and di­vide by the total patient days care provided to this group during the same period of time.

52.1(4) Blind. The standard for a blind recipient not receiving another type of state sup­plementary assistance is $22 per month.

S2.1(5) In-home health related ca;e. Payment to a person receiving in-home health related care shall be made in accordance with rules in 441-Chapter 177.

52.1(6) Minimum income level cases. The income level of those persons receiving old age assistance, aid to the blind, and aid to the disabled in December 1973 shall be maintained at the December 1973 level as long as the recipient's circumstances remain unchanged and that income level is above current standards. In determining the continuing eligibility for the minimum income level, the income limits, resource limits, and exclusions which were in effect in October 1972 shall be utilized.

lAC 5113192 Human Services[441] Ch 52, p.3

This rule is intended to implement Iowa Code sections 234.6, 234.38, 249.2, 249.3, 249.4, and 249A.4.

[Filed 2119176, Notice 1112176-published 318176, effective 4112176] [Filed emergency 619176-published 6128176, effective 7 11/76] [Filed emergency 7/29/76-published 8/23/76, effective 9/1176]

[Filed 9/29/76, Notice 8/23/76-published 10/20/76, effective 11124/76] [Filed 12/17/76, Notice 11/3/76-published 1112177, effective 3/1/77)

[Filed emergency 5/24/77-published 6/15/77, effective 7/1177) [Filed 3/27/78, Notice 2/8/78-published 4/19/78, effective 5/24/78]

[Filed emergency 5/8/78-published 5/31/78, effective 5/24/78] [Filed emergency6/28/78-published 7/26/78, effective 7 /1/78]

[Filed 7/17/78, Notice 5/31/78-published 8/9/78, effective 9/13/78] (Filed 11/7/78, Notice 4/19/78-published 11/29/78, effective 1/3/79]

[Filed emergency 6126179-published 7125119, effective 711179] [Filed emergency 6130180-published 7123180, effective 7 I 1 180] [Filed emergency 6130181-published 7122181, effective 7 I 1 181]

[Filed 2126182, Notice 10128181-published 3117182, effective 511/82] [Filed emergency 5121182-published 619182, effective 7/1 182] [Filed emergency 7/1182-published 7/21/82, effective 711/82]

[Filed 2125/83, Notice 115/83-published 3/16/83, effective 5/1183] [Filed emergency 6/17 /83-published 7/6/83, effective 7 /1183]

[Filed emergency 1017 /83-published 10/26/83, effective 1111/83] [Filed without Notice 1017183-published 10126183, effective 1211/83]

[Filed emergency 11118/83, after Notice 10112183-published 1217183, effective 111/84] [Filed 11118183, Notice 10112183-published 1217183, effective 2/1/84]

[Filed emergency 6115184-published 114184, effective 711/84] [Filed emergency 12111184-published 112185, effective 111/85] [Filed emergency 6114185-published 713185, effective 711185]

[Filed emergency after Notice 6114185, Notice 518185-published 713/85, effective 811185] [Filed emergency 10/1/85-published 10123185, effective 1111185]

[Filed without Notice 1011/85-published 10123/85, effective 1211/85] [Filed emergency 1212185-published 12118185, effective 111/86]

[Filed 1212185, N'otice 10123185-published 12118185, effective 211/86] [Filed emergency 6126186-published 7 I 16186, effective 7 I 1 186] [Filed emergency 12122186-published 1/14187, effective 111/87] [Filed emergency 1115187-published 2111187, effective 1115187] [Filed emergency 12110187-published 12130187, effective 111188]

[Filed emergency 619188-published · 6129188, effective 7 I 1 188] [Filed emergency 1218188-published 12128188, effective 111/89] [Filed emergency 619189-published 6128189, effective 711189]

[Filed 8117189, Notice 6128189-published 916189, effective 1111189] [Filed emergency 11116189-published 12113189, effective 111190]

[Filed 2116190, Notice 121 13189-published 317190, effective 511 /90] [Filed emergency 6120190-published 7 I 11190, effective 7 I 1 190]

[Filed 8116190, Notice 7111/90-published 915190, effective 1111/90] [Filed emergency 12113190-published 1/9191, effective 111191]

[Filed 12113190, Notice 10/31/90-published 119191, effective 311/91] [Filed 2114191, Notice 1/9191-published 316191, effective 511191] [Filed 4111191, Notice 316191-published 511191, effective 711191]

Nmc: Hi~tory fur Ch 52 continued on next P<~t!C.

Ch 52, p.4 Human Services[441) lAC 8/30/95

Wiled 9118191, Notice 7 124191-published 10/16191, effective 1211191) [Filed emergency 12111191-published 118192, effective 111192]

[Filed 12111191, Notice 10116191-published 118192, effective 311192]* [Filed 2113192, Notice 118192-published 314192, effective 511192] [Filed emergency 4115192-published 5113192, effective 4116192]

[Filed 4116192, Notice 1 18192-published 5113192, effective 7 I 1192] [Filed emergency 1211192-published 12123192, effective 111193]

[Filed 2110193, Notice 12123192-published 313193, effective 511193] [Filed emergency 6111193-published 717193, effective 711193]

[Filed 8112193, Notice 717193-published 911193, effective 1111193] [Filed emergency 12116193-published 115194, effective 111194]

[Filed 12116193, Notice 10127193-published 115194, effective 311194] [Filed 2110194, Notice 115194-published 312194, effective 511194]

[Filed emergency 6116194-published 716194, effective 711194] [Filed 8112194, Notice 716194-published 8131194, effective 1111194]

[Filed emergency 101 12194-published 1119194, effective 11/1194] [Filed emergency 12115194-published 114195, effective 111195]

[Filed 12115194, Notice 1119194-published 114195, effective 311195] [Filed 2/16/95, Notice 1/4/95-published 3/15/95, effective 5/1/95]

[Filed emergency 6/7/95-published 7/5/95, effective 7/1/95] [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

CHAPTER 53 (Ch 53, lOR 1973, renumbered as (700) Ch 7(

Reserved

•Effective date of 3/1/92 delayed until adjournment of the 1992 General Assembly by the Administrative Rule~ Review Commiuee at its mee1ing held February 3, 1992.

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lAC 8/30/95 Human Services[441} Ch 76, p.7

However, repayment of funds incorrectly paid to a nursing facility, a Medicare-certified skilled nursing facility, a psychiatric medical institution for children, an intermediate care facil­ity for the mentally retarded, or mental health institute enrolled as an inpatient psychiatric facility may be made by the client to the facility. The department shall then recover the funds from the facility through a vendor adjustment.

76.12(6) Appeals. The client shall have the right to appeal the amount of funds subject to recovery under the provisions of 441-Chapter 7.

76.12(7) Estate recovery. Pursuant to Iowa Code section 249A.5(2), medical assistance is subject to recovery from the estate of the recipient, a surviving spouse, or a surviving child as provided below.

a. The provision of medical assistance to a Medicaid recipient who is either 55 years of age or older or a resident of a nursing facility, intermediate care facility for the mentally retarded, or a mental health institute who cannot reasonably be expected to be discharged and return home creates a debt due the department from the recipient's estate for all medical assistance provided on the recipient's behalf on or after July 1, 1994, upon the recipient's death.

The department shall presume that a Medicaid recipient who is under 55 years of age and a resident of a nursing facility, intermediate care facility for the mentally retarded, or a mental health institute cannot reasonably be expected to be discharged and return home unless the recipient requests that the department determine whether the recipient can reasonably be ex­pected to return home. If a written request is made, the department shall determine whether the recipient can reasonably be expected to return home.

The department shall send notice to a Medicaid recipient who is under 55 years of age and a resident of a nursing facility, intermediate care facility for the mentally retarded, or a men­tal health institute that the recipient will be presumed to be unable to return home unless the recipient requests in writing within 30 calendar days of the date of the notice that a determina­tion be made whether the recipient can reasonably be expected to return home. If a request is made, the Iowa foundation for medical care (IFMC) shall make the determination and notify the recipient of the decision. Appeals of adverse decisions made by I FMC shall be directed first to IFMC for reconsideration. An appeal of an adverse reconsideration decision by I FMC shall then be directed to the department pursuant to 441-Chapter 7.

The request for review of an IFMC determination of whether the recipient can reasonably be expected to be discharged and return home shall be forwarded to IFMC by the department only after the person has resided in the care facility for a period of six consecutive months. If IFMC determines that the recipient could not reasonably be expected to be discharged and return home, IFMC shall provide information to the department regarding whether the client was ever reasonably expected to be able to return home within the first six months of institu­tionalization and the date the expectation and ability to return home ceased.

If the recipient is discharged from the facility and returns home before six consecutive months, no debt will be assessed for Medicaid payments made on the recipient's behalf for the time of the institutionalization.

If a client dies before six consecutive months of institutionalization, the family or other interested party may submit a written request to rebut the presumption that the recipient could reasonably have been expected to be discharged and return home. If I FMC determines that the recipient could not reasonably be expected to be discharged and return home, the family may appeal the adverse decision first to IFMC for reconsideration. An adverse recon­sideration decision by IFMC may then be appealed to the department pursuant to 441-Chapter 7. If the I FMC determination is overturned, no debt is due from the date of admis­sion or the effective date of a determination that the individual could not reasonably be expected to return home. If I FMC is upheld, a debt is due from the recipient's estate as of the date the recipient could not reasonably be expected to be discharged and return home.

Ch 76, p.8 Human Services[441] lAC 8/30/95

If the recipient fails to make the request within the 30 calendar days, the recipient may make a request at a later date. However, if the determination is then made that the recipient is reasona- \..._,) bly able to return home, assistance received before the date of the request is still subject to estate recovery.

b. The department shall waive the collection of the debt created under this subrule from the estate of the recipient to the extent that collection of the debt would result in either of the following:

(1) Reduction in the amount received from the recipient's estate by a surviving spouse, or by a surviving child who is under the age of 21, blind, or permanently and totally disabled at the time of the recipient's death.

(2) Creation of an undue hardship for the person seeking a waiver of estate recovery. Undue hardship exists when total household income is less than 200 percent of the poverty level for a household of the same size, total household resources do not exceed $10,000, and application of estate recovery would result in deprivation of food, clothing, shelter, or medical '....,! care such that life or health would be endangered as determined by the department on a case­by-case basis. For this purpose, income and resources shall be defined as under the family investment program.

(3) To apply for a waiver of estate recovery due to undue hardship, the person shall pro­vide a written statement and supporting verification to the department within 30 days of the notice of estate recovery pursuant to Iowa Code section 633.425.

Appeals of adverse decisions regarding an undue hardship determination may be filed in accordance with 441-Chapter 7.

c. If collection of all or part of a debt is waived pursuant to paragraph "b," subparagraph (I}, the amount waived shall be a debt due from the estate of the recipient's surviving spouse or blind or disabled child, upon the death of the spouse or child, or due from a surviving child who was under 21 years of age at the time of the recipient's death, upon the child's reaching the age of 21, to the extent the recipient's estate is received by the surviving spouse or child. '-.,.,/

d. Interest shall accrue on a debt due under this subrule at the rate provided pursuant to Iowa Code section 535.3, beginning six months after the death of a Medicaid recipient, sur-viving spouse, or surviving child, or upon the child's reaching the age of 21.

e. For these purposes, the "estate" of a Medicaid recipient, surviving spouse, or surviving child shall include all real property, personal property, or any other asset in which the recipient, spouse, or surviving child had any legal title or interest at the time of the recipient's, spouse's or child's death, or a child's reaching the age of 21, to the extent of the interest, including, but not limited to, interest in jointly held property and interests in trusts. All assets included in the estate of a Medicaid recipient, surviving spouse, or surviving child are subject to pro­bate for the purposes of medical assistance estate recovery pursuant to Iowa Code section 249A.5(2)"d.,

f The estate of an individual who is eligible for Medicaid under 441-subrule 75.5(5) shall not be subject to a claim for assistance paid on the recipient's behalf up to the amount of the "'--1 assets disregarded by asset disregard. Medicaid paid on behalf of the recipient prior to these conditions shall be recovered from the estate regardless of the recipient having purchased pre­certified or approved insurance.

g. If a county reimburses the department for medical assistance provided under this sub­rule and the amount of medical assistance is subsequently repaid through a medical assistance income trust or a medical assistance special needs trust as defined in Iowa Code section 633.707, the department shall reimburse the county on a proportionate basis.

The classification of debt for medical assistance paid pursuant to 249A.5, subsection 2, is defined at Iowa Code section 633.425.

\...!

lAC 8/30/95 Human Services[441) Ch 76. p.lJ

441-76.13(249A) Conversion to the X-PERT system. For conversion to the X-PERT sys­tem at a time other than review, the recipient may be required to provide additional informa­tion. To obtain this information, a recipient may be required to have an interview. Failure to respond for this interview when so requested, or failure to provide requested information, shall result in cancellation.

These rules are intended to implement Iowa Code sections 249.3, 249.4, 249A.4 and 249A.5. [Filed 3/11 /70]

[Filed 6/25/76, Notice 5/17176-published 7/12/76, effective 8/16176] [Filed II /5/82, Notice 8/ 18/82-published 11/24/82, effective I I I 183]

[Filed emergency I I 13/84-published 21 I 184, effective 218184] [Filed 5131184, Notice 4111184-published 6120/84, effective 8/1184] [Filed 8131184, Notice 6120184-published 9126184, effective II I I 184]

[Filed 9128184, Notice 8115184-published 10124184, effective 1211/84] [Filed 1011185, Notice 8114/85-published 10/23/85, effective 12/1/85]

[Filed 2121/86, Notice 1/1186-published 3/12/86, effective 511/86] {Filed 3/21/86, Notice 1/29/86-published 4/9/86, effective 6/1/86] [Filed 4/29/86, Notice 3/12/86-published 5/21/86, effective 8/1/86]

[Filed emergency 1/15/87-published 2/11/87, effective 1/15/87] [Filed 8/28/87, Notice 6/17/87-published 9/23/87, effective 11/1187] [Filed 9/24/87, Notice 8/12187-published 10/21187, effective 12/1/87]

[Filed 3/17/88, Notice 1/13/88-published 4/6/88, effective 6/1/88] [Filed 6/9/88, Notice 4/20/88-published 6/29/88, effective 9/1188] [Filed 2/16/89, Notice 12/28/88-published 3/8/89, effective 5/1189] [Filed 4/14/89, Notice 2/22/89-published 5/3/89, effective 7 11189] [Filed 7/14/89, Notice 5/31/89-published 8/9/89, effective 10/1/89]

[Filed 10/10/89, Notice 8/23/89-published 11/1/89, effective 111190] [Filed 11/16/89, Notice 9/20/89-published 12/13/89, effective 2/1/90]

[Filed 1117/90, Notice 8/23/90-published 2/7/90, effective 4/1/90]* [Filed 6/14/90, Notice 5/2/90-published 7/11/90, effective 9/1/90]

[Filed 11/14/90, Notice 10/3/90-published 12/12/90, effective 2/1191] [Filed 12113/90, Notice 10/31/90-published 1/9/91, effective 3/1/91] [Filed 4111/91, Notice 2120/91-published 5/1/91, effective 711/91]

[Filed 7/10/91, Notice 5/29/91-published 8/7/91, effective 10/1191] [Filed without Notice 9/18/91-published 10/16/91, effective 11/21/91]

[Filed emergency 10/10/91-published 10130/91, effective 11/21/91] [Filed 10/10/91, Notice 8121/91-published 10/30/91, effective 1/1192]

[Filed 1/16/92, Notice 9/18/91-published 2/5/92, effective 4/1/92] [Filed 1/16/92, Notice 11127/91-published 2/5/92, effective 4/1/92]

[Filed I 129/92, Notice 10/ 16191-published 2/19/92, effective 3/25/92] [Filed 2/13/92, Notices 12/25/91, 1 /8/92-published 3/4/92, effective 5/1 /92]

[Filed emergency 4116/92 after Notice 2/ 19/92-published 5113/92, effective 5/ I /92] [Filed emergency 6/11/92 after Notice 4/15/92-published 7/8/92, effective 7/1/92]

[Filed 6/11/92, Notice 4/15/92-published 7/8/92, effective 9/1192] [Filed emergency 7 I 17 /92-published 8/5/92, effective 8/ I /92]

[Filed 9/11/92, Notices 7/22/92, 8/5/92-published 9/30192, effective 12/1192] [Filed 7/14/93, Notice 5/12/93-published 8/4/93, effective 10/1193] [Filed emergency 9/17/93-published 10/13/93, effective 10/1/93]

[Filed 11/12/93, Notice 9/29/93-published 12/8/93, effective 2/1/94] [Filed 12116/93, Notice 10/13/93-p_ublished 1/5/94, effective 3/1194]

•Effecti\e date of~~ l/90 delayed 70 days by the Administrative Rules Review Committee at its March 12, 1990, meeting; delay lifted by thi~ Conuniuee, effective May II, 1990. ~OTE: History for Ch 76 continued on next page.

Ch 76, p.IO Human Services[441] lAC 8/30/95

[Filed 4/14/94, Notice 2!16/94-published 5/11194, effective 7/1194] U [Filed 10/12/94, Notices 8/17/94-published 11/9/94, effective 111/95] [Filed 2/16/95, Notice 11/23/94-published 3/15/95, effective 5/1/95] (Filed 8/10/95,Notice 6/21/95-published 8/30/95, effective 11/1/95]

v

u

u

u

lAC 9/1/93 Human Services[441]

CHAPTER 79 OTHER POLICIES RELATING TO PROVIDERS OF

MEDICAL AND REMEDIAL CARE !Prior to 7/1/83, Social Services(770), Ch 79)

Ch 79, p.1

441-79.1(249A) Principles governing reimbursement of providers of medical and health services. The basis of payment for services rendered by providers of services participating in the medical assistance program is either a system based on the provider's allowable costs of operation or a fee schedule. Generally, institutional types of providers such as hospitals and intermediate care facilities are reimbursed on a cost-related basis and practitioners such as physicians, dentists, optometrists, and similar providers are reimbursed on the basis of a fee schedule. Providers of service must accept reimbursement based upon the department's metho­dology without making any additional charge to the recipient.

79.1(1) Types of reimbursement. ~ a. Prospective cost-related. Providers are reimbursed on the basis of a per diem rate calcu­

lated prospectively for each participating provider based on reasonable and proper costs of operation. The rate is determined by establishing a base year per diem rate to which an annual index is applied.

b. Retrospective cost-related. Providers are reimbursed on the basis of a per diem rate cal­culated retrospectively for each participating provider based on reasonable and proper costs of operation with suitable retroactive adjustments based on submission of financial and statistical reports by the provider. The retroactive adjustment represents the difference between the amount received by the provider during the year for covered services and the amount deter­mined in accordance with an accepted method of cost apportionment (generally the Medicare principles of apportionment) to be the actual cost of service rendered medical assistance recipients.

\..,) c. Fee schedules. Fees for the various procedures involved are determined by the depart­ment with advice and consultation from the appropriate professional group. The fees are intended to reflect the amount of resources (time, training, experience) involved in each proce­dure. Individual adjustments will be made periodically to correct any inequity or to add new procedures or eliminate or modify others. If product cost is involved in addition to service, reimbursement is based either on a fixed fee, wholesale cost, or on actual acquisition cost of the product to the provider, or product cost is included as part of the fee schedule. Providers on fee schedules are reimbursed the lower of:

(1) The actual charge made by the provider of service. (2) The maximum allowance under the fee schedule for the item of service in question. Payment levels for fee schedule providers of service will be increased on an annual basis

by an economic index reflecting overall inflation as well as inflation in office practice expenses of the particular provider category involved to the extent data is available. Annual increases

\..,) will be made beginning July 1 , 1988. There are some variations in this methodology which are applicable to certain providers.

These are set forth below in subrules 79.1(3) to 79.1(9) and 79.1(15). Copies of fee schedules in effect for the providers covered by fee schedules can be obtained

by contacting the department's fiscal agent at the following address: PARAMAX, 1601 48th Street, Suite 110, West Des Moines, Iowa 50265, (515) 226-2200.

d.* Monthly fee for service. Providers are reimbursed on the basis of a payment for a month's provision of service for each client enrolled in a case management program for any portion of the month based on reasonable and proper costs for service provision. The fee will be determined by the department with advice and consultation from the appropriate profes­sional group and will reflect the amount of resources involved in services provision.

•Effective 1/1/89, lAB 12114/88

Ch 79, p.2 Human SeJVices[441)

79.1(2) Basis of reimbursement of specific provider categories.

Provider category

AIDS/HIV waiver service providers, including: 1. Counseling

Individual: Group:

2. Home health aide

3. Homemaker 4. Nursing care 5. Respite care

In-home: Out-of-home:.

(HCBS/MR waiver providers)

Ambulance

Ambulatory surgical centers

Area education agencies

Audiologists

Birth centers

Case management providers

Certified registered nurse anesthetists

Chiropractors

Basis of reimbursement

Fee schedule Fee schedule Retrospective cost­related Fee schedule Fee schedule

Fee schedule Prospective reimbursement Fee schedule See 79.1 (15)

Fee schedule

Base rate fee schedule as determined by Medicare. See 79.1(3)

Fee schedule

Fee schedule

Fee schedule

Retrospective cost­related

Fee schedule

Fee schedule

lAC 8/30/95

Upper limit

$9.80 per unit $39.20 per hour Maximum Medicare rate $18 per hour $9 per unit

$104 per day Limit for level of care $9.27 per hour

Ground ambulance: Fee schedule in effect 6/30/90 plus 2%. Air ambulance: A base rate of $200 ".._,) plus $7.50 per mile for each mile the patient is carried.

Rate determined by Medicare

Fee schedule in effect 6/30/90 plus 2%

Fee schedule in effect 6/30/90 plus 20Jo

Fee schedule in effect 6/30/90 plus 7.44% for obstetrical service

Retrospective rate

Fee schedule in effect 6/30/90 plus 1.6%

Fee schedule in effect 6/30/90 plus 20Jo

lAC 8/30/95 Human Setvices[441) Ch 79, p.3a

\.,) Basis of

Provider cate~or~ reimbursement UEEer limit

Home health agencies (Encounter services- Retrospective Maximum intermittent services) cost-related Medicare rate

(Private duty nursing Interim fee schedule Retrospective or personal care and with retrospective cost cost settling VCF vaccine administration settling based on according to for persons aged 20 and Medicare methodology Medicare under) methodology

\.,1 Hospices Fee schedule as determined Medicare cap

by Medicare (See 79.1(14)"d")

Hospitals Prospective reimburse- Reimbursement (Inpatient) ment. See 79.1(5) rate in effect

6!30!95 increased by4.2%

Hospitals Prospective reimburse- Ambulatory (Outpatient) ment for providers patient group

listed at 78.31 ( 1) "a" rate (plus an to "f." See 79.1(16) evaluation rate)

\.,.I in effect on 6/30/95 increased by 4.2%

Fee schedule for Rates in effect providers listed at on 6/30/95 78.31(1) "g" to "n." increased by 4.2% See 79.1(16)

Ch 79, p.4 Human Services[441] lAC 1/4/95

Basis of ~ Provider categorx reimbursement Upper limit

Ill and Handicapped Waiver service providers, including:

I. Homemakers Fee schedule $18 per hour

2. Home health aides Retrospective cost- Maximum related Medicare rate

for aide, maxi-mum Medicare rate for nurse '..,J

3. Adult day care Prospective P.O.S. contract reimbursement rate

4. Respite care providers, including:

(Home health Fee schedule $104 per day aide agency-in home) (Institutional- Prospective Limit for level hospital, nursing reimbursement of care \w,l facility, intermediate care facility for the mentally retarded-out of home)

(Foster group Prospective P .O.S. contract care-out of home) reimbursement rate

(Foster family Fee schedule Emergency care home-out of rate home) (See 156.11 (2)

{Camps-out of home) Fee schedule $115 per day ~

(HCBS/MR Fee schedule $9.27 per hour waiver providers) See 79.1(15)

Independent Fee schedule Fee schedule in laboratories See 79.1(6) effect 6/30/90

plus 2%

Intermediate care Prospective reim- Eightieth facilities for bursement. See percentile of the mentally retarded 441-82.5(249A) facility costs as

calculated from 12/31/93 cost

\.,.,) reports

lAC 8/30/95 Human Setvices[441] Ch 79, p.5

Basis of '-..) Provider categon: reimbursement u~~er limit

Maternal health Reasonable cost per Reasonable centers procedure on a cost in effect

prospective basis as 6/30/91 as determined by the determined by department based on the department financial and statistical data submitted annually by the provider group

Nurse-midwives Fee schedule Fee schedule in effect 6/30/95

~ plus5%

Nursing facilities: Seventieth per-I. Nursing facility care Prospective centile of facility

reimbursement. costs as calcu-See 81.10(1) and lated from 441-81.6(249A) 6/30/95 cost

reports

Ch 79, p.6 Human Services(441] lAC 8/30/95

Basis of Provider categor~ reimbursement Upper limit '.._,)

2. Skilled nursing care Prospective Facility base rate providers, including: reimbursement. per diems used on Hospital-based See 79.1(9) 6/30/95 inflated facilities by 4.6% subject to

maximum pay-ment rate at the sixtieth percentile of costs of all hospital-based skilled facilities

Freestanding Prospective reimburse- Facility base rate ".,J facilities ment. See 79.1 (9) per diems used on

6/30/95 inflated by 4.6% subject to maximum pay-ment rate at the sixty-ninth per-centile of costs of all freestanding skilled facilities

Opticians Fee schedule. Reimbursement Fixed fee for rate for

"....,! lenses and frames; provider in other optical effect 6/30/90 materials at for professional product acquisi- services plus tion cost 20Jo plus up to

3.2% for optometric products*

Optometrists Fee schedule. Reimbursement Fixed fee for rate for lenses and frames; provider in other optical effect 6/30/90 materials at for professional '....,; product acquisi- services plus tion cost 20Jo plus up to

3.2% for optometric products*

Orthopedic shoe Fee schedule Reimbursement dealers rate for

provider in effect 6/30/90 plus 2% plus up to 3.2% for materials* ~

Physical Fee schedule Fee schedule in therapists effect 6/30/90

plus 2%

lAC 8/30/95 Human Scrvices[441] Ch 79, p.6a

Basis of \..,) Provider categor~ reimbursement Upper limit

Physicians (doctors Fee schedule. Fee schedule in of medicine or See 79.1(7) effect 6/30/90 osteopathy) plus 1.60/o with

the exception of obstetrical serv-ices as defined by the depart-ment and pedi-atric primary care services as defined by the department. Pediatric serv-ices will receive a I 0% increase over the fee schedule in ef-feet on 6/30/92. Obstetrical serv-ices will receive a 5% increase over the rates in effect 6/30/95. EPSDT screen-ing services will receive a 5% increase over the rates in effect 6/30/94. The department may revise the fee schedule.

Podiatrists Fee schedule Fee schedule in effect 6/30/90 plus 2%

\,/ Prescribed drugs See 79.1(8) $4.02 or $6.25

dispensing fee (See 79.1 (8) "a .. and "d ")

n --

lAC 8/30/95 Human Services[441 ] Ch 79, p.IS

c. Nursing facilities providing skilled nursing care shall be classified as either hospital-based or free-standing (nonhospital-based). A hospital-based facility is under the management and administration of a hospital regardless of where the skilled beds are physically located.

d. Effective February 1, 1994, a ceiling of allowable cost shall be established at the sixtieth percentile for hospital-based facilities and the sixty-ninth percentile for free-standing facili­ties. The allowable cost shall be weighted by Medicare patient days. Effective July 1, 1995, the rates for each classification shall be inflated by 4.6 percent over the rates in effect June 30, 1995.

e. Nursing facilities enrolled in the Iowa Medicaid program on May 31, 1993, providing skilled nursing care and serving a disproportionate share of Medicaid recipients shall be exempt from the payment ceiling. Nursing facilities which enroll in the Iowa Medicaid program on or after June 1, 1993, provide skilled care, and serve a disproportionate share of Medicaid recipients shall have an upper limit on their rate not to exceed 150 percent of the ceiling for the class of skilled nursing facility.

For nursing facilities providing skilled nursing care, a disproportionate share of Medicaid recipients shall exist when the total cost of services rendered to Medicaid recipients in any one provider fiscal year is greater than or equal to 51 percent of the facility's skilled nursing allow­able cost for the same fiscal year. The department will determine which providers qualify for this exemption.

f. The current method for submitting billings and cost reports shall be maintained. All cost reports will be subject to desk review audit and, if necessary, a field audit.

g. Out-of-state nursing facilities providing skilled nursing services shall be reimbursed at the same level as in their state of residence.

h. Payment for outpatient services by certified skilled nursing facilities shall be made at the Medicare rate of reimbursement.

i. Rates for skilled nursing facilities shall be rebased every three years. 79.1(10) Prohibition against reassignment of claims. No payment under the medical

assistance program for any care or service provided to a patient by any health care provider shall be made to anyone other than the providers. However with respect to physicians, dentists or other individual practitioners direct payment may be made to the employer of the practitioner if the practitioner is required as a condition of employment to turn over fees to the employer; or where the care or service was provided in a facility, to the facility in which the care or service was provided if there is a contractual arrangement between the practitioner and the facility whereby the facility submits the claim for reimbursement; or to a foundation, plan or similar organization including a health maintenance organization which furnishes health care through an organized health care delivery system if there is a contractual agreement between organization and the person furnishing the service under which the organization bills or receives payment for the person's services. Payment may be made in accordance with an assignment from the provider to a government agency or an assignment made oursuant to a court order. Payment may be made to a business agent, such as a billing service or accounting firm, which renders statements and receives payment in the name of the provider when the agent's compensation for this service is (1) reasonably related to the cost or processing the bill­ing; (2) not related on a percentage or other basis to the dollar amounts to be billed or col­lected; and (3) not dependent upon the actual collection of payment. Nothing in this rule shall preclude making payment to the estate of a deceased practitioner.

79.1(11) Prohibition against factoring. Payment under the medical assistance program for any care or service furnished to an individual by providers as specified in 79.1(1) shall not be made to or through a factor either directly or by virtue of power of attorney given by the provider to the factor. A factor is defined as an organization, collection agency, or service bureau which, or an individual who, advances money to a provider for accounts receivable which have been assigned or sold or otherwise transferred including transfer through the use of power of attorney to the organization or individual for an added fee or reduction of a portion of the accounts receivable. The term factor does not include business representatives such as billing agents or accounting firms which render statements

Ch 79, p.18a Human Services[441] lAC 3/31/93

and receive payments in the name of the individual provider provided that the \._,) compensation of the business representative for the service is reasonably related to the cost of processing the billings and is not related on a percentage or other basis to the dollar amounts to be billed or collected.

79.1(12) Reasonable charges/or services, supplies, and equipment. For selected medical services, supplies, and equipment, including equipment servicing, which in the judgment of

\.,.I

\.w,l

\..,)

\.,.,)

\..,.)

~

~

"-"

\.,._)

lAC 213193 Human Services[441] Ch 79, p.31

[Filed 6115184, Notice 519184-published 114184, effective 911184] [Filed emergency after Notice 1111184, Notice 7118184-published 11121/84, effective 11/1/84]

[Filed 4129185, Notice 2127185-published 5122185, effective 711185] [Filed emergency 61 14185-published 713185, effective 7 I 1 185]

[Filed 8123185, Notice 7 13185-published 91 II 185, effective 11 I I 185] [Filed emergency 1011185-published 10123185, effective 1111185]

[Filed without Notice 1011185-published 10123185, effective 1211185] [Filed emergency 1212185-published 12118185, effective 1/1/86]

[Filed 1212185, Notice 1019185-published 12118185, effective 211186] [Filed 1212185, Notice 10123185-published 12/18185, effective 211/86]

[Filed I 122186, Notice 121 4185-published 2112186, effective 411 186] [Filed 2121186, Notices 12118185, 1/15186-published 3112186, effectiv~ 511186]

[Filed Emergency 6126186-published 7 I 16186, effective 7 I 1 186] [Filed 10117186, Notice 8127186-published 1115186, effective 1/1/87]

[Filed emergency 1/15187-published 2111187, effective 1115187] [Filed 313187, Notice 12131186-published 3125181, effective 511/87] [Filed 4129181, Notice 3111187-published 5120187, effective 711/87]

[Filed emergency 6119187-published 7115187, effective 711/87] [Filed 1124181, Notice 5120187-published 8112187, effective 1011/87]

[Filed emergency 8128187-published 9123181, effective 911187] [Filed 10123187, Notice 7115187-published 11/18187, effective 111/88] [Filed 10123187, Notice 8126187-published 11118187, effective 111/88] [Filed without Notice 11125187-published 12116187, effective 211/88] [Filed 11130187, Notice 1017187-published 12116187, effective 211188]

[Filed 12110187, Notice 10121187-published 12130187, effective 311/88*] [Filed 1121188, Notice 12116187-published 2110188, effective 411/88]

[Filed emergency 4128188, after Notice 3123188-published 5118188, effective 611/88] [Filed emergency 619188-published 6129188, effective 7 I I 188] 0

[Filed 912188, Notice 6129188-published 9121188, effective 11/1/88] [Filed emergency 10128188-published 11116188, effective 11/1188]

[Filed emergency 11123188 after Notices of 7113188, 9121188-published 12114188, effective 1211188, 1/1189]

[Filed emergency 12122188 after Notice of 11/16188-published 1111189, effective 111189] [Filed 12122188, Notices 111161880-published 1111189, effective 311/89]

[Filed emergency 619189-published 6128189, effective 7 11189] [Filed 7114189, Notice 4119189-published 819189, effective 10111~9] [Filed 8117189, Notice 6128189-published 916189, effective 1111189] [Filed 9115189, Notice 819189-published 1014189, effective 1211/89]

[Filed emergency 1110190 after Notice of 1014189-published 1110190, effective 111/90] [Filed I I 11190, Notice 8123190-published 2/7190, effective 411 190**]

[Filed emergency 2114190-published 311190, effective 411190] [Filed 4113190, Notice 11/29190-published 512190, effective 811190]

[Filed emergency 5111 190-published 5130190, effective 611 190] [Filed 5111190, Notice 414190-published 5130190, effective 811190]

[Filed emergency 6114190 after Notice 512190-published 7111190, effective 711190] [Filed emergency 6120190-published 7111190, effective 7/1190]

[Filed 7113190, Notice 5130190-published 818190, effective 1011190] [Filed 8116190, Notices 71111900-published 915190, effective 11/1190]

*Effective dale of 79.1 (2) and 79.1 (5) "t" delayed seventy days by the J\dminblrative Rules Review Commillee a1 ils January 191111, meeting. ••EJTective date of 4/1/90 delayed 70 day~ by the Administrative Rules Review Committee at its March 12, 1990, meeting; delay lifted by thb Committee, ctTel.'tive May II, 191JIJ. ')T\\0 ARC', Note: IJi,tory for Ch 79 continued on nc\t page.

Ch 79, p.32 Human Services[441) lAC 7/5/95, 8/30/95

[Filed 10/12/90, Notice 8/8/90-published 10/31/90, effective 2/11911 [Filed emergency 1117/91 after Notice 11128/90-published 2/6/91, effective 2/1191]

[Filed emergency 1117/91-published 2/6/91, effective 2/1191] [Filed 1/17/91, Notices 11/14/90, 11/28/90-published 2/6/91, effective 4/11911

[Filed emergency 2/22/91-published 3/20/91, effective 3/1/911 [Filed 3114/91, Notice 2/6/91-published 4/3/91, effective 6/11911 [Filed 5/17/91, Notice 4/3/91-published 6/12/91, effective 8/1/91]

[Filed emergency 6/14/91-published 7/10/91, effective 7/1/911 [Filed 6/14/91, Notices 3/20/91, 5/1191-published 7/10/91, effective 9/1/91***1

[Filed 7/10/91, Notice 5/29/91-published 817/91, effective 10/1/91] [Filed emergency 9/18/91 after Notice 7/24/91-published 10/16/91, effective 10/1/911

[Filed 9/18/91, Notices 7/10/91, 7/24/91-published 10/16/91, effective 12/1/91] [Filed 12/11/91, Notice 10/16/91-published 1/8/92, effective 3/1/92] [Filed 12/11/91, Notice 10/30/91-published 1/8/92, effective 3/1/92)

[Filed emergency 1116/92 after Notice 11/27/91-published 2/5/92, effective 3/1192****1 [Filed 2/13/92, Notice 1/8/92-published 3/4/92, effective 4/8/92]

[Filed emergency 4/15/92-published 5/13/92, effective 4/16/921 [Filed emergency 5/13/92 after Notice 411/92-published 6/10/92, effective 5/14/92]

[Filed emergency 6/12/92-published 7/8/92, effective 7/11921 [Filed 6/11192, Notices 3/18/92, 4/29/92-published 7/8/92, effective 9/1/92]

[Filed without Notice 6/11 /92-published 7/8/92, effective 9/1 /92] [Filed 8/14/92, Notice 7/8/92-published 9/2/92, effective 1111192]

[Filed emergency 9/11/92-published 9/30/92, effective 10/1/921 [Filed 9/11/92, Notice 7/8/92-published 9/30/92, effective 12/1/92]

[Filed 10/15/92, Notice 8/19/92-published 11/11/92, effective 111/93] [Filed 11/10/92, Notice 9/30/92-published 12/9/92, effective 2/1193]

[Filed emergency 12/30/92 after Notice 11/25/92-published 1/20/93, effective 1/1/93] [Filed 1114/93, Notice 11/11/92-published 2/3/93, effective 4/1/93] [Filed 3/11/93, Notice 1/20/93-published 3/31/93, effective 6/1/93] [Filed 4/15/93, Notice 3/3/93-published 5/12/93, effective 7/11931

[Filed emergency 5/14/93 after Notice 3/31193-published 6/9/93, effective 6/1/93] [Filed 5/14/93, Notice 3/31193-published 6/9/93, effective 8/1193]

[Filed emergency 6/11/93-published 7/7/93, effective 7/1193] [Filed 6/11193, Notice 4/28/93-published 717/93, effective 9/1/93]

[Filed emergency 6/25/93-published 7/21193, effective 7/1193] [Filed emergency 7/13/93 after Notice 5/12/93-published 8/4/93, effective 8/1193]

[Filed without Notice 8/12/93-published 9/1/93, effective 11/1/931 [Filed 8/12/93, Notices 4/28/93, 7/7/93-published 9/1/93, effective 11/1/931

[Filed 9/17/93, Notice 7/21/93-published 10/13/93, effective 12/1/931 [Filed 10/14/93, Notice 8/18/93-published 11/10/93, effective 111194] [Filed 11/12/93, Notice 9/29/93-published 12/8/93, effective 2/11941 [Filed 12/16/93, Notice 9/1193-published 115/94, effective 3/11941

[Filed 1112/94, Notice 11110/93-published 2/2/94, effective 4/1194] [Filed 3/10/94, Notices 1/19/94, 2/2/94:'-published 3/30/94, effective 6/1/94]

•••Effective date of subrule 79.1( 13) delayed until adjournment of the 1992 Session of the General Assembly by the Administrative Rules Review Committee at its meeting held July 12, 1991.

••••Effective date of 3/J/92 delayed until adjournment of the 1992 General Assembly by the Administrative Rules Review Commiuee at its meeting held February 3, 1992.

OTWOARCs NoTE: Hislury fur Ch 79 cuminued un next page.

\..,..I

~

'..._;

\,/

\._/

lAC 8/30/95 Human Services[441) Ch 79, p.33

[Filed emergency 6/16/94-published 7/6/94, effective 7/1/94] [Filed 9/15/94, Notice 7/6/94-published 10/12194, effective 12/1/94] [Filed 11/9/94, Notice 9/14/94-published 12/7/94, effective 211195]

[Filed 12/15/94, Notices 10/12/94, 11/9/94-published 1/4/95, effective 3/1/95] [Filed 3/20/95, Notice 2/1195-published 4/12/95, effective 6/1/95] (Filed 5/11/95, Notice 3/29/95-published 6/7/95, effective 8/1 /95)

[Filed emergency 6/7/95-published 7/5/95, effective 7/1/95) [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

0

lAC 8/30/95 Human Services[441] Ch 81, p.9

department of the date its fiscal year will end and of the reporting option selected. 81.6(16) Establishment of ceiling and reimbursement rate. a. An inflation factor will be considered in determining the facility's prospective payment

rate. The rate will be determined by using the change in the weighted average cost per diem of the compilation of various costs and statistical data as found in the two most recent reports of "unaudited compilation of various cost and statistical data." The percentage increase of this weighted average will be the basis for the next semiannual inflation factor. The inflation factor shall not exceed the amount by which the Consumer Price Index for all urban consumers increased during the preceding calendar year ending December 31, on an annual basis.

b. An incentive factor shall be determined at the beginning of the state's fiscal year based upon the June 30, 1986, "unaudited compilation of various costs and statistical data." The incentive factor shall be equal to one-half the difference between the forty-sixth percentile of allowable costs and the seventy-fourth percentile of allowable costs. Notwithstanding the fore­going, under no circumstances shall the incentive factor be less than $1 per patient day or more than $1.75 per patient day.

c. For nonstate-owned nursing facilities, the reimbursement rate shall be established by determining, on a per diem basis, the allowable cost plus the established inflation factor plus the established incentive factor, subject to the maximum allowable cost ceiling.

d. For nonstate owned nursing facilities, an additional factor in determining the reimburse­ment rate shall be arrived at by dividing total reported patient expenses by total patient days during the reporting period. Total patient days for purposes of this computation shall be in­patient days as determined in subrule 81.6(7) or 80 percent of the licensed capacity of the fa­cility, whichever is greater.

e. Beginning July 1, 1995, the basis for establishing the maximum reimbursement rate for non-state-owned nursing facilities shall be the seventieth percentile of participating facilities' per diem rates as calculated from the June 30, 1995, report of "unaudited compilation of var­ious costs and statistical data."

f. The per diem rate paid for skilled nursing care provided by a nursing facility certified under the Medicare program shall be established according to guidelines in subrule 79.1(9).

g. Facilities, both hospital-based distinct units and freestanding, which have beds certified as Medicare-skilled beds may participate in both the skilled care program and the nursing facility program. These facilities shall not need to submit Form AA-4036-0. The facility's costs shall not be used to calculate the maximum nursing facility rate. The nursing facility rate for these facilities shall be the maximum as established in subrule 81.6(16) or their skilled care rate, whichever is lower.

81.6(17) Nursing home reform rate adjustment. Nursing facilities participating in the Iowa Medicaid program may submit a budget of anticipated new costs associated with meeting the Omnibus Reconciliation Act of 1987, nursing home reform requirements, to obtain a nursing home reform rate adjustment effective October I, 1990.

a. In order to receive the rate adjustment, facilities shall submit the following information: (I) A budget of anticipated new costs shall be submitted on Form 470-2722, OBRA Adjust­

ment, which shall be comprised of a scheduling of direct care cost increases, such as nursing salaries and additional training or certification costs. The facilities shall also submit any ad­ditional OBRA costs and an explanation of each item. The cost estimates shall be those costs expected to occur during the period October I, 1990, through March 31, 1991. The form shall be provided by the department and shall be subject to review by the accounting firm under contract with the department.

(2) Form AA-4036-0, Financial and Statistical Report for Nursing Facilities, shall be sub­mitted within three months following the period ending September 30, 1990, which shall cover the period from July I, 1990, through September 30, 1990. This special cost report will estab­lish a cutoff date for pre-OBRA and post-OBRA costs.

(3) Form AA-4036-0 shall also be submitted within three months following the period end­ing March 31, 1991, covering the period October I, 1990, through March 31, 1991.

b. New rates shall be established effective October 1, 1990, for facilities submitting the re­quired reports based on actual reported costs plus the budgeted nursing home reform costs.

Ch 81. p.IO Human Services[441] lAC 8/8/90

Effective October I. 1990. the maximum reimbursement rate for all nursing facilities shall ~ be established at the seventy-fourth percentile of all facility costs based on cost reports on file June 30. 1990, and budgets on file August 31. 1990.

c. Nursing facility rates shall be adjusted effective April 1, 1991. based on the report of actual costs for the previous six-month period subject to the established maximum rate.

This rule is intended to implement Iowa Code sections 249A.2(6). 249A.3(2) "a," 249A.4. and 249A.16 and 1990 Iowa Acts. Senate File 2435, section 31, subsection 1.

441-81.7(249A) Continued review. The Iowa foundation for medical care shall be respon­sible for reviews for need of continued care in nursing facilities.

This rule is intended to implement Iowa Code sections 249A.2(6) and 249A.3(2) "a."

441-81.8(249A) Quality of care review. Rescinded lAB 8/8/90. effective 10/1/90.

441-81.9(249A) Records. 81.9(1) Content. The facility shall as a minimum maintain the following records: a. All records required by the department of public health and the department of inspec­

tions and appeals. b. Records of all treatments, drugs, and services for which vendors' payments have been

made or are to be made under the medical assistance program. including the authority for and the date of administration of the treatment, drugs. or services.

c. Documentation in each resident's records which will enable the department to verify that each charge is due and proper prior to payment.

d. Financial records maintained in the standard, specified form including the facility's most recent audited cost report.

e. All other records as may be found necessary by the department in determining compliance with any federal or state law or rule or regulation promulgated by the United States Department of Health and Human Services or by the department.

f. Census records to include the date, number of residents at the beginning of each day. names of residents admitted, and names of residents discharged.

(1) Census information shall be provided for all residents of the facility. (2) Census figures for each type of care shall be totaled monthly to indicate the number

admitted, the number discharged. and the number of patient days. (3) Failure to maintain acceptable census records shall result in the per diem rate being

computed on the basis of 100 percent occupancy and a request for refunds covering indicated recipients of nursing care which have not been properly accounted for.

g. Resident accounts. h. lnservice education program records. i. Inspection reports pertaining to conformity with federal, state and local laws. j. Residents' personal records. k. Residents' medical records. I. Disaster preparedness reports. 81.9(2) Retention. Records shall be retained in the facility for a minimum of three years

or until an audit is performed on those records, whichever is longer. 81.9(3) Cha11ge of ow11er. All records shall be retained within the facility upon change

of ownership. This rule is intended to implement Iowa Code sections 249A.2(6) and 249A.3(2) .. a."

441-81.10(249A) Payment procedures. 81.10(1) Method of payment. Facilities shall be reimbursed under a cost-related vendor

payment program. A per diem rate shall be established based on information submitted

lAC 8/30/95 Human Services[441] Ch 81, p.59

[Filed 10123187, Notice 7115187-published 11118187, effective 111188] [Filed 4122188, Notice 319188-published 5118188, effective 711188]

[Filed emergency 619188-published 6129188, effective 7 I I 188] [Filed 619188, Notice 4120188-published 6129188, effective 911188]

[Filed 10127188, Notice 8124188-published 11116188, effective 111/89] [Filed emergency 11/16188 after Notice 1015188-published 12114188, effective 111189]

[Filed emergency 618189, after Notice 2122189-published 6128189, effective 711189] [Filed emergency 619189-published 6128189, effective 7 I I 189]

[Filed 7114189, Notices 4/19189, 5131189-published 819189, effective 1011189] [Filed 8117189, Notice 6128189-published 916189, effective 1111189]

[Filed emergency 21 14190-published 317190, effective 21 14190] [Filed 3116190, Notice 11115190-published 414190, effective 611190]

[Filed emergency 6119190-published 1111190, effective 711190] [Filed 7 I 13190, Notices 317190, 5130190-published 818/90, effective 10/ I /90*)

[Filed 8/16/90, Notice 6/27190-published 915190, effective 1111190] [Filed 9128190, Notices 7111/90, 818190-published 10117190, effective 1211/90**]

[Filed emergency 11114190-published 12112/90, effective 1211/90] [Filed emergency 2122191-published 3120191, effective 311/91] [Filed emergency 6114191-published 7110191, effective 711/91]

[Filed 6114191, Notices 3120191, 511191-published 7110191, effective 911191] [Filed 7110191, Notice 5129191-published 817191, effective 1011191]

[Filed 9118191, Notices 1110191, 7124191-published 10/16191, effective 1211/91] [Filed 10110191, Notice 8121191-published 10130191, effective 111192]

[Filed 2113/92, Notice 118192-published 314192, effective 418192] [Filed without Notice 51 14192-published 6110192, effective 7 I 15/92***]

[Filed emergency 6112192-published 718192, effective 711192] [Filed 8114/92, Notice 718192-published 912192, effective 1111192]

[Filed 11110192, Notice 9130192-published 12/9192, effective 2/1193] [Filed 1114193, Notice 1219192-published 213193, effective 411/93]

[Filed 3111193, Notice 1/20193-published 3131/93, effective 611/93t] [Filed emergency 6111/93-published 111193, effective 711193]

[Filed 8112193, Notice 717193-published 911193, effective 11/1193] [Filed emergency 6116194-published 116194, effective 711/94]

[Filed 9115194, Notice 716194-published 10112194, effective 1211194] [Filed emergency 4112195-published 5110195, effective 4112195]

(Filed 4/13/95, Notice 3/l/95-published 5/10/95, effective 711/95] [Filed emergency 6/7/95-published 7/5/95, effective 7/1/95]

[Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

•Effective date of 81.16(4) delayed thirty days by the Administrative Rules Review Committee at its September 12, 1990 meeting; at the October 9, 1990, meeting the delay was extended to 70 days. Amendment effective 1211/90 superseded the 70·day delay.

••Effective date of 81.10(5) delayed until adjournment of the 1991 session of the General Assembly by the Administrative Rules Review <:ommincc at it' Non~mocr 13, 1990 m~-cting.

•••Effective date of 81.13(7) "c"(l) delayed se\·c:my days by the Administrative Rules Review Commiuec at its meeting held July 14. 1992; dela>: lifted by the Comminec at its meeting held August II, 1992, effective AuguM 12, 1992. tEffective date of 81.6(3), first unnumbered paragraph, delayed seventy days by the Administrative Rules Review Committee at its meeting held April S, 1993.

0

r-l ~,..._./.:

lAC 1/4/95 Human Services[441] Ch 83, p.3

a. Applications for the ill and handicapped waiver program shall be processed in 30 days unless the worker can document difficulty in locating and arranging services or circumstances beyond the worker's control. In these cases a decision shall be made as soon as possible.

b. Decisions shall be mailed or given to the applicant on the date when both service and income maintenance eligibility determinations are completed.

c. A client must be given the choice between ill and handicapped waiver services and in­stitutional care. The service worker shall have the client or guardian complete and sign Form 470-0660, Home and Community Based Service Report, indicating the clienCs choice of caregiver.

d. Waiver services provided prior to approval of eligibility for the waiver cannot be paid. 83.3(4) Effective date of eligibility. a. Deeming of parental income and resources ceases and eligibility shall be effective with

the month following the month in which a person requires care in a medical institution. b. Rescinded lAB 8/4/93, effective 8/1/93. c. Eligibility for persons covered under subrule 83.2(1)"~'(3) shall exist after the persons require

care in a medical institution for a full calendar month and shall be effective no earlier than the first day of that full calendar month.

d. Eligibility continues until the recipient has been in a medical institution for 30 consecu­tive days for other than respite care. Recipients who are inpatients in a medical institution for 30 or more consecutive days for other than respite care shall be terminated from model waiver services and reviewed for eligibility for other Medicaid coverage groups. The recipient will be notified of that decision through Form SS-1104-0, Notice of Decision. If the client returns home before the effective date of the notice of decision and the person's condition has not substantially changed, the denial may be rescinded and eligibility may continue.

83.3(5) Attribution of resources. For the purposes of attributing resources as provided in rule 441-75.5(249A), the date on which the waiver applicant met the level of care criteria in a medical institution as established by the peer review organization shall be used as the date of entry to the medical institution. Only one attribution of resources shall be completed per person. Attributions completed for prior institutionalizations shall be applied to the waiver application.

441-83.4(249A) Client participation. Persons must contribute their predetermined client participation to the cost of ill and handicapped waiver services.

83.4(1) Computation of client participation. Client participation shall be computed by deducting an amount for the maintenance needs of the individual which is 300 percent of the maximum SSI grant for an individual from the client's total income.

83.4(2) Limitation on payment. If the sum of the third-party payment and client partici­pation equals or exceeds the reimbursement established by the service worker, Medicaid will make no payments to model waiver service providers. However, Medicaid will make pay­ments to other medical vendors.

441-83.5(249A) Redetermination. A complete financial redetermination of eligibility for ill and handicapped waiver shall be completed at least once every 12 months.

A redetermination of continuing eligibility factors shall be made when a change in circum-

Ch H3, p.4 Human Services[441] lAC 8/30/95

stances occurs that affects eligibility in accordance with rule 441-83.2(249A). A redetermina- "....,; tion shall contain the components listed in rule 441-83.7(249A).

441-83.6(249A) Allowable services. Services allowable under the ill and handicapped waiver are homemaker services, home health services, adult day care services, and respite care services, as set forth in rule 441-78.34(249A).

441-83.7(249A) Case plan. A case plan shall be prepared for ill and handicapped waiver clients in accordance with rule 441-130.7(234). Case plans for adults shall be completed ev­ery 12 months and case plans for children shall be completed every 6 months. In addition, the case plan shall include the frequency of the ill and handicapped waiver services and the types of providers who will deliver the services.

441-83.8(249A) Adverse service actions. \..,I 83.8(1) Denial. An application for services shall be denied when it is determined by the

department that: a. The client is not eligible for or in need of services. b. Needed services are not available or received from qualified providers. c. Service needs exceed the aggregate monthly costs established in 83.2(2)"b,, or are not

met by the services provided. d. Needed services are not available or received from qualifying providers. 83.8(2) Termination. A particular service may be terminated when the department deter­

mines that: a. The provisions of 130.5(2)"a," "b," "c," "g," or "h" apply. b. The costs of the ill and handicapped waiver service for the person exceed the aggregate

monthly costs established in 83.2(2) "b." '..,.J c. The client receives care in a hospital, nursing facility, or intermediate care facility for

the mentally retarded for 30 days in any one stay for purposes other than respite care. d. The client receives ill and handicapped waiver services and the physical or mental condi­

tion of the client requires more care than can be provided in the client,s own home as deter­mined by the service worker.

e. Service providers are not available. 83.8(3) Reduction of services shall apply as in subrule 130.5(3), paragraphs "a, and "b.,

441-83.9(249A) Appeal rights. Notice of adverse action and right to appeal shall be given in accordance with 441-Chapter 7 and rule 441-130.5(234). The applicant or recipient is entitled to have a review of the level of care determination by the Iowa foundation for medical care by sending a letter requesting a review to the foundation. If dissatisfied with that decision, the applicant or recipient may file an appeal with the department. l....w/

441-83.10(249A) County reimbursement. The county board of supervisors shall reimburse the department for the state portion of the cost of ill and handicapped waiver services to per­sons aged 18 and over with mental retardation or mental illness with legal settlement in the county. The county shall enter into a Medicaid Home- and Community-Based Payment Agreement, Form MA-2171, with the department for reimbursement of services provided to persons aged 18 and over with mental retardation or mental illness.

These rules are intended to implement Iowa Code sections 249A.3 and 249A.4.

441-83.11(249A) Conversion to the X-PERT system. For conversion to the X-PERT system at a time other than review, the recipient may be required to provide additional information. To obtain this information, a recipient may be required to have an interview. Failure to respond for this interview when so requested, or failure to provide requested information, shall result \,.,./ in cancellation.

441-83.12 to 83.20 Reserved.

lAC 1/4/95 Human Services[441] Ch 83, p.l5

441-83.63(249A) Client participation. Persons who are eligible under the 300 percent group must contribute a predetermined client participation amount to the costs of the services.

83.63(1) Computation of client participation. Client participation shall be computed by deducting an amount for the maintenance needs of the individual which is 300 percent of the maximum SSI grant for an individual from the client's total income.

83.63(2) Limitation on payment. If the sum of the third-party payment and client partici­pation equals or exceeds the reimbursement for the specific HCBS waiver service, Medicaid will make no payments for the HCBS waiver service. However, Medicaid will make payments to other medical vendors.

441-83.64(249A) Redetermination. A redetermination of eligibility for HCBS/MR waiver services shall be completed at least once every 12 months.

A redetermination of continuing eligibility factors shall be made when a change in circum­stances occurs that affects eligibility in accordance with rule 441-83.61(249A).

441-83.65(249A) Certification. The consumer shall be assessed annually for HCBS/MR certification to determine need for long-term care services.

441-83.66(249A) Allowable services. Services allowable under the HCBS/MR waiver are supported community living, respite, personal emergency response system, nursing, home health aide, home and vehicle modifications and supported employment, as set forth in rule 441-78.41(249A).

441-83.67(249A) Individual comprehensive plan. An individual comprehensive plan shall be prepared and utilized for each HCBS/MR waiver consumer. The ICP shall be developed by the interdisciplinary team and include the consumer and, if appropriate, the legal represen­tative, consumer's family, case manager, service providers, and others directly involved. The ICP shall be stored by the case manager for a minimum of three years. The ICP staffing shall be conducted before the current ICP expires. The plan shall be in accordance with rule 441-24.44(225C) and shall additionally include the following information to assist in evalu­ating the program:

83.67(1) A listing of all services received by a consumer at the time of waiver program enrollment.

83.67(2) For supported community living consumers the plan shall include identification of: a. The consumers' living environment at the time of waiver enrollment. b. The number of hours per day of on-site staff supervision needed by the consumer. c. The number of other waiver consumers who will live with the consumer in the living unit. 83.67(3) Rescinded lAB 1/4/95, effective 3/1195. 83.67(4) An identification and justification of any restriction of a consumer's rights in-

cluding, but not limited to: a. Maintenance of personal funds. b. Self-administration of medications. 83.67(5) The name of the service provider responsible for providing the service. 83.67(6) The service funding source. 83.67(7) The amount of the service to be received by the consumer.

441-83.68(249A) Adverse service actions. 83.68(1) Denial. An application for services shall be denied when it is determined by the

department that: a. The applicant is not eligible for the services. b. Service needs exceed the service unit or reimbursement maximums. c. Service needs are not met by the services provided. d. Needed services are not available or received from qualifying providers.

Ch 83, p.I6 Human Services[441] lAC 8/30/95

e. The HCBS/MR service is not identified in the applicant's individual comprehensive plan (ICP).

f. There is another community resource available to provide the service or a similar service free of charge to the applicant that will meet the applicant's needs.

g. Completion or receipt of required documents by the department for the HCBS program applicant has not occurred.

83.68(2) Reduction. A particular service may be reduced when the department determines that the provisions of 441-subrule 130.5(3), paragraph "a" or "b," apply.

83.68(3) Termination. A particular service may be terminated when the department de-termines that:

a. The provisions of 441-subrule 130.5(2), paragraph "d," "g," or "h," apply. b. Needed services are not available or received from qualifying providers. c. The HCBS/MR service is not identified in the consumer's annual ICP. d. Service needs are not met by the services provided. e. Services needed exceed the service unit or reimbursement maximums. f. Completion or receipt of required documents by the department for the HCBS program

consumer has not occurred. g. The consumer receives services from other Medicaid waiver programs. h. The consumer or legal representative through the interdisciplinary process requests ter­

mination from the services.

441-83.69(249A) Appeal rights. Notice of adverse action and right to appeal shall be given in accordance with 441-Chapter 7 and rule 441-130.5(234). The applicant or consumer is entitled to have a review of the level of care determination by the Iowa foundation for medical care by sending a letter requesting a review to the foundation. If dissatisfied with that deci­sion, the applicant or consumer may file an appeal with the department.

441-83.70(249A) County reimbursement. The county board of supervisors of the consumer's county of legal settlement shall reimburse the department for all the nonfederal share of the HCBS/MR waiver service expenses to persons aged 18 and over. The county shall enter into a Medicaid Home- and Community-Based Payment Agreement, Form MA-2171, with the department for reimbursement of service provided to HCBS waiver consumers aged 18 and over.

441-83.71(249A) Conversion to the X-PERT system. For conversion to the X-PERT system at a time other than review, the recipient may be required to provide additional information. To obtain this information, a recipient may be required to have an interview. Failure to respond for this interview when so requested, or failure to provide requested information, shall result in cancellation.

These rules are intended to implement Iowa Code sections 249A.3 and 249A.4. ~ [Filed emergency 8/31/84-published 9/26/84, effective 10/1/84]

[Filed 1/22/86, Notice 12/4/85-published 2/12/86, effective 4/1/86] [Filed emergency 1/15/87-published 2/11/87, effective 1115/87]

[Filed emergency 5/13/88 after Notice 3/23/88-published 6/1/88, effective 6/1/88] [Filed 7/14/89, Notice 4/19/89-published 8/9/89, effective 10/1/89]

[Filed 3/16/90, Notice 2/7/90-published 4/4/90, effective 6/1/90] [Filed 4/13/90, Notice 11/29/89-published 5/2/90, effective 8/1/90]

[Filed emergency 6/13/90-published 7/11/90, effective 6/14/90] [Filed 10/12/90, Notice 8/8/90-published 10/31190, effective 2/1/91]

[Filed 1117/91, Notices 11/14/90, 11/28/90-published 2/6/91, effective 4/1191] [Filed emergency 5/17/91 after Notice of 4/3/91-published 6/12/91, effective 7/1/91]

NOTE: History for Chapter 83 continued on next page.

\..,J

\..._,!

\,)

'....,_;

~

lAC 8/30/95 Human Services[441) Ch 83, p.l7

[Filed 10/10/91, Notice 9/4/91-published 10/30/91, effective 1/1/92] [Filed emergency 1/16/92, Notice 11/27/91-published 2/5/92, effective 3/1/92]

[Filed 2/13/92, Notice 118/92-published 3/4/92, effective 5/1/92] [Filed emergency 6/ 12/92-published 7/8/92, effective 7 I 1 /92]

[Filed 7/17/92, Notice 5/13/92-published 8/5/92, effective 10/1192] [Filed 8/14/92, Notice 7/8/92-published 9/2/92, effective 11/1/92]

[Filed 9/11/92, Notice 7 /8/92-published 9/30/92, effective 12/1 /92] [Filed emergency 7/13/93 after Notice 5/12/93-published 8/4/93, effective 8/1/93]

[Filed 8/12/93, Notice 4/28/93-published 9/1/93, effective 11/1/93] [Filed 10/14/93, Notice 8/18/93-published 11/10/93, effective 1/1/94]

[Filed emergency 12/16/93 after Notice 10/27/93-published 1/5/94, effective 111/94] [Filed emergency 2/10/94 after Notice 115/94-published 3/2/94, effective 3/1/94] [Filed emergency 7/15/94 after Notic~ 6/8/94-published 8/3/94, effective 8/1194]

[Filed 11/9/94, Notice 9/14/94-published 12/7/94, effective 2/1/95] [Filed 12/15/94, Notice 11/9/94-published 1/4/95, effective 3/1 /95]

[Filed 2/16/95, Notice 11/23/94-published 3/15/95, effective 5/1195] [Filed 5/11/95~ Notice 3/29/95-published 6/7/95, effective 8/1 /95]

!Filed emergency 617/95-puhlished 7/5/95, effective 7/1/95] [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95)

~ ---

lAC 8/30/95 Human Services[441]

CHAPTER 109 CHILD CARE CENTERS

!Filed a' Chapter ION. 2/14/7:'\ ami rcnumhcrcd 7!1/7:'il (Prior 111 7/1/NJ. S11cial Sc•·vil:c,j770( Ch IIIIJ(

(l'ri11r 111 2!11/N7. I hunan Scrvicc,(.t1JXII

Nun:: Sec 1119.13 for definitions

441-109.1(237A) Administration.

Ch 109, p.l

109.1(1) lncm]JOration-copy to department. When a child care center is incorporated, a copy of the Certificate of Incorporation and bylaws relating to the child care center shall be submitted to the Iowa department of human services. In the event any amendments to the original bylaws arc adopted, a copy of said amendment or amendments shall be transmitted to the department of human services. Incorporated centers shall submit a statement of purpose and objectives. The plan and practices of operation shall be consistent with this statement.

109.1(2) Unincmporated celllers. Unincorporated child care centers shall submit a written statcment.of purposes and objectives to the department of human services. The plan and practices of operation shall be consistent with this statement.

109.1(3) Goveming board. A nonprofit child care center shall have a governing board which meets at least quarterly. The board or operating body shall formulate administrative rules and policies within the objectives and purposes of the center.

109.1(4) Board duties. The board or operating body of a nonprofit child care center shall provide for the operation of the center with staff which meets the minimum requirements established by the department; provide for revenue for financing of the center; and develop written job descriptions, personnel policies, and benefits.

109.1(5) Financial agreements. The child care center shall establish definite financial agreements and fcc policies for the children served.

109.1(6) Required policies. The child care center admission, intake, discharge, discipli­nary, and health policies shall be defined, formulated and implemented commensurate with the needs of the children and with the purpose of the program.

109.1 (7) Program administration. The child care center's program shall be appropriate to the developmental level of the children. Child care programs shall complement but not dupli­cate the school curriculum.

109.1(8) Staff orientation. The child care center operator, executive, or hoard shall pro­vide and carry out a written plan for staff orientation and ongoing training and development. Orientation shall include, but is not limited to, the policies and procedures of the center and the provisions in 441-Chapter I 09 applicable to the particular staff person.

109.1 (9) Program deFelopment. The child care center operator, executive, or hoard shall be responsible for the center's administration and for the development of programs that accommodate the needs of the children.

109.1 (10) MandatOI)' reporta\·. Requirements and procedures for mandatory reporting of suspected child abuse and neglect shall be posted where they can he read by staff and parents. Methods of identifying and reporting suspected child abuse and neglect shall be discussed with all staff within 30 days of employment.

109.1(11) Rescinded, effective April I, 1988. 109.1(12) Heme/hook. A copy of the Child Day Care Centers and Preschools Licensing

Standards and Procedures, Form SS-0711, or a notice stating that a copy is available upon request from the center director shall he conspicuously posted. The name, office mailing address and telephone number of the day care consultant shall also he conspicuously posted.

109.1 ( 13) Certificate of license. The day care license shall be posted in a conspicuous place in the center and shall state the particular premises in which child day care may be offered and the number of individuals who may be received for care at any one time. No greater number of children than is authorized by the license shall be kept in the center at any one time.

Ch 109, p.2 Human Services[441] lAC 8/30/95

441-109.2(237A) Records. The child care center shall keep records and reports on the ~ staff, including all those persons counted in the child/staff ratio; the children; center finances; and attendance.

109.2(1) Personnel records. Personnel records shall contain: a. Employment information, including age, education, and previous work history. b. A statement signed by each individual that there has been no conviction by any law of

any state involving lascivious acts with a child, child neglect, or child abuse. c. Rescinded lAB 8/30/95, effective 11/1/95. d. A physical examination report or religious exemption waiver. Personnel shall have good

health as evidenced by a preemployment examination, including testing for communicable dis­eases, taken within six months prior to beginning employment by a licensed physician and repeated at least every three years thereafter.

e. Professional growth and development information showing the following minimum staff \.. 1

training requirements are met: ....,. (I) During their first six months of employment, all staff shall receive two hours of manda-

tory reporter training. (2) During their first year of employment, all staff 18 years of age or older shall receive the

following training: I. Certification in American Red Cross or American Heart Association infant, child, and

adult cardiopulmonary resuscitation (CPR) or equivalent certification approved by the department.

2. Certification in American Red Cross infant, child, and adult first aid or equivalent cer­tification approved by the department.

3. Ten hours of training inclusive of the following topical areas: development, guidance and discipline, appropriate practices, health and safety, communication skills, professionalism, and ethics. \wl

(3) Following their first year of employment, all staff 18 years of age or older shall main­tain current certification for infant, child, and adult CPR, infant and child first aid, and mandatory reporter training and receive six contact hours of training annually in appropriate topical areas.

f Salary and benefit records. g. A copy of Request for Non-Law Enforcement Record Check, Form 595-1396. This form

shall be completed by the center and forwarded to the department within three business days of the start of employment.

h. A copy of Request for Child Abuse Information, Form SS-1606-0. i. Information showing certification of a minimum of two hours of training relating to the

identification and reporting of child abuse pursuant to Iowa Code section 232.69 within six months of employment and every five years thereafter.

109.2(2) Child's file. An individual file for each child shall be maintained in the center and -....,; updated annually or when the center becomes aware of changes and shall contain:

a. Enrollment information including an emergency telephone number for the parent; the name, telephone number, and relationship to the child of a responsible person who can be reached when the parent cannot; and next of kin.

b. Name, street address, city, and telephone number of the child's regular source of health care.

c. Physical examination report which shall include allergies and restrictive conditions. d. Parent permission for center-sponsored field visits. e. Permission to secure emergency care and written plan of procedure signed by the parent. f Incident reports for the child. g. Any professionally prescribed treatment. h. Written permission from the parent for children to attend specific noncenter activities \.....~

away from the child care facility. The permission shall include:

lAC 8/30/95 Human Services(441)

(I) Times of departure and arrival. (2) Destination. (3) Persons who will be responsible for the child.

Ch 109, p.3

i. Written authorization by the parent for any person who shall be allowed to take the child from the center. The authorization shall include the name, telephone number, and relation­ship of the authorized person to the child. The authorization shall be obtained for a period not to exceed 12 months.

109.2(3) /nummization card'i. Signed and dated immunization cards provided by the state department of public health shall be on file for each child enrolled.

109.2(4) Emergency telephone numbers. A separate file or listing of emergency telephone numbers for each child shall be maintained near the telephone.

109.2(5) Rescinded lAB 8/30/95, effective 11/1/95. 109.2(6) Rescinded, effective April I, 1988. 109.2(7) Daily activities. For each child under 18 months of age, the center shall make a

daily written record of the child's activities during the day in each of these areas: a. The amount of time the child has slept. b. The amount of food consumed and the times at which the child has eaten. c. The time of and any irregularities in the child's bowel movements. d. Rescinded lAB 8/30/95, effective 11/1/95. At the end of the child's day at the center, the daily written record shall be provided ver­

bally or in writing to the parent or the person who picks up the child.

44l-109.3(237A) Health and safety policies. The child care center shall establish definite health policies, including, but not limited to:

109.3(1) Physical examination. a. Preschool-age children. For each preschool-age child, the child care center shall require,

on the first day of attendance, an admission physical examination report signed by a licensed physician or designee in a clinic supervised by a licensed physician. The date of the physical shall be no more than 12 months prior to the first day of attendance at the center. The writ­ten report shall include past health history, status of present health, and recommendations for continued care when necessary. A statement of health condition signed by a physician or designee shall thereafter be submitted annually from the date of the admission physical.

b. School-age children For each school-age child, the child care center shall require, on the first day of attendance, documentation of a physical examination that was completed at the time of school enrollment or thereafter. A copy of the most recent school physical examina­tion and immunization record shall be acceptable.

c. Religious exemption. Nothing in this rule shall be construed to require medical treatment or immunization for staff or the minor child of any person who is a member of a church or reli­gious organization which is against medical treatment for disease. In these instances, an offi­cial statement from the organization shall be incorporated in the record.

109.3(2) Medical and dental. The child care center shall have a written plan for medical and dental emergencies and written consent of the parent for emergency care of the children.

a. The director or administrator shall designate a person or persons to administer all med­ications. Staff of the center so designated shall administer no medication to any child without the parent's written authorization.

b. All medications shall be stored properly and, when refrigeration is required, shall be stored in a separate covered container so as to prevent contamination of food or other med­ications. All medications shall be stored so they are inaccessible to children.

c. Parental authorization shall be on file for each nonprescription and prescription med­ication and shall be dated for the period for which the medication is to be administered. For every day the authorization is in effect and the child is in attendance, there shall be a notation

Ch 109, p.4 Human Setvices[441] lAC 8/30/95

of administration including the name of the medicine, date, time, dosage given or applied, and the initials of the person administering the medication or the reason the medication was not ~ given.

d. In the case of ongoing, long-term medication administrations, authorization shall he obtained for periods not to exceed 30 days.

e. Each prescribed medication shall he accompanied by a physician's or pharmacist's direc­tion and, for both nonprescription and prescription medications, shall be in the original con­tainer with directions intact and labeled with the child's name.

109.3(3) Daily contact. Each child shall have direct contact with a staff person upon the child's arrival for early detection of apparent illness, communicable disease, or unusual con­dition or behavior which may adversely affect the child or the group. The center shall visibly post notice of exposure of a child receiving care by the center to a communicable disease, the symptoms, and the period of communicability.

109.3(4) Quiet area for ill or injured. A quiet area under supetvision shall be provided for a child who appears to be ill or injured. The parents or a designated person shall be notified ~ of the child's health status.

109.3(5) Toilet articles. Individual towels, paper or cloth, and facilities for keeping them shall be provided. If individual toilet articles are provided, they shall be kept in a sanitary manner. Toothbrushes shall be stored so the bristles arc upright, separate from one another, and exposed to the air to dry. When toothpaste is used, it shall be applied in a manner that is sanitary and prevents the spread of disease.

109.3(6) Emergency plans. Emergency plans for fire, tornado, and flood (if area is sus­ceptible to floods) shall be written and visibly posted by all program and outdoor exits. Emergency plans shall include written procedures, diagrams, and specific considerations for immobile children. Emergency plan procedures shall be practiced and documented at least once a month for fire and for tornado. Emergency plan procedures for fire shall be practiced by varying the exits, class times, and hours of operation. Records on the practice of fire and \...,) tornado drills shall be maintained for the current and previous year.

Facilities shall also have written plans for reporting and evacuating in case of earthquakes, blizzards, power failures, or other disasters that could create structural damages to the facili­ty or pose health hazards. The facility shall also include procedures for staff training on these emergency plans.

109.3(7) Recording incidents. Incidents resulting in injury to a child shall be reported on the day of the incident in writing to the parent or person authorized to pick up the child. The written report shall be prepared by the staff member who obsetved the incident and shall include a general description of the incident and of the action taken, if any, by the staff at the center. One copy of the report shall be retained for the center records and one copy shall be given to the parent.

109.3(8) Smoking. During hours of operation, smoking shall not be allowed in any pro-gram area, child-occupied room, or facility-operated vehicle. Smoking shall never be allowed ~ in food preparation or storage areas.

109.3(9) Staff hand washing. Caretakers shall wash their hands with soap and running water and dry with individual paper or cloth towels or a forced air dryer at the following times:

a. Upon arrival at the center. b. Immediately before eating or participating in any food setvice activity. c. After diapering a child. d. Before leaving the restroom either with a child or by themselves. e. After handling animals and cleaning cages. 109.3( 10) Children's hand washing. Children at the facility shall have their hands washed

with soap and running water and dried with individual paper or cloth towels or a forced air dryer. A separate cloth for washing and for rinsing may be used in place of running water for children unable to usc hand-washing procedures using running water due to their disabilities. \.-..1 Children's hands shall be washed at the following times:

lAC 8/30/95 Human SeJVices[441] Ch 109, p.5

a. Immediately before eating, or participating in any food seJVice activity. b. After using the restroom or being diapered. c. After handling animals. 109.3(ll) First-aid kit. A clearly labeled first-aid kit shall be available to staff at all times

whenever children arc in care, including while on field trips. The kit shall include, but is not limited to, adhesive bandages, bulky bandages, bandage tape, bandage scissors, antiseptic cleansing materials, antiseptic ointment, tweezers, disposable nonporous gloves, and dispos­able cold pack. The kit shall be stored in an area inaccessible to children.

109.3(12) Seat belts. All children transported in a motor vehicle, except a school bus or other vehicle weighing more than five tons as exempted under Iowa Code section 321.446, shall be individually secured by a safety belt or, for children under the age of three, in a fed­erally approved child restraint system.

109.3(13) Field trip emergeJl(y numbers. Emergency telephone numbers for each child's parent, for a responsible person who can be reached when the parent cannot, and for the child's physician shall accompany the children on center-sponsored trips away from the premises ..

109.3(14) Pets. Animals kept on site shall be in good health with no evidence of disease, be friendly companions, and be maintained in a clean and sanitary manner. Documentation of current vaccinations shall be available for all cats and dogs. No ferrets, turtles, or birds of the parrot family shall be kept on site.

441-109.4(237A) Personnel. In these rules qualified staff shall mean the on-site director or administrator or person considered part of the staff ratio. Any change in the on-site director or administrator shall be submitted in writing to the day care consultant for approval.

I 09.4( I) Director of facility licensed for 20 or fewer children. The on-site director or adm in­istrator for a facility licensed for 20 or fewer children shall be an adult and shall:

a. Have two years of administrative or program experience in a child care center, or be able to demonstrate an equivalent amount of other child development related experience, employ­ment or educational experience.

b. Have completed high school or an equivalent program. Persons who do not meet this educational requirement, and who possess unusual qualifications or experience in the child age group with which they will be working, could be employed with the approval of the depart­ment of human seJVices.

c. Be at least 18 years of age. d. Have a valid first-aid and cardiopulmonary resuscitation (CPR) certificate. 109.4(2) Director of facility licensed for more than 20 children. The on-site director or

administrator employed after April I, 1984, by a facility licensed for more than 20 children shall be an adult and shall have a valid first-aid and cardiopulmonary resuscitation (CPR) certificate. The director or administrator shall also have three semester hours or equivalent quarter hours of coursework in administration, or, one year on-the-job business-related expe­rience in one or a combination of the following: finance, personnel, supeJVision, record keep­ing, or budgeting. The director or administrator shall also meet all of the requirements in one of the following paragraphs:

a. Three years' experience working with children in a child care center; high school gradu­ate or have passed a general education development test (GED), and ten continuing educa­tional units (CEUs) in a child care related field or one of the following:

(I) Education documentation equivalent to ten CEUs in a child related field, (2) Six semester or equivalent quarter hours of coursework in child development, lower ele­

mentary or early childhood education, (3) A combination of CEUs or the equivalent education and semester or quarter hours of

college work in areas listed ahove.

Ch 109, p.6 Human SeJVices[441J lAC 8/30/95

b. Child care center employee with a child development associate (CDA) credential or a technical or community college one-year training program in early childhood education or child development; high school education or OED and three years' experience working with children in a child care center (experience can be concurrent with obtaining a CDA).

c. Six years' experience as a family day care home provider with a minimum of two years as a licensed or registered family day care home; high school graduate or OED; and ten CEUs in a child related field or one of the following:

(I) Education documentation equivalent to ten CEUs in a child care related field. (2) Six semester or equivalent quarter hours of coursework in child development, lower ele­

mentary or childhood education. (3) A combination of CEUs or equivalent education and semester or quarter hours of col­

lege work in areas listed above. d. A two-year associate college degree in early childhood education or child development

and two years of non-college-related experience working with children in a child care facility. e. Two years of a four-year degree program in child development, early education or lower

elementary education, minimum of 12 semester hours of coursework in child development, early childhood education or lower elementary education and two years of non-college-related experience working with children in a child care facility.

f. Four-year degree in child development, lower elementary or early childhood education and one of the following:

(I) One year of non-college-related experience working with children in a child care facility. (2) Four years' experience working with child care centers in a consulting or training

capacity. g. Four-year degree in a non-child-related field; 12 semester hours in child development,

early childhood education or lower elementary education; and two years' experience in a child care facility.

h. A master's degree in behavioral sciences and two years' experience working with child care centers in a consulting or training capacity.

109.4(3) Staff requirements. Persons counted as part of the staff ratio, including the on­site director or administrator, must be involved with children in programming activities and shall meet the following requirements:

a. Demonstrate competence in working independently with children. /J. Be at least 16 years of age. c. At least one staff member present in the center when children are in attendance and on

field trips shall have completed first-aid training approved by the department. Training shall be repeated at least every three years and a valid certificate kept on file at the center.

d. At least one staff member present in the center when children are in attendance shall have completed cardiopulmonary resuscitation (CPR) training approved by the department. Training shall be updated annually and a valid certificate kept on file in the center.

109.4(4) Staff ratio. Staff ratio shall be as follows: Age of children Minimum ratio of staff to children Two weeks to two years One to every four children Two years One to every six children Three years One to every eight children Four years One to every twelve children Five years to ten years One to every fifteen children Ten years and over One to every twenty children

a. Regardless of the staff ratio in subrule 109.4(4), when seven or more children are pre­sent on the licensed premises, basic minimum qualified child care staff shall consist of two people on duty. Combinations of age groupings shall have staff determined on the age of the youngest child in a group except for preschools seJVing children aged three through five where

lAC 8/30/95 Human Services[441] Ch 109, p.7

staff-to-child ratios shall be based on the age grouping of the majority of children served rather than on the age of the youngest child served.

b. Every child-occupied program and nap room shall have adult supervision present in the room. The minimum staff ratio shall be maintained in the center during nap time. The min­imum staff ratio in 109.4(4) shall be enforced during the transitional period when children are awakening from nap time.

c. The minimum staff ratio shall be maintained for any outdoor activities at the center. d. When transporting seven or more children in one vehicle, each vehicle shall have a min­

imum of two adults present. e. Any child care center-sponsored program activity conducted away from the licensed

facility shall provide a minimum of one additional responsible person aged 16 or older over the required staff ratio for the protection of the children.

j: With the parent's consent, one child may be taken off the premises with a staff person 18 years of age or older.

109.4(5) Rescinded lAB 8/30/95, effective 11/1/95. 109.4(6) Volunteers. When a volunteer is included in the staff ratio count for more than

ten hours ·in any calendar month, the volunteer shall meet all the personnel requirements in this chapter and Iowa Code chapter 237 A.

109.4(7) Record checks and evaluations. The department shall submit record checks for each owner, operator, staff member with direct responsibility for child care, and anyone living in the child care facility who is of school age or older to determine whether they have any founded child abuse reports or criminal convictions. Form SS-1606-0, Request for Child Abuse Information, and Form 595-1396, Request for Non-Law Enforcement Record Check, shall be used for this purpose.

If there is a record of founded child abuse or a criminal conviction for the owner, operator, staff member with direct responsibility for child care, or anyone living in the child care facility, the license shall be denied or revoked, unless an evaluation of the abuse or crime determines that the abuse or criminal conviction does not warrant prohibition of licensure. In an evalua­tion, the department and the licensee for an employee of the licensee shall consider the nature and seriousness of the founded abuse or crime, the time elapsed since the commission of the abuse or crime, the circumstances under which the crime or abuse was committed, the degree of rehabilitation, the likelihood that the person will commit the abuse or crime again, and the number of crimes or abuses committed by the person. The person with the criminal con­viction or founded child abuse report shall complete and return Form 470-2310, Record Check Evaluation, within ten calendar days of the date on the form to be used to assist in the evalua­tion. Failure of the person to complete and return the form within the specified time frame shall result in denial or revocation of the license.

a. If the owner, operator, staff member with direct responsibility for child care, or anyone living in the child care facility has been convicted of a simple misdemeanor or of a serious misdemeanor that occurred five or more years prior to the application, the evaluation and decision may be made by the regional administrator or designee. The regional administrator or designee shall notify the applicant of the results of the evaluation using Form 470-2386, Record Check Decision.

b. The department may permit a person who is evaluated to own, operate, be a staff mem­ber with direct responsibility for child care, or to live in the child care facility, if the person complies with the department's conditions relating to the person's licensure, employment, or residence, which may include completion of additional training. For an employee of a licen­see, these conditional requirements shall be developed with the licensee. The department has final authority in determining whether prohibition of the person's licensure, employment, or residence is warranted and in developing any conditional requirements.

c. If the owner, operator, staff member with direct responsibility for child care, or anyone living in the child care facility has a founded abuse report, has been convicted of an aggra-

Ch 109, p.8 Human Services[441 J lAC 8/30/95

vated misdemeanor or felony at any time, or has been convicted of a simple or serious mis- \...I demeanor that occurred within five years prior to application, the evaluation shall be initially conducted by the regional administrator or designee.

(1) If the regional administrator or designee determines that the crime or abuse does war­rant prohibition of licensure, the regional administrator or designee shall notify the applicant of the results of the evaluation using Form 470-2386, Record Check Decision.

(2) If the regional administrator or designee believes that the abuse or criminal conviction should not warrant prohibition of licensure, the regional administrator or designee shall pro­vide copies of the child abuse report or criminal history record, Form 470-2310, Record Check Evaluation, and Form 470-2386, Record Check Decision, to the Department of Human Serv­ices, Administrator, Division of Adult, Children and Family Services, Hoover State Office Building, Des Moines, Iowa 50319. Within 30 days the administrator shall determine whether the abuse or crime merits prohibition of licensure, and shall notify the regional administrator or designee in writing of that decision. The regional administrator or designee shall notify '-..,~ the owner or operator of the child care facility and the person on whom the evaluation and decision was completed using Form 470-2386, Record Check Decision.

d. The child abuse and criminal record checks shall be repeated a minimum of every five years or if the department becomes aware of any founded abuses or convictions of crimes. Any founded abuses or convictions of crimes since the last criminal record check or child abuse record check shall be evaluated using the same process.

109.4(8) Directorofsclwol-age programs. School-age programs for kindergarten and older children, and licensed for more than 20 school-age children only, may operate under the supervision of an on-site director who is an adult and meets the following requirements:

a. An associate degree or two years of a four-year-degree program in child development, early childhood education, elementary education, recreation, physical education. or other child-related field.

h. Two years' non-student-related experience working with children in an organized recre- '--"' ational or child care program.

c. Completion of three semester hours or equivalent quarter hours of coursework in admin­istration, or one year on-the-job business-related experience in one or a combination of the following: finance, personnel, supervision, record keeping, or budgeting.

d. Certification in first aid and cardiopulmonary resuscitation (CPR).

441-109.5(237A) Physical facilities. 109.5(1) Room size. The minimum program room size shall be 80 square feet. 109.5(2) Facility requirements. a. Thirty-five square feet per child of usable indoor floor space shall be maintained in a

clean and sanitary manner. When floor space occupied by cribs is counted as usable floor space, there shall be 40 square feet of floor space per child in those rooms. Kitchens, bath­rooms, and halls may not be counted in the square footage per child or used as regular pro­gram space.

h. A safe outdoor recreation area shall be provided by all facilities newly licensed after November I, I {)95, which shall be no less than 1,000 square feet, or sufficient square footage to accommodate 30 percent of the enrolled capacity at any one time at 75 square feet per child.

c. There shall he 75 square feet in outdoor recreation area per child using the space at any given time.

d. Approval may be given by the department to waive the outdoor space requirement when the center provides drop-in care only; or for programs of three hours or less. providing there is suitable substitute space and equipment: or for sick child day care programs in or adjacent to the pediatrics area in a hospital.

'.,.)

\...,)

lAC 8/30/95 Human Services[441] Ch 109, p.9

e. The director or designated person shall complete and keep a record of a monthly inspec­\..,J tion of the outdoor recreation area and equipment for the purpose of assessing and rectifying

potential safety hazards. j: Approval may he given hy the department for centers operating in a densely developed

area to usc alternative outdoor play areas in lieu of on-site outdoor play areas. 109.5(3) Handrails. All stairways used hy children shall he provided with handrails with­

in reach of the children and maintained free of all obstacles. 109.5(4) Facility conditions. In all centers, the following minimum requirements shall he

met: a. Ceiling height for all program rooms shall be a minimum of seven feet. b. Rooms not having air conditioners or mechanical ventilation shall have a ratio of win­

dow area of 8 percent of floor space or more. c. All rooms shall be ventilated, without drafts, by means of windows which can be opened

or by an air-conditioning or mechanical ventilating system. \,.,, d. All windows used for ventilation shall be screened with 16 or smaller mesh wire.

e. Areas used hy the children shall be heated when the temperature falls below 68 degrees F so room temperature of 68 to 72 degrees is maintained at the floor level. For centers that arc not air conditioned, air circulation with fans or other means is required when the inside temperature in areas used by children exceeds 90 degrees F.

f. Lighting capacity to produce a light intensity of 20 footcandles in the program area shall be provided.

g. A program area shall be provided for school-age children with a minimum of 50 foot­candles of light for reading, studying, and other close work.

h. Radiators and hot water pipes shall he screened or insulated to prevent burns. i. All areas occupied by non-school-age children shall have safety plugs in all electrical

outlets. \._,I 109.5(5) Premises-maimenance. Premises used for outdoor play by the center shall he

maintained in good condition throughout the year; shall be fenced off when located on a busy thoroughfare or ncar a hazard which may he injurious to a child; and shall provide both sun­shine and shade areas. The premises shall he kept free from litter, rubbish and flammable materials at all times; and shall be free from contamination by drainage or ponding of sewage, household waste, or storm water.

109.5(6) Safety and sanitation. The facility and premises shall be maintained in a clean, sanitary, and safe manner. All poisonous, toxic, or otherwise unsafe materials shall be locat­ed in an area inaccessible to children.

109.5(7) Infants-area. An area shall be provided properly and safely equipped for the usc of infants and free from the intrusion of children over two years of age. Children over 18 months may be grouped outside this area.

109.5(8) Lamtories. One functioning toilet and one lavatory for each 15 children or frac-1....,.) tion thereof shall be provided in a room with natural or artificial ventilation. New construc­

tion after November I, 1995, shall provide for at least one lavatory in the same area as the toi­let and, for centers serving children two weeks to two years of age, shall provide for at least one lavatory in the central diapering area. Training seats or chairs shall be allowed for chil­dren under two years of age and shall be cleaned and sanitized after each use. When school­age programs are offered, provisions shall be made for privacy. There shall be hand-washing facilities with hot and cold running water for child care personnel in rooms where infants are housed or in an adjacent area other than in the kitchen.

109.5(9) Telephone. A non pay telephone in working order shall be available in the center with emergency telephone numbers posted adjacent to the telephone. Emergency telephone numbers shall include police or 911, fire, ambulance, and poison information center. The street address and telephone number of the center shall be included in the posting.

\ 1

109.5(10) Kite/zen appliances. Cooking stoves and microwave ovens shall not be placed in ......,. the program area. No microwave ovens shall be used for warming infant bottles or infant

food.

Ch 109, p.IO Human Services[441J lAC 8/30/95

441-109.6(237A) Food sen·ices. 109.6(1) Nutritionally balanced meals or snacks. The center shall serve each child a full

nutritionally balanced meal or snack as defined by the USDA Child and Adult Care Food Program (CACFP) guidelines.

109.6(2) Snack and mealtime supen,ision. A staff member shall sit with the children at mealtime. When snacks are served a staff member shall be seated or be within the immediate area supervising the snack. Staff shall ensure that children do not eat when walking, running, playing, lying down, or riding in vehicles.

109.6(3) Menu planning. CACFP menu patterns and serving sizes shall be followed for children aged infant to 13 years. Menus shall be planned at least two weeks in advance. Meal and snack menus shall be dated, posted, and kept on file at the center. Any substitutions in the menu, including substitutions made for infants, shall be noted and kept on file. Notations shall be made for special dietary needs of the children. Foods that have caused choking in young children should be avoided or should be modified to reduce risk.

a. Menu planning shall include a variety of foods and varying textures, flavors, and colors that will provide children with many different food experiences, and help stimulate their inter­ests in foods.

b. Rescinded lAB 8/30/95, effective 11/1/95. c. Children remaining at the center two hours or longer shall receive at least two of the four

components for midmorning and midafternoon nourishment in accordance with the CACFP guidelines.

d. Provisions of this subrule notwithstanding, exceptions shall be allowed for special diets because of medical reasons in accordance with the child's needs and written instructions of a licensed physician.

e. Drop-in center means a center which provides no more than 50 hours of child care per month for every child in care. Drop-in centers need not comply with 109.6(1) and 109.6(3)"a" and "b, "provided that sack lunches are supplemented as needed to ensure that full nutrition­ally balanced meals are served.

f. Rescinded lAB 8/30/95, effective 11/1/95. 109.6(4) Feeding of children under two years of age. a. All children under six months of age arc to be held during feeding. No bottles are to be

propped for children of any age. To reduce the risk of bottle-mouth, a child shall not be placed in a crib with a bottle filled with milk, formula, fruit juices, or sweetened liquids.

b. Single service ready-to-feed formulas shall be used for children three months and youn­ger unless otherwise ordered by a parent or physician.

c. Grade A pasteurized whole milk shall be used for children under one year of age who are not on formula unless otherwise directed by a physician.

d. Special formulas prescribed by a physician shall be made available for the child who has a feeding problem.

e. Spoon feeding shall be adapted to the developmental need of the child. f. Cleaned and sanitized bottles and nipples shall be used for bottles prepared on site.

Prepared bottles shall be kept under refrigeration when not in use. g. No sleeping child shall be left with a bottle. h. Meals and snacks provided by the center shall follow the USDA Child and Adult Care

Food Program infant menu patterns. Foods shall be appropriate for the infant's nutritional requirements and eating abilities. If needed, menu patterns may be modified according to written instructions from the physician or health care provider.

i. Infants shall be fed on demand, unless the parent provides other written instructions. 109.6(5) Food preparation and storage. a. Sufficient refrigeration space shall be provided for holding perishable foods at a maxi­

mum of 40 degrees F, and a minimum of 33 degrees F. Freezer temperature shall be at 0 degrees F or below. Thermometers shall be maintained in the refrigerator and freezer.

b. Kitchens shall be clean, well lighted and ventilated, and free of rodents and insects.

lAC 8/30/95 Human Services[441] Ch 109, p.ll

c. Sanitary techniques shall be used in the preparation and storage of all milk mixtures and other food prepared in the center. Food shall be stored in sound condition, free from spoilage, filth or contamination, in rodent- and insect-proof covered metal, glass, or plastic containers. Food shall never be stored on the floor. All cleaning supplies and other poiso­nous materials shall be stored separate from food, dishes, and utensils used in food service.

d. The person preparing meals must maintain good personal hygiene and appropriately covered hair while preparing food. Food shall not be handled by cooks with open sores or bandages on their hands unless wearing protective gloves.

e. A sufficient number of lidded, flytight, and watertight garbage and rubbish containers for food or bodily waste or fluids shall be provided to properly store all material between collec­tions. Outdoor containers must be maintained in a sanitary condition outside the building and away from the play area.

f. No chipped, cracked, or rusted dishes or utensils shall be used. Disposable dishes shall not be reused.

g. Nondisposable dishes and silverware shall be properly cleaned by prerinsing or scraping, washing, rinsing, sterilizing, and air-drying on a rack or drainer in good working condition. A dishwashing machine, if used, shall be in good working condition. For hand dishwashing at least a three-compartment sink or comparable facility must be available so that the three-step method of wash, rinse, and sanitize can be used. Tableware shall be either rinsed in water of a minimum of 180 degrees For rinsed in a chemical sanitizing agent and air-dried. No table­ware shall be towel-dried.

h. Eating surfaces shall be sanitized immediately prior to serving or eating food. 109.6(6) Water supply. a. Water for drinking and culinary purposes shall be from a public water system when avail­

able. When water from a public water system is determined unsuitable for drinking, com­mercially bottled water or water treated through a process approved by the health department or designee shall be provided.

b. Private water supplies for drinking and culinary purposes shall be located and con­structed in accordance with rules in 567-Chapter 49. Water shall be of satisfactory bacteri­ological quality as shown by annual laboratory analysis. When the facility provides care for children under two years of age, a nitrate analysis shall also be obtained. When private water supplies are determined unsuitable for drinking, commercially bottled water or water treated through a process approved by the health department or designee shall be provided.

c. Drinking fountains shall be maintained in a clean and sanitary manner and shall be so constructed and located as to be accessible for use by the children at all times.

d. If drinking fountains are not available, individual single service cups shall be provided in a sanitary dispenser and used only once. When individual drinking cups are used they shall be kept in a sanitary manner.

109.6(7) Food brought from home. a. The center shall inform the parent of the nutritional expectations for meals provided by

the parent and shall suggest ways to meet them. The center shall provide milk for lunches brought from home and shall have other foods available to supplement foods brought from home if needed.

b. Meals brought from home shall be clearly marked with the child's name and the date and shall not be shared with other children.

c. Perishable foods shall be properly refrigerated and shall be protected from contamina­tion until mealtime.

d. Nutritional snacks may be provided by parents for preschools or in centers for special occasions such as birthdays or holidays.

Ch 109, p.12 Human Servicesl441] lAC 8/30/95

441-109.7(237A) Activity program requirements. \....~ 109.7(1) Activities. The center shall have a written program of activities planned accord-

ing to the developmental level of the children and shall visibly post a schedule of the program. The program shall be designed to provide children with:

a. A curriculum that promotes self-esteem and positive self-image; social interaction; self­expression and communication skills; creative expression; and problem-solving skills.

b. A balance of active and quiet activities; individual and group activities; indoor and out-door activities; and staff-initiated and child-initiated activities.

c. Activities which promote both gross and fine motor development. d. Experiences in harmony with the ethnic and cultural backgrounds of the children. 109.7(2) Discipline. a. Corporal punishment including spanking, shaking and slapping shall not he used. h. Punishment which is humiliating or frightening or which causes pain or discomfort to the

child shall not be used. ~ c. Punishment shall not be administered because of a child's illness, or progress or lack

of progress in toilet training, nor shall punishment or threat of punishment be associated with food or rest.

d. No child shall be subjected to verbal abuse, threats, or derogatory remarks about the child or the child's family. ·

e. Reasonable accommodation shall be made, based on special needs of children with dis­abilities. This accommodation shall be recorded in the child's file. Accommodation can be a specific treatment prescribed by a professional or a parent, or a modification of equipment, or removal of physical barriers.

f Each program shall have a written policy on the discipline of children which provides for positive guidance, with direction for resolving conflict and setting of well-defined limits. The disciplinary policy shall be designed to help the child develop self-control, self-esteem, and I.

1 respect for the rights of others. The written policy shall be provided to staff and parents. ._,..

109.7(3) Play equipment, materials and furniture. Play equipment, materials, and furniture for both indoor and outdoor use shall be in sufficient variety and quantity to meet the inter­ests and developmental needs of the children. Equipment, materials, and furniture shall be suitable for the age range served, scaled to the size of the children, and shall be selected according to the type of supervision required.

a. All play equipment and furniture shall be kept in good operative condition, free of sharp, loose, or pointed parts or edges, and, if painted, only lead-free paint shall be used. Equipment shall be placed so as to avoid danger of collision or injury to self or others and to permit free­dom of action. Permanent outdoor play equipment shall be firmly anchored.

b. The program shall provide for a nap or quiet time for all preschool age children present at the center for five or more hours.

c. A clean washable individual cot, bed, or crib in good repair and bedding to cover both ~ cot, bed, or crib and child shall be provided for each child who naps. Mats may be substitut-ed for children with physical disabilities, based on individual needs. Bedding shall be cleaned weekly, upon change of an occupant, or as needed. Cots or beds shall be cleaned and s<mi-tized monthly or when soiled or wet. Cribs or mats shall be cleaned and sanitized weekly or when soiled or wet.

d. There shall be at least two feet of space on all sides of the cot, bed, or crib except where the cot, bed, or crib is adjacent to the wall or divider. When a divider is used, its use shall not prohibit visual supervision of the children by the staff. Contact from any of the sides of the divider between children in adjacent cribs shall be prohibited. Cribs shall not be stacked one on top of the other, nor attached one to the other.

e. Play equipment and materials shall provide for large and small muscle activity, sensory motor exploration, social interaction and dramatic play, discovery and exploration, intellectu-al growth, and creative expression. \.....)

f When a child is participating in programming activities at the table, there shall be IH or more inches of table space per child.

lAC 8/30/95 Human Setvices[441) Ch 109, p.l3

109.7(4) lnfam environmelll. A child care center setving children two weeks to two years \...) old must provide an environment which protects the children from physical harm, but is not

so restrictive as to inhibit physical, intellectual, emotional, and social development. a. Stimulation shall be provided through being held, rocked, played with and talked with

individually several times each day. Insofar as possible, the same adult should care for the same child. This includes care during feeding and toileting.

b. Each infant and toddler shall be diapered as frequently as needed at a central diapering area using a changing table with a nonabsorbent surface which is impetvious to bodily fluids, or in the child's own crib on a disposable paper sheet which is discarded after each diapering. Diapering and hand-washing procedures shall be posted in every diapering area. There shall be one changing table for every 15 infants or toddlers. The surface of the changing table shall be cleaned and sanitized after each use with a sanitizing agent that is nonirritating to a child's skin. When changing diapers, the infant or toddler shall be cleansed, using the child's own individual toilet accessories. There shall be a covered, lined, waterproof container for the

~ storage of soiled diapers. Soiled clothing shall be placed in an individual sealed container or waterproof disposable bag.

c. Highchairs shall be equipped with a safety strap which shall be engaged when the· chair is in use and shall be constructed so the chair will not topple. ,

d. Washable toys, large enough so they cannot be swallowed, shall be provided. Toys shall have no sharp edges or removable parts. All hard surface toys used by children shall be sani­tized daily.

e. A crib which meets the current standards from the Consumer Product Safety Commis­sion shall be provided for each infant up to 18 months of age. Each crib shall be of sturdy con­struction with bars closely spaced so a child's head cannot be caught, and have clean, individual bedding, including sheets and blankets. Crib railings shall be fully raised and secured when the child is in the crib. Each mattress shall be completely and securely covered

\...,) with waterproof material. When plastic materials are used, they shall be heavy, durable, and not dangerous to children. A child shall not be placed directly on the waterproof cover. A crib shall be provided for the number of children present at any one time and shall be kept in a clean and sanitary manner. Bedding shall be cleaned weekly, upon change of an occupant, or as needed. Cribs shall be cleaned and sanitized weekly, upon change of an occupant, or when soiled or wet. There shall be no restraining devices of any type used in cribs. The min­imum spacing between cribs shall be two feet on any side except that which is next to the wall or divider.

f When playpens are provided, no more than one child shall be placed in one at any time. g. For programs operating five hours or less on a daily basis, the center shall have a suffi­

cient number of cribs for children who may nap during the time in attendance. Cribs shall be used by only one child at a time. The crib and mattress shall be sanitized and clean sheets used for each child placed in the crib. A log shall be maintained to document the name of the child

'......,! using the crib, the date and time used, and the staff person who sanitized the mattress and changed the bedding.

109.7(5) Night care. A center providing night care shall comply with the licensing require­ments for centers contained in Iowa Code chapter 237 A and this chapter, with the additional requirements set forth below:

a. Evening activities shall be primarily self-selected by the child from activities such as, but not limited to, outdoor play, reading, lounging, study, table games, group games, conversation, listening to music, watching television, dramatic play, and art.

b. A tub with running water shall be available for each 30 children over the age of one who are present during night care. A shower may be substituted for school-age children. All bathing shall be supetvised. Bathroom doors used by children shall be nonlockable.

c. The center shall ensure that all children have the personal effects needed to meet per­sonal hygiene and prepare for sleep. The effects shall include an individual washcloth, towel,

\._) toothbrush, hairbrush or comb, and slecpwear furnished either by the center or the child's par­ents.

Ch 109, p.14 Human SeJVices(441] lAC 8/30/95

d. Each child enrolled in a night care program shall be provided with a crib, bed, or cot. A crib with a clean sheet and a cover shall be provided for each infant. A bed or cot. a top and \....~ a bottom sheet, and a blanket or quilt shall be provided for each child in all other age cate­gories.

e. Every child-occupied room shall have adult supeJVision present in the room. Staff count­ed for purposes of meeting child-to-staff ratios shall be present and awake at all times.

f The center shall obtain written information from the parent regarding the child's snack­ing, bathing, toileting, personal grooming, and bedtime routines.

g. If children are bathed at the center, children shall be bathed individually and the bath­tub or shower shall be sanitized between uses.

h. School-age boys and girls shall be provided separate space to ensure privacy during bed­time washing and changing activities.

i. There shall be a working light in each bathroom, hallway, and sleeping area.

441-109.8(237A) Parental participation. ~ 109.8(1) Unlimited access. Parents shall be afforded unlimited access to their children and

to the provider caring for their children during the normal hours of operations or whenever their children are in the care of a provider, unless parental contact is prohibited by court order. The provider shall inform all parents of this policy in writing.

109.8(2) Policy advisory committee. Whenever a nonprofit child care center provides day care for 40 or more children, there shall be a policy advisory committee or its equivalent at the policy-making level. Committee membership shall include not less than 50 percent parents or parent representatives, selected by the parents themselves in a democratic fashion. The com­mittee shall perform productive functions which may include, but are not limited to:

a. Initiating suggestions and ideas for program improvements. b. Assisting in organizing activities for parents. c. Encouraging parental participation in the program. '-"'

441-109.9(237A) Licensure procedures. 109.9(1) Application for license. a. Any adult individual or agency has the right to make application for a license. The appli­

cation for a license shall be made to the regional office of the department of human seJVices on Form 470-0722, Application for a License to Operate a Child Care Center, provided by the department.

h. Requested reports including the fire marshal's report and other information relevant to the licensing determination shall be furnished to the department upon application and reapplication.

c. Applicants shall be notified of approval or denial within 120 days of application. 109.9(2) License. a. An applicant showing full compliance with center licensing laws and these rules shall \..I

be issued a license for one year. b. A new license shall be obtained when the center moves, expands, or the facility is

remodeled to change licensed capacity. c. A new license shall be obtained when another adult or agency assumes ownership or legal

responsibility for the facility. 109.9(3) Provisional/icense. a. A provisional license may be issued for a period up to one year when the center does

not meet all standards imposed by law or these rules. b. A provisional license shall be renewable when written plans to bring the center up to

standards, giving specific dates for completion of work, are submitted to and approved by the department.

lAC 8/30/95 Human Services(441 J Ch 109, p.IS

109.9(4) Denial. Initial applications or renewals shall be denied when: a. The applicant does not comply with center licensing laws and these rules in order to

qualify for a full or provisional license. b. The facility is operating in a manner which the department determines impairs the safety,

health, sanitation, hygiene, comfort, or well-being of children in care. c. The owner, operator, or a staff member with direct responsibility for child care, or any­

one living in the child care facility has one or more convictions of any crime in any state, or one or more founded abuse reports that merit prohibition of licensure as determined by the department. (See subrule 109.4(7) for the process.)

d. Information provided to the department or contained in the facility's files is shown to have been falsified by the provider or with the provider's knowledge.

e. Rescinded, effective July' I, 1987. 109.9(5) Revocation and suspension. A license shall be revoked or suspended if corrective

action has not been taken when: a. The facility does not comply with the licensing requirements imposed by law or these

rules. b. The facility is operating in a manner which the department determines impairs the safety,

health, sanitation, hygiene, comfort, or well-being of the children in care. c. The owner, operator, or a staff member with direct responsibility for child care, or any­

one living in the child care facility has one or more convictions of any crime in any state, or one or more founded abuse reports that merit prohibition of licensure as determined by the department. (See subrule 109.4(7) for the process.)

d. Information provided to the department or contained in the facility's files is shown to have been falsified by the provider or with the provider's knowledge.

e. Rescinded, effective July 1, 1987. 109.9(6) Adverse action. a. Notice of adverse actions (denial, revocation, or suspension) and the right to appeal the

licensing decision shall be given to applicants and licensees in accordance with 441-Chapter 7. b. An applicant or licensee affected by an adverse action may request a hearing by means

of a written request directed to the county office, regional office, or central office of the department of human services within 30 days after the date the official notice was mailed con­taining the nature of the denial, revocation, or suspension.

Ch 109, p.l6 Human Services[441] lAC 8/30/95

c. A letter received by an owner or operator of a licensed facility initiating action to deny or revoke the facility's license shall be conspicuously posted where it can be read by parents or any member of the public. The letter shall remain posted until resolution of the action to deny or revoke an owner's or operator's license.

441-109.10(237A) Complaint file. A record of all unsubstantiated complaints received shall be kept by the department in a closed file and there shall be documented resolutions of all complaints. Contents of this file shall be available to the owner or operator of the center except that disclosure of the identity of the complainant shall be withheld unless expressly waived by the complainant. Findings of any licensing violations shall be summarized in the licensing file. A record of all substantiated complaints and licensing violations shall be kept by the department in the licensing file and shall be available to the public upon request, except that disclosure of the identity of the complainant shall be withheld unless expressly waived by the complainant.

441-109.11(237A) Get-well center. A get-well center shall meet the following requirements in addition to all the licensing requirements for centers contained in Iowa Code chapter 237 A and 441-Chapter 109 except for the exceptions listed in subrule 109.1 1(9).

109.11(1) Medical advisor. The center shall have a medical advisor for the center's health policy. The medical advisor shall be a medical doctor or a doctor of osteopathy currently in pediatrics or family practice.

109.11(2) Health policy. The center shall have a written health policy signed by the owner or the chairman of the board and by the medical advisor and approved by the department before the center can begin operations. Any subsequent changes in the health policy shall be handled in a like manner. A written summary of the health policy shall be given to the parent when a child is enrolled in the center. The center's health policy as a minimum shall address procedures in the following areas:

a. Medical emergencies. b. Triage policy. c. Storage and administration of medications. d. Dietary considerations. e. Sanitation and infection control. f. Employee health policy. g. Categorization of illness. h. Length of enrollment periods. i. Exclusionary policy. 109.11(3) Licensed LPN or RN. A center shall have a licensed LPN or RN on duty at

all times. If the nurse on duty is an LPN, the medical advisor or an RN on the medical advi­sor's staff shall provide on-site consultation one hour per week, or the facility shall employ an RN for at least one hour per week for on-site consultation.

109.11(4) Staff ratios. A center shall maintain a minimum staff ratio of one-to-four for infants and one-to-five for children over the age of two.

109.11(5) Staff training. All staff that have contact with children shall have a minimum of 17 clock hours of special training for caring for mildly ill children. Current certification of the training shall be contained in the personnel files. Special training shall be department approved and include the following:

a. Four hours' training in infant and child cardiopulmonary resuscitation (CPR), four hours' training in pediatric first aid, and one hour of training in infection control within the first month of employment.

b. Six hours' training in care of ill children, and two hours' training in child abuse identifi­cation and reporting within the first six months of employment and every five years thereafter.

109.11(6) Evaluation of child. The child shall be given a brief evaluation by an LPN or RN upon each arrival at the center.

lAC 8/30/95 Human Se1Vices[441] Ch 109, p.l7

109.11(7) Summary of day. The parent shall receive a brief written summary when the child is picked up at the end of the day. The summary must include:

a. Admitting symptoms. b. Medications administered and time they were administered. c. Nutritional intake. d. Rest periods. e. Output. f. Temperature. 109.11(8) Physical requirements. a. There shall be 40 square feet of program space per child. b. There shall be a sink with hot and cold running water in every child-occupied room. 109.11(9) Exceptions. a. Outdoor space may be waived with the approval of the department. b. Grouping of children shall be allowed by categorization of illness or by transmission route

without regard to age, and shall be in separate rooms with full walls and doors.

441-109.12(237A) Exclusion. "Child day care" shall not mean special activity programs that meet on a regular basis such as music or dance classes, organized athletics or sport pro­grams, scouting programs, or hobby or craft classes or clubs.

441-109.13(237A) Definitions. "Adult" means a person aged 18 or older. "Child" means a person under 18 years of age. "Child care center" means a facility providing child day care for seven or more children,

except when the facility is registered as a family day care home or group day care home. "Child day care" means the care, supeiVision, or guidance of a child by a person other than

the parent, guardian, relative or custodian for periods of less than 24 hours per day per child on a regular basis in a place other than the child's home, but does not include care, supeiVi­sion, or guidance of a child by any of the following:

1. An instructional program administered by a public or nonpublic school system accredit­ed by the department of education or the state board of regents or a program provided under Iowa Code section 279.49 or 280.3A.

2. A church-related instructional program of not more than one day per week. 3. Short-term classes held between school terms. 4. A child care center for sick children operated as part of a pediatrics unit in a hospital

licensed by the department of inspections and appeals pursuant to Iowa Code chapter 1358. 5. A nonprofit program operated by volunteers for no charge for not more than two hours

during any 24-hour period. 6. A program provided by the state or a political subdivision, which provides recreational

classes for a period of less than two hours per day. 7. A program administered by a political subdivision of the state which is primarily for

recreational or social purposes and is limited to children who are five years of age or older and attending school.

8. An instructional program administered by a nonpublic school system which is not accred­ited by the department of education or the state board of regents.

9. Any special activity programs that meet on a regular basis such as music or dance class­es, organized athletics or sport programs, scouting programs, or hobby or craft classes or clubs.

"Department" means the department of human seiVices. "Drop-in center" means a center which provides no more than 50 hours of child care per

month for every child in care. "Facility" means a building or physical plant established for the purpose of providing child

day care.

Ch 109, p.l8 Human Services[44l] lAC 8/30/95

"Get-well center" means a facility that cares for a child with a temporary illness of short ~ duration for short enrollment periods.

"Night care" means child care provided by a child care center between the hours of 9 p.m. and 5 a.m.

"Parem·· means parent or legal guardian. These rules arc intended to implement Iowa Code sections 232.69, 237A.5, and 237A.l2.

[Filed 2/14/75~ amended 3/21175] [Filed 8/3/76, Notice 4/S/76--published 8/23/76, effective 9/27 /76]

[Filed 7/3/79, Notice 11/29/78-published 7/25/79, effective 9/1/79] [Filed 1/23/80, Notice 11128/79-published 2/20/80, effective 3/26/80]

[Filed 1116/81, Notice 12/10/80-published 2/4/81, effective 3/11/81] [Filed 11/5/82, Notice 8/18/82-published 11124/82, effective 111183]

[Filed 12/16/83, Notice 11/9/83-published 1/4/84, effective 3/1/84] I

[Filed 1/21/85, Notice 12/5/84-published 2/13/85, effective 4/1/85] \.._./ [Filed emergency 8/23/85-published 9/11/85, effective 9/1185]

[Filed 11115/85, Notice 10/9/85-published 12/4/85, effective 211186] [Filed emergency 1/15187-published 2/11187, effective 1115/87]

[Filed 3/26/87, Notice 1/28/87 -published 4/22/87, effective 611 /87] [Filed emergency 6119/87-published 7115/87, effective 7/1187]

[Filed 8/28/87, Notice 7 I 15/87 -published 9/23/87, effective 11 I 1 /87] [Filed 1122/88, Notice 11/18/87-published 2110/88, effective 4/1/88] [Filed 12/8/88, Notice 917/88-published 12/28/88, effective 2/1/89] [Filed 3/16/90, Notice 1/24/90-published 4/4/90, effective 6/1/90]

[Filed emergency 5/11/90-published 5130/90, effective 7/1190] [Filed emergency 10/10/91-published 10/30/91, effective 11/1/91]

[Filed 12/11191, Notice 10/30/91-published 1/8/92, effective 3/1192] \._,) [Filed 10/14/93, Notice 9/1/93-published 11110/93, effective 111/94]

[Filed emergency 6/16/94-published 7/6/94, effective 711194] [Filed 8/12/94, Notice 7/6/94-published 8/31/94, effective 11/1/94]

[Filed 8/10/95, Notice 6/21/95-published 8/30/95, effective 11/1/95]

~

\,.,/

lAC 5/30/90, 8/30/95 Human Serviccs[441 J

CHAPTER 110 FAMILY AND GROUP DAY CARE HOMES

(Prior to 7/1/83, Social Serviccs(770), Ch 110) (Prior to 2/11/87, Human Scrvices(498))

441-110.1(237A) Definitions •

Ch I 10, p.l

.. Child day care" shall not mean special activity programs that meet on a regular basis such as music or dance classes, organized athletics or sport programs, scouting programs, or hobby or craft classes or clubs .

.. Family day care home provider" or "provider'' means the adult responsible for care and supervision of a child in a family day care home .

.. Registration certificate" means the written document issued by the department of human services to publicly state that the provider has certified in writing compliance with the mini­mum requirements for registration of a family day care home.

441-110.2(237A) Application. The application for registration shall be made to the depart­ment of human services on Application for Family Day Care Home Registration, SS-1105-3 provided by the department. The forms shall be available in each local office of the department.

The family day care home shall inform the department of human services of any changes in circumstances that would affect their registration on the same form.

441-110.3(237A) Renewal. Renewal of registration shall be completed yearly.

441-110.4(237A) Issuance of certificate. The department shall issue a registration certifi­cate upon receipt from the provider of a signed statement of compliance with the requirements for registration of a family day care home.

441-110.5(237A) Standards. The provider shall certify that the family day care home meets the following conditions:

110.5(1) Conditions in the home are safe, sanitary, and free of hazards. This shall include as a minimum:

a. A working telephone with emergency numbers posted. b. All medicines and cleaners secured from access by a child. c. First-aid supplies. d. Medications given only with parent's or doctor's direct authority. e. Electrical wiring maintained with all accessible electrical outlets safely capped and

electrical cords properly used. Improper use would include running cords under rugs, over hooks, through door openings, or other use that has been known to be hazardous.

f. Combustible materials are kept away from furnaces, stoves, or water heaters. g. Safety barriers at stairways for preschool age children. h. Safe outdoor play area. i. Annual laboratory analysis of a private water supply to show satisfactory bacteriological

quality. When children under the age of two are to be cared for, the analysis shall include a nitrate analysis.

j. Emergency plans in case of fire or tornado written and posted. k. Fire drills practiced once a month and recorded and tornado drills practiced and re­

corded quarterly. I. In order to prevent burns, a safety barrier shall surround any heating stove or heating

element. 110.5(2) The provider shall meet the following requirements: a. Is 18 years of age or older and likes and understands children. b. Gives careful supervision at all times. c. Frequently exchanges information with the parent or parents of each child. d. Gives consistent, dependable care, and is capable of handling emergencies. e. Is present at all times except if emergencies occur, at which time good substitute care

is provided. When an absence is planned, the parents are given prior notice.

\..,/

\..,I

\.,1

-....,.;

"'-'

lAC 8/30/95 Human Services[441] Ch 130, p.3

For Child Day Care All Other Services Monthly Monthly Gross

Family Size Gross Income Income Below A B

1 Member $ 623 s 966 $ 583 2 Members 836 1,296 762 3 Members 1,049 1,626 942 4 Members 1,263 1,957 1,121 5 Members 1,476 2,289 1,299 6 Members 1,689 2,618 1,478 7 Members 1,903 2,949 1,510 8 Members 2,116 3,280 1,546 9 Members 2,329 3,610 1,581

10 Members 2,543 3,824 1,612

For child day care, Column A, add $213 for each additional person over 10 members. For child day care, Column B, add $80 for each additional person over 10 members. For other ser­vices, add $33 for each additional person over 10 members.

Column A is used to determine income eligibility for families applying for child day care services, with the exception of families with children with special needs, who shall use Column B.

Column 8 is used to determine ongoing income eligibility for families receiving child day care services as of June 30, 1993, and to determine income eligibility for families with children with special needs applying for child day care services.

(3) Foster child status. For a child residing in foster care, the foster child shall be consid­ered a family of one and the child's income shall be the only income considered in determining eligibility for child day care services.

e. Certain services are provided without regard to income which means family income is not considered in determining eligibility. The services provided without regard to income are infor­mation and referral, child abuse investigation, child abuse treatment, child abuse prevention services, family-centered services, dependent adult abuse evaluation, dependent adult abuse treatment, dependent adult abuse prevention services, and purchased adoption services to in­dividuals and families referred by the department.

f. In certain cases the department will provide services directed in a court order. 130.3(2) To be eligible for services the person must be living in the state of Iowa. Living

in the state shall include those persons living in Iowa for a temporary period, other than for the purpose of vacation.

130.3(3) In determining gross income, all income received by an individual from sources identified by the U.S. Census Bureau in computing median income is considered and includes money wages or salary, net income from nonfarm self-employment, net income from farm self-employment, social security, dividends, interest, income from estates or trusts, net rental income and royalties, public assistance or welfare payments, pensions and annuities, unemployment compensation, worker's compensation, alimony, child support; and veterans pensions. Excluded from the computation of monthly gross income are the following:

a. Per capita payments to or funds held in trust for any individual in satisfaction of a judgment of the Indian claims commission or the court of claims.

b. Payments made pursuant to the Alaska Claims Settlement Act to the extent such payments are exempt from taxation under section 21(a) of the Act.

c. Money received from the sale of property, unless the person was engaged in the business of selling such property.

d. Withdrawals of bank deposits.

Ch 130, p.4 Human Services[441] lAC 8/31194

e. Money borrowed. \.._,) .1: Tax refunds. g. Gifts. h. Lump sum inheritances or insurance payments or settlements. i. Capital gains. j. The value of the coupon allotment under the Food Stamp Act of 1964, as amended, in

excess of the amount paid for the coupons. k. The value of USDA donated foods. I. The value of supplemental food assistance under the Child Nutrition Act of 1966 and

the special food program for children under the National School Lunch Act, as amended. m. Earnings of a child 14 years of age or under. n. Loans and grants obtained and used under conditions that preclude their use for current

living expenses. o. Any grant or loan to any undergraduate student for educational purposes made or \..I

insured under the Higher Education Act. p. Home produce utilized for household consumption. q. Earnings received by any youth under Title III, Part C-Youth Employment Demon­

stration Program of the Comprehensive Employment and Training Act of 1973. r. Stipends received by persons for participating in the foster grandparent program. s. The first $65 plus 50 percent of the remainder of income earned in a sheltered workshop

or work activity setting. t. Payments from the low-income home energy assistance program. u. In determining eligibility for purchase of local services, one third of the income of a dis­

abled survivor who is a recipient of child's insurance benefits under the federal old-age, sur­vivors, and disability insurance program established under Title I I of the Federal Social Secu-rity Act. ~

v. In determining eligibility for purchase of local services, one-third of the income of a per-son who receives social security permanent disability benefits.

w. Agent Orange settlement payments. x. For child day care services, the income of the parent(s) with whom the teen parent(s)

resides. y. For child day care services for children with special needs, income spent on any regular

ongoing cost that is specific to that child's disability. z. Moneys received under the federal Social Security Persons Achieving Self-Sufficiency

(PASS) program or the Income-Related Work Expense (IRWE) program. 130.3(4) Rescinded lAB 8/9/89, effective 10/1/89. 130.3(5) Temporary absence. The composition of the family group does not change when

one, or more, of the group members is temporarily absent from the household. "Temporary absence" means: \w) a. A medical absence anticipated to be less than three months. b. An absence for the purpose of education or employment. c. When a family member is absent and intends to return home within three months. 130.3(6) Rescinded lAB 7/7/93, effective 7/l/93. This rule is intended to implement Iowa Code section 234.6.

441-130.4(234) Fees. The department may set fees to be charged to clients for services received. The fees will be charged to those clients eligible under rule 130.3(234), but not those receiving services without regard to income due to a protective service situation or for rehabilita­tive treatment services. Nothing in these rules shall preclude a client from voluntarily con­tributing toward the costs of service.

~

\.,..)

\._)

lAC 8/30/95 Human Services[441] Ch 130, p.S

130.4(1) Collection. The provider shall collect fees from clients. The provider shall main-tain records of fees collected, and such records shall be available for audit by the department or its representative. When a client does not pay the fee, the provider shall demonstrate that a reasonable effort has been made to collect the fee. Reasonable effort to collect means an original billing and two follow-up notices of nonpayment.

130.4(2) Monthly income. Res~inded lAB I /8/92. effective 3/ I /92. 130.4(3) Child day care services. The monthly income chart and fee schedule for child

day care services in a licensed child care center, an exempt facility, a registered family or group day care home, a nonregistered family day care home, in-home care, or relative care are shown in the following table:

Monthly Income Increment Levels According to Family Size

Income Increment Levels

Half Day

I 2 3 4 5 6 7 8 9 10 Fee A 592 795 998 1200 1403 1606 1808 2011 2214 2416 .00 B 624 837 1050 1264 1477 1690 1904 2117 2330 2544 .50 c 658 884 1109 1334 1560 1785 2010 2235 2461 2686 1.00 0 695 933 1171 .1409 1647 1885 2123 2361 2598 2836 1.50 E 734 985 1237 1488 1739 1990 2242 2493 2744 2995 2.00 F 775 1041 1306 1571 1836 2102 2367 2632 2898 3163 2.50 G 819 1099 1379 1659 1939 2219 2500 2780 3060 3340 3.00 H 865 1160 1456 1752 2048 2344 2640 2935 3231 3527 3.50 I 913 1225 1538 1850 2163 2475 2787 3100 3412 3725 4.00 J 964 1294 1624 1954 2284 2614 2944 3273 3603 3933 4.50 K 1018 1367 1715 2063 2412 2760 3108 3457 3805 4153 5.00 L 1075 1443 1811 2179 2547 2915 3282 3650 4018 4386 5.50 M 1135 1524 1912 2301 2689 3078 3466 3855 4243 4632 6.00

The following instructions apply to use of the sliding fee schedule: a. Determine number of persons in family that was used in determining income eligibility

for service. Move across the monthly income table to the column headed by that number. b. Determine monthly family income. Move down the column identified in paragraph "a."

Income at or above that income is that corresponding fee. Income less than that level of income is the previous level of fee. (EXAMPLE: Income above Level A but less than Level B is Level A fee (0). Income at or above Level B is Level B fee (.50 per half day).)

c. When more than one child is attending a child care program, there is no additional fee. The fee shall be based on the child who receives the most care.

d. When a family has more than 10 members, find the income levels by multiplying the figures in the 4-member column by 0.03. Round the answers to the nearest dollar and multi­ply by the number in the family in excess of 10. Add these results to the amounts in the tO-member column.

e. Rescinded lAB 7/7/93, effective 7/1/93. f. The unit of service is a half day which shall be up to 5 hours of service per 24-hour period. 130.4(4) Rescinded, effective 7/1/81. This rule is intended to implement Iowa Code section 234.6.

Ch 130, p.6 Human Services[441] lAC 9/l/93

441-130.5(234) Adverse service actions. ~ 130.5(1) Denial. Services shall be denied when it is determined by the department that: a. The client is not in need of service, or b. The client is not financially eligible, or c. The service to be provided is not in the annual Title XX plan, or d. There is another community resource available to provide the service or a similar service

free of charge to the client that will meet the client's needs, or e. In cases other than protective service investigation, the client, parent, or representative

refuses to sign the application form, or f. The service for which the client is eligible is currently not available; a list of these services

will be posted in each local office, or g. Funding is not available to provide the service. A list of services not available due to lack

of funding shall be posted in each local office. h. Rescinded lAB 8/9/89, effective 10/1/89. ~ i. Slots are not available for child day care services. 130.5(2) Termination. A particular service may be terminated when the department deter­

mines that: a. The specific need to attain the Title XX goals and objectives to which the service was

directed has been achieved, or b. After repeated assessment, it is evident that the family or individual is unable to achieve

or maintain the goals set forth in the individual client service plan, or c. After repeated efforts, it is evident that the family or individual is unwilling to accept

further service, or d. The client's income or resources exceed the financial guidelines, or e. The service is no longer available in the annual Title XX plan, or f. No payment or partial payment of client fees has been received within 30 days following ~

the issuance of the last billing, or g. Another community resource is available to provide the service or a similar service free

of charge to the client that will meet the client's needs, or h. The client refuses to allow documentation of eligibility as to need, income, and

resources, or i. Funding is not available to provide the service. A list of services not available due to lack

of funding shall be posted in each local office. j. The fee for case management services has not been paid within 30 days of the date on

the second invoice sent by the department case management unit to the client. The second invoice shall be sent 30 days after the date of the first invoice if full payment of the fee has not been received.

130.5(3) Reduction. A particular service may be reduced when the department determines that: \.,.;

a. Continued provision of service at its current level is not necessary. The department shall determine the level to which the service may be reduced without jeopardizing the client's con­tinued progress toward achieving or maintaining the goal. The client shall be notified of the decision.

b. Another community resource is available to provide the same or similar service to the client at no financial cost to the client, that will meet the client's needs.

c. Funding is not available to continue the service at the current level. The client shall be reassessed to determine the level of service to be provided.

d. The department may limit on a statewide basis the units of child day care services for which payment will be made based on the availability of funds.

130.5(4) Rescinded, effective 6/1184. ·

\..,.)

\.,..)

'..,.1

'--"'

~

lAC 8/30/95 Human Services[441 J Ch 130, p.ll

[Filed emergency 6/12/92-published 7/8/92, effective 7/1/92] [Filed 8/14/92, Notices 7/8/920-published 9/2/92, effective 11/1/92]

[Filed emergency 2/10/93 after Notice 1/6/93-published 3/3/93, effective 3/1/93] [Filed emergency 6/ 11/93-published 717/93, effective 7 I 1/93]

[Filed 7/14/93, Notice 3/3/93-published 8/4/93, effective 10/1/93] [Filed 8/12/93, Notice 7/7/93-published 9/1/93, effective 11/1/93] [Filed without Notice 8112/93-published 9/1/93, effective 11/1/93] [Filed emergency 10/14/93-published 11/10/93, effective 12/1/93]

[Filed 12/16/93, Notices 9/1/93, 11/10/93-published 1/5/94, effective 3/1/94] [Filed emergency 6/16/94-published 7/6/94, effective 7/1/94]

0 Two ARCs

[Filed 8/12/94, Notice 7 /6/94-published 8/31/94, effective I I I I /94] [Filed emergency 9/15/94-published 10/12/94, effective 10/I/94] [Filed 2/16/95, Notice 10/12/94-published 3/15/94, effective 5/1/95]

(Filed emergency 6/7/95-published 7/5/95, effective 711/95] (Filed 8/10/95, Notice 7/5/95-published 8/30/95. effective 11/1/95]

0 -

~ t •

lAC 8/30/95 Human Services[441) Ch 150, p.ll

(2) For the fiscal year beginning July 1, 1995, the maximum reimbursement rates for social service providers (adoption; local purchase services including adult day care, adult support, adult residential, community supervised apartment living arrangement, sheltered work, work activity, and transportation; shelter care; family planning; and independent living) shall be the same as the rates in effect on June 30, 1995, except under any of the following circumstances:

1. If a new service was added after June 30, 1994, the initial reimbursement rate for the service shall be based upon actual and allowable costs. A new service does not include a new building or location or other changes in method of service delivery for a service currently provided under the contract.

For adoption, the only time a provider shall be considered to be offering a new service is if the provider adds the adoptive home study, the adoptive home study update, placement services, or postplacement services for the first time. Preparation of the child, preparation of the family and preplacement visits are components of the services listed above.

For local purchase services, a provider shall be considered to be offering a new service when adding a service not currently purchased under the social services contract. For example, the contract currently is for adult support, and the provider adds a residential service.

For shelter care, if the provider is currently offering shelter care under social services con­tract, the only time the provider shall be considered to be offering a new service is if the provider adds a service other than shelter care.

For family planning, the only time the provider shall be considered to be offering a new service is when a new unit of service is added by administrative rule.

For independent living, the only time a provider shall be considered to be offering a new service is when the agency adds a cluster site or a scattered site for the first time. If, for example, the agency has an independent living cluster site, the addition of a new site does not constitute a new service.

If the department defines, in administrative rule, a new service as a social service that may be purchased, this shall constitute a new service for purposes of establishment of a rate. Once the rate for the new service is established for a provider, the rate will be subject to any limita­tions established by administrative rule or law.

2. If a social service provider loses a source of income used to determine the reimbursement rate for the provider, the provider's reimbursement rate may be adjusted to reflect the loss of income, provided that the lost income was used to support actual and allowable costs of a service purchased under a purchase of service contract.

(3) For the fiscal year beginning July 1, 1995, the combined service and maintenance reim­bursement rate paid to a shelter care provider shall be based on the financial and statistical report submitted to the department. The maximum reimbursement rate shall be $76.61 per day. If the department reimburses the provider at less than the maximum rate, but the provider's cost report justifies a rate of at least $76.61, the department shall readjust the provider's reimbursement rate to the actual and allowable cost plus the inflation factor or $76.61, whichever is less.

q. Related party costs. Direct and indirect costs applicable to services, facilities, equip­ment, and supplies furnished to the provider by organizations related to the provider are includable in the allowable cost of the provider at the cost to the related organization. All costs allowable at the provider level are also allowable at the related organization level, unless these related organization costs are duplicative of provider costs already subject to reim­bursement.

( 1) Allowable costs shall be all actual direct and indirect costs applying to any service or item interchanged between related parties, such as capital use allowance (depreciation), in­terest on borrowed money, insurance, taxes, and maintenance costs.

(2) When the related party's costs are used as the basis for allowable rental or supply costs, the related party shall supply documentation of these costs to the provider. The provider shall complete a schedule displaying amount paid to related parties, related party cost, and total

Ch 150, p.lla Human Services[441] lAC 717/93

amount allowable. The resulting costs shall be allocated according to policies in subrule 150.3(5) ua"(3) to (7).

Financial and statistical records shall be maintained by the related party under the provi­sions in subrule 150.3(3)"k."

(3) Tests for relatedness shall be those specified in rule 441-150.1(234) and subrule 150.3(3).,0. •• The department or the purchase of service fiscal consultant shall have access to the records of the provider and landlord or supplier to determine if relatedness exists. Applicable records may include financial and accounting records, board minutes, articles of incorporation, and list of board members.

r. Day care increase. Rescinded lAB 7/7/93, effective 7/1/93. s. Interest on unpaid invoices. Any invoice that remains unpaid after 60 days following

the receipt of a valid claim is subject to the payment of interest. The rate of interest is 1 per­cent per month beyond the 60-day period, on a simple interest basis. A separate claim for the interest is to be generated by the agency. If the original claim was paid with both federal and state funds, only that portion of the original claim paid with state funds will be subject to interest charges.

t. Interest as an allowable cost. Necessary and proper interest on both current and capital indebtedness is an allowable cost.

(1) "Interest" is the cost incurred for the use of borrowed funds. Interest on current indebtedness is the cost incurred for funds borrowed for a relatively short term. Interest on capital indebtedness is the cost incurred for funds borrowed for capital purposes.

(2) "Necessary" requires that the interest be incurred on a loan made to satisfy a financial need of the provider, be incurred on a loan made for a purpose reasonably required to operate a program, and be reduced by investment income except where the income is from gifts and grants whether restricted or unrestricted, and which are held separate and not commingled with other funds.

(3) "Proper" requires that interest be incurred at a rate not in excess of what a prudent borrower would have had to pay in the money market on the date the loan was made, and be paid to a lender not related through control or ownership to the borrowing organization.

u. Rate formula. Subrule 150.3(5)'~" notwithstanding, when rates are determined based on cost of providing the service involved, they will be calculated according to the following mathematical formula: Net allowable expenditures Reimbursement Base Effective utilization level x factor Rate

(1) Net allowable expenditures are those expenditures attributable to service to clients which are allowable as set forth in subrule 150.3(5), paragraphs ua" to .,t . .,

lAC 8/30/95 Human Services[441] Ch 150, p.20

[Filed emergency 1011185-published 10123185, effective 1111/85] [Filed without Notice 1011/85-published 10123185, effective 1211185]

[Filed 1212185, Notice 10123185-published 12118185, effective 21 1/86] [Filed emergency 3121186 after Notice 11/6185-published 419186, effective 411186]

[Filed emergency 6126186-published 7 I 16186, effective 7 I 1 186] [Filed 12122186, Notice 10122186-published 1/14187, effective 311/87]

[Filed emergency 1/15187-published 2111187, effective 1/15187] [Filed emergency 6119187-published 7115187, effective 711187]

[Filed 10123187, Notice 7115187-published 11118187, effective 111188] [Filed 11125187, Notice 9123187-published 12116187, effective 211188]

[Filed emergency 4122188 after Notice 319188-published 5118188, effective 511188] [Filed emergency 619188-published 6129188, effective 7 I I 188]

[Filed 1218188, Notice 7113188-published 12128188, effective 2/1189] [Filed emergency 619189-published 6128189, effective 711189]

[Filed 7114189, Notice 4119189-published 819189, effective 1011189] [Filed 8117189, Notice 6128189-published 916189, effective 1111189]

[Filed emergency 6120190-published 7 I 11190, effective 7 I 1 190] [Filed 8116190, Notice 7111190-published 915190, effective 1111190]

[Filed emergency 6114191-published 1110191, effective 711191] [Filed emergency 818191-published 914191, effective 911191]

[Filed without Notice 818191-published 914191, effective 1111191] [Filed 818191, Notice 6126191-published 914191, effective 1111191]

[Filed 9118191, Notice 7110191-published 10116191, effective 12/1191] [Filed 10110191, Notice 914191-published 10130191, effective 111192) [Filed 12111191, Notice 10116191-published 118192, effective 311192]*

[Filed emergency 4115192-published 5113192, effective 41161921 [Filed emergency 61 12/92-published 718192, effective 7 I I 192]

[Filed 8114192, Notice 718192-published 912192, effective 1111192] [Filed 1114193, Notice 1219192-published 213193, effective 411193]

[Filed emergency 6111193-published 717193, effective 711193] [Filed without Notice 8112193-published 911193, effective 1111/93] [Filed 8112193, Notice 717193-published 911193, effective 1111193]

[Filed 9117193, Notice 7121193-published 10113193, effective 1211193] [Filed 12116/93, Notice 911193-published 115194, effective 311194]

[Filed emergency 6116194-published 116194, effective 711194] [Filed 12115194, Notices 116194, 10112194-published 114195, effective 311195]

(Filed 4/13/95, Notice 2/ 15/95-published 5/10/95, effective 7/ 1 /95] [Filed emergency 617/95-published 7/5/95, effective 7/1/95]

[Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

•Effective date of 3/ I /92 delayed until adjournment of the 1992 General Assembly by the Administrative Rulc:s Review Commillcc at its meeting held February 3. 1992.

Ch 151, p.1 Human Services[441)

CHAPTER 151 COURT-ORDERED SERVICES

[Prior to 7/1/83, Social Servicc:s[7701, Ch 1411 [770-Ch 141 renumbered as 498-Ch 209, lAB 2/29/841

[Agency number changed from (4981to (4411, lAB 2/11/871 [Prior to 7/26/89, 441-Ch 2091

PREAMBLE

lAC 7/5/95

These rules prescribe all services for children eligible for reimbursement from funds appropri­ated specifically for court-ordered and juvenile court-directed services to children for whom the juvenile court has primary responsibility, including the court-ordered services to juveniles fund. The rules establish procedures for administration, application, appeals, service delivery, billing and payment, eligibility criteria, and the allocation formula for funds appropriated for juvenile court services.

DIVISION I COURT-ORDERED CARE AND TREATMENT

441-151.1(232) Expenses to be reimbursed. The following lists of expenses that are either eligible or ineligible for reimbursement are intended to be exhaustive. Any expense for a serv­ice not listed below shall be reviewed by the judicial district planning committee to determine if this fund will pay for the expense. If payment of the expense would not be in conflict with current law or administrative rules and meets the criteria of the judicial district planning com­mittee, this fund shall be used to reimburse the provider.

151.1(1) The expenses for which reimbursement shall be made include: a. Expenses, other than salary, incurred by a person ordered by the court other than a juvenile

court officer, in transporting a child to or from a place designated by the court, including mileage, lodging and meals.

b. The expense of care or treatment ordered by the court whenever the minor is placed by the court with someone other than the parents; or a minor is given a physical or mental exami­nation or treatment under order of the court; or, upon certification by the department, a minor is given physical or mental examinations or treatment with the consent of the parent, guardian or legal custodian, relating to a child abuse investigation and no provision is otherwise made by the law for payment for the care, examination, or treatment of the minor.

Care and treatment expenses for which no other provision for payment is made by law that shall be reimbursable include court-ordered:

(1) Individual services for the child separate from a family's treatment plan. (2) Diagnosis and evaluation on an outpatient basis unless the diagnosis and evaluation is

provided by a person or agency with a purchase of service contract for that service in which case the proper payment source is home-based services.

(3) An evaluation of a child in a residential facility. (4) Inpatient (hospital) evaluation of a child previous to disposition. (5) Medical treatment for a child. (6) Drug treatment, testing and care for a child. (7) Intensive in-home supervision and monitoring and alternatives to shelter care unless the

service is provided by a person or agency with a purchase of service contract for that service in which case the proper payment source is home-based services.

(8) Evaluation of parents pursuant to a CINA adjudication unless the diagnosis and evalu­ation is provided by a person or agency with a purchase of service contract for that service in which case the proper payment source is home-based services.

(9) One-to-one supervision of child not in a detention facility unless the service is provided by a person or agency with a purchase' of service contract for that service in which case the proper payment source is home-based services.

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~

~

~

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lAC 8/30/95 Human Services[441 J Ch 156, p.5

for court-ordered cases, or the director, for voluntary placements. to modify the order to require the parent(s) to pay the additional amount.

f. The department shall continue to collect unpaid parental liability after the child leaves foster care.

g. The department shall terminate a voluntary placement agreement on the basis of con­tinued failure to cooperate to assign child support payments, to pay parental liability or to forward unearned income of the child to the department.

This rule is intended to implement Iowa Code section 252C. 10

441-156.4(252C) Redetermination of liability. 156.4(1) The department's determination of parental liability shall be reviewed at least every

12 months or whenever one of the following occurs: a. The cost of foster care changes. b. The worker becomes aware that the family income changes. c. The worker becomes aware that the household size changes. d. The worker becomes aware that allowable deductions have changed. e. The child's unearned income changes. 15(,.4(2) If the department's review indicates that the amount of parental liability would

change, the department shall initiate action to change the amount of the existing order effec­tive the month following the month of change.

This rule is intended to implement Iowa Code section 252C.IO.

441-156.5(252C) Voluntary payment. Nothing in these rules shall preclude a parent from voluntarily paying more than the assessed amount, not to exceed the actual cost of foster care minus the unearned income of the child.

This rule is intended to implement Iowa Code section 252C. 10

441-156.6(234) Rate of maintenance payment for foster family care. 156.6(1) Basic rate. A monthly payment for care in a foster family home licensed in Iowa

shall be made to the foster family based on the following schedule:

Age of child 0 through 5 6 through 11 12 through 15

16 and over

Daily rate $12.00

12.72 13.89 14.73

156.6(2) Out-of-state rate. A monthly payment for care in a foster family home licensed or approved in another state shall be made to the foster family based on the rate schedule in effect in Iowa, except that the regional administrator or designee may authorize a payment to the foster family at the rate in effect in the other state if the child's family lives in that state and the goal is to reunite the child with the family.

156.6(3) Mother and child in foster care. When the child in foster care is a mother whose young child is in placement with her, the rate paid to the foster family shall be based on the daily rate for the mother according to the rate schedule in subrules 156.6(1) and 156.6(4) and for the child according to the rate schedule in subrule 156.6(1). The foster parents shall provide a portion of the young child's rate to the mother to meet the partial maintenance needs of the young child as defined in the case permanency plan.

156.6(4) Difficulty of care payment. a. When foster parents provide care to a special needs child, the foster family shall be paid

the basic maintenance rate plus $4.94 per day for extra expenses associated with the child's special needs.

Ch 156, p.6 Human Services[441] lAC 8/30/95

b. When a foster family provides care to a sibling group of three or more children, an addi­tional payment of $1 per day per child may be authorized for each nonspecial needs child in the sibling group.

c. When the foster family's responsibilities in the case permanency plan include providing transportation related to family or preplacement visits outside the community in which the foster family lives, the department worker may authorize an additional maintenance payment of $1 per day. Expenses over the monthly amount may be reimbursed with prior approval by the worker. Eligible expenses shall include the actual cost of the most reasonable passenger fare or gas.

d. When a foster family provides care to a child receiving treatment family foster care assessment and care plan development services pursuant to 441-subrule 185.62(3), the foster family shall be paid the basic maintenance rate plus $14.80 per day.

e. When a human services area administrator determines that a foster family is providing care comparable to that provided to a child receiving family foster care assessment and care plan development services pursuant to 441-subrule 185.62(3), except that the placement is supervised by the department and the child's treatment plan is supervised by a physician, mental health professional, or mental retardation professional, the foster family shall be paid the basic maintenance rate plus $14.80 per day. Foster families receiving this difficulty of care pay­ment shall meet the requirements as found in 441-paragraph 185.10(8)"b." If the human services area administrator determines that a foster family has been providing this level of care prior to November I, 1993, and the department has been paying the foster family difficulty of care payments in excess of $14.80 per day, the foster family shall continue to receive the higher payment for the duration of the time the human services area administrator determines that the foster family is providing care comparable to that provided to a child receiving family foster care assessment and care plan development services.

If the CACT determines that the child has been receiving family foster care core three services prior to November I, 1993, and if the foster family has been receiving difficulty of care pay­ments in excess of $14.80 per day, the department shall continue to pay the foster family the higher payment for the duration of the time the CACT authorizes family foster care core three services.

f. The difficulty of care maintenance payment shall be reviewed every six months or earlier if the child's situation changes.

g. All maintenance payments, including difficulty of care payments, shall be documented on Form SS-2605-0, Foster Family Placement Contract.

156.6(5) Payment method. All maintenance payments to foster families supervised by the department or a licensed private child caring agency shall be made directly to the foster family by the department.

156.6(6) Compliance transition period. Rescinded lAB 6/9/93, effective 8/1/93. This rule is intended to implement Iowa Code section 234.38 and 1995 Iowa Acts, Senate

File 462, section 25, subsection 4.

441-156.7(234) Purchase of family foster care services. 156. 7(1) Types of services. The department may develop a contract pursuant to

441-Chapter 152 with a child-placing agency licensed pursuant to rule 441-108.7(234) for any of the following family foster care services:

a. Family foster care supervision. b. Family foster care treatment services. c. Foster family home studies. 156. 7(2) Family foster care supervision. Purchased family foster care supervision shall

meet the following requirements:

lAC 8/31/94 Human Services[ 441] Ch 156, p.16

c. A young mother shall be eligible for the extra payment for her young child living with her in care as set forth in subrule 156.6(4), paragraph "a," and subrule 156.9(4) if all of the following apply:

(1) The mother is placed in foster care. (2) The mother's custodian determines, as documented in the mother's case permanency

plan, that it is in her best interest and the best interest of the young child that the child remain with her.

(3) A placement is available. (4) The mother agrees to refund to the department any child support payments she receives

on behalf of the child and to allow the department to be made payee for any other unearned income for the child.

156.20(2) Provider eligibility for payment. Except for payments for foster parents or youth in independent living, payment shall be limited to providers with a purchase of service con­tract in force. Providers of family foster care treatment services and group care treatment services shall meet certification requirements in rule 441-185.9(234) or 441-185.10(234) and have a purchase of rehabilitative treatment and supportive services contract under 441-Chapter 152 in force.

This rule is intended to implement Iowa Code sections 232.143, 234.35 and 234.38. (Filed 7 /1/74; amended 9/4/74]

[Emergency tiled 10/31175---published 11/17/75, effective 11/1/75] [Filed 12/23/75, Notice 11/17/75---published 1112/76, effective 2/16/76]

[Filed 2/19/76, Notice 1/12/76-published 3/8/76, effective 4/12176] [Filed emergency 7 /29/76-published 8/23/76, effective 9/1 /76]

[Filed 10/7/76, Notice 8/23/76-published 11/3/76, effective 12/8/76] [Filed 6/10/77, Notice 5/4/77-published 6/29/77, effective 8/3/77)

[Filed 5/24/78, Notice 3/22/78-pub1ished 6/14/78, effective 7 /19178] [Filed emergency 7 /28/78-published 8/23/78, effective 8/1178] [Fil¢ emergency 6/26/79-published 7/25/79, effective 7/1179] [Filed emergency 6130/80-published 7123180, effective 711180]

[Filed 10124180, Notice 913180-published 11112180, effective 12/17180] [Filed emergency 6130181-published 7122181, effective 7 I 1 /81]

[Filed 6130181, Notice 4129181-published 7/22/81 , effective 911181] [Filed emergency 8120182-published 9115182, effective 911182]

[Filed 2125183, Notice 12122182-published 3116183, effective 511183] [Filed emergency after notice 6/17/83-published 7/6/83, effective 7/1183]

[Filed emergency 6/17/83-published 7/6/83, effective 7/1/83] [Filed emergency 1017 183-published 10126183, effective 11 I 1 /83]

[Filed without Notice 1017/83-published 10/26183, effective 12/1183] [Filed 11118/83, Notice 10112183-published 1217/83, effective 211184]

[Filed emergency 2110184-published 2129184, effective 2110184] [Filed emergency 61 15184-published 7 I 4184, effective 7 II 184]

[Filed 6115184, Notice 5/9/84-published 114184, effective 9/1184] [Filed emergency 8131 184-published 9126184, effective 1011 184] [Filed emergency 11116184-published 1215184, effective 1211184]

[Filed 1121/85, Notice 12/5/84-published 2113185, effective 411185] [Filed 4129185, Notice 2127/85-published 5122185, effective 711185]

[Filed emergency 6/14185-published 113185, effective 711185] [Filed emergency 1011185-published 10123/85, effective 1111/85]

[Filed without Notice 1011185-published 10123/85, effective 1211185] [Filed 1212185, Notice 10123/85-published 12118185, effective 2111861 [Filed 12112/85, Notice 1019/85-published 111186, effective 3/1/86]

[Filed emergency 6126/86-published 7 I 16186, effective 7 I 1 /86] [Filed emergency 1115187-published 2111/87, effective 1115187]

Note: History for Ch 156 continued on ne\t page

Ch 156, p.17 Human Services[44l] lAC 8/30/95

[Filed emergency 6119187-published 7115187, effective 711187)0 [Filed 8128187, Notice 7 I 15187 -published 9123187, effective II I I 187)*

[Filed emergency 9121/87-published 10121/87, effective 9122187] [Filed 10123187, Notice 71I5187-published 1III8187, effective 1/1/88]

[Filed I2110187, Notice 10121/87-published I2130187, effective 311/88] [Filed emergency 619188-published 6129188, effective 7 I 1/88]

[Filed 4113189, Notice 1/11/89-published 513189, effective 711/89] [Filed emergency 619189-published 6128189, effective 711/89]

[Filed 7113189, Notice 5131/89-published 819189, effective 1011/89] [Filed 7114189, Notice 4119189-published 819189, effective 1011/89] [Filed 8117189, Notice 6128189-published 916189, effective II I 1/89]

[Filed emergency 6120190-published 7 I II 190, effective 7 I 1 190] [Filed 81I6190, Notice 7111190-published 915190, effective Il/1/90)

[Filed I0/12190, Notice 7111/90-published 10131/90, effective 1/1/91] [Filed 11115191, Notice 9118191-published 12111/91, effective 211192] [Filed 12111!91, Notice 10116191-published 118192, effective 311/92]**

[Filed emergency 4115192-published 5113192, effective 4116192] [Filed emergency 6112192-published 718192, effective 7/1/92]

[Filed 8114192, Notice 718192-published 912192, effective 1111/92] [Filed 5114193, Notice 3/17193-published 619193, effective 811/93]

[Filed emergency 6111/93-published 717193, effective 711/93] [Filed without Notice 8112/93-published 911193, effective 11/1/93] [Filed 8112193, Notice 2117193-published 911193, effective 1111/93]

[Filed 9/17193, Notice 7121/93-published 10113193, effective 1/1194] [Filed emergency 10114193-published 11110/93, effective 1111193]

[Filed 11/12193, Notice 9/15/93-published 1218193, effective 2/1194] [Filed 12/16193, Notices 10/13/93 and 11/10193-published 115/94, effective 311194] [Filed emergency 5111/94 after Notice 3/16/94-publis~ed 6/8/94, effective 6/1/94]

[Filed emergency 6116/94-published 716194, effective 7/1194] [Filed 8/12194, Notice 716/94-published 8/31/94, effective 1111194]

[Filed emergency 12115/94-published 114195, effective 2/1195] [Filed 12115194, Notice 10/26/94-published 1/4/95, effective 311195]

[Filed 2/16/95, Notice 1/4/95-published 3/15/95, effective 511/95] [Filed 3/20195, Notice 1118195-published 4112195, effective 611195]

(Filed 4!13/95, Notice 2/I5/95, 3/1195-published 5!10/95, effective 7/ 1/95] (Filed emergency 6/7/95-published 715!95, effective 7/1/95]

•Two ARC's OThrtt ARC's

[Filed emergency 7/12/95-published 8/2/95, effective 9/1/95] (Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective ll/1/95]

••Errecth·e date of 3/1/92 delayed until adjournment of the 1992 General Assembly by the Administrative Rules Review Commillee at its meeting held Februar)' 3, 1992.

~

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lAC 8/30/95 Human Services[441] Ch 170, p.l TITLE XV

INDIVIDUAL AND FAMILY SUPPORT AND PROTECTIVE SERVICES CHAPTER 170

CHILD DAY CARE SERVICES (Prior to 7/1/83, Social Services (770), Ch 132)

(Previously appeared as Ch 132-renumbcred JAB 2/29/84) (Prior to 2/11/87, Human Services(498))

PREAMBLE

The intent of this chapter is to establish requirements for the payment of child day care services. Child day care services are for children of low-income parents who are in academic or vocational training; or employed 20 hours or more per week; or for a limited period of time, when the caring person is absent due to hospitalization, physical or mental illness, or death; or for protective services without regard to income; or for a parent looking for employ­ment. Services may be provided in a licensed child care center, a registered group day care home, a registered family day care home, the home of a relative, the child's own home, a nonregistered family day care home, or in a facility exempt from licensing or registration.

441-170.1(234) Definitions. uchi/d day care" means a service that provides child care in the absence of parents for a

portion of the day, but less than 24 hours. Day care supplements parental care by providing care and protection for children who need care in or outside their homes for part of the day. Child day care provides experiences for each child's social, emotional, intellectual, and physi­cal development. Child day care may involve comprehensive child development care or it may include special services for a child with special needs. Components of this service shall include supervision, food services, program and activities, and may include transportation.

"Child with protective needs" means a child who has a case plan that identifies protective child day care as a required service and who is a member of a family with one of the following:

1. A founded or undetermined case of child abuse. 2. Episodes of family or domestic violence or substance abuse which place the child at risk

of abuse or neglect and have resulted in a service referral to family preservation or family­centered services.

"Child with special needs" means a child with one or more of the following conditions: 1. The child has been diagnosed by a physician or by a person endorsed for service as a

school psychologist by the Iowa department of education to have a developmental disability which substantially limits one or more major life activities, and the child requires professional treatment, assistance in self-care, or the purchase of special adaptive equipment.

2. The child has been determined by a qualified mental retardation professional to have a condition which impairs the child's intellectual and social functioning.

3. The child has been diagnosed by a mental health professional to have a behavioral or emotional disorder characterized by situationally inappropriate behavior which deviates sub­stantially from behavior appropriate to the child's age, or which significantly interferes with the child's intellectual, social, or personal adjustment.

"Department" means the Iowa department of human services. "Food services" means the preparation and serving of nutritionally balanced meals and

snacks. "In-home" means care which is provided within the child's own home. "Migrant seasonal farm worker" means a person to whom all of the following conditions

apply: 1. The person performs seasonal agricultural work which requires travel so that the person

is unable to return to the person's permanent residence within the same day. 2. Most of the person's income is derived from seasonal agricultural work performed dur­

ing the months of July through October. Most shall mean the simple majority of the income. 3. The person generally performs seasonal agricultural work in Iowa during the months of

July through October.

Ch 170, p.2 Human Services[441] lAC 115/94

"Program and activities" means the daily schedule of experiences in a day care setting. "Provider" means a licensed child care center, a registered group day care home, a registered \..,;

family day care home, a relative who provides care in the relative's own home solely for a related child (relative care), a caretaker who provides care for a child in the child's home (in­home), a nonregistered family day care home, or a child care facility which is exempt from licensing or registration.

"Relative" means an adult aged 18 or older who is a grandparent, aunt or uncle to the child being provided child day care.

"Supervision" means the care, protection, and guidance of a child. "Transportation" means the movement of children in a four or more wheeled vehicle designed

to carry passengers, such as a car, van, or bus, between home and facility. "Unit of service" means a half day which shall be up to 5 hours of service per 24-hour period. "Vocational training" means a training plan which includes a specific goal, that is, high

school completion, improved English skills, development of specific academic or vocational ~ skills.

1. Training may be approved for high school completion activities, adult basic education, OED, English as a second language, and a postsecondary education, up to and including a baccalaureate degree program.

2. Training may be approved for college programs which lead to an associate of arts degree. 3. Training shall be on a full-time basis. The training facility shall define what is consid­

ered as full time. Part-time plans may be approved only if the number of credit hours to com­plete training is less than full-time status, the required prerequisite credits or remedial course work is less than full-time status, or training is not offered on a full-time basis.

lAC 8/30/95 Human Services(441] Ch 170, p.3

~ 441-170.2(234) Eligibility. 170.2(1) Financial. Financial eligibility shall be determined according to rule

441-130.3(234) except recipients of the family investment program, refugee cash assistance or refugee medical assistance shall not be eligible for child day care services under this chap­ter when the recipient is eligible for child day care as a training allowance under 441-Chapter 93 or paragraph 41.8(3)"c."

For migrant seasonal farm workers, the monthly gross income shall be determined by cal­culating the total amount of income earned in a 12-month period preceding the date of appli­cation and dividing the total amount by 12.

170.2(2) General eligibility requirements. Child day care shall be provided only to chil­dren up to age 13, unless they are children with special needs in which case child care shall be provided up to age 19.

170.2(3) Need/or service. The need for child day care services shall be established through \...-/ the assessment process as set forth in 441-Chapter 131. The child or parents of the child

. shall meet one or more of the following requirements in order to be eligible for child day care services:

a. The parent or parents are in academic or vocational training. b. The parent is employed 20 or more hours per week, or is employed an average of 20

or more hours per week during the month. Child care services may be provided for the hours of employment of a single parent or the conciding hours of employment of both parents in a two-parent home, and for actual travel time between home, child care facility, and place of employment.

c. Rescinded lAB 11/10/93, effective 12/1/93. d. Day care is part of a protective service plan to prevent or alleviate child abuse or neglect. e. The person who normally cares for the child is absent from the home due to hospitaliza­

tion, physical or mental illness, or death. Care under this paragraph is limited to a maximum of one month, unless extenuating circumstances are justified and approved after case review by the district administrator.

f. The parent or parents are looking for employment. Child care for job search shall be limited to only those hours the parent is actually looking for employment including travel time. A job search plan shall be approved by the department and limited to a maximum of 30 work­ing days in a 12-month period. Child care in two-parent families may be provided only dur­ing the coinciding hours of both parents looking for employment, or during one parent's employment and one parent's looking for employment. Documentation of job search con­tacts shall be furnished to the department upon request. The department may enter into a nonfmancial coordination agreement for information exchange concerning job search documen­tation.

g. The parent or parents have entered a self-initiated program for training approved under JOBS.

h. Rescinded lAB 7/6/94, effective 7/1/94. 170.2(4) Priority for service. Funds available for child day care services shall first be used

to continue services to families receiving child day care services as of June 30, 1993, and to families with protective child care needs. As funds are determined available, families shall be served on a statewide basis from a regionwide waiting list based on the following schedule in descending order of prioritization. Applications for child day care services shall be taken only for the priority groupings for which funds have been determined available.

a. Families who are at or below 100 percent of the federal poverty guidelines in which the parents are employed at least 30 hours per week.

b. Rescinded lAB 7/6/94, effective 7/1/94. c. Parents under the age of 21 who are either employed full-time or part-time, or who are

participating in an approved training program, or who are enrolled in an education program.

Ch 170, p.4 Human Services[441] lAC 8131194

d. Rescinded lAB 716194, effective 7 I 1194. \,~ e. Families who are at or below 155 percent of the federal poverty guidelines who have a

special needs child. f. Rescinded lAB 716194, effective 7 I I /94. g. Families who are at or below 100 percent of the federal poverty guidelines and are em­

ployed part-time at least 20 hours per week. 170.2(5) Prioritization within child care subsidized programs. a. When families are determined to be eligible for Transitional Child Care, this shall be

the program in which they are enrolled, as long as funds are available. b. Any recipient of the family investment program who is in academic or vocational train­

ing shall have the service worker verify that PROMISE JOBS funding is not available before the receipient can receive assistance under a child care subsidized program.

441-170.3(234) Goals. Appropriate goals for child day care services are those described '-wl in subrule 130.7(1), paragraphs .,a,, .,c,, and ud.,

441-170.4(234) Elements of service provision. 170.4(1) Case plan. The case plan shall be developed by the department service worker

and contain information described in 441-subrule 130.7(2), when the child meets the need for service under 170.2(3)ud."

170.4(2) Fees. Fees are assessed and collected in accordance with rule 441-130.4(234). 170.4(3) Method of provision. The department shall issue the Child Care Certificate, Form

470-2959, to the client to select a child day care provider. Parents shall be allowed to exercise their choice for in-home care as long as the conditions in 170.4(7) "d" are met. When the child meets the need for service under paragraph 170.2(3) "d, " parents shall be allowed to exercise their choice of child care provider except when the department service worker deter- "--" mines it is not in the best interest of the child.

The department shall make payment for child day care provided to eligible families when the Child Care Certificate, Form 470-2959, has been completed and signed by the parent, the provider, and the department worker, and when the provider meets the applicable require­ments set forth below.

a. Licensed child care center. A child care center shall be licensed by the department to meet the requirements set forth in 441-Chapter 109 and shall have a current Certificate of License, Form SS-1203-3.

b. Registered group day care home. A group day care home shall meet the requirements for registration set forth in 441-Chapter 110 and shall have a current Certificate of Registra­tion, Form SS-1209-3.

c. Registered family day care home. A family day care home shall meet the requirements for registration set forth in 441-Chapter 110 and shall have a current Certificate of Registration, ~ Form SS-1202-3.

d. Relative care. An adult relative who provides care in the relative's own home solely for a related child may receive payment for child day care services when selected by the parent.

e. In-home care. The adult caretaker selected by the parent to provide care in the child's own home shall be sent the pamphlet Comm. 95, Minimum Health and Safety Requirements for Nonregistered Family Day Care Home Providers, and Form 470-2890, Payment Applica­tion for Nonregistered Providers. Form 470-2890 shall be signed by the provider and returned to the department within 15 days before payment may be made. Signature on the form certifies the provider's understanding of and compliance with the conditions and requirements for non­registered providers that include: minimum health and safety requirements, limits on the number of children for whom care may be provided, unlimited parental access to the child or children

lAC 8/31/94 Human Services[441] Ch 170, p.7

441-170.5(234) Adverse service actions. Services may be denied, terminated, or reduced according to rule 441-130.5(234). The department may refuse to enter into or may revoke the Child Care Certificate, Form 470-2959, if a hazard to the safety and well-being of a child is found by the department of human services, and the provider cannot or refuses to correct the hazards; or if the provider has submitted claims for payment for which the provider is not entitled.

441-170.6(234) Appeals. Notice of adverse actions and the right of appeal shall be given in accordance with 441-Chapter 7.

441-170.7(234) Transitional child care. Rescinded lAB 7/6/94, effective 7/1/94.

441-170.8(234) Allocation of funds. The department shall allocate the funds for child day care services to the regional offices of the department to ensure that the current need and projected growth in services to families receiving child day care services as of June 30, 1993, and to families with protective child care needs are met. The funds for nonprotective child day care services shall be allocated based on the expenditures of the regional office propor­tional to the total state expenditures for nonprotective child day care services. The funds for protective child day care services shall be allocated based on historical data, with 60 percent of the total allocation to the regional office based on the number of founded child abuse cases in the region proportional to the total number of founded child abuse cases in the state, and 40 percent of the total allocation to the regional office based on the number of child abuse reports in the region proportional to the total number of child abuse reports in the state. The department may redistribute any unobligated funds from the original allocation to the region­al offices based on the number of children living in the region whose family income is at or below 100 percent of the federal poverty guidelines.

The regional office of the department shall manage the child day care funds allocated to the region and shall distribute the allocation among the counties within the region based on, but not limited to, the factors used to allocate funds to the regional offices. The regional office may redistribute any unobligated funds from the original allocation to the county offices to ensure that the current need and projected growth in services to families receiving child day care services as of June 30, 1993, and to families with protective child care needs are met.

These rules are intended to implement Iowa Code section 234.6{6) "a. " [Filed 7/3/79, Notice 12/27178-published 7/25179, effective 9/1/79] [Filed 7/18/80, Notice 3/5/80-published 8/6/80, effective 9/10/80]

[Filed 12/19/80, Notice 10/29/80-published 1/7/81, effective 2/11/81] [Filed II 16/81, Notice 12/10/80-published 2/4/81, effective 4/1181) [Filed 4/29/82, Notice 3/3/82-pub~ished 5/26/82, effective 7/1/82] [Filed 5/21/82, Notice 3/31/82-published 6/9/82, effective 8/1182]

[Filed emergency 9/23/82-published 10/13/82, effective 9/23/82) rFiled emergency 6/17 /83-published 7/6/83. effective 7/1/831

Lfiled emergency 2/10/84-published 2/29/84, effective 2/10/84) [Filed 1/15/87, Notice 12/3/86-published 2/11187, effective 4/1/87)

[Filed 9/21188, Notice 8/10/88-published 10/19/88, effective 12/1/88] [Filed emergency 6/8/89 after Notice of 5/3/89-published 6/28/89, effective 7/1/89]

[Filed emergency 6/8/89-published 6/28/89, effective 7/1/89] [Filed 8/17/89, Notice 6/28/89-published 9/6/89, effective 11/1189] [Filed 9/15/89, Notice 8/9/89-published 10/4/89, effective 12/1/89] [Filed emergency 10/10/91-published I0/30/91, effective 11/1/91]

[Filed 12/11191, Notice 10/30/91-published 1/8/92, effective 3/1/92] [Filed emergency 9/ II /92-published 9/30/92, effective I 0/ I /92]

History for Ch 170 continued on next page.

Ch 170, p.8 Human Services[441] lAC 8/30/95

[Filed 11/10/92, Notice 9/30/92-published 12/9/92, effective 2/1/93] [Filed emergency 6/11/93-published 7/7/93, effective 7/1193]

[Filed 8/12/93, Notice 7/7/93-published 9/1193, effective 11/1/93] [Filed emergency 10/14/93-published 11110/93, effective 12/1193]

[Filed 12/16/93, Notice 11110/93-published 1/5/94, effective 3/1/94] [Filed emergency 6/16/94-published 7/6/94, effective 7/1/94]

[Filed 8/12/94, Notice 7/6/94-published 8/31/94, effective 11/1/94] (Filed emergency 6/7/95-publishcd 7/5/95, effective 7/1/95]

[Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

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lAC 2/11/87 Human Services[441]

CHAPTER 177 IN-HOME HEALTH RELATED CARE

[Prior to 7/1183, Social Services(770), Ch 148] [Previously appeared as Ch 148-renumbered lAB 2/29/84)

[Prior to 2111/87, Human Services(498))

Ch 177, p.1

441-177.1(249) In-home health related care. In-home health related care is a program of nursing care in an individual's own home to provide personal services to an individual because such individual's state of physical or mental health prevents independent self-care.

441-177.2(249) Own home. Own home means an individual's house, apartment, or other living arrangement intended for single or family residential use.

441-177.3(249) Senice criteria. The client shall require services that would require the super­vision of a professional registered nurse working under the certification of a physician.

177 .3(1) Skilled services may include but not be limited to: a. Gavage feedings of individuals unable to eat solid foods. b. Intravenous therapy administered only by a registered nurse. c. Intramuscular injections required more than once or twice a week, excluding diabetes. d. Catheterizations, continuing care of indwelling catheters with supervision of irrigations

and changing of Foley catheter when required. e. Inhalation therapy. f. Care of decubiti and other ulcerated areas, noting and reporting to physician. g. Rehabilitation services including, but are not limited to: bowel and bladder training,

range of motion exercises, ambulation training, restorative nursing services, reteaching the activity of daily living, respiratory care and breathing programs, reality orientation, reminis­cing therapy, remotivation and behavior modification.

h. Tracheotomy care. i. Colostomy care until the individual is capable of maintaining the colostomy personally. j. Care of medical conditions out of control which includes brittle diabetes and terminal

conditions. k. Postsurgical nursing care, but only for short time periods, and primarily for individuals

with complications following surgery, or with the need for frequent dressing changes. I. Monitoring medications needed for close supervision of medications because of fluctuat­

ing physical or psychological conditions, i.e., hypertensives, digitalis preparations, narcotics. m. Diets which are therapeutic and require evaluation at frequent intervals. n. Vital signs which is the recording and reporting of change in vital signs to the attending

physician. . 177.3(2) Personal care services may include but not be limited to: a. Supervision on a twenty-four (24)-hour basis for physical or emotional needs. b. Helping client with bath, shampoo, oral hygiene. c. Helping client with toileting. d. Helping client in and out of bed and with ambulation. e. Helping client to re-establish activities of daily living. f. Assisting with oral medications ordinarily self-administered and ordered by tbe physician. g. Performing incidental household services which are essential to the client's health care

at home and are necessary to prevent or postpone institutionalization.

441-177.4(249) Eligibility. 177.4(1) Eligible individual. a. The individual shall be eligible for supplemental security income in every respect except

for income. b. The physician's certification shall include a statement of the specific health care services

and that the services can be provided in the individual's own home. The certification shall be given on Form SS-1719-0, Assessment of Functional Capacity of Client and Recommenda­tion for Services, or on a similar plan of care form presently used by public health agencies.

Ch 177, p.2 Human Services[441) lAC 8/30/95

c. The individual shall live in the individual's own home. 177.4(2) Relationship to other programs. In-home health related care shall be provided

only when other existing programs cannot meet the client's need. 177.4(3) Maximum costs. The maximum cost of service shall be $409.89. The provider

shall accept the payment made and shall make no additional charges to the recipient or others. 177 .4(4) Service plan. A complete service plan shall be prepared which includes the serv­

ices needed, the plan for providing these services, and the health care plan defined in rule 177 .6(249).

177.4(5) Certification procedure. The approval by the area office of the department of human services of the case plan shall constitute certification and approval for payment.

177.4(6) Temporary absence/rom home. The client will remain eligible and payment will be made for services for a period not to exceed 15 days in any calendar month when the client is absent from the home for a temporary period. Payment will not be authorized for over 15 days for any continuous absence whether or not the absence extends into a succeeding month or months.

177.4(7) Income for adults. The gross income of the individual and spouse, living in the home, shall be limited to $409.89 per month if one needs care or $819.78 if both need care, with the following disregards:

a. The amount of the basic supplemental security income standard for an individual or a couple, as applicable.

b. When income is earned, $65.00 plus one-half of any remaining income. c. The amount of the supplemental security income standard for a dependent plus any

established unmet medical needs, for each dependent living in the home. Any income of the dependent shall be applied to the dependent's needs before making this disregard.

d. The amount of the established medical needs of the ineligible spouse which are not other­wisemet.

e. The amount of the established medical needs of the applicant or recipient which are not otherwise met and would not be met if the individual were eligible for the medical assistance program.

f. Rescinded, effective 7 I 1184. 177.4(8) Income for children. a. All income received by the parents in the home shall be deemed to the child with the

following disregards: (l) The amount of the basic supplemental security income standard for an individual when

there is one parent in the home or for a couple when there are two parents in the home. (2) The amount of the basic supplemental security income standard for a dependent for

each ineligible child in the home. (3) The amount of the unmet medical needs of the parents and ineligible dependents. (4) When all income is earned, an additional basic supplemental security income standard

for an individual in a one-parent home or for a couple in a two-parent home. (5) When the income is both earned and unearned, $65.00 plus one-half of the remainder

of the earned income. b. The income of the child shall be limited to $409.89 per month with the following disregards: (l) The amount of the basic supplemental security income standard for an individual. (2) The amount of the established medical needs of the child which are not otherwise met

and would not be met if the child were eligible for the medical assistance program. (3) One-third of the child support payments received from an absent parent. c. Rescinded, effective 7 I 1184.

lAC 7/6/94 Human Services[441] Ch 177, p.5

\..,.,) 441-177.10(249) Emergency services. Written instructions for dealing with emergency sit­uations shall be completed by the nurse and maintained in the client's home and in the county department of human services office. The instructions shall include:

177.10(1) Persons to notify. The name and telephone number of the client's physician, the nurse, responsible family members or other significant persons, and the service worker.

177.10(2) Hospital. Information as to which hospital to utilize. 177.10(3) Ambulance. Information as to which ambulance service or other emergency

transportation to utilize. This rule is intended to implement Iowa Code section 249.3(2)"a"(2).

441-177.11(249) Termination. Termination of in-home health related care shall occur under the following conditions.

177.11(1) Request. Upon the request of the client or legal representative. When termina­\....,) tion of the program would result in an individual being unable to protect the individual's own

interests, arrangements for guardianship, commitment, or protective placements shall be provided.

177.11(2) Care unnecessary. When the client becomes sufficiently self-sustaining to remain in the client's own home with services that can be provided by existing community agencies as determined by the service worker.

177.11(3) Additional care necessary. When the physical or mental condition of the client requires more care than can be provided in the client's own home as determined by the service worker.

177.11(4) Excessive costs. When the cost of care exceeds the maximum established in 177 .4(3).

177.11(5) Other services utilized. When the service worker determines that other services can be utilized to better meet the client's needs.

~.....,/ 177 .11(6) Terms of provider agreement not met. When it has been determined by the service worker that the terms of the provider agreement have not been met by the client or the provider, the state supplementary assistance payment may be terminated.

This rule is intended to implement Iowa Code section 249.3(2)"a"(2).

641-177.12 Rescinded lAB 8/9/89, effective 10/1/89. !Filed emergency 10/7/76-published 11/3/76, effective 11/1176]

!Filed emergency 12/17/76-published 1112/77, effective 12/17/76] !Filed 2/25/77, Notice 11/3/76-published 3/23/77, effective 4/27/77]

!Filed emergency 5/24/77-published 6/15/77, effective 7/1177] [Filed 10/24/77, Notice 9/7 /77-published 11/16/77, effective 12/21177] [Filed 5/24/78, Notice 3/22/78-published 6/14/78, effective 7/19/78] [Filed 12/19/80, Notice 10/29/80-published 1/7/81, effective2/11/81] [Filed 6/30/81, Notice 4/29/81-published 7/22/81, effective 9/1/81) [Filed emergency 10/7 /83-published 10/26/83, effective 11/1183]

fFiled without Notice 10/7 /83-published 10/26/83, effective 12/1/831 [Filed 11118/83, Notice 10/12/83-published 12/7/83, effective 2/1/84]

[Filed emergency 2/10/84-published 2/29/84, effective 2/10/84] [Filed emergency 6/15/84-published 7/4/84, effective 7/1/84]

[Filed emergency 8/31184-published 9/26/84, effective 10/1 /84] [Filed emergency 10/1185-published 10/23/85, effective 11/1/85]

[Filed without Notice 10/1/85-published 10/23/85, effective 12/1/85] [Filed 12/2/85, Notice 10/23/85-published 12/18/85, effective 2/1/86]

[Filed emergency 6/26/86-published 7/16/86, effective 7/1186] [Filed 6/20/86, Notice 4/23/86-published 7/16/86, effective 9/1186]

History for Ch 177 continued on next page.

Ch 177, p.6 Human Services[441] lAC 8/30/95

[Filed emergency 1/15/87-published 2/11187, effective 1115/87] [Filed emergency 6/9/88-published 6/29188, effective 7 I 1188] [Filed emergency 619189-published 6128189, effective 711189]

[Filed 7114189, Notice 4119189-published 819189, effective 1011189] [Filed 8117189, Notice 6128189-published 916189, effective 1111189]

[Filed emergency 6/20190-published 7 I 11/90, effective 7 I I /90] [Filed 8/16190, Notice 7 I 11 190-published 915/90, effective 11 I 1 190]

[Filed 12111/91, Notice 10116191-published 1/8192, effective 311/92]* [Filed emergency 41 15192-published 5113192, effective 41 16192]

[Filed 5114192, Notice 3/18192-published 6/10192, effective 811/92] [Filed emergency 6116194-published 116194, effective 711/94]

[Filed 6116194, Notice 41 13194-published 716194, effective 91 1/94] [Filed 8/12/94, Notice 7/6/94-published 8/31/94, effective 11/1 /94)

[Filed emergency 6/7/95-published 7/5/95, effective 7/1/95) [Filed 8/10/95, Notice 7/5/95-publishcd 8/30/95, effective 11/1/95)

•Effective date of 3/l/92 delayed until adjournment of the 1992 General Assembly by the Administrative Rule~ Review Committee at its meeting held February 3, 1992.

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lAC 8/30/95 Human Services(441) Ch 185, p.43

a. The effective utilization level shall be 80 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program except for group care, which shall be as follows. The following effective utilization applies to all rates established on or after July 1, 1995, and shall be used to adjust rates established prior to July 1, 1995, for pay­ment of services provided on or after July 1, 1995.

The effective utilization for group care facilities certified to provide community residential treatment and licensed pursuant to 441-Chapter 116 or 481-Chapter 57 or 63 shall be 95 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program.

ExcEPTION: The effective utilization for the service portion of the per diem rate for group care facilities certified to provide community residential treatment and licensed pursuant to 441-Chapter 116 or 481-Chapter 57 or 63 shall be 85 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program.

The effective utilization for all other group care facilities certified to provide community residential treatment and group care facilities certified to provide comprehensive residential treatment or enhanced residential treatment shall be 90 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program.

EXCEPTION: The effective utilization for the service portion of the per diem rate for all other group care facilities certified to provide community residential treatment and group care facilities certified to provide comprehensive residential treatment or enhanced residential treatment shall be 85 percent or actual (whichever is greater) of the licensed or staffed capac­ity (whichever is less) of the program.

The effective utilization for all services provided by group care facilities certified to provide a highly structured juvenile program, including both the service and maintenance portion of the per diem rate, shall be 90 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program.

However, subsequent to the report submitted pursuant to 185.103(1)"b, "when the provider has failed to achieve a utilization rate of 70 percent during a cost report period, the subsequent rate shall be calculated on the basis of 100 percent of licensed or staffed capacity, whichever is less. This penalty shall be applied to cost reports due on or after December 1, 1994.

b. The applicable inflation factor is the percentage which shall be applied to costs for which prospective indices or other limits have not been established. The inflation factor is intended to overcome the time lag between the time period during which the rates will be in effect. The inflation factor shall be the amount by which the Consumer Price Index for all urban con­sumers increased during the preceding calendar year ending December 31.

(I) The inflation factor ·shall not be applied to prospective, budgeted costs or when the rate is established based on the report of costs incurred for less than 12 months.

(2) In no event shall the inflation factor cause the occupancy or administrative caps to be exceeded.

c. Rates established at reasonable and necessary cost per unit of service, net of related revenue, shall be subject to 185.106(4).

d. When a ceiling has been authorized by the legislature, the reimbursement rate shall be established by determining on a per unit basis the necessary and reasonable cost plus the cur­rent inflation factor subject to the maximum allowable cost ceiling.

e. The indices cited in subrules 185.105(1) to 185.105(4), 185.105(6), and 185.105(8) shall be reviewed and adjusted at the beginning of the state fiscal year and shall be applied to the first actual or the annual cost report due on or after that date. Adjustments shall be based on the most current data available on July I.

185.106(3) Rate limits. Providers will be subject to the following rate limits: a. Group care floor. For fiscal year 1994, combined service and maintenance components

of the reimbursement rate paid to a group care provider shall not be below the rate in effect for that provider on October 31, 1993, or $76.61 per day when a 360-day year is used, whichever is less. The floor shall be $75.56 per day or the rate in effect for that provider on October 31, 1993, when a 365-day year is used.

Ch 185, p.44 Human Services[441] lAC 5/10/95

b. Rates for new providers and for providers adding a new program to an existing contract under 441-Chapter 152. Payment rates for new providers and for providers adding a new program to an existing contract under 441-Chapter 152 shall be established according to the methodology described at 185.106(1)"a" to "d," not to exceed the lower of:

(1) Budgeted cost per unit of service as computed under 185.106(1)Ha" to "d." (2) The 75th percentile of rates for similar programs as computed at the beginning of the

calendar year, beginning January 1, 1995. Rates established pursuant to projected budgets shall not be included in the percentile ranking.

c. Interruptions in a program will not affect the rate. If a provider assumes the delivery of program from another provider, the rate shall remain the same as for the former provider.

185.106(4) Unit of service and unit rates. For family-centered services, all members of a family shall collectively be considered one recipient of any unit of family-centered service. Service to the family or one or more of its members shall be considered one unit of service. For family foster care and group care, the child shall be considered the recipient of any unit of service.

a. The unit of service for family-centered and family foster care services shall be one-half hour of service provided on a face-to-face basis and directed toward the child. Monthly cumulative units shall be rounded up or down to the nearest whole unit.

b. The unit of service for family preservation shall be the family. c. The unit of service for the required services provided in group care shall be one day based

on a 365-day year. Rates in effect prior to July 1, 1995, shall be adjusted by multiplying them by 360 and dividing the result by 365 to establish the new rates effective July 1, 1995. Rates established on or after July 1, 1995, based on statistical information using a 360-day year shall be similarly adjusted. The unit of service for additional and optional services shall be one­half hour of service provided on a face-to-face basis and directed toward the child.

d. When co-therapy is provided, the provider shall bill at the rate for the unit of service for one therapist except as provided for as follows:

(1) When co-therapy is provided, the payment rates shall be determined by dividing the reasonable and necessary cost for the service by the average number of unrelated persons in attendance in the group.

(2) The co-therapy rate may be billed when the group consists of two or more families and four or more children. The rate for co-therapy shall be no more than 150 percent of the rate for group therapy and counseling services using one therapist. When the provider does not have a rate established for group therapy and counseling services using one therapist, 150 per­cent of the median rate for group therapy and counseling services using one therapist as deter­mined by the department shall be used as the ceiling.

e. When therapy and counseling, restorative living skill development, and social or parent­ing skill development services are provided as a group service, the payment rates shall be determined by dividing the reasonable and necessary cost for that service by the average num­ber of children or families in attendance at the group service.

441-185.107(234) Payment of new rates. New rates shall become effective according to the following four provider and service conditions.

185.107(1) Rates based on reports of costs for the provider's fiscal year. Providers shall submit the Rehabilitative Treatment and Supportive Services Financial and Statistical Report, Form 470-3049, within three months of the close of the provider's fiscal year. This form shall be used to report all reasonable and necessary costs for the entire fiscal year. Rates shall be adjusted based on the reported costs and a new rate established effective for programs provided beginning no later than the first day of the second month after receipt by the project manager of a complete financial and statistical report. However, no rate shall be effective prior to the effective date of the contract for a program.

185.107(2) Rates for new providers and current providers adding a new program. Rates

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lAC 114/95 Human Services[441] Ch 185, p.45

based on a projected budget or the first actual report shall be effective no later than the first day of the second month after receipt by the project manager of a complete financial and statistical report. The provider handbook shall specify the information to be completed for the projected budget. However, no rate shall be effective prior to the effective date of the contract for a program.

185.107(3) Liability for payment. The department shall not be liable for payment for any programs prior to the contract effective date.

185.107(4) Utilization. Utilization for new family-centered, family preservation and family foster care programs shall not be budgeted at less than 80 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program. Utilization for new group care programs shall not be budgeted at less than the following: Utilization for group care facilities certified to provide community residential treatment and licensed pursuant to 441-Chapter 116 or 481-Chapter 57 or 63 shall be 95 percent or actual (whichever is great­er) of the licensed or staffed capacity (whichever is less) of the program. Utilization for all other group care facilities certified to provide community residential treatment and group care facilities certified to provide comprehensive residential treatment or enhanced residential treat­ment shall be 90 percent or actual (whichever is greater) of the licensed or staffed capacity (whichever is less) of the program. The new provider or current provider adding a new pro­gram shall specify on the financial and statistical report the licensed capacity, when applica­ble, and the staffed capacity for each new program. Any changes in licensed or staffed capacity shall be reported on any subsequently submitted cost reports.

441-185.108(234) Conversion to fixed fee schedule. On or before July I, 1997, rates for services shall be based on a fixed fee schedule.

These rules are intended to implement Iowa Code sections 234.6 and 234.38.

441-185.109 to 185.120 Reserved.

DIVISION VII BILLING AND PAYMENT PROCEDURES

441-185.121(234) Billing procedures. At the end of each month the provider agency shall prepare Form AA-2241-0, Purchase of Service Provider Invoice, for contractual services provided by the agency during the month.

Separate invoices shall be prepared for each county from which clients were referred and each program. Complete invoices shall be sent to the department county office responsible for the client for approval and forwarding for payment.

Providers shall never bill for more than one month of service. A separate invoice is re­quired for each separate month of service, even if the service span overlaps one month.

185.121(1) Time limit for submitting invoices. The time limit for submission of original invoices shall be 90 days from the date of service, except at the end of the state fiscal year when claims for services through June 30 are to be submitted by August 10.

185.121(2) Resubmitta/s of rejected claims. Valid claims which were originally submitted within the time limit specified in 185.121(1) but were rejected because of an error shall be resub­mitted as soon as corrections can be made.

185.121(3) Payment. Within 60 days of the date of receipt of a valid invoice, the depart­ment shall make payment in full of all invoices concerning rehabilitative treatment and sup­portive services rendered to clients, provided the invoices shall be subject to audit and adjustment by the department.

Ch 185, p.46 Human Services[44l] lAC 8/30/95

This rule is intended to implement Iowa Code sections 234.6 and 234.38. [Filed without Notice 8/12/93-published 9/1/93, effective 11/1/93*] 1.._,1

[Filed emergency 8/12/93*-published 9/1/93, effective 8/12/93*] [Filed emergency 10/14/93-published 11110/93, effective 11/1/93]

[Filed 12/16/93, Notices 9/1/93, 11/10/93-published 115/94, effective 3/I/94] [Filed 3/10/94, Notice I I 19/94-published 3/30/94, effective 6/ 1194]

[Filed emergency 5/11/94 after Notice 3/16/94-published 6/8/94, effective 6/1/94] [Filed emergency 6/16/94-published 7/6/94, effective 7/1/94]

[Filed 8/12/94, Notice 7/6/94-published 8/31/94, effective 11/1/94] [Filed emergency 12/15/94-published 114/95, effective 2/1/95]

[Filed emergency 2/16/95 after Notice 1217/94-published 3/15/95, effective 2/16/95] [Filed 2/16/95, Notice 1/4/95-published 3/15/95, effective 5/1195] [Filed 4/13/95, Notice 2/15/95-published 5/10/95, effective 7 /1195] [Filed 5/11!95, Notice 3/29/95-published 6/7/95, effective 8/1/95**] \we'

[Filed emergency 6/7/95-published 7/5/95, effective 7/1/95) [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/l/95)

CHAPTERS 186 to 199 Reserved

•Rule 185.4(234), subrule 185.8(4) and rule 185.9(234), effective 8/12/93.

••Effective date of IH5.22 (I) "d," (2) "d," and (3) "d," 185.42(3). IH5.62( I) "d," (2) "d.'' and (3) "d," and 441-185.82(234) delayed 711 days by the Administrative Rules Review Cummitlee at its meeting held July II, 1995.

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lAC 8/30/95 Human Services[441) Ch 201, p.4

201.5(9) The maximum monthly maintenance payment for a child in subsidized adoption shall be made pursuant to the foster family care maintenance rates according to the age and special needs of the child as found at 441-subrule 156.6(1) and 441-paragraphs 156.6(4)"a" and "b. " If at the time of placement, the child was receiving the special needs payment found at 441-paragraph 156.6(4)"d" or was in group care and would have been eligible for the pay­ment if the child had been in foster care, the child shall be eligible for this payment in a sub­sidized adoptive placement.

441-201.6(600) Types of subsidy. 201.6(1) Special services only. a. Reimbursement to the adoptive family or direct payment made to a provider is limited

to the following services: (1) Outpatient counseling or therapy services. Reimbursement for outpatient individual or

family services may be provided from a non-Medicaid provider only with approval from the regional administrator or designee and when one of the following applies:

1. The services are not available from a Medicaid provider within a reasonable distance from the family.

2. The child and the family were already receiving therapy or counseling from a non-Medicaid provider and it would not be in the child's best interest to disrupt the services.

3. Available Medicaid providers lack experience in working with foster, adoptive, or blended families.

Reimbursement to non-Medicaid providers shall be limited to the Medicaid rate. (2) Rescinded lAB 6/9/93, effective 8/1/93. (3) Medical services not covered by the Medicaid program shall be limited to an additional

premium amount due to the child's special needs to include the child in the family's health insurance coverage group. An adoption subsidy payment shall not supplement the Medicaid payment rate to a Medicaid provider or a non-Medicaid provider.

(4) Child care, as required by the child's special needs. When a child's special need requires day care as determined by the physician, therapist, or other specialist, the family should be advised to apply for family day care assistance, or other community resources. These resources shall be used prior to the use of adoption subsidy funds.

(5) Medical transportation not covered by Medicaid and the family's lodging and meals, if necessary, when the child is receiving specialized care or the child and family are required to stay overnight as part of a treatment plan.

(6) Supplies and equipment as required by the child's special needs and unavailable through other resources.

(7) Attorney fees and court costs necessary to finalize the adoption, limited to the usual and customary fee for the area.

(8) Funeral benefits at the amount allowed for a foster child in accordance with 441-subrule 156.8(5).

b. The need for special services shall be established by a report in the child's record from the private or public agency which had guardianship of the child, and substantiating informa­tion from specialists as defined in rule 441-201.2(600).

c. Any single special service and any special service delivered over a 12-month period cost­ing $500 or more shall have prior approval from the central office adoption program manager prior to expending program funds.

Ch 201, p.5 Human Services[44l) lAC 2/6/91, 12111/91

d. For all Medicaid covered services the department shall reimburse at the same rate and \.,) duration as Medicaid as set forth in rule 441-79.1(249A).

201.6(2) Maintenance only. A monthly payment to assist with room, board, clothing and spending money may be provided, as determined under 201.5(600). The child will also be eligible for medical assistance pursuant to 441-Chapter 75.

201.6(3) Maintenance and special services. For special needs children, a special services subsidy may also be included when a maintenance subsidy is provided.

441-201.7(600) Termination of subsidy. Subsidy will terminate when any of the following occur:

201.7(1) The adoptive child no longer meets the definition of child in rule 441-201.1(600). 201.7(2) The child marries. 201. 7(3) The adoptive parents are no longer using the maintenance payments to support

the child. 201.7(4) Death of the child, or death of the parents of the child (one in a single-parent

family and both in a two-parent family). 201.7(5) Upon conclusion of the terms of the agreement. 201.7(6) Upon request of the adoptive parents. 201.7(7) The adoptive parents are no longer legally responsible for the child. 201. 7(8) The family fails to participate in the renewal process.

441-201.8(600) Reinstatement of subsidy. Reinstatement of subsidy will be made when the subsidy was terminated because of reasons in 201.7(3) or 201.7(6) to 201.7(8) and the reason for termination no longer exists.

441-201.9(600) New application. New applications will be taken at any time, but processed only so long as funds are available. Maintenance and special services already approved will continue.

441-201.10(600) Medical assistance based on residency. Special needs children eligible for any type of subsidy are entitled to medical assistance as defined in 441-Chapter 75. The funding source for medical assistance is based on the following criteria:

201.10(1) IV-E-eligible children: • a. IV-E-eligible children residing in Iowa from Iowa and from other states shall receive med­

ical assistance from Iowa. b. IV-E-eligible children from Iowa residing in another state shall receive medical assistance

from the family's state of residence, even though medical assistance available in the family's state of residence may vary from Iowa's medical assistance.

201.10(2) Non-IV-E-eligible children: a. Non-IV-E children from Iowa residing in Iowa shall be covered by Iowa's medical

assistance. b. Non-IV -E children from Iowa residing in another state shall receive medical assistance

from the state of residence when the state has adopted the adoption assistance interstate com­pact and a contract between Iowa and the family's state of residence is completed. Medical assistance available in the family's state of residence may vary from Iowa's medical assistance.

c. Non-IV-E-eligible children from another state residing in Iowa shall continue to be covered by the other state's medical assistance unless the state has adopted the adoption assistance interstate compact and a contract between Iowa and the other state exists.

201.10(3) When an Iowa child receives medical assistance from another state, Iowa shall discontinue paying any medical costs the month following the move unless additional time is necessary for a timely notice of decision to be provided to the family. An exception shall be made when the initial Iowa subsidy agreement provides for services not covered by the other states.

lAC 8/30/95 Human Services[441] Ch 201, p.6

441-201.1 1(600) Presubsidy recovery. The department shall recover the cost of presubsidy maintenance and special services provided by the department as follows:

201.11(1) Funds shall be applied to the cost of presubsidy maintenance and special serv­ices from the unearned income of the child.

201.11(2) The department shall serve as payee to receive the child's unearned income. The income shall be placed in an account from whence it shall be applied toward the cost of the child's current care and the remainder placed in an escrow account.

201.11(3) When a child has funds in escrow these funds may be used by the department to meet the current needs of the child not covered by the presubsidy payments and not pro­hibited by the source of the funds.

201.11(4) When the child leaves presubsidy care, funds in the escrow shall be paid to the adoptive parents, or to the child if the child has attained the age of majority.

These rules are intended to implement Iowa Code sections 600.17 to 600.21 and 600.23; and 1995 Iowa Acts, Senate File 462, section 25, subsection 4.

[Filed 2/23172] [Filed 4113177, Notice 2/23177-published 514177, effective 6/8177] [Filed 3/25/83, Notice 1119183-published 4/13183, effective 6/1/83]

[Filed emergency 6117 /83-published 7/6/83 effective 7 I 1183] [Filed emergency 2/10/84-published 2/29184, effective 2/10184] [Filed emergency 1115/87-published 2/11/87, effective 1115/87]

[Filed 1121/88, Notice 12/16/87-published 2/10/88, effective 411/88] [Filed 4/14/89, Notice 3/8/89-published 5/3/89, effective 711/89]

[Filed 9/15189, Notice 7126/89-published 10/4/89, effective 12/1189] [Filed 1/17/91, Notice 11/28/90-published 2/6/91, effective 411191]

[Filed 11/15191, Notice 9/18/91-published 12/11/91, effective 211192] [Filed emergency 6111/92-published 118192, effective 711192]

[Filed 8/14/92, Notice 718/92-published 912/92, effective 10/7/92] [Filed 5/14193, Notice 3131193-published 6/9/93, effective 811/93]

[Filed 9/17/93, Notice 7121/93-published 10113/93, effective 111/94] [Filed emergency 6/ 16194-published 7/6/94, effective 7 I 1/94]

[Filed 8/12/94, Notice 7/6194-published 8/31/94, effective 1111/94] [Filed 4/13/95, Notice 2/15/95-published 5/10/95, effective 7/1 /95]

[Filed emergency 617/95-published 7/5/95, effective 7!1/95] [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95]

n ··.._ __ ./

·--

lAC 9/2/92 Human Services[441] Ch 202, p.ll

to the following, if involved in services to the child: the juvenile court officer, the judge, the child's attorney, the child's guardian ad litem, the child's guardian, the child's custodian, the child's court appointed special advocate, the parents' attorneys, the county attorney, the state foster care review board, and any other interested parties identified on Form 427-1020, Face Sheet.

202.15(5) The initial and subsequent case permanency plans shall be completed on the forms specified in rule 441-130.7(234).

202.15(6) If the need arises to add a new problem or responsibility prior to the next sched­uled review, the department worker shall send a copy of Forms 427-1021, Case Permanency Plan Review and 427-1023, The Problem and Responsibility List, with a cover letter to the judge, if applicable, and all interested parties identified on Form 427-1020, Face Sheet, to advise them of the amendment to the case permanency plan.

441-202.16(1358) Department approval of need for a psychiatric medical institution for children.

202.16(1) Applicants for departmental approval of need shall submit the following to the division of adult, children and family services:

a. A description of the population to be served, including age, sex, and types of disorders, and an estimate of the number of these youth in need of psychiatric care in the area of the state in which the applicant is located.

b. A statement of the number of beds requested and a description of the treatment pro­gram to be provided, the outcomes to be achieved and the techniques for measuring outcomes.

c. A proposed date of operation as a psychiatric medical institution for children. d. A description of the applicant's experience with providing similar services to youth, es­

pecially the target population. e. A description of the applicant's plan, including the timeline for achieving accreditation

to provide psychiatric services from the joint commission on the accreditation of health care organizations under the commission's standards for residential settings and licensure as a psy­chiatric medical institution for children, or a copy of the commission's report if already ac­credited.

f. References from the regional administrator for the department ·region in which the pro­posed psychiatric medical institution for children would be located, the chief juvenile court officer of the judicial district in which the proposed psychiatric medical institution for chil­dren would be located and the applicant's licensor from the department of inspections and appeals or department of public health.

202.16(2) The department shall evaluate proposals and issue a decision based on the fol­lowing criteria:

a. The number of psychiatric medical institutions for children beds for the proposed popu­lation which are needed in the area of the state in which the facility would be located, based on the department's most recent needs assessment.

b. The steps the facility has taken towards achieving accreditation from the joint commis­sion on accreditation of health care organizations and licensure as a psychiatric medical insti­tution for children.

c. The applicanCs ability to provide services and support consistent with the requirements under Iowa Code chapter 232 including, but not limited to, evidence that:

(I) Children will be served in a setting which is in close proximity to their parents' home. (2) Each child will receive services consistent with the child's best interests and special psy­

chiatric needs as identified in the child's case permanency plan. (3) Children and their families will receive services to facilitate the children's return home

or other permanent placement. d. The applicant's ability to provide children with a nonhospital-type living environment

if the applicant is not freestanding from a hospital or health care facility.

Ch 202, p.l2 Human Services[441] lAC 8/30/95

e. The limits on the number of beds found in Iowa Code section 135H.6, subsection 5. ~ 202.16(3) If a facility has not been licensed as a psychiatric medical institution for chil-

dren within one year after the date of the department's approval of need, the department's approval shall expire unless the department has approved an extension. An extension may be approved up to a maximum of six months if the agency has documented extenuating cir­cumstances which prevented completion of the licensing process.

This rule is intended to implement Iowa Code section 135H.6, subsection 5.

441-202.17(232) Regional group care targets. 202.17(1) Regional target figure. A group care target figure shall be established for each

departmental region which shall be based on a portion of the annual statewide group care target established by the general assembly to reduce the number or length of group care placements.

a. The fiscal year 1996 state target shall be 1220 children, excluding unaccompanied ~ refugee minors.

b. Each region's portion of the group care target shall be based on the following formula: 70 percent of the regional target shall be based on the region's portion of children aged 5 through 17, according to the 1990 census; and 30 percent shall be based on the region's por­tion of the average monthly group care population, excluding unaccompanied refugee minors, for fiscal years 1989 to 1993.

c. Upon written agreement of the affected regional administrators and chief juvenile court officers, regions may transfer bed days from one region to another.

d. Notwithstanding the statewide target established in this subrule, a target established in a region's group care plan pursuant to Iowa Code section 232.143 may be exceeded, a group care placement may be ordered, and state payment may be made if a clinical assessment and consultation team finds that the placement is necessary to meet the child's service needs and ~ if the region has additional bed days transferred from another region pursuant to 441-para-graph 202.17(1)"c."

The department and the courts shall work together to ensure that a region's group care expenditures shall not exceed the funds allocated to the region for group care in the fiscal year.

202.17(2) Regional plan for achieving target. For each of the departmental regions, representatives appointed by the department and the juvenile court shall establish a plan for containing the number of children placed in group care within the target figure allocated to that region. The plan shall include monthly targets and strategies for developing alternatives to group care placements.

The plans shall also ensure that effective November I, 1993, all potential group care refer­rals are reviewed by a clinical assessment and consultation team prior to submission of a recom­mendation for group care placement to the court.

Each regional plan shall be established in advance of the fiscal year to which the regional ~ plan applies. To the extent possible, the department and the juvenile court shall coordinate the planning required under this subrule with planning for services paid under Iowa Code sec-tion 232.141, subsection 4. The department's regional administrator shall communicate regu-larly, as specified in the regional plan, with the juvenile courts within the region concerning the current status of the regional plan's implementation.

This rule is intended to implement Iowa Code section 232.143 and 1995 Iowa Acts, Senate File 462, section 10, subsection 2, paragraphs "a" and "d. "

lAC 8/30/95 Human Services[441) Ch 202, p.13

[Filed 9128177, Notice 8110177-published 10119177, effective 11123177] [Filed 916179, Notice 6127179-published 1013179, effective 1117179]

[Filed 10123180, Notice 913180-published 11112180, effective 12117180] [Filed 1115182, Notice 9115182-published 11124182, effective 111183]

[Filed 3125183, Notice 9129182, 11124182-published 4113183, effective 711183] [Filed 10128183, Notice 9114183-published 11123183, effective 111184] [Filed 11118183, Notice 10112183-published 1217183, effective 211184]

[Filed emergency 2110184-published 2129184, effective 2110184] [Filed 412/84, Notice 211184-published 4125184, effective 611184] [Filed emergency 8131184-published 9126184, effective 1011184]

[Filed emergency 6114185-published 113185, effective 711185] [Filed 8123185, Notice 713185-published 9111185, effective 1111185]

[Filed emergency 1115187-published 2111187, effective 1115187] [Filed 313187, Notice 12131186-published 3125187, effective 511187]

[Filed emergency 6119187-published 7 I 15187, effective 7 I 1 187] [Filed 8128187, Notice 7115187-published 9123187, effective 1111187]

[Filed 9124187, Notice 8112187-published 10121187, effective 1211187] [Filed 11125187, Notice 1017187-published 12116187, effective 211188] [Filed 4122188, Notice 21 10188-published 5118188, effective 7 I 1188] [Filed 5112189, Notice 218189-published 5131189, effective 811189]

[Filed emergency 618189-pu blished 6128189, effective 7 I 1 189] [Filed 7114189, Notice 4119189-published 819189, effective 1011189] [Filed 8117189, Notice 6128189-published 916189, effective 10111189] [Filed 9115189, Notice 7126189-published 1014189, effective 1211189] [Filed 5117191, Notice 413191-published 6112191, effective 811191]

[Filed 9118191, Notice 7110191-published 10116191, effective 1211191] [Filed 12111191, Notice 10116191-published 118192, effective 311192]*

[Filed 2113192, Notice 118192-published 314192, effective 511192] [Filed emergency 4115192-published 5113192, effective 4116192] [Filed emergency 61 12192-published 718192, effective 7 I 1192]

[Filed 8114192, Notices 5121192, 718192-published 912192, effective 1111192] [Filed emergency 6111193-published 717193, effective 711193]

[Filed without Notice 8112193-published 911193, effective 1111193] [Filed 8112193, Notices 2117193, 717193-published 911193, effective 1111193]

[Filed 12116193, Notice 911193-published 115194, effective 311194] [Filed emergency 5111194 after Notice 3116194-published 618194, effective 611194]

[Filed emergency 6116194-published 116194, effective 711194] [Filed 8112194, Notice 7 16194-published 8131194, effective 1111 194] [Filed 3120195, Notice 1118195-published 4112195, effective 611195]

[Filed emergency 6/7/95-published 7/5/95, effective 7/1/95) [Filed 8/10/95, Notice 7/5/95-published 8/30/95, effective 11/1/95)

•Effective date of 3/1/92 delayed until adjournment of the 1992 General Assembly by the Administrative Rules Review Commiuee at its meeting held February 3, 1992.

~ ~· '} . ...._

lAC 8/30/95 Livestock Health Advisory(521 J ChI, p.l

LIVESTOCK HEALTH ADVISORY COUNCIL[521]

(Rules transferred from agency number(S6S) to (521) to conform with the reorganization numbering scheme in general, lAC Supp 4/22/87)

CHAPTER I RECOMMENDATIONS

1.1 (26 7) Recommendations for fiscal year 1995-1996

CHAPTER 1 RECOMMENDATIONS

521-1.1(267) Recommendation for liscal year 1995-1996. Senate File 266 (1995 Session, 76th General Assembly) proposes a $276,022 appropriation for fiscal year 1995-1996 to be used by the Iowa State University College of Veterinary Medicine for research into livestock diseases. The livestock health advisory council recommends that this appropriation for fiscal year 1995-1996 be applied in the following manner:

I. $20,000 for swine proliferative enteritis. 2. $20,000 for PRRSV (mystery swine disease) strain variation: serotyping and immu-

nization. 3. $17,500 for swine streptococcal disease. 4. $18,000 for the effect of PRRSV infection on viral presentation. 5. $18,000 for PRRSV: vaccine development. 6. $20,000 for coronavirus infections in swine. 7. $12,000 for application of ELISA in segregated early weaning. 8. $18,000 for mycoplasmal pneumonia. 9. $17,000 for Newcastle disease in poultry.

10. $ 8,000 for avian mycoplasmas. 11. $20,000 for poultry enteric disease. 12. $14,000 for allergic respiratory disease in sheep. 13. $ 7,500 for parapoxviruses in bovine teat disease. 14. $18,000 for bovine respiratory disease. 15. $18,000 for rotavirus types associated with calf scours. 16. $15,000 for mycoplasma bovis infection. 17. $ 5,000 for bovine virus, diarrhea virus, and reproductive efficiency. 18. $10,022 (contingency fund) to be disbursed after January 1, 1996. This chapter is intended to implement Iowa Code subsection 267 .5(3).

[Filed emergency 7/5177-published 7/26/77, effective 7/11/77 to 1116/78] [Filed emergency after Notice 6/28/78, Notice 5/3178-published 7/26/78, effective 6/28178]

[Filed 7/5/79, Notice 4/4/79-published 7/25/79, effective 8/29/79] [Filed 6/23/80, Notice 4/30/80-published 7/23/80, effective 9/1 /80] [Filed 7/2/81, Notice 5/13/81-published 7/22/81, effective 9/15/81] [Filed 7/13/82, Notice 4/28/82-published 8/4/82, effective 9/8/82]

[Filed 6/14/83, Notice 4/13/83-published 7/6/83, effective 8/10/83] [Filed 6/29/84, Notice 5/23/84-published 7/18/84, effective 8/22/84] [Filed 7/23/85, Notice 6/5/85-published 8/14/85, effective 9/18/85] [Filed 7/23/86, Notice 6/ 18/86-published 8/13/86, effective 9/17 /86]

Note: History for Chapter I continued on next page.

ChI, p.2 Livestock Health Advisory[ 521] lAC 8/30/95

[Filed 11/30/87, Notice 5/6/87-published 12/16/87, effective 1120/88] [Filed 12/6/88, Notice 6/1/88-published 12/28/88, effective 2/1189] [Filed 10/3/89, Notice 5/3/89-published 11/1/89, effective 12/6/89] [Filed 9/12/90, Notice 5/30/90-published 10/3/90, effective 1117/90] [Filed 10/4/91, Notice 5/29/91-published 10/30/91, effective 12/4/91]

[Filed 7/14/93, Notice 4/14/93-published 8/4/93, effective 9/8/93] [Filed 8/25/94, Notice 4/27/94-published 9/14/94, effective 10/19/94)

[Filed 8/4/95, Notice 4/26/95-published 8/30/95, effective 10/4/95]

lAC 2/17/93, 8/30/95 Natural Resource Commission[571) Analysis, p.3

~ CHAPTER 31 PART 3

PUBLIC-OWNED LAKES CITY GRANTS

ELIGIBILITY PROCESS 33.40(455A) Competitive grants to cities

31.1 (70GA,ch202) Purpose 33.41 to 33.49 Reserved 31.2(70GA,ch202) Definitions 31.3(70GA,ch202) Eligibility review and PART4

selection procedures PRIVATE GRANTS

31.4(70GA,ch202) Commission review 33.50(455A) Private cost-sharing program

CHAPTER32 CHAPTER 34

PRIVATE OPEN SPACE LANDS COMMUNITY FORESTRY CHALLENGE

32.1(9H) Applicability GRANT PROGRAM (CFCGP)

'-../ 32.2(9H) Definition 34.1(461A) Purpose

34.2(461A) Definitions CHAPTER 33 34.3(461A) Availability of funds

RESOURCE ENHANCEMENT AND 34.4(461A) Eligibility of forestry

PROTECTION PROGRAM: COUNTY, development projects

CITY AND PRIVATE OPEN SPACES 34.5(461A) Eligibility of demonstration

GRANT PROGRAMS projects 34.6(461A) Projects not eligible

PART I 34.7(461A) Eligible applicants

GENERAL PROVISIONS 34.8(461A) Establishing project priorities

33.1(455A) Purpose 34.9(461A) Application procedures

33.2(455A) Resource enhancement policy 34.10(461A) Requirements for funding

33.3(455A) Definitions 34.11(461A) Project agreements

'.,' 33.4(455A) Restrictions 34.12(461A) Reimbursement procedures

33.5(455A) Grant applications, general procedures

33.6(455A) Appraisals CHAPTER 35

33.7(455A) Groundwater hazard Reserved

statements 33.8(455A) Rating systems not used TITLE IV

33.9(455A) Applications not selected for RECREATIONAL VESSEL AND VEHICLE

REGISTRATION AND SAFETY grants

33.10(455A) Similar development projects CHAPTER36 33.11(455A) Commission review and ap-

pro val GREEN VALLEY LAKE

33.12(455A) Timely commencement and SPECIAL WATER ACTIVITY RULES

\._I completion of projects 36.1(462A) General

33.13(455A) Waivers of retroactivity 36.2(462A) Inboard boats

33.14(455A) Project amendments 36.3(462A) Racing craft

33.15(455A) Payments 36.4(462A) Wake

33.16(455A) Record keeping and retention 36.5(462A) Speed

33.17(455A) Penalties 36.6(462A) Hours

33.18(455A) Annual reporting 36.7(462A) Ski zone

33.19(455A) Property tax reimbursement 36.8(462A) Traffic pattern

33.20(455A) Public hearing 36.9(462A) Designated activities in ski

33.21(455A) Conflict of interest zone

33.22 to 33.29 Reserved 36.1 0( 462A) Designated areas 36.11 ( 462A) Traffic

PART2 36.12( 462A) Lifesaving device

\._,) COUNTY GRANTS 36.13( 462A) Speed

33.30(455A) County conservation account 33.31 to 33.39 Reserved

Analysis, p.4 Natural Resource Commission[ 57 I] lAC 8/30/95

36.14(462A) Distance from shore 36.15(462A) Horsepower limitation

CHAPTER 37 BOATING SAFETY EQUIPMENT

3 7 .I ( 462A) Fire extinguishers 37.2(462A) Flame arrester required 37.3 to 37.5 Reserved 37.6(462A) Lights on vessels 37.7(462A) Lighting requirements for

sailing vessles 37 .8(462A) Sailing vessels with auxiliary

power 37.9 to 37.12 Reserved 37.13(462A) Buoyant safety equipment

CHAPTER38 BOAT REGISTRATION

AND NUMBERING 38.1(462A) Emblem placed 38.2 to 38.5 Reserved 38.6(462A) Procedure for application

38.7 to 38.9 38.1 0( 462A) 38.11(462A) 38.12 to 38.14 38.15(462A)

of boat registration number--content

Reserved Information on certificate Registration applied for card Reserved Numbering pattern to be

used 38.16 to 38.18 Reserved 38.19( 462A) Display of number on vessel,

as to size, block type and contrasting color

38.20 to 38.24 Reserved 38.25(462A) Number designating

passenger capacity 38.26 to 38.29 Reserved 38.30( 462A) Boats for hire

CHAPTER 39 BOATING PASSENGER CAPACITY

39.1(462A) U.S. Coast Guard assigned capacity rating

39.2(462A) Vessels assigned a capacity rating by the manufacturer

39.3(462A) Vessels not containing capacity rating information

39.4(462A) Incorrect registration

CHAPTER 40 BOATING SPEED AND

DISTANCE ZONING 40.1 ( 462A) Restricted areas 40.2(462A) Uniform buoy system 40.3(462A) Commission approval 40.4(462A) Right for aggrieved party to

appeal 40.5(462A) Rathbun Lake, Appanoose

County-zoned areas 40.6(462A) Red Rock Lake, Marion

County-zoned areas 40.7(462A) Coralville Lake, Johnson

County-zoned areas 40.8(462A) Saylorville Lake, Polk

County-zoned areas 40.9(462A) Lake Odessa in Louisa

County 40.10(462A) Mississippi River lock and

dam safety zone 40.11(462A) Joyce Slough Area 40.12(462A) Swan Slough, Camanche,

Iowa 40.13(462A) Massey Slough 40.14(462A) Black Hawk County waters 40.15(462A) Mitchell County waters 40.16(462A) Maquoketa River 40.17(462A) Zoning of off-channel waters

of the Wapsipinicon River in Pinicon Ridge Park in Linn County

40.18(462A) Speed restrictions on Lake Manawa

40.19(462A) Zoning of Little Wall Lake 40.20(462A) Lake lcaria, Adams

County-watercraft use 40.21(462A) Zoning of the Des Moines

River 40.22(462A) Upper Gar Lake, Dickinson

County 40.23(462A) Zoning of the Mississippi

River, Guttenberg river mile 616, Clayton County

40.24(462A) Mt. Ayr City Lake (Loch Ayr) 40.25(462A) Iowa River in Iowa City,

Johnson County 40.26(462A) Zoning of the Mississippi

River, Dubuque, Dubuque County

40.27(462A) Zoning Harpers Slough, Harpers Ferry, Allamakee County

lAC 8/30/95 Natural Resource Commission[ 57 I J Analysis, p.5

40.28( 462A) Black Hawk Lake, Sac CHAPTER 42 \..,, County-zoned areas BOATING ACCIDENT REPORTS

40.29( 462A) Speed and other restrictions 42.1(462A) Accident report on Brown's Lake, 42.2(462A) Procedure Woodbury County 42.3(462A) Contents

40.30( 462A) Speed and other restrictions on Snyder Bend Lake, CHAPTER 43 Woodbury County MOTORBOAT NOISE

40.31 ( 462A) Speed restrictions on East 43.1(462A) Definitions Okoboji and West Okoboji 43.2(462A) Sound level limitation Lakes in Dickinson County 43.3(462A) Serviceability

40.32(462A) Spirit Lake, Dickinson County-zoned areas CHAPTER 44

~ 40.33(462A) Speed restrictions on the Mis- BOATING, SPECIAL EVENTS

sissippi River, Jackson 44.1(462A) Registration exemption County, at Spruce Creek 44.2(462A) Sponsoring organizations County Park

40.34(462A) Speed restrictions on the Mis- CHAPTER 45

sissippi River, Jackson BOAT MOTOR REGULATIONS

County, at the city of 45.1(462A) Horsepower rating

Sabula 45.2(462A) Alteration of horsepower rating

40.35(462A) Speed restrictions on the 45.3(462A) Propulsion mechanism not in use

Greene Impoundment of 45.4(462A) Horsepower limitations on the Shell Rock River artificial lakes

40.36(462A) Zoning of the Iowa River, 45.5(462A) Artificial marshes Iowa Falls, Hardin County

~ 40.37(462A) Zoning of Crystal Lake CHAPTERS 46 to 48

40.38(462A) Five Island Lake, Palo Alto Reserved

County CHAPTER 49 40.39(462A) Lost Island Lake, Palo Alto

and Clay Counties OPERATION OF MOTOR VEHICLES

40.40( 462A) Ingham Lake, Emmet County IN MEANDERED STREAMS,

40.41 ( 462A) Storm Lake, Buena Vista NAVIGABLE STREAMS AND

County TROUT STREAMS

40.42(462A) Raccoon River Regional Park 49.1(462A) Purpose and intent

Lake, Polk County 49.2(462A) Definitions

40.43(462A) Zoning of the Mississippi 49.3(462A) Stream identification process

River, Bellevue, Jackson 49.4(462A) Motor vehicle prohibition in

County meandered streams, trout ·~ streams and navigable

CHAPTER 41 streams

BOATING NAVIGATION AIDS 49.5(462A) Motor vehicle prohibition in

41.1(462A) Definitions meandered streams

41.2(462A) Waterway markers 41.3(462A) Authority to place markers CHAPTER 50

41.4(462A) Maintenance of waterway ALL-TERRAIN VEHICLES AND

markers SNOWMOBILE ACCIDENT REPORTS

41.5 and 41.6 Reserved AND REGISTRATION DISPLAY

41.7(462A) Display of waterway markers 41.8(462A) Specifications for waterway 50.1(3210) Accident report

markers 50.2 to 50.4 Reserved

'..._/ 41.9(462A) Waterway marking devices 50.5(3210) Registration applied for card

41.10(462A) The diver's flag and proof of purchase 50.6 to 50.8 Reserved 50.9(3210) Procedure for placement of

validation and expiration decal

Analysis, p.5a Natural Resource Commission[ 57 I J lAC 8/30/95

TITLE V MANAGEMENT AREAS AND PRACTICES

CHAPTER 51 GAME MANAGEMENT AREAS

51.1(481A) Definitions 51.2(481A) Jurisdiction 51.3(481A) Use of firearms 51.4(481A) Dogs prohibited-exception 51.5(48IA) Use of blinds and decoys 51.6(48IA) Trapping on game management

areas 51. 7(48IA) Motor vehicle restrictions 51.8(481A) Employees exempt

CHAPTER 52 WILDLIFE REFUGES

52.1(481A) Established

CHAPTER 53 CONTROLLED HUNTING AREAS

53 .I ( 481 A) Definitions 53.2(481A) Waterfowl hunting on

Forney Lake and Riverton Area

53.3(481A) Waterfowl hunting on Lake Odessa

CHAPTER 54 RESTRICTION ON REMOVAL

OF PLANT LIFE 54.1(461A) Mushrooms and asparagus 54.2(461A) Fruit 54.3(461A) American ginseng 54.4(461A) Trees

CHAPTER 55 NONPERMANENT STRUCTURES

55.1(461A) Ice fishing shelters

CHAPTERS 56 to 60 Reserved

TITLE VI PARKS AND RECREATION AREAS

CHAPTER 61 STATE PARKS AND

RECREATION AREAS 61.1(461A) Applicability 61.2(461A) Definitions 61.3(461A) Fees 61.4(461A) Procedures for registration

and reservations 61.5(461A) Restrictions-area and use

lAC 8/30/95 Natural Resource Commission(571]

CHAPTER37 BOATING SAFETY EQUIPMENT

)Prior lU 12/Jl/Mfl. Conscrvillion Commission)2lJO) Ch 27)

Ch 37, p.I

571-37.1(462A) Fire extinguishers. The number and type of fire extinguishers required for motorboats within the state of Iowa are as follows:

37 .1(1) Fire extinguishers. Fire extinguishers shall be a coast guard approved type as identified in the coast guard publication equipment list (CG-190) by manufacturer's model, number and size, or type bearing the labeling "marine type" by the Underwriters' Laboratories, Inc., which are coast guard approved as per Federal Register 5, November 1960.

37.1(2) Approved fire extinguishers. Each fire extinguisher is classified, by letter and number, according to the type of fire it may be expected to extinguish, and the size of the extinguisher. The letter indicates the type of fire ("A" for fires in ordinary combustible materials; "B" for gasoline, oil and grease fires). Extinguishers approved for motorboats are hand-portable, of either B-1 or B-II classification.

Classification (type-size)

B-1 .................... . B-11 ................... .

Foam (minimum

gallons)

111.. 2112

Carbon Dioxide

(minimum pounds)

4 15

Dry Chemical (minimum

pounds)

2 10

The number of approved extinguishers required depends upon the class (or length) of the motorboat. One B-11 extinguisher may be substituted for two B-1 extinguishers. When the engine compartment of the motorboat is equipped ~ith a fixed (built-in) extinguishing system of an approved type, one less B-I extinguisher is required.

~ 37 .1(3) Fire extinguishers required.

Class of motorboat

I (less than 16 ft.) II (16 ft. to under 26 ft.) III (26 ft. to under 40 ft.) IV (40 ft. to 65 ft.)

1 B-1 i B-1

Without fixed Fire extinguisher system

In machinery space

2 B-1 or 1 B-II 3 B-1 or 1 B-II and 1 B-1

With fixed Fire extinguisher system

In machinery space

None None 1 B-1 2 B-1 or 1 B-II

571-37 .2(462A) Flame arrester required. All motorboat engines, except outboard engines, shall be equipped with an efficient flame arrester, backfire trap or other similar device.

An acceptable flame arrester shall have one of the following markings: \..,I I. U.S. Coast Guard approval number.

2. Complies with UL 1111 per tests by (name of testing facility). 3. Evidence of compliance with the standard shall be indicated by the marking SAE J-1928

with the word MARINE arranged in a suitable manner. This rule is intended to implement Iowa Code section 462A.3.

571-37.3 to 37.5 Reserved.

571-37.6(462A) Lights on vessels. The following lights shall be required on all vessels. 37.6(1) Vessels at anchor. A vessel at anchor shall exhibit between the hours of sunset and

sunrise: 1. In the forepart, a white light to show 360 degrees around the horizon or one ball; and

Ch 37, p.2 Natural Resource Commission[571] lAC 8/30/95

2. At or near the stern and at a lower level than the light prescribed in paragraph "1" above, a white light to show 360 degrees around the horizon.

A vessel of less than 50 meters in length may exhibit a white light to show 360 degrees around the horizon instead of the lights prescribed in this sub rule.

37.6(2) Vessels not powered by motor or sail. All vessels not powered by motor or sail and not at anchor shall exhibit a white light to show 360 degrees around the horizon between the hours of sunset and sunrise when operated on natural lakes, Corps of Engineers impound­ments, border rivers and impoundments on inland rivers. When operated on bodies of water other than those listed in this subrule, all vessels not powered by motor or sail and not at anchor shall have in possession a hand-held light to be used when necessary between the hours of sunset and sunrise.

This rule is intended to implement Iowa Code section 462A.3.

571-37. 7( 462A) Lighting requirements for sailing vessels. Vessels of all classes when propelled by sail alone shall exhibit one of the following lighting systems between sunset and sunrise and at all other times required by applicable laws:

37.7(1) While underway one of the following lighting systems is acceptable. a. The international lighting system for the applicable class of vessel. b. The combined lantern or separate side lights required for the applicable class of vessel

plus a white light so placed as to illuminate the sail so the sail is visible at a distance of at least one-half mile.

37. 7(2) While at anchor one of the following lighting systems is acceptable. a. A white light which shows all around the horizon (360degrees). b. An illuminated sail to be visible all around the horizon (360 degrees) at a distance of one­

half mile. This rule is intended to implement Iowa Code section 462A.9.

571-37.8(462A) Sailing vessels with auxiliary power. A sailing vessel means any vessel whose sole source of propulsion is the natural element (i.e., wind). A sailing vessel using any auxiliary source of mechanical propulsion is a motorboat and must exhibit the lights required for the applicable class of motorboat.

This rule is intended to implement Iowa Code section 462A.9.

571-37.9 to 37.12 Reserved.

571-37.13(462A) Buoyant safety equipment. 37.13(1) Personal flotation devices (PFD) such as life preservers, life belts, ring buoys,

or other similar devices shall be United States Coast Guard approved. 37.13(2) Except as provided in subrule 37.13(6), no person may use a vessel less than 16

feet in length or a canoe or kayak of any length unless at least one personal flotation device of the following types or their equivalent is on board for each person:

a. Type I PFD b. Type II PFD c. Type III PFD 37.13(3) No person may use a vessel 16 feet or more in length, except a canoe or kayak,

unless at least one PFD of the following types or their equivalent is on board for each per­son:

a. Type I PFD b. Type II PFD c. Type III PFD 37.13(4) No person may use a vessel 16 feet or more in length, except a canoe or kayak,

unless at least one Type IV PFD or its equivalent is on board in addition to the PFDs required

\._,J

"-"

\...,!

~

\.-1

lAC 12/22/93 Natural Resource Commission{571) Ch 37, p.3

in subrule 37 .13(3). 37 .13(5) Types of personal flotation devices.

a. Type I PFD is a personal flotation device designed to turn an unconscious person from a face-down position in the water to a vertical or slightly backward position as determined by U.S. Coast Guard standards and labeling under CFR title 33 subchapter S part 175 and CFR title46subchapterQ part 160, as of July 1, 1979.

b. Type II PFD is a personal flotation device designed to turn an unconscious person from a face-down position to a face-up vertical or slightly backward position as determined by U.S. Coast Guard standards and labeling under CFR title 33 subchapter S part 175 and CFR title 46 subchapter Q part 160, as of July 1, 1979.

c. Type III PFD is a personal flotation device designed to keep a conscious person in a ver­tical or slightly backward position as determined by U.S. Coast Guard standards and labeling under CFR title 33 subchapter S part 175 and CFR title46 subchapter Q part 160, as of July I, 1979.

d. Type IV PFD is a personal flotation device designed to be thrown to a person in the water and ·not to be worn as determined by U.S. Coast Guard standards and labeling under CFR title 33 subchapter S part 175 and CFR title46 subchapter Q part 160, as of July 1, 1979.

e. Type V PFD is a work vest or special purpose personal flotation device approved by the United States Coast Guard.

37.13(6) Exceptions. a. A person using a canoe or kayak that is enclosed by a deck and spray skirt need not

comply with subrule 37 .13(2) if he wears a vest-type lifesaving device that: (1) Has no less than 150 separate· permanently inflated air sacs made of not less than 12

mil polyvinylchloride film, and has not less than 13 pounds positive buoyancy in fresh water, if he weighs more than 90 pounds; or

(2) Has no less than 120 separate permanently inflated air sacs made of not less than 12 mil polyvinylchloride film and has not less than 8'h pounds positive buoyancy in fresh water, if he weighs 90 pounds or less.

b. A Type V PFD may be carried in lieu of any PFD required in 27 .13(2) if that Type V PFD is approved by the United States Coast Guard for the activity in which the recreational boat is being used.

37.13(7) Nonapproved devices. Any PFD which has a torn or missing strap, punctured flo­tation bag, waterlogged flotation material, rotted material in straps or webbing or cover, missing laces, missing hardware, envelope torn or perforated, torn stitching or any other condi­tion which impairs the operating efficiency, or any PFD on which the U.S. Coast Guard approval label is no longer easily legible, shall be deemed as not approved for use on board vessels as equipment required by law.

37.13(8) Appropriate sizing. Personal flotation devices carried on board vessels to comply with this regulation shall be of an appropriate size for the person for whom it is intended.

37.13(9) Water skis and surfboards. Any person engaged in water skiing, surfboarding, or similar activity, except for vessels known as windsurfers,· shall wear a Type 1; II, or III personal flotation device approved by the U.S. Coast Guard. Skiers participating in a tournament or exhibition may be exempted from the personal flotation device requirement if the skiers are wearing a wetsuit with built-in flotation and granted a specific exemption in the special events permit issued by the natural resource commission.

37 .13(10) No person shall operate a vessel on any waters of this state under the jurisdiction of the commission, towing a person or persons on water skis, surfboard, or similar device, nor shall any person engage in water skiing, surfboarding, or similar activity at any time between the hours of one-half hour after sunset to sunrise.

This rule is intended to implement Iowa Code sections 462A.9, 462A.I5, 462A.16 and 456A.24.

Ch 37, p.4 Natural Resource Commission[571] lAC 8/30/95

[Filed 12/19/61; amended 5/15/62,3/17/67, 4/9174] \..,J [Filed 4/20/77, Notice 2/9/77-published 5/18/77, effective 6/22177] [Filed I /9/81, Notice 10/29/80-published 2/4/81, effective 3/11/81] [Filed 4/9/81, Notice 2/4/81-published 4/29/81, effective 6/3/81]

[Filed 3/9/84, Notice 12/21/83-published 3/28/84, effective 5/3/84] [Filed 4/4/86, Notice 2/26/86-published 4/23/86, effective 5/28/86]

[Filed without Notice 12/12/86-published 12/31/86, effective 2/4/87] [Filed 7/2/92, Notice 5/27 /92-published 7/22/92, effective 8/26/92]

[Filed 12/3/93, Notice 10/27/93-published 12/22/93, effective 1/26/94] [Filed 8/11/95; Notice 6/7/95-published 8/30/95, effective 10/4/95]

"wJ)

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\.....,)

lAC 9/l/93 Natural Resource Commission[57l] Ch 40, p.3

40.16(1) Water recreation activity restrictions shall be obeyed, including restrictions with­in posted areas which are marked with approved buoys.

40.16(2) No motorboat shall be operated at speeds greater than ten miles per hour at any time between the hours from one hour after sunset to one hour before sunrise.

571-40.17(462A) Zoning of off-channel waters of the Wapsipinicon River in Pinicon Ridge Park in Linn County. No motorboat shall be operated at a speed which will create a wake within the zoned area designated by regulatory buoys or signs on the off-channel waters of the Wapsipinicon River above the dam at Central City, Linn County, Iowa.

The zoned area will be the off-channel waters created in and adjacent to the developed recre­ation areas of the Pinicon Ridge Park on the west and south bank of the Wapsipinicon River above the dam at Central City, Linn County.

571-40.18(462A) Speed restrictions on Lake Manawa. No motorboat shall be operated at a speed greater than five miles per hour within the zoned areas 300 feet from shore around Lake Manawa in Pottawattamie County.

571-40.19(462A) Zoning of Little Wall Lake. No motorboat shall be operated at a speed which will create a wake within the zoned area designated by regulatory buoys on Little Wall Lake in Hamilton County.

The zoned area will not exceed approximately 20 acres in the northeast portion of the lake identified by a line from a point on the high-water mark approximately 296.6 feet west of the southeast corner of the southwest quarter of Section 10, Township 86 North, Range 24 West; thence northwest to the high-water mark which is 775 feet south and 319 feet west of the northeast corner of the northwest quarter of the southwest quarter of Section I 0, Township 86 North, Range 24 West.

57l-40.20(462A) Lake Icaria, Adams County-watercraft use. Motorboats of outboard or inboard-outdrive type with power not to exceed 200 horsepower shall be permitted on Lake lcaria. The following rules shall govern vessel operation on Lake Icaria in Adams County.

40.20(1) All vessels shall be operated at a no-wake speed when within 50 feet of another vessel which is not underway or is operating at a no-wake speed.

40.20(2) Zoned areas. a. No vessel, except authorized emergency vessels, shall be permitted in areas specifically

designated for swimming and wading which are plainly marked by the use of buoys or signs in accordance with 571-Chapter 41.

b. No motorboats, except authorized emergency vessels, shall be operated in marked bay areas at a speed greater than the limit designated by buoys or signs marking said bay. Said buoys or signs shall be in accordance with 571-Chapter 41.

c. No motorboats, except authorized emergency vessels, shall be operated in restricted speed areas between the nearest shore and a line designated by uniform marker buoys or signs at a speed greater than the limit designated on the buoys or signs marking the area. Such zoned areas shall be not less than 50 feet nor more than 400 feet from shore. Said buoys or signs shall be in accordance with 571-Chapter 41.

Ch 40, p.4 Natural Resource Commission[571] lAC 8/30/95

571-40.21(462A) Zoning of the Des Moines River. Vessel operation on the Des Moines River from its confluence with the Mississippi River in Lee County to the northerly meander ~ lines of both the East and West Branches, shall be governed by this departmental rule as well as all applicable state laws and regulations.

40.21(1) No vessel, except authorized emergency vessels, shall be operated in marked areas at a speed greater than the limit designated by buoys marking said areas.

40.21(2) No vessel, except authorized emergency vessels, shall be permitted in areas spe­cifically designated for swimming and wading which are plainly marked b_y the use of bu~ys.

571-40.22(462A) Upper Gar Lake, Dickinson County. Upper Gar Lake (five mile per hour zone between the Henshaw Bridge at the north end of Upper Gar and south end of East Lake and the Old Sawmill Bridge at the south end of Upper Gar and the north end of Minnewashta).

571-40.23(462A) Zoning of the Mississippi River, Guttenberg river mile 616, Clayton County. ~ 40.23(1) All vessels operated between the ice dike and Bussey Lake access shall be operated

at a no-wake speed. 40.23(2) The city will designate the no-wake zone with buoys approved by the natural

resource commission.

571-40.24(462A) Mt. Ayr City Lake (Loch Ayr). A motorboat shall not be operated with­in 100 feet of shore at a speed greater than ten miles per hour.

571-40.25(462A) Iowa River in Iowa City, Johnson County. No person shall operate any vessel towing persons on water skis, surfboards, or similar devices on the Iowa River in the area bounded by the Coralville Mill Dam and the Burlington Street Dam, except during regat­tas, races, marine parades, tournaments, or exhibitions authorized by the natural resource com-mission to be held in such area. "..,.,!

571-40.26(462A) Zoning of the Mississippi River, Dubuque, Dubuque County. a. All vessels shall be limited to no more than five miles per hour in Lake Peosta Cut south

and east of the Hawthorn Street municipal boat launching ramp. b. A restricted speed zone (five miles per hour/no-wake is established in the vicinity of

Chaplain Schmitt Memorial Island in proximity to the Schmitt Island municipal launching ramp and in waters adjacent to the southerly shore line in the area of the Dubuque Yacht Basin.

571-40.27(462A) Zoning Harpers Slough, Harpers Ferry, Allamakee County. 40.27(1) All vessels operated in Harpers Slough between a point 200 feet above the state

ramp and 200 feet out from the west shore extending downstream to a point known as Sandy Point Road Dead-End, shall operate at a no-wake speed.

40.27(2) The city of Harpers Ferry will designate the no-wake zone with buoys approved by the natural resource commission.

571-40.28(462A) Black Hawk Lake, Sac County-zoned areas. 40.28(1) No motorboat shall operate at a speed which will create a wake within the zoned

area marked by the regulatory buoys. The zoned area shall be the area commonly known as Town Bay on the northwest corner of Black Hawk Lake in Sac County.

40.28(2) Areas may be specifically designated for swimming by the use of regulatory buoys.

\...,)

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lAC 8/30/95 Natural Resource Commission[571] Ch 40, p.S

571-40.29(462A) Speed and other restrictions on Brown's Lake, Woodbury County. All vessels shall be operated at a no-wake speed within the two zoned areas designated by buoys or other approved uniform waterway markers.

40.29(1) Zone 1. Zone 1 shall extend 570 yards from the boat ramp east to the regulatory buoys and 150 yards west from the boat ramp.

40.29(2) Zone 2. Zone 2 shall begin at the regulatory buoys located at the 24-inch steel pipe and shall extend west.

40.29(3) Swimming. Areas may be specifically designated for swimming by the use of regulatory buoys.

571-40.30(462A) Speed and other restrictions on Snyder Bend Lake, Woodbury County. All vessels shall be operated at a no-wake speed within the zoned area 400 yards from the boat ramp south to the regulatory sign and buoys.

Areas may be specifically designated for swimming by the use of regulatory buoys.

571-40.31(462A) Speed restrictions on East Okoboji and West Okoboji Lakes in Dickin­son County. No motorboat shall be operated at a speed which will create a wake within the three zoned areas designated by regulatory buoys on East Okoboji and West Okoboji Lakes in Dickinson County.

40.31(1) Zone I. Zone 1 shall be a line from the east side of Givens Point to the south end of Arnolds Park City Beach on West Okoboji. Also, a line ISO yards cast from the north end of the railroad trestle bridge at Clair Wilson State Park south to the shoreline of East Okoboji.

40.31(2) Zone 2. Zone 2 shall be the area which is 300 feet north of the area commonly known as the Narrows on East Okoboji and 200 feet south of the area commonly known as the Narrows on East Okoboji.

40.31 (3) Zone 3. Zone 3 shall be the area 50 feet east of the bridge between East Okobo­ji and Upper Gar on the East Okoboji side running in a northwesterly direction toward the end of the island from Gingles Point then west toward the shoreline.

40.31(4) Areas may be specifically designated for swimming by the use of regulatory buoys.

40.31(5) The following areas are zoned five miles per hour on West Okoboji. a. Zone I. Zone 1 shall be the area commonly known as Okoboji Harbor at the northwest

corner of West Okoboji. b. Zone 2. Zone 2 shall be the area commonly known as the canals in the city of Wahpeton

including Turtle Lake. c. Zone 3. Zone 3 shall be the area commonly known as Lazy Lagoon located in the Triboji

Area on West Okoboji.

571-40.32(462A) Spirit Lake, Dickinson County-zoned areas. 40.32(1) Areas may be specifically designated for swimming by the use of regulatory

buoys. 40.32(2) The following areas are zoned five miles per hour on Spirit Lake, Dickinson

County: a. Zone I shall be the area commonly known as Templar Park Lagoon located midlake on

the west shore of Spirit Lake. b. Reserved.

571-40.33(462A) Speed restrictions on the Mississippi River, Jackson County, at Spruce Creek County Park. No motorboat shall operate at a speed to exceed five miles per hour within the area designated by buoys or other approved uniform waterway markers, beginning at the entrance of Spruce Creek harbor and extending southeast 550 feet and extending east 150 feet

Ch 40, p.6 Natural Resource Commission[571J lAC 8/30/95

from shore. The Jackson County conservation board will designate the speed zone with uni- \...,) form waterway markers (buoys) approved by the natural resource commission.

571-40.34(462A) Speed restrictions on the Mississippi River, Jackson County, at the city of Sabula. No motorboat shall operate at a speed to exceed five miles per hour within the four zoned areas designated by buoys or other approved uniform waterway markers.

40.34(1) Zone 1. Zone I shall extend 200 feet from shore and begin at a point 100 feet above the north Sabula city boat ramp and ending at a point downstream where Bank Street intersects the river bank.

40.34(2) Zone 2. Zone 2 shall extend 200 feet from shore and extend 100 feet upstream and 100 feet downstream from the entrance to the Island City Harbor.

40.34(3) Zone 3. Zone 3 shall extend 200 feet into Lower Sabula Lake from the county boat ramp and 100 feet to the left of the ramp and 100 feet to the right of the ramp.

40.34(4) Zone 4. Zone 4 shall extend 200 feet in all directions beginning at the center of \wl the "cut" into Lower Sabula Lake.

The city of Sabula shall designate the speed zones with uniform waterway markers (buoys) approved by the natural resource commission.

571-40.35(462A) Speed restrictions on the Greene Impoundment of the Shell Rock River. No motorboat shall be operated at a speed exceeding five miles per hour in the two zoned areas of the Greene Impoundment designated by buoys or other approved uniform waterway markers. The first zoned area extends from the dam in the city of Greene, upstream approxi­mately one-quarter mile to the north boundary of the city park in which the lower boat ramp is located. The second zoned area extends from the county bridge over the Shell Rock River on the north side of section 28 of Union Township in Floyd County, downstream approxi­mately one-quarter mile to the south boundary of Gates Bridge County Park. The city of '--' Greene and Floyd County shall designate their respective speed zones with uniform waterway . markers (buoys) approved by the natural resource commission.

571-40.36(462A) Zoning of the Iowa River, Iowa Falls, Hardin County. 40.36(1) All vessels operated in a designated zone between the River Street Bridge and the

dock at Dougan's Landing shall be operated at a no-wake speed. 40.36(2) The city of Iowa Falls shall designate and maintain the no-wake zone with mar­

ker buoys approved by the natural resource commission.

571-40.37(462A) Zoning of Crystal Lake. No motorboat shall be operated at aspeed which will create a wake within the 25-acre zoned area designated by regulatory buoys on Crystal Lake in Hancock County.

571-40.38(462A) Five Island Lake, Palo Alto County. 40.38( 1) Areas may be specifically designated for swimming by the use of regulatory buoys. 40.38(2) Reserved.

571-40.39(462A) Lost Island Lake, Palo Alto and Clay Counties. 40.39(1) Areas may be specifically designated for swimming by the use of regulatory buoys. 40.39(2) Reserved.

571-40.40(462A) Ingham Lake, Emmet County. 40.40(1) Areas may be specifically designated for swimming by the use of regulatory buoys. 40.40(2) Reserved.

lAC 8/30/95 Natural Resource Commission[ 571] Ch 40, p.7

~ 571-40.41(462A) Storm Lake, Buena Vista County. 40.41(1) Areas may be specifically designated for swimming by the use of regulatory buoys. 40.41(2) Resetved.

571-40.42(462A) Raccoon River Regional Park Lake, Polk County. 40.42(1) All vessels shall be operated at a no-wake speed. 40.42(2) A 40-acre body of water located in the southeast corner, and separate from the

main lake, shall be designated for nonmotorized and electric motors only. The city of West Des Moines will designate the area with regulatory buoys and signs.

40.42(3) Areas may be specifically designated for swimming by the use of regulatory buoys.

571-40.43(462A) Zoning of the Mississippi River, Bellevue, Jackson County. 40.43(1) All vessels shall be operated at a no-wake speed within the area designated by

buoys or other approved uniform waterway markers beginning at the mouth of Mill Creek and extending upstream 900 feet, and extending 200 feet perpendicular from shore. The area shall be designated by a minimum of four approved buoys to be uniformly placed along the 900-foot length of the zone parallel to the shore.

40.43(2) The city of Bellevue will designate the no-wake zone with buoys approved by the natural resource commission.

These rules are intended to implement the provisions of Iowa Code sections 462A.l7, 462A.26, and 462A.31.

[Filed 12/19/61; amended 7/23/62, 1114/64, 3/24/64, 9/14/65, 1/11/66, 9/13/66, 12/13/67, 7/16/68, 8/14/68, 3/15/73, amended 5/29/75]

[Filed 9/23/76, Notice 6/28/76-published 10/20/76, effective 11124176] [Filed 717/77, Notice 3/23177-published 7/27/77, effective 8/31177]

[Filed emergency 8/5177-published 8/24/77, effective 8/5177] [Filed 1/9/78, Notice 8/24177-published 1/25/78, effective 3/1178]

[Filed emergency 5/2179 after Notice 3/21179-published 5/30179, effective 5/2179] [Filed 7/6/79, Notice 5/30/79---published 7/25/79, effective 8/29/791 [Filed 7/13/82, Notice 5/26/82-published 8/4/82, effective 9/8/82]

[Filed 10/7/82, Notice 6/23/82-published 10/27/82, effective 12/1/82] [Filed 10/7/82, Notice 9/1182-published 10/27/82, effective 12/1182]

[Filed 10/6/83, Notice of 8/3/83-published 10/26/83, effective 12/1183] [Filed 3/9/84, Notice 12/21/83-published 3/28/84, effective 5/3/84] [Filed 4/5/85, Notice 1/30/85-published 4/24/85, effective 5/29/85] [Filed 9/5/85, Notice 7/3/85-published 9/25/85, effective 10/30/85] [Filed 4/4/86, Notice 2/26/86-published 4/23/86, effective 5/28/86]

[Filed 10/17/86, Notice 7/30/86-published 11/5/86, effective 12/10/86] [Filed without Notice 12/12/86-published 12/31186, effective 2/4/87] [Filed 8/5/88, Notice 6/1/88-published 8/24/88, effective 9/28/88] [Filed 8/17/89, Notice 5/3/89-published 9/6/89, effective 10/11/89] [Filed 2/2/90, Notice 11129/89-published 2/21190, effective 3/28/90] [Filed 1 I 18/91, Notice 10/31 /90-published 2/6/91, effective 3/28/911 [Filed 2/15/91, Notice 11/28/90-published 3/6/91, effective 4/10/91] [Filed 1/17/92, Notice 10/30/91-published 2/5/92, effective 3/11/92] [Filed 6/5/92, Notice 4/1/92-published 6/24/92, effective 7/29/92]

[Filed 1116/92, Notice 9/30/92-published 11125/92, effective 12/30/92] [Filed 8/13/93, Notice 5/26/93-published 9/1193, effective 10/6/93]

[Filed 2/11/94, Notice 8/4/93-published 3/2/94, effective 4/6/94] [Filed 5!15/95, Notice 3/1/95-published 617/95, effective 7/12/95)

[Filed emergency 8/11/95 after Notice 6/7/95-published 8/30/95, effective 8/11/95]

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I I. l

. I I

lAC 8/30/95 Natural Resource Commission[571] Ch 52, p.3

Twin Lakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Calhoun ~Union Grove .............................................................. Tama

Viking Lake ......................................................... Montgomery Walnut Woods ............................................................. Polk Wanata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Clay Wapsipinicon .............................................................. Jones Waubonsie .............................................................. Fremont Wild Cat Den .......................................................... Muscatine Woodman Hollow ........................................................ Webster

52.1(2) Wildlife refuges. a. Restrictions. The following areas under the jurisdiction of the department of natural

resources are established as game refuges where posted. It shall be unlawful to hunt, pursue, kill, trap, or take any wild animal, bird, or game on these areas at any time, and no one shall

" 1 carry firearms thereon. It shall also be unlawful to trespass in any manner on the following ~ areas, where posted, between the dates of September 10 and December 25 of each year, both

dates inclusive, except that department personnel and law enforcement officials may enter the area at any time in performance of their duties. Area County Lake Icaria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adams Rathbun Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appanoose Wildlife Exhibit Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Boone Sweet Marsh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Bremer Storm Lake Islands ................................................... Buena Vista Big Marsh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Butler South Twin Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Calhoun Round Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Clay Allen Green Refuge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Des Moines Kettleson Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dickinson Ingham Lake ............................................................. Emmet Forney Lake ............................................................ Fremont Riverton Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fremont Dunbar Slough ........................................................... Greene Bays Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Guthrie West Twin Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hancock Green Island Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jackson Hawkeye Wildlife Area ................................................... Johnson Muskrat Slough ............................................................ Jones Colyn Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lucas Red Rock Area ............................................. Marion, Polk, Warren Badger Lake ............................................................. Monona Five Island Lake ........................................................ Palo Alto Big Creek-Saylorville Complex ................................................ Polk 1-35 Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Polk Smith Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pottawattamie Lake View Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sac Princeton Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scott Prairie Rose Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shelby Otter Creek Marsh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tama Green Valley Lake ....................................................... Union Three Mile Lake ........................................................ Union Lake Sugema ....................................................... Van Buren Rice Lake Area ..................................................... Winnebago

Ch 52, p.4 Natural Resource Commission[571] lAC 8/30/95

Snyder Lake .......................................................... Woodbury Elk Creek Marsh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Worth Lake Cornelia ............................................................ Wright

b. Pool Slough Wildlife Area in Allamakee County. Rescinded lAB 9/2/92, effective 1017/92.

52.1(3) Open water refuges. Hunting on the following natural lakes is restricted to a zone extending 50 yards into the lake from the ordinary high-water mark; rooted emergent vegetation; or islands unless posted otherwise. Beyond this zone is a wildlife refuge. Area County Storm Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Buena Vista North Twin Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Calhoun Clear Lake .......................................................... Cerro Gordo East Okoboji, Minnewashta, and Upper Gar Lakes ......................... Dickinson Spirit Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dickinson West Okoboji Lake ..................................................... Dickinson Silver Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dickinson High Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Emmet Ingham Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Emmet Tuttle Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Emmet Lost Island Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Palo Alto Silver Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Palo Alto Lake Manawa. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pottawattamie Black Hawk Lake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sac

This rule is intended to implement Iowa Code sections 109.5, 109.6, 109.8 and 109.39. [Filed October 25, 1962; amended April 9, 1974]

[Filed September 13, 1966; amended August 14, 1974] [Filed Emergency 7/20/77 -published 8/10177, effective 7 /20/77] [Filed Emergency 9/1177-published 9/21/77, effective 9/1177]

[Filed 6/8/78, Notice 4/5/78-published 6/28/78, effective 8/10/78] [Filed emergency 4/2/80-published 4/30/80, effective 4/2/80]

[Filed 2/6/81, Notice 12/24/80-published 3/4/81, effective 4/9/81] [Filed 6/3/83, Notice 4/27/83-published 6/22/83, effective 8/1183] [Filed 6/13/84, Notice 2/1/84-published 7/4/84, effective 8/9/84]

[Filed 7/10/85, Notice 4/27/85-published 7/31/85, effective 9/4/85] [Filed without Notice 12/12/86-published 12/31186, effective 2/4/87]

[Filed emergency 10/8/87-published 11/4/87, effective 10/9/87] [Filed 12/11187, Notice 6/3/87-published 12/30/87, effective 2/5/88] [Filed 2/5/88, Notice 1114/87-published 2/24/88, effective 3/30/88] [Filed 1/6/89, Notice 11/2/88-published 1/25/89, effective 3/1189] [Filed 6/7/91, Notice 4/3/91-published 6/26/91, effective 7 /31191*]

[Filed emergency 10/4/91 after Notice 8/7/91-published 10/30/91, effective 10/4/91] [Filed 8!14/92, Notice 5/27/92-published 9/2/92, effective 1017/92] [Filed 8/11/95, Notice 3/1/95-published 8/30/95, effective 10/4/95]

*Efrective date of 52.1(1) "Mine~ of Spain" (7/31/91) delayed 70 days by the Administrative Rules Review Committee at its meeting held 7/12/91.

lAC 3/2/94, 8/30/95 Natural Resource Commission[571]

CHAPTER 53 CONTROLLED HUNTING AREAS

[ Priur to 12/31/1!6, Conscrv;uiun Cummi~~iun{:!911l Chs 14 :nul 151

571-53.1(481A) Definitions. "Commission, means the natural resource commission. "Department, means the department of natural resources.

Ch 53, p.l

"Director, means the director of the department of natural resources or a designee.

571-53.2(481A) Waterfowl hunting on Forney Lake and Riverton Area. The following regu­lations shall be enforced during the waterfowl seasons on Forney Lake and the Riverton Area, both in Fremont County, Iowa.

53.2(1) Controlled area. Portions of both Forney Lake and the Riverton Area, where posted, ~ shall be designated as controlled site hunting areas. No persons (except department personnel

and law enforcement officials in performance of their official duties) shall enter upon these designated controlled areas during the waterfowl hunting seasons unless they possess a valid daily permit.

a. Fomey Lake. The entire Forney Lake area north of the east-west county road shall be a controlled area.

b. Rivenon Area. The entire Riverton Area lying north of the check station road, where posted, shall be a controlled area.

53.2(2) Reservations. Persons may reserve blind sites on these controlled areas under the following conditions:

a. Blind reservations will be accepted by the department beginning on the second Monday of September each year. Reservations must be made for Forney Lake at Department of Natural

\_,) Resources, Forney Lake, Thurman, Iowa, and for the Riverton Area at Department of Natural Resources, Riverton Area, Riverton, Iowa. Reservations will be issued on a first-come-first­served basis.

b. Requests for reservations must be accompanied by $10 for each day requested. In addi­tion, each hunter, except for the reservation holder, will be charged $5 when registering to hunt. Application letters shall contain the reservation request(s) of only one individual.

c. Individuals holding reservations must be present at the reservation headquarters at the appropriate area one hour before the start of legal shooting time on the date of the reservation or the reservation will be voided. Reservation fees will not be refunded.

d. Persons without reservations will be accommodated each day on a first-come-first-served basis, if blinds are available, and upon payment of the reservation and other fees.

e. No individual may reserve more than one blind for any given day. f. Until after the opening date of the goose season each year, no individual may make reser­

vations for more than two days on Saturday, Sunday, Veteran's Day, Thanksgiving Day, and the Friday following Thanksgiving Day. This restriction shall not apply to any period when the duck season is open but the goose season is closed.

53.2(3) Blind sites. All hunters will be assigned a hunting blind and must stay in the assigned blind except when going to and from the blind, or when retrieving downed birds.

a. Blinds will be assigned by drawing and the party must hunt from the assigned blind only. b. Parties may change blinds if blinds are available only by reregistering and paying an

additional $5 fee for the party. The party must relinquish the blind which they originally held. 53.2(4) Permits. Daily permits, designating the blind assignment, will be issued subject to

the following: a. All hunters shall exchange their hunting licenses at the reservation station for a permit.

Hunters must return to the reservation station immediately upon leaving the blind and must present all bagged game for inspection before leaving the area. Licenses will be returned when hunters properly check out of the area.

Ch 53, p.2 Natural Resource Commission[571] lAC 3/2/94, 8/30/95

b. Permits will be issued only to bona fide hunters, except nonhunters may be issued per- \,.,I mits by paying the required fees when extra space is available. Nonhunters accompanying a permit holder will not be charged the registration fee.

53.2(5) Ammunition. Nonhunters may not possess shells or firearms on the areas. Hun­ters shall use or possess only shotshells with steel shot not larger than size BB.

53.2(6) Area restriction. It shall be unlawful to shoot or carry firearms between the dates of September 15 and December 15 of each year, both dates inclusive, around the perimeter of the entire Forney Lake Refuge within the posted limits of a strip approximately 100 yards wide, and a similar area where so posted on the Riverton Area.

571-53.3(481A) Waterfowl hunting on Lake Odessa. The following regulations shall be in effect during waterfowl seasons on Lake Odessa, Louisa County, Iowa.

53.3(1) Controlled area. The Lake Odessa public hunting area, where posted, shall be desig-nated as a controlled site hunting area. No person (except department personnel and law '-"" enforcement officials in performance of their official duties) shall enter upon this portion of the Lake Odessa area during the period from the opening day of the waterfowl seasons, until the end of the duck seasons each year, unless they possess a valid daily permit, when required, issued for the area in which they wish to hunt. Permits shall be issued, by zones, as follows:

a. Controlled area "A." Permits for area A will be issued at the Schafer Access check station. A drawing to determine hunting sites will be held 90 minutes before the start of shooting time for waterfowl each day. One person shall fill out a permit with the names of all persons in the hunting party (maximum of six) and present the permit to the check station attendant prior to the drawing time. The nonrefundable daily permit fee to enter the drawing is $5 per party, unless one member of the party has a $50 season permit. If a person's name appears on more than one permit, the person shall be disqualified from hunting on the area for that day. When a person's name is on one permit, the person cannot subsequently hunt with any ~ J

other party prior to 10 a.m. each day. The person who filled out the permit shall draw to ,...... determine the sequence of site selection. Permits for area A will be issued for each party, giving the hunters' individual names and the stake site number which they selected. The party shall hunt only at that site and must stay within 40 yards of the stake except when retrieving game or when going to and from the area. A party at any one site can use no more than two boats. Decoys must be placed within 60 feet of the stake. Hunting and the location of decoys, at double stake sites, is restricted to one of the stake sites.

b. Controlled area "B." Permits for area B are required only on opening weekends of duck season. Permits for this area will be issued at both the Schafer Access check station and the Sand Run station. Permits will be issued on a first-come, first-served basis from 90 minutes before, until one hour after, the start of legal shooting time for waterfowl each day. Each boat will be issued, without charge, a permit showing the name of each member of the party. Hunting sites will not be designated. Persons may enter area B without securing a permit \._,) beginning one hour after the start of legal shooting time for waterfowl each day.

53.3(2) Exhibiting permits. Permittees must exhibit permits to law enforcement officers upon request.

53.3(3) Checkout time. Permittees for area A must check out of the check station where their permit was issued within 30 minutes after vacating their stake site, and must present all game taken at the check station for inspection.

53.3(4) Leaving the area. All boats, blinds, and decoys must be removed from the con­trolled areas and permittees for area A checked out of the check station within one hour after the close of legal shooting time for waterfowl each day.

lAC 3/2/94 Natural Resource Commission[571] Ch 53, p.3

~ These rules are intended to implement Iowa Code sections 481A.5, 481A.6, 481A.7, and 481A.48.

~

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1..._,1

~

[Filed 6/10175] (Filed 6/13/77, Notice 5/4/77-published 7/13/77, effective 8/17177]

[Filed emergency 9/1177-published 9/21/77, effective 9/1177] [Filed 6/8178, Notice 4/5/78-published 6/28178, effective 8/2/78]

[Filed 6/5/81, Notice 4/1181-published 6/24/81, effective 7/29/81] [Filed emergency after Notice 917/84, Notice 3/28/84-published 9/26/84, effective 917 /84]

[Filed 6/6/85, Notice 3/27/85-published 7/3/85, effective 8/15/85] [Filed without Notice 12/ 12/86-published 12/31/86, effective 2/ 4/87]

[Filed 2/11/94, Notice 8/4/93-published 3/2/94, effective 4/6/94]

Ch 54, p.l Natural Resource Commission[ 57 I] lAC 8/30/95

CHAPTER 54 RESTRICTION ON REMOVAL OF PLANT LIFE

(Prior to 12131/1\6. Cun\crvatiun Commi!.sion(29U(, Ch ..J7(

571-54.1(461A) Mushrooms and asparagus. Lands under the jurisdiction of the commis­sion shall be open for the taking of mushrooms and asparagus during the hours the areas are open to the public.

571-54.2(461A) Fruit. Lands under the jurisdiction of the commission shall be open for the taking of all varieties of nuts, fruits, and berries unless signs are posted prohibiting such activity. Nut, fruit, and berry gathering shall be permitted only during the hours the areas are open to the public and shall not be permitted in state preserves unless otherwise allowed by the preserves management plan.

\._)

571-54.3(461A) American ginseng. ~ 54.3(1) Lands under the jurisdiction of the commission except state parks and preserves

shall be open for the taking of American ginseng (Panax quinquefolius) during the season established by 571-78.2(456A).

54.3(2) When digging is done to collect ginseng, the earth is not to be unduly disturbed. The collector shall, immediately upon removal of the plant, restore the disturbed area as nearly as possible to its original condition.

This rule implements Iowa Code section 461A.41.

571-54.4(461A) Trees. The commercial harvest of trees from lands under the jurisdiction ofthe commission shall be done in accordance with 561-8.5(17A,456A,461A) and 8.6(455B), according to the department's Forest Ecosystem Management Guide, approved by the natur-al resource commission on December 8, 1994, and hereby adopted by reference. ~

1 This rule is intended to implement Iowa Code sections 461A.35 and 461A.41. ..._, [Filed emergency 2/9/76-published 2/23176, effective 2/9/76]

[Filed 3/9/84, Notice 2/1/84-published 3/28/84, effective 5/3/84] [Filed emergency 8/8/85-published 8/28/85, effective 8/28/85)

[Filed without Notice 12/12/86-published 12/31/86, effective 2/4/87) [Filed 8/11/95, Notice 617/95-published 8/30/95, effective 10/4/95)

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\.,.,)

~I

lAC 8/30/95 Natural Resource Commission[ 57 I]

CHAPTER 92 MIGRATORY GAME BIRDS

Jl'riur lu 12/3lll«'•. Cun!'Crvilliun Cummi~~iunJ2IJIIJ, Ch ICI5J

Ch 92, p.l

571-92.1(481A) General. Migratory game birds may be taken only in accordance with the daily bag and possession limits during the open season and shooting hours as prescribed annu­ally by the natural resource commission.

571-92.2(481A) Duck stamp. It shall be unlawful for any person who has attained the age of 16 years to take any migratory waterfowl (brant, wild ducks, geese, and swans) unless at the time of such taking that person has with them an unexpired federal migratory bird hunting and conseiVation stamp (commonly called duck stamp), validated by the person's signature writ­ten across the face of the stamp in ink.

571-92.3(481A) Hunting methods. Migratory game birds may be taken by any method except those prohibited in this rule. No person shall take migratory game birds (brant, wild ducks, geese, rails, coots, woodcock, and snipe):

92.3(1) With a trap, snare, net, crossbow, rifle, pistol, swivel gun, shotgun larger than 10-gauge, punt gun, battery gun, machine gun, fish hook, poison, drug, explosive or stupefy­ing substance;

92.3(2) With a shotgun of any description capable of holding more than three shells, unless it is plugged with a one-piece filler, incapable of removal without disassembling the gun, so its total capacity does not exceed three shells;

92.3(3) On all lands and waters of the state of Iowa while having in one's possession any shot other than steel shot, copper-coated or nickel-coated steel shot, or bismuth shot. This subrule shall not apply to the taking of woodcock.

92.3(4) From or by means or use of a sinkbox or any other type of low-floating device, having a depression affording the hunter a means of concealment beneath the surface of the water;

92.3(5) From or by means, aid, or use of any motor vehicle, motor-drive land convey­ance, or aircraft of any kind, except that paraplegics and single or double amputees of the legs may take from any stationary motor-driven land conveyance. "Paraplegic" means an individual afflicted with paralysis of the lower half of the body with the involvement of both legs, usually due to disease of or injury to the spinal cord;

92.3(6) From or by means of any motorboat or other craft having a motor attached, or any sailboat, unless the motor has been completely shut off or the sail furled, and its progress therefrom has ceased: Provided, that a craft under power may be used to retrieve dead or crippled birds. However, crippled birds may not be shot from such craft under power;

~ 92.3(7) By the use or aid of live birds as decoys; although not limited to, it shall be a

\._,1

violation of this subrule for any person to take migratory waterfowl on an area where tame or captive live ducks or geese are present unless such birds are and have been for a period of ten consecutive days prior to such taking, confined within an enclosure which substantially reduces the audibility of their calls and totally conceals such birds from the sight of wild migratory waterfowl;

rl ....

lAC 8/30/95 Natural Resource Commission[571] Ch 92, p.2

92.3(8) By the use or aid of recorded or electrically amplified bird calls or sounds, or recorded or electrically amplified imitations of bird calls or sounds;

92.3(9) By means or aid of any motor-driven land, water, or air conveyance or any sail­boat used for the purpose of or resulting in the concentrating, driving, rallying, or stirring up of any migratory bird; or

92.3(10) By the aid of baiting, or on or over any baited area. As used in this subrule, "baiting" shall mean the placing, exposing, depositing, distributing, or scattering of shelled, shucked or unshucked com, wheat or other grain, salt, or other feed so as to constitute for such birds a lure, attraction or enticement to, on, or over any areas where hunters are attempting to take them; and "baited area" means any area where shelled, shucked or unshucked corn, wheat or other grain, salt, or other feed capable of luring, attracting, or enticing such birds is directly or indirectly placed, exposed, deposited, distributed, or scattered and such area shall remain a baited area for ten days following complete removal of all such com, wheat or other grain, salt, or other feed. However, nothing in this subrule shall prohibit:

a. The taking of all migratory game birds, including waterfowl, on or over standing crops, flooded standing crops (including aquatics), flooded harvested croplands, grain crops properly shocked on the field where grown, or grains found scattered solely as the result of normal agricultural planting or harvesting; and

b. The taking of all migratory game birds, except waterfowl, on or over any lands where shelled, shucked or unshucked com, wheat or other grain, salt, or other feed has been distributed or scattered solely as the result of valid agricultural operations or procedures.

57l-92.4(481A) Restrictions applicable to possession, tagging, and record-keeping requirements.

92.4(1) No person shall possess, have in custody, or transport more than the daily bag limit or aggregate daily bag limit, whichever applies, of migratory game birds, tagged or not tagged, at or between the place, where taken and either:

a. The person's automobile or principal means of land transportation; or b. The person's personal abode or temporary or transient place of lodging; or c. A migratory bird preservation facility; or d. A post office; or e. A common carrier facility. 92.4(2) No person shall put or leave any migratory game birds at any place other than

at the person's personal abode, or in the custody of another person for picking, cleaning, processing, shipping, transportation, or storage (including temporary storage), or for the pur­pose of having taxidermy services performed, unless such birds have a tag attached, signed by the hunter, stating the person's address, the total number and species of birds, and the date such birds were killed. Migratory game birds being transported in any vehicle as the per­sonal baggage of the possessor shall not be considered as being in storage or temporary storage.

92.4(3) No person shall receive or have in custody any migratory game birds belonging to another person unless such birds are tagged as required under 92.4(2).

92.4(4) No migratory bird preservation facility shall: a. Receive or have in custody any migratory game birds unless accurate records are

maintained showing: (l) The number of each species; (2) The date such birds were received; (3) The name and address of the person from whom such birds were received; (4) The date such birds were disposed of; (5) The name and address of the person to whom such birds were delivered, or b. Destroy any records required to be maintained under this rule for period of one

year following the last entry on the record. c. No migratory bird preservation facility shall prevent any person authorized to enforce

this part from entering such facilities at all reasonable hours and inspecting the records and the premises where such operations are being carried on.

Ch 92, p.3 Natural Resource Commission[571] lAC 8/30/95

571-92.5(481A) Transportation within the state or between states. \.,.,) 92.5(1) No person shall transport or ship any migratory game birds, unless the head or

one fully feathered wing remains attached to each such bird at all times while being transported or shipped from the place where taken until they have arrived at the personal abode of the possessor or a migratory bird preservation facility.

92.5(2) Reserved.

571-92.6(481A) Wounded, live migratory game birds. 92.6(1) Every migratory game bird wounded by hunting and reduced to possession by the

hunter shall be immediately killed and become a part of the daily bag limit. 92.6(2) Wanton waste. No person shall kill or cripple any migratory game bird

pursuant to this chapter without making a reasonable effort to retrieve the bird and include it in the daily bag limit.

These rules are an adoption of the federal waterfowl method to take regulations, and are ~ intended to implement Iowa Code section 481 A.48.

[Filed 7 /16/75J [Filed emergency 9/2/76-published 9/22/76, effective 9/2/76] [Filed emergency 9/1177-published 9/21/77, effective 9/1/77]

[Filed emergency 8/30/78--published 9/20/78, effective 8/30/78] [Filed emergency after Notice 8/27/79, Notice 3/7/79-published 9/19179, effective 8/29/79]

[Filed 3/12/80, Notice 11128/79-oublished 4/2/80. effective 5/7/80*1 [Filed 7/2/80, Notice 5/28/80-published 7/23/80, effective 8/27 /80] [Filed 6/5/81, Notice 4/1/84-published 6/24/81, effective 7/29/81]

[Filed 115/84, Notice 11/23/83-published 2/1184, effective 3/7/84**) [Filed 12/10/84, Notice 2/29/84-published 112/85, effective 2/6/85] [Filed without Notice 12/12/86-published 12/31/86, effective 2/4/87] "--"

[Filed 6/11/87, Notice 3/11/87-published 7/1/87, effective 8/10/87) [Filed 8/11/95, Notice 617/95-published 8/30/95, effective 10/4/95)

•Effective date of 105.3(3) delayed seventy days by the administrative rules review committee.

••Effective date of IOS.3(3) delayed by the administrative rules review commiuee fony-five days after ~"'nvcning of the next General Assembly pursuant to §17A.8(9).

lAC 8/31/94 Natural Resource Commission[571] Ch 103, p.l

102.3(2) Limits. ~ a. Pheasants (both sexes) and jackrabbit. The daily limit shall be two pheasants. no more

than one of which may be a hen. and one jackrabbit; possession limit shall be four pheasants and two jackrabbits.

b. Quail, gray partridge, ruffed grouse, squin·els and cottolllail rabbit. The daily limit shall be two quail, two gray partridge, two ruffed grouse, four cottontail rabbits and four squir­rels; possession limit shall be four quail, four gray partridge, four ruffed grouse, eight cotton­tail rabbits, and eight squirrels.

571-102.4(481A) Means and methods of take. No person shall have in possession any fire­arm or any other implement for the taking of game while hunting game by means of falconry.

571-102.5(481A) Exclusions. Nothing in this chapter shall pertain to the taking of game under 571-Chapters 91, 96, 97 and 107, Iowa Administrative Code.

These rules are intended to implement Iowa Code sections 481A.38, 481A.39 and 481A.48. [Filed emergency after Notice 8/ !0/82, Notice 6/23/82-published 9/ I /82, effective 9/ I /82]

[Filed 5/31185, Notice 2/27/85-published 6/19/85, effective 7/24/85] [Filed without Notice 12/12/86-published 12/31186, effective 2/4/87]

[Filed 5/12/89, Notice 3/8/89-published 5/31189, effective 8/1189] [Filed 10/8/93, Notice 9/1193-published 10/27/93, effective 12/1/93]

[Filed emergency 8/12/94 after Notice 3/2/94-published 8/31/94, effective 8/12/94]

CHAPTER 103 MOBILE RADIO TRANSMITTERS

571-103.1(481A) Definitions. "One-way mobile radio transmitters" means radios capable of transmitting a radio signal

only. The signal is tracked or located by radio telemetry or by location of an audible sound signal. The system is not capable of transmitting voice signals.

"Two-way mobile radio transmitters" means radios capable of transmitting and receiving voice messages. An example would be a CB radio or a cellular telephone.

571-103.2(481A) Falconry. Licensed falconers may use one-way mobile radio transmitters to recover free-flying birds of prey properly banded and covered on their falconry permit.

571-103.3(481A) Hunting dogs. Any person hunting with the aid of a dog may use, at any time, a one-way mobile transmitter designed to track or aid in the recovery of the dog.

"'--" These rules are intended to implement Iowa Code section 481 A.24. [Filed 3/12/93, Notice 11/25/92-published 3/31193, effective 5/5/93]

CHAPTER 104 Reserved

Ch 105, p.l Natural Resource Commission[571 J lAC 8/30/95

CHAPTER 105 DEER POPULATION MANAGEMENT AREAS

571-105.1(481A) Purpose. The purpose of this chapter is to establish special deer popula­tion management areas on selected properties managed by the department to ensure the har­vest of a specific number of deer to reduce economic and biological damage caused by high deer populations.

571-105.2(481A) Definitions. '!4rea•• means recreation areas as designated in 571-61.2(461A). "Department .. means department of natural resources. "Special deer management unit .. means defined units of public and private land.

571-105.3(481A) Designated areas. 105.3(1) Lake Darling Recreation Area. 105.3(2) Cedar Falls/Waterloo Deer Management Unit. 105.3(3) Iowa Army Ammunition Plant Deer Management Unit. 105.3(4) Springbrook Recreation Area.

571-105.4(481A) Conditions. The hunting of deer only shall be permitted subject to the following conditions, limitations and procedures.

105.4(1) Lake Darling Recreation Area. a. Deer hunting on the area may occur only when approved by the natural resource com­

mission and on dates established by the commission. b. Every hunter must have in possession a paid deer gun hunting special antlerless-deer­

only license valid only for Lake Darling Recreation Area. c. If the commission approves a hunting season, the commission shall establish the number

of special antlerless-deer-only licenses valid only for Lake Darling Recreation Area which shall be issued for each deer gun season and shall be valid only for the season specified.

d. The special licenses issued for each season will be issued on a first-come, first-served basis at the Lake Darling district office on dates announced by the commission.

e. The special antlerless-deer-only licenses for Lake Darling Recreation Area shall cost $25, shall be limited to one per person, and shall be issued to Iowa residents only.

f Hunters holding a valid any-sex regular paid gun deer license for the second gun season may convert that license to an antlerless-only license valid only for the Lake Darling Recreation Area if the special licenses have not been issued by November 30. Such conver­sion must be made by department personnel at the Lake Darling district office.

g. Only 10-, 12-, 16- or 20-gauge shotguns, shooting single slugs only, and flintlock and percussion cap lock muzzleloaded rifles or muskets of not less than .44 caliber nor larger than .775 caliber, shooting single projectiles only, will be permitted.

h. All licensees shall attend a special meeting prior to hunting in Lake Darling Recreation Area to become familiar with boundaries, location of private lands, safety areas around build­ings, access points, objectives of the hunt and other aspects of hunting on a special deer popu­lation management area.

i. All licensees who are successful during the hunt must check their deer at the designated headquarters prior to leaving the area.

105.4(2) Cedar Falls/Waterloo Deer Management Unit. a. Defined as public and private land within the area beginning at the intersection of U.S.

Highway 63 and Dunkerton Road; west on Dunkerton Road to Waverly Road; north on said road to West Cedar Wapsie Road; west on said road to Union Road; south on said road to U.S. Highway 20; east on said road to Iowa Highway 58; south on said road to Shaulis Road; east on said road to U.S. Highway 63; north on said road to U.S. Highway 20; east on said road to the Cedar River; north and west along the Cedar River to U.S. Highway 63; north on said road to Dunkerton Road.

lAC 6/7/95 Natural Resource Commission[S71] Ch 105, p.2

b. A maximum of 100 antlerless-archery licenses to be issued by the conservation officer and Cedar Falls and Waterloo city police departments on a first-come, first-served basis.

c. Every hunter must have in possession a current paid special antlerless-archery-only deer license for the Cedar Falls/Waterloo Deer Management Unit only.

d. Special antlerless-archery-only deer license for Cedar Falls/Waterloo shall cost $25, shall be limited to one person, and shall be issued to Iowa residents only.

e. All state archery regulations as provided in 571-subrules 106.3(1) and 106.7(1) shall apply, except deer hunting season in George Wyth Recreation Area shall be November 1 through December 22, 1995.

f. All bow hunters must demonstrate archery proficiency, complete a bow hunter safety education course, and be approved by the appropriate police department and conservation officer.

g. Hunting in George Wyth State Park shall be limited to areas south of the main park road to the west end of Fisher Lake and all areas west of the main park road west of Fisher Lake but not within 25 yards of any roads, parking lots, trailways, campground, rental lodge or as otherwise posted by the department.

105.4(3) Iowa Army Ammunition Plant (IAAP) Deer Management Unit. a. Defined as all federal land administered by the IAAP. b. A maximum of 500 antlerless licenses to be issued by the IAAP on a first-come, first­

served basis. c. Every hunter must have in possession a current paid special antler less deer license for the

IAAP only. d. Special antlerless deer licenses will be valid for the IAAP only and must comply with

all applicable regulations provided in 571-Chapter 106. e. Special antlerless-only deer licenses for the IAAP deer management unit shall cost $25,

shall be limited to one person and shall be issued to Iowa residents only. f. All hunters must comply with IAAP requirements. 105.4(4) Springbrook Recreation Area: a. A harvest of 80 antlerless deer shall be the objective for 1995. b. Every hunter must have in possession a 1995 paid deer gun hunting special antlerless

deer license valid only for Springbrook Recreation Area. c. The 50 special antlerless-deer-only licenses valid only for Springbrook Recreation Area

shall be issued for each deer gun season of December 2, 3 and 4 and December 9, 10, 16 and 17 and shall be valid only for the specified dates.

d. The 50 special licenses issued for each season will be issued on a first-come, first-served basis at the Springbrook Conservation Education Center office beginning at 8 a.m., Novem­ber 4, 1995.

e. The special antlerless-deer-only licenses for Springbrook Recreation Area shall cost $25, shall be limited to one per person, and shall be issued to Iowa residents only.

f. Hunters holding a valid any-sex regular paid gun deer license for the December 9 through 17 season may convert that license to an antler less-only license valid only for the Springbrook Recreation Area if the 50 special licenses have not been issued by November 24, 1995. Such conversion must be made by department personnel at the Springbrook Conservation Educa­tion Center office.

g. Only 10-, 12-, 16- or 20-gauge shotguns, shooting single slugs only, and flintlock and percussion cap lock muzzleloaded rifles or muskets of not less than .44 caliber nor larger than . 775 caliber, shooting single projectiles only, will be permitted.

h. All licensees shall attend a special meeting prior to hunting in Springbrook Recreation Area to become familiar with boundaries, location of private lands, safety areas around build­ings, access points, objectives of the hunt and other aspects of hunting on a special deer popu­lation management area.

i. All licensees who are successful during the hunt must check their deer at the designated headquarters prior to leaving the area.

Ch 105, p.3 Natural Resource Commission[571] lAC 8/30/95

105.4(5) F. W. Kellt Park Deer Management Unit-Johnson County. ~ a. A haiVest of 60 antlerless deer shall be the objective for 1995. b. Every hunter must have in possession a 1995 paid deer gun hunting special antlerless

deer license valid only for F.W. Kent Park, Johnson County. c. The 50 special antlerless-deer-only licenses valid only for F. W. Kent Park shall be issued

for each deer gun season of December 2, 3 and 4 and December 9, 10 and II and shall be valid only for the specified dates.

d. The 50 special licenses issued for each season will be issued on a first-come, first-seiVed basis at the Johnson County Operations Center at F.W. Kent Park beginning at 8 a.m. on September 23, 1995.

e. The special antlerless-deer-only licenses for F.W. Kent Park Deer Management Area shall cost $25, shall be limited to one per person, and shall be issued to Iowa residents only.

f Only 10-, 12-, 16- or 20-gauge shotguns, shooting single slugs only, and flintlock and per-cussion cap lock muzzleloaded rifles or muskets of not less than .44 caliber nor larger than .775 ~ caliber, shooting single projectiles only, will be permitted.

g. All licensees shall pass a shooting proficiency test and attend a special meeting prior to hunting in F.W. Kent Park to become familiar with boundaries, location of private lands, safe­ty areas around buildings, access points, objectives of the hunt and other aspects of hunting on a special deer population management area.

h. All licensees who are successful during the hunt must check their deer at the designated headquarters prior to leaving the area.

These rules are intended to implement Iowa Code sections 461A.3, 481A.5, 481A.6, 481A.7, 481A.38, 481A.39, and 481A.48.

[Filed emergency 10/4/91 after Notice 8/7/91-published 10/30/91, effective 10/4/91] [Filed emergency 10/2/92 after Notice 7 /22/92-published 10/28/92, effective 10/2/92]

[Filed emergency 9/9/94 after Notice 7/6/94-published 9/28/94, effective 9/9/94] [Filed emergency 10/27 /94-published 11/23/94, effective 10/27 /94] \._,I [Filed 5/15/95, Notice 3/1/95-published 6/7/95, effective 7/17/95] [Filed 8/11/95, Notice 3/29/95-published 8/30/95, effective 10/4/95] [Filed 8/11/95, Notice 6/7/95-published 8/30/95, effective 10/4/95]

~

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lAC 6/7/95 Natural Resource Commission[571]

CHAPTER 106 DEER HUNTING

[Prior to 12/31/86, Conservation Commission[290) Ch 106]

Ch 106, p.1

571-106.1(481A) Licenses. Every hunter must have in possession a deer license valid for the current year when hunting, possessing, or transporting deer. No person while hunting deer shall carry or have in possession any license or transportation tag issued to another person.

106.1(1) Bow season license. Paid bow deer licenses shall be valid for taking any deer statewide or antlerless deer in the special antlerless zone and shall be valid only during the bow season. When two bow licenses are obtained, the individual is not eligible for any other deer license except for a deer population management area permit as provided for in 571-Chapter 105.

106.1(2) Regular gun season license. Paid regular gun season licenses will be valid for antlered deer, any sex deer or antler less deer depending on the county or zone hunted and shall be valid statewide for the season designated on the license. Antlered deer are defined as those deer having at least one 3-inch antler.

Paid regular gun season licenses will be issued by season and will be valid for the designated season only. ·

106.1(3) Muzzleloader season. Paid muzzleloader season licenses shall be valid during one of the muzzleloader seasons for antlered deer, any sex deer, or antler less deer depending on the county or zone hunted. Licenses will be valid only for the season designated on the license. Antlered deer are defined as those deer having at least one 3-inch antler.

571-106.2(481A) Season dates. Deer may be taken only during the following seasons: 106.2(1) Bow season. Deer may be taken by bow and arrow in accordance with the type

of license issued from October l through the Friday before the frrst Saturday in December and from the Monday following the third Sunday in December through January 10 of the follow­ing year, except special regulations in deer population management areas (571-Chapter 105).

106.2(2) Regular gun seasons. Deer may be taken with gun only in accordance with the type, tenure and zone from the first Saturday in December and continuing for five consecu­tive days or from the second Saturday in December and continuing for nine consecutive days.

106.2(3) Muzzleloader seasons. Deer may be taken by muzzleloader in accordance with the type, tenure and zone from the Saturday closest to October 14 and continuing for nine consecutive days or from the Monday following the third Sunday in December through January 10 of the following year.

571-106.3(481A) Shooting hours. Legal shooting hours vary according to the type of season. 106.3(1) Bow season. Legal shooting hours for hunting deer with bow and arrow shall

be one-half hour before sunrise to one-half hour after sunset each day. 106.3(2) Regular gun season. Legal shooting hours for hunting deer with a gun shall be

sunrise to sunset each day. 106.3(3) Muzzleloader seasons. Legal shooting hours for hunting deer during the muzzle­

loader seasons shall be one-half hour before sunrise to one-half hour after sunset each day.

571-106.4(481A) Limits. 106.4(1) Bow season. Daily bag limit one deer per license; possession limit one deer per

license. A person may only shoot and tag a deer by utilizing the license and tag issued in the person's name.

106.4(2) Muzzleloader season. Daily bag limit one deer per license; possession limit one deer per license. A person may only shoot and tag a deer by utilizing the license and tag is­sued in the person's name.

106.4(3) Regular gun seasons. Bag limit shall be one deer for each hunter in the party who has a valid deer transportation tag. Possession limit shall be one deer per license; "pos-

Ch 106, p.2 Natural Resource Commission[571] lAC 6/7/95, 8/30/95

session, shall mean that the deer is in possession of the person whose license number matches the number of the transportation tag on the carcass of the deer.

106.4(4) Maximum annual possession limit. The maximum annual possession limit varies with the type of weapon(s) used, but cannot exceed three deer. Three deer may be taken if:

a. One is taken with a bow and two are taken during the regular second gun season; or b. One is taken with a bow, one taken during the regular second gun season, and one dur-

ing the late muzzleloader season; or c. One is taken with a bow and two are taken during the late muzzleloader season; d. If two deer are taken with a bow, two is the maximum possession limit. Notwithstanding the maximum limits above, an additional deer may be taken if hunting

on a deer population management area as provided for in 571-Chapter 105.

571-106.5(481A) Areas open to hunting. 106.5(1) Paid deer licenses. Hunters shall be restricted to the type of deer they shoot based

on the date and county or zone where they hunt. a. Bow season. Deer of either sex may be taken in all counties. *b. Early muzzleloader season ami first regular gun season. Only antlered deer may be taken

in the following counties (Zone 1): Lyon, Osceola, Dickinson, Emmet, Kossuth, Winnebago, Worth, Mitchell, Howard, Chickasaw, Floyd, Cerro Gordo, Hancock, Palo Alto, Clay, O'Brien, Sioux, Plymouth, Cherokee, Buena Vista, Pocahontas, Humboldt, Wright, Frank­lin, Butler, Bremer, Fayette, Clayton, Dubuque, Delaware, Buchanan, Black Hawk, Grundy, Hardin, Hamilton, Webster, Calhoun, Sac, Ida, Woodbury, Monona, Crawford, Carroll, Greene, Boone, Story, Marshall, Tama, Benton, Linn, Jones, Jackson, Clinton, Scott, Cedar, Muscatine, Johnson, Iowa, Poweshiek, Jasper, Polk, Audubon, Shelby, Harrison, Pottawat­tamie, Warren, Marion, Mills and Fremont. Deer of either sex may be taken in all other counties (Zone 2).

c. Late muzzleloader season and second regular gun season. Only antlered deer may be taken in the following counties (Zone 1): Osceola, Dickinson, Emmet, Kossuth, Cerro Gordo, Hancock, Palo Alto, Clay, O'Brien, Cherokee, Buena Vista, Pocahontas, Humboldt, Wright, Franklin, Butler, Bremer, Buchanan, Black Hawk, Grundy, Hardin, Hamilton, Webster, Cal­houn, Sac, Ida, Story, Marshall and Tama. However, in the last two days of the second regu­lar gun season and the last five days of the late muzzleloader season in these counties, licenses will be valid for any-sex deer. Deer of either sex may be taken in all other counties (Zone 2).

106.5(2) Paid second deer licenses. Paid second deer licenses for the bow season or second regular gun season shall be valid only for antlerless deer and only in the following counties (special antlerless zone): Adams, Taylor, Union, Ringgold, Clarke, Decatur, Lucas, Wayne, Monroe, Appanoose, Wapello, Davis, Jefferson, and Van Buren.

106.5(3) Free landowner/tenant licenses. Free landowner/tenant licenses shall be valid for deer of either sex taken on the landowner/tenant's farm unit during season designated on the license.

106.5(4) Closed areas. There shall be no open season for hunting deer on the county roads immediately adjacent to or through Union Slough National Wildlife Refuge, Kossuth County, where posted accordingly.

571-106.6(481A) License quotas. A limited number of deer licenses or a limited number of certain types of licenses will be issued as follows:

106.6(1) Bow season. An unlimited number of bow licenses will be issued from the county recorder's office. A second antlerless-only bow license may be purchased for $25 from the county recorder's office. Second bow licenses will be valid only for antlerless deer for counties designated in 106.5(2). Persons obtaining two bow deer licenses may not obtain a free or paid gun license. Persons that obtain only one bow license may obtain up to two gun licenses as described in 106.6(2).

• Objection filed Augu~t II. IIJIJS. sec h.:xt at end nf Chit filer lllh.

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lAC 8/30/95 Natural Resource Commission[571] Ch 106, p.5

and habitat stamp. Only one adult may participate for each youth hunter. The accompany­ing adult must not possess a firearm or bow and must be in direct company of the youth at all times. Persons may obtain only one youth deer license, but may also obtain one bow or firearm license for any other season. If the youth obtains a free landowner/tenant license, it will count as the one free license for which the youth's family is eligible.

106.10(2) Season dates. Any sex deer may be taken statewide from the third Saturday in September through the first Sunday of October.

106.10(3) Shooting hours. Legal shooting hours for hunting deer will be one-half hour before sunrise to one-half hour after sunset each day regardless of weapon used.

106.10(4) Limits and license quotas. Daily bag and possession limit is one deer per licensed youth. The licensee can shoot only one deer during this season. An unlimited number of licenses will be issued.

106.10(5) Method of take and other regulations. Deer may be taken with shotgun, bow or muzzleloaded rifles as permitted in 57I-106.7(481A). All participants must meet the hunter orange requirement in Iowa Code section 481A.l22. All other regulations for taking deer with a gun shall apply.

106.10(6) Application procedures. All applications for youth gun deer hunting licenses for the current season shall be made on forms provided by the department of natural resources and returned to the department of natural resources office in Des Moines, Iowa. No one shall submit more than one application. Applications for youth gun deer hunting licenses must be accompanied by $25 for each license. Applications will be received and accepted only from the third Monday in June through the third Friday in July.

*571-106.11(481A) Deer depredation permits. Upon recommendation from the department's fish and wildlife division, the director may authorize certain landowners or their designee to shoot deer outside the established hunting seasons or issue additional permits during the es­tablished hunting seasons. Applications for depredation permits must be on forms provided by the department. Permits will only be valid for dates specified between September 1 and February 28.

106.11(1) Method of take and other regulations. Legal weapons and restrictions will be governed by 57I-106.7(481A).

Deer may be taken from one-half hour before sunrise to one-half hour after sunset regard­less of weapon used. The producer or designee must meet the deer hunters' orange apparel requirements in Iowa Code section 481A.l22.

106.11(2) Eligibility. Permits shall be granted only to producers growing high-value hor­ticultural crops (Christmas trees, fruit or vegetable crops, nurseries, and commercial nut grow­ers), that are sustaining excessive damage. Permits shall specify the number of deer to be taken and shall be valid only on the producer's property and farmers' property immediately adja­cent to the producer's property.

106.11(3) Disposal. It shall be the producer's responsibility to see that all deer are field dressed, tagged with a DNR salvage tag, and removed immediately from the field. Dead deer must be handled for consumption and the producer must coordinate disposal of deer offered to the public through the local conservation officer. Charitable organizations will have the first opportunity to take deer offered to the public. No producer can keep more than two deer taken under special depredation permits. By express permission from a DNR enforce­ment officer, the landowner may dispose of deer carcasses through a livestock sanitation facility.

571-106.12(481A) Eligibility for free landowner/tenant deer licenses. 106.12(1) Who qualifies/or free deer hunting license. Owners or tenants of a farm unit,

or a member of an owner's or tenant's family that resides with the owner or tenant, are eligi­ble for free deer licenses. The owner or tenant does not have to reside on the farm unit but must be actively engaged in farming it. Nonresident landowners do not qualify.

"Objection imposed by the Administrative Rules Review Committee at its July 1994 meeting; see text at end of Chapter 106.

Ch 106, p.6 Natural Resource Commission[571) lAC 8/30/95

106.12(2) Who qualifies as a tenant. A "tenant" is a person other than the landowner who is actively engaged in the operation of the farm. The tenant may be a member of the landowner's family, including the landowner's spouse or child in some circumstances, or a third party not a family member. The tenant does not have to reside on the farm unit.

106.12(3) What "actively engaged in farming" means. Landowners and tenants are "ac­tively engaged in farming" if they personally participate in decisions about farm operations and those decisions, along with external factors such as weather and market prices, determine their profit or loss for the products they produce. Tenants qualify if they farm land owned by another and pay rent in cash or kind. A farm manager or other third party that operates a farm for a fee or a laborer that works on the farm for a wage and is not a family member does not qualify as a tenant.

106.12(4) Landowners who qualify as active farmen·. These landowners: a. Are the sole operator of a farm unit (along with immediate family members), or b. Make all farm operations decisions, but contract for custom farming or hire labor to do

some or all of the work, or c. Participate annually in farm operations decisions such as negotiations with federal farm

agencies or negotiations about cropping practices on specifc fields that are rented to a tenant, or

d. Raise specialty crops such as orchards, nurseries, or tree farms that do not necessarily produce annual income but require annual operating decisions about maintenance or im­provements, or

e. May have portions of the farm enrolled in a long-term land retirement program such as the Conservation Reserve Program (CRP) as long as other farm operations occur annually, or

f. Place their entire cropland in the CRP or other long-term land retirement program with no other active farming operation occurring on the farm.

106.12(5) Landowners who do not qualify. These landowners: a. Use a farm manager or other third party to operate the farm, or b. Cash rent the entire farm to a tenant who is responsible for all farm operations including

following preapproved operations plans. 106.12(6) Where free licenses are valid. Free licenses are valid only on that portion of

the farm unit that is in a zone open to deer hunting. A "farm unit" is all parcels of land that are operated as a unit for agricultural purposes and are under lawful control of the land­owner or tenant. Individual parcels of land do not need to be adjacent to one another to be included in the farm unit. "Agricultural purposes" include but are not limited to field crops, livestock, horticultural crops (e.g., nurseries, orchards, truck farms, or Christmas tree planta­tions), and land managed for timber production.

106.12(7) How many free licenses may be obtained. The maximum number of free licenses per farm unit is two, one for the landowner (or family member) and one for the tenant (or family member). If there is no tenant, the landowner's family may obtain only one license. A tenant or the tenant's family is entitled to only one free license even if the tenant farms land for more than one landowner.

These rules are intended to implement Iowa Code sections 481A.38, 481A.39, 481A.48 and 483A.24.

[Filed 7/16175) [Filed emergency 6/11/76-published 6/28/76, effective 6/11176) [Filed emergency 6/13/77-published 7/13/77, effective 6/13177]

[Filed emergency 9/1177-published 9/21177, effective 9/1/77] [Filed 6/8/78, Notice 3/8/78-published 6/28178, effective 8/2/78] [Filed 6/S/79. Notice 3/7 /79-pub1ished 6/27/79, effective 8/1179] [Filed 6/6/80, Notice 3/5/80-published 6/25/80, effective 7/30/801 [Filed 6/5/81, Notice 3/4/81-published 6/24/81, effective 7/29/81]

[Filed 6/3/82, Notice 3/3/82-published 6/23/82, effective 7 /28/82]

NoTE: History for Ch 106 continued on next page.

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lAC 8/30/95 Natural Resource Commission[ 57 I] Ch 106, p.7

[Filed 6/3/83, Notice 3/30/83-published 6/22/83, effective 8/1183] [Filed emergency after Notice 6/13/84, Notice 2/29/84-published 7 I 4184, effective 6/ 15/84]

[Filed 5/31185, Notice 2/27/H5-published 6119/85, effective 7/24/85] [Filed emergency 8/16/85-published 9/11/85, effective 8/16/85]

[Filed 6/11/86, Notice 2/26/86-published 7/2/86, effective 8/6/86] [Filed without Notice 12/12/86-published 12/31/86, effective 2/4/87] [Filed 6/ll/87, Notice 3/ll/87-published 7/1187, effective 8/10/87] [Filed 5/13/88, Notice 2/24/88-published 6/l/88, effective 7/6/88]

[Filed 6/10/88, Notice 2/24/88-published 6/29/88, effective 8/10/88] [Filed 5/12/89, Notice 3/8/89-published 5/31/89, effective 7/5/89] [Filed 5/11190, Notice 3/7/90-published 5/30/90, effective 7/4/90] [Filed 5/10/91, Notice 3/6/91-published 5/29/91, effective 7/3/91] [Filed 5/8/92, Notice 3/4/92-published 5/27/92, effective 7/6/92] [Filed emergency 12/4/92-published 12/23/92, effective 12/4/92] [Filed emergency 3/12/93-published 3/31/93, effective 3/12/93]

[Filed 5/7/93, Notice 3/31193-published 5/26/93, effective 7/6/93] [Filed 5/20/94, Notice 3/2/94-published 6/8/94, effective 7/13/94]

[Filed emergency 5/15/95-published 617/95, effective 5/15/95] [Filed 5/15/95, Notice 3/1/95-published 6/7/95, effective 7/14/95]

[Filed 8/1 1/95, Notice 6/7/95-published 8/30/95, effective 10/4/95]

lAC 8/30/95 Natural Resource Commission[ 57 I] Objection, I 06.5( I) "b"

At its July II, 1995, meeting the Administrative Rules Review Committee voted to impose ~ an objection on rule 571 lAC I 06.5( I )"b" relating to the harvesting of antlered deer during the

early muzzleloader and first regular gun season. The members believe this rule is unreason­able in that it limits the harvest to antlered deer. The Committee members believe that the currently excessive deer population is large enough to support an ''any sex" season. [Filed August II, 1995)

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lAC 8/30/95 Natural Resource Commission[571]

CHAPTER 109 GROUNDHOG SEASON

[Previously Ch 17. renumbered lAC 2/111{4( [Prior lo 12/:11/N(J, Cunservaliun Cnmmission(21JO) Ch I D[

Ch 110, p.J

571-109.1(481A) Groundhog. Open season for groundhog (woodchuck) shall be from June 15 through October 31 of each year. Entire state open. No daily bag or possession limit.

This rule is intended to implement Iowa Code chapter 48JA. [Filed emergency 6/11176-published 6/28/76, effective 6/11176)

[Filed 1 I 5/84, Notice 11 /23/83-published 2/1/84, effective 3/7 /84] [Filed without Notice 12/12/86-published 12/31186, effective 2/4/87]

CHAPTER 110 TRAPPING LIMITATIONS

!Prior lo 12/:11/NCI, Cnnservalion Commission(21JII) Ch 114)

571-110.1(481A) Public roadside limitations-snares, body-gripping, and conibear type traps. No person shall set or maintain any snare, body-gripping, or conibear type trap within any public road right-of-way within 200 yards of buildings inhabited by human beings unless a resident of the dwelling adjacent to the public road right-of-way has given permission or un­less the body-gripping or conibear type trap is completely under water or at least one-half of the loop of a snare is under water. Nothing in this rule shall be construed as limiting the use of foothold traps or box-type live traps in public road rights-of-way.

571-110.2(481A) Snares. 110.2(1) Placement. No person shall set or maintain any snare in any public road right-of­

way so that the snare when fully extended can touch any fence. Snares may not be attached to a drag.

110.2(2) Loop size. No snare when set will have a loop larger than 8 inches in horizontal measurement except for snares set with at least one-half of the loop underwater or snares set on private land other than roadsides within 30 yards of a pond, lake, drainage ditch, creek, stream or river shall not have a loop larger than 11 inches in horizontal measurement.

110.2(3) Deer locks. All snares must have a functional deer lock that will not allow the snare loop to close smaller than 2Y2 inches in diameter.

110.2(4) Mechanical snares. It shall be illegal to set any mechanically powered snare designed to capture an animal by the neck or body unless such snares are placed completely underwater.

571-110.3(481A) Body-gripping and conibear type traps. No person shall set or maintain any body-gripping or conibear type trap on any public road right-of-way within 5 feet of any fence.

571-l10.4(481A) Foothold and leghold traps. No person shall set or maintain on land any foothold or leghold trap with metal-serrated jaws, metal-toothed jaws or a spread inside the set jaws of greater than 7 inches.

571-110.5(481A) Removal of animals from traps and snares. All animals or animal car­casses caught in any type of trap or snare, except those which are placed entirely underwater and designed to drown the animal immediately, must be removed from the trap or snare by the trap or snare user immediately upon discovery and within 24 hours of the time the animal is caught.

Ch 110, p.2 Natural Resource Commission[571] lAC 8/30/95

571-110.6(481A) Trap tag requirements. All traps and snares, whether set or not, possessed ~ , by a person who can reasonably be presumed to be trapping shall have a metal tag attached ,.._.. plainly labeled with the user's name and address.

These rules are intended to implement Iowa Code sections 481A.38 and 481A.92. [Filed 9/5/85, Notice 7 /3/85-published 9/25/85, effective 10/30/85] [Filed 6/11/86, Notice 4/23/86-published 7/2/86, effective 8/6/86]* [Filed without Notice 12/12/86-published 12/31/86, effective 2/4/87) [Filed 6/9/88, Notice 3/23/88-published 6/29/88, effective 8/29/88]

[Filed 8/17/90, Notice 6/27/90-published 9/5/90, effective 10/10/90] [Filed 6/5/92, Notice 4/29/92-published 6/24/92, effective 7 /29/92] [Filed 5/7/93, Notice 3/31/93-published 5/26/93, effective 6/30/93) [Filed 8/11/95, Notice 3/1/95-published 8/30/95, effective 10/4/95)

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•Effective date of Ch 114 delayed 711 days by the Administmtive Rules Review Commillee <II its meeting held July 31, 191!(1. \ 1

Effective date delayed until the adjournment of the 191!7 Scs.,ion of the General A'i.\Cmbly pursuant ttl Iowa Code section 17A.H('I) a~ ~ amended by the l'1!!6lowa Acts, Senate File 2175. section 2113'1. by the Administrative Rules Review Commillee at its meeting held

August 21, l'IH6.

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[Filed 1115110; amended 4114171, 511171, 8118171, 12123171, 5110172, 9113172, 10111172, 8116173, 7126114, 5119175]

[Amendment filed 914115, Notice 7 128175--published 9122175, effective 10127 115; emergency amendment filed and effective 10120175--published 1113175] [Emergency amendment filed and effective 1114/75-published 1113175] [Filed 1119176, Notice 11117175--published 219176, effective 3115176] [Filed 4123176, Notice 318176-published 5117116, effective 6121176] [Filed 812176, Notice 6128176-published 819116, effective 9113176]

[Filed 9116/76, Notice 819176-published 1016176, effective 11110176] [Filed 211178, Notice 12128177-published 2122178, effective 3129178] [Filed 812178, Notice 6128178-published 8123118, effective 9127 178]

(Filed 10117178, Notice 819178-published 11115118, effective 12120178] [Filed 8/1179, Notice 6113/79-published 8122179, effective 9126179]

[Filed 10112179, Notice 8122179-published 10131/79, effective 1215/79] [Filed 10/26179, Notice 9119/79-published 11/14179, effective 12/20179]

[Filed 7 I 6181, Notice 41 15/81-published 7/22181 , effective 81261811 [Filed 1213182, Notice 10113182-published 12122182, effective 1/26183*]

[Filed emergency 6129184-published 7 I 18184, effective 7 I I 184] [Filed 8124184, Notice 7118184-published 9112184, effective 10117184] [Filed 11130184, Notice 9126184-published 12119184, effective 1123185] [Filed 3122185, Notice 10124184-published 4110185, effective 5115185] [Filed 7126185, Notice 5122185-published 8/14185, effective 9118185] [Filed 1213185, Notice 1019185-published 12118185, effective 1122186] [Filed 12113185, Notice 1019185-published 111186, effective 215/86]

[Filed 10/17186, Notice 8/13/86-pub1ished 1115/86, effective 12110186] [Filed 7/24187, Notice 6/17187-pub1ished 8112/87, effective 9/16/87] [Filed 2/18/88, Notice 1/13/88-pub1ished 319188, effective 4113188] [Filed 4129188, Notice 319/88-published 5118188, effective 7 I 1 188]

[Filed 912188, Notice 6129188-published 9/21/88, effective 10126/88] [Filed 10127188, Notice 9121188-published 11116188, effective 12121188]

[Filed 3129189, Notice 218/89-published 4119189, effective 5126189] [Filed 717189, Notice 5117189-published 7126189, effective 911189]

[Filed 9129/89, Notice 8123/89-published 10/18189, effective 11124189] [Filed 211/90, Notice 12113/89-published 2121190, effective 3130190] [Filed 211191, Notice 12112190-published 2120191, effective 3129191] [Filed 5123191, Notice 4117191-published 6112191, effective 7119191] [Filed 3126193, Notice 2117193-published 4114193, effective 5119193]

[Filed emergency 8/5/93-published 9/1/93, effective 8/5/93] [Filed emergency 7118/95-published 8/16/95, effective 7/18/95)

•Effective dale of subrule 14.2( 12) delayed 711 days by Administrative Rules .Review Comminee. Delay lifted by Committee on 2/H/83. Sec details following chapter analysis.

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lAC 8/30/95 Personnel[ 58 I] Ch 21, p.7

members of the system on July I, 1984, a member makes an application to IPERS to be covered under this chapter.

(25) Any physician, surgeon, dentist or member of other professional groups employed full­time by a covered employer is included; but any member of a professional group who per­forms part-time service for any public agency but whose private practice provides the major source of income is excluded, except for city attorneys and health officials.

(26) Interns and resident doctors in the employ of a state or local hospital, school or institution are excluded.

(27) Professional personnel who acquire the status of an officer of the state of Iowa or a political subdivision thereof, even though they engage in private practice and render govern­ment service only on a part-time basis, are included.

(28) Effective July I, 1994, volunteer firefighters and special police officers are considered temporary employees and will be covered if they meet the requirements of 581 lAC 21.5(1) "a .. (l3). .

(29) Residents or inmates of county homes are excluded. (30) Members of the state transportation commission, the board of parole, and the state

health facilities council are excluded unless they elect coverage by filing applications with IPERS to be covered.

(31) Employees of an interstate agency established under Iowa Code chapter 28E, and similar enabling legislation in an adjoining state if the city had made contributions to the system for employees performing functions which are transferred to the interstate agency shall be considered employees of the city for the sole purpose of membership in IPERS, although the employer contributions for those employees are made by the interstate agency.

(32) Persons employed as city managers, or as city administrators performing the duties of city managers, under a form of city government listed in Iowa Code chapter 372 or 420 are excluded unless employees make application to IPERS to be covered under the provisions of this chapter.

(33) Employees appointed by the state board of regents who, at the discretion of the state board of regents, elect coverage in a retirement system qualified by the state board of regents are excluded from IPERS coverage.

(34) School employees who work in additional positions along with normal duties with the same employer will be considered employees until all of their compensated duties to their employer cease. (Examples include teacher/coach; teacher/summer driver's education instruc­tor; and Phase I, II, and III employment.)

(35) "Adjunct instructors" employed by a community college are excluded from coverage. Adjunct instructors are persons employed by a community college or university without a con­tinuing contract and whose teaching load does not exceed one-half time for two full semesters or three full quarters for the calendar year.

(36) Effective July I, 1992, enrollees of a senior community service employment program authorized by Title V of the Older Americans Act and funded by the United States Depart­ment of Labor are not covered unless: (a) both the enrollee and the covered employer elect coverage; or (b) the enrollee works for a covered employer for more than eight consecutive quarters; or (c) the enrollee is currently contributing to IPERS. A covered employer is defined as the host agency where the enrollee is placed for training.

(37) Effective July l, 1994, employees of area agencies on aging are excluded from cover­age if the area agency has provided for participation by all of its eligible employees in an alter­native qualified plan pursuant to the requirements of the federal Internal Revenue Code. If an area agency on aging terminates participation in an alternative plan, coverage under IPERS shall begin immediately.

(38) Effective July I, 1994, arson investigators are no longer covered under IPERS. They were transferred to public safety peace officers' retirement, accident and disability system.

(39) Persons who meet the requirements of independent contractor status as determined

Ch 21, p.7a Personnel[581] lAC 8/30/95

by IPERS using the criteria established by the federal Internal Revenue Service are not included. ~

(40) Effective July I, 1994, a person employed on or after that date for certain public safe­ty positions is excluded from IPERS coverage. These positions are gaming enforcement offi­cers employed by the division of criminal investigation for excursion boat gambling enforce­ment activities, fire prevention inspector peace officers, and employees of the division of capi­tol police (except clerical workers).

(41) Employees of area community colleges are included unless they elect coverage under an alternative system pursuant to a one-time irrevocable election.

(42) Volunteer emergency personnel, such as ambulance drivers, are considered temporary employees and will be covered if they meet the requirements of 581 lAC 21.5(1) "a"(13). Persons who meet such requirements will be covered under the protection occupation requirements of Iowa Code section 978.49( 16) if they are considered firefighters by their employers; other­wise they are covered under Iowa Code section 978.11.

b. Each employer shall ascertain the federal social security account number of each "--1 employee subject to IPERS.

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lAC 7/5/95, 8/30/95 Personnel( 58 I J Ch 21, p.8

c. Rescinded lAB 7/5/95, effective 8/9/95. 21.5(2) The employer shall report the employee's federal social security account number in

making any report required by IPERS with respect to the employee. 21.5(3) to 21.5(6) Rescinded lAB 7/22/92, effective 7/2/92. 21.5(7) Public employees who are active members in another retirement system supported

in whole or in part by public funds are prohibited from being active members of IPERS. If an employee is actively participating in another retirement system, the employee cannot be actively contributing to IPERS, even if employed in two positions by two separate employers.

This rule is intended to implement Iowa Code sections 97B.41(8)"b," 97B.42, 97B.42A, 97B.42B, 97B.49(16)"d"(2), and 97B.52A.

581-21.6(978) Wage reporting and payment of contributions by employers. 21.6(1) Any public employing unit whose combined employer/employee IPERS contribu­

tion tax equals or exceeds $100 per month is required to pay the tax on a monthly basis. All other employing units are required to file wage reports and pay the contribution tax on a quar­terly basis. · When IPERS becomes aware of the correct payment and reporting status of an employing unit, IPERS will send to the reporting official a supply of the employer remittance advice forms.

21.6(2) Each periodic wage reporting form must include all employees who earned reportable wages or wage equivalents under IPERS. If an employee has no reportable wage in a quarter but is still employed by the employing unit, the employee should be listed with zero wages.

21.6(3) All checks in payment of the total contribution tax shall be made payable to the Iowa Public Employees' Retirement System and mailed with the employer remittance advice to IPERS, P.O. Box 9117, Des Moines, Iowa 50306-9117.

21.6(4) For employers filing quarterly employer remittance advice forms, contributions must be received by IPERS on or before the fifteenth day of the month following the close of the calendar quarter in which the wages were paid.

For employers filing monthly employer remittance advice forms, contributions must be received by IPERS on or before the fifteenth day of the month following the close of the month in which wages were paid.

Any employer filing monthly or quarterly employer remittance advice forms for two or more entities shall attach to each remittance form the checks covering the contributions due on that form. The combining of contributions due for payment into one check or multiple checks will not be accepted. Improperly paid contributions are considered as unpaid. Upon the request of the employer, IPERS may grant a waiver of the requirement which prohibits the combining of contributions. Entities which have several accounts will be required to report all wages under one main account effective January 1, 1995.

21.6(5) A request for an extension of time to pay a contribution may be granted by IPERS for good cause if presented before the due date, but no extension shall exceed 30 days after the end of the calendar quarter. If an employer who has been granted an extension fails to pay the contribution on or before the end of the extension period, interest shall be charged and paid from the original due date as if no extension had been granted.

21.6(6) When an employer has no reportable wages or no wages to report during the applicable reporting period, the periodic wage reporting document should be marked "no reportable wages" or "no wages" and returned to IPERS. When no employer's wage report is made, the employing unit's account is considered delinquent for the reporting period until the report is filed.

21.6(7) Substitute forms may be used if they meet all the IPERS reporting requirements and the employing unit receives advance approval from IPERS. - - -

21.6(8) Magnetic tape reporting may be used by an employer after submitting a written

~ ' ') - ... --

lAC 8/30/95 Personnel[ 58 I] Ch 21, p.29

581-21.27(978) Rollovers. If a member who is paid a lump sum distribution, or a benefi­ciary who is the member's spouse and is paid an option 5 monthly benefit or a lump sum death benefit which qualifies to be rolled over, requests that the taxable portion be rolled over to more than one IRA or other qualified plan, IPERS will assess a $5 administrative fee for each additional rollover beyond the first one. The fee will be deducted from the gross amount of each distribution, less federal and state income tax.

This rule is intended to implement Iowa Code sections 978.38, 978.48, 978.48A, 978.52, 978.53, and 978.538.

[Filed 10/28/75, Notice 9/22/75-published 11/17/75, effective 12/23/75] [Filed 9/1/77, Notices 7/27/77, Amended Notice 8/10/77-

published 9/21/77, effective 10/26/77)* [Filed 3/15/78, Notice 218/78-published 415178, effective 5110178] [Filed 7 I 19179, Notice 61 13/79-published 818/79, effective 9/ 12179]

[Filed 11/19180, Notice 913180-published 12/10180, effective 1114/81] [Filed 10/8/82, Notice 911182-published 10127182, effective 12/2182] [Filed 8/9183, Notice 3/30183-published 8131183, effective 1015183]

[Filed 8124184, Notice 7 I 4184-published 9112184, effective 10117 184] (Filed 1111185, Notice 9126184-published 1130185, effective 316185] [Filed 8/30185, Notice 713185-published 9125/85, effective 10130185] [Filed 4117187, Notice 3111187-published 5/6/87, effective 6110187] [Filed 2118/88, Notice 1113188-published 319188, effective 4113188]

[Filed emergency 7 I 1 188-published 7127188, effective 7 I 1 188] [Filed 9/2188, Notice 7127 188-published 9121188, effective 10126188]

[Filed 9/29189, Notice 8123189-published 10118/89, effective 12122189] [Filed 211190, Notice 12113189-published 2121190, effective 3130190]

[Filed emergency 6121 190-published 7/25190, effective 7 I 1 190] [Filed 8131190, Notice 7 125/90-published 9119190, effective 10124/90]

[Filed 2114191, Notice 119191-published 316191, effective 4112191] [Filed emergency 711191-published 1124191, effective 7/1191] [Filed emergency 7 12192-published 7122192, effective 7 12192]

[Filed 2110193, Notice 7122192-published 313193, effective 417193] [Filed 10122193, Notice 9115193-published 11110193, effective 12115193]

[Filed emergency 3/16/95-published 4/12/95, effective 3/16/95] [Filed 6/16/95, Notice 5/10/95-published 7/5/95, effective 8/9/95)

[Filed emergency 8/7/95 after Notice 6/21/95-published 8/30/95, effective 8/9/95]

•Effective date of subrule B.S(l) delayed by the Administrative Rules Review Committee seventy days from J0/26177.

~ ..... __ .,

:i

.-.

lAC 7/19/95 UST Board[591) Ch 10, p.2

ation of the existing contamination, and b. The owner/operator has sufficient financial resources available to pay for the required

investigation, monitoring, and remediation of the existing contamination, and c. All tanks at the site meet either the new tank standards or the upgrade standards of Iowa

Code chapter 455G. 10.1(4) In those situations where all or some of an owner/operator's tanks at a site do

not meet new tank or upgrade standards established pursuant to Iowa Code chapter 455G and the site does not meet the clean site standards described in 591-IO.l(l) .. b'' and the owner/oper­ator does not qualify for remedial benfits pursuant to Iowa Code section 455G.9, an owner/ operator may be eligible for financial responsibility coverage if the owner certifies to the following:

a. The certification requirements of 591-10.1(3)"a" and "b. •• and b. The owner/operator will bring all tanks at the site into compliance with either the new

tank standards or the upgrade standards of Iowa Code chapter 455G no later than required by Iowa Code chapter 455G and the owner/operator has sufficient financial resources to do so.

10.1(5) Definitions. "Administrator, means the Iowa comprehensive petroleum underground storage tank fund

board administrator as provided in Iowa Code section 455G.5. "Aggregate, means the total annual amount that will be paid on all claims or suits seeking

damages under a policy issued by the board. "Board" means the Iowa comprehensive petroleum underground storage tank fund board. "Certificate of clean, means a document noting that a level of acceptable cleanup has been

achieved and approved by the department and as covered in Iowa Code section 455B.304(15). "Deductible, means the portion of a claim paid by insureds on the policy issued by the board. "Department, means the Iowa department of natural resources (DNR). "Governmental action,, means an order to do additional testing or corrective action by a

governmental agency after a certificate of clean or a monitoring certificate has been issued to a petroleum underground storage tank site regulated by the department.

"Governmental agency" means either the Iowa department of natural resources or the United States Environmental Protection Agency.

"Monitoring certificate" means a document noting that an acceptable level of cleanup has occurred and has been approved by the department as covered in Iowa Code section 455B.474(l) .. h.,

"Self-insured retention" means the portion of a claim paid by insureds on a policy issued by the board, and includes the cost of adjusting, legal fees, court costs and any other investigative cost associated with the claim.

10.1(6) Surcharge. a. Owners who have not complied with upgrade or replacement requirements as noted in

591-Chapter 10 shall pay a surcharge of $800 per tank per policy year until such time that the tank fully meets upgrade or replacement requirements as noted herein, or the tank has been permanently taken out of service in accordance with rules promulgated by the DNR. The surcharge is fully earned and shall not be refunded, even if an upgrade takes place during the policy term.

b. Owners who certify to the board in writing that all tanks at the insured site will be brought into compliance will not have the surcharge issued on their policy provided:

(I) There is a written contract between the owner and a licensed installer as defined in 591-Chapter 15.

(2) The contract sets forth that the upgrade or replacement will meet all the necessary requirements to meet the standards established in 567-Chapter 135. In addition, site condi­tions as specified in 591-11.4(455B,455G) as environmentally or not environmentally sensi­tive shall be stated within the body of the contract.

Ch 10, p.3 UST Board(591) lAC 8/30/95

(3) The contract is binding on both parties and establishes dates of performance, cost and indicates specified information relative to the work to be performed.

(4) That a nonrefundable deposit, to apply toward the cost of the system of at least 5 per­cent or $1000, whichever is less, be included within the framework of the contract, acknowledged by both parties.

(5) That the work scheduled be started in time sufficient to have the upgrade completed by January 1, 1995.

c. Failure on the part of the installer to meet the January I, 1995, upgrade or replacement date will subject the installer to loss of license.

d. Failure to meet the December 22, 1998, upgrade or replacement date will subject the owner/operator to cancellation of insurance coverage.

591-10.2(455G) Deductibles. The following deductibles are established under the Iowa plan: 10.2(1) For locations with three tanks or less, there is a $5,000 deductible. 10.2(2) For locations with more than three tanks, there is a $10,000 deductible at minimum. 10.2(3) A $25,000 deductible may be used if it is determined that the scope of the risk

warrants higher retention levels, at the discretion of the board or administrator. 10.2(4) Deductibles may be reduced from $10,000 to $5,000 for sites with more than three

tanks for an additional premium payment of 50 percent of policy totals with administrative approval. There is no provision to buy down deductibles on sites with $5,000 or $25,000 deductibles.

591-10.3(455G) Premiums. Premiums are predetermined by Iowa Code Supplement chapter 4550. In addition, the following standards shall apply:

10.3(1) Premiums for a site shall be the sum of rates specified in Iowa Code subsection 4550.11(4) times the number of upgraded tanks, plus two times those rates for each non up­graded tank on the site.

10.3(2) Premiums as promulgated under Iowa Code Supplement chapter 4550 are applicable from July 1 to June 30. Applications for coverage will pay legislatively mandated premiums for that time frame.

10.3(3) All premiums shall be 100 percent earned upon issuance of insurance coverage. No refunds will be made for any reason after a policy has been issued.

10.3(4) Financial responsibility premiums on new policies shall be due on application for coverage and prior to binding. Premiums shall be made payable to the Iowa UST program. Coverage shall not be bound until premiums are received.

10.3(5) Renewal premiums. Mailing of the premium notice shall be conclusive proof that a billing was received. A ten-day expiration notice will be mailed on any policy for which the invoiced renewal premiums are not timely received. Premiums shall be made payable to the Iowa UST Program in accordance with the following:

a. For sites with premiums which equal or exceed twice the premium of the previous policy year, for an equal or lesser number of tanks as the previous policy year, an initial installment of 50 percent of the premium shall be paid prior to policy renewal with the second 50 percent installment due 180 days after policy renewal. The full premium is earned upon renewal.

b. For sites with premiums which do not equal or exceed twice the premium of the previ­ous policy year for an equal or lesser number of tanks as the previous policy year, 100 percent of the premium shall be paid prior to policy renewal.

10.3(6) Cancellation for nonpayment or misrepresentation shall be effective 10 days after mailing. Cancellation for other reasons will be effective 60 days after mailing.

10.3(7) Premiums for extensions of retroactive coverage shall be equal to 50 percent of the annual premium per policy. Premiums shall be due at the time of the extension request. Nonpayment shall result in immediate termination of coverage, subject to a 10-day nonpayment cancellation notice.

lAC 10/27/93, 8/30/95 UST Board[ 59 I] Ch 10, p.4

~ 591-10.4(455G) Risk factors. In order to meet scheduled premiums as required by Iowa Code Supplement chapter 4550, all tanks must comply with standards enumerated, or they shall be charged two times the premium indicated. In determining risk related premiums, which are to be actuarially determined, the following factors shall be considered:

10.4(1) The type of installation and equipment including, for example, steel tanks with cathodic protection, fiberglass or double wall construction as part of the risk classification process.

10.4(2) The type of leak detection used and monitoring performed by the owner/operator. 10.4(3) Spill/overfill protection used. 10.4(4) Geology of the site and other factors, including: a. Distance to other structures or buildings from the tank site. b. Distance to drinking water or other water wells for the tank site. c. Type of soil conditions present.

~ d. Seasonal water table. e. The topography of the land. f. Depth ·to bed rock. 10.4(5) Prior claims history or remediation history. 10.4(6) Experience of management and their attitude toward clean environment issues.

591-10.5(455G) Property transfer insurance. 10.5(1) Property transfer insurance coverage provisions and underwriting requirements. a. Property transfer insurance shall be issued on a claims-made basis. Only claims or suits

as defined in the policy which are reported to the board after the effective date of the policy, caused by a governmental agency requesting a governmental action, are covered.

b. The retroactive date shall be the date insurance is initially issued. If coverage expires, is nonrenewed by an insured or canceled, any subsequent application for coverage shall meet all requirements as established in this subrule and shall have a new retroactive date. Any insured under the coverage may request renewal, but only those paying the annual premium shall be entitled to benefits as described in the property transfer policy or these subrules.

c. Insurance issued by the board shall cover only the liabilities associated with property transfer coverage as defined in the property transfer policy. No insurance shall be provided for activities not described by the potential insured in their application. The board may reject placement of coverage if the factual situation as presented by the applicant is not consistent with these rules. Any applicant that is denied coverage may appeal the decision as provided by rule.

d. Should an individual or company or any other organization apply for insurance, each party so applying shall be included in the overall coverage and limit. The policy shall not be issued separately to each applicant but shall instead be in the name of the first party so applying. Limits shall apply only to the type of liability covered and shall not be stacked for either individuals or companies covered hereunder, whether one or more premiums have been paid.

e. Coverage provided in the policy shall apply only to the cost of corrective action when a governmental agency determines that a governmental action requiring additional corrective action is necessary, after a monitoring or a certificate of clean was issued by the department. If the governmental agency requests a governmental action while a site is being reimbursed under Iowa Code section 4550.9, the cost of additional corrective action as mandated by the governmental agency shall be paid under Iowa Code section 4550.9, provided that all other eligibility requirements as established by Code or rule have been met. If the insureds on the property transfer coverage are not eligible for benefits, then the property transfer will pay for the cost of required governmental action. Only the cost of corrective action to a point where conditions no longer exist giving rise to the governmental action is payable, subject to the limit of liability and all other property transfer policy terms and conditions.

Ch 10, p.5 UST Board[591] lAC 10/27/93

f. Coverage may be issued if: (1) The department has issued a certificate of clean or a monitoring certificate, (2) Monitoring as required is conducted, (3) Annual monitoring tests, if under a certificate of monitoring, are provided to the

administrator. All sites covered hereunder shall provide annual monitoring certificates which are verified by an independent party. This includes any site where the department has issued a certificate of clean. Neither the insurance program nor any benefit program offered by the state shall reimburse the cost of monitoring, unless the site is otherwise eligible for benefits under Iowa Code section 455G.9.

10.5(2) Limits of liability. Limits of liability shall total $500,000 per occurrence and in the aggregate for all pollution liability, including corrective action costs as defined by the policy, arising out of a covered claim. This limit is in effect regardless of the number of insureds on the policy who have paid a premium for coverage.

10.5(3) Premiums. a. Premiums shall be 100 percent earned upon the binding of insurance. No refunds will

be made for any reason after binding. b. Initial premiums shall be due 15 days from the date of the billing to the insured. Renewal

premiums are due 10 days prior to the policy's expiration date. Mailing of the premium notice shall be conclusive proof that a billing was received.

c. Rates shall be calculated as provided by Iowa Code subsection 455G.ll(l0). d. The minimum premium is $250 per policy per location. Each party requesting property

transfer insurance shall pay the annual premium. Coverage will be effected or renewed for those individuals or companies actually paying for the coverage.

e. All policies which are transferred shall have a $50 transfer fee. 10.5(4) Exclusions to coverage. a. The property transfer insurance will not pay for corrective action costs for any preexist­

ing condition, unless: (1) The release was previously reported to the department and the additional corrective action

is as a result of a governmental action by a governmental agency, (2) A certificate of clean or monitoring has been issued by the department. b. The property transfer policy has no obligation and will not pay corrective action costs,

whether requested by a governmental agency or not, for any new release, covering any sub­stance for any reason.

c. Environmental damage requiring monitoring or corrective action caused by any substance other than petroleum, as defined in Iowa Code subsection 4550.2(14) and 591-Chapters 10 and 11, is not covered for any reason, even if the governmental agency requests the activity.

d. Only orders from a governmental agency shall be considered in determining whether the benefits as described in the policy apply. Additional cleanup ordered by any organization, except a court of applicable jurisdiction, other than as defined, shall not be included. Only the additional cleanup required by governmental action shall be paid by the policy.

e. No coverage shall be provided for any third-party liability. As used here, third-party liability is any party other than the insureds on the policy.

f. No coverage shall be provided for loss associated with use of the property, business interruption or loss of profits. Coverage shall only apply to the actual usual, reasonable and necessary corrective action work required to return the site to a monitoring-only site as defined in Iowa Code section 4558.474(1)"h."

g. The cost of any annual monitoring or testing required under this chapter, to apply for coverage.

h. Costs of corrective action should a plume of existing contamination migrate off premises. 10.5(5) Annual requirements and transfer of coverage to other parties. a. Each insured under this policy shall apply annually for coverage, using board-provided

application forms. The interest of the party applying for coverage shall clearly be delineated.

lAC 8/30/95 UST Board[591] Ch 10, p.6

b. Coverage may be transferred to any other person or organization provided that documen­tation of the transfer and the transfer fee accompany the request. The retroactive date shall remain the same, unless provisions as noted under this subrule in the event of cancellation or nonrenewal occur.

c. Annual testing as required by the department shall be furnished to the administrator with the application. Failure to supply monitoring records as required by the department shall cause the policy to be nonrenewed or canceled.

10.5(6) Claims handling. Claims presented hereunder shall be individually investigated and settled by the board per the terms and conditions of coverage in effect. The administrator will assign an adjuster for the purposes of this rule and may, subject to board approval, retain expert assistance. The administrator will recommend a resolution of the case to the board. Expense incurred in the adjusting or legal defense process shall be included within the self­insured retention portion of the account, should a self-insured retention policy be issued.

10.5(7) Deductibles and other conditions. a. The deductible shall be $10,000. b. An insured may request a reduction in the deductible to $5000 with the payment of a

50 percent surcharge on the total policy premium. The board is not required to provide this option.

c. No retroactive or "tail" insurance shall be offered. d. The board or its representative may audit the base underwriting data provided. e. Cancellation shall be 10 days for nonpayment of premium and 60 days for all other reasons. These rules are intended to implement Iowa Code chapter 4550.

[Filed I 0/26/90, Notice 317 /90-published II I 14190, effective 12/ 19/90] [Filed 12/6/91, Notice 10/2/91-published 12/25/91, effective 1/29/92]

[Filed 8/14/92, Notice 2/19/92-published 9/2/92, effective 10/7/92] [Filed 10/5/93, Notice 8/18/93-published 10/27/93, effective 12/1/93]

[Filed 5/4/95, Notice 3/15/95-published 5/24/95, effective 6/28/95] [Filed emergency 6/28/95-published 7119/95, effective 6/28/95] [Filed emergency 8/11/95-published 8/30/95, effective 8/11/95]

0·

~ · ... _ .. .:

lAC 8/2/95, 8/30/95 Professional Licensure[645] Ch 325, p.6

interests of the patient as delegated by a supetvising physician. (1) When the physician assistant is the prescriber of the medications under 325.7(1)"s,"

these medications shall be supplied for the purpose of accommodating the patient and shall not be sold for more than the cost of the drug and reasonable overhead costs as they relate to supplying prescription drugs to the patient and not at a profit to the physician or physician assistant.

(2) When a physician assistant supplies medication on the direct order of a physician, sub­paragraph (1) does not apply.

(3) A nurse or staff assistant may assist the physician assistant in supplying medications when prescriptive drug supplying authority is delegated by a supetvising physician to the physician assistant under 325.7(1 )"s."

u. May, at the request of the peace officer, withdraw a specimen of blood from a patient for the purpose of determining the alcohol concentration or the presence of drugs.

v. Direct medical personnel, health professionals and others involved in caring for patients in the execution of patient care.

w. May authenticate medical forms by signing the form and including a supetvising physi-cian's name.

x. Perform other duties appropriate to a physician's practice. 325.7(2) Emergency medicine duties. a. A physician assistant may be a member of the staff of an ambulance or rescue squad pur­

suant to Iowa Code chapter 147A. b. A physician assistant shall document skills, training and education equivalent to that

required of a certified advanced emergency medical technician or a paramedic. c. A physician assistant must apply for approval of advanced care training equivalency on

forms supplied by the board of physician assistant examiners. d. Exceptions to this subrule include: (I) A physician assistant who accompanies and is responsible for a transfer patient, or (2) A physician assistant who setves on a basic ambulance or rescue squad setvice, or (3) Physician assistants who render aid within their skills during an emergency. 325.7(3) Supetvision. It shall be the responsibility of the physician assistant with a super­

vising physician to ensure that the physician assistant is adequately supetvised: *a. Patient care provided by the physician assistant shall be reviewed with a supetvising

physician on an ongoing basis as indicated by the clinical condition of the patient. However, every chart need not be signed, nor every patient visit reviewed, and the physician need not be physically present at each activity of the physician assistant.

b. Patient care provided by the physician assistant may be reviewed with a supetvising physician in person, by telephone or by other telecommunication devices.

c. When signatures are required, electronic signatures are allowed if: ( 1) The signature is transcribed by the signer into an electronic record and is not the result

of electronic regeneration, and (2) A mechanism exists allowing confirmation of the signature and protection from unau­

thorized reproduction. d. The physician assistant and a supetvising physician are responsible in ensuring that a

supetvising physician must be readily available in person, by telephone, or by telecommunica­tion to respond to a request of the physician assistant.

e. In the absence of one supetvising physician, the physician assistant may carry out those tasks for which approval has been granted if supetvision is provided by another physician approved by the board.

f If the physician assistant is being trained to perform new tasks, the training may be car­ried out only under the direct, personal supetvision of a supetvising physician or another qual­ified individual.

*Effective date delayed 711 days hy the Admini~lmtive Rules Review Cummillee al its meeting held August I fl. llJI.J5.

Ch 325, p.7 Professional Licensure[ 645] lAC 8/2/95, 8/30/95

325.7(4) Remote medical clinic. a. A physician assistant may provide medical services in a remote medical clinic if: *(1) The physician assistant has a permanent license and has at least six months' practice

as a physician assistant. (2) The physician assistant and supervising physician comply with the supervision require­

ments outlined in 325.7(3). *(3) A supervising physician must visit a remote clinic to provide additional medical direc­

tion, medical services and consultation at least every two weeks or less frequently as specified in special circumstances. Visits may be less frequent than every two weeks if unusual or emer­gency circumstances exist.

b. When a physician assistant supplies medications as delegated by a supervising physician in a remote clinic, the physician assistant shall secure the regular advice and consultation of a pharmacist regarding the distribution, storage and appropriate use of prescription drugs, con­trolled substances, and medical devices.

325.7(5) Health care providers shall consider the instructions of the physician assistant to be instructions of a supervising physician if the instructions concern duties delegated to the physician assistant by a supervising physician.

325.7(6) The physician assistant shall be identified as a physician assistant to patients and to the public.

325.7(7) The physician assistant may treat a patient in consultation with a physician(s) in a recognized medical residency program who holds a permanent license. The ultimate respon­sibility for supervision of the physician assistant remains with the supervising physicians listed on the physician assistant's license.

645-325.8(147) Prescription requirements. 325.8(1) Each written prescription drug order issued by a physician assistant shall contain

the following: a. The date of issue. b. The name and address of the patient for whom the drug is prescribed. c. The name, strength, and quantity of the drug, medicine, or device prescribed and direc-

tions for use. d. A supervising physician's name, the physician assistant's name and their practice address. e. The signature of the physician assistant followed by the initials "P.A.". f Any prescription for controlled substances prescribed by the physician assistant shall con­

tain the Drug Enforcement Administration (D.E.A.) number of the physician assistant. 325.8(2) Each oral prescription drug order issued by a physician assistant shall include the

same information required for a written prescription, except for the written signature and address of the practitioners.

This rule is intended to implement Iowa Code section 147.107.

645-325.9(147) Supplying-requirements for containers, labeling, and records. 325.9(1) Containers. A prescription drug shall be supplied in a container which meets the

requirements of the Poison Prevention Packaging Act of 1970, 15 U.S.C. §§1471-1476(1976), which relate to childproof closure, unless otherwise requested by the patient. The containers must also meet the requirements of Section 5020 of the Federal Food, Drug and Cosmetic Act, 21 U.S.C. §§301 et seq. (1976), which pertain to light resistance and moisture resistance needs of the drug being supplied.

325.9(2) Labeling. A label shall be affixed to a container in which a prescription drug is supplied bearing the following information:

a. The name and practice address of the supervising physician and physician assistant. b. The name of the patient. c. The date supplied.

*Effective date delayed 711 d01ys by the Administrative Rules Review Committee at its meeting held August 16, JW5.

lAC 8/2/95 Professional Licensure[645) Ch 325, p.24

b. Category II continuing education is approved for Category II credit by the American Academy of Physician Assistants.

325.19(4) Continuing education requirements. a. A person licensed as a physician assistant shall complete a minimum of 100 hours of

approved continuing education every two years. Of these 100 hours, a minimum of 40 hours shall be earned in Category I, and the remaining 60 hours may be obtained in Category II or a combination of Categories I and II.

b. The continuing education compliance year shall extend from July 1 to June 30, during which period attendance at approved continuing education programs may be used as evidence of fulfilling continuing education requirements for the physician assistant's license renewal.

c. If satisfactory completion of 100 hours of continuing education is not reported by the date for license renewal, the board shall notify the physician assistant of the deficiency. The physician assistant may request an extension for satisfactory completion of the required hours if just cause is determined by the board.

d. In lieu of the continuing education requirements, the board shall accept a current certifi­cate of continuing education from the American Academy of Physician Assistants or the National Commission on the Certification of Physician Assistants and will consider approval of other programs as they are developed.

e. It is the responsibility of physician assistants to finance their costs of continuing education. 325.19(5) Hearing. In the event of denial, in whole or part of credit, for continuing edu­

cation activity, the physician assistant shall have the right, within ten days after the sending of the notification of the denial by ordinary mail, to request a hearing which shall be held within 45 days after receipt of the request for hearing. The hearing shall be conducted by the board. The hearing shall be conducted in substantial compliance with the hearing proce­dure in subrule 325.13(22) and Iowa Code chapters 17A and 272C. The decision of the board shall be final.

32S.19(6) Reporting continuing education. a. The physician assistant shall submit with the license renewal every two years evidence

of compliance with the continuing education requirements. This evidence may be a current certificate from the National Commission on the Certification of Physician Assistants which requires 100 hours of continuing education to maintain, documentation of 100 hours of con­tinuing education from the American Academy of Physician Assistants, or a report signed by the physician assistant which lists the continuing education hours completed in the preced­ing two years.

b. The board relies upon the integrity of physician assistants in certifying their compliance with the continuing education requirements. Each licensed physician assistant shall keep evi­dence of attendance at approved continuing education programs for three years. The board may audit this information on a random basis and the physician assistant shall produce the documentation of continuing education activities at the request of the board.

325.19(7) Reinstatement. A physician assistant who applies for reinstatement of license by the board after allowing the license to lapse shall satisfy the following requirements:

a. Furnish evidence of completion of a total number of hours of accredited continuing edu­cation computed by multiplying 50 by the number of years since the physician assistant license was valid, of which at least 40 percent of the hours completed shall be in Category I, or

b. Successfully complete the requirements of the National Commission on the Certifica­tion of Physician Assistants for recertification, conducted within one year immediately prior to the submission of application for licensure.

325.19(8) Exemptions for continuing education requirements. a. A physician assistant shall be deemed to have complied with the continuing education

requirements in the following instances: (1) During periods served honorably on active duty in the military services, (2) During periods of residency in another state or district having a continuing education

requirement for the profession and where the physician assistant had met all requirements of that state or district,

Ch 325, p.25 Professional Licensure[ 6451 lAC 8/2/95, 8/30/95

(3) For periods that the physician assistant is a government employee working in the profes­sion and assigned to duty outside of the United States, or

(4) For other periods of active employment and absence from the state approved by the board. b. The board may, in individual cases involving physical disability or illness, grant waivers

of the minimum education requirements or extensions of time within which to fulfill them or make the required reports. No waiver or extension of time shall be granted unless written request to the board for this extension is made lly the physician assistant. Waivers of the mini­mum educational requirements may be granted by the board for any period of time not to exceed one calendar year. In the event that the physical disability or illness upon which a waiver has been granted continues beyond the period of waiver, the physician assistant shall reapply for an extension of the waiver. The board may, as a condition of any waiver granted, require the applicant to make up a certain portion or all of the minimum educational requirements waived.

These rules are intended to implement Iowa Code chapters 148C and 272C and Iowa Code section 147.107.

[Filed November 14, 1974] [Filed 2/5/79, Notice 11129/78-published 2/21179, effective 3/29/79]

[Filed 3/13/81, Notice 117/81-published 4/1/81, effective 5/6/81] [Filed 1/13/82, Notice 10/28/81-published 2/3/82, effective 3/10/82]

[Filed emergency 6/30/82, after Notice 5/26/82-published 7/21182, •effective 7/1/82] [Filed 9/14/84, Notice 8/1 /84-published 10/10/84, effective 11/14/84 * 1 [Filed 10/19/84, Notice 8/29/84-published 1117/84, effective 12/12/84]

[Filed emergency 4/15/88-published 5/4/88, effective 4/15/88] [Filed 6/23/89, Notice 1111189-published 7/12/89, effective 8/16/89]

[Filed emergency 8/11/89-published 9/6/89, effective 8/16/89] [Filed 7/3/91, Notice 4/17/91-published 7/24/91, effective 8/28/91]

[Filed 11/22191, Notice 10/16/91-published 12/11/91, effective 1/15/92] [Filed 10/7/92, Notice 8/19/92-published 10/28/92, effective 12/2/92]

[Filed 6/3/94, Notice 2/16/94-published 6/22/94, effective 7/24/94] [Filed 7/14/95, Notice 3/1/95-published 8/2/95, effective 9/6/95**1

Nute: Histnry priur tu IAIJ 7/12/XIJ tmnsferred frum M~-Chapter 20, lAB 11/14/<JO. •Effective date uf 11/14/IW del;1yed 70 days hy the Administrative Rules Review Cummittee. Delay lifted hy committee 1111 l/tJ/N5. **Effective date uf ~25.7(.:\)"u" and ~25.7(4)"u"( I ).(3) delayed 70 days hy the Administrative Rule~ Review Committee at its meeting held August Ill, 1995.

lAC 8/30/95

AGRICULTURE( com 'd)

Index

Feed, commercial, see FEED, COMMERCIAL Fertilizers, see FERTILIZERS Food, see FOOD Fuel

Alcohol production 185-4.30 Ethanol 21-ch 12; 261-57 .4(3) Renewable 21-ch 12, 85.48(10) Set-aside priorities 565-3.13(2)c Storage

Fire standards 661-5.400 Underground 567-135.3(4)

Taxation, see TAXATION: Motor Fuel: Farming Operations Grain. see GRAIN Grants

Farm safety education 641-110.3(5) Product development, see Products below Training. agricultural producers 261-ch 48

Herbicides, see HERBICIDES Injuries, reports 641-1.2(1)d, 1.2(3) Irrigation, see IRRIGATION Laborers 345-3.26, 7 .3(4,6-12): 347-215.3(1), 216.33; 701-46.1(1)b(3,5) Land, see LAND Lien statements, forms 721-4.5, 30.6, 30.7 Livestock, see LIVESTOCK Loans, farmer 25-chs 2, 4-6; 27-chs 11, 15; 701-40.36; 781-ch 4,

see also AGRICULTURAL DEVELOPMENT AUTHORITY Markets, farmer 21-1.3(3)d, ch 50; 481-30.2 Meat, see MEAT Mediation services

Appeals/hearings 61-17.12 Assistants 61-17.4(4), 17.9 Conduct, meetings 61-17.13 Consultation 61-17.18 Contract feeding/nuisance disputes 61-17.15(2), 17.18(2), 17.27(2) Coordinator 61-17.1, 17.3, 17.7 Definitions 61-17.2 Duties 61-17.4 Farmer/creditor 61-17.15(1), 17.18(1), 17.27(1) Fees 61-17.4(3}, 17.6, 17.9 Forms 61-17.4(6) Mandatory

Agreements 61-17.29(3), 17.30-17.32 Cancellation 61-17.27 Expedited 61-17.25 Legal/financial assistance 61-17.22, 17.23 Meetings 61-17.24, 17.26, 17.28, 17.29 Releases 61-17.21, 17.33, 17.34

11

AGRI

AGRI Index lAC 8/30/95

AGRICULTURE(cont'd) Mediation services(cont'd) \...,)

Mandatory(cont'd) Requests 61-17.14-17.20 Termination, bankruptcy 61-17.17 VVaivers 61-17.20, 17.21

Mediators 61-17.4(1-3), 17.11, 17.28, 17.29 Records 61-2.17(2) Voluntary 61-17.10 Wetlands designation 61-17.15(3), 17.18(3), 17.27(3)

Occupational safety/health 347-ch 28; 641-110.3(4) Organic nutrient management 27-ch 13 Pesticides, see PESTICIDES Poultry, see POULTRY Products

See also DAIRIES; EGGS; GRAIN,· MEAT Coproducts, financing 21-ch 12 Ethanol, see Fuel above Loans/grants, development 21-chs 10, 15; 261-chs 48, 57 Organic food 21-ch 47 Promotion

Generally 21-ch 10 Beef 101-ch 3. see also MEAT Dairy 301-ch 1, see also DAIRIES Eggs 301-ch 4. see also EGGS Marketing division duties 21-1.3 Wool 21-ch 15; 741-chs 1-5

Sorghum 21-ch 59 Storage 701-26.42, see also WAREHOUSES Taxation 701-17.9, 18.9, 26.42, 42.10, 46.4(6), 49.3, 52.9,

see also Taxation below Transportation 701-26.42(4)m; 761-400.47, 523.5, 523.8(9), 525.14(7) Vehicle weight limits 761-400.47

Records, attorney general 61-2.14(8,9,11), 2.15(11), 2.17(2) Reports, filing 721-4.2(4) Research 21-1.2(5); 567-52.4(4)d Seed capital fund, tax credit 701-42.10, 52.9 Seeds, see SEEDS Soil, see SOIL,· SOIL CONSERVATION DIVISION Taxation

See also Products above,· LIVESTOCK Corporations 571-ch 32; 701-39.6(2lf, 40.28, 52.5(2)c, 53.8, 53.11(2), 54.1,

59.8(2), 79.4 Credits

Family farm 701-80.11 Seed capital investments 701-42.10, 52.9

Equipment, see Equipment/Machinery above Fuel. see TAXATION: Motor Fuel: Farming Operations

12

lAC 8/30/95

AGRICULTURE(cont'd) \.,.,./ Taxation(cont'd)

Index

Income Estimated 701-47.1(3)"3." 47.2(1)b. 49.1(4)"7." 49.2(1)b. 49.3 Fiduciary 701-89.8(7)g,h Land sales, insolvency 701-43.3(11) Minimum, tax shelter loss 701-39.6(3)a Returns, filing 701-39.2(1), 47 .2(1)b

12a

AGRI

~ ·~ .. __.#

·~

lAC 8/30/95 Index

AIRPORTS Aid, state 761-ch 710 Air/transit division 761-700.2 Baggage x-ray machines 641-45.1(2) Closure 761-720.15 Construction, funds 761-ch 710 Definitions 761-700.1, 715.2, 720.2 Electric utility lines, proximity 199-11.2" 13" Firefighters/safety officers, benefits 581-21.6(9)b Inspections 761-720.4( 4 ,6) Marketing program 761-ch 715 Private use 761-720.5 Registration

Closure 761-720.15 Forms 761-720.4(1), 720.5(1) Posting 761-720.4(7) Renewal 761...;...720.4(5) Revocation 761-720.4(8), 720.5(9)

Signs, highways 761-131.1(1)d(5) Site approval 761-720.3-720.5 Standards 761-720.1, 720.4(1)a, 720.10

AIR QUALITY See ENVIRONMENTAL PROTECIION COMMISSION

ALCOHOL See also BEER AND LIQUOR Abuse

See also OWl (Operating While Intoxicated) below Juveniles

Driver license suspension 761-615.23 Holding facilities, observation 201-51.11(2)a(4)

Programs, medical assistance 441-78.31(4)a Records 650-6.11(3)b; 657-14.11(3)b

OWl (operating while intoxicated) Education 281-21.30, 21.31 License, driver 761-615.34, ch 620 Treatment programs 201-ch 47

Tests Devices/methods 661-ch 7, 12.2 Laboratories 641-ch 12; 661-12.2 Licensees/employees, gambling/racing 491-4.27(1)

19

ALCO

ALIE Index lAC 8/30/95

ALIENS Employment 345-3.18(4), 4.60, 5.3(1)i, 7.1, 7.7 Family investment program (FIP) recipients 441-41.3(4), 41.5(6), 41.7(8,10), 41.23(4),

41.25(6), 41.27(8,10), 46.4(5), 46.5(4}, 46.24(5), 46.25(4) Food stamps 441-65.2, 65.102 Insurers 191-ch 12 Land ownership 721-4.2(4) Medicaid 441-75.11, 75.13(1)a Refugees 441-60.1 Status verification 441-9.10(4)d Taxation, real estate 701-79.4, 89.8(7)p

AMBULANCES/RESCUE VEIDCLES See also EMERGENCY MEDICAL CARE Accidents 641-132.8(6) Definitions 641-131.1, 132.1; 761-451.2 Designation 761-451.2 Drivers, retirement benefits 581-21.5(1)a(6) Drugs 641-132.1"4," 132.8(4);-l, 132.8(6)a, 132.9(5); 657-ch 11 Horse races 491-9.15, 9.16 Lights, authorization 641-ch 133 Medicare program 441-77.11, 78.11, 79.1(2}, 79.1(5}j, 79.1(16)i, 79.14(1)b, 80.2(2}a,

88.5(2)a"12" Nurses 641-132.9(6)d; 655-6.4(3) Physicians, assistants 645-325. 7(2) Registration, rebuilt 701-34.5(10) Rotorcraft/air taxis (carriers) 641-132.7(3), 132.8(4)b Service program requirements 641-132.7, 132.8 Sleds 571-28.9, 28.14(2) Standards 641-132.8(4,8-10)

AMUSEMENTS AND AMUSEMENT PARKS See also FAIRS Accident reports 347-61.2(6) Bungee jumping 347-62.2(13) Commissioner 347-61.2(1) Concessions

Booth construction 347-62.3, 62.19(4) Fairgrounds 371-ch 4, 7 .2(3) Gambling 481-100.2(2)a, ch 101, 104.1, 104.3, 104.5, 104.6 Inspection 347-61.2(3,5), 62.18(6)h Maintenance 347-62.18(6) Permit, operation 347-61.2(2-4) Taxation 701-17. 1 (5)

Definitions 347-61.1, 62.1, 104.1 Devices 481-ch 104 Exemptions 347-61.3 Fees 347-61.2(9) First aid 347-62.11

20

lAC 8/30/95 Index

ASSESSMENTS Computer/industrial machinery 701-80.7 Property 567-ch 11; 571-25.6, 25.7; 701-ch 71, 76.9, cbs 78, 80 Sheep/wool sales 741-ch 4 Utilities 199-ch 17

ASSESSORS Appointment 701-72.10, 72.14, 72.15 Budget review 543-2.1, ch 5 Certification

Appraisal experience 701-72.5, 72.6(1) Continuing education 701-72.16(2), 123.3, 123.4 Deputy 701-72.8, 72.9, 123.4 Expiration 701-72.5(3), 72.8(2), 72.10(1) Renewal 701-72.5(4), 72.8(4) Temporary 701-72.6, 72.13

Cities, office abolishment 701-71.19( 1) Continuing education

Certification 701-72.16(2), 123.3, 123.4 Committee, advisory 701-ch 122 Courses 701-chs 123, 124 Instructors, credit 701-123.7

County, annual report 571-73.2 Deputy 701-71.19(1)c, 72.8-72.10, ch 123 Examinations

Continuing education 701-123.2, 123.6 General 701-72.1, 72.2, 72.18 Special 701-72.11, 72.15(3)

Examining board 701-72.14 Forms 567-11.2; 701-71.21 Grievances/appeals 701-ch 125 Property tax 701-74.5, 76.9, chs 78, 80, see also TAXATION Real estate

Mobile/modular/manufactured homes 701-74.5; 761-400.40 Transfer tax 701-79.3 Valuation 263-2.3(3); 701-ch 71

Reappointment 701-72.16 Reassessment expense fund 701-ch 120 Register, eligible candidates 701-72.12, 72.15(3) Reports, fire marshal 661-5.808(3) Retirement, benefits 581-21.5(1)a(10) Smoke detectors, installation, certification 661-5.808 Termination 701-71.19(1), 72.17

ATHLETICS Agents 721-4.6, ch 42 Boxing 347-chs 97-100 Cities/counties, taxation 701-18.39 29

ATHL

ATHL

ATHLETICS(cont'd)

Clubs Registration 61-ch 26 Taxation 701-16.37, 26.24

Index

Coach requirements 281-36.15(6); 282-14.20(1), 16.7(6), ch 19 Events, taxation 701-16.26, 17.1, 17.12, 18.39 Field lighting contracts 199-20.2(4lf Professional

Boxing 347-1.3, chs 97, 98, 100, see also BOXING, PROFESSIONAL Taxation, nonresidents 701-40.46, 48. L 48.2, 48.6 Unemployment compensation 345-4.57 Wrestling 347-1.3, ch 96

Schools Colleges, exempt sales 701-17.11 Conferences 281-ch 37 Eligibility, participants 281-17.8{2,6), 31.5(3,4), 36.14-36.16, 36.18(5,6),

36.19, 36.20 Interscholastic organizations, generally 281-ch 36 Summer activities 281-36.15(6)

Unemployment compensation 345-4.57 Wrestling 281-36.15(6)a. see also Professional above

ATTORNEY GENERAL Address 61-1.1 Administration 61-1.2, 9.10 Bureaus/divisions 61-1.3 Campgrounds, membership registration 61-2.15(6), ch 25 Claims

See also Victim Assistance Program below Appeals, criminal 61-1.3(3)c, 9.33, 9.87 General 543-3.3, 3.4 Tort 61-1.3(1)d; 543-1.7

lAC 8/30/95

Complaints 61-1.3(2)b, 1.4, 1.6, 2.14(8-10), 10.3, 10.5, 10.6; 191-19.14; 193E-1.3(7). 2.1; 645-20.203. 62.104. 120.203, 180.103, 220.203, 301.103

Consumer credit code See also CONSUMER PROTECIION Address 61-10.1(3), 11.7 Administrator/authority 61-2.15(2), 10.1(1), 11.1 Complaints 61-1.3(2)b, 10.5, 10.6 Cosignors, notice 61-ch 15 Declaratory rulings 61-ch 12 Fees/notification 61-ch 22 Forms 61-11.10, ch 19 Function 61-1.3(2)b, 10.1(2) Hearing 61-1 i.5 Information 61-10.4

30

lAC 8/30/95

ATTORNEY GENERAL(cont'd) Consumer credit code( cont 'd)

Insurance Involuntary unemployment 61-ch 14 Noncredit property 61-ch 20

Line, credit 61-ch 16 Organization 61-10.1

Index

Records 61-2.15(2,6,7,14), 10.2, 10.6, 11.5(2) Registration 61-11.7 Rental purchase agreements 61-ch 19 Rule making 61-ch 11 Small business regulatory impact 61-11.8 Violations 61-10.7, 10.8

Continuing education 61-1.3(3)d Corrections department hearings 201-12.15 Counsel, legal 61-1.1(2), 1.3; 591-17.33; 661-1.6 Crime, see Victim Assistance Program below Deputies 61-1.2(2) Disasters, price gouging 61-ch 31 DNA profiling 61-ch 8 Forms 61-1.6, 10.3, 11.10, 17.4(6), ch 19 Funerals, prearranged 191-19.13, 19.14, 19.31(5}, 19.51 Health clubs, registration 61-ch 26 HIV test, disclosure 641-11.73(15) Information, public 61-1.4, see also Records below Line, credit 61-ch 16 Mediation, farm disputes 61-2.17(2), ch 17 Motor vehicles

Repair/service. records 61-ch 29 Salvaged/damaged, sales 61-ch 27 Warranty (lemon law) 61-ch 30

Opinions 61-1.1(3), 1.2(2), 1.3(1)b, 1.4(2), 1.5, 2.15(1,8) Organization 61-1.3 Paroles/probations 61-ch 8 Price gouging 61-ch 31 Prize promotions. disclosure 61-ch 32 Procurements, report 541-10.3 Records

Generally, public/fair information 61-ch 2 Address 61-2.3(1) Administration 61-1.4( 6) Child support recovery 61-2.14(14) Confidential 61-2.1, 2.3(4), 2.4, 2.5, 2.7, 2.9-2.14 Consumer protection 61-2.14(8,9,11). 2.15(2,6,7,14}, 10.2, 10.6, 11.5(2) Data processing 61-2.15, 2.16 Definitions 61-2.1 Disclaimer 61-2.17 Disclosure 61-2.1, 2.9-2.11, 11.5 Fees 61-7.3(7)

31

ATTO

ATTO

ATTORNEY GENERAL(cont'd) Records(cont 'd)

Hearings 61-2.15(14), 11.5(2) Human services 61-2.14(12)

Index

Open 61-2.1, 2.3, 2.9(1), 2.11, 2.13(1), 2.14(8), 10.2 Personally identifiable information 61-2.1, 2.6, 2.14, 2.16 Publications 61-2.15(10,11) Rule making 61-2.15(12)

Rental purchase agreements 61-ch 19 Reports 61-1.1(3), 1.4(4), 9.61; 541-10.3

lAC 8/30/95

Representation, state agencies 61-1.1(2), 1.3; 201-12.15; 567-10.2(7), 43.2(3)c; 591-17.33; 641-202.14; 661-1.6; 701-6.3"1," 11.7, 103.7, see also specific agency

Training coordinator, prosecuting attorney 61-1. 3(3)d Trusts, charitable 61-2.15(16) Victim assistance program

Board 61-9.2-9.8 Crime compensation

Administration 61-9.25 Application 61-9.28-9.33

Definitions 61-9.1, 9.26, 9.51, 9.81 Department duties 61-9.10 Director 61-9.9 Division, address 61-1.3(3)b Grants

Administration 61-9.10, 9.50, 9.52 Application 61-9.53-9.55, 9.57-9.59 Contracts 61-9.60, 9.62 Eligibility 61-9.52, 9.56 Records/reports 61-9.61, 9.65 Termination 61-9.62, 9.63

Sexualabuse 61-9.80-9.87

ATTORNEYS See also ATTORNEY GENERAL Abstract/title guaranty 265-9.13, 9.14 Adoptions, legal fees reimbursement 441-201.6(1)a(7) Beer/liquor, hearing complaints 185-10.2 Child support recovery 441-95.15 Confidential information

Abuse cases Adult 441-176.6(4,6), 176.10(3), 176.12 Child 441-175.11(1)

Chiropractic investigations 645-40.34 Vital statistics 641-96.7"1," 103.1(1)b

32

lAC 8/30/95 Index

BABIES See BIRTH,· CHILDREN; HOSPITALS: Nurseries,· HOSPITALS: Obstetrics

BALLOON RACES Entry fee tax 701-16.28

BANKRUPTCY Depositories, hunting/fishing license 571-15.2(5)c Driver license suspensions 761-640.5(2)c Farmer/creditor mediation program 61-17.17 Hotels/motels 701-104.5 Leasing companies 701-18.36(4) p. 29 Liquor licensees 185-4.19 Motor vehicles

Accidents, liability 761-640.4(5)h, 640.5(2)c Titles 761-400.4(6)

Radioactive materials licensees 641-39.4(32)e,f Small business, jobs training program 261-7.23 Suppliers, state colleges 681-8.1(1)d Taxes

Collection, fiduciaries 701-13.13 Distressed sales 701-39.6 Exemption, lessors 701-18.36(4) p. 29 Filing, returns 701-12.7, 104.5 Motor fuel, federal instrumentalities 701-64.3"2"

Underground storage tanks, owner/operator 567-136.19, 136.23 Unemployment contributions, successors 345-3.28(7)d

BANKS AND BANKING See also LOANS; SAVINGS AND LOAN ASSOCIATIONS Advertising 187-10.6, 15.4(1)

\,.,.,~ Articles of incorporation 187-1.4, 2.1, 2.7 Bonds

Investments 25-2.9, 2.11, 2.12; 187-9.1 Revenue 265-ch 4 Surety 187-2.11

Branch offices/facilities 187-2.4, 2.5, 2.13 Bureaus, duties

Bank 187-1.3, 1.4(1)a Chief 187-1.3(1)d Finance company 187-1.3, 1.4(1)b

BANK

BANK Index

BANKS AND BANKING(cont'd)

Chartered. state 187-2.1-2.4, 2.12 Child support, administrative levy 441-98.93, 98.94, 98.96 Cigarette stamp sales 701-82.5, 82.6, 82.11 Commerce department supervision 181-1.4(2) Credit

Cards, disclosure 781-ch 5 Discrimination 161-ch 6

Custodian Funds, public, see Depositories below Insurance deposits/securities 191-ch 32; 641-201.13(2,3)

Debt management company licensure 187-2.9 Depositories

Agreements 781-13.4. 13.7, 13.10. 13.12 Approval 781-13.4, 13.6 Collateral 781-13.2, 13.4, 13.6, 13.8-13.11, 13.13 Custodians 191-ch 32: 781-13.6-13.11. ch 15 Default 781-13.14 Definitions 781-13.2 Forms 781-13.3-13.5, 13.7, 13.8, 13.10-13.12, 13.14(4) Liability 781-13.8(8) Public funds 781--chs 13, 15 Reports 781-13.5, 15.2(13) Sales/merger 781-13.11 Termination 781-13.10, 13.12

Division Address 187-5.1, 5.3, 6.1, 6.3, 7.3 Board 187-ch 4, 15.8 Declaratory rulings 187--ch 6 Forms 187-1.4 Hearings, public 187-2.1(3), 2.12, 2.14(3), 2.15(3) Organization 187-1.3

2

lAC 8/30/95

lAC 8/30/95 Index

BANKS AND BANKING(cont'd) Division(cont'd)

Records Generally, public/fair information 187-ch 7 Address 187-7.3

BANK

Confidential 187-2.12(3), 7.9(2), 7.10(2)a, 7.11, 7.12, 7.13(2), 7.14(2), 7.15, 7.16

Data processing 187-7.14(1), 7.15(1) Definitions 187-7.1, 7.1 0(1) Disclaimer 187-7.16 Disclosure 187-7.9-7.12 Open 187-7.3(2), 7.9(1), 7.13(1), 7.15, 7.16 Personally identifiable information 187-7.14, 7 .16" 1" Personnel 187-7 .14(1) Rule making 187-7.15(1)

Rule making 187-ch 5, 7.15(1) Superintendent

Cash out merger 187-2.3(7) Duties 187-1.3, ch 2, 4.1, 16.3, 16.4, 16.28 Reports/records 187-2.12(3,11), 15.3(7,10)

Election funds 351--4.3 Electronic transfer, funds 187-ch 10 Escrow notification. physical exercise clubs 61-26.7 Federal land banks, property tax 701-78.6(1)b(l) Hearings, public, see Division above Holding companies 187-2.8 Individual development accounts (IDA) 441-ch 10 Industrial loan companies 187-1.3, ch 16, see also LOANS Investigations 187-2.1(2), 2.2(2), 2.4(2), 2.5(2), 2.6(2), 2.8(3), 2.9(2), 2.13(2),

2.14(2), 2.15(2), 2.16(2) Investments

See also Depositories above Bank's securities 187-9.1 Individual development accounts (IDA) 441-10.2(4) Rating services 187-ch 8 Subsidiaries 187-2.14-2.16

\-,1 Trusts, prearranged funeral funds 191-19.42 Leases 187-9.3 Life insurance, custodial accounts 191-ch 32

3

BANK Index

BANKS AND BANKING(cont'd)

Loans Disclosure 187-9.2(8), 16.27, 16.28(2), 16.30(1); 191-5.50-5.54 Farmers 25-chs 2, 4-6; 61-ch 17 Group home facilities 265-ch 6 Industrial 187-ch 16 Insurance

Flood, fire, wind 187-9.2(6) Title 187-9.2(5)b

Line of credit 61-ch 16 Linked investments for tomorrow (LIFf) 781-ch 4 Real estate 187-9.2 Regulated 187-1.3, ch 15 Revenue bond finance 265-ch 4 Service contracts 191-23.22(1)h, 54.50(5)c Small business 261-chs 51, 55; 265-ch 5; 781-ch 4 Soil conservation 25-ch 4; 27-ch 11 Student 25-ch 3; 283-ch 10

Locations 187-2.5, 2.13 Mergers 187-2.3, 2.12 Negotiable instrument sales 187-2.11 Ownership, change 187-2.6 Pollution emergency 567-26.4 Table V"3"g Records, see Division above Retirement facilities 191-ch 24 Securities, brokerage services 187-2.14(1)a, 2.15, 2.16; 191-50.81-50.84 Service charges 701-26.8 Staff, changes 187-2.6(1)g Stock 187-2.6, 2.7 Subsidiaries 187-2.14, 2.15 Taxation

Franchise 701-chs 57-61, see also TAXATION Property, land banks 701-78.6 Sales 701-16.10, 19.10(1)d, 19.10(2)h, 26.8

Timber buyers, collateral 571-72.3 Title guaranty program 265-ch 9 Trusts

Funds, public, custodians, see Depositories above Funerals, prearranged 191-19.40-19.42 Individual development accounts (IDA) 441-10.2(7), 10.8(4) Insurance companies 191-5.33(6,8,9)

4

lAC 8/30/95

lAC 8/30/95 Index

~ CLAIMS(cont'd)

Indemnification fund, grain 21-91.27, 93.3, ch 94 Indigent defense, reimbursement 481-ch 9 Loans, student, nonpayment 283-10.2(5,6) Medical service injuries, volunteer physicians 641-88.4, 88.10. 88.11 Natural resource commission. relocation assistance 571-26.7 Tanks, underground storage 567-135.11, 136.8(2)"2"e, 136.21(2); 591-10.5. ch 11 Taxation

Credit/refund, see specific tax under TAXATION Debtors, offset 701--ch 150

Tort 61-1.3(1)d, 2.14(7); 541-1.5(1); 543-ch 1 Vehicle registration refunds 761-400.50 Workers' compensation 261-14.6(8); 343-3.1

CLERGY SeeREUGION

CLINICS Athletic 281-36.15(6) Genetic consultation 641--4.7 Health, see HUMAN SERVICES DEPARTMENT

\..,) Physicians, assistant 645-325.6

CLUBS, PRIVATE Health, registration 61--ch 26 Spas/pools 641--ch 15 Taxation

Deductions 701-40.41, 53.8, 59.17 Sales 701-16.26, 16.37, 26.24

Unemployment compensation 345-3.25(1,4,7-9)

COAL Mines

See also SOIL CONSERVATION DIVISION: Coal Mining/Reclamation Bureau, mines/minerals 21-1.7(3) Death, investigation 641-127.1 ( 6)

Pollution control Effluent standards 567-62.4(34) Emissions 567-23.1(2)a,b,v, 25.1, 26.3, 26.4 Tables ill-V Permits, exemptions 567-22.1(2)b Taxation, property exemptions 567-11.6(3)b(6); 701-80.3

Regents purchases 681-8.5 Scales 21-85.12 Wastes, storage/use 567--ch 108

19

COAL

CODE

CODE OF IOWA Printing/distribution 401-5.17(3)

COLLECTIVEBARGAuaNG

Index

See PUBUC EMPLOYMENT RELATIONS BOARD (PERB)

COLLEGES AND UNivERSITIES See also COUEGE STUDENT AID COMMISSION Authorizations. coach 282-ch 19 Community colleges

Administration 281-21.2 Adult education 281-21.4(3), 21.4(6)c, ch 23 Affirmative action/equal opportunity 281-ch 95 Alcohol arrest course 281-21.30, 21.31 Apprenticeship programs 281-21.72-21.74 Approvals 281-21.9 Audits 81-ch 21 Building/site 281-21.9 Coach authorizations, course approval 282-19.3 Council 281-1.1 (5) Curriculum/evaluation 281-21.4 Division 281-1.3(l)c Evaluator approval, in-service 282-20.5(2) Facilities 281-21.5, 21.7, 21.8 Faculty

See also TEACHERS Arbitration 621-7.5 Libraries/learning centers 281-21.5(2); 282-16.7(1), 16.9 Licenses/endorsements 282-ch 16 Requirements, workload 281-21.3

Funds 261-7.4, 7.5, 7.18, 7.19, cbs 17, 22; 281-21.45, 21.58-21.63, 21.67-21.70; 681-9.5(4)h; 851-ch 13, see also Grants below

Handicapped 281-21.4(4), 21.8. 21.9(5,7) Job training programs 261-chs 5, 7 Libraries 281-21.5 Postsecondary education, high school students 281-ch 22 Procurements. bid solicitation 261-54.10 Program/administrative sharing initiative 281-21.64-21.71 Quality instructional center initiative 281-21.57-21.63 Standards 281-21.4(6), 21.12 Vocational education 281-21.4(2,6), ch 46; 283-ch 13

Dental, see DENI'ISTS AND DENTISTRY Employees

Affirmative action/equality 281-ch 95 IPERS, benefits 581-21.24(7) Unemployment compensation 345-3.25, 3.27(7)

20

lAC 8/30/95

'~

lAC 8/30/95

COLLEGES AND UNIVERSITIES(cont'd)

Evaluator approval programs 282-ch 20

Index

Fire standards, see FIRE AND FIRE PROTECI10N Food service inspections 481-1.5"2" Grants

Community colleges See also Community Colleges: Funds above Access to education 283-ch 28 Apprenticeship program, high technology 261-ch 17 Community economic betterment 261-ch 53 Job training 261-ch 7 Lamb/wool management 21-ch 15 Rural leadership program 261-47 .4(6)

Conservation education 281-ch 68 Displaced workers, financial aid 283-ch 29 Law schools, elderlaw 321-ch 13 Minorities 283-ch 22; 681-1.6(2)c(3,4) Osteopaths 283-ch 14 Regents institutions, review 261-38.9 Rural development 261-chs 47-49 Science/math 283-chs 17, 26 Summer institute program 283-ch 17 Tuition 261-14.5(7); 283-chs 12-14. 22. 26.1{6). cbs 27-29, 31. 33

Loans, student, see COUEGE STUDENT AID COMMISSION Pharmacy, internship programs 657-4.3-4.5 Physician assistant program 645-325.16, 325.17 Residency 283-12.1(3), 13.1(2), 14.1(1); 681-1.4 Scholarship program 283-11.1(5.6) State universities

See also REGENTS BOARD Generally 681-chs 1-14 Admissions

Generally 681-chs 1, 2 Accounts, delinquent 681-1.5 High school entries 681-1.1 Residents/nonresidents 681-1.4 Transfers 681-1.2, 1.3, 9.2

College-bound program 681-1.6 Competition, private enterprise 681-9.4 Hygienic laboratory 681-ch 5, 12.1(3) Iowa State University 681-2.25-2.27, 4.25-4.32, 9.5(3), ch 13,

see also IOWA STATE UNIVERSITY Personnel 681-chs 3, 7 Program/administrative sharing initiative 281-21.64-21.71 Purchasing 681-ch 8 Records 681-1.6(2)c(1), ch 10 Telecommunications 681-9.5 Tuition increases 681-9.6, 9.7 University of Iowa 681-2.1, 2.3-2.12, 4.1-4.8, ch 6, 9.5(2), ch 12,

see also UNIVERSITY OF IOWA 21

COLL

COLL

COLLEGES AND UNIVERSITIES{cont'd) State universities{ coni 'd)

Index lAC 8/30/95

University of Northern Iowa 681-2.35, 2.37, 2.38. 4.66-4.73. 9.5(4), ch 14, see also UNIVERSITY OF NORTHERN IOWA

Teacher education, see TEACHERS Veterans, training 281-ch 52 Wildlife education projects 571-111.4 Work-study program 283-ch 18

COLLEGE STUDENT AID COMMISSION Address 283-1.2(1) Advisory council 283-1.2(7) "

1 Appeals 283-ch 5, 10.2(6) ..._, Declaratory rulings 283-ch 3 Grants

Access to education 283-ch 28 Barbers/cosmetologists 283-ch 34 Displaced workers financial aid 283-ch 29 Graduate programs, college faculty 283-ch 33 Minority for economic success (IMAGES) 283-ch 22 Science/math 283-ch 26 State-supported 283-chs 14, 17, 27 Summer institutes 283-ch 17 Tuition 283-chs 12-14, 22, 26.1(6), cbs 27-29, 33, 34 Vocational/technical 283-ch 13

Heritage corps 283-18.14 Loans

See also Grants above Default 283-10.2(5-7), 11.1(3)c, 12.1(8), 13.1(8), 14.1(7), 19.1(1lf, 21.1(1lf, 23.3(6),

27.1(11), 28.1(11), 29.1(8), 30.1(9); 441-95.6(5); 701-43.3(4), 43.4(2) Disbursement, electronic 283-10.2{2) Family education 283-ch 10 Guaranteed 283-ch 15 Medicine 283-chs 23, 25, 30 National guard 283-ch 20 Nurses 283-ch 21 1...._1 Occupational therapists 283-ch 19 Osteopathic forgivable Joan 283-ch 30 Physicians. repayment 283-ch 23 Science/math 283-chs 15, 16 Stafford program 283-ch 10

22

lAC 8/30/95 Index

PHYSICAL/OCCUPATIONAL THERAPISTS(cont'd) Physical therapists(cont'd)

Licenses Generally 645-200.2 Applications 645-200.2(7) Denial 645-200.19(6) Endorsements

Interstate 645-200.2(1), 200.4, 200.10(7) Special education 282-:-15.3(13)

Examination 645-200.2, 200.3(2,4), 200.4(9) Fees 645-200.2(4), 200.3(1)d, 200.4(6), 200.5(3), 200.8, 200.9 Foreign educated 645-200.3(l)b, 200.4(4)c Inactive practitioners 645-200.6, 200.7 Out-of-state 645-200.4 Public health department 641-170.4(1) Renewal 645-200.5 Suspension/revocation/probation 645-200.20 Temporary 645-200.2(7)

Medical assistance, see Medical Assistance Providers above Supervision 645-200.3(3), 200.4(8), 200.20(8)

Schools 282-15.3(12,13)

PHYSICIANS AND SURGEONS Abortions 441-78.1(17), 78.26(1); 641-127.1(4) Acupuncture 645-40.36; 653-10.1-10.3, ch 14 Address change 653-11.30(4) Alcohol/drug abuse 653-12.4(4,14,19) Assistants

Certificates 281-36.14(1) Continuing education

Definitions 645-325 .19(1-3) Exempt;ons 645-325.19(8) Hours 645-325.19(2-4,7) Report 645-325.19(6)

Definitions 645-325.2, 325.19 Discipline 645-325.11, 325.13, 325.14

PHYS

Drugs/medical devices 441-78.1, 78.10(1)c, 78.10(3); 645-325.7(1)o,r-t, 325.7(4}b, 325.8, 325.9; 657-10.2

Duties 645-325.7, 325.18 Examiners board

Address 645-325.10(5) Appeals 645-325.13(28,32), 325.17(9)e,f; 653-12.50(38) Complaints 645-325.12, 325.13; 653-12.50(2) Confidentiality 645-325.13(26) Decisions 645-325 .13(25-31 ,33) Declaratory rulings 645-325.10(10} Discipline 645-325.11, 325.13 Hearings 645-325.13(9-24), 325.14, 325.17(9)e,f, 325.19(5) Organization 645-325.10 Peer review committee 645-325.12, 325.13(5}d,e Rule making 645-325.1 0(8) 17

PHYS Index lAC 8/30/95

PHYSICIANS AND SURGEONS(cont'd) Assistants(cont 'd) \..-!

Licensure 645-325.4, 325.5, 325.11, 325.13(34,35), 325.19(6,7) Physicals, athletes 281-36.14(1) Prescriptions 645-325.7(1)s,t, 325.7(4)b, 325.8, 325.9 Records 645--325.7(1)o, 325.9(4) Registration 645-325.3, 325.5 Supervision 441-78.25(1); 645--325.4, 325.6, 325.7, 325.18; 653-12.50(2), ch 21 Temporary 645--325.4(2), 325.5(2) Training 645--325.15-325.17

Birth defects, tests 641--ch 4 Chiropractors. see CHIROPRACI'ORS Colleges, see Education below Complaints, see Assistants above,· Examiners Board below Confidentiality 653--12.11, 12.14. 12.15, 13.10(10), 13.11(1), see also Examiners

Board: Records below Continuing education

Approval standards 653-11.12, 11.13 Compliance 653--11.21 Definitions 653-11.10 Exemptions 653-11.17-11.19, 11. 32( 1 )c Hearings 653--11.14 Hours 653--11.11, 11. 32(1 )c Physician assistants, see Assistants above Records/reports 653-1.14(5), 11.15, 11.16 Sponsor accreditation 653--11.13 Waivers 653--11.17, 11.18, 11.20

Death certificates 641-99.12, 101.1-101.3, 101.6(1), 101.8, 102.1(2), see also DEATH

Definitions 191-40.1; 481-51.1; 645--325.2, 325.17; 653-10.1, 11.10 Dentists, see DENTISTS AND DENTISTRY Diabetes education program 641-ch 9 Discipline 645--325.11, 325.13; 653-11.32, 12.1-12.4, 12.50, see also Examiners

Board below Disease, reports 641-1.2-1.5, 1.9, 11.49, 11.51-11.53, 11.73(1), see also DISEASES Drugs

See also Assistants above,· DRUGS; HEALTH CARE FAC1LITIES Controlled substances 653-12.4(19); 657-7.12(2)c, ch 10 Dispensation 481-51.14(2)k,m; 653-12.4(19), 13.1, 13.10(8); 657-10.4(2) Documentation/review 441--77.37 ( 16) Medical assistance 441-76.9, 78.1, 78.2, 78.3(5), 78.28, see also Medical

Assistance Providers: Prescriptions below Taxation 701-20.7(2) Testing, employee 641-12.2, 12.16

Education Continuing, see Continuing Education above Grants, osteopathic 283-ch 14 Institutions, accreditation 653--11.3(1)b,d Internship/postgraduate 441--79.1 ( 16}{; 653-11.3(1 )d \.,~

18

lAC 8/30/95

PHYSICIANS AND SURGEONS(cont'd) '-...! Education(cont 'd)

Loans. see Loans below

Index

Radiology/nuclear medicine 641-41.2(67-73,76,77) University of Iowa admission 681-2.8

Ethics 653-12.4(3), 13.10, 13.11 Examiners board

See also Assistants: Examiners Board above Address 653-1.3, 10.4 Appeals 653-11.34, 11.35, 12.50(29,32,34,38) Committee, allied health 653-10.3(5) Complaints 653-1.11(2), 12.5, 12.10, 12.13, 12.15, 12.50 Confidentiality 653-12.11, 12.14, 12.15, 12.50(27), see also Records below Continuing education, see Continuing Education above Declaratory rulings 653-1.15(4), 10.10 Definitions 653-10.1 Discipline 641-88.9; 653-1.12"2," 1.13(2)c,i, 1.14(1,2,4,9,10), 1.17(2)"5,"

12.1-12.4, 12.12, 12.50, 12.51 Ex parte communications 653-12.50(34) Forms 653-11.15, 11.33, 12.50(3)

PHYS

Hearings 653-1.10(2)h, 1.12"2," 1.13(2)c,i, 1.14(1,2,4}, 10.9, 11.14, 11.34, 11.35, 12.50, 12.51

Informal settlements 653-12.50(7 ,8) Meetings 653-1.15(2), 10.6 Organization 653-10.3 Peer review committee 653-10.1. 12.6-12.8, 12.13. 12.15 Purpose 653-10.2 Records

Generally, public/fair information 653-ch 1 Confidential 653-1.7, 1.9(2), 1.11, 1.12, 1.13(2,3), 1.14, 1.15, 12.14, 12.15 Data processing 653-1.14(8), 1.16 Definitions 653-1.1, 1.1 0( 1) Disclaimer 653-1.17 Disclosure 653-1.7, 1. 9-1.13 Fees 653-1.3(7) Hearings, disciplinary 653-1.10(2)h, 1.12"2," 1.13(2)c,i, 1.14(1,2,4), 1.17(2)"5" Open 653-1.9, 1.13(1), 1.15 Personally identifiable information 653-1.14. 1.16 Personnel 653-1.14(9) Rule making 653-1.15(3)

Rule making 653-1.15(3), 10.1, 10.8, 10.9 Subpoenas 653--1.9(2)g, 12.4(22}, 12.50(19,20)

Fees, services 653-13.10(8), 13.11(12) Foreign 653-11.6(2)b, 11.7(2)b(3,4); 657-10.4(2). 10.11(1) Fraud 653-12.4, 13.11(8) Grants 283--ch 14 Health care facilities, see HEALTH CARE FACH.,mES Health maintenance organizations (HMO) 191-40.1, 40.5: 441-ch 88 Hearing tests, audiologists 645-300.3(1)

19

PHYS

PHYSICIANS AND SURGEONS(cont'd)

Hospice. see HOSPICE Hospitals. see HOSPITALS Inactive practitioner 653-11.17. 11.18 Incompetency 653-12.4(2,17) Insurance coverage, services 191-71.14

Index

Interns 581-21.5(l)a(26); 657-10.4(2), 10.11(1), see also Education above Licenses

Application 653-11.2, 11.6-11.9, 11.30, 11.33 Denial 653-11.2(5), 11.32(3}, 11.34, 11.35, 12.50(37) Eligibility 653-11.3

lAC 8/30/95

Examinations, generally 653-1.13(2)e,f, 1.14(6), 11.1, 11.3-11.7, 11.30-11.33 Exemptions 653-11.32(1)c Expiration/renewal 653-11.21, 11.30, 11.31(3,7,9) Fees 653-11.2(3), 11.4(3,4), 11.6(1,2), 11.7, 11.30-11.32 Forms 653-11.33 Hearings 653-1.13(2)c, 1.14(1,2.4), 11.14, 11.34, 11.35 Public health department authority 641-170.4(1) Reciprocity /endorsement 653-11.3. 11.5 Records 653-1.14(8) Reinstatement 653-11.31(11,12), 11.32, 12.50(36) Resident physician 653-11.6, 11.31 ( 6, 7) Special 653-11.8, 11.31(13) Suspension/revocation 653-11.2(5), 12.4(10), 12.50(1.36,37) Temporary 653-11.7, 11.31(8)

Loans 283-chs 23, 25, 30; 641-110.21, see also Grants above Malpractice 653-10.1, 12.4(21.24). 12.9, 12.10 Mammograms 641-41.1(12)c Medical assistance providers

See also HUMAN SERVICES DEPARTMENT: Medical Assistance (Medicaid) Agreement, participation 441-79.6, 79.14(6) Claims 441-79.6(6), 79.14(10), ch 80 Eligibility 441-ch 77 Enrollment 441-79.14 Outpatients 441-78.1(1)g, 78.31, 79.1(5)p, 79.1(16){ Patient management, contracts 441-78.3(12)c, 79.10(5), 79.11(6), 88.41-88.51 Prescriptions 441-76.9(3)b,c, 78.10, 78.15, 78.28(1)d Referrals. emergency room 441-78.3(12)c Reimbursement 441-79.1 Review, preprocedure/preadmission 441-78.1(19}, 78.1(20)a(4.5), 78.26(3). 78.28,

79.10. 79.11

Services 441-77.1, 78.1, 88.5(2)a, 88.25(2)a Transplants 441-78.1(12,20), 78.3(10)

Medical care providers, advanced emergency, see EMERGENCY MEDICAL CARE Medical decision-making boards 641-chs 84, 85 Medical examiner, county, see MEDICAL EXAMINERS Military service 653-11.19 Optometrists, see OPTOMETRISTS AND OPTOMETRY Osteopaths, grant/subvention program 283-ch 14

20

lAC 8/30/95 Index

PHYSICIANS AND SURGEONS(cont'd) \,) Patient managers, see Medical Assistance Providers above

Pesticides, emergency information 641-ch 71 Podiatrists, see PODIATRY Probation 653-11.21 Radiation equipment/materials 641-38.8(1), 39.4(22)i, 41.2(14,67-73, 76, 77), 42.1(6),

42.2(6), 42.3(6), see also RADIATION MACHINES AND RADIOACI7VE MATERIALS; X RAYS

PIPE

Records 343-8.9; 441-79.3, ch 87, 88.8(2,5), 88.9, 88.28(2,5), 88.29; 481-73.4, 73.6; 653-ch 1, 11.15, 12.14, see also Examiners Board above

Reports Birth defects 641-4.6(4,5) Brain/spinal cord injuries 641-ch 21 Malpractice 653-12.9, 12.11-12.13 Volunteers 641-88.4, 88.14

Retirement, IPERS (Iowa public employees' retirement system) Taxation

Equipment/services 701-18.22 Prescription exemption 701-20.7(2)

Transplants 441-78.1(12,20), 78.3(10)b Tuition 283-chs 14, 23, 25, 30 Volunteer program 641-ch 88 Wages, minimum, exemption 347-218.314

~PIPELINES Accidents 199-10.17, 12.6 Construction

Bridge attachments 761-115.40(2,3) Crossings 199-10.14; 567-71.8 Drain tile protection 199-9.2 Hearings 199-10.4-10.6 Highways, right-of-way 761-ch 115 Land restoration 199-9.4 Meetings, informational 199-9.2(2), 9.3(2), 10.3 Notice 199-12.3 Objections 199-10.5 Permits 199-10.2-10.4, 10.7-10.10, 10.14, 10.16, Soil conservation structures/practices 199-9.3, 9.5 Standards 199-ch 9, 10.12

Definitions 199-9.1, 10.1, 12.1 Distribution -:nains 199-10.16 Employees, drug tests 199-10.12 Gas

Interstate 199-ch 12 Intrastate 199-ch 10 Underground storage 199-ch 10

Hazardous substances 199-ch 10; 567-ch 135 Inspections l99-9.2(1)e, 10.10, 10.11, 12.2 Relocation/removal 199-9.2, 10.18 Taxation 701-18.45(3)a, 54.7(3)

21

10.19

581-21.5(1)a(25,26)

PIST Index lAC 8/30/95

PISTOLS See WEAPONS

PKUTESTING See PHENYLKETONURIA (PKU) TESTING

PLANNING AND PROGRAMMING See ECONOMIC DEVELOPMENT DEPARTMENT; PUBUC SAFETY DEPARTMENT

PLANTS See also CROPS,· FORESTS,· TIMBER Diseases 21-46.15 Endangered species 571-ch 77 Highways 761-ch 121 Nursery stock 21-ch 46; 561-1.2(6), 1.3{2){; 571-ch 71 Removal, natural resource jurisdiction 571-ch 54 Taxation

Landscaping/tree trimming 701-18.11, 18.43, 26.62, 26.66 Passive farming activity 701-40.28(1), 53.8(2)a"3" Sales, health promotion products 701-17.4, 17.9(3), 17.10

Trees Burning restrictions 567-23.2(3)b, 23.2(4) Farmers. conservation committee 27-1.1 Plantings

Community, grant program 571-ch 34 Shelterbelts 571-22.6 Water protection practices 27-12.80-12.84

Wildlife shelterbelts 571-22.6

PLUMBING CODE Regulations 641-17.1(5), ch 25; 661-16.130(5), 16.400, 16.401

PODIATRY Address

Change 645-220.212(9) Department 645-220.1(1), 220.201

Advertising 645-220.212(1)c,g, 220.212(8)a Appeals 645-220.209. 220.210 Assistants, radiography. see Radiography below Complaints 645-220.201. 220.203, 220.213(3) Conduct 645-220.1(17), 220.201, 220.212, 220.300 Confidentiality 645-220.212(8)b, 220.213(3)

22

'....._;

lAC 8/30/95

SALE BARNS See UVESTOCK: Markers

SALES AND USE TAX See TAXATION

SANATORIUMS Classification 481-51.2 Mentally ill, see MENTAL HEALTH

\._,I Oakdale 681-12.1(3) Tuberculosis 681-12.1(3)

SANITARY DISPOSAL PROJECTS

Index

See ENVIRONMENTAL PROTECTION COMMISSION: Solid Waste Management/Disposal

SANITARY LANDFILLS

SAVI

See also ENVIRONMENTAL PROTECI'ION COMMISSION: Solid Waste Management/Disposal Signs 761-131.5

SAVINGS AND LOAN ASSOCIATIONS Accounts

Bonus 197-3.1(1) Demand 197-8.1(6), 8.2(4) Fixed-rate/fixed-term 197-3.1(4), 4.2 Individual development 441-ch 10 Negotiable order of withdrawal (NOW) 197-ch 8 Ninety-day notice 197-3.1 (3) Variable 197-3.1(2) Withdrawals 197-3.1(9)

'..,~ Advertising 197-14.6 Branch office, establishment

Address, superintendent 197-2.1 , 5 .4, 6.2 Application

Budget proposal 197-2.4, 2.5 Confidentiality 197-2.4 Data required 197-2.3-2.5 Evaluation 197-2.5, 2.6 Form 197-2.1

Approval Articles/bylaws, amendments 197-2.6 Documentation/fmal review 197-2.8

~ Notice, publication 197-2.7 Disapproval/hearing 197-2.8 Eligibility 197-2.2

1

SAVI Index

SAVINGS AND LOAN ASSOCIA TIONS(cont 'd)

Capital stock conversion Applications 197-6.3, 6.10 Approval/rejection 197-6.6, 6.10 Articles/bylaws 197-6.4 Certificate 197-6.10(4) Definitions 197-6.2 Meetings 197-6.7 Plan content 197-6.5 Stock acquisition, control change 197-6.10

Commerce department supervision 181-1.4(4) Credit cards

Authorization 197-ch 7 Disclosure 781-ch 5

Definitions 197-5.3, 6.2, 8.1, 9.2, 10.1, 12.1, 13.2 Depositories

Agreements 781-3.1(2), 3.3, 3.6 Approval 781-3.3, 3.6(7) Collateral 781-3.2, 3.4, 3.6 Custodians 781-3.6, 3.7, 3.10 Default 781-3.7(7), 3.11 Definitions 781-3.2 Forms 781-3.1(2), 3.3-3.6 Letter of credit 781-3.2, 3.4, 3.5 Sale/merger 781-3.9 Termination 781-3.6

Disclosures, see Loans below Division, records

Generally, public/fair informatiou 197-ch 1 Address 197-1.3(1) Confidential 197-1.11, 1.12, 1.13(2) Definitions 197-1.1, 1.10 Disclaimer 197-1.16 Disclosure 197-1.9-1.11 Fees 197-1.3(7) Open 197-1.9(1), 1.13(1). 1.15 Personally identifiable information 197-1.14

Election funds 351-4.3 Electronic transfers, funds 197-ch 14 Individual development accounts (IDA) 441-ch 10

lAC 8/30/95

Investments 191-19.42; 197-ch 9, 10.4-10.7, 10.9; 441-10.2(4); 781-ch 3 Loans

Consumer 197-ch 9 Credit, line 61-ch 16 Disclosure 191-5.50-5.54; 197-ch 5, 11.6, 12.4 Farmers 25-chs 2, 4-6; 27-ch 11; 781-ch 4 Group home facilities 265-ch 6 Linked investments for tomorrow (LIFT) 781-ch 4

2

lAC 8/30/95 Index

SAVINGS AND LOANS ASSOCIA TIONS(cont'd) \....,) Loans(cont 'd)

Mortgage, adjustable Application/disclosure notice 197-11.6 Description 197-11.2 Index value 197-11.3 Payment adjustments 197-11.4, 11.5

Real estate Application/disclosure notice 197-12.4 Complaints/address 197-5.4 Definitions 197-5.3. 12.1 First mortgages/home loans, generally 197-12.2, 12.3 Reports/records, disclosure 197-ch 5

\._,) Revenue bond financing 265-ch 4 Service contracts, motor vehicle/residential 191-23.22(1)/z, 54.50(5)c Small business 261-ch 55; 265-ch 5; 781-4.7 Soil conservation program 25-ch 4; 27-ch 11 Student guaranteed (Stafford) 283-ch 10

Mutual deposit associations Generally 197-ch 4 Certificates, fixed-rate/fixed-term accounts 197-4.2 Conversion procedure 197-4.1{2) Interest payments 197-8.3(3) Limitations 197-4.2(2)

\..,) NOW accounts, see Accounts above Property, leasing/owning 197-ch 13 Records/reports, disclosure 197-ch 5, see also Division, Records above Retirement facilities 191-ch 24 Securities

Brokerage services 191-50.83, 50.84 Corporate debt 197-ch 9

Taxation Franchise 701-chs 57-61 Sales 701-16.10

Trust services Generally 197-ch 10

\.,I Audits 197-10.11 Compensation 197-10.8 Dissolution 197-10.12, 10.13 Funerals, prearranged, funds 191-19.40-19.42 Investments 191-19.42; 197-10.4-10.7, 10.9; 441-10.2(7), 10.8(4) Mergers 197-10.14 Policies/procedures 197-10.3 Records/reports 197-10.10 Restrictions 197-10.6 Revocation order/hearing 197-10.15

'-../ SCALES See WEIGHTS AND MEASURES

3

SCAL

SCHO

SCHOLARSHIPS See STUDENTS

Index

SCHOOL BUDGET REVIEW COMMITTEE Address 289-1.2, 1.3 Declaratory rulings 289-ch 3 Definitions 289-5.1, 6.1 Hearings 289-6.2, 6.3 Records

Definitions 289-5 .1 , 5 .1 0 Disclosures 289-5.9 Fees 289-5. 3(7) Open 289-5.9, 5.11

Rule making 289-chs 2, 4, 5.12

SCHOOLS

lAC 8/30/95

See also COUEGES AND UNIVERSIDES,· EDUCATION,· TEACHERS Administration, minimum wage exemption 347-218.201(3), 218.206, 218.211(3),

218.215 Area, see COUEGES AND UNIVERSIDES: Community Colleges Asbestos 281-ch 96 Athletics, see EDUCATION: Extracurricular Activities Audits 281-11.3(4), 12.3(1,10), 36.10, 36.11 Barber, see BARBERS Bingo/raffle licenses 481-100.9(1), 100.60, 103.2"4" Boards

Local 281-chs 11, 12, 15.6, 17.3(2}, 33.3, 91.3, 96.2, 102.5 State 281-1.1, 11.1(7), 12.1(4,5), 102.2

Braille/sight-saving 681-ch 15 Budgets

See also Funds below Appeal board review 543---ch 2 Dropout programs 281-61.5(10); 289-6.6(2)d(2), 6.6(3)d(2) Education improvement projects 281-62.2, 62.4(1){, 62.5(4,5) Gifted/talented programs 281-59.5(10, 11): 289-6.6(2)d(l), 6.6(3)d(l) In-service 281-11.7 Management department duties 541-1.4 Media centers 281-12.5(22) Review committee 289-chs 1-6, see also SCHOOL BUDGET REVIEW COMMITFEE Staff development 281-12.7 Teacher excellence program 281-91.5(4) Youth services 281-66.4(15)

Buses 281---chs 43, 44, see also BUSES Calendar 281-12.2(1,3) Career education 281-11.5(9), 12.5(7)

4

lAC 8/30/95

SCHOOLS(cont 'd) '-..,/ Child care, see Grants below

Chiropractic 645--40.11

Index

Colleges. see COUEGES AND UNIVERSillES Community colleges (merged areas), see Grants: Merged Areas below; COUEGES AND

UNIVERSITIES Cosmetology. see COSMETOLOGY AND COSMETOLOGISTS Curricula, see EDUCATION Dairy products/equipment 21-23.2 Deaf

Definitions 281--41.5 School. state 681-ch 16 Teachers/support personnel 281-41.9(3)b, 41.10(2)a; 282-15.2(6)

~Disease Asbestos-related 281-96.10(4)b. 96. 10(5)b. 96.10(6)b Bus drivers 281--43.15-43.17 Health education 281-12.5(3)e, 12.5(5)e Immunization 281-31.2(1)a(7), 31.4(1)e. 33.5; 641-ch 7 Reporting 641-1.5

Elections 351--4.1(2). 4.2(1), 6.1; 721-21.500 Employees, see Personnel below Energy conservation 565-chs 6-8

SCHO

Fire safety 661-5.8, 5.50-5.65, 5.100-5.105, 5.650-5.667, 5.700-5.714, 5.750-5.765. see also FIRE AND FIRE PROTECflON

\,.) Food service establishments, inspections 481-1.5"2," 32.1, see also Lunch Program below Funds

See also Budgets above; Grants below Activities. record 281-11.3(3) Advance funding authority 285-ch 1 Audit 281-11.3(4), 12.3(1,10), 36.10, 36.11 Community colleges, see COUEGES AND UNIVERSmES Depositories 781-chs 3, 12-15 Energy bank program 565-6.6 English/bilingual instruction 281-60.6

Gambling. see Bingo/Raffle Licenses above Grants

'-...~ Adolescent pregnancy prevention 441-ch 163 Children

At-risk Development programs 281-ch 64 Innovative, early elementary 281-ch 65 Parent support services 281-ch 67

Care. day 441-ch 168 Colleges/universities. see Merged Areas this subheading below; COUEGES AND

UNIVERSmES Conservation education 281-ch 68 Merged areas 21-ch 15; 261-chs 46, 53 Recruitment. women/minority staff 281-ch 94 Technical assistance/energy conservation 565-chs 7. 8 Tuition 261-14.5(7); 281-26.1(3), 63.17(3), see also COUEGES AND

UNIVERSillES 5

SCHO

SCHOOLS(cont 'd)

Home instruction 281-ch 31 Hospital, see MENTAlLY RETARDED Immunization, see Disease above

Index IAC 8/30/95

IPERS (Iowa public employees' retirement system) 581-21.3, 21.5(1)a(18,20,34), 21.12, 21.12(5-7}, 21.17(2), 21.24(1)

Law enforcement academy 501-chs 1-5 Lunch program 281-ch 58; 701-17.11 Merged areas, see COUEGES AND UNIVERSmES: Community Colleges Nonpublic, see Private/Nonpublic below Nurs~s

D:seases, reporting 641-1.5(3) Education programs 281-52.5, 52.13; 655-ch 2 Endorsements 282-14.20(11), 15.3"2," 15.3(14) License, filing 281-11.4(8), 12.4(12) Scholarships, institution eligibility 283-11.1 (6) Special education, health services 281-41.96; 282-15.3"2," 15.3(14)

Parent-teacher conferences 281-11.5(15), 12.2(2) Permits, wildlife education 571-111.4 Personnel

See also TEACHERS Abuse, student 281-chs 102, 103 Evaluation 281-12.3(4) Health services, student 281-12.3(9), 41.96 Physicals 281-12.4(14), 43.15 Punishment, corporal 281-ch 103 Retirement, benefits, see IPERS (Iowa Public Employees' Retirement System) above Specialists, see TEACHERS Support staff, see EDUCATION Unemployment insurance, claims/benefits 345-3.27(7), 4.22(2}i, 4.26(19,22),

4.51-4.54 Wages, minimum, exemption 347-216.3, 218.211. 218.215. 218.314; 661-5.8

Pollution, emergency 567-26.4 Table V Private/nonpublic 281-chs 12, 31, 60.5, ch 68, 102.5, ch 103; 701-41.5(5}{ Procurements 261-54.3(2)c, 54.3(3), 54.10, 54.14(1)/. 54.15 Psychologists 281-11.5(13), 41.9(3)h, 41.10(2),1; 282-15.3" 1 "b, 15.3(8) Records 281-11.3(1,3,4,10,11), 12.3(1,6,10}, 33.4, 36.11, 36.12, 102.13;

347-216.3; 641-7.7(1) Reports 281-11.3(2), 12.3(12), 91.6, 102.13; 641-1.5 Students

Abuse .281-chs 102, 103 Activities 281-11.6, 12.6, ch 36 At-risk 281-12.5(13}, cbs 64, 65, 67 Attendance 281-11.2(12-18), 12.2(4}; 761-615.32 Discipline 281-12.3(8) Driver licenses 281-26.7; 761-602.25, 602.26, 605.5(4), 605.20(2}, 615.21,

615.28(2) Dropouts 281-ch 61

6