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Iowa Administrative

Code Supplement

Biweekly

October 28, 1981

WAYNE A. FAUPEL CODE EDITOR

PHYLLIS BARRY DEPUTY CODE EDITOR

Laveme Swanson Administrative Code Assistant

PuBLISHED BY THE

STATE OF IOWA UNDER AUTHORITY OF SECTION 17A.6, CODE 1981

Supp. PREFACE lAC 7/8/81

Pursuant to section 17 A.6 of the Iowa Code, the Iowa Administrative Code [lAC] l J-

~upplement is published biweekly and supersedes Part II of previous publications. ...._..,

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 or emergency or temporary rules which have been adopted by the agency and filed with administrative rules co-ordinator as provided in sections 17.7, 17 A.4 to 17 A.6. [It may be 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", Tables of Rules Implementing Statutes, and Skeleton Index.

When objections are filed to rules by the Administrative Rules Review Committee, Gover­nor or the Attorney General, the context 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 12/29/75 Agriculture[30] Ch 1, p.l

•Section 17A.6 has mandated that the "Iowa Administrative Bulletin" be published in pamphlet form which will contain material formerly published in Part I of the lAC Supplement. The Bulletin will contain -~ Notices of Intended Action, Filed Rules, effective date delays, and the context of objections to rules filed by the Committee, Governor, or the Attorney General.

In addition, the Bulletin shall contain all 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.

#

v

... , I~

lAC Supp. 10/28/81 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 to 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.

UPDATING INSTRUCTIONS October 28, 1981 Biweekly Supplement

IOWA ADMINISTRATIVE CODE

Agriculture Department (30)

Blind, Commission for [160)

Conservation Commission (290)

Health Department (470]

Real Estate Commission [700]

Secretary of State (750)

Remove Old Pages*

Ch 15, p.1, 2

Analysis, p.1 Ch6, p.1

Analysis, p.1, Ia Analysis, p.3, 3a Ch 22, p.1-Ch 23•, p.4 Ch54,p.1,2 Ch54, p.5, 6 Ch66, p.1-Ch67, p.1 Ch 108, p.l, 2

Analysis, p.9, 9a Ch 137,p.1-Ch 138,

p.1a Ch 138, p.3-Ch 139, p.1 Ch141,p.1,2 Ch 141, p.5-Ch 141, p.8 Ch 143, p.1, 2

Ch 1, p.3-Ch 2, p.2

Analysis, p.1, 2 Ch 11, p.l

Insert New Pages

Ch 15, p.1, 2

Analysis, p.l, 2 Ch6, p.1-Ch7, p.4

Analysis, p.l-p.1b Analysis, p.3, 3a Ch 22, p.l-Ch 26, p.1 Ch54, p.l, 2 Ch54,p.5,6 Ch66, p.l-Ch67, p.l Ch 108, p.l, 2

Analysis, p.9, 9a Ch 137,p.l-Ch 138,

p.la Ch 138, p.3-Ch 139, p.l Ch 141, p.1-Ch 141, p.2 Ch I4I, p.5-Ch 141, p.8 Ch I43, p.I, 2

Ch I, p.3-Ch 2, p.2

Analysis, p.1, 2 Ch 10, p.3-Ch II, p.1

*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.

Page2

Soil Conservation [780]

Instructions

Ch5,p.1,2 Ch5,p.5,6 Ch5, p.9, 10 Ch 5, p.15-Ch 5, p.20

Transportation Department [820] [01 ,B]Ch 3, p.1-[03,E]Ch 1, p.1

[07,C]Ch 13, p.2-[07,C]Ch 13, p.4

[07,C]Ch 13, p.23, 24

lAC Supp.10/28/81

Ch 5, p.1, 2 Ch5, p.5,6 Ch 5, p.9-Ch 5, p.10a Ch5, p.15-Ch5, p.20

[01,B]Ch3, p.1-[03,E]Ch 1, p.1

[07 ,C]Ch 13, p.2-[07,C]Ch 13, p.4

[07,C]Ch 13, p.23, 24

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.

lAC 11/2/77, 10/28/81 Agriculture Department [30] Ch 15, p.1

constructed of metal and cement or other fireproof material, they shall be disinfected thor­oughly with cresolis compound, U.S.P. or any reliable disinfectant recommended by the B.A.I., chief of division of animal industry or a regularly qualified veterinarian. In the event the owner or his agent neglects or refuses to make such disposition of the carcasses of animals dead from anthrax within twenty-four hours, as stated above, then in such cases the disposal of the same shall be handled in accordance with 12.33(163).

This rule is intended to implement section 167.13 of the Code.

30-12.30(163) Hog-cholera-carcasses. All carcasses of hogs dead of cholera must be burned within twenty-four hours intact, or they may be disposed of within twenty-four hours to the operator of a licensed rendering plant or his employee. In the event that the owner or his agent neglects or refuses to make such disposition of the carcass or carcasses of hogs dead of cholera, then the disposal of same shall be handled in accordance with 12.33(163).

This rule is intended to implement section 166B.2 of the Code.

30-12.31(163) Noncommunicable diseases-carcasses. All carcasses of animals dead from noncommunicable diseases, may be either burned within twenty-four hours, or such carcasses may be disposed of within twenty-four hours by the operator of a licensed render­ing plant or his employees. In the event that the owner or his agent neglects or refuses to make such disposition of the carcass or carcasses, then the disposal of same shall be handled in accordance with 12.3~(163).

This rule is intended to implement section 167.18 of the Code.

30-12.32(163) Carcass disposal-streams. All persons are strictly forbidden to throw the carcass of any animal into any river, stream, lake or pond or bury the carcass of any animal near any stream or tile drain. Such carcasses if dead of noncommunicable disease, if not disposed of to a rendering plant, must be buried six feet below the surface of the ground, in accordance with the preceding rule.

This rule is intended to implement section 167.18 of the Code.

30-12.33(163) Improper disposal. When the owner of any animal, dead from any cause, neglects or refuses to make proper disposition of the carcasses of such animals it shall be the duty of the township trustees or local board of health to supervise the disposal of such carcasses.

This rule is intended to implement section 167.13 of the Code. [Filed 11/26/57]

CHAPTERS 13 and 14 Reserved

ANIMAL INDUSTRY

CHAPTER 15 BRANDING

(Appeared as Ch 18, 19731DR)

30-15.1(187) Location of brands on livestock. 15.1(1) Brands shall be recorded on one of either sides of the animals, in any one of

three locations, to wit: The shoulder, rib, or hip. 15.1(2) Each location is considered a separate brand and not in or under conflict with

the same or similar brand in a different location or on a different side. \._) This rule is intended to implement section 187.5 of the Code.

Ch 15, p.2 Agriculture[JO] lAC 11/2/77

30-15.2(187) Brands in conflict. \.....) 15.2(1) Whenever two or more brands are determined by the secretary, to be in or

under conflict, the secretary shall give written notice to the brand owners. 15.2(2) When herds bearing a similar brand are maintained in close proximity to each

other, and the secretary determines that confusion or conflict may arise therefrom; then the secretary shall direct any change or changes in the position of the brands, so as to remove such confusion or conflict.

15.2(3) When two or more brands are determined, by the secretary, to be in or under conflict, then the owner having recorded said brand on the earliest date shall be given preference in retaining said brand.

[Filed September 26, 1967]

CHAPTER 16 LIVESTOCK DISEASES ~

(Appeared as Ot 1, 1973 IDR) (Ot 16, lAC 7/1/7S renumbered as 11.3, 12.1 to 12.33, and Ot 16, lAC 11/2177,

as per written instructions rrom Ag. Dept. 10/11/77)

30-16.1(163) Reporting disease. Whenever any person or persons who shall have knowl­edge of the existence of any infectious or contagious disease, such disease affecting the animals within the state or resulting in exposure thereto, which may prove detrimental to the health of the animals within the state; it shall be the duty of such person or persons to report the same in writing to the Chief, Division of Animal Industry, State Capitol Building, Des Moines, Iowa 50319 or to his authorized representative, who shall then take such action as deemed necessary, for the suppression and prevention of such disease. The follow­ing named diseases are infectious or contagious and the diagnosis or suspected diagnosis of any of these diseases in an.imals m.ust be reported promptly to the Iowa Department of V Agriculture by the veterinarian maktng the diagnosis or suspected diagnosis:

Bloody Dysentery or Swine Dysentery in Hogs Pseudorabies or Aujeszky's Disease-All Species Scabies-Cattle or Sheep Foot Rot-Sheep Encephalomyelitis-Horses Equine Infectious Anemia (EIA)-Horses Transmissible Gastric Enteritis (TGE)-Swine This rule is intended to implement sections 163.1 and 163.2 of the Code.

[Filed March 12, 1962] [Filed 12/21/76, Notice 11/3/76-published 1/12/77, effective 2/17/77]

30-16.2(163) Disease prevention and suppression. Whenever the chief of division of ~ animal industry shall have knowledge of an outbreak of any contagious, infectious or com­municable disease among domestic animals in the state, he shall take such action as he deems necessary for the prevention and suppression of such disease, and is authorized to establish, enforce and maintain such quarantine regulations as he may deem necessary and for such purpose is authorized and empowered to call to his assistance any peace officer to aid him in the prosecution and performance of his duties.

This rule is intended to implement sections 163.1 and 163.10 of the Code.

30-16.3(163) Duties of township trustees and health board. Whenever notice is given to the trustees of a township or to a local board of health that animals are suspected of being affected with or having been exposed to any contagious, infectious or communicable disease, they may impose such restrictions as deemed necessary to prevent the spread of the disease. It shall be the duty of such township trustees or local boards to immediately notify \..._,) the chief of division of animal industry.

This rule is intended to implement section 163.17 of the Code.

lAC 10/28/81 Blind[l60] Analysis, p.1

BLIND, COMMISSION FOR[160] CHAPTER 1

GENERAL ORGANIZATION AND ADMINISTRATION

1.1(6018) Functions 1.2(6018) Membership 1.3(601 B) Organization 1.4(6018) Meetings and public information 1.5(6018) Federalaid 1.6(6018) Forms

CHJ\PTER 2 SERVICES

2.1(6018) Definition 2.2(6018) Eligibility 2.3(6018) Application procedure 2.4(6018) Available services 2.5(6018) Consideration of similar benefits "2:6(6018) Adjustment center

CHAPTER 3 PROCEDURES

3.1 (17 A) Request for rule change 3.2(17 A) Declaratory rulings 3.3(6018) Administrative review of agency

action and fair hearing 3.4(6018) Confidential information

CHAPTER4 VENDING FACILITIES

4.1(6018,601C) Rules governing the vending facility pro­gram

4.2(6018,601 C) Definitions 4.3(6018,601C) Issuance of licenses 4.4(6018,601 C) Termination of licenses 4.5(601 8,601 C) Vending facility equip-

ment and initial stocks 4.6(6018,601 C) Maintenance and replace­

ment of equipment 4. 7(601 8,601 C) Distribution and use of

income from vending machines on federal property

4.8(6018,601C) Operatingagreement between the commis­sion and blind vendor

4.9(601 8,601 C) Assignment, transfer, and promotion of vendors

4.10(6018,601C) Training program

4.11(6018,601C) Election, organization, and functions of the state committee of blind vendors

4.12(6018,601C) Administrative reviews, evidentiary hearings, and arbitration of ven­dor complaints

4.13(6018,601C) Access to program and financial information

4.14(6018,601C) Explanation tovendorof his/her rights and re­sponsibilities

4.15(6018,601C) Agreement between the commission for the blind.and the operator of a vending facility or business enterprise

CHAPTER 5 EMPLOYMENT PRACTICES

5.1(6018) Recruitment 5.2(6018) Selection 5.3(601B) Appointments 5 .4(601 B) Nondiscrimination

CHAPTER6 PROMOTIONS, DEMOTIONS,

TRANSFERS AND TERMINATIONS 6.1(601B) Employees-appeals

CHAPTER 7 GENERAL PERSONNEL POLICIES

AND PROCEDURES 7 .1(601B) Probation 7 .2(601B) Political and other private ac-

tivity by staff 7 .3(601B) Performance evaluation 7.4(6018) Vacation 7.5(601B) Sick leave 7.6(601B) Enforced leave 7.7(601B) Other leave provisions 7.8(601B) Holidays 7.9(601B) Confidentiality of records 7.1 0( 601 B) Flexible scheduling provisions

Analysis, p.2

CHAPTERS CLASSIFICATION AND

COMPENSATION POLICIES AND PROCEDURES

8.1(601B) General conditons 8.2(601B) Preparation, maintenance, and

administration of the com­mission's classification plan

8.3(601B) Pay plan-general provisions 8.4(601B) Administration of the pay plan

CHAPTER9 FACILITIES

9.1(601 B) Use of facilities-authorization 9.2(601B) Joint activities

Blind[160] IAC9/16/81

lAC 10/28/81 Blind[160] Ch 6, p.1

CHAPTER6 PROMOTIONS, DEMOTIONS, TRANSFERS, AND TERMINATIONS

160-6.1(6018) Employees-appeals. No permanent employee who has successfully com­pleted a probationary period shall be dismissed, suspended or demoted without just cause. Any such employee shall have the right to appeal his or her dismissal, suspension, or demotion to the director within five working days. The director shall notify the employee of his/her decision .in writing within five working days. If not satisfied with the director's decision, the employee may within five working days of written notification by the director file a written ap­peal through the director first, if desired, to the commission board for a hearing before the board at its next regular meeting or at a special meeting convened for the purpose of hearing the appeal. (The employee may elect to eliminate appeal to the board altogether and proceed directly to the appeal committee described below.) In the event the employee is dissatisfied with the decision of the board, he or she may within five working days of written notification by the board file through the director a written appeal to a committee which shall be estab­lished to hear the appeal. The director shall notify the director of the merit employment department of the filing of the appeal within five working days. The committee shall be established as follows:

1. The employee shall designate in writing to the director a person of his or her choice to serve as a member of the appeal committee. This person shall be selected within five working days of written appeal by the employee.

2. The director shall designate in writing to the employee a person of his or her choice to serve as a member of the appeal committee. This person shall be selected within five working days of receipt of written appeal by the employee.

3. The director of the merit employment department shall designate an impartial third member to serve as a moderator of the appeal committee. The merit director shall notify the director and the aggrieved employee of his or her choice within five working days following notification of the appeal.

4. The moderator shall be advised of the other appeal committee members and establish a hearing date mutually acceptable.

The appeal committee shall hear all comments and receive exhibits and papers submitted to it in connection with the hearing. All information, evidence and testimony of witnesses shall be received and reviewed by the full membership of the review panel. No verbatim transcript shall be required, but a summary of the facts shall accompany the recommendation of the ap­peal committee.

A tape recording may be made to be retained in the merit employment commission fLies. The decision of the appeal committee will be reached upon the concurrence of any two of the three members. The committee moderator shall present the committee's findings to the employee and the director within fifteen working days of the hearing. The decision of the committee shall be final.

The employee or the commission may petition for judicial review of the committee's deci­sion as provided in section 17 A.19 of the Code.

[Filed 9/17/79, Notice 6/13/79-published 10/3/79, effective 11/7/79]

Ch 7,p.1 Blind[160] lAC 10/28/81

CHAPTER7 GENERAL PERSONNEL POLICIES AND PROCEDURES

160-7.1(6018) Probation. New employees of the commission serve a probationary period, which consists of the first six months of an individual's employment with the commission. At any time during the probationary period a probationary employee may be terminated or demoted without the right of appeal or right to a hearing. In cases of demotions, the employee must meet the minimum qualifications of the new class. The total required probationary period of a probationary employee demoted to a lower class shall include the probationary service in the class from which demoted. The probationary period will be an important part of the examination and selection process and will be used by the commission to observe closely and evaluate the employee's work, to train and aid the employee in adjustment to his or her position, and to reject and dismiss any employee whose performance fails to meet standards.

160-7.2(6018) Political and other private activity by staff. No regular full-time employee of the commission shall engage in partisan political activity prohibited by applicable state and federal laws and regulations. This requirement shall not preclude the right of employees to express their opinions as citizens and to vote in elections. In addition commission staff shall not on a significant regular basis perform work for private organizations (including organizations of or for the blind) during working hours or with use of commission facilities unless arrangements have been formalized through a 28E agreement approved by the commission. Significant regular organizational activities prohibited under this rule without a formal agreement shall include but not be limited to electioneering for organizational office, processing memberships, collecting dues, arranging for meetings and conventions, fund­raising, canvassing, leafleting, picketing, preparing organizational mailings, and other activities of a purely organizational nature unrelated to official commission staff duties. The commission shall, however, encourage staff to maintain frequent contact with individual blind persons and organizations of blind individuals as well as civic, social, fraternal, and profes­sional groups interested in work with blind persons. This rule is, therefore, in no way intended to discourage telephone conversations and correspondence with individuals or attendance with supervisory approval at meetings of the blind and related groups which may occur in connection with staff duties.

160-7 .3(6018) Performance evaluation. The commission shall establish and effect a system of service records designed to provide a fair and impartial evaluation· of the quality and quantity of the work performed by staff members. Service records shall be prepared at least once per year for each employee. Service records shall be considered in determining advance­ment in salary; in making promotions, demotions, transfers, reinstatements, or dismissals; in determination of order under reduction in force formulas; and in counseling. Service records shall be discussed with each employee, who shall have the right to make his/her comments thereon. The signing of the service record by the employee does not signify his/her agreement with the service record, but only that he or she has seen it, that it has been discussed with the employee, and that he/she has been afforded the opportunity to make comments to be attached to or placed in the service record. Each employee shall receive a copy of his/her service record. For any period in which an employee's performance evaluation has not been conducted by his/her scheduled salary review date or at least within ninety days following that date, such period of service shall be considered as satisfactory. In any case in which the per­formance evaluation is delayed more than one pay period, written justification for the delay shall be provided to the director.

160-7 .4(6018) Vacation. 7.4(1) Attendance. The commission shall establish the working schedules, regulations and

the required hours of attendance for staff. All regulations and schedules shall be made known to the affected employees.

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lAC 10/28/81 Blind[160] Ch 7, p.2

7.4(2) Vacation allowan~e. All employees of the commission shall earn vacation allowance with full regular pay for continuous employment as follows:

a. Two weeks (80 hours) vacation during the first and through the fourth year of employment (with the two days of paid leave this comes to 3.69 hours for the first and second biweekly pay periods and 3. 72 hours for third biweekly pay periods);

b. Three weeks (120 hours) during the fifth and through the eleventh year of employment (5.23 hours the first and second pay periods; 5.24 hours third pay periods);

c. Four weeks (160 hours) during the twelfth and through the nineteenth year of employ­ment (6. 77 hours the first and second biweekly pay periods; 6. 76 hours for the third biweekly pay period);

d. Twenty-two days (176 hours) during the twentieth and through the twenty-fourth years of employment (7 .39 hours the first pay period, 7.38 hours the second and third); and

e. Five weeks (200 hours) during the twenty-fifth and through each successive year of employment (8.31 hours the first and second pay periods, 8.28 third pay periods).

Time spent in military service, within the specified time limit of the law, shall be considered continuous service for the purpose of computing vacation allowance if the employee remains in pay status.

7.4(3) Vacation leave must be applied for by the employee on the commission's prescribed form and approved by both the employee's immediate supervisor and the director, who shall approve vacation requests only insofar as they permit maintenance of efficient agency operation while taking into full account the preference and needs of the employee. Every effort shall be made to provide vacation leave in such a way as to prevent any loss of vacation allowance or accrual. Vacation leave may, if approved, be taken in single days or combination of days; it need not be taken in full weeks or multiples of weeks.

7.4(4) Probationary employees shall earn vacation allowance at the same rate as perma­nent employees.

7.4(5) Whenever it is necessary to terminate the employment of a commission employee, including discharge for good cause, the employee shall be paid for vacation leave earned prior to termination which has not yet been taken. Vacation leave shall accumulate only to twice the employee's annual rate of accrual. However, except under special circumstances as recom­mended by the supervisor with the approval of the director, no employee may take more vacation during any one year than the amount of vacation time earned during the previous year, except for extra vacation which accrues from conversion of sick leave as provided for in 7.5(6018).

7.4(6) Revisions of the Code regarding vacation or other leave shall be deemed auto­matically to amend and supersede provisions of these rules conflicting with the revision.

160-7.5(6018) Sick leave. Sick leave shall be granted in accordance with all applicable provisions of the Code. A physician's certificate may be required by the director of the commission to substantiate application for sick leave. Medically related disabilities such as those resulting from pregnancy and recovery therefrom shall be covered by sick leave. Sick leave shall not be used for vacation leave, nor shall it be granted in excess of the amount accrued. There is no limitation on the amount of sick leave which may be accumulated. An employee who is eligible for accrued vacation and sick leave benefits and who has accumulated thirty days of sick leave may elect to accrue up to one-half day of additional vacation in lieu of up to one and one-half days of sick leave for each full month when sick leave is not used during that month. Sick leave shall not accrue during any absence without pay. If an absence because of illness, injury, or other proper cause for use of sick leave extends beyond the amount of sick leave accrued to the credit of the employee, additional time may be charged to accrued vacation leave. If all accrued sick leave and accrued vacation leave is used, the classi­fied employee may be granted sick leave without pay, other leave without pay, disability leave or terminated. When a commission employee retires under provisions of the Iowa Public Employees' Retirement System, he/she shall receive credit and reimbursement for usual sick leave which is authorized by the appropriate section of the Code.

Ch 7,p.3 Blind[160l lAC 10/28/81

160-7 .6(6018) Enforced leave. The director shall grant a COJlllllission employee time off from his or her duties, with compensation for absence necessary or reasonable, when some member of his or her immediate family requires the employee's care or attention or in case of death in the immediate family. Enforced leave shall be charged against the employee's sick leave and shall not be granted in excess of accumulated sick leave. The number of days granted will be governed by the circumstances of the case, but in no event shall they exceed five sick days in any calendar year.

160-7.7(6018) Other leave provisions. Various types of leave in addition to vacation and sick leave shall be governed by the following principles:

7. 7(1) A permanent or probationary commission employee, upon application in writing and upon written approval of the director, may be granted leave without pay for satisfactory reasons.

7. 7(1) Any leave (with or without pay) shall be granted pursuant to the recommendation of the appropriate supervisor with the approval of the director and shall be authorized on a prescribed form to be placed in the personnel file of the individual.

7. 7(3) Since there are trainees in residence at the commission building and since particular problems and emergencies of individual blind persons throughout the state must be met when they arise, all vacation and holidays must be taken in accordance with the commission's work requirements and with the approval of the director.

7. 7(4) Educational leave, either with or without pay, may be granted at the discretion of the director, subject to commission board approval, for a period not to exceed one year provided, however, the director, subject to commission board approval, may grant such extension as may appear to serve best the interests of the commission but not to exceed one year. When additional leave is granted, the employee need not be required to exhaust his or her vacation leave first.

7. 7(5) Maternity leave shall be granted to permanent or probationary employees when requested and supported by competent medical determination of pregnancy disability, normally not later than the seventh month of pregnancy. Such leave shall expire not later than two months after the birth of the child, unless extended by the director. It may be extended by the director where requested by the employee, if supported by competent medical determination and working conditions permit extension. Male spouses assuming child care duties as a result of a spouse's pregnancy disability may be granted leave under the provisions of this rule.

7. 7(6) When in obedience to a subpoena or direction by proper authority, a commission employee appears as a witness or a jury member he or she shall be entitled to leave of absence from regular duty with regular compensation.

7. 7(7) A probationary or permenant employee who is a member of the national guard, organized reserve or any component part of the military, naval, air force, or nurse corps of the state of Iowa or the United States or who is or may otherwise be inducted into the military service of the state of Iowa or the United States shall, when ordered by proper authority to active state or federal service, be granted leave for the period of active service without loss of pay during the first thirty days of leave of absence.

160-7 .8(6018) Holidays. Holidays shall be granted in accordance with state law and the governor's or Iowa executive council's proclamations, with proper allowance for the needs of blind trainees in residence at the commission building and the need to handle the problems and emergencies of individual blind persons throughout the state. Two days (16 hours) of paid leave each year granted by the executive council as unscheduled holidays shall be added to the accrued vacation allowance.

7.8(1) If a commission employee is required to work on a designated holiday, he/she shall receive eight hours of compensatory time for the holiday to be granted at a later time.

7 .8(1) If a designated holiday falls on a commission employee's regularly scheduled day off, eight hours of compensatory time for the holiday shall be granted at a later time within

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lAC 10/28/81 Blind[l60] Ch 7, p.4

the same pay period, so that no employee will be required to work more total days within a pay period than any other.

7 .8(3) To be eligible for holiday pay a commission employee cannot be on leave of absence without pay and must have been in pay status his/her last scheduled work day immediately before and his/her first scheduled work day immediately following each holiday.

160-7 .9(6018) ConfidentiaHty of records. All information as to personal facts about recipi­ents of commission services given or made available to the commission, its representatives, or its employees in the course of administering the program or providing services, including lists of names and addresses and other information protected under one's right to privacy, shall be held to be confidential. This information shall not be disclosed directly or indirectly by any . commission employee, other than in the administration of the commission program, unless the informed written consent of the recipient of services has been obtained in writing.

160-7.10(6018) Flexible scheduling provisions. Pursuant to Executive Order Number 25, dated July 13, 1977, the Iowa commission for the blind provides for use of flexible scheduling of the work of commission staff. All vacations, holidays, and other time off are taken in accordance with the commission's work requirements and with the approval of the director. For these reasons commission staff operate on a flexible work schedule which allows for meeting the needs of clients.

Except in those clear cases where it would cause disruption of work or where the nature of the supervision required prohibits such a schedule, those staff members who are assigned a customary or fixed work station for the performance of duties which are components of a standard process and whose work consequently constitutes one segment of a set of interde­pendent tasks (and thus must achieve at least a minimal continuity of flow), will be free to select from the following sets of customary work hours in consultation with their supervisors:

7:00 a.m.-4:00p.m., 8:00 a.m.-5:00p.m. or 9:00 a.m.-6:00p.m.

The appropriate supervisors will work with individual staff members in the areas for which they are responsible to ensure that all schedules selected will be so co-ordinated that services to the blind of Iowa and the general public will not be interrupted or diminished in effectiveness.

Staff members who are not assigned primarily to customary or fixed work stations, but whose responsibilities rather are agency-wide and may involve work with overall program or with blind clients anywhere in Iowa, will continue to work flexible hours at times convenient to clients and the individuals and groups in the general public, provided these staff members do not work less than forty hours per week and secure approval of schedules by their super­visors. The director and other key commission staff members are available to see blind clients at any time and must be prepared to handle immediate or urgent needs of blind persons whenever they arise. The general standard will be that they get their work done and that they not work an overall year-round schedule of less than forty hours per week.

These rules are intended to implement section 601B.6(8), The Code. [Filed 10/9/81, Notice 6/10/81-published 10/28/81, effective 12/2/81]

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lAC 6/24/81 Conservation [290] Analysis, p.l

~ CONSERVATION COMMISSION[290]

DIVISION OF FISH AND GAME

CHAPTER 1 GAME MANAGEMENT AREAS

1.1(109) Blinds and decoys 1.2(109) Lake Odessa in Louisa County

CHAPTER 2 GAME MANAGEMENT AREAS

~ 2.1(109) Jurisdiction CHAPTER 3

WILDLIFE REFUGES 3.1 (109) Restrictions 3.2(109) Pool Slough Wildlife Area in

Allamakee County CHAPTER4

DOG RESTRICTIONS IN STATE AREAS

4.1(109) Where restricted CHAPTER 5

LEGAL RESIDENCY "--" 5.1(109) Defined

CHAPTER6 SCUBA AND SKIN SPEARING OF

ROUGH FISH 6.1(109) When permitted 6.2(109) Prohibited areas 6.3(109) Permitted equipment 6.4(109) Prohibited equipment 6.5(109) Diver's flag 6.6(109) Employees exempt

CHAPTER 7 OPEN WATER REFUGES

...._...,. 7.1 (1 09) Zone CHAPTER 8

USE OF FIREARMS 8.1(109) Restrictions 8.2(109) Exemptions

CHAPTER9 MOTOR VEHICLE RESTRICTIONS

9.1(109) Game management areas 9.2(109) Employees exempt

CHAPTER 10 MARKING OF WATERFOWL

10.1(110A) Marked for.shooting '..J CHAPTER 11

PROMISCUOUS FISHING 11.1(109) General

CHAPTER 12 MUSSELS-METHODS AND SEASONS 12.1 (109) Commercial taking

CHAPTER 13 CONSTRUCTION OF BASKET TRAPS

13.1(109) Basket traps

CHAPTER 14 WATERFOWL HUNTING ON FORNEY

LAKE AND RIVERTON AREA 14.1(109) Special hunting 14.2(109) Area restriction

CHAPTER 15 WATERFOWL HUNTING ON

LAKE ODESSA 15.1(109) Special hunting 15.2(109) Reserved

CHAPTER 16 Reserved

CHAPTER 17 GROUND HOG SEASON

17 .1( 109) Ground hog. CHAPTER 18

FALCONRY REGULATIONS 18.1(109) Falconry regulations 18.2(109) Facilities and equipment 18.3(109) Taking and possession provi-

sion 18.4(109) Annual reports 18.5(109) Other provisions 18.6(109) Compliance

CHAPTER 19 ENDANGERED OR THREATENED

PLANTS AND ANIMALS 19.1(109A) Endangered animal species 19.2(109A) Endangered plant species 19.3(109A) Revision of lists

CHAPTER 20 TROTLINES

20. 1 ( 1 09) Trotlines where permitted

CHAPTER 21 REGULATED HARVEST AND SALE

OF AMERICAN GINSENG 21.1 ( 107) Definitions 21.2(107) Season for legal harvest and

root retention 21.3(107) Registration of dealers 21.4(107) Certification of legal taking 21.5(107) Records 21.6(107) Required forms

Analysis, p.la Conservation [290] lAC 10/28/81

CHAPTER22 WILDLIFE HABITAT STAMP

REVENUE COST ASSISTANCE PROGRAM ON PRIVATE LANDS

22.1(110) Purpose 22.2(110) Authority 22.3(110) Project scope 22.4( 11 0) Availability of funds 22.5{110) Eligibility 22.6(110) Application for assistance 22. 7(110) Project review and selection 22.8(110) Contract agreements 22.9(110) Cost-sharing rates 22.1 0( 110) Reimbursements 22.11(110) Penalties

CHAPTER23 WILDLIFE HABITAT STAMP

REVENUE COST SHARING WITH LOCAL ENTITIES

23.1(110) Purpose 23.2(110) Availability of funds 23.3(110) Eligibility 23.4(110) Project limitations 23.5(110) Eligibility for cost-sharing as-

sistance 23.6(110) Application for assistance 23.7(110) Project review and selection 23.8(110) Commission review 23.9(110) Grant amendments 23.10(110) Timely commencement of

projects 23.11(110) Project period 23 .12( 11 0) Payments 23.13(110) Recordkeeping and retention 23.14(110) Penalties

CHAPTER24 TRAPPING ON GAME

MANAGEMENT AREAS 24.1(109) Marking trap sites 24.2(109) Exemptions

CHAPTER 25 Reserved

See also Cbs 100 to 110 and 154 for temporary rules

DIVISION OF LANDS AND WATERS CHAPTER 26

SPECIAL WATER ACTIVITY RULES­GREEN VALLEY LAKE,

UNION COUNTY 26.1( 106) General 26.2(106) Inboard boats 26.3(106) Racing craft

26.4(106) Wake 26.5(106) Speed. 26.6(106) Hours 26. 7(106) Ski zone 26.8(106) Traffic pattern 26. 9(106) Designated activities in ski

zone 26.10(106) Designated areas 26.11 ( 106) Traffic 26.12(106) Lifesaving device 26.13(106) Speed 26.14(106) Distance from shore 26.15(106) Dates for motorboat use

CHAPTER 27 SAFETY EQUIPMENT

27.1(106) Fire extinguishers 27.2 to 27.5 Reserved 27.6(106) Lights on vessels generally 27.7(106) Lighting requirements for sailing

vessels 27.8(106) Sailing vessels with auxiliary

power 27.9 to 27.12 Reserved 27.13(106) Buoyant safety equipment

CHAPTER 28 REGISTRATION AND NUMBERING

28.1(106) Emblem placed 28.2 to 28.5 Reserved 28.6(106) Procedure for application

of boat registration num­ber--content

28.7 to 28.9 Reserved 28. 10(106) Information on certificate 28.11(106) Reporting applied for card .28.12 to 28.14 Reserved 28.15(106) Numbering pattern to be

used 28.16 to 28.18 Reserved :!8J9(106) Display of number on ves-

sel, as to size, block type and contrasting color

:!8.20 to 28.24 Reserved 28.25(106) Number designating pas-

senger capacity 28.26 to 28.29 Reserved 28.30(106) Boats for hire

IAC4/29/81 Conservation [290]

CHAPTER 29 ....._., PASSENGER CAPACITY

29.1(106) Regulations on passenger capa-cities

29.2(106) Larger vessels 29.3(106) Pontoon boats 29.4(106) Houseboats 29.5(106) Children as passengers 29.6(106) Charts 29.7(106) Motor propelled canoes 29.8(106) Paddle propelled canoes 29.9(106) U.S. Coast Guard assigned ca-

pacity rating ~ 29.10(106) Incorrect registration

Analysis, p.1b

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lAC 10/28/81 Conserv~tion [290] Analysis, p.3

CHAPTER 55 ANNUAL PERMIT AND RENTAL FEE

SCHEDULE FOR STATE-OWNED PROPERTY,RIVERBED,LAKEBED,

AND WATERFRONT LANDS 55.1(111) General 55.2(111) Table 1-Areas designated for

industrial or commercial use by the commission

55.3(111) Table 2-Areas designated for noncommercial use or use by nonprofit organizations

55.4(111) Other fees

CHAPTERS 56 to 59 Reserved

DIVISION OF ADMINISTRATION CHAPTER 60

ORGANIZATION, METHOD OF OPERATION AND PUBLIC

PARTICIPATION 60.1 (17 A) General organization of the

Iowa state conservation com­mission

60.2(17 A) Divisions of the department 60.3(17 A) Method of department opera­

tions 60.4(17 A) Public participation

CHAPTER 61 DECLARATORY RULINGS

61.1 ( 17 A) Filing of petition 61.2(17 A) Action on petition 61.3(17 A) Review of ruling

CHAPTER 62 CONTRACTS FOR PUBLIC

IMPROVEMENTS AND PROFESSIONAL SERVICES

62.1(17A,107,111) Contract policy 62.2(17A,107,111) Contracts for public im­

provements 62.3(17 A, 107, 111) Contracts for profession­

al services 62.4(17A,107,111) Approval and award of

contracts 62.5(17A,107,111) Exceptions for compli­

ance with federal rules and guidelines

CHAPTER63 EXAMINATION AND COPYING OF

PUBLIC RECORDS 63.1(68A) General conditions pertaining to

the examination of public rec­ords

63.2(68A) Assessment of charges for exam­ination or copying of agency records

63.3(68A) Waiver of charges

CHAPTER 64 CONTESTED CASE PROCEEDINGS

64.1(17A) Scope 64.2(17A) Requests for contested case

proceedings 64.3(17A) Informal settlement procedure 64.4(17A) Hearing officer 64.5(17 A) Review of hearing officer's

findings 64.6(17A) Ex parte communications

CHAPTER 65 RELOCATION ASSISTANCE

65.1(316) Definitions 65.2(316) Actual reasonable moving costs

and related expenses 65.3(316) Replacement housing payments

for homeowners 65.4(316) Replacement housing payments

for tenants and certain others 65.5(316) Notice of relocation assistance

advisory service 65.6(316) Preconstruction project certifi­

cate 65. 7(316) Record of payment determina­

tions and claims for benefits paid

65.8(316) Last resort housing

CHAPTER 66 LICENSE DEPOSITARIES

66.1(110) Depositary designation 66.2(110) Application 66.3(110) Security 66.4(110) Approval of application and

security 66.5(110) Depositary reporting standards 66.6(110) Multiple establishment locations 66.7(110) Forms for application, bond,

monthly report, and collateral assignment

CHAPTER 67 LOST OR DESTROYED

LICENSE BLANKS 67.1 ( 11 0) Accountability for license blanks 67 .2(110) Explanation 67 .3(110) Review and determination by

director 67.4(110) Bond

Analysis, p.3a

CHAPTERS 68 and 69 Reserved.

Conservation[290]

CHAPTER 70 CONSERVATION AND OUTDOOR

RECREATION EMPLOYMENT FOR SENIOR CITIZENS

70.1(66GA, Ch llO) Purpose and intent 70.2(66GA, Ch 110) Conditions and guide­

lines for program participants

70.3(66GA, Ch 110) Project conditions and guidelines

70.4(66GA, Ch 110) Project submission and approval

70.5(66GA, Ch llO) Recruitment of pro­gram participants

70.6(66GA, Ch 110) Termination of em­ployment

lAC 119/80

IAC4/1/81 Conservation [290] Ch22,p.1

~ Form SCC21-3 Dealer certification number ____ _ STATE OF IOWA

AMERICAN GINSENG EXPORT CERTIFICATE This is to certify that, to the best of my knowledge, the American Ginseng roots in this ship­ment, cqnsisting of: ----- pounds, ounces of wild root _____ pounds, ounces of cultivated root were legally collected in accordance with State and Federal laws in Iowa as approved for the 19 __ harvest season by the Office of Scientific Authority of the U.S. Department of the In­terior. This certification is based on permanent records of commerce in ginseng dealings as re­quired by the State of Certification.

Signature of Certified Dealer State Inspector (if required)

Address of Certified Dealer Date of Inspection

Date of Certification by Dealer NoTE: Dealers must be registered in the States from which they purchase the ginseng

described in the certificate. This certificate must accompany each shipment of ginseng upon and after the first sale of the ginseng. A Federal Export Permit is required to export the ginseng from the United States. This export permit is available from the Wildlife Permit Office, Washington, D.C. 20240. Apply at least 60 days prior to date of export. A valid federal export permit and copies of these State Certificates listing the ginseng in the

~ shipment are required to export from the U.S. 21.6(2) Reserved. These rules are intended to implement section 107 .24( 11 ), The Code.

[Filed 3/6/81, Notice9/17/80-published4/1/81, effectiveS/6/81]

CHAPTER22 WILDLIFE HABITAT STAMP REVENUE

COST ASSISTANCE PROGRAM ON PRIVATE LANDS

290-22.1(110) Purpose. The purpose of this rule is to designate procedures by which revenues from the sale of wildlife habitat stamps will be used to assist landowners in establishing wildlife habitat on private lands.

~ 290-22.2(110) Authority. Section 110.3, The Code, authorizes the expenditure of these funds for "the development and enhancement of wildlife lands and habitat areas". The state conservation commission, hereinafter referred to as the commission, acting through its direc­tor, will enter into easement agreements with landowners to fulfill the requirements of the law.

290-22.3(110) Project scope. This program will provide cost-sharing assistance to land­owners to establish switchgrass pastures in regions of Iowa where cow-calf operations are an important part of the agricultural activity. Studies have shown that properly managed switch­grass fields provide excellent nesting areas for many wildlife species, as well as providing a valuable crop for livestock producers.

290-22.4(110) AvallabiUty of funds. Habitat stamp funds are dependent on stamp sales. The amount of monies available at any time will be determined by revenues received by the

'-1 commission. Final stamp sales for each calendar year will be determined by July 1 of the following year.

22.4(1) Allotments for this program. Funds available for assisting landowners shall be specified in the commission's budget in accordance with legislative appropriations. Funds will be made available during a fiscal year of July 1 through June 30.

22.4(2) Reserved

Ch22, p.2 Conservation [290] lAC 10/28/81

190-11.5(110) EUgibillty. Only certain lands will be eligible for this program. "--1 11.5(1) To be eligible for cost assistance, landowners must enter into a written agreement

with the commission specifying the obligations of both parties. 11.5(1) In order to concentrate the efforts of this program in regions where it is most likely

to succeed and where the results are of such magnitude as to measure their effects on wildlife populations, the number of counties where the program will be available in a given year will be limited as follows:

a. In 1980 and 1981, assistance will be available in Adair, Clarke, Lucas, Madison, Ring­gold, Union, and Warren Counties.

b. In 1981 and 1982, assistance will be available in Adams, Cass, Decatur, Marion, Taylor, and Wayne Counties.

c. In 1982 and 1983, assistance will be available in Appanoose, Audubon, Guthrie, Jasper, Mahaska, Monroe, Montgomery, Page, Poweshiek, Shelby, and Wapello Counties.

d. In 1983 and 1984, assistance will be available in Carroll, Crawford, Dallas, Davis, ~ Fremont, Greene, Harrison, Henry, Iowa, Lee, Mills and Polk Counties.

e. In 1984 and 1985, assistance will be available in Des Moines, Jefferson, Johnson, Keokuk, Marshall, Monona, Pottawattamie, Sac, Tama, Van Buren, and Washington Counties.

f. In 1985 and 1986, assistance will be available in Benton, Boone, Calhoun, Cedar, Ida, Linn, Louisa, Muscatine, Story, and Woodbury Counties.

g. Additional counties may be selected by the commission for participation in 1986 and subsequent years after evaluation of the first years of the program.

County selections were made in consultation with the Iowa Department of Soil Conserva­tion, the U.S.D.A. Soil Conservation Service, the U.S.D.A. Agriculture Stabilization and Conservation Service, and the Iowa State University Extension Service.

11.5(3) Lands cleared of brush or timber within three years of the year for which cost \.,..,/ assistance is requested shall not be eligible for this program.

190-11.6(110) Application for assistance. Applications will be accepted only from those eligible as noted above.

11.6(1) Applications must be submitted on forms furnished by the commission. 11.6(1) Applications must be received no later than January 31 of each year.

190-11. 7(110) Project review and selection. Project applications will be reviewed separately for each county to determine the projects which will be eligible for cost assistance.

11. 7(1) Projects will be reviewed by the commission wildlife biologist and the soil conser­vation service district conservationist for each county, who will then recommend that the com-mission enter into agreements with the successful applicants. .

11. 7(1) Projects will be selected on the basis of site suitability, soil type, topography, field size, availability of water and fencing for grazing purposes, and location within the county in order to determine those projects with the greatest chance of becoming established with a stand of switchgrass.

11.7(3) Priority will be given to those projects which lie within the watersheds of state­owned lakes.

11.7(4) Preference will be given to applications for projects ranging from 10 to 40 acres in size.

11. 7(5) Allotted funds will be distributed in a manner to assure that, for any given year, each county will receive as nearly as possible an equal share.

11.7(6) If the pro rata share for any county is not used, the surplus shall be, as nearly as possible, equally distributed among the remaining counties.

11.7(7) When applications in any county total less than that county's share, projects will be reviewed only to determine their eligibility and desirability, but will not be otherwise ranked.

lAC 10/28/81 Conservation [290] Ch 23, p.1

290-22.8(110) Contract ·agreements. The director is authorized to enter into agreements with landowners in order to carry out the purposes of this program.

22.8(1) Agreement forms will be provided by the commission. They shall explicitly state the terms of the agreement including requirements for ground preparation, seeding, fertilizing and weed control, and management in subsequent years. Terms of the agreement and copies of the contract will be available from the commission for examination.

22.8(2) Cost-sharing assistance will not be provided unless an agreement has been signed by both parties prior to the inception of the project.

22.8(3) Contract periods will not be approved for any term less than five years in duration. 22.8(4) Contracts may be amended by mutual agreement of both parties.

290-22.9(110) Cost-sharing rates. The commission will provide cost-sharing assistance dur­ing the rrrst two years of the contract to establish switchgrass.

22.9(1) During the initial establishment year, the commission will pay fifty percent of the cost of seed, agricultural lime, phosphorus and potassium fertilizers, atrazine, seedbed preparation, seeding, rolling, and chemical application, not to exceed $60 per acre.

22.9(2) During the first year after establishment, the commission will pay fifty percent of the cost of nitrogen fertilizer, atrazine, and chemical application, not to exceed $15 per acre.

22.9(3) Standardized costs for labor and machinery operation will be used in computing cost-sharing payments.

22.9(4) Payments will not be made during the subsequent years of the contract, unless un­foreseen circumstances occur which would indicate a need for a contract amendment.

290-22.10(110) Reimbursements. Cooperators shall submit billings for reimbursements on forms provided by the commission.

22.10(1) Billings shall be submitted prior to July 1 of each year. 22.10(2) The billings shall include documentation of the costs incurred, including receipts

for seed, lime, fertilizers and herbicides, and costs of seedbed preparation, seeding, rolling, and application of lime, fertilizer and herbicides.

22.10(3) Reimbursements will not be made unless the landowner has fulfilled his obliga­tions as specified in the contract.

22.10(4) Billings will be approved or disapproved by the wildlife biologist after inspection of the project.

290-22.11(110) Penalties. Whenever a landowner has been found to be in violation of the contract, the commission may forthwith cancel the contract and the landowner shall reim­burse the state for the full amount of any payments he has received.

These rules are intended to implement section 110.3, The Code. [Filed emergency after Notice 1111180, Notice 11128/79-published 2/6/80,

effective 1111180] [Filed 1017/81, Notice 9/2/81-published 10/28/81, effective 12/2/81]

CHAPTER 23 WILDLIFE HABITAT STAMP REVENUE COST SHARING WITH LOCAL ENTITIES

290-23.1(110) Purpose. The purpose of this rule is to designate procedures for allotments of wildlife habitat stamp revenues to local entities. These funds must be used specifically for the acquisition of whole or partial interests in land from willing sellers for use as wildlife habitats, and the development and enhancement of wildlife lands and habitat areas. The state conservation commission, hereinafter referred to as the commission, acting through its direc­tor, will administer the stamp funds for the purposes as stated in the law at both the state and local levels.

Ch23, p.la Conservation[290] lAC 10/3/79

290-23.2(110) AvaUabWty of funds. Habitat stamp funds are dependent on stamp sales. The amount of monies available at any time will be determined by revenues received by the commission. Final stamp sales for each calendar year will be determined by July 1 of the following year.

23.2.(1) Local share. Funds available for local entities shall be specified in the commis­sion's budget in accordance with legislative appropriations. At least fifty percent of the stamp revenues will be apportioned to local entities. Funds will be made available during a fiscal year of July 1 to June 30.

23.2(2) Distribution. After deducting five percent to be held for contingencies, the re­maining local share will be available on a semiannual basis each year.

2.90-23.3(110) Eligibility. Only those public agencies authorized by law to spend funds for wildlife habitat shall be eligible to participate in this program.

lAC 10/28/81 Conservation[290] Ch23,p.2

~ 290-23.4(110) Project Hmltations. Because of administrative costs, no application for assistance totaling less than $300 (total project cost-$400) will be considered.

290-23.5(110) EUgiblHty for cost sharing assistance. No project shall be eligible for cost sharing unless it is specifically approved by the commission, or the applicant has received a written waiver of retroactivity from the commission, prior to its initiation. Only the following types of project expenditures will be eligible for cost sharing assistance.

23.5(1) Acquisition projects. Lands or rights thereto to be acquired in fee or by any other instrument shall be appraised by a competent appraiser and the appraisal approved by the commission staff. The appraisal requirement may be waived when the staff determines that it is impractical for a specific project. Cost sharing will not be approved for more than seventy­five percent of the approved appraised value. Acquisition projects are eligible for either cost sharing by direct payments as described in subrule 23.12(7) or by reimbursement to local entities.

23.5(2) Development projects. Eligible expenditures for development projects shall include, but not be limited to, contracts, the purchase of materials and supplies, rentals and extra labor hired only for the specific project. Requests to purchase certain equipment to be used solely for habitat improvement may be approved. Donated labor, materials and equipment use, and force account labor and equipment use shall not be eligible for cost­sharing assistance. (Force account means the agency's own labor and equipment use.) Development projects are limited to lands legally controlled by the grantee for the expected life of the project. Development projects are eligible only for reimbursement of reasonable costs actually incurred and paid by the public agency.

23.5(3) Enhancement projects. For purposes of this rule "enhancement" shall be considered to be synonomous with "development".

290-23.6(110) Application for assistance. Applications shall provide sufficient detail as to clearly describe the scope of the project and how the area will be managed.

23.6(1) Form. Applications shall be submitted on forms provided by the commission. 23.6(2) Time of submission. Applications for funds shall be reviewed and selected for

funding during November of 1979, and during January and July of each succeeding year. Applications must be received in acceptable form by the State Conservation Commission, Wallace State Office Building, Des Moines, Iowa 50319, by the close of business on the last business day of the month preceding the selection month. Upon timely notice to eligible recip­ients, additional selection periods may be scheduled if necessary to expedite the distribution of these funds. In emergencies, local entities can obtain a waiver so that acquisition projects may be approved for retroactive payments, provided that funds are available and the project meets all other criteria.

23.6(3) Local funding. An applicant shall certify that it has committed its share of project costs, that these funds are available and shall state the means of providing for the local share. All necessary approvals for acquisition and financing shall be included with the application.

23.6(4) Development projects. An application for development project assistance may include development on more than one area if the development is of a like nature (e.g., planting trees and shrubs).

290-23. 7(110) Project review and selection. 23. 7(1) Review and selection committee. A review and selection committee, hereinafter

referred to as the committee, composed of the superintendent of grants-in-aid as chairman, the wildlife superintendent, the superintendent of planning, the administrator of county con­servation board activities, and three persons appointed by the director to represent county conservation boards shall determine which grant applications and amendment requests shall

~ be selected for funding.

Ch 23, p.2a Conservation [290] lAC 10/28/81

23. 7(1) Consideration withheld. The comittee. will not consider any application which, on \,.,) the date of the selection session, is not complete, or for which additional pertinent informa-tion has been requested and not received.

23. 7(3) Application rating system. The committee will apply a numerical rating system to each grant applcation which is considered for fund assistance. The following criteria, with a weight factor for each, will be considered:

. Wildlife habitat needs 3 Existing habitat quality 3 Cost effectiveness 2 Agency's financial need 1 Potential habitat quality 3 Project expansion potential 1

Each criterion will be given a score of from 1 to 10 which is then multiplied by the weight fac- \_,) tor. Three additional criteria will be considered in the rating system:

a. Prior assistance. Any applicant that has never received a prior grant will be given a bonus of five points.

b. Active projects. Any applicant that has one or more active projects at the time of application rating will be assessed five penalty points for each one that has not been completed by the date specified in the project agreement. An active project shall cease to be active when all acquisition or development or both has been satisfactorily completed and an acceptable final reimbursement billing has been submitted to the commission.

lAC 10/28/81 Conservation[290] Ch23,p.3

~ c. Urgency. Projects may be given 1 or 2 bonus points if there is a strong urgency to acquire lands which might otherwise be lost.

All points will be totaled for each application and those applications receiving the highest scores will be selected for fund assistance to the extent of the allotment for each semiannual period, except that any project scoring a total of not more than sixty-five points will not be funded.

23. 7(4) Applications not selected for fund assistance. All applications not selected for fund assistance will be retained on file for consideration and possible funding during subsequent review periods or until a request for withdrawal is received from the applicant. Applications which have been considered and not selected for funding during three consecutive review periods will be returned to the applicant.

23. 7(5) Rating system not used. The rating system will not be applied during any semiannual period in which the total grant request, including backlogged applications, is less

~ than the allotment. Applications will be reviewed only to determine eligibility and overall desirability, and to ascertain that they meet minimum scoring requirements.

290-23.8(110) Commission review. The state conservation commission will review all committee recommendations semiannually at the next following commission meeting. The commission may reject any application selected for funding.

290-23.9(110) Grant amendments. Projects for which grants have been approved may be amended, if funds are available, to increase or decrease project scope or to increase or decrease project costs and fund assistance. Project changes must be approved by the director prior to their inception. Amendments to increase project costs and fund assistance due to cost overruns will not be approved where funds have already been committed or the work already performed.

290-23.10(110)* Timely commencement of projects. Grant recipients are expected to carry out their projects in an expeditious manner. Projects for which grants are approved shall be commenced within six months of the stated initiation date as shown by the grant request. Failure to do so may be cause for termination of the project and cancellation of the grant by the commission.

290-23.11(110) Project period. A project period which is commensurate with the work to be accomplished will be assigned to each project. Project period extensions will be granted only in a case of extenuating circumstances.

290-23.12(110) Payments. 23.12(1) Grant amount. Grant recipients will be paid seventy-five percent of all eligible

~ costs incurred on a project up to the amount of the grant unless otherwise specified in the pro­ject agreement.

23.12(2) Project billings. Grant recipients shall submit billings for reimbursements or cost­sharing on forms provided by the commission.

23.12(3) Project billing frequency. Project billings for development shall be submitted on the following basis:

a. Up to $10,000 total project cost-one billing. b. Over $10,000 total project cost-no more than two billings. 23.12(4) . Final project billing. A final project billing shall be submitted within ninety days

following the end of a project period. Failure to do so may be cause for termination of the project with no further reimbursement to the grant recipient.

•Emergency, pursuant to §17A.5(2)"b"(2) or the Code.

Ch23, p.4 Conservation[290] lAC 10/28/81

13.12(5) Documentation. Grant recipients shall provide documentation as required by the ~ commission to substantiate all costs incurred on a project.

13.12(6) Reimbursement withheld. Ten percent of the total reimbursement due any grant recipient for a development project will be withheld pending a final site inspection or until any irregularities discovered as a result of a final inspection have been resolved.

23.12(7) Acquisition projects. If clearly requested in the project application and the appli­cant has shown good cause for such procedure, the commission may approve direct payment to the seller of the state's share provided that marketable fee simple title, free and clear of all liens and encumbrances or material objections, is obtained by the local entity at the time of payments and state funds are then available.

23.12(8) Development projects. On approved development projects, payment will be made by the state only as reimbursement for funds already expended by the local entity.

290-13.13(110) Recordkeeping and retention. A grant recipient shall keep adequate records '\....,) relating to its administration of a project, particularly relating to all incurred costs. These records shall be available for audit by appropriate personnel of the commission and the state auditor's office. All records shall be retained in accordance with state laws.

290-13.14(110) Penalties. Whenever any property, real or personal, acquired or developed with habitat stamp fund assistance passes from the control of the grantee or is used for other purposes which conflict with the project purpose, it will be considered an unlawful use of the funds. The commission shall notify the local entity of any such violation.

23.14(1) Remedy. Funds thus used unlawfully must be returned to the commission for inclusion in the wildlife habitat stamp fund, or a property of equal value at current market prices and with commensurate benefits to wildlife must be acquired with local, noncost-shared funds to replace it. Such replacement must be approved by the commission. The local entity shaU have a period of two years after notification by the commission in which to correct the \..,! unlawful use of funds. The remedies provided by this rule are in addition to others provided bylaw.

13.14(2) Land disposal. Whenever it has been determined and agreed upon by the grantee and the commission that land acquired or developed with habitat stamp fund assistance is no longer of value for the project purpose, or that the local entity has other good cause, the land, with the approval of the commission, may be disposed of and the proceeds thereof used to acquire or develop an area of equal value, or seventy-five percent of the proceeds shall be returned to the state for inclusion in the wildlife habitat stamp fund.

23.14(3) Equipment disposal. Whenever it has been determined by the grantee and the commission that equipment acquired with habitat stamp fund assistance, and with an acquisi-tion cost of $250.00 or more, is no longer of value for the project purpose, or that the local entity has other good cause, the equipment, with the approval of the commission, may be \._,) disposed of by sale or transfer to another eligible agency. The proceeds of any sale, with the approval of the commission, may be used to acquire other equipment, or seventy-five percent of the proceeds shall be returned to the state for inclusion in the wildlife habitat stamp fund.

13.14(4) Ineligibility. Whenever a local agency shall be in violation of this rule, it shall be ineligible for further assistance until the matter has been resolved to the satisfaction of the commission.

These rules are intended to implement section 110.3, The Code. [Filed 9/7/79, Notice 3/7 /79-published 10/3/79, effective 1117 /79] [Filed emergency 10/24/79-published 11114/79, effective 11/7/79]

[Filed 1/9/81, Notice 10/29/80-published 2/4/81, effective 3/11181] [Filed 10/7/81, Notice 9/2/81-published 10/28/81, effective 12/2/81]

lAC 10/28/81 Conservation [290] Ch26, p.1

CHAPTER24 TRAPPING ON GAME MANAGEMENT AREAS

290-24.1(109)Marking trap sites. No one shall place on any game management area any trap, stake, flag, marker, or any other item or device to be used for trapping furbearers, or to mark or otherwise claim any site for trapping furbearers, except during the open season for taking muskrats.

This rule is intended to implement section 109.6, The Code.

290-24.2(109) Exemptions. This rule shall not apply to commission employees engaged in their official duties.

This rule is intended to implement section 109.6, The Code. [Filed 10/7/81, Notice9/2/81-published 10/28/81, effective 12/2/81]

CHAPTER 25 Reserved

DIVISION OF LANDS AND WATERS

CHAPTER 26* •Suspended and held in abeyance Apri19, 1974 until January 1, 1975

SPECIAL WATER ACTIVITY RULES-GREEN VALLEY LAKE, UNION COUNTY

290-26.1(106) General. For experimental purposes as provided in Chapter 1060, Acts of the Sixty-third General Assembly, these special rules shall apply to Green Valley Lake from June 1 to September 10ofeach year.

n ·....._

.... ' , ;· ~ ·~ ' J,

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lAC 9/30/81, 10/28/81 Conservation [290] Ch54,p.1

of establishing or maintaining snowmobile trails, or emergency rescue operations where ap­"'--1 plicable.

290-52.5(107) Disposal of equipment. Public agencies shall not dispose of any manufac­tured product or machinery which is removable or reusable in which the commission paid a percentage of the actual cost thereof without the prior written consent of the commission, and upon receiving such consent, reimbursing the commission, a percentage of the price received for such property upon disposition. Such sale or disposition shall be made in accordance with the laws of the state of Iowa for publicly-owned property.

290-52.6(107) Appllcations for cost-sharing. Applications for snowmobile cost-sharing shall be on forms supplied by the commission and shall provide sufficient detail to clearly describe the scope of the proposed project and items requested.

290-52. 7(107) Procedures. 52. 7(1) Applications for cost-sharing must be received by the date stated in the letter to

public agencies outlining the current program guidelines. Applications received after that date may not be eligible for cost-sharing.

52. 7(2) Public agencies receiving cost-sharing under this program are expected to carry out their projects in an expeditious manner, as stated in the agreement.

52. 7(3) At such time as the requests for cost-sharing approach the amount of funds available, priorities shall be placed on items to be cost-shared. The priorities shall be based on the order in which items are listed in the letter outlining the current program guidelines. Ap­plications received by the deadline established in the letter to public agencies outlining the cur­rent year program shall receive priority in receipt of funds. In addition to the above, public agencies which have not previously received funds under this program shall receive priority if the requests for cost-sharing approach the amount of funds available.

290-52.8(107) Reimbursements. 52.8(1) Public agencies shall submit completed requests for reimbursement pursuant to

their application and executed agreement prior to April 1 S of each year. 52.8(2) Reimbursement requests shall be accompanied by adequate documentation to

substantiate all costs incurred and proof that all costs have been liquidated.

290-52.9(107) Recordkeeplng. Public agencies receiving funds under this program shall keep adequate records relating to the administration of the program particularly relating to all incurred costs. These records shall be available for audit by appropriate personnel of the com­mission or the state auditor's office.

These rules are intended to implement section 111A.4, The Code. [Filed 6/6/80, Notice 3/5/80-published 6/25/80, effective 8/14/80]

CHAPTER 53 Reserved

CHAPTER 54* BARGE FLEETING

290-54.1(111) Applicability. This rule is applicable to all waters under the junsdiction of the commission except that portion of the Mississippi River conveyed to certain cities by chapter 249, Acts of the Fifty-first General Assembly; chapter 299, Acts of the Fifty-ninth General Assembly or Special Charters enacted by the legislature in 1856 and 1857.

290-54.2(111) Fleeting operations. No person shall assert any exclusive privilege to conduct barge mooring service for hire, or not for hire, and prevent or obstruct any lawful use of •Effective date of Ch 54 delayed by the administrative rules review committee forty-five days after convening of the next General Assembly pursuant to § 17 A.8(9).

Ch54,p.2 Conservation [290] IAC9/30/81

public waters except within a fleeting area authorized by the commission, or at a loading or \,..) off-loading facility constructed under appropriate permits and necessary to carry on com­merce.

190-54.3(111) General. The following requirements shall apply to all fleeting areas designated or constructed under permit from the commission.

54.3(1) "Fleeting area" means an area within defined boundaries used to provide barge mooring service and to accommodate ancillary harbor towing under care of a fleet operator. The term does not include momentary anchoring or tying off of tows in transit and under care of the line haul towboat.

54.3(2) The duration of a fleeting area permit shall not be more than five years. Permits may be renewed for a period of five years where a continuing need exists unless a person aggrieved or adversely affected shows cause why the permit should not be renewed. A decision not to renew shall be made only after notice and opportunity for a hearing. During the time specified in 290-54.12(111) the fleet operator must submit an application for a new permit. Renewal shall be subject to 250-chapter 54 as it exists at that time.

54.3(3) A fleeting permit shall be construed to do no more than give the permittee the right to designate and improve an area to be utilized for fleeting. The permit creates no interest, personal or real, in the real estate below the ordinary high water line except as provided in 54.10(111).

54.3(4) Improvements permitted in designated fleeting areas shall be limited to items such as construction of dolphins, mooring piling, deadmen anchors, sunken barge anchors, and other similar methods of assuring retention of barges in the designated area.

54.3(5) The fleeting activities allowed in the area designated for the fleeting of barges shall be limited to barge mooring service, ancillary harbor towing and minor barge repair or servicing. No washing or cleaning of barges is permitted in such areas, unless conducted in a manner to meet Iowa department of environmental quality permit guidelines and the cleaning activity is specifically approved by the conservation commission.

54.3(6) Fleeting area permits are not transferable without written approval of the conser­vation commission.

54.3(7) Barges shall not be moored to trees or other natural features of an area except with the approval of the riparian property owner or during an emergency.

54.3(8) Designated fleeting areas may be used for recreational pursuits such as boating and fishing only to the extent that such use does not interfere with fleeting activities. No person shall obstruct use of a designated fleeting area except with permission of the permittee.

54.3(9) The permittee shall, at all times, be responsible for the safety and security of the barges in the fleeting area and shall take reasonable precautions to eliminate hazards to boaters or other persons in the fleeting area.

54.3(10) Moored or fleeted barges shall be marked by such lights or other warning devices as may be required by state or federal regulations.

54.3(11) The conservation commission permit shall be issued subject to all other permits which may be required by any governmental agency having jurisdiction in the area.

54.3(12) The permittee shall notify the commission of the current name, address, and day and night telephone numbers of the person directly responsible for supervising the fleeting area to be notified in case of emergency.

190-54.4(111) Riparian rights. No fleeting area shall be placed in a location that would interfere with the rights and privileges of the riparian property owner without written permission of the riparian owner or lack of response to the notice provided for in 54. 7(2) '1''·

190-54.5(111) Prohibited areas. Permits shall not be issued for fleeting areas in the following locations: \.,!

54.5(1) Immediately adjacent to or over a dam, sill, lock, breakwater, revetment, navigation aid, or wing dam.

( ( ( ( FRONTAGE

50' 100' 150' 200' 250' 300' 350' 400' 450' 500' 550' 600' 650' 700 1 750' 800'

100' $100 200 300 400 500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600

200' $175 350 525 700 875 1050 1225 1400 1575 1750 1925 2100 2275 2450 2625 2800

300' $225 450 675 900 1125 1350 1575 1800 2025 2250 2475 2700 2925 3150 3375 3600

400' $250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000

When the area leased is larger than that designated by this table, the fee for each additional segment of

50' x 100' or any portion thereof shall be determined as follows:

A. The fee for increased depth shall be at the rate of $25 per segment (50' x 100') or

any portion thereof.

B. The fee for additional frontage shall be proportionate to that indicated on the table.

C. When a fleeting area is located totally adjacent to privately-owned riparian property and

anchoring system is above the ordinary high-water line, the fee for each segment (50' x 100')

or portion thereof on areas in excess of the first 1,000' of frontage shall be one-half that

for a like segment on areas with up to 1,000' of frontage.

D. The reduced fee referred to in "C" is not applicable for fleeting areas located adjacent to

the riparian property under public ownership or when the anchoring system is located below the

ordinary high-water line.

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Ch54, p.6 Conservation[290] IAC9/30/81, 10/28/81

"Frontage" is the dimension parallel to the river's flow or along the shoreline. "Depth" is the \....,) width cross current or perpendicular to the shoreline.

These fees may be adjusted every five years and all existing leases are subject to such adjustments.

290-54.11(111) Nonuse. Evidence of limited or nonuse of a fleeting area shall be cause for review by the commission in consultation with other state and federal agencies and may be cause for reduction in size or termination of a fleeting permit. The permittee may request a contested case proceeding in accordance with chapter 17 A, The Code, and conservation commission rules, chapter 64.

290-54.12(111) Reports of use. The permittee shall submit annual reports of the average daily number of barges moored during the preceding year. These reports are to be received by l

1 the commission no later than the thirty-first day of January each year. .._....

290-54.13(111) Renewals. The permittee shall request renewal of the permit not more than six nor less than two months prior to its expiration. Failure to request renewal shall terminate the permittee's rights to the fleeting area.

290-54.14(111) Permit and lease revocation. A fleeting area permit and lease may be revoked upon determination that operation of the facility is in violation of a condition of the permit. Revpcation proceedings shall be in compliance with chapter 17 A, The Code and conservation commission rules, chapter 64.

290-54.15(111) Severability. Should any section, paragraph, phrase, sentence, or clause of this chapter be declared invalid or unconstitutional for any reason, the remainder of this ~ chapter shall not be affected thereby.

These rules are intended to implement sections 106.32, 111.4 and 111.25, The Code. [Filed 9/4/81, Notices 3/4/81, 5/27 /81-published 9/30/81, effective 11/5/81 *]

•Effective date of Ch 54 delayed by the administrative rules review committee forty-five days after convening of the next General Assembly pursuantto § 17 A .8(9). (Published I 0/28/81).

lAC 10/28/81 Conservation[290]

CHAPTER66

LICENSE DEPOSITARIES

Ch 66, p.1

290-66.1(110) Depositary designation. The director may designate a retail business establishment, an office of a government entity, or a nonprofit corporation, as a depositary for the sale of hunting and fishing licenses and stamps in accordance with the provisions of this rule.

290-66.2(110) AppUcation. Application forms may be secured by a written or verbal re­quest to the State Conservation Commission, Wallace Building, Des Moines, Iowa 50319; telephone (515) 281-4508. Requests for forms may be made through agency field staff or field officers. The applicant must provide the following information on the form:

1. The name of the retail business establishment, government entity, or nonprofit corpora­tion, and location(s) and telephone numbers~

2. A general description of the type of retail business establishment, government entity, or nonprofit corporation.

3. The form of ownership if a retail business establishment. If a partnership, the full names and addresses of all partners must be provided. If a corporation, the date and state of incor­poration must be provided.

4. If a government entity, the name and title of the responsible official. 5. If a nonprofit corporation, the date and state of incorporation. 6. The hours and days open to the public. 7. The office and residence telephone number of the person signing the application. 8. The name, address, and telephone number of three credit references, including the bank

used by the retail business establishment, government entity, or nonprofit corporation. The application forms contain a statement to be signed agreeing to the terms and conditions

as set forth in this rule. The application must be signed by the owner if a sole proprietorship; by a partner if a partnership; if a corporation, by an authorized corporate official; or by the elected or appointed official administratively in charge of the government entity. The signature must be attested to by a notary public.

290-66.3(110) Security. The applicant must provide security, either a surety bond from an association or corporation which does the business of assuring the fidelity of others, and which has the authority by law to do business in this state, a collateral assignment of a certifi­cate of deposit, or a letter of credit.

66.3(1) Condition of security. A surety bond shall generally provide that the applicant render a true account of, and turn over all moneys, license blanks, stamps, and duplicates when requested to do so by the state conservation director or an authorized representative, and to comply with all applicable provisions of the application, the Iowa Administrative Code, and the Iowa Code.

66.3(2) Amount of security. All forms of security shall be in the amount of five thousand dollars each, or a larger amount as jointly agreed to by the agency and the depositary.

66.3(3) Term of bond. The bond shall run continuously from the date the application is approved.

66.3(4) Termination of bond. The surety or principal may terminate the bond at any time by sending written notice by certified mail, return receipt requested, to the Director, State Conservation Commission, Wallace State Office Building, Des Moines, Iowa 50319. The ter­mination shall become effective thirty days after the receipt of the notice by the director.

66.3(5) Collateral assignment of a certificate of deposit and letters of credit. Collateral assignments of certificates of deposit and letters of credit shall be subject to the following terms and conditions:

Ch 66, p.2 Conservation[290] lAC 10/28/81

a. Certificates of deposit shall be assigned to the commission, in writing, and the assign­ment shall be recorded on the books of the bank issuing the certificate.

b. Banks issuing these certificates shall waive all rights of setoff or liens which they have or might have against these certificates.

c. Certificates of deposit shall be automatically renewed unless the director approves release of the funds in writing. Letters of credit shall be without reservation and shall remain in effect continuously, or as otherwise agreed to by the director.

d. The director will release the certificates of deposit or approve the cancellation of a letter of credit upon termination of a license depositary agreement if all licenses and moneys have been accounted for satisfactorily, or if the depositary provides a satisfactory surety bond in lieu thereof.

290-66.4(110) Approval of application and security. The director will approve the applica­tion upon the receipt of a satisfactory bond, a collateral assignment of deposit, or a letter of credit and a determination that the credit references are satisfactory. However, the director reserves the right not to approve any application received from a party whose depositary agreement has previously been terminated by the agency for cause. Upon approval by the director, the agency will provide the depositary with license blanks, stamps, reporting forms, and instructions.

290-66.5(110) Depositary reporting standards. All depositaries shall comply with the following reporting standards:

66.5(1) Monthly reports. The monthly license sale report, including duplicate copies of the licenses sold and a check or other monetary instrument in the amount due shall be remitted to the agency by the fifth of the following month. A depositary which does not provide the monthly report to the agency by the fifteenth of the following month shall be considered seriously delinquent. However, if the office or business is operated on a seasonal basis, a monthly report is not required for any month that the office or business is not open to the public.

66.5(2) Annual report. The annual report for all sales for the calendar year and including the return of all unused license blanks and stamps shall be remitted to the agency by January 31 of each year. An annual report shall also be submitted at the time a depositary is terminated for any reason during the calendar year. This report must be received within fifteen days after the director receives the notice of termination. A depositary will be considered seriously delin­quent if the annual report is not received by February 1 S.

66.5(3) Accountability. The depositary shall be fully accountable to the state for all pro­ceeds collected from the sale of licenses and stamps. This accountability shall not be dimin­ished by reason of bankruptcy, fire loss, theft loss, or other similar reason.

66.5(4) Probation. A depositary shall be placed on probation by a notice sent by certified mail, return receipt requested, when any of the following circumstances occur:

a. A depositary is seriously delinquent for the second time during any consecutive six-month period.

b. A depositary fails to correct a serious delinquency within ten days. c. A check is returned by the bank by reason of insufficient funds. The probation will be automatically canceled after six months of satisfactory performance. 66.5(5) Termination of depositary. A depositary may terminate the agreement at any time

by notifying the director by certified mail, return receipt requested. The termination shall be effective thirty days after the receipt of the notice by the director, and after the depositary has fully accounted for all moneys and unused license blanks and stamps. The director may ter­minate the depositary agreement and require an immediate and full accounting of all moneys and unused license blanks and stamps under any of the following circumstances:

a. The occurrence of a third serious delinquency during any consecutive six-month period. b. Not making an insufficient funds check good within ten days after proper notice by the

director.

lAC 10/28/81 Conservation [290] Ch 66, p.3

c. Failure to correct a serious delinquency within fifteen calendar days. d. Knowingly placing a date, other than the correct date, on any license. e. Knowingly selling a resident license or stamp to a nonresident, or selling a senior citizen

or disabled license to a person not qualified for such license. f. Charging more than the statutory writing fee. g. Refusal to sell a license or stamp to any individual by reason of race, creed, nationality,

or religion. h. Expiration of bond coverage or cancellation of bond coverage by the surety.

190-66.6(110) Multiple establishment locations. An application and security may be sub­mitted for retail business establishments with multiple locations. For purposes of reporting and for determining the amount of the security, each location will be considered a separate entity. The party in charge of each location may act for the owner regarding the submission of monthly reports, moneys, and the annual report.

190-66. 7(110) Forms for application, bond, monthly report and collateral as assignment. 66. 7(1) Required forms. The following forms• or fascimilies thereof shall be used by

depositaries in fulfilling the requirement of this rule. Copies of forms may be obtained by writing the License Superintendent, State Conservation Commission, Wallace State Office Building, Des Moines, Iowa 50319; or by calling (515)281-8688.

These rules are intended to implement section 110.11. The Code. [Filed 10/8/80, Notice 7 /23/80---published 10/29/80, effective 12/3/80] [Filed 10/7/81, Notice 9/2/81-published 10/28/81, effective 12/2/81]

~ •Available upon request to the commission, also filed with administrative rules coordinator.

Ch 67, p.l Conservation[290] lAC 10/29/80

CHAPTER67 LOST OR DESTROYED LICENSE BLANKS

290-67.1(110) Accountabffity for license blanks. Whenever a depositary appointed by the director or a county recorder requests to be relieved from accountability for license blanks that have been lost or destroyed, the depositary or recorder shall flle a bond for the face value of such lost or destroyed license blanks and provide an explanation to the director of the state conservation commission.

290-67 .2(110) Explanation. The depositary or recorder must submit a written statement in the form of an affidavit regarding the facts and circumstances surrounding the alleged loss or destruction. Pictures, drawings, or other pertinent information may be attached and ref­erenced in the statement. The loss or destruction must relate to one or a combination of the following reasons:

1. Loss or destruction by fire. 2. Loss from theft. 3. Loss while in transit. 4. Loss from natural causes, including but not limited to floods, tornadoes, and severe

storms. · S. Loss or accidental destruction in a course of normal business operations or facility

maintenance and repair. The statement must also include a specific description of the precautions and procedures

normally utilized by the recorder or depositary to prevent or to guard against the loss or destruction described, and a further statement as to why the precautions or procedures failed in this particular instance.

290-67.3(110) Review and determination by director. The director shall consider the writ­ten explanation as provided. The director shall also consider the past record of the depositary or recorder regarding losses and destructions; the past record of the depositary or recorder regarding prompt and accurate reporting; and may direct further investigations into the circumstances and facts by agency staff.

If the director determines that the depositary or recorder exercised reasonable and prudent care, the director shall relieve the depositary or recorder of accountability upon the filing of a bond.

If the director determines that there was gross negligence by the depositary or recorder and holds the depositary or recorder accountable, the depositary or recorder may file a request for a contested case proceeding as provided in the Iowa Administrative Code, chapter 64.

290-67 .4(110) Bond. The depositary or recorder shall provide a bond in the amount of the face value of the lost or destroyed licenses on a bond form provided by the agency. The bond will be conditioned to the effect that the depositary or recorder agrees to surrender the subject licenses to the agency in the event that they are located at any future time; or in the event of proof showing that any or all of the subject licenses have been issued, the depositary, recorder, or sureties jointly and severally agree to pay the state the face value of all licenses covered by the bond.

For a face amount of five hundred dollars or less, the personal bond of the depositary or recorder is sufficient. One additional personal surety is required for a face amount up to one thousand dollars; and two personal sureties, in addition to the depositary or recorder, are re­quired if the face amount is over one thousand dollars.

A corporate surety authorized to do business in Iowa may be provided in lieu of the per­sonal sureties required, in addition to the depositary or recorder.

These rules are intended to implement section 110.13, The Code. [Filed 10/8/80, Notice 7/23/80-published 10/29/80, effective 12/3/80]

CHAPTERS 68 and 69 Reserved

lAC 10/28/81 Conservation [290] Ch 108, p.1

'-"" CHAPTER 108 FISHING REGULATIONS

290-108.1(109) Seasons, daUy catch limits, possession limits, and minimum length limits.

INLAND WATERS OF THE STATE BOUNDARY RIVERS

DAILY POSSES· MINIMUM MISSISSIPPI RIVER

OPEN CATCH SION LENGTH MISSOURI RIVER

KIND OF FISH SEASON LIMIT LIMIT LIMITS BIG SIOUX RIVER

Rock Sturgeon Closed 0 0 Same as inland waters

Paddlefish* Continuous 2 4 None Same as inland waters

~ Same as inland waters except no catch or

Yellow Perch Continuous 25 so None possession limit. Trout Continuous* 5 10 None* Same as inland waters

Same as inland waters except no catch or

Catfish Continuous 8 16 None possession limit. Largemouth and smallmouth black

Largemouth Bass Continuous 5 10 None* bass: Same as inland waters except aggregate daily

~ catch limit 5; aggregate possession limit 10. No minimum

Smallmouth Bass Continuous 5 10 12"• length limits. Continuous open season aggregate daily

Combined catch limit 10, Walleye and aggregate possession Sauger Continuous* 5 10 None limit20.

Continuous open season; daily catch limit 5; possession

~ Northern Pike Continuous* 3 6 None limit 10. Muskellunge or Hybrid Muskellunge Continuous* 1 30" Same as inland waters

Ocean Striped Bass Continuous• None Same as inland waters

All other tish species Continuous None None None Same as inland waters Frogs(except Bullfro~s) Continuous 48 96 None Same as inland waters Bullfrogs (Rana Catesbeiana) Continuous 12 12 None Same as inland waters

*Also see 108.2(109), Exceptions. ~

Ch 108, p.2 Conservation [290] lAC 10/28/81

290-108.2(109) Exceptions to seasons and Hmits, set in 108.1(109). 108.2(1) Natura/lakes. In Lakes West Okoboji, East Okoboji, and Spirit Lake, there shall

be a closed season on walleye, muskellunge or tiger muskie, and northern pike from March 1, 1982 to April30, 1982.

108.2(2) Minimum length-largemouth bass. A minimum length limit on largemouth bass shall apply on selected lakes as approved by the commission and posted as such.

108.2(3) Minimum length-smallmouth bass. A twelve-inch length limit shall apply on smallmouth bass in all interior rivers and streams. There is no length limit on smallmouth bass in lakes and border rivers.

108.2(4) Paddle/ish snagging regulations. a. Areas. Paddlefish snagging shall be limited to the following areas: Iowa boundary waters

of the Mississippi and Missouri Rivers; Missouri River oxbow lakes which are open to the river; Iowa River from the lower dam at Iowa City to the Mississippi River and the Des Moines River from the hydroelectric dam at Ottumwa to the Mississippi River; and the Skunk River from the dam at Oakland Mills to the Mississippi River.

b. Limits. The daily catch limit shall be two; possession limit four. 108.2(5) Special trout regulations. a. Brook Trout. There shall be no open season on brook trout in portions of Spring Branch

Creek, Delaware County where posted. The minimum length limit of brook trout in the South Fork of Big Mill Creek, Jackson County shall be twelve inches. Fishing in the posted areas of · South Fork Big Mill Creek and Spring Branch Creek shall be by artificial lure only.

b. Brown Trout. The minimum length limit of brown trout shall be fourteen inches in a portion of Bloody Run Creek, Clayton County; Spring Branch Creek, Delaware County; and French Creek, Allamakee County where posted. Fishing in the posted area of Bloody Run Creek, French Creek and Spring Branch Creek shall be by artificial lure only.

108.2(6) Exception border lakes. In Little Spirit Lake, Dickinson County; Iowa and Tuttle (Okamanpedan) Lakes, Emmet County; Burt (Swag) Lake, Kossuth County; and Iowa Lake, Osceola County, the following shall apply:

a. Walleye daily catch and possession limit 6; b. Northern Pike daily catch and possession limit 3; c. Largemouth and small mouth bass daily catch and possession limit 6; d. Channel catfish daily catch and possession limit 8. Open season on the above fish shall

be the first Saturday in May to February 15 each year. e. Spears and bow and arrow may be used to take carp, buffalo, dogfish, gar, sheepshead,

and carpsucker from sunrise to sunset during the period from the first Saturday in May to February 15 each year in the above lakes.

These rules are intended to implement sections 109.38, 109.39, 109.67, and 109.76, The Code.

[Filed Emergency 119/76-published 1/26/76, effective 119/76] [Filed 2/1177, Notice 12/15/76-published 2/23/77, effective 3/30/77]

[Filed emergency 1113/78-published 2/8/78, effective 1/13/78] [Filed 3/15/78, Notice 2/8/78-published 4/5/78, effective 5/10/78]

!Filed 1/9179, Notice 11/29178-published 217/79, effective 3/14/79] [Filed 10/10/79, Notice 9/5/79-published 10/31179, effective 111/80]

[Filed 10/8/80, Notice 9/3/80-published 10/29/80, effective 111181] [Filed 10/7/81, Notice 8/5/81-published 10/28/81, effective 111182]

·~

lAC 4/1/81 Hea1th[470] Analysis, p.9

TITLE XXVI

liCENSING BOARDS CHAPTER135

MEDICAL EXAMINERS

135.1(17A,147) 135.2(17A) 135.3(17A) 135.4(17A) 135.5(17A) 135.6(17A) 135.7(17A) 135.8(17 A, 147)

GENERAL

Definitions Description of board Organization of board Official communications Office hours Meetings Public meetings Petition to promulgate,

amend or repeal a rule 135.9(17A) Public hearings 135.10(17A) Declaratory rulings 135.11 to 135.100 Reserved

REQUIREMENTS TO PRACTICE

MEDICINE AND SURGERY

OSTEOPATHIC MEDICINE AND

SURGERY AND OSTEOPATHY

135.101(147,148,150A) General require­ments

135.102(147,148,150A) Rules for conduct­ing examinations

135.103(147,148,150A) Licensure by reci­procity or en­dorsement

135.104(147, 148, 150A) License by endorse­ment of national board certifi­cates

135.105(148) License to practice as a resident physician

135.106(148) Temporary licen-sure

135.107(147) License renewal date

135.108(147) License-examina-tion-renewal fees

135 .109(17 A) Specified forms to be used

135.110 to 135.200 Reserved

DISCIPLINE

135.201 (258A) General 135.202(258A) Method of discipline 135 .203(258A) Discretion of board 135 .204(258A) Grounds for discipline 135.205(258A) Procedure for peer review 135.206(258A) Peer review committees 135.207(258A) Duties of peer review com-

mittees 135.208(258A) Board review of recom­

mendations

135.209(258A) Reporting of judgments or settlements

135.210(258A) Investigation of reports of judgments and settle­ments

135.211(258A) Reporting of acts or omis-sions

135.212(258A) Failure to report licensee 135.213(258A) Immunities 135.214(258A)· Doctor-patient privileged

communications 135 .215(258A) Confidentiality of investi­

gative files 135.216 to 135.250 Reserved

STANDARDS OF PRACTICE

135.251(148,258A) Standards of practice, packaging, labeling and records of pre­scription drugs dis­pensed by a physi-

cian 135.252 to 135.300 Reserved

DISCIPLINARY PROCEDURE

135.301(147,148,17 A,258A) Disciplinary procedure

135.302 to 135.400 Reserved PIHNCIPI.ES OF PROFESSIONAL ETHICS

135.401(147,148,258A) Principles of medi­cal ethics

135.402(147,148,258A) Code of ethics of osteopathic pro­fession

135.403 to 135.500 Reserved CONTINUING EDUCATION

135.501(258A) Definitions 135.502(258A) Continuing education re-

quirements 135.503(258A) Standards for approval 135.504(258A) Accreditation of sponsors 135.505(258A) Hearings 135.506(258A) Reports and records 135.507(258A) Attendance record 135.508(258A) Exemptions for inactive

practitioners 1 35.509(258A) Reinstatement of inactive

practitioners 135.510(258A) Exemptions for active

practitioners 135.511(258A) Physical disability or illness 135.512(258A) Noncompliance

Analysis. p. 9a Hea1thl4701 lAC 5/13/81

CHAPTER 136 PHYSICIANS' ASSISTANTS

136.1(1488) General 136.2(1488) Definitions 136.3(1488) Application for approval 136.4(1488) Qualifications 136.5(1488) Duties 136.6(1488) Termination of approval 136. 7(1488) Grounds for refusing 136.8(1488) Termination of employment 136.9(1488) Professional corporation or

partnership 136.10(1488) Physician's assistant trainee 136.11(1488) Application for program ap­

proval 136.12(1488) Essential requirements of an

approved program 136.13(1488) Prohibition 136.14 to 136.100 Reserved

CONTINUING EDUCATION

136.101(258A) Definitions 136.102(258A) Continuing education re­

quirements 136.103(258A) Standards for approval of

category I activity 136.104(258A) Approval of sponsors, pro­

grams and activities i36.105(258A) Standards for approval of

category II activity 136.106(258A) Hearings 136.107(258A) Report of the physician's as­

sistant 136.108(258A) Attendance record 136.109(258A) Exemptions for inactive

physician's assistant 136.110(258A) Reinstatement of inactive

physician's assistant 136.111 (258A) Exemptions for active phy­

sician's assistant 136.112(258A) Physical disability or ill­

ness

CHAPTER 137 PHYSICAL THERAPY EXAMINERS

137.1(147) Definitions 137 .2(147) General 137.3(147) Licensure by examination 137 .4(147) Licensure by interstate en

dorsement 137.5(147) License renewal 137.6(147) Fees

CHAPTER 138 PHYSICAL THERAPY

CONTINUING EDUCATION AND DISCIPLINARY PROCEDURES

138.1(258A) Definitions

138.2(258A) Continuing education re­quirements

138.3(258A) Standards for approval 138.4(258A) Approval of sponsors, pro-

grams and activities 138.5(258A) Hearings 138.6 Reserved 138.7(258A) Attendance record report 138.8(258A) Physical disability or illness 138.9(258A) Exemptions for inactive prac-

titioners 138.10(258A) Reinstatement of inactive

practitioners 138.11 to 138.99 Reserved 138.100(258A) Definitions 138.101(258A) Complaint 138.1 02(258A) Report of malpractice claims

or actions 138.103(258A) Investigation of complaints

or malpractice claims 138.104(258A) Alternative ·procedure 138.105(258A) License denial 138.1 06(258A) Notice of hearing 138.107(258A) Hearings open to the public 138.108(258A) Hearings 138.109(258A) Appeal 138.110(258A) Transcript 138.111(258A) Publication of decisions 138.112(258A) Suspension, revocation, or

probation 138.113(258A) Peer review committees 138.114 to 138.199 Reserved

RULES OF THE OCCUPATIONAL THERAPY SECTION

OF THE BOARD OF PHYSICAL THERAPY AND

OCCUPATIONAL THERAPY EXAMINERS

138 .200( 1488) Definitions 138.201(1488) General 138.202(1488) Waiver of examination 138.203(1488) Licensure by endorsement 138.204(1488) Limited permit 138.205(1488) Application for a tempo-

rary license 138.206(1488) Application for permanent

license 138.207(258A) Fees 138.208(258A) Reserved 138 .209(1488) Supervision of occupational

. therapy assistants 138.210(1488) Continuing education 138.211(1488) Complaints and hearings . 138.212(1488) Suspension, revocation, or

probation 138.213(1488) Peer review committees 138.214 'to 138.299 Reserved

- .....

lAC 10/28/81 Health[470] Ch 137, p.1

cation requirement for the profession and meets all requirements of that state or district for practice therein, or for periods that the physician's assistant is a government employee working in his or her profession and assigned to duty outside of the United States, or for other periods of active employment and absence from the state approved by the board.

470-136.112(258A) Physical disabWty or lllness. 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 the same or make the required reports. No waiver or extension of time shall be granted unless written application therefor shall be made on forms provided by the board and signed by the physician's assistant and his or her attending physician. 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's assistant must 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 waiver by such methods as may be prescribed by the board.

[Filed November 14, 1974] !Filed 2/5/79, Notice 11/29/78-published 2/21/79, effective 3/29/79]

[Filed 3/13/81, Notice 1/7/81-published 4/1181, effective 5/6/81]

CHAPTER 137 PHYSICAL THERAPY EXAMINERS

470-137 .1(147) Deftnltlons. 137.1(1) "Board,means the board of physical and occupational therapy examiners. 137 .1(2) "Department" means the state department of health. 137 .1{3) "Licensure by interstate endorsement" means the issuance of a license to

practice physical therapy to an applicant who has been licensed in another state, to be considered on an individual basis for licensure in Iowa, if the applicant meets the qualifica­tions required of a licensed physical therapist in Iowa.

470-137 .2(147) General. 137 .2(1) Licenses issued by the board shall be for licensure by examination or licensure

by interstate endorsement. Each license shall be 8% by 11 inches in size. Each license issued shall bear the signatures of all board members with their appropriate titles.

137 .2(2) The board requires the completion of parts I, basic sciences; II, clinical sciences; and Ill, physical therapy, theory and procedure, of the American Physical Therapy Association approved examination prepared by the Professional Examination Service, or an equivalent examination approved by the American Physical Therapy Asso­ciation.

137 .2(3) The board will accept the certified grades provided by the Professional Exami­nation Service for each of the three parts of the examination. Scores above 1.5 standard deviations below the national average shall be required on each part of the examination.

137 .2(4) An examinee failing one part of the examination shall be required to repeat only the part failed. The second examination must be taken within a period of fourteen

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lAC 10/28/81 Health[470] Ch 137, p.2

months after the first examination and is without further fee. An applicant failing the repeat examination shall be required to pay the examination fee and take the entire examination.

137 .2(5) An examinee failing two or more parts of the examination shall be required to repeat the entire examination. The second examination must be taken within a period of fourteen months after the first examination and is without further fee. An applicant failing the repeat examination shall be required to pay the examination fee and take the entire examination.

137 .2(6) Persons desiring information concerning the time and place of meetings of the board of physical and occupational therapy examiners or other information should write to the Division of Licensure and Certification, Iowa State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319.

This rule is intended to implement sections 147.36 and 147.76 of the Code.

470-137 .3(147) Licensure by examination. 137 .3(1) Applications for licensure to practice physical therapy in Iowa shall be made

directly to the Iowa State Department of Health, Lucas Building, Des Moines, Iowa, at least fifteen days prior to a scheduled practical or oral examination by the board. The application form will be furnished by the department. The notarized application shall include the following:

a. Full name, current address, age, date of birth, place of birth, etc. as requested on the application form.

b. Declaration as to Iicensures or registrations held and examinations taken. c. A notarized copy of the certificate or diploma awarded the applicant from a school of

physical therapy accredited by an accrediting agency recognized by the United States Commissioner of Education or the Council on Postsecondary Accreditation. If graduated from a degree program which did not issue a diploma stating applicant's degree was in physical therapy, a statement verifying that the degree was in physical therapy is required from the school. Foreign trained physical therapists shall submit an English translation and a board authorized evaluation of the professional curriculum. Applicant will bear the expense of the curriculum evaluation.

d. A certified copy of the grades achieved on parts I, basic sciences; II, clinical sciences; and Ill, physical therapy, theory and practice, of the American Physical Therapy Association approved Professional Examination.

e. Required fee in the form of a check or money order made payable to the Iowa State Department of Health.

137 .3(2) The board will conduct a practical or oral examination, or both, of all appli­cants for licensure.

137 .3(3) The department will stamp each application with a date stamp upon its receipt at the department.

This rule is intended to implement sections 147.36 and 147.76 of the Code.

470-137 .4(147) Licensure by Interstate endorsement. 137 .4(1) An individual from another state seeking a license to practice physical therapy

in Iowa will be considered on an individual basis under the principle of interstate endorse­ment.

137 .4(2) An out-of-state applicant shall complete the same application as that outlined in 137.3(147), and shall in addition attach a notarized copy of any and all licenses to practice physical therapy held from other states.

137 .4(3) An applicant for licensure by interstate endorsement shall have practiced physical therapy on a full-time or full-time equivalent basis or served as a full-time faculty member teaching physical therapy in a school of physical therapy for at least one of the immediately preceding three years or shall have graduated from an approved school of physical therapy within a period of one year from the date of graduation to the time the application is com­pleted for licensure.

Ch 137, p.3 Health[470] lAC 10/28/81

137 .4(4) An applicant for licensure under this rule must include with this application a sworn statement of previous physical therapy practice from employer or professional asso­ciate, detailing places of employment, dates of employment, and indicate whether or not license has ever been revoked or suspended. If license has ever been revoked or suspended then a sworn statement detailing the circumstances must be furnished.

137 .4(5) An applicant must pass to the satisfaction of the board of examiners, a practical or oral examination, or both.

137 .4(6) The board will accept certified grades from the American Registry of Physical Therapists reflecting satisfactory passage of the American Registry Examination prior to July 4, 1965. These grades may be considered in lieu of satisfactory passage of the American Physical Therapy Association approved Professional Examination Service Examination at the discretion of the board, under this rule only.

137 .4(7) Required fee in the form of a check or money order made payable to Iowa State Department of Health.

137 .4(8) Applicants not meeting requirements in 470--137.4(147) are required to meet all the requirements as set out in 470--137.3(147) "Licensure by examination" including taking or retaking the Professional Examination Service examination.·

This rule is intended to implement sections 147.36 and 147.76 of the Code.

470--137 .5(147) License renewal. 137 .5(1) Failure to renew license within thirty days after the expiration date creates a

ten-dollar penalty in addition to the license fee. Failure to renew within sixty days causes license to lapse.

137 .5(2) Any former licensee allowing license to lapse may be reinstated by paying a ten-dollar penalty in addition to all delinquent renewal fees and by meeting all of the same requirements as set out in 470--137.4(147) "Licensure by interstate endorsement", with the exception of the application fee. Applicants not meeting these requirements must meet all of the requirements as set out in 470--137.3(147) "Licensure by examination", including taking or retaking the Professional Examination Service examination.

137 .5(3) In cases of emergency prohibiting timely renewal by the licensee, the disciplinary actions outlined in 137.5(1) and 137.5(2) may be waived at the discretion of the board after an interview with the licensee.

This rule is intended to implement sections 147.36 and 147.76 of the Code.

470-137 .6(147) Fees. 137.6(1) License to practice physical therapy issued upon the basis of an examination is

sixty dollars. 137 .6(2) License to practice physical therapy issued under endorsement is sixty dollars. 137 .6(3) Renewal of a license to practiCe physical therapy for a biennial period is thirty

dollars. The renewal fee for the license renewal year beginning July 1, 1981 and ending June 30, 1982 is ten dollars. The renewal fee for the license renewal year beginning July 1, 1982 and ending June 30, 1983 is fifteen dollars.

This rule is intended to implement section 147.80 and 148B. 7, The Code. 137 .6(4) Penalty fee, in addition to renewal fee, for failure to renew license within thirty

days after the expiration date is ten dollars. 137 .6(5) Penalty fee for failure to complete the continuing education by the end of the

continuing education period is twenty-five dollars, unless the delay is because of illness. 137 .6(6) Reinstatement fee is ten dollars. 137 .6(7) Fee for a certified statement that a licensee is licensed in this state is five dollars. 137 .6(8) Fee for a duplicate license if the original license is lost or stolen is five dollars. This rule is intended to implement sections 147.80 and 148B. 7, The Code.

[Filed 7112/66; amended 5/11/71, 3/14/75, 6/10/75) [Filed 9/19/77, Notice 7/13/77-published 10/5/77, effective 11/9/77]

[Filed 7 I 17/79, Notice 5/30/79-published 8/8/79, effective 9/ 12/79] [Filed 4/23/81, Notice 3/4/81-published 5/13/81, effective 6/17/81]

[Filed 10/9/81, Notice9/2/81-published 10/28/81, effective 12/2/81]

lAC 10/28/81 Health[470]

CHAPTER 138 PHYSICAL THERAPY CONTINUING EDUCATION

AND DISCIPLINARY PROCEDURES

Ch 138, p.l

470-138.1(258A) Definitions. For the purpose of these rules, the following definitions shall apply:

138.1 (1) .,Board, means the board of physical and occupational therapy examiners. 138.1(2) "Licensee" means any person licensed to practice physical therapy in the state

of Iowa. 138.1(3) "Hour" of continuing education means a clock-hour spent after December 31,

1978 by a licensee in actual attendance at and completion of an approved continuing education activity.

138.1(4) "Approved program or activity" means a continuing education program activity meeting the standards set forth in these rules which has received advance approval by the board pursuant to these rules.

138.1(5) "Accredited sponsor" means a person or an organization sponsoring continuing education activities which has been approved by the board as a sponsor pursuant to these rules. During the time an organization, educational institution, or person is an accredited sponsor, all continuing education activities of such person or organization may be deemed automatically approved.

470-138.2(258A) Continuing education requirements. 138.2(1) Beginning January 1, 1979 each person licensed to practice physical therapy m

this state shall complete during each calendar year a minimum of twenty hours of continu­ing education approved by the board. Compliance with the requirement of continuing edu­cation is a prerequisite for license renewal in each subsequent license renewal year. Beginning January 1, 1981, not less than fifteen hours of the twenty hours required each year for contin­uing education credit shall be directly related to physical therapy patient care.

138.2(2) The continuing education compliance year shall extend from January 1 to December 31, during which period attendance at approved continuing education programs may be used as evidence of fulfilling continuing education requirements for the subsequent license renewal year beginning July 1 and expiring June 30.

138.2(3) Hours of continuing education credit may be obtained by attending and participating in a continuing education activity, either previously accredited by the board or which otherwise meets the requirement herein and is approved by the board pursuant to rule 138.4(67G.A.,Ch95).

138.2(4) A licensee desiring to obtain credit for one or more succeeding calendar years, not exceeding three such years, for completing more than twenty hours of approved con­tinuing education during any one calendar year shall report such carry-over credit at the time of filing the annual report to the board on or before February 1, of the year following the calendar year during which the claimed additional continuing education hours were completed. Beginning January 1, 1981, no carry over credit of those hours which are not directly related to physical therapy patient care will be allowed. Continuing education credit hours which are not directly related to physical therapy patient care shall not carry over to subsequent continuing education years.

138.2(5) It is the responsibility of each licensee to arrange for financing of his or her costs of continuing education.

138.2(6) Beginning January 1, 1981, each person licensed to practice physical therapy in this state shall complete during each continuing education compliance period a minimum of forty hours of continuing education approved by the board. Compliance with the requirement of continuing education is a prerequisite for license renewal in each subsequent license renewal period.

138.2(7) Beginning January 1, 1981, the continuing education compliance period shall be each biennium beginning January 1 of the odd numbered year to December 31 of the next

Ch 138, p.1a Health[470] lAC 5/13/81

even numbered year. The first biennial continuing education period will extend from January ~ 1, 1981 to December 31, 1982. During the continuing education compliance period, attend-ance at approved continuing education programs may be used as evidence of fulfilling continuing education requirement for the subsequent biennial license renewal period beginn-ing July I.

138.2(8) Hours of continuing education credit may be obtained by attending and par­ticipating in a continuing education activity, either previously approved by the board or which otherwise meets the requirement herein and is approved by the board pursuant to rule 138.4(258A).

138.2(9) Carry-over credit of continuing education hours will not be permitted into the continuing education period beginning January 1, 1983 or subsequent thereto.

138.2(10) After an initial license is issued, the new license holder is exempt from meeting the continuing education requirement for the calendar year in which he or she is licensed. If a new license holder is licensed during the first year of the biennial continuing education period, '--" he or she is only required to complete twenty hours of continuing education for renewal of license. If a new license holder is licensed during the second year of the biennial continuing education period, he or she will be exempt from meeting any continuing education re­quirements for the first license renewal. The new license holder will be required to obtain forty hours of continuing education for the second license renewal.

This rule is intended to implement section 258A.2(1), The Code.

470--138.3(258A) Standards for approval. A continuing education activity shall be quali­fied for approval if the board determines that:

138.3(1) It constitutes an organized program of learning (including a workshop or sym­posium) which contributes directly to the professional competency of the licensee; and

138.3(2) It pertains to common subjects or other subject matters which integrally relate ~ 1

to the practice of physical therapy; and ~ 138.3(3) It is conducted by individuals who have a special education, training and

experience by reason of which said individuals should be considered experts concerning the subject matter of the program, and is accompanied by a paper, manual or outline which substantively pertains to the subject matter of the progra~.

138.3(4) Except as may be allowed pursuant to rule 138.8(258A) hereof, no li­censee shall receive credit exceeding ten percent of the annual total required hours for self-study, e.g., television viewing, video or sound-recorded programs, reading, or by other similar means as authorized by the board.

470--138.4(258A) Approval of sponsors, programs, and activides. 138.4(1) Accreditation of sponsors. An organization or person not previously accredited

by the board, which desires accreditation as a sponsor of courses, programs, or other con-tinuing education activities, shall apply for accreditation to the board stating its education ~ history for the preceding two years, including approximate dates, subjects offered, total hours of instruction presented, and the names and qualifications of instructors. Approval or denial of a sponsor by the board shall be final. By January 31 of each year, commencing January 31' 1980 all accredited sponsors shall report to the board in writing the education programs conducted during the preceding calendar year on a form approved by the board. The board may at any time re-evaluate an accredited sponsor. If after such re-evaluation, the board finds there is basis for consideration of revocation of the accreditation of an accredited sponsor, the board shall give notice by ordinary mail to that sponsor of a hearing on such possible revocation at least thirty days prior to said hearing. The decision of the board after such hearing shall be final.

138.4(2) Prior approval of activities. An organization or person other than an accredited sponsor, which desires prior approval of a course, program or other continuing education activity. or who desires to establish accreditation of such activity prior to attendance '-..,) thereat, shall apply for approval to the board at least ninety days in advance of the com­mencement of the activity on a form provided by the board. The board shall approve or deny such application in writing within sixty days of receipt of such application. The application shall state the dates, subjects offered, course outline, total hours of instruction, names and qualifications of speakers and other pertinent information.

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lAC 10/28/81 Health[470] Ch 138, p.3

470-138.7(258A) Attendance record report. The person or organization sponsoring continuing education activities shall make a written record of the Iowa licensees regis­tered and completing those activities and send a signed copy of such to the board upon completion of the educational activity, but in no case later than February 1 of the following calendar year. The report shall be sent to the Board of Physical and Occupational Therapy Examiners, Iowa State Department of Health, Licensing and Certification Section, Lucas State Office Building, Des Moines, Iowa 50319.

470-138.8(258A) Physical dlsabWty or Illness. 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 fulflll the same or make the required reports. No waiver or extension of time shall be granted unless written application therefor shall be made on forms provided by the board and signed by the licensee and a physician licensed by the board of medical examiners. Waivers of the minimum educational requirements for physical disability or illness 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 the waiver, the licensee must 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 by such methods as may be prescribed by the board.

470-138.9(258A) Exemptions for Inactive practitioners. A licensee who is not engaged in practice in the state of Iowa esiding within or without the state of Iowa may be granted a waiver of compliance and obtain a certificate of exemption upon written appli­cation to the board. The application shall contain a statement that the applicant will not engage in the practice of physical therapy in Iowa without f1rst complying with all regula­tions governing reinstatement after exemption. The application for a certificate of exemp­tion shall be submitted upon the form provided by the board.

470-138.10(258A) Reinstatement of Inactive practitioners. Inactive practitioners who have been granted a waiver of compliance with these regulations and obtained a certifi­cate of exemption shall, prior to engaging in the practice of physical therapy in the state of Iowa satisfy the following requirements for reinstatement:

138.10(1) Submit written application for reinstatement to the board upon forms provided by the board; and

138.10(2) Furnish in the application evidence of one of the following: a. The full-time practice of physical therapy in another state of the United States or the

District of Columbia and completion of continuing education for each year of inactive status substantially equivalent in the opinion of the board to that required under these rules; or

b. Completion of a total number of hours of accredited continuing education computed by multiplying twenty by the number of years a certificate of exemption shall have been in effect for such applicant; or

c. Successful completion of the Iowa state license examination conducted within one year immediately prior to the submission of such application for reinstatement.

These rules are intended to implement chapter 258A of the Code. 138.11 to 138.99 Reserved.

470-138.100(258A) Deftnltions. For the purpose of these rules, the following definitions shall apply:

138.1(1) uBoard.,means the board of physical and occupational therapy examiners. 138.100(2) "Licensee" means any person licensed to practice as a physical therapist in

the state of Iowa.

Ch 138, p.4 Health[470] lAC 10/28/81

470-138.101(258A) Complaint. A comolaint of a licensee's orofessional misconduct shall \..,) be made in writing by any person to the Board of Physical and Occupational Therapy Examiners, Licensing and Certification Section, Iowa State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319. The complaint shall include complainant's address and phone number, be signed and dated by the complainant, shall identify the licensee, and shall give the address and any other information about the licensee which the complainant may have concerning the matter. 470-138.102(258A) Report of malpractice claims or actions. Each licensee shall submit a copy of any judgment or settlement in a malpractice claim or action to the board within thirty days after the occurrence at the address given in rule 470--138.101(258A).

470-138.103(258A) Investigation of complaints or malpractice claims. The chair of the board of physical and occupational therapy examiners shall assign an investigation of a complaint or malpractice claim to a member of the board who will be known as the investigating board member \..,! or may request the state department of health to investigate the complaint or malpractice claim. The investigating board member or employee of the department may request information from any peer review committee which may be established to assist the board. The investigating board member or employee of the department may consult with an administrative hearing officer or assistant attorney general concerning the investigation on evidence produced from the investigation. The investigating board member, if the board member investigates the complaint, the director of the licensing and certification section, an administrative hearing officer or an assistant attorney general if the department investigates the complaint, shall make a written determination whether there is probable cause for a disciplinary hearing. The investigating board member shall not take part in the decision of the board, but may appear as a witness.

470-138.104(258A) Altemative procedure. A disciplinary hearing before the licensing \,.,) board is an alternative to the procedure provided in sections 147.58 to 147.71 of the Code.

470-138.105(258A) License denial. Any request for a hearing before the board con­cerning the denial of a license shall be submitted by the applicant in writing to the board at the address in rule 138.101(258A) by certified mail, return receipt requested, within thirty days of the mailing of a notice of denial of license.

470-138.106(258A) Notice of hearing. If there is a finding of probable cause for a disciplinary hearing by the investigating board member or by the department, the department shall prepare the notice of hearing and transmit the notice of hearing to the respondent by certified mail, return receipt requested, at least ten days before the date of the hearing. '.,1

470-138.107(258A) Hearings open to the pubUc. A hearing of a licensing board concern-ing a licensee or an applicant shall be open to the public unless the licensee or applicant or his or her attorney requests in writing that the hearing be closed to the public.

470-138.108(258A) Hearings. The board adopts the rules of the state department of health found in 470--chapter 173, lAC, as the procedure for hearings before the board. The board may authorize an administrative hearing officer to conduct the hearings, administer oaths, issue subpoenas, and prepare written fmdings of fact, conclusions of law and decision at the direction of the board. If a majority of the board does not hear the disciplinary proceeding, a recording or a transcript of the proceeding shall be made avail-able to members of the board who did not hear the proceeding. ·

470-138.109(258A) Appeal. Any appeal to the district court from disciplinary action of

IAC2/6/80 Health[470] Ch 138, p.S

~ the board or denial of license shall be taken within thirty days from the issuance of the decision by the board. It is not necessary to request a rehearing before the board to appeal to the district court.

470-138.110(258A) Transcript. The party who appeals a decision of the board to the district court shall pay the cost of the preparation of a transcript of the administrative hearing for the district court.

470-138.111(258A) Publication of decisions. Final decisions of the board relating to disciplinary proceedings shall be transmitted to the appropriate professional association, the news media and employer.

470-138.112(258A) Suspension, revocation, or probation. The board may revoke or suspend a license, or place a licensee on probation for any of the following reasons:

138.112(1) All grounds listed in section 147.55 of the Code which are: a. Fraud in procuring a license. b. Professional incompetency. c. Knowingly making misleading, deceptive, untrue or fraudulent representations in the

practice of a profession or engaging in unethical conduct or practice harmful or detrimental to the public. Proof of actual injury need not be established.

d. Habitual intoxication or addiction to the use of drugs. e. Conviction of a felony related to the profession or occupation of the licensee or the

conviction of any felony that would affect licensee's ability to practice within a profession. A copy of the record of conviction or plea of guilty shall be conclusive evidence.

f. Fraud in representations as to skill or ability. g. Use of untruthful or improbable statements in advertisements. h. Willful or repeated violations of the provisions of chapter 147 of the Code. 138.112(2) Violation of the rules promulgated by the board. 138.112(3) Personal disqualifications: a. Mental or physical inability reasonably related to and adversely affecting the licensee's

ability to practice in a safe and competent manner. b. Involuntary commitment for treatment of mental illness, drug addiction or alcohol-

ism. 138.112(4) Practicing the profession while the license is suspended. 138.112(5) Suspension or revocation of license by another state. 138.112(6) Negligence by the licensee in the practice of the profession, which is a failure

to exercise due care including negligent delegation to or supervision of employees or other individuals, whether or not injury results; or any conduct, practice or conditions which impair the ability to safely and skillfully practice the profession.

138.112(7) Failure to comply with the following rules of ethical conduct and practice. a. A physical therapist shall not practice outside the scope of his or her license. b. When the physical therapist does not possess the skill to evaluate a patient, plan the

treatment program, or carry out the treatment, he or she is obligated to inform the referring practitioner and assist in identifying a professional qualified to perform the service.

c. The physical therapist shall not delegate to an unlicensed employee or person under his or her control a service which requires the skill, knowledge, or judgment of a physical therapist.

d. Adequate supervision by a physical therapist shall include the following: (1) Evaluate each patient on the basis of the physician's referral. (2) Plan each patient's treatment program and determine which elements thereof can be

delegated to the supportive personnel. (3) Provide periodic re-evaluation of the treatment program and of the supportive person­

nel's performance in relation to the patient.

Ch 138, p.6 Healthl470j lAC 2/6/80 10/28/81

(4) Be readily available at all times to the supportive personnel to render advice, instruction ~ and assistance.

(5) Perform and record an evaluation of the patient and his or her response to treatment at the termination thereof.

e. Care rendered by -supportive personnel shall not be held out as and shall not be charged as physical therapy unless on premises supervision is provided by a licensed physical therapist.

f. It is the responsibility of the physical therapist to inform the referring practitioner when any requested treatment procedure is inadvisable or contraindicated. The physical therapist shall refuse to carry out the orders of a referring practitioner when the requested treatment is inadvisable or contraindicated.

g. Treatment shall not be continued beyond the point of possible benefit to the patient or by treating more frequently than necessary to obtain maximum therapeutic effect.

h. It is unethical for the physical therapist to directly or indirectly request, receive, or par­ticipate in the dividing, transferring, assigning, rebating, or refunding of an unearned fee or to \..,) profit by means of a credit or other valuable consideration as an unearned commission, dis-count, or gratuity in connection with the furnishing of physical therapy services.

i. The ·physical therapist shall not exercise influence on patients to purchase equipment produced or supplied by a company in which the physical therapist owns stock or has any other direct or indirect financial interest.

j. A physical therapist shall not hold him or herself out as a specialist. k. A physical therapist shall not permit another person to use his or her license for any pur­

pose. I. A physical therapist shall not obtain, possess, or attempt to obtain or possess a con­

trolled substance without lawful authority, or sell, prescribe, give away, or administer con­trolled substances in the practice of physical therapy.

m. A physical therapist shall not verbally or physically abuse a patient. 1...,1 138.112(8) Unethical business practices, consisting of any of the foiiowing: a. False or misleading advertising. b. Betrayal of a professional confidence. c. Falsifying patients' records. 138.112(9) Failure to report a change of name or address within thirty days after it

occurs. 138.112(10) Submission of a false report of continuing education or failure to submit

the annual report of continuing education. 138.112(11) Failure to notify the board within thirty days after occurrence of any

judgment or settlement of a malpractice claim or action. 138.112(12) Failure to comply with a subpoena issued by the board. 138.112(13) Failure to report to the board as provided in rule 138.101(258A) any viola-

tion by another licensee of the reasons for disciplinary action as listed in this rule. V This rule is intended to implement section 147.55, The Code.

470-138.113(258A) Peer review committees. 138.113(1) Each peer review committee for the profession, if established, may register

with the board of examiners within thirty days after the effective date of these rules or within thirty days after formation.

138.113(2) Each peer review committee shaii report in writing within thirty days of the action, any disciplinary action taken against a licensee by the peer review committee.

138.113{3) The board may appoint peer review committees as needed consisting of not more than five persons who are licensed to practice physical therapy to advise the board on standards of practice and other matters relating to specific complaints as requested by the board. The peer review committee shall observe the requirements of confidentiality provided in chapter 258A of the Code. '-.,~

138.114 to 138.199 Reserved.

lAC 10/28/81 Health[470] Ch 138, p.7

RULES OF THE OCCUPATIONAL THERAPY SECTION OF THE

BOARD OF PHYSICAL THERAPY AND OCCUPATIONAL THERAPY EXAMINERS

470-138.200(1488) Definitions. 138.200(1) "Board, means the board of physical and occupational therapy examiners. 138.200(2) "Department"means the state department of health. 138.200(3) "License" means an occupational therapist or occupational therapy assistant

license. 138.200(4) "Examination" means the American Occupational Therapy Association, Inc.

certification examination for occupational therapists or the Professional Examination Service Examination for occupational therapy assistants.

138.200(5) "Examination for temporary license" means the examination prepared by and administered by the board.

138.200(6) "Hour" of continuing education means a clock-hour designated o the nearest quarter hour spent after December 31, 1981 by a licensee in actual attendance at and completion of an approved continuing education activity.

138.200(7) "Approved program or a_ctivity" means a continuing education program activity meeting the standards set forth in these rules which has received approval by the board pursuant to these rules.

138.200(8) ~'Accredited sponsor" means a person or an organization sponsoring con­tinuing education activities which has been approved by the board as a sponsor pursuant to these rules. During the time an organization, educational institution, or person is an accredited sponsor, all continuing education activities of such person or organization may be deemed automatically approved if submitted to the board sixty days prior to the program.

470-138.201(1488) General. 138.201(1) An application for a license shall be upon an official form supplied by the

department. The form shall be completed and signed by the applicant and filed with the department with the required fee. The fee is not refundable.

138.201(2) The first license fee provides for the initial licensure of persons and is valid through the expiration date of the biennial licensing period during which the license was issued. The renewal licenses are issued for biennial periods.

138.201(3) Those applicants required to complete an examination provided by the board shall submit applications for examination no later than forty-five days prior to 'the scheduled date of the examination.

138.201(4) Persons desiring information concerning the time and place of meetings of the board or other information shall write to the Director of Licensing and Certification, Iowa State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319.

470-138.202(1488) Waiver of examination. 138.202(1) The board may waive the examination and grant a license to a person certified

prior to January 1, 1981 and currently certified as an occupation therapist registered or a cer­tified occupational therapy assistant by the American Occupational Therapy Association. The applicant shall include a copy of the original certification and current certification with the ap­plication.

138.202(2) An application for waiver of examination shall be made not later than December 31, 1981.

470-138.203(1488) Licensure by endorsement. 138.203(1) The board may waive the examination requirement if the applicant is licensed

by a state or territory of the United States which requires standards for licensure considered by the board to be equivalent or higher than the requirements for licensure in this state.

138.203(2) An out-of-state applicant must complete an Iowa application for licensure, submit to the board a copy of the out-of-state issued license including proof of current license and submit a statement from the licensing board that no disciplinary action is pending under the out-of-state license.

Ch 138, p.8 Health[470] lAC 5/13/81

138.203(3) A person licensed by another state or territory may be required to appear for ~ an oral or practical examination conducted by the board.

470-138.204(1488) Limited permit. 138.204(1) A limited permit to practice as an occupational therapist may be granted to

persons who have completed the educational and experience requirements to be licensed as an occupational therapist.

138.204(2) A limited permit allows a limited permit holder to practice only under the supervision of a licensed occupational therapist.

138.204(3) A limited permit shall be valid until the date in which the results of the next qualifying examination have been made public and shall not be renewed.

470-138.205(1488) Application for a temporary license. 138.205(1) Persons who have been engaged in the practice of occupational therapy as an

occupational therapist or occupational therapy assistant in Iowa for at least one year prior to January 1, 1981 shall apply for a license. The person seeking a license must complete and sub­mit to the board the approved application, the Proof of Practice Form provided by the board and two statements of verification signed by supervisors of the applicant.

138.205(2) The board will review the applications and those applicants found to have been practicing occupational therapy for at least one year immediately prior to January 1, 1981 will be granted a temporary license.

138.205(3) A temporary license is conditioned upon the applicant successfully completing the examination for temporary license administered by the board not later than December 31, 1981 and upon the applicant satisfying the education experience requirements of section 1488.5, subsection 1, paragraphs "a", "b" and successful completion of the licensure ex­amination within five years of the waiver being granted.

138.205(4) The board shall revoke the temporary license of any person who fails to pass the examination by December 31, 1981 and any person who fails to fulfill the educational re­quirements within five years of the waiver being granted.

138.205(6) After the completion of the educational requirements, the holder of a tem­porary license before receiving a permanent license shall pass the certification examination of the American Occupational Therapy Association for permanent licensure as an occupational therapist or the examination administered by the Professional Examination Service for occupational therapy assistant.

138.205(5) An application for temporary waiver of education and experience requirements shall be made not later than December 31, 1981. ·

470-138.206(1488) Application for permanent license. 138.206(1) General. An applicant for a permanent license who was not certified prior to

January 1, 1981 as an occupational therapist registered or certified occupational therapy assis­tant by the American Occupational Therapy Association or licensed in another state or ter­ritory with equivalent or more stringent requirements, shall meet the requirements of section 1488.5, The Code.

138.206(2) Education requirements. a. The applicant for licensure as an occupational therapist shall have completed the re­

quirements for a baccalaureate or masters degree in occupational therapy in an occupational therapy program accredited by the American Medical Association in collaboration with the American Occupational Therapy Association. The accredited program shall include courses in basic human sciences, the human development process, specific life tasks and activities, oc­cupational therapy theory and practice. The applicant also shall have successfully completed a minimum of six months supervised field experience.

b. The applicant for licensure as an occupational therapy assistant shall be a graduate of an educational program approved by the American Occupational Therapy Association. The pro­gram shall include courses in communication skills, health concepts, specific life task ac-

lAC 10/28/81 Health [470] Ch 138, p.9

tivities, and occupational therapy principles and application. The applicant shall have suc­cessfully completed a mini~um of two months supervised field experience.

138.206(3) Examination requirements. a. The applicant for licensure as an occupational therapist shall have received a passing

score set by the board on the certification examination of the American Occupational Therapy Association. It is the responsibility of the applicant to make arrangements to take the test and to have the department receive the results of the certification examination confirming a pass­ing score.

b. The applicant for a license as an occupational therapy assistant shall have received a passing score set by the board on the occupational therapy assistant test administered by the Professional Examination Service. It is responsibility of the applicant to make arrangements to take the test and to have the department receive the results of the certification examination.

138.206(4) An applicant for a license as an occupational therapist moving into the state after December 30, 1981, who has not been licensed in another state but who is certified with the Occupational Therapy Association, shall show proof of practice for at least one of the past five years and provide evidence of having completed fifteen hours of continuing education relating to the practice of occupational therapy within the year previous to the application date may be licensed by waiver. Individuals who do not meet these requirements will be licensed by examination provided by the board. This does not apply to individuals who have graduated from an accredited occupational therapy program within the last twelve months.

470-138.207(258A) Fees. 138.207(1) The application fee for all licenses and temporary licenses is thirty-five dollars

which is nonrefundable. 138.207(2) The application fee for a limited permit as provided by section 1488.4, The

Code, is fifteen dollars which is nonrefundable. 138.207(3) The renewal fee for all licenses and temporary licenses is thirty dollars, which is

nonrefundable, and for a biennial period. 138.207(4) Fee for a certified statement that a licensee is licensed in this state is five

dollars. 138.207(5) Fee for duplicate license, if the original is lost or stolen, is five dollars.

470-138.208 Rescinded, effective 12/2/81.

470-138.209(1488) Supervision of occupational therapy assistants. 138.209(1) The occupational therapy assistant assists in the practice of occupational

therapy under the supervision of an occupational therapist. 138.209(2) Supervision is defined as a minimum of two hours per week of one-to-one

supervision for each occupational therapy assistant by an occupational therapist. 138.209(3) This supervision shall include: a. The evaluation of each patient by the occupational therapist prior to treatment by the

occupational therapy assistant. b. A treatment plan written by the supervising therapist outlining which elements have been

delegated to the occupational therapy assistant. c. Monitoring of patient progress by the occupational therapist. d. Evaluation of treatment plan and determination of treatment termination by the

occupational therapist. 138.209(4) The occupational therapy assistant must designate on a board approved form

the supervising therapist and the facilities in which the occupational therapy assistant works. This information shall be reported to the board on an annual basis or when any changes are made in supervision or the facility.

138.209(5) A supervision plan and documentation of supervision shall be on file at the place of employment for each occupational therapy assistant.

Ch 138, p.10 Health [470] lAC 10/28/81

138.209(6) The occupational therapist shall ensure that the occupational therapy assistant is assigned only those duties and responsibilities for which the assistant has been specifically trained and is qualified to perform.

138.209(7) Supervision of an individual holding a limited permit shall include one-to-one supervision as defined in subrule 138.209(3), above, for a minimum of two hours per week.

138.209(8) Supervision of an individual holding a temporary permit shall include one-to­one supervision as defined in subrule 138.209(3), above, for a minimum of two hours per week.

138.209(9) When supervising unlicensed employees the following conditions shall be met: a. Evaluation of each patient by the occupational therapist. b. Treatment plan determined by the occupational therapist with delegation of treatment

designated in writing. c. The occupational therapist shall be available at all times to the unlicensed employee to

render advice, instruction and assistance. d. The occupational therapist shall monitor patient progress, change the treatment plan as

indicated and terminate treatment with a written report indicating evaluation data and progress made.

138.209(10) Care rendered by unlicen~ed personnel shall not be held out as and shall not be charged as occupational therapy unless on premises supervision is provided by an occupational therapist.

470-138.210(1488) Continuing education. 138.210(1) Beginning January 1, 1982 each person licensed to practice occupational

therapy shall complete fifteen continuing education hours ending December 31, 1982. All licensed occupational therapy assistants shall complete seven and one-half continuing education hours during calendar year 1982. The first biennial period begins January 1, 1983 to December 31, 1985. Thereafter all occupational therapists will complete thirty continuing education hours per biennium.

138.210(2) Compliance with the continuing education requirement is a prerequisite for license renewal in each subsequent two-year period.

138.210(3) Confirmation of continuing education credits are due at the department of health by January 31 following the two-year biennium.

138.210(4) No carryover credits will be allowed from one biennium to another. 138.210(5) It is the responsibility of each licensee to finance his or her costs of continuing

education. 138.210(6) Individuals licensed during a continuing education biennium shall complete fif­

teen hours of continuing education if licensed during the first year of the biennium. Individuals licensed during the second year of the biennium are exempt from continuing education requirements until the following biennium.

138.210(7) Hours of continuing education credit may be obtained by attending and participating in a continuing education activity either previously accredited by the board or which otherwise meets the requirements herein.

138.210(8) Continuing education activity shall be qualified for approval if the board determines that:

a. It constitutes an organized program of learning (including a workshop or symposium) which contributes directly to the professional competency of the licensee; and

b. It pertains to common subjects or other subject matters which integrally relate to the clinical practice of occupational therapy; and

c. It is conducted by individuals who have a special education, training and experience by reason of which said individuals should be considered experts concerning the subject matter of the program and is accompanied by a paper, manual or written outline which substantively pertains to the subject matter of the program.

138.210(9) Continuing education for occupational therapy assistants. A total of fifteen continuing education hours shall be required for a two-year period, related to the clinical practice of occupational therapy.

lAC 10/28/81 Health [470] Ch 138, p.ll

138.210(10) Temporary. Individuals on a temporary license shall meet continuing education requirements unless they can provide the board with evidence that they are pursuing a degree in occupational therapy or an associate degree as an occupational therapy assistant.

138.210(11) Individuals on temporary license only wishing to waive the continuing education requirements may request this in writing to the board on a board approved form thirty days prior to the year when college credits will be obtained.

138.210(12) Transcripts of courses and grades shall be submitted to the board by January 31 of each year during the temporary permit period.

138.110(13) Prior approval. An organization or person which desires prior approval of a course, program or other continuing education activity or who desires to establish accreditation of the activity prior to attendance thereat shall apply for approval to the board at least sixty days in advance of the commencement of the activity on a form provided by the board. The board shall approve or deny the application in writing. The application shall state the dates, subjects offered, total hours of instruction, names and qualification of speakers and other pertinent information.

138.110(14) Post approval of activities. A licensee seeking credit for attendance and participation in an educational activity that did not secure prior approval by the board or was not conducted by an accredited sponsor shall submit to the board within thirty days after completion of such activity, a request for credit, including a brief resume of the activity, its dates, subjects, instructors, and their qualifications and the number of credit hours requested therefor. A licensee not complying with the requirements of this subrule shall be denied credit for the activity.

138.210(15) Review of programs. The board may monitor or review any continuing education program already approved by the board and upon evidence of significant variation in the program presented from the program approved may disapprove all or any part of the approved hours granted the program.

138.110(16) Hearings. In the event of denial, in whole or part, of any application for approval of a continuing education program or credit for continuing education activity, the applicant or licensee shall have the right, within twenty days after the sending of the notification of the denial by ordinary mail, to request a hearing which shall be held within sixty days after receipt of the request for hearing. The hearing shall be conducted by the board or a qualified hearing officer designated by the board. If the hearing is conducted by a hearing officer, the hearing officer shall submit a transcript or a tape recording of the hearing including exhibits to the board after the hearing with the proposed decision of the hearing officer. The board adopts the state department of health rules, chapter 173, for hearing pro­cedures.

138.210(17) Report of licensee. Each licensee shall file a report form provided by the board describing how the continuing education requirements were met. The report form shall be filed no later than January 31 following the biennium in which claimed continuing education hours were completed. The report shall be sent to the Iowa State Department of Health, Licensing and Certification Section, Lucas State Office Building, Des Moines, Iowa 50319. Failure to meet the January 31 deadline will result in a twenty-five dollar penalty. It is the responsibility of the licensee to obtain a certificate of attendance from the program sponsor upon completion of the program. This certificate may be requested by the board as proof of attendance or verification of hours awarded.

138.210(18) Attendance record report. The person or organization sponsoring continuing education activities shall make a written record of the Iowa licensees in attendance and send a signed copy of such attendance record to the secretary of the board within thirty days of the completion of the educational activity. The report shall be sent to the Iowa State Department of Health, Licensing and Certification Section, Lucas State Office Building, Des Moines, lowa50319.

138.210(19) Application for license renewal. Individuals who have met continuing education requirements for the previous biennium and wish to have their license renewed shall complete the board approved renewal form and return it to the department of health by

Ch 138, p.12 Health [470] lAC 10/28/81

January 31 of the new biennium. Individuals who fail to meet the renewal application deadline \,.) shall pay a penalty of twenty-five dollars. Individuals who do not complete the renewal appli-cation by May 30 or have not requested inactive status shall lose their license and must reapply by examination.

138.110(20) Exemption for inactive practitioner. A licensee who is not engaged in practice in the state of Iowa residing within or without the state of Iowa may be granted a waiver of compliance and obtain a certificate of exemption upon written application to the board. The application, provided by the board, shall contain a statement that the applicant is complying with all regulations governing reinstatement after exemption. Individuals failing to request reinstatement after the four-year period shall lose their license and must reapply by exam­ination.

138.110(11)Reinstatement of inactive practitioners. Inactive practitioners who have been granted a waiver of compliance with these regulations and obtained a certificate of exemption \..._,! shall, prior to engaging in the practice of occupational therapy in the state of Iowa, satisfy the . following requirements for reinstatement:

a. Submit a written application for reinstatement to the board upon forms provided by the board, and

b. Provide evidence of having completed a total number of hours of accredited continuing education for each year of inactive status substantially equivalent in the opinion of the board to that required under these rules.

138.110(21) Individuals failing to request reinstatement and complete the continuing education requirements, after a period of four years inactive status, will lose their license and must reapply by examination.

138.110(13) Physical disability or illness. The board may, in individual cases involving physical disability or illness, grant waivers of the minimum education requirements or exten-sions of time within which to fulfill the same or make the required reports. No waiver or \.,) extension of time shall be granted unless written application is made on forms provided by the board and signed by the licensee and a physician licensed by the board of medical examiners. Waivers of the minimum educational requirements may be granted by the board for a 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 the waiver, the licensee must 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 require-ments waived by such methods as may be prescribed by the board.

470-138.111(1488) Complaints and hearings. The board adopts the rules found in 138.101(258A) to 138.111(258A).

470-138.111(1488) Suspension, revocation, or probation. The board may revoke or '~..,..,~ suspend a license, or place a licensee on probation for any of the following reasons:

138.111(1) All grounds listed in section 147.55, The Code, which are: a. Fraud in procuring a license. b. Professional incompetency. c. Knowingly making misleading, deceptive, untrue or fraudulent representations in the

practice of a profession or engaging in unethical conduct or practice harmful or detrimental to the public. Proof of actual injury need not be established. ·

d. Habitual intoxication or addiction to the use of drugs. e. Conviction of a felony related to the profession or occupation of the licensee or the

conviction of any felony that would affect licensee's ability to practice within a profession. A copy of the record of conviction or plea of guilty shall be conclusive evidence.

f. Fraud in representations as to skill or ability. g. Use of untruthful or improbable statements in advertisements. h. Willful or repeated violations of the provisions of chapter 147, The Code. 138.211(1) Violation of the rules promulgated by the board.

"--"'

~

\..,)

'-r'

\.,.)

lAC 10/28/81 Health [470] Ch 138, p.l3

138.212(3) Personal disqualifications: a. Mental or physical inability reasonably related to and adversely affecting the licensee's

ability to practice in a safe and competent manner. b. Involuntary commitment for treatment of mental illness, drug addiction or alcoholism. 138.212(4) Practicing the profession while the license is suspended. 138.212(5) Suspension or revocation of license by another state. 138.212(6) Negligence by the licensee in the practice of the profession, which is a failure to

exercise due care including negligent delegation to or supervision of employees or other individuals, whether or not injury results; or any conduct, practice or conditions which impair the ability to safely and skillfully practice the profession.

138.212(7) Failure to comply with rule 470-138.209(148B) for supervision of occupational therapy assistants and unlicensed employees.

138.212(8) Failure to comply with the following rules of ethical conduct and practice. a. An occupational therapist shall not practice outside the scop~ of his or .her license. b. When the occupational therapist does not possess the skill to evaluate a patient, plan the

treatment program, or carry out the treatment, he or she is obligated to inform the referring practitioner and assist in identifying a professional qualified to perform the service.

c. The occupational therapist shall not delegate to an unlicensed employee or person under his or her control a service which requires the skill, knowledge, or judgment of occupational therapist.

d. It is the responsibility of the occupational therapist to inform the referring source when any requested treatement procedure is inadvisable or contraindicated. The occupational therapist shall refuse to carry out the orders of a referring practitioner when the request treatment is inadvisable or contraindicated.

e. Treatment shall not be continued beyond the point of possible benefit to the patient or by treating more frequently than necessary to obtain maximum therapeutic effect.

f. It is unethical for the occupational therapist to directly or indirectly request, receive or participate in the dividing, transferring, assigning, rebating, or refunding of an unearned fee or to profit by means of a credit or other valuable consideration as an unearned commission, discount, or gratuity in connection with the furnishing of occupational therapy services.

g. The occupational therapist shall not exercise influence on patients to purchase equipment produced or supplied by a company in which the occupational therapist owns stock or has any other direct or indirect financial interest.

h. An occupational therapist shall not permit another person to use his or her license for any purpose.

i. An occupational therapist shall not obtain, possess, or attempt to obtain or possess a controlled substance without lawful authority, or sell, prescribe, give away, or administer controlled substances in the practice of occupational therapy.

j. An occupational therapist shall not verbally or physically abuse a patient. 138.212(9) Unethical business practices, consisting of any of the following: a. False or misleading advertising. b. Betrayal of a professional confidence. c. Falsifying patients' records. 138.212(10) Failure to report a change of name or address within thirty days after it

occurs. 138.212(11) Submission of a false report of continuing education or failure to submit the

annual report on continuing education. 138.212(12) Failure to notify the board within thirty days after occurrence of any

judgment or settlement of a malpractice claim or action. 138.212(13) Failure to comply with a subpoena issued by the board. 138.212(14) Failure to report to the board as provided in rule 138.101(258A) any violation

by another licensee of the reasons for disciplinary action as listed in this rule.

Ch 138, p.14 Health [470] lAC 10/28/81

470-138.213(1488) Peer review committees. 138.213(1) Each peer review committee for the profession, if established, may register

with the board of examiners within thirty days after the effective date of these rules or within thirty days after formation.

138.213(2) Each peer review committee shall report in writing within thirty days of the action, any disciplinary action taken against a licensee by the peer review committee.

138.213(3) The board may appoint peer review committees as needed consisting of not more than five persons who are licensed to practice occupational therapy to advise the board on standards of practice and other matters relating to specific complaints as requested by the board. The members of the peer review committees shall serve at the pleasure of the board. The peer review committees shall observe the requirements of confidentiality provided in Acts of the Sixty-seventh General Assembly, Chapter 95 (Chapter 258A, The Code).

Rules 138.200 to 138.213 are intended to implement sections 147.80, 1488.7 and 258A.2, The Code.

138.214 to 138.299 Reserved.

PROCEDURES FOR USE OF CAMERAS

AND RECORDING DEVICES

ATOPEN MEETINGS

470-138.300(28A) Conduct of persons attending meetings. 138.300(1) The person presiding at a meeting of the board may exclude a person from an

open meeting for behavior that obstructs the meeting. 138.300(2) Cameras and recording devices may be used at open meetings provided they do

not obstruct the meeting. If the user of a camera or recording device obstructs the meeting by the use of such device, the person presiding may request the person to discontinue use of the '-.,.,) camera or device. If the person persists in use of the device or camera, that person shall be ordered excluded from the meeting by order of the board member presiding at the meeting.

These rules are intended to implement section 28A. 7 of the Code. [Filed 5/26/78, Notice 4/5/78--published 6/14/78, effective 7 /19/78] [Filed 2/8/79, Notice 10/18/78-published 3/7/79, effective 4113/79] [Filed 7/17/79, Notice 5/30/79-published 8/8/79, effective 9/12/79] [Filed 1117/80, Notice 9/5/79-published 2/6/80, effective 3/14/80]

[Filed 11/25/80, Notice 2/6/80-published 12/24/80, effective 11311811 [Filed 4/23/81, Notice 3/4/81-published 5/13/81, effective 6/17/81]

[Filed 10/9/81, Notice 9/2/81-published 10/28/81, effective 12/2/81]

lAC 5/18/77, 10/28/81 Health [470]

CHAPTER 139 PODIATRY EXAMINERS

470-139.1(147, 149) Conducting examinations.

Ch 139, p.1

139.1(1) All applications for examination must be made upon the official forms supplied by the State Department of Health, Lucas Building, Des Moines, Iowa.

139.1(2) These application forms properly tilled out shall be tiled with the state department of health together with the applicant's diploma and the fee of fifty dollars, at least fifteen days before the date of examination.

139.1(3) Each application form will require that a full statement be made of the number and date of each state examination taken by him prior to his application to this board, together with the average obtained thereon at each, and whether or not any certifi­cate issued him has ever been suspended or revoked.

139.1(4) The statements made in application form shall be subscribed and sworn to by the applicant and attested under seal by a notary public, or if executed outside the state of Iowa, by the clerk of a court of record.

139.1(5) A senior student expecting to graduate from an approved podiatry college at the end of the spring term may be admitted to the state examinations held in May or June upon a presentation of a certificate from the dean of his college stating that the applicant has conformed to all the college requirements and will be granted a diploma at commence­ment, but the examination papers of such applicant will not be rated until his diploma has been issued and verified by the state department of health.

139.1(6) No candidate shall under any circumstances enter the examination more than thirty minutes late unless excused by the examiners and no candidates shall leave the room after the distribution of the question papers. Candidates shall not be permitted to leave the room during the examination unless accompanied by one of the examiners or a clerk endorsed by the board.

139.1(7) The candidates will be seated at a distance from one another so as to allow individual privacy and will not be permitted to communicate with each other during the hours of examination, nor to have in their possession help of any kind. Any applicant detected in seeking or giving help during the hours of examination will be dismissed and his papers canceled, but he will be entitled to return for anoth~r examination within fourteen months.

139.1(8) All examinations shall be in writing and in the English language and shall be written with pen and ink. Special examination paper will be supplied by the department of health but pens and ink must be provided by the candidates.

139.1 (9) Before commencing the examination each applicant will be given a confidential number which he shall inscribe at the upper left hand comer of each page of the manu­script; no other marks shall be placed on any paper whereby the identity of the candidate may become known. The pages are to be numbered in the upper right hand comer.

139.1(10) The examination questions will be prepared and the answers rated by the board members to whom the subjects have been assigned.

139.1(11) The handwriting of the candidate must be legible; proper punctuation and the use of capital letters and general appearance of examination papers will be considered in marking answers.

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lAC 10/28/81 Health[470]

CHAPTER 141 CHIROPRACTIC EXAMINERS

GENERAL

Ch 141, p.1

470-141.1(151) Definitions. The following definitions shall be applicable to the rules of the Iowa state board of chiropractic examiners:

141.1(1) "Board" shall mean the board of chiropractic examiners of the state of Iowa. 141.1(2) "Department" shall mean the state department of health. 141.1(3) "Commissioner" shall mean the commissioner of public health. 141.1(4) Rescinded by Governor's Administrative Rules Executive Order No. 2, 10/9/79,

see lAB 10/31/79. 141.1(5) "Profession" shall mean chiropractic. 141.1(6)* Rescinded, effective 8/31/79. 141.1(7) "License" shall mean a certificate issued to a person licensed to practice

chiropractic under the laws of this state. 141.1(8) "Licensee" shali mean a person licensed to practice chiropractic. 141.1(9) "Licensee discioline" or "discioline" shall mean anv sanction the board mav im­

pose upon its licensees for conduct which threatens or denies persons of this state a high stand-ard of professional care.

141.1(10) ~ "Disciplinary proceeding" shall mean any proceeding under the authority of the board pursuant to which licensee discipline may be imposed.

141.1(11) "Peer review" shall mean evaluation of professional services rendered by a pro­fessional practitioner.

141.1(12) "Peer review committee" shall mean one or more persons acting in a peer review capacity who have been appointed by the board for such purpose.

141.1(13) "Respondent" shall mean any individual(s) who shall be charged in a complaint with a violation of professional ethics or practice or both. ·

141.1(14) "Rule" shall mean a requirement, procedure, or standard of general applicabili­ty prescribed by the board relating to either the administration or enforcement of the chiropractic profession.

141.1(15) .,Order,, shall mean a requirement, procedure or standard of specific or limited application adopted by the board relating to any matter the board is authorized to act upon, including the professional conduct of licensees and the examination for licensure and licensure of any person under the laws of this state.

141.1(16) "Malpractice" shall mean any error or omission, unreasonable lack of skill, or failure to maintain a reasonable standard of care by a chiropractor in the practice of his or her profession.

141.1(17) "Chiropractic practice Acts., shall mean chapter 151, The Code and those pro­visions of the Code of Iowa which incorporate by explicit reference to the practice of chiropractic.

141.1(18) "C.C.E. (Council on Chiropractic Education)" shall mean the Educational Standards of Chiropractic Colleges and by-laws which are on file in the office, State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319, and in accordance with 17A.6(3), a copy may be obtained for the actual cost of reproduction.

•Emergency, pursuant to §17A.S(2)"b"(2) of the Code.

Ch 141, p.la Health [470) IAC3/18/81

470-141.2(151) Description of board. The purpose of the board of chiropractic examiners :_,_) is to administer, interpret and enforce the provisions of chapter 151 of the Code and those other provisions of the Iowa Code which incorporate by explicit or implicit reference the prac-tice of chiropractic. These· powers include but are not limited to the examination of can­didates, determining the eligibility of candidates for licensure by examination and endorse-ment, investigating violations and infractions of the laws relating to the practice of chiroprac-tic, and revoking, suspending or otherwise disciplining a chiropractor who has violated the provisions of the chiropractic practice Acts.

470-141.3(151) Organization of board. The board is comprised of five members licensed to practice chiropractic and two representatives of the general public. The members are ap-

lAC 9/5/79, 10/28/81 Health[470] Ch 141, p.2

pointed by the governor and confirmed by the senate. The term of office is for three years. The board:

141.3(1) Is a policymaking body relative to matters involving chiropractic education and licensure, post-graduate training and discipline.

141.3(2) Conducts business according to established policy as approved by the members. 141.3(3) Organizes annually and elects a chairperson, vice-chairperson, superintendent of

examinations and a secretary from its membership. a. uchairperson" shall preside at all meetings of the board. Shall have power to vote. Shall

appoint committees when necessary to study issues, and shall follow Robert's Rules of Order. b. uvice chairperson" shall act in the capacity of chairperson in the absence of that officer. c. usecretary" shall keep an accurate and complete record of all transactions of the board.

Copies of all such records will become public record and will be on file in the board office, Lucas State Office Bldg., Des Moines, Iowa 50319 or its designated office.

d. usuperintendent of examinations" shall supervise the examination and make ar-rangements for the holding of the examinations in a proper manner.

141.3(4) Governs its proceedings by Robert's Rules of Order, Revised. 141.3(5) Appoints a full-time executive secretary who: a. Is not a member of the board. b. Under guidance of the members of the board performs administrative activities relating

to the department in the administration and enforcement of the laws relative to the practice of chiropractic.

141.3(6) Has the statutory authority to: a. Administer, interpret, and enforce the laws and administrative rules relating to the prac­

tice of chiropractic. b. Review or investigate, or both, upon written complaint or upon its own motion pursuant

to other evidence received by the board, alleged acts or omissions which the board reasonably believes constitute cause under applicable law or administrative rule for licensee discipline;

c. Determine in any case whether an investigation, or further investigation, or a disciplinary proceeding is warranted;

d. Initiate and prosecute disciplinary proceedings; e. Impose licensee discipline; f. Petition the district court for enforcement of its authority with respect to licensees or

with respect to other persons violating the laws which the board is charged with administering; g. Establish and register peer review committees; h. Refer to a registered peer review committee for investigation, review, and report to the

board, any complaint or other evidence of an act or omission which the board reasonably believes to constitute cause for licensee discipline.

However, the referral of any matter shall not relieve the board of any of its duties and shall not divest the board of any authority or jurisdiction;

i. Determine and administer the annual renewal of licenses; j. Establish and administer rules for continuing education requirements as a condition to

license renewal.

470-141.4(151) Official communications. All official communications, including submis­sions and requests, should be addressed to the Executive Secretary, Iowa State Board of Chiropractic Examiners, Lucas State Office Building, Des Moines, Iowa 50319.

470-141.5(151) Office hours. The office of the board is open for public business from 8:00 a.m. to 4:30 p.m., Monday to Friday of each week unless by determination of executive secretary with approval of chairperson.

·"-:) 470-141.6(151) Meetings. Regular meetings of the board ordinarily are held bi-monthly. The board currently administers three-day licensing examinations twice each year. Informa­tion concerning the dates and locations for meetings and examinations may be obtained from the board's office.

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lAC 10/28/81 Health[470] Ch 141, p.5

d. The specific questions presented for declaratory ruling. e. A consecutive numbering of each multiple issue presented for declaratory ruling. f. A statement as to how the agency should rule and why. A brief may be attached thereto. 141.10(5) The petition shall be filed either by serving it personally to the executive

secretary or by mailing it to the Executive Secretary, Lucas State Office Building, Des Moines, Iowa 50319.

141.10(6) The executive secretary shall acknowledge receipt of petitions or return petitions not in substantial conformity with the above rules.

141.10(7) The board may decline to issue a declaratory ruling for the following reasons: a. A lack of jurisdiction. b. A lack of clarity of the issue and facts presented. c. The issue or issues presented are pending resolution by a court of Iowa or by the attorney

general. d. The issue or issues presented have been resolved by a change in circumstances or by other

means. e. The issue or issues are under investigation for purposes of formal adjudication. f. The petition does not comply with the requirements imposed by subrules 141.10(1) to

141.10(5). g. Where a ruling would necessarily determine the legal rights of other parties not

represented in the proceeding. 141.10(8) In the event the board declines to make a ruling, the executive secretary shall

notify the petitioners of this fact and the reasons for the refusal. 141.10(9) When the petition is in proper form and has not been declined, the board shall

issue a ruling disposing of the petition within a reasonable time after its filing. 141.10(10) Rulings shall be mailed to petitioners and to other parties at the discretion of

the executive secretary. Rulings shall be indexed and available for public inspection. 141.10(11) A declaratory ruling by the board shall have a binding effect upon subsequent

board decisions and orders which pertain to the party requesting the ruling and in which the factual situation and applicable law are indistinguishable from that presented in the petition for declaratory ruling. To all other parties and in factual situations which are distinguishable from that presented in the petition, a declaratory ruling shall serve merely as precedent.

470-141.11(151) Rules pertaining to schools. 141.11(1) Rules pertaining to the practice of chiropractic at a chiropractic college clinic

shall be equal to the standards established by the Council on Chiropractic Education existing as of May 1, 1981 or one that meets equivalent standards thereof.

141.11(1) All chiropractic colleges in order to be approved by the board of chiropractic ex­aminers shall first have status with the Commission on Accreditation of the Council on Chiropractic Education as recognized by the U.S. Office of Education existing as of January 1, 1979 or one that meets equivalent standards thereof.

141.11(3) The following procedures are established for an institution to obtain equivalent approval by the board of examiners:

a. Standards. The standards against which the institution will be evaluated shall be equivalent to, or exceeding those published and utilized by the Council on Chiropractic Education existing as of May 1, 1981.

b. Self-study. A comprehensive self-study shall be required of the applying institution which measures its performance against the objectives of the institution and the standards of the board of examiners. After review of the self-study the board shall render a decision that the self-study is either: (1) Satisfactory, (2) unsatisfactory in terms of the report, or (3) un­satisfactory in terms of content. If unsatisfactory, the board will furnish the institution with a bill of particulars. An inspection of the institution shall not be made until the self-study is satisfactory.

c. Inspection. Inspection of the institution shall be conducted by an examining team selected by the board and shall consist of a minimum of five members. Two shall have doc­torates in the basic sciences; one shall have a doctorate in college administration, and two shall be doctors of chiropractic.

Ch 141, p.6 Health[470] lAC 7/8/81

(1) The inspection team shall determine firsthand if the applicant institution meets the ~ established standards and is meeting its own institutional objectives.

(2) Expenses of the inspection team shall be borne by the applicant institution. (3) The inspection team shall furnish the board with a comprehensive report of the team

findings after having provided the institution with opportunity to comment on its findings. d. Decision. The board of examiners will make its decision on the basis of the comprehen­

sive report of the inspection team after providing the institution opportunity for a hearing on the report. If a member of the board has participated in the inspection, he shall not participate in the decision-making process.

This rule is intended to implement section 151.4, The Code.

470-141.12(151) General requirements. 141.12(1) Each license year shall be from July 1 to June 30. ~ . 141.12(2) The board shall assess a penalty equal to the renewal fee if more than thirty days

has passed since the expiration date. 141.12(3) Any licensee who allows the license to lapse by failing to renew within one year

of the expiration date shall be required to pay the penalty set forth in 141.12(2) and all past· renewal fees then due. Said licensee may be reinstated without examination upon approval by the board.

141.12(4) The board may affiliate with the Federation of Chiropractic Licensing Boards. 141.12(5) Any official action or vote of the board taken by mail or by other means shall be

preserved by the executive secretary in the same manner as the minutes of the regular meet­ings.

141.12(6) Any legal proceedings where applicable shall be conducted in a manner as stipulated in chapters 17A, 147, 151. ~--

470-141.13(151) Rules for conducting examinations. 141.13(1) Applicant shall submit a completed application on a form prescribed by the

board with required credentials and fee. The completed application must be on file at least thirty days prior to the date of the examination and must include the· following:

a. A photostatic copy of chiropractic diploma (no larger than 8 Yz x 11 inches) from an ap­proved college or a letter of graduation intent from a college registrar within one hundred twenty days of examination date. However, no license to practice will be issued until the board secretary has received a copy of the signed diploma.

b. A photostatic copy of high school diploma (no larger than 8 Yz x 11 inches) c. Official transcript of grades of the National Board. d. The applicant shall have achieved diplomat status with the National Board of Chiroprac-

tic Examiners after July 1, 1973, or a basic science certificate issued prior to July 1, 1973; and "-J after August 1, 1976 it shall include all electives of the National Board, existing as of July 1, 1976.

e. Each applicant shall attach three written character references to the application. Said references shall not be from members of the chiropractic profession.

f. Each applicant must include a record of the number and date of chiropractic license ob­tained in other states, if any, the manner in which such license or licenses were obtained, and a statement as to whether or not any license so issued has ever been suspended or revoked.

g. Each application shall include a chronologie statement as to all the places where the can­didate has practiced, if any, type of practice engaged in and the period of time so engaged.

141.13(2) Any candidate applying for licensure shall be required to appear for a personal interview before the board or before a member thereof, unless waived by the board.

141.13(3) The board shall require written, oral or practical examinations of any applicant. \ 1 141.13(4) Any candidate who fails in his or her examination shall be entitled to take a sec- ......,.

ond examination without further fee or application at any time within fourteen months after the first examination. The candidate shall be required to repeat the entire examination in his second examination. Thereafter the candidate will be required to file a new application with fee of one hundred dollars and take the entire examination at the discretion of the board.

lAC 10/28/81 Health[470] Ch 141, p.7

141.13(5) Examinations given by the board will be held in February and August at a loca­tion and time specified by the board. Additional examinations may be held at the discretion of the board.

141.13(6) All applicants matriculating after October 1, 1975 will be a graduate from a col­lege having status with the C.C.E. (Council on Chiropractic Education) or its successor, or from a college which meets or exceeds equivalent standards thereof existing as of May 1 , 1981. (See 141.11(151))

141.13(7) The board shall examine the applicant's practical, clinical and technical abilities in the practice of chiropractic.

141.13(8) The passing grade for each subject of the practical examination given by the board shall be seventy percent and an overall average of seventy-five percent shall be attained.

141.13(9) An applicant detected seeking or giving improper help with the examination will be dismissed and the examination collected. The person may reapply and return for examina­tion following a waiting period of one year. A new examination fee will be required.

141.13(10) Examination number. Before commencing the examination each applicant will be given a confidential number which shall be inscribed at the left-hand corner of each page of the manuscript; no other marks shall be placed on any paper whereby the identity of the can­didate may become known. Pages are to be numbered in the upper right hand corner.

141.13(11) Any failing examination must be reviewed by the professional members of the board but public members shall be allowed to attend any review.

470-141.14(151) Licensure by reciprocity or endorsement. 141.14(1) Each applicant shall submit a completed application form accompanied by a fee

of one hundred dollars. 141.14(2) A license to practice chiropractic by reciprocity or by endorsement may be

issued on the basis of an examination in substantially all of the subjects required by this board given by a state examining board having reciprocal or endorsement relations with the board, provided, however, that the applicant must comply with all other requirements for licensure by examination in this state.

141.14(3) If any state with which this state has reciprocal or endorsement relations, places any limitations or restrictions upon licentiates of this state, the same limitations or restrictions may be imposed upon licentiates of such state applying for admission to practice in this state on the basis of reciprocity or endorsement.

141.14(4) The statement made in the application must be reviewed and verified by the state examining board issuing the original license, certifying under seal as to the subjects in which the applicant was examined, the grade obtained in each subject and the general average attained in the entire examination.

141.14(5) In all cases the board reserves the right to review the examination papers and grades upon which reciprocal or endorsement certification may be granted before accepting the same.

141.14(6) No reciprocal license or license by endorsement shall be issued except on the basis of a license received by examination. The applicant must have had two years of full-time practice before applying for license by reciprocity or endorsement.

141.14(7) No reciprocal license or license by endorsement shall be issued to an applicant who has failed the examination more than two times in another state.

141.14(8) A candidate who has not passed a chiropractic examination in another state in one sitting shall not be eligible for licensure by endorsement in this state.

141.14(9) The chiropractic examiners may require written, oral or a practical examination of any applicant for licensure by reciprocity or endorsement.

470-141.15(151) License renewal date. A license to practice chiropractic shall expire on the thirtieth of June following the date of issuance of the license.

470-141.16(151) License-examination-renewal fees. The following fees shall be collected by the board:

Ch 141, p.8 Health[470] lAC 9/5/79

141.16(1) For a license to practice chiropractic, issued upon the basis of examination given ~ by the chiropractic examiners, one hundred dollars.

141.16(2) For the renewal fee of a license to practice chiropractic, fifty dollars. 141.16(3) For a certified statement that a licensee is licensed in this state, ten dollars. 141.16(4) For a duplicate license, which shall be so designated on its face, upon satisfac-

tory proof the original license issued by the department of health has been destroyed or lost, ten dollars.

470-141.17(151) Specified forms to be used. All applications for examinations, certificates and licenses shall be on forms prescribed by the board. These forms may include, but not be limited to, the following, and where practicable, any one or more of the following forms may be consolidated into a single form.

Board Form: 1.

2.

3.

4. s.

6.

7.

141.18 to 141.20 Reserved.

Form Title: Application for a license to practice chiropractic on the basis of examination. Application for reinstatement of license to practice chiropractic. Application for renewal of a chiropractic license. Complaint form. Report of continuing chiropractic education. Certificate of exemption from continuing education requirements. Application for waiver of minimum education requirements due to disability or illness.

DISCIPLINE

470-141.21(151, 258A) General. The board has authority to impose discipline for any violation of the chiropractic practice Acts or the rules promulgated thereunder. The board also has authority to impose discipline for violations of other provisions of the Code and the other rules promulgated thereunder to the extent said provisions concern the practice of chiropractic.

470-141.22(151, 258A) Method of discipline. The board has authority to impose the following disciplinary sanctions:

a. Revocation of license. b. Suspension of license until further order of the board or for a specified period. c. Prohibit permanently, until further order of the board or for a specified period, the

engaging in specified procedures, methods or acts. d. Probation. e. Require additional education or training. f. Require a re-examination. g. Impose civil penalties not to exceed one thousand dollars ($1,000.00). h. Issue citation and warning. i. Such other sanctions allowed by law as may be appropriate.

470-141.23(258A) Discretion of board. The following factors may be considered by the board in determining the nature and severity of the disciplinary sanction to be imposed:

lAC 10/28/81 Health[470] Ch 143, p.1

that the deficiencies have been satisfied. If the deficiencies are not made up within the specified period of time, the licensee's license will be classified as lapsed without further hear­ing.

[Filed December 15, 1952] [Filed 9/27/76, Notice 6/14/76-published 10/20/76, effective 11/24/76]

[Filed without Notice 2/3/77-published 2/23/77, effective 3/30/77] [Filed 3/31/78, Notice 2/8/78-published 4119/78, effective 5/24/78]

[Filed 7/7/78, Notice 4/19/78-published 7/26/78, effective 8/30/78*] [Filed 8118/78, Notice 2/8/78-published 9/6/78, effective 10/11/78]

[Filed emergency 9/11/78-published 10/4/78, effective 9/11/78] [Filed 9/14/78, Notice 8/9/78-published 10/4/78, effective 11/8/78]

[Filed 10/5/78, Notice 7 /26/78-published 11/1/78, effective 12/6 78) [Filed 7 I 18/79, Notice 6/ 13179-published 8/8/79, effective 9/ 12/79] [Filed 8/17/79, Notice 2/21 /79-published 9/5/79, effective 10/11 /79]

[Filed emergency 8/30/79-published 9/19/79, effective 8/30/79] [Filed emergency 8/31/79-published 9/19/79, effective 8/31/79]

[Subrule 141.1(4) rescinded by Governor's Administrative Rules Executive Order No.2, 10/9/79-published 10/31/79]

[Filed 11/21/80, Notice 10/1/80-published 12/10/80, effective 1/15/81) [Filed 2/19/81, Notice 12/10/80-published 3/18/81, effective 4/22/81] [Filed 6/19/81, Notice 5/13/81-published 7/8/81, effective 8/12/81) [Filed 10/9/81, Notice 9/2/81-published 10/28/81, effective 12/2/81)

CHAPTER 142 Reserved

CHAPTER 143 BOARD OF OPTOMETRY EXAMINERS

470-143.1(154) General deftnltlons. 143.1(1) "Board" means the board of optometry examiners. 143.1(2) "Department" means the Iowa state department of health.

470-143.2(154) Availabillty of Information. 143.2(1) All information regarding rules, forms, time and place of meetings, minutes of

meetings, record of hearings, and examination results are available to the public between the hours of 8:00 a.m. and 4:30 p.m., Monday to Friday, except holidays.

143.2(2) Information may be obtained by writing to the Board of Optometry Examiners, Iowa State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319. All official correspondence shall be in writing and directed to the board at this address.

470-143.3(154) Organization of the board and procedures. 143.3(1) A chair, vice-chair, and secretary shall be elected at the first meeting after

June 30 of each year. 143.3(2) Four board members present shall constitute a quorum. 143.3(3) The board shall hold an annual meeting and may hold additional meetings

called by the chair or by a majority of the members of the board.

470-143.4(154) Petition to promulgate, amend or repeal a rule. 143.4(1) An interested person may petition the board to promulgate, amend or repeal a

rule.

*Effective date of 141.Sl delayed by the Administrative Rules Review Committee seventy days from August 30, 1978.

Ch 143, p.2 Health[470] lAC 4/20/77

143.4(2) The petition shall be typed, signed by or on behalf of the petitioner, and \..,) contain a detailed statement of:

a. The rule the petitioner is requesting the board to promulgate, amend or repeal. Where amendment of an existing rule is sought, that rule shall be set forth in full with matter proposed to be deleted therefrom enclosed in brackets and proposed additions thereto shown by underlining.

b. Facts in sufficient detail to show the reasons for adoption, amendment or repeal. c. All propositions of law to be asserted by petitioner. d. Sufficient facts to show how petitioner will be affected by the requested action. e. The name and address of the petitioner. 143.4(3) The petition shall be deemed filed when received by the board. 143.4(4) Upon receipt of the petition the board: a. Shall advise petitioner that he or she has thirty days in which to submit written views. \ i

b. May schedule oral presentation of petitioner's views. ~ c. Shall, within sixty days after submission of the petition, either deny the petition or

initiate rulemaking procedures. 143.4(5) In the case of a denial of a petition to promulgate, amend or repeal a rule, the

board shall issue an order setting forth its reasons for such denial. The order shall be mailed to the petitioner.

470-143.5(154) Rules for examinations. 143.5(1) All applicants for examination shall apply to the State Department of Health,

Lucas State Office Building, Des Moines, Iowa 50319 for application forms. 143.5(2) The forms properly completed shall be filed with the department, together with

satisfactory evidence of compliance with section 154.3 (1) and (2) of the Code fifteen days prior to the examination. ~

143.5(3) The examination for admission to practice optometry in Iowa shall consist of the following:

a. Sections one and two of the examination by the national board of examiners in optometry, and

b. Written, oral and practical examination as determined and conducted by the board. 143.5(4) Any applicant failing in the first examination shall be entitled to a second

examination within fourteen months after the first examination without fee or filing a new application.

470-143.6(154) Reciprocity. 143.6(1) Applicants for licensure to practice optometry in the state of Iowa, who are

currently licensed by any other state licensing board, will be considered on an individual basis. ~

143.6(2) A license may be granted by the board with as much examination as may be required to establish proficiency and desirability of any such applicant.

143.6(3) All applications for reciprocity shall be made on the official forms supplied by the State Department of Health, Lucas State Office Building, Des Moines, Iowa 50319.

143.6(4) The application forms properly completed, accompanied by a fee, the state licensing certificate (or duplicate copy of same) of the state from which. applicant desires to reciprocate, and the optometry college diploma or in lieu thereof a certified statement from the authorities of the optometry college, regarding the issuance of the diploma and the date of same, shall be filed with the department at least seventy days prior to date of examination or board meeting.

143.6(5) Each applicant must furnish certified evidence of three or more years' practice lawfully and continuously in the state from which the applicant desires to reciprocate, immediately preceding the filing of the application for reciprocity. \...,)

143.6(6) The statements made in the application must be reviewed and verified by the secretary of the state examining board issuing the original certificate who will also certify as to the schedule of subjects in which the applicant was examined and the rating given thereon and the general average attained.

lAC 7/1/75 Real Estate[700] Ch 1, p.J

700-1.15(117) Lotteries prohibited. Lotteries and schemes of sales involving selling of certificates, chances or other devices, whereby the purchaser is to receive property to be select~d in an order to be determined by chance, or by some means other than the order of prior sale, or whereby property more or less valuable will be secured according to chance , or the amount of sales made, or whereby the price will depend upon chance, or the amount of sales made, whereby the buyer may or may not receive any property, are declared to be methods by reason of which the public interests are endangered.

700-1.16(117) Signs on property. Placing a sign on any property offering it for sale, rent or lease without the consent of the owner shall be held as against the best interests of the general public.

700-1.17(117) Meetings of the Commission. Meetings of the commission shall be held at ~ the times scheduled by the commission in the offices of the commission in the state capitol

or at such other place as may be designated by the commission. Special meetings may be called by the chairman or director of the commission, who shall set the time· and place of such meeting.

This rule is intended to implement section 117.11 of the Code.

700-1.18(117) Broker required to furnish progress report. At the expiration of thirty days after an offer to buy has been made by a buyer and accepted by a seller, either party may demand and the broker shall furnish a detailed statement showing the current status of the transaction. On demand by either party the broker shall furnish a detailed current statement on thirty-day intervals thereafter until the transaction is closed.

700-1.19(117) Enforcing a protective clause. To enforce a protective clause beyond the ~ expiration of an exclusive listing contract, the broker must furnish to the owner prior to the

expiration the names and addresses of all persons to whom the property was presented during the active term of the listing.

700-1.20(117) Offering of prizes. The offering of prizes or anything of value as an inducement to buy or sell real estate shall be considered payment of a commission to a person who is not a licensed broker or salesman under the provisions of this chapter and a violation thereof.

700-1.21(117) Part-time brokers or broker-salesman. A duly licensed broker whose principal business is other than that of a real estate broker, or one who operates as a salesman for another duly licensed broker, may not sponsor a salesman for his

·~ twelve-month apprenticeship period.

700-1.22(117) Applications for examination. Applications for examination of both broker and salesman shall be made on formal applications obtained from the commission, and they shall be filed in the commission office at least thirty-four calendar days before the date of examination for which applied. A credit bureau report shall be requested by the applicant, and this must be on file thirty-four calendar days prior to the scheduled date of the examination. The cost of said report shall be paid by the applicant.

700-1.23(117) Listings. All listing agreements shall be in writing, properly identifying the property and containing all of the terms and conditions under which the property is to be sold, including the price, the commission to be paid, the signatures of all parties concerned and a definite expiration date. It shall contain no provision requiring a party signing the

~ listing to notify the broker of his intention to cancel the listing after such definite expiration date.

Ch 1, p.4 Real Estate[700] lAC 10/28/81

1.23(1) A real estate apprentice salesperson or salesperson or broker shall not negotiate U a sale, exchange, lease or listing contract, of real property directly with an owner if it is known that such owner has a written unexpired contract in connection with such property which grants an exclusive right to sell to another broker, or which grants an exclusive agency to another broker.

1.23(2) Net listing prohibited. The taking of a net listing shall be unprofessional conduct. A net listing is an agreement whereby a licensee agrees to take as a commission the proceeds of a sale over and above the selling price agreed in the listing contract.

700-1.24(117) Advertising. A broker shall not advertise to sell, buy, exchange, rent, or lease property in a manner indicating that the offer to sell, buy, exchange, rent, or lease such property is being made by a private party not engaged in the real estate business, and no real estate advertisement shall show only a post office box number, telephone number or stt·eet address. Every broker. when advertising real estate, shall use his regular business \....I name or the name under which he is licensed, and shall affirmatively and unmistakably indicate that the party is a real estate broker and not a private party. Each broker when operating under a franchise or trade name other than the broker's own name may license the franchise or trade name with the commission, or shall clearly reveal in all advertising that the broker is. the licensed individual who owns the entity using the franchise or trade name.

700-1.25(117) Established office. Every Iowa resident real estate broker who is self-employed shall maintain a bona fide regular established office for the transaction of business in the state of Iowa, which shall be open to the public during business hours.

1.25(1) Sharing office space. It shall be acceptable for more than one broker to operate in an office at the same address if each broker maintains all records and trust accounts \.-I separate from all other brokers. Each broker shall operate under a business name which clearly identifies the broker as an individual within the group of brokers.

1.25(2) Reserved.

700-1.26(117) Presenting purchase agreements. Any and all offers to purchase received by any broker shall be promptly presented to the seller for his formal acceptance or rejection immediately upon receipt of such offer. The formal acceptance or rejection of such offers shall be promptly communicated to the prospective purchasers.

700-1.27(117) Trust account. All money belonging to others and accepted by the broker or the broker's salesperson on real estate matters shall no later than the next banking day after acceptance of the offer be deposited in some bank or savings and loan in an account separate from the money belonging to the broker, except for funds deposited to cover bank service charges as specified in section 117.46, The Code. The name of the separate account shall be identified by the word "trust". Earnest payments, rents collected, property management funds, and other trust funds received by the broker shall be deposited in an identified "trust" account. A broker shall maintain in the broker's office a general ledger for the trust account and an ac­count ledger for each account or transaction which shall provide a complete record of all moneys received on real estate transactions, rents, and management funds, including the sources of the money, the date of receipt, depository, and date of deposit; and when a transac­tion has been completed, the final disposition of the moneys. The notification to the commis­sion of the name, bank, and address of the broker's trust account shall include the account number.

1.27(1) No funds shall be disbursed from the trust account prior to the closing without the informed written consent of all the parties. In the event of a dispute over the return or forfeiture of any earnest deposit held by a broker, the broker shall continue to hold the deposit in the trust account until a written release from all parties consenting to its disposition or until a civil action is filed to determine its disposition at which time payment may be made into court.

lAC 10/28/81 Real Estate[700] Ch J, p.S

a. In the absence of a pending civil action, it shall not be grounds for disciplinary action where a broker returns an earnest money deposit to a purchaser, where the return of the deposit is based upon a good faith decision that a contingency in the purchase agreement has not been met, notwithstanding the failure of the seller to agree to the return.

b. In the absence of a pending civil action and upon the passage of one year's time from the date of an accepted offer to purchase, it shall not be considered grounds for disciplinary ac­tion for a broker to pay out an earnest money deposit to a seller where the payment of the earnest money deposit is based upon a good faith decision that the buyer has abandoned any claim to the earnest deposit.

1.27(2) Under no circumstances is the broker entitled to withhold any portion of the earnest money when a transaction fails to consummate even if a commission is earned. The money must be returned to the purchaser or paid to the seller and the broker must look to the brokers employer for compensation.

1.27(3) In the event all funds being held by the broker for a transaction cannot be dis­bursed at the time of closing the broker shall obtain an escrow agreement signed by both par­ties which shall direct the broker regarding the future disbursement of the funds.

1.27(4) Trust accounts may bear interest with the written approval of all parties to the contract. The broker shall not benefit from interest received on funds of others in the brokers possession. Interest shall be disbursed to the owner or owners of the funds at the time of settle­ment of the transaction and shall be properly accounted for on closinR statements.

700-1.28(117) Closing statements. It shall be mandatory for every broker to deliver to the seller in every real estate transaction wherein he acts as a real estate broker, at the time such transaction is consummated, a complete detailed statement, showing all of the receipts and disbursements handled by such broker. Also, the broker shall at the same time deliver to the buyer a complete statement showing all moneys received in the transaction from such buyer and how and for what the same were disbursed. The broker shall retain one copy of such statements in his files.

700-1.29(117) Salesman shall not handle closing. A salesman shall not handle the closing of any real estate transaction except under the direct supervision or with the consent of the employing broker.

700-1.30(117) Broker's responsibility. A licensed broker is responsible for providing supervision of any salesperson or broker associate licensed with the broker as a selling, renting, managing or listing agent or representative of the broker. Effective July 1, 1982, every office of the broker including branch offices shall be directly supervised by the broker or a designated broker associate, who conducts their activities from that location as their principal place of business.

700-1.31(117) Tying arrangements. For purposes of this rule only the term "real estate licensee" shall mean "real estate broker, real estate salesperson or real estate apprentice salesperson" as defined in chapter 117, The Code. The term "unethicat.conduct or practice harmful or detrimental to the public" as used in section 117.29, The Code, shall be defined to mean and include, but not be limited to, the following including the aiding or abetting of same.

1.31(1) An arrangement in which a real estate licensee requires or conditions in connection with the sale of a lot, that the real estate licensee receive from the homebuilder an exclusive right to sell or list the house to be constructed on the lot.

1.31(2) An arrangement in which a real estate licensee agrees to sell lots on behalf of a developer on the condition that the developer require each homebuilder purchasing such a lot to list the house to be constructed with the real estate licensee.

1.31(3) An arrangement in which a real estate licensee in connection with the sale of a lot to a consumer or homebuilder, requires the consumer or homebuilder to pay a commission on the value of the house to be constructed on the lot.

1.31(4) An arrangement in which a real estate licensee conditions the sale of real estate

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lAC 10/28/81 Real Estate[700] Ch 2, p.l

upon the listing by the purchaser of his present house with the real estate licensee. 1.31(5) An arrangement in which a real estate licensee in connection with the sale of a lot

to a consumer, requires the consumer to use a specified homebuilder to build the house to be constructed on the lot.

1.31(6) An arrangement in which a real estate licensee enters into an agreement with a bank, savings and loan, or other lending institution to condition loans or mortgages on real estate on payment of a real estate commission to the real estate licensee.

1.31(7) An arrangement in which a real estate licensee who is affiliated with a bank, sav­ings and loan association or other financial institution benefits from the practice by the af­filiated financial institution of granting mortgage loans or any other Joan or financial services conditioned upon the use of the real estate services of the affiliated licensee.

Rule 1.31(117) is not intended nor should it be interpreted to supplant chapter 553, The Code (The Iowa Competition Law). Rule 1.31(117) is intended only to regulate the licensing of real estate licensees in the state of Iowa and not to exempt such behavior from remedies, both private and public, provided under chapter 553, The Code. The real estate commission, upon receipt of any formal written complaint filed pursuant to this rule, shall forward a copy of same to the Attorney General of the state of Iowa for investigation and appropriate action under chapter 553, The Code (The Iowa Competition L~w).

These rules are intended to implement sections 117 .34(7) and 117.46, The Code. [Filed May 25. 1953; amended June 11, 1953, May 31. 1957, January 15, 1963,

May 10. 1966. July 13, 1967, August 10. 1973, December 11. 1973, May 13. 1975] [Filed 9/3/76, Notice 7/12/76---published 9/22/76. effective 10/27/76]

[Filed 6/8/78. Notice 5/3/78---published 6/28/78. effective 8/2/78] [Filed 5/30/79, Notice 3/21179-published 6/27/79, effective 8/ 1/79]

[Filed 3/27/81, Notices 8/20/80, 2/18/81-published 4/15/81, effective 5/20/81] [Filed emergency 5/22/81-published 6/10/81, effective 7/1181]

[Filed 8/28/81, Notice 4/29/81-published 9/16/81, effective 10/22/81] [Filed 10/7/81, Notice 8/19/81-published 10/28/81, effective 12/2/81]

CHAPTER2 ADMINISTRATIVE PROCEDURE

700-2.1(117) ResponslbWtfes of commission. The commission is charged with the responsibility of regulating, and investigating the conduct of the real estate business in Iowa.

2.1(1) The commission employs a director and such clerks and assistants as shall be necessary to discharge its duties. The duties of the director, as established by the commission, are to attend all commission meetings, supervise staff, review license

\.,.) applications for completeness, administer real estate licensure examinations, issue licenses by commission direction, review complaints for presentation to the commission, administer the regulation of out-of-state subdivided land developments, and represent the commission in co-ordinating the regulation of real estate practice at the interstate and national level. An assistant to the director assumes those duties in the director's absence.

\_,I

Ch 2, p.2 Real Estate[700] lAC 8/5/81

2.1(2) The commission meets monthly at the office of the Iowa Real Estate Commission, Suite 205, 1223 E. Court, Des Moines, Iowa. The commission may additionally meet upon the call of the chairman or on the recommendation of the director.

2.1(3) The commission carries on a program of education of real estate practices and matters relating thereto by publishing a news bulletin and a real estate manual, and by conducting one-day seminars throughout the state.

700-2.2(117)* Application for license. When the commission receives notice from the test­ing service of an individual passing a qualifying examination, the real estate commission upon request will furnish the applicant with a formal application for a license. The application form shall require detailed personal, financial, and business information con­cerning the applicant, and the applicant shall attest to the accuracy thereof.

2.2(1)** An applicant who passes a qualifying examination and desires a license shall file a completed application with proper fee for a license with the real estate commission not later than the last working day of the sixth month following the qualifying real estate examination.

2.2(2) Renewal applications for licenses scheduled to expire December 31, 1981, will be divided by random selection into three groups. One third of the total will be issued licenses with expiration date of December 31, 1982, one third with expiration date of December 31, 1983, and one third with expiration date of December 31, 1984. Thereafter all renewals will be for three years. New licenses issued after January 1, 1982 will be for three years, counting the remaining portion of the year issued as a full year. All licenses shall expire on December 31 of their effective year.

This rule is intended to implement sections 117.15, 117.16, 117.20 and 117.28, The Code.

700-2.3(117) Reciprocity of licenses. The commission has determined that the states of Minnesota, North Dakota, Missouri, Nebraska, and South Dakota have standards for real estate licensure that are substantially similar to Iowa's and that the administration thereof is compatible with that in Iowa. The commission therefore grants an Iowa license to licensees from those states on the same basis as Iowa licensees are granted reciprocity in those states.

2.3(1) l~eserved. 2.3(2) The commission of the state of residency of the reciprocity applicant shall, upon

request, furnish certification of the type of license held by the applicant, the business and residence address of the applicant, the original date of issuance of his resident license, the current renewal date and a statement regarding applicant's record as a licensee.

2.3(3) The application for a reciprocity broker's license must be accompanied by a written consent to suits at law or in equity against such nonresident broker in the courts of the state of which he is a nonresident licensee.

2.3(4) The commission has reserved the right to refuse to license any reciprocity applicant or to require written examination for nonresident reciprocity applicants. Any license issued by reciprocity becomes void upon the reciprocity licensee becoming a resident of Iowa or. removing his domicile to a nonreciprocity state. The reciprocity license holder shall not maintain an office in the state of Iowa, unless it is managed by a resident Iowa licensed broker.

700-2.4(117) Prior accounts. Any broker who within the prior twelve months has not handled funds belonging to others and does not expect to receive funds in the future need not maintain an active trust account. A Trust Account Status Affidavit must be filed with the Iowa real estate commission by all brokers who close an existing trust account or who do not intend to maintain a trust account.

2.4(1) The commission employs trust account auditors to examine trust account records of brokers. In the event some questionable practice or transaction is detected, the auditors are

•Objection filed 7113179, see insert lAC 7125179 ••Emergency, pursuant to §17A.S(2)"b"(2), The: Code.

lAC 10/28/81 Secretary of State[750] Analysis, p.1

SECRETARY OF STATE[750] CHAPTER 1

UNIFORM COMMERCIAL CODE 1.1(554) Forms and fees for financing

1.2(554)

1.3(554)

1.4(554) 1.5(554)

\..,I 1.6(554)

statements Forms and fees for financing

statement changes Forms and fees for requests of

information Requests for copies Payment of fees Reserved

CHAPTER2 CORPORATIONS

2.1(491,496A,499,504A) Filing of doc-uments

2.2(496A,504A) Reservation of name

2.3(491 ,496A,499,504A,548) Similarity of names

2.4(491 ,496A,499,504A,548) Payment and refund of fees

2.5(491 ,496A,499,504A,548) Document to county re­corder

2.6(548) Registration and pro­tection of marks

CHAPTER3 DEPUTY COMMISSIONERS

OF ELECTIONS

3.1 (47) Deputy secretary of state and '..._) deputy county auditor to act

3.2(47) County commissioner of elec-tions may appoint special deputies

CHAPTER4 FORMS

4.1 (17 A) Forms and instructions 4.2(17 A) Corporation forms 4.3(17 A) Election forms 4.4(17 A) Uniform commercial code forms

CHAPTER 5 Reserved

CHAPTER 6 DESCRIPTION OF ORGANIZATION

6.1(17 A) Central organization 6.2(17 A) Corporations 6.3(17 A) Uniform commercial code 6 .4(17 A) Elections 6.5(17 A) Land office 6.6(17A) Notaries public 6. 7(17 A) Legislative division - en-

rolled bills 6.8(17 A) Process agent 6.9(17A) Oaths and bonds 6.10(17 A) Joint governmental agree­

ments 6.11 (17 A) Iowa administrative pro­

cedures 6.12(17 A) Judiciary 6.13(17A) Athletic commission

CHAPTER 7 RULES OF PRACTICE

7.1(17A) Forms used 7 .2(17 A) Filing complaints

CHAPTER 8 ADMINISTRATIVE HEARINGS

8.1 (17 A) Request for informal settle­ment

8.2(17 A) Method making request 8.3(17 A) Proposed settlement in

writing 8.4(17 A) Proposed settlement signed

CHAPTER 9 Reserved

CHAPTER 10 ALTERNATIVE VOTING SYSTEMS

10.1(52) Electronic voting systems-use for absentee voting

10.2(52) Instructions 10.3(52) Counting center tabulation provi­

sions 10.4 Reserved. 10.5(47) Temporary use of proper ballots

in voting machine precincts

Analysis, p.2 Secretary of State[750] lAC 10/28/81

CHAPTER 11 ELECTION FORMS AND

INSTRUCTIONS 11.1(66GA,ch 81, ch 1076) Forms-uses 11.2(69GA, SF 384) Constitutional amend­

ments and public measures

CHAPTER12 ~ FORMS OF ANNUAL AGRICULTURAL

REPORTS 12.1 (172,567) Corporation, limited

partnerships and nonresident alien annual agricultural reports

CHAPTER 1 UNIFORM COMMERCIAL CODE

750-1.1(554)* Forms and fees for financing statements. (UCC-1 or UCC-2). 1.1(1) The form to be used for filing financing statements pursuant to sections

554.1110, 554.9402 and 554:9403, The Code, shall conform to the following standards in order to be entitled to be filed for a fee of four dollars.

a. A UCC-1 form shall be eight inches wide and either five or ten inches in length. A UCC-2 shall be eight inches wide and ten inches in length. Both forms shall have all information printed on one side. All financing statement forms shall consist of three copies interleaved with carbon paper, an alphabetical, numerical and evidence of filing copy. The evidence of filing copy of a UCC-1 form used as an original financing statement may be used for termination by execution of the termination portion thereof. No fee is required for filing a termination statement.

b. The debtor block shall be in the extreme upper left-hand comer. c. The secured party block shall be immediately adjacent to the right of the debtor

block. d. The filing officer block shall be in the extreme upper right-hand comer. e. The signature(s) of the secured party(ies) and debtor(s) shall be located in the lower

right-hand comer and identified accordingly. f. A UCC-2 form must be used for recording fixture, timber. mineral and mineral account

security interests in county real estate records, and cross-indexing in county UCC records. (1) A UCC-2 must contain a mortgage type description of real estate pertaining to the

collateral and specifically identify the name of a record owner of that real estate which should be the debtor unless the debtor is not a record owner.

(2) Although a UCC-2 is to be recorded in county real estate records, it is a UCC financing statement and subject to UCC rather than recording fees. This financing statement must be filed and recorded in county real estate records under a real estate number. This statement shall also be cross-indexed under a real estate number in the UCC files of the county recorder's office.

g. All financing statement forms shall consist of three copies interleaved with carbon paper, an alphabetical, numerical, and evidence of filing copy.

1.1(2) Forms not conforming to the above standards, but otherwise conforming to the requirements of the law, are entitled to be filed for a fee of five dollars, however, real estate mortgages used as fiXture filings are subject to real estate recording fees.

1.1(3) Forms conforming to the above standards and accompanied by an additional page or pages are entitled to be filed for a fee of five dollars.

•Emergency, pursuant to §17A.S(2)"b"(l) and (2), The Code.

lAC 10/28/81 Secretary of State[750] Ch 10, p.3

750-10.3(51) Counting center tabulation provisions. When absentee ballots have been cast on ballot cards used in conjunction with an electronic voting system, the votes shall be tabu­lated in accordance with the following provisions:

10.3(1) When a write-in vote is discovered to have been cast, a serial number shall im­mediately be stamped or written on the ballot card and on the ballot card envelope.

10.3(1) The ballot card shall be visually inspected by two precinct election officials, not members of the same political party, who shall determine if the number of punches in the ballot card for an office plus the number of write-in votes cast for that office exceeds the number of votes allowed to be cast for that office.

10.3(3) If the total number of punches and write-in votes for an office does not exceed the allowable number of votes for that office, the ballot card shall be processed the same as ballots with no write-in votes, and a vote shall be counted for the person whose name is written in.

10.3(4) If the total number of punches and write-in votes cast for an office does exceed the allowable number of votes for that office, the election officials shall cover all of the punches for that office with punch card correction tape before the ballot is machine read. The envelope containing the write-in vote shall be stamped or marked "Over-voted" and the write-in vote shall not be counted.

10.3(5) Excessive votes cast for one office shall not affect votes cast for any other office. Rules 10.1(52) to 10.3(52) are intended to implement section 52.5, The Code. 10.4 Reserved

750-10.5(47)* Temporary use of paper ballots in voting machine precincts. The county commissioner of elections shall furnish to each precinct where voting machines are to be used for any election a supply of paper ballots.

10.5(1) Conditions under which paper ballots shall be used. In any precinct in which voting machines are designated as the method of voting for any election, a paper ballot shall be furnished to any person offering to vote, in addition to those provisions set out in sections 49.81 and 49.90, The Code, if:

a. A power failure prevents use of the voting machines. b. A malfunction occurs which prevents the use of one or more voting machines. c. It is found that any voting machine has been prepared with all or part of a ballot strip

meant for another precinct. d. It is found that the ballot strips for any voting machine have been misprinted. e. Any other condition exists due to a fault of the voting machine or machines which

prevents the person or persons offering to vote at that precinct from casting their votes. 10.5(1) The ballots to be furnished by the county commissioner of elections shall be the

same as the ballots used in carrying out the provisions of sections 49.81 and 49.90, The Code, and voting shall be in accordance with the provisions of the Code relating to paper ballots.

10.5(3) In the event any paper ballots are cast as provided in this rule, the chairman and one other precinct election official, one of whom shall represent each of the political parties, shall place the folded, voted ballots in a closed container to be kept in a secure manner in a secure place.

10.5(4) Counting the ballots. a. If, during the time the polls are open, the problem is corrected and the voting machine or

machines are found to be usable, the two precinct election officials responsible for the security of the paper ballots voted under these rules may open the closed container and record the votes which have been cast on the paper ballots on the voting machine or machines.

b. In the event that it has not been possible to record the paper ballots on the machines by the time the polls are closed, the precinct election officials shall manually count the paper ballots in the manner provided in chapter 50, The Code.

This rule is intended to implement section 47 .1. The Code. [Filed 9/2/75]

[Filed emergency after Notice 9/24/80, Notice 8/20/80-published 10/15/80, effective 10/15/80]

[Filed emergency 10/1181-published 10/28/81, effective 10/1181] •Emergency, pursuant to § 17 A.S(2)" b .. (2), The Code.

Ch 11, p.1 Secretary of State [750] lAC 10/28/81

CHAPTER 11 ELECTION FORMS AND INSTRUCTIONS

7S0-11.1(66GA,cb81, cb 1076)* Forms-uses. Election forms and instructions, numbers 1-A, 1-B(deleted), 1-C(Rev.-75), 1-D(Rev.-75), 1-E(Rev.-75), 1-F(Rev.-75), 1-G, adopted by Chapter 5), 3-A, 3-B(Rev.-75) and 3-C(Rev.-75) as mailed to the county commissioners on August 7, 1975 and March 23, 1976 are adopted as official election forms and instructions. Revision of the forms was mandated by changes made by Chapter 81 of the 1975 Session of the Sixty-sixth General Assembly and Chapter 1076, Acts of the Sixty-sixth General Assembly, 1976 Session. Copies of all forms are kept in the election division of the main office of the Secretary of State, State Capitol Building, Des Moines, Iowa, and may be inspected by anyone during any working day.

7S0-11.2(69GA,SF384) Constitutional amendments and public measures. 11.2(1) The order of placement on the ballot for constitutional amendments and statewide

public measures to be voted upon at a single election shall be determined by the state commissioner, and a number shall be assigned to each constitutional amendment or statewide public measure by the state commissioner.

a. The number assigned by the state commissioner to each constitutional amendment or statewide public measure to appear on the ballot for a single election shall be printed on the ballot immediately preceding and above the words "Shall the following amendment to the Constitution (or public measure) be adopted?" or the words "Shall there be a Convention to revise the Constitution, and propose amendment or amendments to same?".

~

\.,!

b. The number assigned by the state commissioner shall be printed on the ballot at least 1/8 of an inch high in the designated place, and shall be enclosed within a circle.

c. Even if only one constitutional amendment or statewide public measure is to appear on a l._) ballot to be voted upon at a single election, an identifying number shall be assigned by the state commissioner and shall be printed on the ballot in the prescribed manner.

11.2(2) The order of placement on the ballot for each local public measure to be voted upon at a single election shall be determined by the commissioner, and a letter shall be assigned to each local public measure by the commissioner.

a. The letter assigned by the commissioner to each local public measure to appear on a ballot for a single election shall be printed on the ballot immediately preceding and above the words "Shall the following public measure be adopted?".

b. The letter assigned by the commissioner shall be printed on the ballot at least 1/8 of an inch high in the designated place, and shall be enclosed within a circle.

c. Even if only one public measure is to appear on a ballot to be voted upon at a single election, an identifying letter shall be assigned by the commissioner and shall be printed on the \...I ballot in the prescribed manner.

This rule is intended to implement section 47.1, The Code, as amended by Acts of the Sixty­ninth General Assembly, 1981 Session, Senate File 384.

[Filed emergency 4/22/76-published 5/17/76, effective 4/22/761 [Filed emergency 6/2/76-published 6/8/76, effective 8/2/761

[Filed 10/7/81, Notice 9/2/81-published 10/28/81, effective 12/2/81]

\.,.)

lAC 12/24/80 Soil Conservation[780J ChS, p.1

~ CHAPTERS* IOWA FINANCIAL INCENTIVE PROGRAM FOR SOIL EROSION CONTROL

5.00 to 5.09 Reserved.

DIVISION I

780-5.t0(467A) Authority and scope. This chapter establishes procedures and standards to be followed by the Iowa department of soil conservation under the direction of the state soil conservation committee in implementing the state's financial incentive program for soil ero­sion control. It also establishes standards and guidelines to which the soil conservation districts shall conform in fulfilling their responsibilities under this program.

~ 780-5.11(467A) Rules or subrules are severable. If any provision of a rule or subrule or the application thereof to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of the rule or subrule which can be given effect without in­valid provision or application, and to this end the provisions of these rules or subrules are severable.

5.12 to 5.19 Reserved.

DIVISION 2

780-5.20(467A) Definition of terms. 5.20(1) uAdministrative order'' means a written notice from the commissioners to the

landowner or landowners of record and to the occupants of land informing them they are violating the district's soil loss limit regulations and advising them of action required to con­form to the regulations.

5.20(2) uAllocation" means those funds that are identified as a district's share of the state's appropriated funds that have been distributed to a particular program.

5.20(3) uApplicant" means a person or persons applying for financial incentives for im­plementing soil and water conservation practices.

5.20(4) uAppropriations" means those funds appropriated from the general fund of the state and provided the department of soil conservation for funding the various incentive pro­grams for soil erosion control.

5.20(5) ucasefile" means a record that is assembled and maintained for each application approved for state cost sharing.

5.20(6) ucertifying technician" means the district conservationist of the soil conservation service or the district forester of the state conservation commission.

5.20(7) ucommissioner" means one of the members of the governing body of a district, elected or appointed in accordance with the provisions of Chapter 467 A, The Code.

5.20(8) ucommittee" or ustate Soil Conservation Comittee" means the comittee established by section 467 A.4, The Code, as the policymaking body of the department of soil conservation.

5.20(9) ucomplaint" means a written and signed document received by the commis­sioners from a landowner or occupant of land stating that his property in the district is being damaged by sediment resulting from soil erosion on the property of another named land­owner.

5.20(10) uconservation cover" means that if a tract of agricultural land has not been plowed or used for growing rowcrops at any time within fifteen years prior to January 1, 1981, it shall be classified as agricultural land under conservation cover.

5.20(11) uconservation needs inventory" or ucNI" means the inventory of land use and conservation treatment needs by soils that was completed in 1967, published in 1970, and available in all district offices.

•Farms referred to in this chapter available from the agency.

Ch5, p.2 Soil Conservation[780) lAC 10/28/81

5.20(12) uDepartment" or udepartment of soil conservation" means a governmental sub­division of this state organized for the purposes, with the powers, and subject to the restric­tions set forth in chapter 467A, The Code.

5.20(13) uDistribution" means the apportioning of appropriated funds among the various incentive programs.

5.20(14) uDistrict" or usoil conservation district" means a governmental subdivision of this state organized for the purposes, with the powers, and subject to the restrictions set forth in chapter 467 A, The Code.

5.20(15) "District co-operator'' is a landowner who has entered into a co-operator's agreement with a soil conservation district for the purpose of planning, applying, and main­taining the necessary soil and water conservation practices on land under his or her control.

5.20(16) "Excessive erosion,, means soil erosion that is occurring at a rate exceeding the established soil loss limit.

5.20(17) "Landowner'' includes any person, firm or corporation, partnerships, estates, trusts, or any federal agency, this state or any of its political subdivisions, who shall hold title to or have legal control over land lying within a district.

5.20(18) "Obligated funds" means those moneys that are set aside out of the district's allocation or by the department for payment to a landowner after the commissioners have ap­proved an application for cost share.

5.20(19) "Permanent" or ~permanent soil and water conservation practice" means a soil and water conservation practice that has a minimum life expectancy of twenty years.

5.20(20) "Power of attorney" means a legal document that grants a person the right to act on behalf of the landowner.

5.20(2i) ~~Program year" means the state fiscal year for which program funds were ap­propriated.

5.20(22) "Recipient" means a landowner who has qualified for and received financial in­centive payments for implementing soil and water conservation practices.

5.20(23) "Segment" means a length of state, county, or city road that has been certified as having windblown soil that interferes with road maintenance or the safe operation of vehicles.

5.20(24) "Soil conservation practices" means any of the practices which serve to reduce erosion of soil by wind and water on land used for agricultural or horticultural purposes and approved by the state soil conservation committee.

5.20(25) "Soil loss limit', means the maximum amount of soil loss due to erosion by water or wind, expressed in terms of tons per acre per year, which the commissioners of the respec­tive soil conservation districts have established by rule as acceptable.

5.20(26) "Supplemental allocation'' means additional funds provided beyond the original allocation.

5.20(27) usupplementary administrative order" means a written notice sent to those receiving an administrative order advising that cost-share funds are being committed· to the landowner or landowners and establishing time limits for correcting the soil erosion problems.

5.20(28) "Technician" means a person qualified to design, lay out and inspect construc­tion of soil conservation practices, and who is assigned to or employed by a soil conservation district.

5.20(29) "Temporary" or "temporary soil and water conservation practices" means the planting of annual or biennial crops, use of strip-cropping, contour planting, minimum or mulch tillage and other cultural practices approved by the state soil conservation committee.

5.20(30) "Unobligated funds" means those cost-share moneys the districts have been allocated and those the department administers that have not been obligated.

5.20(31) "Row cropped lands" means land that is in an established rotation sequence that includes row crops and the sequence is actively being followed or is in consecutive row crop se­quence.

5.21 to 5.29 Reserved.

lAC 12/24/80 Soil Conservation[780] Ch 5, p.S

\.._/ e. The following table provides the value of "w" for each district:

Individual Soil Conservation District

Percentage Allocation Factors

ml_Dis·trlct ml. District W('l,) District ~District.

1.7 Adair 0.8 Davis 0.9 .Jefferson 0.4 Pocahontas

1.0 Adams 0.8 Decatur 1.1 .Johnson 0.6 Polk

1.6 Allamakee 0.9 Delaware 1.3 .Jones 1.5 East

~ Pottawattamie

1.0 Appanoose 0.4 Des Moines 1. 3 Keokuk 1.2 West

Pottawattamie

1.5 Audubon 0.6 Dickinson 0.8 Kossuth 1.3 Poweshiek

1.5 Benton 2.1 Dubuque 0.9 Lee 1.4 Ringgold

0.7 Black Hawk 0.6 Emmet 1.2 Linn 0.9 Sac

0.5 Boone 1.3 Fayette 0.4 Louisa 0.8 Scott

-....; 0.2 Bremer* 0.4 noyd 0.4 Lucas 2.0 Shelby

0.7 Buchanan 0.6 Franklin 1.0 Lyon 1.a Sioux

0.6 BuenaVista 1.0 Fremont 0.9 Madison 0.6 Story

0.7 Butler 0.5 Greene 1.4 Mahaska 1.9 Tama

0.2 Calhoun* 0.7 Grundy 1.2 Marion 0.9 Taylor

1.6 Carroll 1.3 Guthrie 1.5 Marshall 0.8 Onion

1.6 Cass 0.4 Hamilton 1.2 Mills 0 .• 8 Van Buren

1 .. 3 Cedar 0.5 Hancock 0.3 Mitchell* 0.6 Wapello ~ 0.6 CerroGordo 0. 9 Hardin 0.9 Monona 1.0 Warren

1.1 Cherokee 1.5 lta.rrison 0.7 Monroe 1.2 Washington

0.4 Chickasaw 0.9 Henry 1.0 Montgomery 1. 2 Wayne

0.8 Clarke 0.4 Howard 0.5 Muscatine 0.3 Webster*

0.3 Clay* 0.2 Humboldt* 0.5 O'Brien 0.6 Winnebago

2.0 Clayton 1.6 Ida 0.5 Osceola 1.9 Winneshiek

1.2 Clinton 1.4 Iowa 1.4 Page 2 • .4 Woodbury

~ 2.6 Crawford 1.7 .Jackson 0.6 Palo Alto 0.3 Worth*

0.8 Dallas 1.8 .Jasper 2.8 Plymouth 0.4 Wright

*The minimum value to be used in determining original alloca-tions to districts shall be 0.4.

Ch5, p.6 Soil Conservation[780] lAC 10/28/81

f. Soil conservation district commissioners may allocate not more than ten percent of this "--" original allocation and supplemental allocation from fiscall982 and 1983 funds to be used for incentive payments on a per acre basis, but not exceeding ten dollars per acre, to encourage no-till planting methods on row cropped land.

5.51(2) Supplemental allocation. The remaining balance of the fiscal year program funds plus the previous fiscal year funds from the Iowa Tillage and mandatory programs that were not obligated, less a $50,000 reserve fund, will be provided to the districts in a supplemental allocation. The districts shall submit their request identifying valid applications and cost estimates, if any, for supplemental allocations to the department by August 15. The allocation to any district will be the lesser amount of:

a. The amount of remaining available funds divided by the number of districts applying for a supplemental allocation.

b. Three times the original allocation to the district. c. Two percent of the total amount distributed to the program. \.,I d. The amount requested. 5.51(3) Recall of funds. Any funds allocated the previous fiscal year that the districts have

not obligated by December 31 of the following fiscal year and any funds that were obligated during the previous fiscal year for projects for which construction has not been started by December 31 will be recalled by the department.

5.51(4) Reallocation of recalled funds. The districts shall submit their requests identifying valid applications and cost estimates, if any, to the department by February 1 of each year. The allocation to any district will be the lesser amount of:

a. The amount of remaining available funds divided by th~ number of districts applying for a supplemental allocation.

b. Three times the original allocation to the district. c. Two percent of the total amount distributed to the program. \...,) d. The amount requested. 5.51(5) Eligibility of soil conservation districts for supplemental allocations and realloca­

tions. For a district to qualify for a supplemental allocation or a reallocation, it must meet the following requirements:

a. One hundred percent of the funds allocated three fiscal years before must have been spent or have been recalled by the department for reallocation.

b. Seventy percent of the funds allocated two fiscal years before must have been spent or recalled by the department for reallocation.

c. Sixty percent of the total funds allocated the immediate past fiscal year must have been spent.

lAC 12/24/80 Soil Conservation[780] Ch5, p.9

5.54(2) Redistribution of program funds. Any unobligated program funds remaining at the end of the program year will be redistributed to the voluntary cost-share program. These funds will be included with the supplemental allocation to districts.

780-5.55(467A,312) Wind Erosion Control Incentive Program (WECIP). The department of soil conservation maintains the funds that are distributed to the wind erosion control pro­gram. These funds are used to provide incentive payments to landowners for installing and maintaining control practices to reduce wind erosion which interferes with the maintenance of highways and safe operation of vehicles. The department will commit these program funds to participating districts in the following manner: .

a. Districts shall nominate areas of land used for agricultural production which qualify under WECIP criteria contained in subrule 5.55(2). The nominations shall be submitted to the department by September 10 of each year.

b. The department will commit funds to the districts for specific road segments and areas of eligible land that have been nominated by the districts. The department selections shall be based upon the information submitted by the districts concerning length of the road segment in miles, the percent of the segment length to be protected by implementing control practices, and the total acres protected.

c. No one district shall receive over twenty-five percent of the available funds in any one program year.

d. Committed funds that are not spent during a program year will be returned to the pro­gram fund and committed to participating districts for WECIP the following year.

5.55(1) Districts eligible to participate in the WECIP. All soil conservation districts are eligible to participate in this program.

5.55(2) Land areas eligible for WECIP. Land areas in the district used for agricultural production will qualify for WECIP if they are certified by the soil conservation district com­missioners as meeting all three of the following criteria:

a. The land areas are adjacent to road segments that have been identified as having prob­lems related to wind erosion; and

b. The land areas are found by the soil conservation district commissioners to have ex­cessive loss of soil by wind erosion based on the equation used to predict potential wind ero­sion; and

c. Interest to participate in the program expressed by landowners or farm operators is such that implementation of this program would protect a segment of roadway.

5.55(3) Certification of land areas. a. The soil conservation district shall initiate an investigation to identify, evaluate, and

develop priority ranking of road segments being damaged by or having a safety hazard caused by wind erosion. This investigation will involve the commissioners and the following in­dividuals or their designee: The department of transportation district engineer, the county engineer, the city engineer(s) (if applicable), and the soil conservation district technician.

b. Based on this investigation, the districts shall develop a map by April 1 that identifies and ranks these road segments.

c. The district shall determine which adjacent land areas, used for agricultural production, are experiencing excessive soil losses based on the wind erosion equation and shall delineate these areas on the map in red.

d. The commissioners shall certify the map and provide copies to the department of soil conservation and all parties identified in "a,.

780-5.56(467A) Special watershed projects. Reserved.

780-5.57(467A) Reserve funds. The department shall administer a reserve fund for each ·"--"' program year that shall not exceed $50,000.

5.57(1) Purpose and use of the reserve fund. The reserve fund will be set aside and used only to meet contingencies that occur in the districts or within the department.

Ch5, p.lO Soil Conservation[780] lAC 10/28/81

5.57(2) Replenishing the reserve fund. Each time a supplemental allocation or a realloca-tion is made to the districts an allocation will be made to the reserve fund if needed to return \_,.; the balance to $50,000.

5.57(3) The department may phase out the reserve fund after two years by reverting funds to the voluntary program, provided the balance for the program year is less than $100,000.

5.58 and 5.59 Reserved.

DIVISION6

780-5.60(467A) Funding rates. The purpose of this division is to establish the funding rates at which the state will fund or share the cost for approved soil conservation practices under the various incentive programs. In all cases, except for the mandatory program, the state's share will be computed using the percentages specified below and the estimated cost, the amended estimated cost, or the actual cost of implementing the practice, whichever is less. Payments under the mandatory program will be based on actual costs.

5.60(1) Voluntary. a. The state will cost share fifty percent of the cost certified by the certifying technician as

being reasonable, proper, and incurred by the applicant in voluntarily installing approved, permanent soil conservation practices. Eligible costs include machine hire or use of the applicant's equipment, needed materials delivered to and used at the site, and labor required to install the practice.

b. The department will make a one-time payment of up to ten dollars per acre for no-tillage incentive payments to landowners or operators certified by the district as qualifying for payments in accordance with adopted district procedures, total dollars obligated not to exceed subrule 5.51(1), paragraph 'j,,. The soil conservation district may allow the incentive payment to be shared by landowner and operators.

5.60(2) Summer construction incentives. Commissioners may enter agreements providing for cost sharing up to sixty percent of the cost of establishing approved, permanent soil and water conservation practices where the establishment of that practice involves a construction project which begins after June 1 but before August 15 of any calendar year. Commissioners shall not use state cost-sharing funds to pay such incentives when requests for cost sharing at the fifty percent level are sufficient to use allofthe district's allocation for that fiscal year.

5.60(3) Special watershed projects. Commissioners may enter into agreements providing for cost sharing up to sixty percent of the cost of a project that includes five or more con­tiguous farm units which collectively have at least five hundred or more acres of farmland and which constitute at least seventy-five percent of the agricultural land lying within a watershed or a subwatershed. The owners must jointly agree to a watershed conservation plan in con­junction with their respective farm unit soil conservation plans.

5.60(4) Mandatory. The rate of cost share for permanent soil and water conservation practices required as a result of an administrative order shall be seventy-five percent of the total cost to the landowner of installing the approved practice. The cost must be certified by the technician as being reasonable, proper and incurred by the landowner. The rate of cost share for temporary soil and water conservation practices is set by the state soil conservation committee.

5.60(5) Watersheds above publicly owned lakes. The state will cost share seventy-five per­cent of the approved cost of permanent soil and water conservation practices on watersheds above certain publicly owned lakes. Watersheds above publicly owned lakes that qualify for seventy-five percent cost sharing must be identified on a priority list established by the state conservation commission in accordance with Acts of the Sixty-eighth General Assembly, Chapter 12, section 6, subsection 5. The priority list shall be revised and updated at the begin­ning of each fiscal year.

~

'-...~

~

'-v'

'.._.)

lAC 12/24/80, 10/28/81 Soil Conservation [780] Ch5, p.10a

5.60(6) Conservation cover. Cost share for certain lands is restricted by chapter 467 A, The Code, as amended by Acts of the Sixty-eighth General Assembly, Chapter 1153. Each tract of agricultural land which has not been plowed or used for growing at any time within fifteen years prior to January 1, 1981, shall be considered classified as agricultural land under conser­vation cover. ''Agricultural land'' has the meaning assigned that term by section 172C.1, The Code. If any tract of land so classified is thereafter plowed or used for growing row crops, the district commissioners shall not approve use of state cost-share funds for establishing perma­nent or temporary soil and water conservation practices on that tract of land in an amount greater than one-half the amount of cost-share funds which would be available for that land if

0

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lAC 4/29/81 Soil Conservation[780] Ch 5, p.15

(2) Recording fee. If the soil conservation district's policy is to record the Declaration of Agreement, Form IP-4B, or the Maintenance Agreement, they shall pay the recording cost at the time of filing with the county recorder. Payments for recording fees shall be made to and from the revolving fund of the soil conservation district. Districts may use nonstate sources of funds in the revolving account to make these payments or collect the amount from the recip­ient in accordance with the district's established rules.

(3) Effect of not recording. The lack of a recorded Declaration of Agreement does not af­fect the responsibility of a subsequent owner to maintain the practices so long as the statement required by section 467 A. 7(16), The Code, has been filed in the recorder's office. The purpose of recording the Declaration of Agreement is solely to provide additional notice to purchasers.

(4) Establish a file for maintenance agreements. The soil conservation district shall establish and maintain a separate permanent file containing any Maintenance Agreement, Form IP-4, and Amendment to Maintenance Agreement, Form IP-4A. Any Declaration of Agreement, Form IP-4B, that has/have been recorded by the county recorder will also be con­tained in this file. The maintenance agreements file shall be accessible for review by the public.

(5) Establish a file for performance agreements. The soil conservation district shall establish and maintain a separate permanent file containing any Performance Agreement, Form IP-6, and Amendment to Performance Agreement, Form IP-6A. The file shall be ac­cessible for review by the public.

(6) Statement of compliance or noncompliance. A seller of agricultural land with respect to which a maintenance agreement is in effect may request the district to inspect the practices. If the practices have not been removed, altered, or modified, the district shall issue a written statement that the seller has incurred no obligation to refund cost-sharing funds as of the date of the statement.

The buyer of lands covered by a maintenance agreement may also request that the district inspect the lands to determine whether any practice has been removed, altered, or modified as of the date of the inspection. If so, the district will provide the buyer with a statement specify­ing the extent of noncompliance as of the date of the statement.

The seller and the buyer, if known, shall be given notice of the time of inspection so that they may be present during the inspection to express their views as to compliance.

5. 74(6) Case files. A case file shall be assembled and maintained for each application ap­proved. The file will contain the approved Application for Financial Incentives, Form IP-1; any Amendment to Application for Financial Incentives, Form IP-1A; a copy of the estimated cost sheet; the Certification of Practice Completion/Compliance, Form IP-2; Certification of Practice Quantities and Cost, Form IP-3; voucher and bills or receipts; Receipt of Payment, Form SCD-5; Maintenance Agreement, Form IP-4, or Performance Agreement, Form IP-6; a map and legal description locating the practice. Case files shall be filed by program year.

5.75 to 5.79 Reserved.

DIVISION 8

780-5.80(467A,312) General conditions, elialble practices and specifications. The oumose of this division is to establish the general conditions and limitations concerning practice im-plementation, the state approved soil and water conservation practices eligible for state finan­cial incentives and the specifications for which funded practices must conform.

780-5.81(467A,312) General conditions. The following general conditions shall be ·met, where applicable, in addition to the specifications in rule 5.84(467A,312). To the extent of any inconsistency between the general conditions and the specifications, the general conditions

~ shall control. 5.81(1) Practice need. The designated soil and water conservation practices shall not be

funded unless the technician has inspected the site and has determined that such practice(s) is needed to reduce excessive erosion or sedimentation.

5.81(2) Eligible practices must control erosion and sediment. Only those soil and water conservation practices applied to agricultural crop and pasture land whose primary function is

Ch 5, p.16 Soil Conservation[780] lAC 10/28/81

to control soil erosion and prevent sediment damage, will be eligible for incentive program funds.

5.81(3) Limitation of reimbursable costs of practices. Overbuilding or other practice modifications which exceed the minimum requirements of the specification shall be permitted, if approved by the technician. Any additional costs resulting from such overbuilding or ex­ceeding of the minimum specifications shall not be cost shared by the state. Examples of over­building or exceeding specifications include but are not limited to the following:

a. Where a landowner desires that water be stored for purposes other than grade stabiliza­tion to control erosion,

b. Where additional top width is added to an earthen fill to provide a field crossing or road, c. Where additional flow capacity for lowland drainage laterals is added to an underground

outlet constructed as a component of a terrace system, and d. Where a livestock watering pipe is installed in a grade stabilization structure. 5.81(4) New Material. Only new materials may be used in a project funded with Iowa

rmancial incentive funds. 5.81(5) Existing practices. a. Repair and maintenace. Repair and maintenance of existing practices are not eligible for

funding. b. Addition of underground outlets. The addition of underground outlets to existing water­

ways and terraces is not eligible for funding. 5.81(6) Upland treatment. Seventy-five percent of the upland area shall be adequately

treated for erosion control before waterways or grade stabilization structures will be funded. 5.81(7) Seeding. a. Seeding required. Following practice construction, seeding shall be performed as ap­

propriate in accordance with seeding specifications referenced in rule 5.84(467A,312), except as waived below.

b. Seeding after specified seeding dates. When the construction of a practice is completed after the seeding date contained in the specifications, seeding may be delayed until the follow­ing year. If delayed, the applicant shall be responsible for protecting the practice with tem­porary vegetative cover or other means until the seeding can be completed. For seeding delayed until the next year, the district may approve payment for the completed practice but such payment shall exclude the seeding cost. The remaining payment for seeding may be made available the following year.

5.81(8) Diversions. Diversions are eligible for funding only when used to prevent downstream erosion.

5.81(9) Converting land to permanent vegetative cover. Pasture and hayland planting will be eligible for funding only when land that has been planted to row crop for three out of the last five years is being converted to permanent vegetative cover.

5.81(10) Underground outlet. Underground outlets are eligible for Iowa financial incen­tive funding only when used as a component of eligible permanent practices contained in subrule 5.82(2).

780-5.82(467A,312) State designation of eligible practices. Only those soil and water con­servation practices listed in this section are eligible for the Iowa financial incentives program funds.

5.82(1) Temporary practices. a. Iowa Till. Reduced tillage practices, used in conjunction with row crop production to

reduce sediment damage and soil depletion caused by wind or water. b. No-till planting. A form of noninversion tillage that retains protective amounts of resi­

due on the surface throughout the year. 5.82(2) Permanent practices. a. Critical area planting. Establishment of vegetative planting to control sediment move­

ment from severely eroding areas by stabilizing the soil. These plantings would include vegeta­tion such as trees, shrubs, vines, grasses or legumes.

b. Diversion. A channel with a supporting ridge on the lower side constructed across the slope to conduct excess runoff water to a suitable outlet.

lAC 12/24/80 Soil Conservation[780] Ch 5, p.17

c. Field windbreak. A strip or belt of trees or shrubs established within or adjacent to a field to reduce sediment damage and soil depletion caused by wind.

d. Grade stabilization structure. An earthen dam or embankment with a mechanical outlet (pipe conduit, drop spillway or chute outlet) to stabilize the flowline grade or control head cut­ting in a natural or constructed channel.

e. Grass strips. A strip of tall growing perennial vegetation within or adjacent to a field to reduce sediment damage and soil depletion caused by wind.

f. Grassed waterway or outlet. A natural or constructed waterway or outlet, shaped and graded on which suitable vegetation is established, to conduct excess surface runoff water from terraces, diversions or natural watershed basins.

g. Pasture and hay/and planting. The establishment of long-term stands of adapted species of perennial forage plants, to control excessive water erosion, by converting land from row crop production to permanent vegetative cover.

h. Terrace. An earthen barrier or embankment constructed across the field slope using a combination of a ridge and channel to reduce field erosion, and trap sediment. Types of ter­races commonly referenced to as broad based, narrow based, grassed backslope, basin, level, gradient and parallel are eligible for Iowa financial incentive payments.

i. Underground outlet. A conduit installed beneath the ground surface to collect surface water from terraces, diversions, water and sediment basins, and convey the water to a suitable outlet.

j. Water and sediment control basin. A short earthen embankment with an underground outlet, constructed across the slope in minor watercourses to reduce erosion and trap sedi­ment.

780-5.83(467A,312) Soil conservation district designation of eligible practices. District commissioners may designate which soil and water conservation practices will be eligible for Iowa financial incentive payments in their district. The selected practices must be from the state approved practices contained in rule 5.82(467A,312). The general conditions contained in rule 5.81(467A,312) and the specifications contained in rule 5.84(467A,312) shall apply to the district designated practices.

780-5.84(467A,312) Specifications. These specifications and the general conditions, rule 5.81(467A,312), shall be met in all cases. In each specification the listed USDA-Soil Conserva­tion Service specification in force on the date indicated in these rules or the Iowa Conservation Commission Forestry Technical Guide shall be used. To the extent of any inconsistency be­tween the general conditions and the specifications, the general conditions shall control.

5.84(1) Critical area planting. USDA-SCS-IOWA, Field Office Technical Guide, Section IV, Code No. 342, March 1975.

5.84(1) Diversion. USDA-SCS-IOW A, Field Office Technical Guide, Section 4, Code No. 362, September 1974. ·

5.84(3) Field windbreak. USDA-SCS-IOWA, Field Office Technical Guide, Section 40-Woodland, Tree Planting, Code No. 612, January 1980; Field windbreak, Code No. 392, May 1976.

5.84(4) Grade stabilization structure. USDA-SCS-IOW A, Field Office Technical Guide, Section 4, Grade Stabilization Structure, Code No. 410, September 1977.

5.84(5) Grass strips. Grass strips shall be perennial vegetation planted parallel to and on the north and west sides of road segments designated as qualified in the WECIP. The strips shall have a minimum width of fifty feet and the maximum width to be funded shall be fifty feet. The grass strip shall not be used as a road and grazing and hay production will not be per-

Ch 5, p.18 Soil Conservation[780] lAC 10/28/81

mitted. Seeding and fertilizer rates shall be in accordance with the specifications contained in ~ USDA-SCS-IOWA, Field Office Technical Guide, Section IV, Code No. 512, Pasture and Hayland Planting, November 1976. There shall be no nurse crop. The strip may be mowed one time after July 1 S of the seeding year for weed control.

5.84(6) Grassed waterway or outlet. USDA-SCS-IOW A, Field Office Technical Guide, Section4, Grassed Waterway, Code No. 412, April1975.

5.84(7) Iowa Till. All operations shall be on a reasonable contour. The ground surface shall have at least fifty percent cover by crop residue material after planting. The line transect method of measuring as described in USDA Agricultural Handbook No. 537, December 1978, page 50, shall be used in determil!ing percent ground cover.

5.84(8) Pasture and hay/and planting. USDA-SCS-IOWA, Technical Field Guide, Section IV, Code No. 512, November 1976.

5.84(9) Terrace. USDA-SCS-IOWA, Field Office technical Guide, Section IV, Code No. 600,January1980. \.-1

5.84(10) Underground outlet. USDA-SCS-IOWA, Field Office Technical Guide, Section IV, Code No. 620, January 1980.

5.84(11) Water and sediment control basin. USDA-SCS-IOW A, Field Office technical Guide, Section IV, Code No. 638, March 1977.

5.84(12) No-till planting. Preparation of the seed bed and planting are completed in one operation, with tillage in the row limited to a strip not wider than one-third of the total area. The area between the rows will be left untilled, with the exception that knifing fertilizer will be allowed as a separate operation. All operations shall be on a reasonable contour.

5.85 to 5.89 Reserved.

DIVISION 9 PART 1

780-5.90(467A,312) Reporting and accounting.

780-5.91(467A,312) Reports. Incentive program funds are appropriated for and assigned to the department by fiscal year. The district will, therefore, maintain separate control ledgers and prepare separate reports of work accomplished with funds allocated to them for each of the fiscal years.

5.91(1) Monthly report. The district will submit a monthly report to the department indi­cating the unobligated balance of cost-share funds as shown on each ledger at the close of the last day of each month. This report shall be submitted to the department by the fifth day of the following month.

5.91(2) Annual report. The district will submit an annual progress report to the depart-ment. These reports will reflect accomplishments "to date" by program year funds. Reports "'--" shall be submitted to the department on or before July 7 each year.

780-5.92(467A,312) Control of lands. The district will, based on estimated cost, maintain a record of funds obligated for approved applications.

5.93 to 5.94 Reserved.

PART2

780-5.95(467A,312) Forms. Standard forms, applications, and agreements used by the ap-plicant and recipient of financial incentives for soil erosion control as outlined in these rules are identified in the following subrules. Copies of all forms, applications, and agreements are available from the soil conservation district office located in each county. Copies are also available from the department at the following address: Iowa Department of Soil Conserva- \..,..) tion, Wallace State Office Building, Des Moines, Iowa 50319. All forms, applications, and agreements used by the applicant and recipient of financial incentives shall be submitted to the soil conservation district office, unless specified otherwise in these rules.

lAC 12/24/80 Soil Conservation[780] Ch 5, p.19

~ 5.95(1) Forms for financial incentives program.

Form number SCD-1

SCD-2

SCD-5

IP-1

IP-1B

IP-1A

IP-2

IP-3

IP-4

Description Cooperator agreement. This is a one page form which serves as an agree­ment between a landowner and a soil conservation district. The agreement specifies that the soil conservation district will provide technical assistance in planning, applying, and maintaining soil conservation and water management practices on a tract of land. The landowner through this agreement grants authorization to district personnel for ingress and egress upon the land. The agreement contains information necessary for the district to prioritize technical assistance activities. Power of attorney. This is a one page form used by a landowner to designate to another person the authority to act on the landowner's behalf in applying for and receiving technical and financial assistance from the soil conservation district. The power of attorney grants full authority to the designated person to perform all acts and requirements necessary to receive technical and financial assistance from the district. Receipt of payment. This is a one page form used by the recipient of finan­cial incentive funds to acknowledge that payment has been received from the district. The form is also used by the district to acknowledge receipt of any required recording fees from the recipient. Application for financial incentives. This is a one page form used by the ap­plicant to request financial incentives from the soil conservation district and the department. The form serves as the application for all financial in­centives programs administered by the district and department. The ap­plication identifies the scope of proposed soil conservation or water management practices, identifies preliminary cost estimates, and requires information used by the district and department for prioritizing requests for funds. Special consideration for financial incentives. This is a one page form used by the district to inform the applicant of certain program requirements to which the applicant must conform to be eligible for financial incentives. Amendment to application for financial incentives. This is a one page form used by the applicant and the soil conservation district to amend the ap­plication for financial incentives. The completed amendment identifies the specific conditions of the original application which are modified and pro­vides that all other conditions of the application are retained in effect. Certification of practice completion/compliance. This is a one page form used by the soil conservation district to certify that the soil and water con­servation practices have been constructed or performed suitably in conformance with departmental rules. This certification is required for the recipient to be eligible for payment of financial incentives. Certification of practice quantities and cost. This is a one page form used by the soil conservation district to certify that costs claimed for installing permanent soil and water conservation practices are reasonable and proper. This certification is required for the recipient to be eligible for payment of financial incentives. Maintenance agreement. This is a two page form which serves as an agree­ment between the recipient and the soil conservation district that the re­cipient agrees to maintain the soil conservation practices for which financial incentives from the department through the district have been received. The agreement provides for repayment of the incentive funds to the depart­ment if the funded practices are not maintained for twenty years.

CbS, p.20 Soil Conservation[780] lAC 10/28/81

IP-4A Amendment to maintenance agreement. This is a one page form used by the recipient and the soil conservation district to amend the maintenance agreement. The completed amendment identifies the specific conditions of the maintenance agreement which are modified and provides that all other conditions of the agreement are retained in effect.

IP-4B Declaration of agreement. This is a one page form used by the soil conser­vation district to record the existence of the maintenance agreement in the records of the county recorder. Filing of the declaration by the district is required for the recipient to be eligible for payment of financial incentives.

IP-S Proof of expense. This is a one page form used to document appropriate expenses for materials and servcies provided by the recipient in installing permanent soil and water conservation practices.

IP-6 Performance agreement. This is a two page form which serves as an agree­ment between the recipient and the soil conservation district that the recip­ient agrees to perform temporary soil conservation practices for which financial incentives from the department through the district have been received. The agreement provides for repayment of the incentive funds to the department if the funded practices are not suitably performed for a minimum of five years.

IP-6A Amendment to performance agreement. This is a one page form used by the recipient and the soil conservation district to amend the performance agreement. The completed amendment identifies the specific conditions of the performance agreement which are modified and provides that all other conditions of the agreement are retained in effect.

5.95(2) Forms of repayment of incentive funds. Reserved. 5.96 to 5.99 Reserved. Rules in chapterS are intended to implement chapter 467A and section 312.2(9), The Code;

Acts of the Sixty-seventh General Assembly. chapter 2S (section 4, subsection 6). chaoter 1004 (section 15, subsection 6), chapter 1009 (section I, subsection 7); Acts of the Sixty-eighth General Assembly, chapter 12 (section 19, subsectionS), chapter 1001 (section 28), chapter 11S3; and Acts of the Sixty-ninth General Assembly, Senate File S53, section 12.

[Filed 12/5/80, Notice 10/29/80-published 12/24/80, effective 1129/81] [Filed emergency 4/10/81 after Notices 2/18/81-published 4/29/81, effective 4/24/81]

[Filed emergency after Notice 8/14/81, Notice 6/24/81-published 9/2/81, effective 8/14/81] [Filed 10/9/81, Notice 7/22/81-published 10/28/81, effective 12/4/81]

lAC 10/28/81 Transportation [820]

CHAPTER 3 CONTESTED CASES

[Ol,B]Ch 3, p.1

820-[0l,B]3.1(17A) Statement of applicability. This chapter of rules is intended to indicate and specify the minimum procedural requirements applicable to all contested case proceedings conducted under the statutory authority of the department of transportation, except for those proceedings which are statutorily jurisdictional to the transportation regulation board. Within the rules of the divisions of the department (divisions 01 through 11 of 820) are stated addi­tional requirements pertinent only to proceedings related to the functional responsibilities of that organizational unit. In addition to statutory requirements, proceedings shall be con­ducted under the provisions of this chapter exclusively when the organizational unit of the department having responsibility in the area concerned has no additional rules governing such a proceeding.

820-[0t,B]3.2(17A) Reference to additional provisions. The following lists references to rules containing additional provisions applicable to particular contested case proceedings. These proceedings shall be conducted in accordance with both this chapter of rules and the ap­plicable referenced rules; where there is a conflict, this chapter of rules shall take precedence. (Exception: If a statute expressly provides for transportation regulation board jurisdiction over the proceeding, rules promulgated by the transportation regulation board shall apply.)

3.2(1) Proceedings concerning driver license suspension, revocation and denial: 820-[07,C] 13.18, 13.19, 13.20, 13.21 and 14.2;

3.2(2) Proceedings concerning motor vehicle dealers, manufacturers, distributors and lessors: 820-[07 ,D) 10.8;

3.2(3) Proceedings concerning vehicle registration: 820-[07 ,D) 11.56; 3.2(4) Proceedings concerning motor vehicle inspection: 820-[07 ,E]21.3, 21.15 and

21.16; 3.2(5) Proceedings concerning truck operation and contract carriers: 820-[07,F]3.7;

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lAC 10/28/81 Transportation [820] [01 ,B] Ch 3, p.2

3.2(6) Proceedings concerning motor carriers and charter carriers: 820-[07,F]4.5; 3.2(7) Proceedings concerning liquid transport carriers: 820-[07,F]13.4 and 13. 7; and 3.2(8) Proceedings concerning railroads: 820-[10,B]1.1 to 1.5, 1.8, and 10.2

820-[01,B)3.3(17A) Informal settlement. Pursuant to sections 17A.10 and 17A.l2, The Code, a controversy may, unless precluded by statute, be informally settled by mutual agree­ment of the department of transportation and the person who is or is about to be engaged in the controversy with the department or any of its subdivisions. The settlement shall be effected by a written statement reciting the subject of the controversy and the proposed solu­tion mutually agreed upon by the parties including a statement of the action to be taken, or to be refrained from, by each of the parties. The informal settlement shall constitute a waiver, by all parties, of the formalities to which they are entitled under the terms of the administrative procedure Act, contained in chapter 17 A, with respect to the specific fact situation which is the subject of the controversy.

At any time before or after a controversy is formally identified by the filing of complaint, notice or petition, and before the contested case hearing is convened, either party may initiate a proposal for informal settlement of the controversy by communicating a desire to do so, to the other party and to the presiding officer before whom the parties are to appear for the contested case hearing, if one has been appointed.

820-[01,8]3.4(17 A) Initiation of proceedings. Contested case proceedings may be initiated by the department as required by statute or the constitution in order to determine the legal rights, duties, or privileges of a party which are at issue. Such proceedings may be initiated by the department on its own motion or in response to a complaint or petition for hearing.

3.4(1) Informal complaints may be made by any party verbally or in writing. Informal complaints should identify the party making the complaint, the party or parties complained against, the situation or set of facts which prompted the complaint, and the relief sought. The department may investigate such complaints and through informal means attempt adjustment to the satisfaction of all parties involved. Formal contested case proceedings may be instit~ted by the department to resolve controversies indicated in informal complaints.

3.4(2) Formal complaints and petitions for an evidentiary hearing shall clearly be portrayed as such by the complainant or petitioner. Such complaints and petitions, which satisfy the following requirements shall be accepted for consideration by the department:

a. Complaints and petitions shall be in writing. It is recommended that they be typewritten although legible handwritten submittals may be accepted;

b. Complaints and petitions shall pertain to a single subject, situation or set of facts; c. The name, address and phone number of the complainant or petitioner shall be clearly

indicated. If the complaint or petition is presented by an attorney, the name, address and phone number of that attorney shall also be indicated on the complaint or petition;

d. Complaints shall state the name of the party or parties complained against and, if known to the complainant, the address and phone number of the party or parties complained against;

e. Complaints and petitions shall specify the specific set of facts, situation or conditions which are the subject of the complaint or petition and if applicable shall state the violation(s) of law which is (are) alleged to have taken place; and

f. The relief or remedial actions sought shall be stated in the complaint or petition. 3.4(3) Documents supporting or referred to in the complaint or petitions shall be

attached thereto or submitted to the department upon request. 3.4(4) The department shall receive formal complaints and petitions at the main office

or a local office of the division of the department having primary responsibility in the matters.

[01,8] Ch 3, p.3 Transportation [820] lAC 10/28/81

a. Complaints and petitions may also be submitted to the department at the following address: Iowa Department of Transportation, 800 Lincoln Way, Ames, Iowa 50010.

b. Reserved. 3.4(5) The department shall acknowledge to parties submitting, the receipt and

acceptability for consideration of formal complaints and petitions. Those not satisfying one or more of the above requirements shall be returned to the submittor with a statement indicating corrections which would, if made, make the complaint or petition acceptable.

3.4(6) Within thirty days of receipt of a formal complaint or petition, the department shall initiate proceedings or shall inform the complainant or petitioner that such action is considered unwarranted or not in the public interest or that the controversy has been settled without benefit of an evidentiary hearing. The department on its own motion may extend the time provided to sixty days following receipt, by so informing the complainant or petitioner prior to thirty days following receipt.

820-[0l,B]3.5(17A) Notice of hearing. Service of notice as provided in section 17A.12 shall constitute commencement of contested case proceedings. The contents and format of such notice shall be in reasonable compliance with section 17A.12 and this rule. Notices shall:

3.5(1) Identify all parties to the proceeding and state their interest in the controversy; 3.5(2) Include the statements and references required by subsection 17A.12(2).

820-[0l,B]3.6(17 A) Conduct of hearing. After the presiding officer has called the hearing to order, the parties may be given opportunity by the presiding officer to present opening statements; thereafter, the parties shall present their evidence in such sequence as may be determined by the presiding officer. When a witness is introduced to provide testimony or evidence in a contested case hearing, the witness shall, prior to testifying, be identified by \..,) name and address and shall take an oath or affirmation administered by the presiding officer.

Witnesses shall be subject to examination by, first, the party introducing the witness and then by the other party or parties, alternately as the parties may indicate their desire to do so and as the presiding officer offers them, respectively, the opportunity to do so.

S20-[0l,B]3.7(17A) Subpoenas. The director of transportation or such other personnel of the department as the director shall designate for that purpose, shall upon request, issue subpoenas in accordance with the provisions of section 17 A.13.

820-[0t,B]3.8(17A) Decisions. The content and procedures of issuance of decisions in con-tested cases shall be according to the provisions of section 17 A.16. \..,.,J

820-[0t,B]3.9(17A) Appeal from a proposed decision. 3.9(1) Unless an appeal is delivered to the presiding officer of a proceeding within twenty

days from the date the decision is issued, the decision of the presiding officer in a contested case shall be final, notwithstanding the provisions of this chapter concerning review of the decision on motion of the director of transportation.

lAC 11/3/75 Transportation [820] [Ol,B] Ch 3, p.4

3.9(2) An appeal shall include but need not be limited to the following information: a. Identification of the proceeding appealed from by name and index number; b. The name and address of all persons and agencies party to the proceeding of which

those party to the appeal shall be clearly identified; c. A statement of the issues presented for review. d. A statement of the case to include briefly the nature, course and disposition of prior

proceedings which shall be followed by a statement of the facts relevant to the issues presented for review referenced to the record of prior proceedings as appropriate;

e. The contentions of the appellant with respect to the issues presented, and the reasons therefor, with citations to the authorities, statutes and parts of the record relied on;

f. A conclusion stating the precise relief sought. 3.9(3) If the basis for an appeal is additional evidence not presented at prior

proceedings, the appellant, in addition to the above, shall include such evidence in verified written form and shall state the reasons for failure to present it in prior proceedings.

3.9(4) An appellant shall submit three copies of the appeal to the presiding officer of the proceeding and shall certify that a copy of the pleading has been served upon all parties to the proceeding.

3.9(5) When a transcript of a proceeding is requested by a party for the purpose of appealing a decision or is determined necessary by the presiding officer of the proceeding appealed from, the parties making the appeal shall bear the expense of such transcription.

3.9(6) All parties shall be notified of the date OJl which the appeal, responses to the appeal submitted by parties not joining therein and other pertinent information, shall be submitted to the body which is to review the case.

3.9(7) Parties to the proceeding shall be accorded fifteen days from the date on which the appeal is filed to submit a response thereto.

a. Three copies of the response are to be submitted to the presiding officer of the proceeding and the respondant shall certify that a copy of the response has been served upon all parties to the proceeding.

b. Responses shall conform to the provision for an appeal indicated above except that a statement of the issues and case need not be included, unless the respondent is dissatisfied with such statements made by the appellant.

3.9(8) The presiding officer shall accept and consider amendments and supplements to appeals received at least fifteen days prior to the date which has been established for submittal of the case to the reviewing body. Amendments or supplements 'shall be submitted in the same form, number and manner as the original appeal.

3.9(9) A presiding officer rendering a decision appealed from upon expiration of the time provided for submittal of information concerning the appeal shall take one of the following actions:

a. Submit such information to the appellate body to review the decision along with recommended actions to be taken by that body; or

b. Reverse, modify, or otherwise amend the decision appealed from giving all parties to the proceedings proper notice thereof (a reversed, modified or otherwise amended decision shall become final unless appealed from in accordance with the provisions of this chapter); or

c. Giving proper notice to the parties to the proceedings, reconvene the hearing for the purpose of affording all parties an opportunity to respond to and present additional evidence and argument on issues as may be limited by the presiding officer. The decision appealed from in this situation may be affirmed, reversed, modified or otherwise amended and shall become the final decision unless appealed from according to the provisions of this chapter.

3.9(10) Within thirty days from the expiration of the time provided for submittal of information concerning an appeal from a decision, the body to which such information is submitted for consideration shall:

a. Remand the appeal to the presiding officer for further proceedings; or

[Ol,B] Ch 3, p.S Transportation[820] lAC 10/28/81

b. Affirm, reverse, modify or otherwise amend the decision appealed from giving all parties to the proceeding proper notice thereof.

3.9(11) Review body. a. Unless provided for by a statute other than chapter 17 A, the review body for appeals

shall be the director of transportation or his/her designee. The decision of the director of transportation or his/her designee shall be final.

b. If a statute other than chapter 17 A provides for a review body other than the director of transportation, the decision of this review body shall become final unless appealed to the director of transportation in accordance with the provisions previously stated for an appeal of an initial decision. If appealed to the director of transportation, the decision of the director of transportation or his/her designee shall be final.

820-[01,8]3.10(17A) Motion for review. The director of transportation may, on his/her own motion, review any proposed decision in a contested case rendered by any presiding of­ficer or body of the department. The director of transportation may also, on his/her own motion, preside at the initial evidentiary hearing of a contested case proceeding.

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lAC 10/28/81 Transportation [820] [01,B] Ch 3, p.6

\._,I 820-[0l,B]3.11(17 A) Rehearings. Applications for rehearing shall be filed with the officer or body presiding at the hearing from which the final decision was issued. Unless otherwise provided for by statute or administrative rule, the officer or body issuing the final decision in the case shall determine acceptance or rejection of the application.

3.11(1) Upon acceptance of an application, all parties to the prior hearing from which the final decision was issued shall be promptly notified of the date, time and location of the rehearing.

3.11(2) Procedures under which the prior hearing was conducted shall govern the conduct of the rehearing except to the extent that such procedures are the grounds for granting the rehearing.

3.11(3) The issues in a rehearing may be limited by the officer or body to preside at the rehearing giving proper notice of such limitation to all parties to the prior hearing.

820-[0l,B]3.12(17 A) Prohibited communications. In the event a prohibited communica­tion, as described in section 17A.l7, is made, the recipient thereof shall submit the communication, if written, or a summary of the communication, if oral, for inclusion in the record of the proceeding.

820-[01,B]3.13(17A) Maintenance of records. When an application for an evidentiary hearing is submitted to any office of the department of transportation, it shall be assigned an index number. The index numbers shall be entered, consecutively, in a bound register of hearings. The number, followed by the names of all parties and attorneys for all parties, shall be entered in the register with a statement of the nature of the case. A record of all initial and subsequent filings, notices, motions, pleadings, briefs, decisions and orders shall be entered therein with the dates on which they are received. The name of the officer or body assigned to preside at the hearings shall also be entered as well as the date and place of hearing.

A file shall be identified with that index number and the record of the matter retained therein. If there is a settlement of the matter prior to the hearing, the settlement agreement shall be retained in the file. The record retained shall include any recording of the proceedings including notes taken manually by a reporter or a record taken by mechanical, electrical or electronic means. The records shall be retained for at least five years from the date of the final agency decision. A card file for ready access to the said files alphabetically indexed by the last, first and middle names of the primary party in the matter other than the department of transportation shall be maintained.

The file when released to a presiding officer shall be the responsibility of that presiding officer while it is in the presiding officer's possession and the release and return of the file shall be recorded in the register.

These rules are intended to implement chapter 17 A of the Code.

[Emergency filed and effective 7 /16/75-published 7 /28/75; Notice 7/28/75, flied 9/11/75 -published 9/22/75, effective 10/27 /75]

[Filed 10/2/81, Notice 8/19/81-published 10/28/81, effective 12/2/81]

[03,E] Ch 1, p.1 Transportation [820]

02 COMMISSION AND DIRECTOR DIVISION ARTICLE A

TRANSPORTATION COMMISSION

Reserved ARTICLE B

OFFICE OF THE DIRECTOR OF TRANSPORTATION

Reserved

03 ADMINISTRATION AND SUPPORT DIVISION ARTICLE A

GENERAL ADMINISTRATIVE TOPICS

Reserved ARTICLE B

ACCOUNTING

Reserved ARTICLE C

BUDGET AND FINANCIAL CONTROL

Reserved ARTICLED

PURCHASING

Reserved ARTICLE E

ADMINISTRATIVE SERVICES

CHAPTER 1 RECORDS MANAGEMENT

lAC 12/29/76

820-[03,E] 1.1(304) Records management manual. The "Records Management Manuar• of the Iowa state highway commission is hereby adopted as the policy and standards of the department of transportation concerning records and documents management, classifi­cation, filing and retention.

820-[03,E] 1.2(304) Revision of the manual. The "Records Management Manual, is composed of four chapters as follows: I Records Management Policies and Procedures; II Classification and File Guide; III Retention Period and File Locations; and IV Indexes.

1.2(1) Revisions of chapter I shall be adopted and made effective in accordance with the normal rulemaking provisions of sections 17A.4 and 17A.5 of the Code.

1.2(2) Revisions of chapters II, III, and IV shall be adopted on the authority of the department of transportation administrative division director without publication of notice -..._.; and without providing an opportunity for public comment. In accordance with subsection 17 A.4(2) revisions made to these chapters are a category of rulemaking for which notice and public participation would be impracticable and unnecessary.

Revisions to chapters II through IV, upon approval of the administrative division director, shall be distributed to all subscribers to the manual and to the secretary of state. Such revisions shall become effective 35 days after adoption.

820-[03,E] 1.3(304) AvaHabUity of the records management manual. The "Records Management Manual, may be obtained in person or by mail through the Department of Transportation, Office of Administrative Services, 826 Lincoln Way, Ames, Iowa, 50010. Parties outside of the department of transportation will be assessed a fee for each manual. The fee will include the binder, paper, and printing cost.

[Filed 11/25/75, Notice 10/6/75--published 12/15/75, effective 1/19/76] \..,) [Filed without notice, 12/1/76--published 1

lAC 10/28/81 Transportation [820] [07,C] Ch 13, p.2

820-[07,C]13.2(321) Persons not to be licensed. The department shall not issue a license to any person as outlined in section 321.177, The Code.

13.2(1) The department shall not knowingly license any person who it has good cause to believe would not be able to operate a motor vehicle with safety upon the highways by reason of physical or mental disability until that person has submitted a report from a physician stating that the person is physically and mentally capable of operating a vehicle with safety.

13.2(2) When a physician's report is required attesting to either physical or mental capability to operate a vehicle safely, the report should be submitted on Form 430031 "Medical Report" provided by the department. A report or statement other than Form 430031 may be accepted if it contains all the necessary information. A license shall be issued only if the report or statement indicates that the person is qualified to operate a motor vehicle with safety. The department may submit the statement or report to the driver license medical advisory board for an additional opinion.

13~2(3) The department shall not knowingly license: a. Any person who has been involuntarily committed to a mental health facility and

discharged prior to January 1, 1976, unless that person has been certified by the mental health facility involved as being in good mental health. A report from a physician stating that the person is otherwise physically qualified to operate a motor vehicle with safety shall also be required.

b. Any person who has been specifically adjudged incompetent, as provided by chapter 229, The Code, on or after January 1, 1976, including anyone admitted to a mental health facility prior to that date and not released until after, until it receives specific adjudication that the person is once again competent. A report from a physician stating that the person is otherwise physically qualified to operate a motor vehicle with safety shall also be required.

13.2(4) The department shall not license any person who has epilepsy until that person has remained seizure free for a period of six months, and then only upon receipt of a medical report or statement favorable toward licensing from a physician. The medical report, Form 430031, provided by the department, or statement from a physician must contain the information as requested including the physician's recommendation toward licensing. If a medical report indicates a pattern of only nocturnal seizures the department may license without a six month seizure free period after review of the case by the medical advisory board.

13.2(5) The department shall not license any person who must wear bioptic telescopic lenses to meet the visual acuity standard required for a license.

13.2(6) When the department receives evidence that an Iowa licensed driver has been adjudged incompetent, or receives a report or statement from a physician stating that the driver is not physically or mentally qualified to operate a motor vehicle with safety, the department shall suspend the license under subsection 321.210(4), The Code. If not enough time remains on the license to give advance notice as required by section 321.210, The Code, the driver shall be denied further licensing. The effective date of the denial shall be the expira­tion date on the license. If the applicant does not have a valid Iowa license, the denial shall be effective when notice is served.

13.2(7) A person whose license has been suspended or denied pursuant to this rule must meet the visual standard for licensing, pass the required knowledge examination(s), and pass the required driving test before an Iowa license will be granted.

13.2(8) The department shall not license any person who has not passed the required examination(s). When an Iowa licensed driver takes the examination(s) and fails, the department may suspend the license under subsection 321.210(4), The Code. If not enough time remains on the license to give the advance notice required by section 321.210, The Code, the driver may be denied further licensing. The effective date of such denial would be the expiration date on the license. When the applicant does not hold a valid Iowa license, the department may refuse orally to issue a license or may deny licensing in writing, effective on the date the denial notice is served.

This rule is intended to implement sections 321.177 and 321.210, The Code.

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lAC 9/17/80, 10/28/81 Transportation[820] [07,C] Ch 13, p.3

820-[07,C]l3.3(321) Driver license examinations. The kind of examination(s) required \..,I depends on the type of license applied for and circumstances surrounding such application.

The department may require persons to take examination(s) as the department has reasonable cause for requiring in determining a person's fitness to operate a motor vehicle safely.

13.3(1) Knowledge examinations. The purpose of knowledge examinations is to determine ability to read and understand highway signs regulating warning, and directing traffic, and knowledge of the traffic laws of Iowa. Knowledge examinations will be in the form of written examinations, unless there are cases in which it can be demonstrated that an oral examination is necessary and justified. Unless special circumstances prevail, persons will be required to take the written examination(s) at least once before being considered for an oral examination. In cases of oral examinations, special emphasis will be directed toward the person's ability to understand highway signs and pavement markings regulating, warning,

\.,.) and directing traffic. An oral examination for knowledge of Iowa traffic laws and safe driving practices will consist of the examiner, or an authorized person, reading the questions, inter­preting questions when necessary, and asking the person to answer. Persons may be required to explain their answers and give further examples relative to such question(s). The examiner may require further knowledge examination when there is good reason for doing such. Passing an oral examination shall be at the discretion of the examiner.

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[07,C] Ch 13, p.4 Transportation[820] lAC 7/1/75

a. The following types of written examinations are given: Operator, chauffeur, motorcycle and school bus. The department may change its wtitten examinations at any time, however, all written examinations will state the minimum passing score.

b. When necessary, because of delay in completing application for a license, documentation of passage. will be given to persons passing necessary knowledge examination(s). This documentation may be presented to any driver examiner within a period of ninety days from its issuance and knowledge examination(s) retesting will not be required because of time delay in completing the application.

c. Retaking of written or oral knowledge examination(s) for which an applicant fails to obtain a passing score may not occur on the same day as the prior attempt. This prohibition may be waived for written examinations at the discretion of the examiner, but in no case shall an examination be taken in less than two hours after the prior attempt.

13.3(2) Vision examination. At driver license stations, a titmus vision tester shall be utilized to screen for visual acuity at driver license stations. A wall chart may be used at other locations. Persons with corrective lenses will be asked if they desire to take the vision screening test without the aid of corrective lenses.

a. Visual standards for licensing are as follows: (1) 20/40 or better (at least one eye): No restriction unless corrective lenses are needed

to bring vision to this level. (2) Less than 20/40 but at least 20/50 (at least one eye): Same as one above plus may

not drive when headlights are required. (3) Less than 20/50 but at least 20/70 (at least one eye): Same as one and two above,

plus maximum speed to not exceed SO m.p.h. (4) If vision in the left eye is less than 20/100 the license will be restricted such that a

left outside rearview mirror shall be required of the vehicle driven. However, if a person has 20/40 in the right eye and less than 20/100 in the left eye without corrective lenses, and such person already has corrective lenses that will bring vision in left eye up to better than 20/100, license will be restricted to corrective lenses or left outside rearview mirror at the option of the applicant.

b. Persons who cannot obtain a reading of 20/40 with at least one eye, but who can obtain a reading of at least 20/70 with one eye on first appearance wi11 not be issued a license, but will be referred to a medical authoricy of their own choosing. A visual report, Form 430032 will be given to such persons to be completed and returned for licensing consideration. Visual reports other than on the department's form may be accepted. The purpose of this procedure is to issue licenses with the least possible vision restrictions.

(1) If such persons possess an Iowa license, the department personnel will stamp the license, "Renewal or license issuance denied due to vision". If such person's license will expire within thirty days, a temporary driving permit may be issued with visual restrictions noted according to visual acuity as screened by department personnel.

(2) When such persons. return Form 430032, another vision screening test will be conducted and inquiry made as to whether the person is in possession of corrective lenses or new corrective lenses. When visual reports are presented that recommend a restricted license even though such vision would not reQuire such restriction(s), the department will restrict according to the recommendations on Form 430032.

c. Persons who cannot obtain a visual acuity of 20/70 on first appearance or who presents visual report forms of less than 20/70 will not be licensed by a driver license examiner. The license of such persons will be suspended on grounds that such persons are incompetent. If such persons do not have enough time remaining on license to give the required advance notice as provided in section 321.210, they will be denied further licensing. The effective date of such denial will be when the license is no longer valid for driving. If such persons do not have a valid license, they will be denied further licensing upon service of a denial notice.

d. Persons who are denied a license due to failure to obtain the required visual acuity, may reapply at such time as corrective measures improve their vision. However, persons

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lAC 8/23/78 Transportation [820] [07,C] Ch 13, p.23

c. Within a period of twelve months is involved in five motor vehicle accidents. d. Appears to be in violation of section 321.216. e. Is convicted of a serious violation as defined in 13.13(7). f. Is subject to suspension pursuant to the provisions of section 321.210. 13.19(2) The driver license hearing officer may take the following remedial action as the

result of the interview /informal settlement. a. Recommend driving privileges be suspended and the length of the suspension. b. Place the driver under probation. A conviction of a moving violation during the

probation will result in suspension. c. Order the driver to successfully complete an approved driver improvement course.

Driver will also be on probation during and, in some cases, after completion of the course. d. Recommend that no further action be taken. 13.19(3) Failure to appear at the driver improvement interview/informal settlement will

result in the suspension of a person's drivers license.

820-[07 ,C]13.20(321) Driver license suspension hearings. 13.20(1) Upon suspending the license of any person, the department will provide a

notice and a hearing as provided in section 321.211. 13.20(2) A hearing may be requested by an individual by writing to: Office of Driver

Licensing, Motor Vehicle Division, Department of Transportation, Lucas State Office Building, Des Moines, Iowa (50319).

13.20(3) These hearings (contested cases) will be held in accordance with the provisions of chapter 17 A.

13.20(4) Following such hearings, the department shall either rescind its order of suspension or, good cause appearing therefor, may extend the suspension of such license or revoke such license.

13.20(5) Judicial review of the actions of the department may be sought in accordance with the terms of the Iowa administrative procedures Act (chapter 17 A).

These rules ~re intended to implement chapter 321 of the Code.

820-[07 ,C]13.21(321)* Service of suspension and revocation notices. Service of notices required by chapter 321 of the Code is provided for in section 321.16 of the Code. Service may be by restricted certified mail with return acknowledgment or by personal delivery.

13.21(1) Methods of service of notice. a. The first attempt shall be by restricted certified mail with return acknowledgment by

the addressee required. b. If service of notice by mail is unsuccessful, the notice shall be referred to the sheriffs

office, in the county where the subject of the notice resides, for service. The officer making the personal service shall certify that he/she delivered the notice to the addressee, the address where the notice was served and the date of service. If service cannot be made, the officer shall certify to that effect.

c. Notice may also be given by any officer or employee of the department or by any person over eighteen years of age. The person making the service shall certify as to the name of the person served and the manner, time and place of service.

13.21(2) Service of notice-payment-fees. a. The fees to be paid to a sheriff's officer for personal service of notice shall be governed

by section 337.11 of the Code. b. The fees to be paid for personal service of notice by anyone other than a sheriff's

officer shall not exceed the amounts provided by section 337.11 of the Code. There shall be no fees paid to an employee or a member of the department for serving a notice.

c. The fees shall be paid to the person serving a notice upon receipt of a certificate of service. The fees shall be paid from funds appropriated pursuant to section 321.211 of the •Emergency, pursuant to §17A.5{2)"b"(2) of the Code.

[07,C]Ch 13, p.24 Transportation [820] lAC 10/28/81

Code. This rule is intended to implement section 321.211, The Code.

[Filed July 1, 1975] [Filed 12/28/76, Notice 11/3/76-published 1/12/77, effective 2/16/77]

[Filed emergency 7 /28/78-published 8/23/78, effective 8/1/78] [Filed 2/8/79, Notice 12/27 /78-published 3/7/79, effective 4/11/79] [Filed 2/12~80, Notice 12/26/79-published 3/5/80, effective 4/9/80]

[Filed 2/27/80, Notice 1/9/80-published 3/19/80, effective 4/23/80] [Filed 8/25/80, Notice 7/9/80-published 9/17/80, effective 10/22/80] [Filed 4/17/81, Notice 3/4/81-published 5/13/81, effective 6/17/81] [Filed 5/19/81, Notice4/l/81-published 6/10/81, effective7/15/81] [Filed emergency 9/17/81-published 10/14/81, effective 9/17/81]

[Filed 10/2/81, Notice 8/19/81-published 10/28/81, effective 12/2/81]

CHAPTER 14 FINANCIAL RESPONSIBILITY

820-[07 ,C]14.1(321A) Definitions. Definitions are incorporated as provided in section 321A.l of the Code.

820-[07 ,C]14.2(321A) Hearings-procedure. 14.2(1) Any person aggrieved by orders or acts of the director under sections 321A.4 to

321A.11 is entitled to a hearing. The request can be made in writing or by telephone to the Office of Drivers License, Lucas Building, Des Moines, Iowa. The person or the person's attorney requesting the hearing will be notified by mail of the date, time and location of the hearing. Suspension action will be stayed pending a decision by the hearing officer.

14.2(2) Conducting the hearing. a. The person must appear in person or be represented by counsel. b. The person may present witnesses, affidavits, or other evidence substantiating the

request for relief. The hearing officer may subpoena witnesses and conduct such investigations deemed necessary to:

(1) Determine if there was any fault or reasonable possibility that judgment could be rendered against the subject of the hearing.

(2) Determine if the subject of the hearing is properly identified with the accident. (3) Determine if the subject of the hearing is entitled to any exceptions provided by law. (4) Determine if the security request is reasonable and make adjustments deemed

necessary or proper.