Iowa Administrative Code Supplement

%1ute of 3Jowu

Iowa Administrative

Code

Supplement Biweekly

May 6, 1987

PHYLLIS BARRY DEPUTY CODE EDITOR

LAVERNE SWANSON ADMINISTRATI VE CODE A SSISTANT

DONNA WATERS ADMINISTRATIVE CODE A SSISTANT

PUBLISHED BY THE

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

lAC Supp. PREFACE lAC 10/8/86

Pursuant to section 17 A.6 of the Iowa Code, the Iowa Administrative Code [lAC] Supplement is published biweekly and supersedes Part II of previous publicat ions.

T he 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 7. 17, 17A.4 to 17A.6. [It may be necessary to refer to the Iowa Administra tive Bulletin• to determine the specific change.] The Supplement may also contain new or replacement pages for "General Information ," Ta bles o f Rules Implementing Statutes, a nd Index. 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 a lso be published in the Supplement.

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

lAC 9/ 24/86 Employment Services[341) Ch I, p.7

•section i7A.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, Economic Impact Statements, 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.

lAC Supp. S/6/87 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.

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

UPDATING INSTRUCTIONS May 6, 1987, Biweekly Supplement

IOWA ADMINISTRATIVE CODE

AGRICULTURE DEPARTMENT[30]

Remove Old Pages*

Ch 16, p.2-Ch 16, p.S Ch 16, p.20

Insert New Pages

Ch 16, p.2-Ch 16, p.S Ch 16, p.20

AUDITOR OF STATE[130] Analysis, p.1-Ch 26, p.2 Page 1

COLLEGE AID COMMISSION[245]

EMPLOYMENT

Analysis, p.l, 2 Ch 10, p.1-Ch 10, p.6 Ch 10, p.17-Ch 10, p.20 Ch 10, p.2S-Ch 10, p.30 Ch 10, p.43a-Ch 10, p.46 Ch 10, p.SS Ch 12, p.1-Ch 13, p.1

SECURITY[370] Analysis, p.1-Ch 10, p.38

NURSING BOARD[590] Ch 2, p.1, 2 Ch 2, p.S-Ch 2, p.8

SUBSTANCE ABUSE[805] Ch 6, p.3, 4 Ch 6, p.9, 10

Analysis, p.1, 2 Ch 10, p.1-Ch 10, p.6 Ch 10, p.17-Ch 10, p.20 Ch 10, p.25-Ch 10, p.30 Ch 10, p.43a-Ch 10, p.46 Ch 10, p.SS Ch 12, p.1-Ch 13, p.1

Analysis, p.1

Ch 2, p.l, 2 Ch 2, p.S-Ch 2, p.8

Ch 6, p.3, 4 Ch 6, p.9, 10

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

Page 2 Instructions lAC Supp. 5/6/87

Remove Old Pages* Insert New Pages ~

The following are some of the ''umbrella'' Departments, Commissions, and Divisions created by state government reorganization.

AUDITOR OF STATE[81] Analysis, p.1-Ch 26, p.2

Alcoholic Beverages Division(185) Analysis, p.1, 2 Analysis, p.1, 2

Ch 4, p.IO, 11 Ch 4, p.10, 11

Utilities Division[199] Ch 19, p.7, 8 Ch 19, p.7, 8 Ch 19, p.41 Ch 19, p.41 Ch 20, p.7, 8 Ch 20, p.7, 8 Ch 20, p.45-Ch 20, p.48 Ch 20, p.45-Ch 20, p.48 Ch 20, p.53, 54 Ch 20, p.53, 54 Ch 22, p.8, 9 Ch 22, p.8, 9 Ch 22, p.18, 19 Ch 22, p.18, 19 Ch 22, p.24, 25 Ch 22, p.24, 25 Ch 22, p.30 Ch 22, p.30

ECONOMIC DEVELOPMENT, IOWA DEPARTMENT OF[261) Analysis, p.3, 4 Analysis, p.3, 4

Ch 21, p.1-Ch 22, p.3 Ch 21, p.1-Ch 22, p.3 Ch 22, p.6 Ch 22, p.6

Labor Services Division[347) Analysis, p.1, 2 Analysis, p.1, 2 Analysis, p.3a-Ch 1, p.2 Analysis, p.3a-Ch 1, p.2 Ch 2, p.1-Ch 26, p.1 Ch 2, p.1-Ch 26, p.1 Ch 27, p.3-Ch 28, ·p.1 Ch 27, p.3-Ch 28, p.1 Ch 32, p.5-Ch 36, p.2 Ch 32, p.5-Ch 36, p.2 Ch 38, p.2-Ch 38, p.4 Ch 38, p.2-Ch 38, p.4 Ch 72, p.1-Ch 73, p.2 Ch 72, p.1-Ch 73, p.2 Ch 77, p.1-Ch 78, p.3 Ch 77, p.1-Ch 78, p.3 Ch 82, p.2-Ch 82, p.5 Ch 82, p.2-Ch 82, p.5 Ch 99, p.1-Ch 140, p.3 Ch 99, p.1-Ch 140, p.3

HUMAN SERVICES DEPARTMENT[441] Ch 175, p.1, 2 Ch 175, p.1, 2

Ch 175, p.9 Ch 175, p.9

PERSONNEL DEPARTMENT[581) Analysis, p.3 Analysis, p.3

Ch 21, p.1-Ch 22, p.3

REVENUE AND FINANCE DEPARTMENT[701) Ch 7, p.1, 2 Ch 7, p.1, 2

Index Volume "L" tab, p.1-6 "L" tab, p.1-6

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*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, 2/1184 Agriculture Department[30] Ch 16, p.2

30-16.4(163) "Exposed" defined. An animal must be considered as "exposed" when it has stood in a stable with, or been in contact with, any animal known to be affected with a contagious, infectious or transmissible disease; or if placed in a stable, yard or other enclosure where such diseased animal or animals have been kept unless such stable, yard or other enclosure has been thoroughly cleaned and disinfected after containing animals so affected.

This rule is intended to implement section 163.1 of the Code.

30-16.5(163) Sale of vaccine. No attenuated or live culture vaccine or virus shall be sold or offered for sale at retail except to a licensed veterinarian of this state, nor shall it be administered to any livestock or poultry except by a licensed veterinarian of the state of Iowa. This does not apply to the sale of and administration of virulent hog-cholera virus when sold to and administered by valid permit holders for its use on hogs owned by themselves on their own premises.


30-16.6(163) "Quarantine" defined. The term "quarantine" shall be construed to mean the perfect isolation of all diseased or suspected animals from contact with other animals as well as the exclusion of other animals from yards, stables, enclosures or grounds where suspected or diseased animals are or have been kept.


30-16.7(163) Chiefs of Iowa and U.S. animal industries to co-operate. The department of agriculture hereby authorizes and directs the chief of division of animal industry to co-operate with the bureau of animal industry, United States department of agriculture, in all regulations for the prevention, control and eradication of contagious and infectious diseases among domestic animals in the state of Iowa.


16.8 and 16.9 Reserved. [Filed 6/3/55]

[Filed 1113/84, Notice 2/7 /83-published 2/1/84, effective 3/7 /84]

GLANDERS AND FARCY CONTROL [Rules 16.10 to 16.13, previously 16.6 to 16.9, letter authorizing renumbering 10/11177)

30-16.10(163) Preventing spread of glanders. No person owning or having the care or custody of any animal affected with glanders or farcy, or which there is reason to believe is affected with said disease, shall lead, drive or permit such animal to go on or over any public grounds, unenclosed lands, street, road, public highway, lane or alley; or permit such animal to drink at any public watering trough, pail or spring, or keep such diseased animal in any enclosure in or from which such diseased animal may come in contact with, or in proximity to, any animal not affected with such disease.


30-16.11(163) Disposal of diseased animal. Whenever any animal affected with glanders dies or is destroyed the carcass of such animal shall be burned immediately.

As glanders is transmissible to human beings great care must be exercised in handling diseased animals or carcasses.


30-16.12(163) Glanders quarantine. It shall be the duty of the chief of division of animal industry to maintain quarantine on all animals affected with glanders until such animals have been destroyed by consent of the owner or otherwise, and carcasses disposed of in accordance with 16.11(163) and the premises where the same have been kept thoroughly cleaned and disinfected.


Ch 16, p.3 Agriculture Department[30] lAC 5/6/87

30-16.13(163) Tests for glanders and farcy. In suspected cases of glanders and farcy the most efficient field test is the intrapalpebral mallein test, and as valuable aids to diagnosis the mallein Strass' agglutination and precipitation tests shall be recognized.

This rule is intended to implement Iowa Code section 163.1.

30-16.14 Reserved. [Filed 6/3/55]

BLACKLEG CONTROL (Rule 16.15 previously 16.10, letter authorizing renumbering 10/11177]

30-16.15(163) Blackleg. Upon the appearance of an outbreak of blackleg on any premises all calves and yearlings on the premises should be promptly immunized. All carcasses of animals dead of blackleg must be burned intact without removal of the hide. Such car-casses may be disposed of by removal within twenty-four hours by the operator of a '--! regularly licensed rendering plant. In the event that the owner of any animat' dead from blackleg neglects or refuses to make such disposition of the carcass or carcasses as indicated above, then in such cases the disposal shall be handled in accordance with 12.33(163).

This rule is intended to implement Iowa Code sections 167.18 and 163.2.

30-16.16 Reserved. [Filed 6/3/55]

[Filed 1113/84, Notice 12/7 /83-published 2/1184, effective 3/7 /84] DEPARTMENT NOTIFICATION OF DISEASES

(Rule 16.17 previously 16.11, letter authorizing renumbering 10/11177)

30-16.17(163) Notification of chief of animal Industry. It shall be the duty of any city or local board of health or township trustees, whenever notice is given of animals being affected with rabies, glanders, scabies, hog cholera or any contagious or infectious disease '\,.) or having been exposed to the same, to promptly notify the chief of division of animal industry.


30-16.18 to 16.22 Reserved. [Filed 6/3/55]

RABIES CONTROL (Rules 16.23 to 16.25 previously 16.12, 16.23, and 16.132, letter authorizing renumbering 10/11177]

30-16.23(163) Rabies-exposed animals. Whenever rabies is known to exist in any community it shall be the duty of all owners of dogs or other exposed animals to immediately confine such dogs or animals securely to prevent them from spreading the infection should they develop the disease.

This rule is intended to implement Iowa Code section 351.39. \.,.;

30-16.24(163) Rabies quarantine. When quarantine is established in any community on account of the existence of rabies all dogs not confined or muzzled shall be promptly destroyed.


30-16.25(351) Control and prevention of rabies. 16.25(1) Antirabies vaccine. a. Vaccines and immunization procedures recommended in the Compendium of Animal

Rabies Vaccines prepared by the National Association of Public Health Veterinarians, Inc. are approved by the Iowa Department of Agriculture and Land Stewardship.

b. Reserved.

lAC 5/6/87 Agriculture Department[30] Ch 16, p.4

·~ 16.25(2) Tag a11d certificate. a. The veterinarian shall issue a tag with the numerical number thereon and the certifi

cate of vaccination shall designate the tag number. b. Each rabies vaccination certificate issued by the veterinarian must be an Official

Rabies Vaccination Certificate approved by the Iowa department of agriculture. This rule is intended to implement Iowa Code section 351.35.

16.26 to 16.29 Reserved. [Filed 6/3/55, amended 7/13/65, 3/21/67]

[Filed 4/17/87, Notice 3/11/87-published 5/6/87, effective 6/10/87]

SCABIES OR MANGE CONTROL I Rule 16.30 previously 16.14, letter authorizing renumbering 10/11177)

30-16.30(163) Scabies or mange quarantine. Whenever the chief of division of animal industry shall have knowledge of any horses, cattle, sheep or swine affected with scabies or mange, owners of any horses, cattle, sheep or swine affected shall dip the animals at intervals and at the dips as the chief of the division of animal industry deems necessary.

This rule is intended to implement Iowa Code section 166A.8.

16.31 Reserved. [Filed 6/3/55]

[Filed 1/13/84, Notice 12/7 /83-published 2/1/84, effective 3/7 /84] DISEASE CONTROL AT FAIRS AND EXHIBITS

fRules 16.32 to 16.35 previously 16.16 to 16.19, letter authorizing renumbering 10/11177)

30-16.32(163) State fairgrounds-disinfection of Hvestock quarters. It shall be the duty of the chief of division of animal industry to supervise the disinfection of all buildings, stalls and pens at the state fairgrounds just prior to the opening of such fair and to supervise the disinfecting daily of hog pens and such other enclosures.


30-16.33(163) County fairs-disinfection of Hvestock quarters. It shall be the duty of all secretaries of all county fairs or exhibitions of livestock in the state of Iowa, excepting the Iowa state fair, to supervise the disinfecting of all buildings, stalls and pens prior to the opening of such county fair or exhibition of livestock and to disinfect hog pens and all such enclosures daily during such fairs and exhibitions. · -


30-16.34(163) Livestock exhibition health certltlcate required. All livestock, poultry and birds intended for any exhibition except local FFA and 4-H fairs will be considered under quarantine and not eligible for showing until the owner or agent presents an official health certificate. The certificate must be issued by an accredited veterinarian within thirty days prior to the date of entry; and must indicate that (s)he has inspected the animals, poultry or birds and any nurse stock that accompany them, and that they are apparently free from symptoms of any infectious disease (including warts, ringworm, footrot and pinkeye) or any communicable disease.

16.34(1) Cattle. Steers, beef type heifers, exhibited in market classes, and native Iowa cattle originating from a herd not under quarantine can be exhibited without a record of a negative tuberculosis or brucellosis test, when accompanied by an offical health certificate showing individual identification for each animal. Cattle originating outside the state must be accompanied by an official health certificate indicating both of the following:

a. Either individual identification when the animal originates from a herd not under quarantine for tuberculosis or a negative tuberculosis test; and

b. A negative brucellosis test confirmed by a state-federal laboratory; or in lieu thereof an official health certificate indicating one of the following:

(1) The animal is under twenty-four months if beef breed or twenty months if dairy breed and has received an official brucellosis vaccination;

Ch 16. p.S Agriculture Department [30] lAC 2/1/84

(2) A report of a negative brucellosis test conducted within seventy-five days prior to opening date of exhibition, provided the animal originates from a herd not under quarantine;

(3) Individual identity, herd number, and date of last test provided the animal originates from a certified brucellosis-free herd; or

(4) Individual identification provided the animal is a calf under eight months of age. 16.34(2) Swine. All swine must originate from a herd or area not under quarantine; and

must be individually identified. The exhibitors must present both a signed affidavit stating that to the best of their knowledge there has been no evidence of swine dysentery for the past twelve months and a test record indicating that the swine have had a negative test for pseudorabies within sixty days prior to the show.

All purebred or grade breeding swine six months of age or over must either: (1) Have a negative brucellosis test conducted within sixty days prior to the show and confirmed by a state-federal laboratory; or (2) Originate from a brucellosis validated herd; and indicate on each health certificate the date of the last test and herd certificate number. Market class swine can be moved from exhibition for further feeding when not meeting brucellosis requirements, provided a written permit is obtained from the veterinary inspector in charge of the exhibition.

16.34(3) Sht•ep and goats. All sheep must be individually identified and a record of the identification noted on the health certificate. Any evidence of footrot, sore mouth or any other contagious disease will eliminate the animal from the show.

Goats must be from a state certified brucellosis-free herd or have a record of a negative brucellosis test performed within seventy-five days of the exhibition. In addition, they must originate from a herd having a negative tuberculosis test within the last twelve months; or have a record of a negative tuberculosis test performed within seventy-five days of exhibition.

16.34(4) Horses and mules. Native Iowa horses and mules can be exhibited when accompanied by an individual health certificate listing a description of the individual animals.

All equine originating from outside the state shall be accompanied by an official health certificate listing a description of the individual animals; and indicating that each animal in the shipment has had a negative official equine infectious anemia test within six months of importation. The testing laboratory and date of test must appear on the health certificate.

16.34(5) Poultry and birds. All poultry exhibited must come from U.S. pullorumtyphoid clear or equivalent flocks; or have had a negative pullorum-typhoid test performed within ninety days of exhibition by an authorized tester.

16.34(6) Dogs and cats. Dogs and cats exhibited must have current rabies vaccination certiticates.

16.34(7) Removal .from fair or exhibition. The veterinary inspector in charge shall order any livestock, poultry or birds found to be infected with any contagious or infectious disease, be removed from the fair or exhibition.


30-16.35(163) Health requirements for exhibition of llvestock, poultry and birds at county exhibitions. Each county fair shall have an official veterinarian who will inspect all livestock. poultry and birds when they are unloaded or shortly thereafter. No official health certificate will be required on livestock, poultry and birds exhibited at a county 4-H or FFA show. Quarantined animals or animals from quarantined herds cannot be exhibited. Evidence of warts. ringworm, footrot, pinkeye or any other contagious or infectious condition will eliminate the animal from the show.

16.35(1) Swine. Swine exhibitors shall present to the veterinarian the following: (1) A signed affidavit stating that to the best of their knowledge, swine dysentery has not been in evidence in their herd for the past twelve months; and (2) Record of a negative pseudorabies test performed within sixty days before the exhibition, subject to 16.35(2).

lAC 5/6/87 Agriculture Department[30] Ch 16, p.20

16.153(5) The cost of the program, testing and vaccination, shall be provided for by federal or state, or a combination of both funds. No indemnities will be paid for condemned animals.

16.153(6) In the event federal or state funds are not available, producers within a pilot control area may continue the program at their own expense under state supervision.

This rule is intended to implement Iowa Code section 166C.3.

[Filed emergency 6/30/77-published 7/27/77, effective 6/30/77] [Filed emergency 7 /22/77-published 8/10/77, effective 7 /22/77] [Filed emergency 9/2/77-published 9/21/77, effective 9/2/77]

[Filed 9/2/77, Notice 7121 /77-published 9/21/77, effective 10/26/77] [Filed emergency 9/29/77-published 10/19/77, effective 9/29/77]

[Filed emergency 11/18/77-published 12/14/77, effective 11/18/77] [Filed emergency 11/22/77-published 12/14/77, effective 11/22/77] [Filed 5/3/78, Notice 3/22/78--published 5/31178, effective 7 /5/78]

[Filed emergency 8/25/78--published 9/20/78, effective 8/25/78] [Filed emergency 9/7 /78--published 9/20/78, effective 9/20/78]

[Filed 9/15/78, Notice 7 /26/78--published 10/4/78, effective 11/9/78] [Filed emergency after Notice 11/1178, Notice 9/20/78--published 11/15/78,

effective 11/1/78] [Filed 8/13/82, Notice 717/82-published 9/1/82, effective 10/6/82]

[Filed 12/3/82, Notice 10/27 /82-published 12/22/82, effective 1126/83] [Filed 1113/84, Notice 2/7 /83-published 2/1/84, effective 3/7 /84]

[Filed emergency 3/9/84-published 3/28/84, effective 3/9/84] [Filed 5/4/84, Notice 3/28/84-published 5/23/84, effective 6121 /84] [Filed 4/17/87, Notice 3/11/87-published 5/6/87, effective 6/10/87]

For additional history, see individual divisions in Chapter 16.

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lAC 4/22/87, 5/6/87 Auditor of State[l30] Page 1

~ AUDITOR OF STATE[130]

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\.-I

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Rules transferred to agency number[81] to conform with reorganization numbering scheme in general. lAC Supp. 5/6/87.

lAC 9/10/86 College Aid[245] Analysis, p.1

COLLEGE AID COMMISSION[245] [Formerly Higher Education Facilities Commission)

CHAPTER 1 FEDERAL GRANTS FOR UNDER

GRADUATE FACILITIES 1.1(261) The construction and equipment

grants programs CHAPTER2

SCHOLARSHIP PROGRAM \,../ 2.1(261) A state-supported and adminis

tered scholarship program CHAPTER 3

IOWA MEDICAL TUITION LOAN PLAN

3.1(261) Tuition loans for Iowa resident students who agree to become general practitioners (family doctors) and practice in Iowa

CHAPTER4 IOWA TUITION GRANT PROGRAM

4.1 (261) Tuition grants, based upon financial need, to Iowa resident stu-

..._,) dents attending eligible private institutions of postsecondary education in Iowa

4.2(261) Tuition grant institutional eligibility requirements

CHAPTER 5 IOWA VOCATIONAL-TECHNICAL

TUITION GRANT PROGRAM 5.1(261) Tuition grant based on financial

need to Iowa residents enrolled as full-time students in vocational or technical (career education) programs at public area schools in the state

CHAPTER 6 ADVISORY COUNCIL FOR STUDENT

AID PROGRAMS 6.1(261) Advisory council

CHAPTER 7 OSTEOPATHIC SUBVENTION

PROGRAM 7.1(261) A state-supported subvention pro

gram to be used for admission and education of Iowa residents at the College of Osteopathic Medicine and Surgery

CHAPTERS OPTOMETRIC AND PODIATRIC

TRAINING PROGRAM 8.1(261) Two state-supported programs to

ensure admission of Iowa residents to optometric and podiatric training through contracts with accredited colleges of optometry and podiatry.

CHAPTER 9 NATIONAL GUARD EDUCATIONAL

BENEFITS PROGRAM 9.1(261) Benefits

CHAPTER 10 IOWA GUARANTEED STUDENT

LOAN PROGRAM GUARANTEED STUDENT LOANS

10.1(261) 10.2(261) 10.3(261) 10.4(261) 10.5(261)

10.6(261)

10.7(261) 10.8(261)

10.9(261) 10.10(261) 10.11(261) 10.12(261)

10.13(261)

10.14(261) 10.15(261)

10.16(261) 10.17(261) 10.18(261) 10.19(261) 10.20(261) 10.21(261) 10.22(261) 10.23(261)

10.24(261) 10.25(261) 10.26(261) 10.27(261)

Iowa guaranteed student loans Eligibility Loan amounts Application process Responsibilities of the

borrower Forms for which the borrower

is responsible Responsibilities of the school Forms and reports for which

school is responsible Loan application Check processing Responsibilities of the lender Forms for which the lender is

responsible Reports which the lender

receives Making a loan Accelerated Loan Processing

Option Promissory note Disbursement Loan status Interest Interest benefits Unsubsidized loans Special allowance Loan eligibility for interest

and special allowance Guarantee fee Origination fee Prepayment Repayment requirements

Analysis, p.2 College Aid[245] lAC 5/6/87

10.28(261) Grace period 10.72(261) Bankruptcy claim ~ 10.29(261) Repayment and disclosure 10. 73(261) Total and permanent disability

statement claim 10.30(261) .Deferment 10.74(261) Death claim 10.31(261) Forbearance 10.75(261) Sale or transfer of loans 10.32(261) Refinance 10.76(261) Secondary markets 10.33(261) Due diligence in collection LIMITATION. SUSPENSION AND TERMINATION 10.34(261) Claim processing 10.77(261) Purpose and scope 10.35(261) Default claim 10.78(261) Definitions 10.36(261) Bankruptcy claim 10.79(261) Grounds for proceedings 10.37(261) Total and permanent disability 10.80(261) Notice of intent

claim 10.81(261) Emergency action 10.38(261) Death claim 10.82(261) Informal compliance ~ 10.39(261) Sale or transfer of loans procedure 10.40(261) Secondary markets 10.83(261) Suspension proceedings

PLUS LOANS 10.84(261) Limitation proceedings 10.41(261) Iowa PLUS Loans 10.85(261) Termination proceedings 10.42(261) Eligibility 10.86(261) Hearing and decision 10.43(261) Loan amounts 10.87(261) Appeal 10.44(261) Application process 10.88(261) Removal of limitation 10.45(261) Responsibilities of the 10.89(261) Reinstatement after

borrower termination 10.46(261) Forms for which the borrower

CHAPTER 11 is responsible DUE PROCESS 10.47(261) Responsibilities of the school

11.1 (261) Appeals ~· 10.48(261) Forms and reports for which the school is responsible CHAPTER 12

10.49(261) Loan application ORGANIZATION AND OPERATION 10.50(261) Check processing 12.1 (261 )Purpose 10.51(261) Responsibilities of the lender 12.2(261) Organization and Operations 10.52(261) Forms for which the lender is CHAPTER 13

responsible RULEMAKING AND DECLARATORY 10.53(261) Reports which the lender RULINGS

receives 13.1(261) Initiation of rulemaking 10.54(261) Making a loan procedures 10.55(261) Accelerated Loan Processing 13.2(261) Procedures for oral and

Option written presentations 10.56(261) Promissory note 13.3(261) Reserved

\..-1 10.57(261) Disbursement 13.4(261) Declaratory rulings 10.58(261) Loan status 13.5(261) Procedure for informal settle-10.59(261) Interest ments in contested cases 10.60(261) Special allowance 10.61(261) Loan eligibility for interest CHAPTER 14

and special allowance IOWA GUARANTEED LOAN 10.62(261) Guarantee fee PAYMENT PROGRAM 10.63(261) Prepayment 14.1(261) Iowa guaranteed loan payment 10.64(261) Repayment requirements for new teachers of advanced 10.65(261) Deferment mathematics and specified 10.66(261) Forbearance science programs in approved 10.67(261) Refinance Iowa postsecondary schools 10.68(261) Consolidation \.,) 10.69(261) Due diligence in collection 10.70(261) Claim processing 10.71(261) Default claim

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lAC 5/6/87 College Aid[245]

CHAPTER 10 lOW A GUARANTEED STUDENT LOAN PROGRAM

Ch 10, p.l

[Revision of ch 10 was filed emergency on 6/27/86. Replacement pages renect only the amendments from the 3/12/86, 712/86, 7/16/86, and 10/22/86 lABs.] The filed emergency amendments were rescinded and chapter 10 was adopted following Notice, 10/22/86 lAB, effective 12/10/86.

Preamble: The Iowa Guaranteed Student Program and the lowa PLUS Program provide loans to students for educational expenses at postsecondary education institutions. The Iowa College Aid Commission is the guarantee agency for these loans. The rules presented here specify the policies and procedures for the origination and servicing of Iowa Guaranteed Student Loans and Iowa PLUS Loans.

References to Code of Federal Regulations are those in effect as of July I, 1983, unless specified otherwise.

245-10.1(261) Iowa guaranteed student loans. Iowa Guaranteed Student Loans are longterm, low-interest loans available to students for educational expenses so they may pursue studies beyond the high school level at approved educational institutions. They are an important supplement to federal, state, institutional, and private programs for student financial aid. They are a financial resource that must be repaid.

\....~ The loans are made by eligible lenders such as banks, savings and loan associations, and credit unions which use their own funds; lenders are insured from loss as long as they use proper care in making and servicing loans.

The Iowa College Aid Commission (ICAC), a state agency that serves as guarantor for the loans, insures the loans against the borrower's failure to pay, death, permanent and total disability, or bankruptcy in exchange for a guarantee fee.

The U.S. Department of Education pays interest on the loans while students attend eligible educational institutions at least half time, through the grace period, and during authorized deferments. Students may also elect to pay their own interest.

Loan applications are available from participating lenders, eligible schools, and the Iowa College Aid Commission.

'245-10.2(261) Eligibility. ~ 10.2(1) Borrower. Reference: Code of Federal Regulations, Title 34, Section 682.201.

To be eligible to borrow an Iowa Guaranteed Student Loan a student must be: 1. A U.S. citizen, national, or eligible noncitizen in accordance with federal program

regulations; 2. A resident of the state of Iowa, a student attending an approved education institution

in Iowa, or a resident of a state contiguous to Iowa borrowing from an eligible lender located in Iowa;

3. Accepted for enrollment or enrolled at least half time in an approved school, and if currently enrolled, in good standing and maintaining satisfactory academic progress;

4. Free of the obligation to repay overpayments on education grants (Pell Grant, Supplemental Education Opportunity Grant, National Direct Student Loan, and State Student Incentive

~Grant) unless exempted in accordance with federal program regulations; · ~ S. Not in default on education loans unless exempted by circumstances specified below;

6. Attending neither elementary nor secondary school if enrolled or accepted for enrollment in a vocational school, and able to benefit from the training offered;

7. A national of the United States if enrolled or accepted for enrollment in a school outside of the U.S.; and

8. Able to meet the requirements of the federal regulations if enrolled in a flight school program at a vocational school or an institution of higher education. See 34 CFR 682.20l(a)(3).

An applicant must provide specific personal or family financial information to the school financial aid office on forms approved by the Department of Education. Copies of appropriate Internal Revenue Service forms may be required for verification.

A student in default on a previous National Direct Student Loan (NDSL), Federal Insured Student Loan (FISL), Health Education Assistance Loan (HEAL), Guaranteed Student Loan

"(GSL), Parental Loan for Undergraduate Students (PLUS) or Auxiliary Loan to Assist Stu-~ dents (ALAS) must pay the defaulted loan in full before a loan may be guaranteed unless the

ICAC agrees to reinstate eligibility on the basis of adequate evidence of extenuating circumstances. If the ICAC refuses reinstatement, the applicant may present a formal appeal. In determining whether a student is in default on a NDSL, FISL, HEAL, GSL, PLUS, or ALAS - . . .

Ch 10, p.2 College Aid[245] lAC 5/6/87

Loan, a school may, in good faith and in the absence of information to the contrary, rely ~ upon a written statement to that effect by the student.

An applicant who has taken bankruptcy may be eligible for a loan, if, at the time of bankruptcy filing, the applicant was not in default on any previous student loan.

A student must show need to qualify for a federally subsidized Guaranteed Student Loan (GSL). A need analysis system approved by the U.S. Secretary of Education for use with campus-based programs, i.e., the Supplemental Educational Opportunity Grant Program, the College Work-Study Program, and the Perkins Loan Program (formerly the National Direct Student Loan Program), must be used to determine the expected family contribution and resultant unmet need. (Forms available upon request.) A lender may not make a Guaranteed Student Loan for more than the unmet need, as certified by the school.

A student's dependency status determines the criteria that are applied in need analysis to establish eligibility for a Guaranteed Student Loan (GSL). Dependency status is ascertained by a school official in accordance with the~e specifications: ~

A student is considered to have no dependence on parents for financial support, and thus to be independent if the student is:

1. Twenty-four (24) years old or older by December 31 of the award year; 2. An orphan or ward of the court; 3. A veteran of the U.S. Armed Forces; 4. A graduate or professional student declaring not to be claimed as a dependent on par

ents' income tax return for the first calendar year of the award; 5. Married and declaring not to be claimed as a dependent on parents' income tax return

for the first calendar year of the award; 6. One who has legal dependents other than a spouse; 7. Unclaimed on parents' income tax return for the two (2) years preceding the award year

and an earner of annual income of $4,000 or more during the two (2) years; or 8. Determined through documentation by the aid administrator to be independent by reason V

of unusual circumstances. A student is considered dependent on parents for financial support if the student does not

meet the qualifications for independent status. The Iowa Guaranteed Student Loan Program is subject to federal and state laws that pro

hibit discrimination of a person from equal opportunity because of race, religion, color, sex, age, national origin, ancestry, marital status, or physically handicapped condition.

10.2(2) Lender. Reference: Code of Federal Regulations, Title 34, Section 682.200. Banks, savings and loan associations, credit unions, pension funds, insurance companies,

and schools that meet the requirements outlined in 34 CFR 682.200 are eligible to be lenders under the Iowa Guaranteed Student Loan Program. A single agency of the state of Iowa or a single nonprofit, private agency designated by the state of Iowa also qualifies. A school must meet the requirements specified below. For the purposes of purchasing, holding, and V consolidating loans made by other lenders under the program, the Student Loan Marketing Association and the Iowa Student Loan Liquidity Corporation are also considered lenders.

A lender may participate in the Iowa Guaranteed Student Loan Program by executing the Agreement to Guarantee Loans which establishes the rights and duties of the lender and the Iowa College Aid Commission. (This form is available from the ICAC office.) Both the lender and the ICAC retain an original copy of this document. A lender is not required to make any quota of loans nor to commit any specific amount of funds to the program. The agreement may be terminated upon sixty-day notice by the lender or the ICAC or as provided in rule 10.77(261).

A lender must provide the ICAC with its Department of Education (DE) identification number which serves as a lender identifier for the program. The ICAC can assist a lender in requesting a DE identification number.

lAC 3/12/86 College Aid[245] Ch 10, p.3

The ICAC reserves the right to limit, suspend, or terminate the participation of a lender in the Iowa Guaranteed Student Loan Program under terms consistent with the Agreement to Guarantee Loans, applicable state and federal law, and ICAC rules. See rules 10.77(261) to 10.89(261) for a description of limitation, suspension, and termination procedures.

Schools in Iowa are eligible to be lenders if they meet the federal and state requirements pertaining to both lenders/holders and schools. A school must present to the ICAC justification for the school to have lender status. The Executive Director of the ICAC grants approval or denial. A request for appeal must be made to the ICAC within thirty days of denial; the ICAC acts upon a request for appeal within sixty days of its receipt.

In addition to provisions of the Agreement to Guarantee Loans, a school requesting to serve as a lender must:

I. Employ at least one person whose full-time responsibilities are limited to the administration of programs of financial aid for students attending that institution;

2. Submit a report on projected volume in the loan program including documentation to support the institution's projections and a statement of the resources (staff, facilities, administrative budget) that the institution intends to commit to the administration of the program;

3. Ensure that eligible students have an opportunity to obtain a coordinated package of student financial aid, such as grant and work assistance, and that students are made aware of such programs (A school that has not applied for certification for participation in federal aid programs other than the Guaranteed Student Loan Program is not allowed to serve as a lender under the Iowa Guaranteed Student Loan Program.);

4. Show evidence that each student or parent borrowing a GSL or PLUS Loan has been denied GSL or PLUS Loans by at least two participating financial institutions, including the lender with whom the borrower has an account relationship;

5. Adhere to the loan limits described in this manual or one-half the cost of education. whichever is less, except in the case of a student who has not previously enrolled in a program beyond high school, in which case a loan may not exceed $1500 unless the loan is to be disbursed in two or more installments, none of which may exceed one half of the loan with the interval between the first and second installments being not less than one third of the period of enrollment for which the loan is made;

6. Make loans applicable only to the expenses of a single academic period; all loans made within a period of ninety days are considered a single loan.

10.2(3) School and course of study. Reference: Code of Federal Regulations, Title 34, Sections 682.200 and 683.10.

Most institutions of higher education and vocational schools that are approved by the U.S. Department of Education for participation in the guaranteed loan programs are eligible under the Iowa Guaranteed Student Loan and PLUS Programs. Vocational schools include business or trade schools and technical institutions. Some foreign schools are eligible.

An institution offering primarily home-study or correspondence courses is not eligible. Homestudy or correspondence courses offered by an eligible institution are not eligible.

A postsecondary educational institution may establish eligibility by filing an application with: Division of Eligibility and Agency Evaluation (DEAE) Bureau of Postsecondary Education U.S. Department of Education Washington, DC 20202

After the DEAE grants eligibility, the educational institution must execute an Agreement to Participate in the Guaranteed Student Loan Program with the Secretary of Education.

Any course of study at an eligible school qualifies as long as the course of study leads to a certificate or degree and academic credit is awarded.

The ICAC reserves the right to limit, suspend, or terminate the participation of a school in the Iowa Guaranteed Student Loan and PLUS Programs 1:1nder terms consistent with applicable state and federal law and ICAC rules. See rules 10. 77(261) to 10.89(261) for a description of limitation, suspension, and termination procedures.


245-10.3(261) Loan amounts.

Type of Student

Undergraduate

Graduate or Professional

A Guaranteed Student Loan is limited to the lesser of:

For each of the first two years of study: Maximum of $2,625 or unmet need indicated by need analysis

For each of the remaining years: Maximum of $4,000 or unmet need indicated by need analysis

Maximum of $7,500 or unmet need indicated by need analysis

Cumulative Maximum

$17,250

$54,750 including amounts borrowed by the student under the GSL, PLUS, and SLS programs for undergraduate study

Unmet need is defmed as the cost of education less all other financial aid and less the expected family contribution.

A GSL is also limited to: - the amount requested by the borrower, - the amount recommended by the school, or \.I - the amount approved by the lender in accordance with the

lender's policy, whichever is less.

Financial aid officers are urged to counsel students that repeat borrowing may result in reaching the cumulative limit for undergraduate or for graduate/professional students before a course of study is completed.

A Guaranteed Student Loan may be used only for bona fide educational expenses at the educational institution and for the period for which the loan is sought. Educational expenses include tuition and fees as well as the school's estimate of other reasonably related expenses. Other expenses usually include room and board, books and supplies, transportation and com-muting costs, and personal expenses. In some cases child care, study abroad, and handicapped ~

1 student expenses are included, and allowances may also be made for dependent children and .......for guarantee and origination fees. Transportation costs may not include purchase or repair of a vehicle.

A borrower must submit an application for each loan. Subsequent loans are not automati-cally approved by either the ICAC or the lender.

Because a lender loans its own funds, the lender has the right to establish requirements more strict than those of the ICAC. The lender must inform potential borrowers of the additional requirements.

A student is eligible for an additional loan providing eight (8) months elapse from the beginning date of the loan period on the previous application to the beginning date of the loan period on the new application and providing the loan periods do not overlap.

If eight (8) months do not elapse, a student is eligible for an additional loan providing: 1. The previous loan was less than the maximum, in which case the new loan will be approved \.

1 for the difference between the previous loan and the maximum; or ~


2. The student has advanced to the next grade level and is applying for a loan period that does not overlap with the loan period of the previous loan.

The only instance in which a student may borrow again for the same loan period or for an overlapping loan period is when the student's previous loan was for less than the maximum.

A student is limited to two (2) maximum loans per grade level. An undergraduate may borrow no more than two (2) maximum loans or a total of $5,250 for either of the first two (2) grade levels of undergraduate study or $8,000 for a remaining grade level of undergradutate study. A graduate student may borrow no more than two (2) maximum loans or a total of $15,000 for a grade level.

Applicants for additional loans must meet the eligibility requirements specified in subrule 10.2(1), and additional loans must conform to the loan amounts stated above.

245-10.4(261) Application process. 10.4(1) A lender may provide its name, address, and DE identification number in the lender

section of applications (ICAC 1915) before distribution. A lender participating in the Accelerated Loan Processing Option (ALPO) Program must provide its name and DE identification number, but the address of the ICAC Processing Center instead of its own to facilitate appropriate forwarding by the school. See rule 10.15(261) for a description of the ALPO Program.

10.4(2) A student obtains an application. Applications are available from participating lenders, school financial aid offices, and the ICAC. Students are encouraged to obtain their applications from their lenders.

10.4(3) The applicant completes section I according to the instructions, including completion of the promissory note and cosigner information, retains borrower copy D and the application booklet, and submits copies A, B, and C to the school financial aid office.

10.4(4) The financial aid officer completes section II, retains school copy C, and mails copies A and B of the application directly to the lender specified on the application. An application may not be returned to the applicant for delivery to the lender. If the lender identified on an application is a participant in the ALPO Program, the school mails copies A and B of the application directly to the ICAC Processing Center.

10.4(5) The lender completes section Ill, retains lender copy A (the original), and forwards copy B to the ICAC Processing Center. If the lender is an ALPO participant, the Processing Center completes section III and mails lender copy A to the lender.

10.4(6) The ICAC Processing Center sends copies of the Notice of Loan Guarantee and Disclosure Statement to the lender and the school as notification that a loan is guaranteed. The lender, which receives two copies, forwards one of them to the applicant.

10.4(7) After receiving guarantee notice, the lender sends the Guaranteed Student Loan check to the school for delivery to the student.

245-10.5(261/ Responsibilitiesofthe borrower. Reference: Applicationand Promissory Note for an Iowa Guaranteed Student Loan, Borrower Certification, and Statement of Borrower's Rights and Responsibilities.

A borrower must complete and submit an application in a timely fashion. The ICAC processes for guarantee only loan applications that are received on or before the ending date of


the loan period as indicated by the school. A borrower is responsible for reading, understanding, and complying with the provisions

of the Borrower Certification and the Statement of Borrower's Rights and Responsibilities as cited in the application. These provisions include:

1. The borrower must use loan proceeds only for educational expenses at the school and for the loan period specified on the application; and

2. The borrower must notify the lender promptly and in writing if any of the following events occur before the loan is repaid:

Failure to enroll in school for the period for which the loan was intended, Withdrawal from school or attendance on less than a half-time basis, Transfer to another school, or Change in name or address.

A borrower must adhere to the established loan limits in rule 10.3(261). A borrower who requests a deferment is responsible for providing the lender with written

evidence of eligibility and must notify the lender in writing as soon as the condition for which the deferment was granted no longer exists.

245-10.6(261) Forms for which the borrower is responsible. All forms listed below are available at the College Aid Commission office.

Application and Promissory Note for an Iowa Guaranteed Student Loan (ICAC 1915): A borrower completes section I and the promissory note for a Guaranteed Student Loan and delivers the form to the school financial aid office.

Credit Application: A borrower, and cosigner if required by the lender, completes the lender's own credit application if requested.

Repayment and Disclosure Statement (lCAC 1906): A borrower who chooses to repay in installments signs this statement which is an addendum to the promissory note. The lender retains the promissory note until the debt is paid in full.

Request for Deferment of Repayment Form (ICAC 1960): To be granted a deferment, a borrow completes this form supplied by the lender, has it signed by the appropriate authorizing official, and returns it to the lender.

Late Disbursement Request (ICAC LD-81): To receive funds after the ending date of the loan period or after a student has ceased at least half-time attendance, a borrower obtains obtains this form from the lender, completes section I, has section II, if applicable, completed by the school, and returns the form to the lender.

245-10.7(261) Responsibilities of the school. Reference: Code of Federal Regulations, Title 34, Sections 682.205, 682.600 to 682.612.

A school must be able to document that it is eligible for participation in the Iowa Guaranteed Student Loan Program. See subrule 10.2(3).

A school participating in the program must comply with the requirements of federal and state statutes and regulations that govern the program.

A school must maintain proper administrative and fiscal procedures and records as required by 34 CFR 668 and 682.612. Financial aid records must be maintained separate from other records.

It is strongly recommended that a school advise and counsel its students regarding other forms of student financial aid and regarding the rights and responsibilities of GSL borrowers, particularly repayment obligations and consequences of default. Counseling is important when loans are requested and when students prepare to leave school.

A school must review a student's file before certifying an application to confirm that the student has not already borrowed the loan maximum for the same loan period and that the student has one of the following aid applications, whichever is appropriate, on file:


If a school determines a borrower ineligible for federal interest benefits, a lender may submit the application for guarantee accompanied by a cover letter. The borrower of an unsubsidized loan must pay the interest for the life of the loan, and the lender receives no special allowance.

245-10.21(261) Unsubsidized loans. An applicant, judged ineligible for a subsidized loan, may still receive a Guaranteed Student Loan, however, the borrower must pay the interest for the full life of the loan. A loan to a student who does not qualify for interest subsidy is not eligible for payment of special allowance to the lender.

A lender must be able to substantiate to the satisfaction of all applicable regulatory agencies that an unsubsidized loan does not constitute preferential treatment.

A borrower who applies and is approved for a GSL, but chooses to waive interest benefits must do so in writing. The borrower is responsible for all interest on the loan for in-school, grace, and authorized deferment periods. Arrangements must be made between the borrower and the lender for the interest to be paid as it accrues or for the interest to be capitalized when the loan enters repayment. The federal government pays special allowance to the lender.

245-10.22(261) Special allowance. Reference: Code of Federal Regulations, Title 34, Section 682.302.

The U.S. Department of Education pays a special allowance on Guaranteed Student Loans in addition to interest benefits to adjust the maximum loan rate to current money market conditions. Special allowance is paid for the life of the loan, regardless of whether a loan is an in-school, grace, repayment, deferment, or forbearance period.

On a loan that is canceled by return of the original uncashed check or paid in full within sixty days of disbursement, a lender earns special allowance on the full amount disbursed, including fees, from the date of disbursement to the date the original check is returned or the date the loan is otherwise paid in full.

Special allowance is not paid on unsubsidized loans (except if a borrower has waived interest benefits), loans paid in full, loans for which claims are paid by the guarantor, loans for which claims are denied by the guarantor, and loans that have lost their guarantee.

For loans for periods of enrollment beginning on or after November 16, 1986, the formula used by the Department of Education for computing special allowance for a three-month period is: Average of the bond equivalent rates of 91-day Treasury Bills for the quarter, minus the applicable interest rate on the loan, plus three and one-quarter percent, and the result divided by four. For loans for periods of enrollment beginning before November 16, 1986, the formula is: Average of the bond equivalent rates of 91-day Treasury Bills for the quarter, minus the applicable interest rate on the loan, plus three and one-half percent, and the result divided by four. For loans disbursed before October 1, 1981, the annualized percentage is rounded up to the nearest one-eighth of one percent before being divided by four. (A lender has the option of waiving upward rounding for all special allowance billings and may include all loans disbursed before October 1, 1981, with loans disbursed on or after October 1, 1981.)

The special allowance rate is set quarterly on March 31, June 30, September 30, and December 31 of each year by the Secretary of Education in consultation with the Secretary of the Treasury. The rates set apply to the quarters ending on those dates.

A lender bills the U.S. Department of Education for special allowance using the Request for Interest and Special Allowance (ED 799). A lender may bill quarterly, semiannually, or annually. The Department of Education calculates the actual amount of special allowance due based on information supplied by the lender.

A lender should bill for interest benefits and special allowance concurrently and on the same form (ED 799). Two separate forms are not submitted.

ICAC informs lenders each quarter of the special allowance rate.

Ch 10, p.l8 College Aid[245] lAC 5/6/87

245-10.23(261) Loan eligibility for interest and special allowance.

GSL

Interest Subsidy Special Allowance LOt'\ll STATUS

-------------------------------·--- Disbursement

No

IN-SCHOOL

Completion or ~LY Withdrawal ~-~~~Y

1 Conversion

REPAYMENT

Disbursement

Completion or WI thdrawa I/ Conversion

PLUS

Interest Subsidy Special Allowance

No

No

----------------------------------- Reconversion 1-----1 Reconversion ···-----------····-----------------

No -------------------- • ·-··· --------- Conversion

······----------···········--······ Pa id-in·full

DEFERMENT

FORBEARANCE

REPAYMEtiT

llo

llo v Conversion

No

Paid-in-full -··----········--------·-······--·-

245-10.24(261) Guarantee fee. Reference: Code of Federal Regulations, Title 34, Sections 682.202(d) and 682.401(b) (6) as in effect December 26, 1986. The ICAC guarantee fee is an amount a borrower pays to the ICAC for guaranteeing repayment of a loan. Its rate is determined by the ICAC with consideration given to the ICAC Reserve Fund and the requirements of the U.S. Department of Education regulations.

lAC 5/6/87 College Aid[245) Ch 10, p.19

The guarantee fee for an Iowa Guaranteed Student Loan with a period of instruction beginning prior to May 1, 1987, is three-fourths of one percent (.750Jo) per year calculated for the period between disbursement and ten (10) months following a student's anticipated completion date. The guarantee fee for an Iowa Guaranteed Student Loan for a period of instruction beginning on or after May 1, 1987, is one and one-half percent (1.5%) of the loan amount. The amount of the guarantee fee is computed by the ICAC and reported to a lender on the Notice of Loan Guarantee and Disclosure Statement. Assistance with calculation of guarantee fees is available from the College Aid Commission office.

A guarantee fee on a multiple disbursement loan is charged only on the portion of the loan disbursed.

A lender deducts the guarantee fee from the proceeds of a loan and holds the fee in an escrow account until a billing is received. Once a month the ICAC Processing Center sends each lender a Fee Billing Statement for the guarantee fees on all GSLs scheduled for disbursement the previous month. The fees for multiple disbursement loans are billed according to the months that individual disbursements are scheduled.

A lender is to use the Fee Billing Statement to notify the ICAC Processing Center of all changes to a loan apparent at disbursement. Lenders are encouraged to provide as much information on the Fee Billing Statement as necessary to clarify their intentions.

A loan for which the guarantee fee is past due for over one hundred thirty days is subject to cancellation.

A lender must recalculate the guarantee fee of a loan and prepare a new Notice of Loan Guarantee and Disclosure Statement (NOG/DS) or make changes to the original NOG/DS and have the borrower initiate the changes if an amount less than the original amount guaranteed is disbursed or a loan is changed from single to multiple disbursement.

The ICAC does not charge an additional guarantee fee for extension, conversion, or any authorized period of deferment or forbearance.

A guarantee fee must be refunded to a borrower if the entire amount of loan proceeds disbursed is repaid within sixty days of the disbursement date by the borrower, by a check issued by the school, or by the return of the original check. If the original check is returned the loan is canceled; otherwise it is paid-in-full. If the guarantee fee has already been paid by the lender, credit on a future Fee Hilling Statement may be requested. If a school takes more than sixty days to return an original loan check for a student who never enrolled, a refund may be obtained by contacting the ICAC office in Des Moines.

A loan cannot be sold or transferred until the guarantee fee has been paid. In deference to long-standing usage, the term "insurance premium" is sometimes used in

lieu of guarantee fee, despite the fact that the guarantee fee or insurance premium is incident to a guarantee transaction and is not actually "insurance."


245-10.25(261) Origination fee. An origination fee of five percent of the principal amount of a loan is assessed by the U.S. Department of Education. A lender may pass the origination fee on to the borrower by deducting it from the loan proceeds. Origination fees are verified by the Department of Education and deducted from the interest and special allowance paid to lenders.

A lender must keep a record of the fees the lender is authorized to deduct from loan proceeds before disbursement. When requesting interest and special allowance, a lender must


report the amount deducted as origination fees. If the total of origination fees exceeds the interest and special allowance due, the Department of Education deducts the difference from the lender's next request for subsidy payment.

If a loan is disbursed in multiple installments, a lender deducts five percent of each disbursement and reports only the portion of the total origination fee actually collected on the Lender's Request for Interest and Special Allowance.

A lender selling or transferring a loan within the billing period it is disbursed must collect the origination fee and see that it is reported on a Lender's Request for Interest and Special Allowance. The seller and buyer of a loan are responsible for an equitable distribution of the fee collected, but only the seller reports the fee. An audit trail must be maintained.

The origination fee is refunded by the U.S. Department of Education only if the original uncashed check is returned to the lender. There are no exceptions. If the check is returned after a lender has reported the fee on the Request for Interest and Special Allowance, the lender must make an adjustment to the next billing.

245-10.26(261) Prepayment. Student borrowers may prepay a Guaranteed Student Loan in whole or in part at any time without penalty.

Prepayments made during the in-school or grace periods are applied to the principal of the loan. Prepayments on notes in repayment are applied to accrued interest, if any, then to principal. Prepayments on unsubsidized loans should be applied to any accrued interest and then to the principal.

Borrowers who make prepayments may request that a lender credit the prepayment on a monthly basis to future payments due. If a lender does not receive such a request, the lender credits the entire prepayment to principal.

A prepayment made before conversion is reported to the ICAC Processing Center on the Lender Manifest when a loan is converted to repayment. A prepayment made after conversion is reported when a lender has other additional cause to report the loan.

245-10.27(261) Repayment requirements. A loan enters repayment at the expiration of the grace period to which the borrower is entitled. The first payment is due thirty to forty-five days after the grace period expires.

A borrower must pay at least $30 per month ($360 per year) on a GSL disbursed before October 1, 1981. A borrower must pay at least $50 per month ($600 per year) on a GSL disbursed on or after October 1, 1981.

A borrower is entitled to at least five years to repay a loan unless monthly payment amounts specified above would pay off the loan in less time. A borrower and lender may agree on a repayment period of less than five years, but in this case, a borrower may at any time before paying off the loan, request refinancing of the unpaid balance over the remaining time of the five-year period as long as the required minimum payment amount is met.

The maximum repayment period is ten years. Periods of deferment and forbearance are not included in calculating the ten-year period.

Minimum payment amounts apply to a GSL borrower, not to each of the borrower's loans. A borrower must make monthly payments greater than the minimum if necessary to repay the debt within ten years.

In determining repayment terms, a lender must consider a borrower's loans held by other lenders as well as loans of the borrower's spouse, if applicable. Because of other outstanding student loans, a lender and a borrower may mutually agree to reduce the monthly and annual payments although repayment may not be extended beyond the maximum ten-year period.

A borrower has three options to repay Guaranteed Student Loans: 1. Pay the outstanding balance in full on or before the date repayment must begin, 2. Pay any part of the outstanding balance and execute a repayment agreement for the

remainder, 3. Execute a repayment agreement for the outstanding balance. A lender must notify a borrower of impending repayment obligations during the grace period.


salary levels based on the borrower's education and experience. A borrower must complete a notarized Unemployment Affidavit (ICAC 1970) and submit to the lender with a copy of the Job Service of Iowa Registration Card (IESC 1559) as documentation. To continue an unemployment deferment for more than six months, a borrower must submit a second request by the end of the initial six-month period; a borrower who fails to submit a second request by the end of the initial six-month period must enter repayment. Each request must include an Unemployment Affidavit and a supplemental statement signed by the borrower and dated that must contain:

1. A description of the borrower's conscientious search for full-time employment, includ-ing for at least three attempts to secure employment during that three-month period

The name of the firm contacted, The name of the person contacted, and The firm's address and phone number; and

2. The borrower's latest permanent home address, and if applicable, the borrower's latest temporary address.

245-10.31(261) Forbearance. Forbearance is a revision in repayment terms to temporarily postpone payments. It may be granted by a lender when a borrower experiences a temporary hardship and is willing but unable to pay in accordance with the repayment schedule. It should not be used when a borrower is unwilling to pay. Examples of circumstances in which the lender might exercise forbearance are:

1. Financial hardship, 2. Conversion dates of a borrower's loans differ because some loans qualify for a post-

deferment grace period, 3. Enrollment in an eligible school less than full time after the expiration of the grace period. 4. Family illness, 5. Full-time volunteer service in organizations not specifically recognized for purposes of

deferment, 6. Attendance at an ineligible school, and 7. Late notification of a change in borrower's status. A borrower is responsible for interest during a forbearance period and may pay it in weekly,

monthly, or quarterly installments or in one payment when repayment is resumed. If a borrower and lender mutually agree, interest may accrue and be capitalized as provided in rule 10.19(261).

There is no specific maximum limit to the length of a period of forbearance, however, a lender must contact a borrower in forbearance at least every three months to monitor the circumstances for which forbearance was granted and to assure payments are resumed when appropriate.

Documentation of information pertinent to the forbearance and a written forbearance agreement signed by the borrower and the lender are required before a forbearance may be granted and must be retained in the borrower's loan file, but need not be sent to the ICAC. A lender may use the Request for Forbearance for this purpose.

A forbearance must be reported to the ICAC Processing Center on a Lender Manifest as an extension transaction.

A forbearance extends the ten- and fifteen-year repayment requirements.

245-10.32(261) Refinance. A lender may refinance a loan in repayment if the lender and . borrower mutually agree on a change in repayment terms to allow for smaller or larger payments over a longer or shorter period of time.

A lender must complete a new Repayment and Disclosure Statement for a refinanced loan and must report the refinance to the ICAC Processing Center on a Lender Manifest as a refinance transaction. The previous repayment schedule must be marked "refinanced" and dated with the date of the new repayment schedule. A copy of the previous repayment schedule and the payment history must be retained in the borrower's file to provide a clear audit trail.


245-10.33(261) Due diligence in collection. Reference: Code of Federal Regulations, Title '..,J 34, Section 682.411 as in effect December 26, 1986.

A loan is delinquent when a borrower fails to make a payment when due, or to meet other terms of the promissory note. A borrower's failure to sign a repayment schedule, in and of itself, is not cause for a claim.

During any period of delinquency, a lender must exercise due diligence in collection of the delinquent account with respect to the borrower and any cosigner(s). Efforts to collect may include all methods used by commercial lenders for collecting delinquencies, such as correspondence, telephone inquiries, routine skip-tracing, and personal interviews. The ICAC requires that a lender use all means that would be used in collecting an uninsured loan of a comparable amount except litigation. A lender must make every effort to determine if a borrower is entitled to a deferment or eligible for forbearance.

Each time a borrower's account becomes delinquent, a lender must take the following mini- \,..) mum steps to bring the borrower current in payments.

Days Delinquent

1 - 30

31 - 60

61 - 150

151 - 240

Action Required Send at least two (2) written notices of delinquency or collection letters with envelopes marked, "Address Correction Requested." Make diligent efforts to contact the borrower and any cosigner by telephone. If a borrower cannot be reached by telephone, send at least two (2) forceful collection letters. The letters must warn the borrower that, if the delinquency is not cured, the lender will assign the loan to the guaranty agency which will report the default to all national credit bureaus, thereby damaging the borrower's credit rating, and may bring suit against the borrower to compel repayment of the loan. During each 30-day period, make diligent efforts to contact the borrower and any cosigner by telephone. If unable to reach the borrower, and any cosigner by telephone, during each thirty (30)day period, send at least one (1) collection letter no less forceful than the previous collection letters. Complete a Lender Request for Assistance (ICAC-06 6/84) and send it to the ICAC Processing Center. A Lender Request for Assistance (LRA) may be sent no earlier than the 71st day of delinquency and no later than the 81st day of delinquency unless a borrower cannot be located through normal skip-tracing procedures, in which case an LRA may be sent before the 71st day of delinquency. Allow at least sixty (60) days for the ICAC Processing Center to help resolve the delinquency. Continue attempts to contact the borrower and any cosigner during this period. A lender must submit an LRA each time a borrower reaches this point in delinquency even though a previous LRA may have been resolved satisfactorily. Send a Notice to Cure to the borrower and a separate Notice to Cure to any cosigner if a notice has not been sent in the previous twelve (12) months and if the collection effort has not been resolved satisfactorily and the LRA has been on file at least sixty (60) days. A Notice to Cure identifies the terms and conditions necessary to cure the delinquency and allows twenty (20) days for the account to be resolved. Before filing a default claim, a lender must have sent a Notice to Cure within the past twelve (12) months. Send a Final Demand letter to the borrower and a separate Final Demand letter to any cosigner. See below for appropriate language.

lAC 5/6/87

181 - 270

271

College Aid[245] Ch 10, p.27

Submit a Notice of Default (ICAC 1908) and the required documentation to the ICAC. A borrower must be at least one hundred eighty (180) days delinquent but not more than two hundred seventy (270) days delinquent for a default claim to be filed. If due diligence in collection has been followed and all required documentation is submitted, a claim is paid within thirty (30) days of the date the claim is filed or on the 270th day of delinquency, whichever is later. A claim filed after the 270th day of delinquency is denied and the loan's guarantee is canceled. A lender may request the ICAC to further review a rejected claim if there are extenuating circumstances.

'--1 All written notices of delinquency and collection letters must be sent ''Address Correction Requested." Within ten (10) days of receiving information that indicates the lender does not know a borrower's current address, a lender must diligently attempt to locate the borrower using normal commercial skip-tracing techniques. These efforts include, but are not limited to, contacting the cosigner, relatives, references, and any other individuals and entities identified in the borrower's loan file.

A lender may send a Notice to Cure before submitting a Lender's Request for Assistance (LRA) to the ICAC Processing Center as long as the Notice to Cure is submitted by the 61st day of delinquency. The twenty (20)-day cure period specified in the Notice to Cure must expire before the LRA is sent.

A Final Demand letter, which identifies the terms and conditions of the demand and, except in unusual circumstances, allows thirty (30) days for the account to be resolved, must be sent separately to the borrower and to any cosigner(s) when a lender learns from the ICAC Processing

~ Center that an LRA bas not been satisfactorily resolved after at least thirty (3~) d~ys' work b¥ the ICAC Processing Center. The Final Demand letter must contain the following statement:

"The option to accelerate maturity of your note(s) is exercised at this time because of your failure to comply with the terms and conditions therein. The entire unpaid balance of principal ($ ) and interest ($ ) in the aggregate amount of $ is herein demanded by no later than "

If a lender receives, in response to a Final Demand letter, payment of less than the full amount demanded, the lender may:

1. Accept the partial payment and continue to work with the borrower, 2. Accept the partial payment and resume due diligence according to the number of days

past due, or 3. Return the partial payment and proceed with due diligence. If a borrower fails to respond satisfactorily to the Final Demand letter within thirty (lO)

'-..) days, a lender should file a claim.

245-10.34(261) Claim processing. A lender files a claim on an ICAC-guaranteed loan by sending a completed Notice of Default and other required documentation to the ICAC.

All claims are reviewed for completeness. A claim submitted on time but returned because of missing or inadequate assignment language, missing document(s), or no record of an LRA having been submitted, must be corrected then resubmitted to the ICAC within sixty (60) days.

Assignment language must be placed on or attached to each original promissory note sub-mitted for claim payment. It should read:

"All Right, Title, and Interest of the undersigned (without warranty, except that the note qualifies for insurance) is hereby assigned to the Iowa College Aid Commission." Name of lender ____________________________________________ __

Signature -------------------------------------------------Dme ____________________________________________________ __


A default claim filed after the two hundred seventieth day of delinquency or a bankruptcy claim not submitted in a timely manner in accordance with rule 10.33(261) is rejected. A rejected claim is returned with a summary of all defects such as due diligence deficiency or late filing and with instructions that the claim may be refiled with the ICAC if there are extenuating circumstances. Rejected claims that are refiled are evaluated on a case-by-case basis.

A claim that remains rejected after ICAC review may be cured if payments are secured from the borrower to bring the loan to within ninety (90) days of being current. If the loan remains delinquent, the ICAC will accept a claim for processing after completion of required due diligence in collection.

The ICAC pays a bankruptcy, death, or total and permanent disability claim approximately thirty (30) days after the claim is filed and a default claim, approximately thirty (30) days after the claim is filed or on the two hundred seventieth day of delinquency, whichever is later. Claim payment is made only if all required forms and documentation are provided, required due diligence in collection has been performed, and filing is on a timely basis.

245-10.35(261) Default claim. A loan is in default when a borrower exceeds one hundred eighty (180) days of delinquency. Delinquency on a loan begins on the first day after the due date of the first missed payment not later made or thirty (30) days after the day the lender discovers that the borrower has entered the repayment period, whichever is later.

A lender may not file a default claim simply because a borrower fails to sign a Repayment and Disclosure Statement (ICAC 1906). The lender must exercise the due diligence in collection outlined in rule 10.33(261).

A lender should prepare and submit a default claim as soon as possible; however, a default claim may be filed only after the loan is a minimum of one hundred eighty (180) days delinquent and after the due diligence in collection steps outlined in rule 10.33(261) have been followed. The following must be sent to the ICAC:

1. A completed Notice of Default (ICAC Form 1908), 2. The original promissory note(s) assigned to the ICAC and signed by an authorized lend-

ing officer, 3. The loan application(s), 4. A copy of the Notice to Cosigner, if applicable, 5. A history of loan payments, including date and amount of each payment, if applicable, 6. A copy of all documentation for forbearance and deferments granted, 7. A history of correspondence and phone contacts attempted, including a copy of correspon

dence with the borrower or the cosigner that indicates a refusal to make satisfactory arrangements or that shows the lender's inability to locate the borrower or cosigner,

8. Written verification of the date of withdrawal, early graduation, or change in enrollment status, if applicable, which may be a copy of the Loan Transaction Statement or written notice from the school, either of which is preferred, or a lender's written record of phone contact with the school regarding the student's status change, and

9. A copy of the Notice to Cure and a copy of the Final Demand letter. If a claim lacks evidence of due diligence in collection, it is returned to the lender for addi

tional collection activity. An ICAC guarantee is contingent on a lender's performance of required due diligence in collection.

On a default claim, the ICAC pays the following: I. The unpaid loan principal, 2. Accrued past due interest, not to exceed three hundred (300) days' interest, and 3. Interest for the time the ICAC requires to process the claim, not to exceed thirty (30)

days' interest. Documented forbearance and deferment periods are not counted as part of the three hundred

(300)-day limit on accrued past due interest. Past due interest includes interest due from the borrower on the due date of the first missed payment and interest that is accrued from the date a borrower becomes delinquent through the date the claim is filed. Past due interest for

lAC 5/6/87 College Aid[245] Ch 10, p.28a

\,.,/ a borrower who has made no payments is accrued from the borrower's conversion date through the date a claim is filed.

A default claim rejected because it exceeds more than two hundred seventy (270) days of delinquency prior to claim filing may be submitted to the ICAC with an explanation regarding the delayed filing of the claim for reinstatement of the guarantee. If extenuating circumstances warrant, the guarantee may be reinstated and the claim approved, but the holder of the loan is entitled only to three hundred (300) days' accrued past due interest plus up to thirty (30) days' interest for claim processing. In no case may payment include more than three hundred thirty (330) days' interest. If a default claim is rejected by the ICAC as not having met extenuating circumstances, the holder of the loan may appeal to the ICAC Executive Director.

The ICAC continues collection activities on defaulted loans for which claims have been paid· in an effort to make the defaulter pay the total amount due on the loan. A lender who receives

·...._; correspondence relating to a default after a claim has been filed should forward it, on a timely basis, to the ICAC office in Des Moines.

If a lender receives a payment after a default claim has been filed, but before the claim has been paid, the lender should credit the payment ot the account and notify the ICAC immediately of the change in the amount of the claim. If a lender receives a payment after a claim payment has been received, the lender should forward the payment to the ICAC office in Des Moines immediately with an explanation.

If the ICAC rejects a default claim for a loan, the lender is not entitled to special allowance past the two hundred seventieth day of delinquency unless the loan's guarantee is later reinstated by the ICAC.

These rules are intended to implement Iowa Code section 261.37.

. . 245-10.36(261) Bankruptcy claim. A lender must prepare and file a Proof of Claim with ·..._; the bankruptcy court within thirty (30) days of receiving a Notice of First Meeting of Creditors.

If a loan has not been in repayment for at least five (5) years (exclusive of any deferment or forbearance period), the lender must hold the loan and contact the bankruptcy court to determine if a Petition for Undue Hardship (hereinafter called "hardship petition") has been filed by the borrower. If the borrower has not filed a hardship petition, the lender must hold the loan and not attempt collection until the bankruptcy action is concluded. The lender may treat the loan as if it were in forbearance or accept voluntary monthly payments from the borrower. When the lender receives notification from the court that the bankruptcy action is concluded, the loan resumes the status it held before the bankruptcy was filed.

A lender must prepare and submit a bankruptcy claim within thirty (30) days of receiving a Notice of First Meeting of Creditors if the loan has been in repayment for more than five (5) years (exclusive of any deferment or forbearance period) or if the borrower files a petition for relief under Chapter 11, 12, or 13 of the Bankruptcy Code.

\..I If a loan has not been in repayment for at least five (5) years (exclusive of any deferment or forbearance period) and a lender determines a borrower has filed a hardship petition, the lender must prepare and submit a bankruptcy claim within thirty (30) days of receiving notification that a hardship petition has been filed.

A bankruptcy claim submitted to the ICAC must include the following: 1. A completed Notice of Default (ICAC 1908), 2. The original promissory note(s) assigned to the ICAC and signed by an authorized lend-

ing officer, 3. The loan application(s), 4. A copy of the Notice to Cosigner, if applicable, 5. A history of loan payments, including date and amount of each payment, if applicable, 6. A copy of all documentation for forbearance and deferments granted,

~,. J 7. Written verification of the date of withdrawal, early graduation, or change in enrollment ......,. status, if applicable, which may be a copy of the Loan Transaction Statement or a written

notice from the school, either of which is preferred, or a lender's written record of telephone contact with the school regarding the student's status change.


8. The Notice of First Meeting of Creditors, 9. A copy of the Proof of Claim,

10. A copy of the Assignment of Claim and Petition, 11. All other pertinent documents sent to or received from the bankruptcy court, 12. Written evidence of the lender's efforts to determine if the borrower filed a hardship

petition, if applicable, and 13. A statement of any facts of which the lender is aware that may form the basis for an

objection or exception to the discharge of the borrower's loan obligation in bankruptcy and all supporting documents.

A bankruptcy claim must be filed within thirty (30) days of a lender receiving a Notice of First Meeting of Creditors or determining a borrower has filed a hardship petition, whichever applies, or the claim is rejected and the loan guarantee canceled unless there is:

1. Acceptance of a Proof of Claim by the bankruptcy court, or 2. Approval and acceptance of a reaffirmation claim by the bankruptcy court. On a bankruptcy claim, the ICAC pays the following, if applicable: 1. The unpaid loan principal, 2. Interest accrued, but not past due, from the date of a borrower's most recent payment

to the date a lender receives the Notice of First Meeting of Creditors, 3. Interest accrued from the date a lender receives the Notice of First Meeting of Creditors, 4. Accrued past due interest, not to exceed two hundred seventy (270) days' interest, and 5. Interest for the time the ICAC requires to process the claim, not to exceed thirty (30)

days' interest. The ICAC contests the discharge of a loan by the bankruptcy court in an effort to make

the borrower pay the total amount due on the loan. A lender who receives correspondence relating to the bankruptcy after a claim has been filed

should forward it, on a timely basis, to the ICAC office in Des Moines. U If the bankruptcy court determines a loan to be nondischargeable, the ICAC may require

the lender that filed the claim to repurchase the loan or permit another eligible lender to pur-chase the loan.

A bankruptcy claim rejected because it was not submitted in a timely manner may be resubmitted to the ICAC with an explanation regarding the delayed filing of the claim for reinstatement of the guarantee. If extenuating circumstances warrant, the guarantee may be reinstated and the claim approved. If a bankruptcy claim is rejected by the ICAC as not having met extenuating circumstances, the holder of the loan may appeal to the ICAC executive director.

Any cosigner is not relieved of the repayment obligation for a loan for which a bankruptcy claim is paid unless the cosigner also files bankruptcy. The ICAC, through its collection activity, pursues repayment by the cosigner.

A lender may not bill the U.S. Department of Education for interest on a GSL in in-school, grace, or deferment status past the date that the lender is officially notified of the bankruptcy; \,.,) however, a lender is entitled to special allowance on the loan through the date the claim is paid by the ICAC.

245-10.37(261) Total and permanent disability claim. A total and permanent disability is an inability to engage in any substantial gainful activity because of a medically determinable impairment which is expected to continue for a long and indefinite period of time or to result in death. A borrower is not considered totally and permanently disabled on the basis of a condition that existed before application for a Guaranteed Student Loan, unless the condition has substantially deteriorated since submission of the application, as certified by a medical doctor or doctor of osteopathy.

The obligation to repay a Guaranteed Student Loan is canceled if a borrower becomes totally and permanently disabled. Any cosigner is also released of the repayment obligation.

A borrower must provide a lender with certification from a doctor of medicine or osteopathy of total and permanent disability on a Department of Education disability form (ED 1172). The borrower is responsible for furnishing medical evidence of the disability and for bearing the expense of obtaining such evidence. If the borrower, because of disability, is unable to furnish this evidence, a representative may do so.

lAC 3/12, 86, 5/6/87 College Aid[245] Ch 10, p.29a

\-.,1 A lender should prepare and submit a total and permanent disability claim as soon as possible. The following must be sent to the lCAC Processing Center:

I. A completed Notice of Default (ICAC 1908), 2. The original promissory note(s) and repayment schedule(s) assigned to the ICAC and

signed by an authorized lending official, 3. The loan application(s), 4. A copy of the Notice to Cosigner, if applicable, 5. A history of loan payments, including date and amount of each payment, if applicable. 6. A copy of all documentation for forbearance and deferments granted, and 7. A completed Department of Education disability form. On a total and permanent disability claim, the ICAC pays the following, if applicable: 1. The unpaid loan principal, 2. Interest accrued, but not past due, from the date of a borrower's most recent payment

'-....~to the date a lender receives the certification of disability, 3. Interest accrued from the date a lender receives certification of disability, 4. Accrued past due interest, not to exceed two hundred ten days' interest, and 5. Interest for the time the ICAC requires to process the claim, not to exceed thirty days'

interest. A lender may not bill the U.S. Department of Education for interest on a GSL in in-school,


grace, or deferment status past the date that the lender receives official certification of a borrower's total and permanent disability; however, a lender is entitled to special allowance on the loan through the date the claim is paid by the ICAC.

245-10.38(261) Death claim. The obligation to repay a Guaranteed Student Loan is canceled if a borrower dies. Any cosigner is also relieved of the repayment obligation.

A lender should prepare and submit a death claim as soon as possible. The following must be sent to the ICAC Processing Center:

1. A completed Notice of Default (ICAC 1908), 2. The original promissory note(s) and repayment schedule(s) assigned to the ICAC and

signed by an authorized lending officer, 3. The loan application(s), 4. A copy of the Notice to Cosigner, if applicable, 5. A history of loan payments, including date and amount of each payment, if applicable, 6. A copy of all documentation for forbearance and deferments granted, and 7. A certified copy of the death certificate bearing the certifying official's seal. On a death claim, the ICAC pays the following, if applicable: 1. The unpaid loan principal, 2. Interest accrued, but not past due, from the date of a borrower's most recent payment

to the date a lender receives a copy of the death certificate, 3. Interest accrued from the date a lender receives a copy of the death certificate, 4. Accrued past due interest, not to exceed two hundred ten days' interest, and 5. Interest for the time the ICAC requires to process the claim, not to exceed thirty days'

interest. A lender may not bill the U.S. Department of Education for interest on a GSL in in-school,

grace, or deferment status past the date that the lender is officially notified of a borrower's death; however, a lender is entitled to special allowance on the loan through the date the claim is paid by the ICAC.

A lender may not sell credit life insurance on a loan guaranteed by the ICAC.

245-10.39(261) Sale or transfer of loans. Lenders or holders may sell or otherwise transfer ICAC-guaranteed loans to other eligible lenders or secondary market organizations that participate in the ICAC program. Loans may be sold or transferred to consolidate a student's loans, to dispose of a block of loans, or to convey ownership of a total portfolio as in the case of a lending institution merger.

A buyer is advised to examine a loan file carefully before purchase to ensure the loan has been processed, disbursed, and serviced in accordance with state and federal law and ICAC rules.

If the loans included in the sale or transfer are eligible to receive interest benefits and special allowance, the seller must notify the ICAC office in Des Moines in writing of the transfer. The seller must complete three Loan Transfer Statements (DE 1074), get them signed by both seller and buyer, and then distribute them to the seller, the buyer, and the ICAC office in Des Moines on or before the actual transfer date.

A lender may buy or sell a student's Ioan(s) in order to consolidate the student's loans under one lender or holder and facilitate repayment. A lender must maintain separate repayment notes and records if a borrower has loans under more than one guarantor; however, the borrower's loans may be computer-entered as separate loans or as a single loan.

If a large block of loans is to be transferred, a seller may submit a computer printout of the loans in lieu of listing the loans on the Loan Transfer Statement. In lieu of individual assignments, the seller may incorporate the required assignment language into a transfer agreement, provided the agreement lists each borrower's name and social security number.

If an entire portfolio is to be transferred from one eligible lender or holder to another, as in a merger of two lending institutions, a seller may submit a computer printout of the loans in lieu of listing the loans on the Loan Transfer Statement.

lAC 3/12/86, 7/16/86 College Aid[245] Ch 10, p.43a

...._; 3. The estimated guarantee fee for the late disbursement amount. 10.57(2) Direct disbursement. A lender may disburse PLUS Loan proceeds directly to a

student borrower only after receiving written approval from the ICAC. A letter detailing the circumstances and requesting permission for direct disbursement must be submitted to the ICAC.

I.._/

The ICAC approves direct disbursement of loan proceeds to pay off a personal loan only if: 1. The note for the personal loan specifies the loan is for educational purposes, and 2. The check for the proceeds of the personal loan was made copayable to the student and

the school and mailed to the school. After the ICAC's written approval is received, the lender may disburse directly to the stu

dent borrower proceeds equal to the amount due on the personal loan. The student may repay the personal loan directly by signing over the check. Any balance of student loan proceeds remaining after the check for payment of a personal note is drawn must be sent to the school with a copy of the ICAC letter of approval for direct disbursement.

245-10.58(261) Loan status. A PLUS Loan enters repayment as of the date of disbursement. A parent borrower must begin payments within sixty days of the disbursement date and make payments until the loan is paid in full. A student borrower attending school full time qualifies for deferment of the repayment of principal but must begin paying interest immediately or arrange with the lender for capitalization of the interest as provided in rule 1 0.59(261 ).

After a lender has disbursed a PLUS Loan to a student borrower and granted a deferment based on full-time attendance, several things may occur before the borrower is due to complete school and assume payments of interest and principal.

1. Notification from the ICAC, 'the school, or the borrower that the borrower has left school or dropped below full-time enrollment, requiring that the borrower's conversion to repayment be accelerated as provided in the terms of the note (ICAC 19540).

2. Notification that the student has transferred to another school. If the student documents \.,.) full-time attendance at another eligible school with the same anticipated completion date, the

original date for repayment remains accurate. If the anticipated completion date is earlier, the date for repayment must be accelerated as provided in the terms of the note. If it is later, the date for repayment must be extended and an extension agreement executed.

'-..)

\..,!


3. Failure of the borrower to receive a degree or certificate by the anticipated completion ~ date. If the student documents full-time attendance at an approved school, the original date for repayment is extended and an extension agreement executed.

4. Application by the borrower for an additional loan. If notification of a change is received from a source other than the ICAC, a lender must

notify the ICAC using the Demographic Update (Form #130) or the Lender Manifest (ICAC 1911), whichever applies.

245-10.59(261) Interest. Reference: Code of Federal Regulations, Title 34, Section 682.202, as in effect December 26, 1986.

PLUS Loans are made at twelve percent simple interest. Iowa PLUS Loans disbursed before November I, 1982, are fourteen percent loans.

A borrower is responsible for payment of all interest on a PLUS Loan for the life of the loan, including authorized deferment periods. No interest is paid by the federal government. \,....)

The ICAC indicates the applicable interest rate for a loan at the time an application is processed and prints the interest rate on the Notice of Loan Guarantee. The rate is determined by the anticipated disbursement date for the loan and the prevailing PLUS interest rate on that date. Interest on the unpaid principal balance may not exceed the rate disclosed on the borrower's Notice of Loan Guarantee.

Federal regulations provide for interest rates of twelve and fourteen percent only. The rate of interest on PLUS Loans is set according to the average bond equivalent rates of 91-day Treasury Bills over a twelve-month period beginning on or after the date of a change in the interest rate. If the average remains equal to or less than fourteen percent, the PLUS interest rate remains twelve percent. If the average exceeds fourteen percent, the PLUS interest rate changes to fourteen percent effective for loans disbursed on or after the first day of the first month beginning after the date the new rate is published.

A borrower may have both twelve and fourteen percent loans. The interest rate of a loan \.,..,) is determined by the disbursement date, regardless of the rate of any other PLUS Loans the borrower may have.

A lender may require a borrower who qualifies to defer repayment of principal to pay monthly or quarterly interest payments during the in-school period or any period of deferment or forbearance or may allow the borrower's interest to accrue and be capitalized.

Interest which has accrued on a PLUS Loan may be capitalized, that is, added to the unpaid principal of the loan, in these instances only:

1. Interest accrued during the in-school period provided attendance is full-time and capitali-zation is expressly authorized by the promissory note;

2. Interest accrued during a period deferment; 3. Interest accrued from a period of forbearance; 4. Interest accrued from the date the loan was required to enter repayment until the actual \ J

repayment start date; and ,....... 5. Interest accrued from most recent payment to the execution of a promissory note to con

solidate loans.


For PLUS Loans for periods of enrollment beginning before May 1, 1987, a lender may capitalize accrued interest as specified in "1" to "3" above only when repayment of principal is required to begin or resume.

For PLUS Loans to student borrowers for periods of enrollment beginning on or after May 1, 1987, accrued interest, as specified in items '' 1'' to '' 3'' above, may be capitalized no more frequently than once a year. However, if agreed upon by the borrower and the lender, capitalization may be on a quarterly basis during any period when the borrower is pursuing:

1. Full-time study at an eligible institution; 2. Half-time study during an enrollment period for which the student has obtained a GSL

or Supplemental Loan; 3. An approved graduate fellowship program; or 4. An approved rehabilitation training program.

Capitalization of accrued interest in all circumstances included in this paragraph is also permitted when repayment is required to begin or resume.

Interest accrued from the date a loan was required to enter repayment until the actual repayment start date may be capitalized only on the date the repayment period actually begins.

Interest accrued from the most recent payment to the execution of a promissory note to consolidate loans may be capitalized only at execution of consolidation.

245-10.60(261) Special allowance. Reference: Code of Federal Regulations, Title 34, Section 683.14.

The U.S. Department of Education pays a special allowance on PLUS Loans to adjust the maximum loan rate to current money market conditions. Special allowance is paid for the life of the loan, regardless of whether a loan is in repayment, deferment, or forbearance status.

On a loan that is canceled by return of the original uncashed check or paid in full within ~ sixty days of disbursement, a lender earns special allowance on the full amount disbursed,

including fees, from the date of disbursement to the date the original check is returned or the date the loan is otherwise paid in full.

Special allowance is not paid on loans paid in full, loans for which claims are paid by the guarantor, loans for which claims are denied by the guarantor, and loans that have lost their guarantee.

For loans for periods of enrollment beginning on or after November 16, 1986, the formula used by the Department of Education for computing special allowance for a three-month period is: Average of the bond equivalent rates of 91-day Treasury Bills for the quarter, minus the applicable interest rate on the loan, plus three and one-quarter percent, and the result divided by four. For loans for periods of enrollment beginning before November 16, 1986, the formula is: Average of the bond equivalent rates of 91-day Treasury Bills for the quarter, minus the

I. J applicable interest rate on the loan, plus three and one-half percent, and the result divided ~by four.

The special allowance rate is set quarterly on March 31, June 30, September 30, and December 31 of each year by the Secretary of Education in consultation with the Secretary of the Treasury. The rates set apply to the quarters ending on those dates.

A lender bills the U.S. Department of Education for special allowance using the Request for Interest and Special Allowance (ED Form 799). A lender making PLUS Loans must complete the special allowance section with information regarding PLUS Loans even when the special allowance rate precludes the lender receiving payment. A lender may bill quarterly, semiannually, or annually. The Department of Education calculates the actual amount of special allowance due based on information supplied by the lender.

A lender bills for interest benefits on GSLs and special allowance on GSLs and PLUS Loans concurrently and on the same form (ED Form 799). Two separate forms are not submitted.

~ The ICAC informs lenders each quarter of the special allowance rate.


245-10.61(261) Loan eligibility for interest and special allowance. See rule 10.23(261) which applies to PLUS Loans as well as Guaranteed Student Loans.

245-10.62(261) Guarantee fee. Reference: Code of Federal Regulations, Title 34, Sections 682.202(d) and 682.401(b) (6), as in effect December 26, 1986.

The ICAC guarantee fee is an amount a borrower pays to the ICAC for guaranteeing repayment of a loan. Its rate is determined by the ICAC with consideration given to the ICAC Reserve Fund and the requirements of the U.S. Department of Education regulations.

The guarantee fee for an Iowa PLUS Loan with a period of instruction beginning prior to May 1, 1987, is one percent ( 1 OJo) per year on the declining principal balance for the life of the loan. The guarantee fee for an Iowa PLUS Loan for a period of instruction beginning on or after May 1, 1987, is three percent (30Jo) of the loan amount. The amount of the guarantee fee is computed by the ICAC and reported to a lender on the Notice of Loan Guarantee.

A lender deducts the guarantee fee from the proceeds of a loan and holds the fee in an escrow account until a billing is received. Once a month the ICAC Processing Center sends lenders a Fee Billing Statement for the guarantee fees on all PLUS Loans scheduled for disbursement the previous month. A lender is to use the Fee Billing Statement to notify the ICAC Processing Center of all changes to a loan apparent at disbursement. Lenders are encouraged to provide as much information on the Fee Billing Statement as necessary to clarify their intentions.

A loan for which the guarantee fee is past due for over one hundred and thirty days is subject to cancellation.

A lender must ascertain a new-guarantee fee for a loan and disclose it to the borrower on the promissory note if an amount less than the original amount guaranteed is disbursed.

The ICAC does not charge an additional guarantee fee for extension, deferment, forbearance, refinance, or consolidation.

A guarantee fee must be refunded to a borrower if the entire amount of loan proceeds is repaid within sixty days of the disbursement date by the borrower, by a check issued by the school, or by the return of the original check. If the original check is returned, the loan is canceled; otherwise it is paid in full. A credit adjustment is requested on the next Fee Billing Statement. If a school takes more than sixty days to return an original loan check for a student who never enrolled, a refund may be obtained by contacting the ICAC office in Des Moines.

A loan cannot be sold or transferred until the guarantee fee has been paid. In deference to long-standing usage, the term "insurance premium" is sometimes used in

lieu of guarantee fee, despite the fact that the guarantee fee or insurance premium is incident to a guarantee transaction and is not actually "insurance."

A guarantee fee is the only fee charged on a PLUS Loan. There is no origination fee.

~I

245-10.63(261) Prepayment. A borrower may prepay a PLUS Loan in whole or in part \..,/ at any time without penalty.

Prepayments are applied to accrued interest, if any, then to principal. A prepayment is reported to the ICAC Processing Center on the Lender Manifest when a

lender has other additional cause to report the loan.

245-10.64(261) Repayment requirements. A PLUS Loan enters repayment as of the disbursement date. There is no grace period on a PLUS Loan. The first payment must be made within sixty days of the disbursement date unless the borrower qualifies for a deferment. A lender is encouraged by the ICAC to set the first payment date thirty to forty-five days following disbursement in keeping with the standards set for lending institution consumer loans. Rate tables provided for the PLUS Program are based on thirty days between disbursement and first payment.

A borrower must pay at least $50 per month ($600 per year) on a PLUS Loan. V A borrower is entitled to at least five years to repay a loan unless the monthly payment

amount would pay off the loan in less time. A borrower may accelerate repayment and sign


If the ICAC denies the request or grants reinstatement subject to limitation, the school or ~ lender may request in writing a meeting to show cause why its eligibility should be reinstated.

~

~~

I.._.)

Pending outcome of the meeting, a school or lender granted reinstatement subject to limitations maintains its right to participate in the ICAC program subject to the reinstatement limitations.

These rules are intended to implement Iowa Code section 261.37. [Filed emergency 6/18/79 after Notice 3/7/79-published 7/11/79, effective 6/18/79]

[Filed emergency 4/17/81-published 5/13/81, effective 4/17/81] [Filed emergency 12/22/81-published 1/20/82, effective 12/22/81]

[Filed emergency 5/18/82-published 6/9/82, effective 5/18/821 [Filed emergency 11/15/82-published 12/8/82, effective 11/19/82] [Filed 1/14/83, Notice 12/8/82-published 2/2/83, effective 3/9/83]

[Filed 7/29/83, Notice 6/22/83-published 8/17/83, effective 9/21/83] [Filed 9/8/83, Notice 8/3/83-published 9/28/83, effective 11/2/83]

[Filed emergency 11/18/83-published 1217/83, effective 1/2/84] [Filed 1/13/84, Notice 11/23/83-published 2/1/84, effective 3/7/84]


[Filed 10/5/84, Notice 7/4/84-published 10/24/84, effective 11/28/84] [Filed emergency 8/16/85-published 9/11/85, effective 10/1/85] 0

[Filed 11/14/85, Notice 9/11/85-published 12/4/85, effective 1/8/86]* [Filed emergency 2/24/86-published 3/12/86, effective 2/24/86] [Filed 6/13/86, Notice 4/9/86-published 7/2/86, effective 8/6/86] [Filed emergency 6/27/86-published 7/16/86, effective 6/27/86]


[Filed emergency 1/21/87-published 2/11/87, effective 1/21/87] [Filed emergency 2/17/87-published 3/11/87, effective 2/18/87] [Filed emergency 4/16/87-published 5/6/87, effective 4/17/8710


'-..,) ¢Two ARCs. *Three ARCs.

~ {.' )

lAC 7/4/84 College Aid[245]

CHAPTER 12 ORGANIZATION AND OPERATION

Ch 12, p.1

245-12.1(161) Purpose. This chapter describes the or.ganization and operation of the Iowa collese aid commission (hereinafter referred to as the commission) including the offices where, and the means by which any interested person may obtain information and make submittals or requests.

245-12.2(161) Organization and operations. 12.2(1) Location. The commission is located in the Jewett Building, Ninth and Grand,

Des Moines, Iowa 50309; Phone (515) 281-3501. Office hours are 8:00a.m. to 4:30p.m., Monday to Friday. Offices are closed on Saturdays and Sundays and on official state holidays designated in accordance with state law.

12.2(2) The commission. The commisson consists of eleven members and functions under the leadership of a chairperson elected by the membership. Six members are appointed by the governor to serve a term of four years. Three of the governor's appointees represent the general public, one represents Iowa lending institutions, one represents Iowa colleges and universities, and one represents Iowa postsecondary students. The board of regents, vocational education advisory council, president of the senate, and speaker of the house each appoint a commission member; and the superintendent of the department of public instruction is a continuous member.

12.2(3) Meetings. The commission shall meet at regular intervals at least six times annually. Additional meetings may be called at the discretion of the chairperson.

a. The chairperson of the commission presides at each meeting. Members of the public may be recognized at the discretion of the chairperson. All meetings are open to the public in accordance with the open meetings law, chapter 28A, The Code.

b. The commission shall give advance public notice of the time and place of each commission meeting. The notice will include the specific date, time, and place of the meeting.

c. A quorum shall consist of two-thirds of the voting members of the commission. When a quorum is present a position is carried by an affirmative vote of the majority of commission members eligible to vote.

12.2(4) Minutes. The minutes of all commission meetings are recorded and kept by the director in the commission office.

12.2(5) Records. The records of all of the business transacted and other information with respect to the operation of the commission are public records and are on file in the commission office. All records except statements specified as confidential under these rules are available for inspection during regular business hours. (Copies of records up to ten pages in number may be obtained without charge. The cost of reproduction will be charged for pages in excess of ten. The charge may be waived by the director if deemed advisable.)

12.2(6) Submission and requests. Inquiries, submissions, petitions, and other requests directed to the commission may be made by letter addressed to the executive director at the address listed in subrule 12.2(1). Any person may petition for a written or oral hearing before the commission. All requests for a hearing must be in writing and state the specific subject to be discussed and the reasons why a personal appearance is necessary if one is requested.

These rules are intended to implement Iowa Code section 17A.3(1)ua" and ub" and chapter 261.

[Filed 12/18/81, Notice 10/14/81-published 1/6/82, effective 2/10/82] [Filed 6/15/82, Notice 4/11 /84-published 7 I 4/84, effective 8/8/84]


CHAPTER 13 RULEMAKING AND DECLARATORY RULES

245-13.1(261) Initiation of mlemaking procedures. 13.1(1) Any person may request the commission to adopt, amend, or rescind a rule by

making the request in writing to the executive director clearly stating the intent, purposes, and general language of the desired rules.

13.1(2) The commission shall act upon the request within sixty days after its submission in accordance with section 17 A. 7, The Code.

13.1(3) The commission may initiate rulemaking procedures upon its own motion in accordance with section 17 A.4, The Code.

245-13.2(261) Procedures for oral or written presentations. 1..._.; 13.2(1) Except where oral or written presentations are deemed unnecessary by the com

mission in accordance with section 17 A.4(2), the commission shall allow for the submission of oral or written presentations or both prior to its adoption of any rules.

13.2(2) Interested persons shall have at least twenty days from the date of publication of notice in the Iowa Administrative Bulletin to submit written requests for oral presentations or to submit written presentations.

13.2(3) Notice of date, time and place of oral presentations by requesting parties will be published in the lAB at least twenty days in advance of the hearing.

13.2(4) Interested parties may be requested to supplement oral presentations with written presentations at the discretion of the commission.

245-13.3 Rescinded, effective June 10, 1987.

245-13.4(261) Declaratory mHngs. The commission shall provide declaratory rulings as to applicability of any statutory provision, rule or other written statement of law or policy, decision or order when petitioned to do so by the public where, in the judgment of the commission, it is necessary or helpful for them to conduct their affairs in accordance with the law.

Requests for declaratory rulings shall be made to the executive director in writing. Within thirty days after submission of a request for declaratory ruling, the commission shall

issue a ruling on the rule, statute or policy in question. The ruling shall be in writing. The commission may decline to rule when in the judgment of the commission the ruling

would be beyond the commission's realm of authority, when no clear answer is determinable, or when the issue presented is pending resolution by a court of Iowa or by the attorney general.

245-13.5(261) Procedure for informal settlements in contested cases. Unless precluded by statute, informal settlement of disputes over rules of the commission that may otherwise result in contested case proceedings as prescribed in section 17A.12, The Code, shall be encouraged.

All informal settlements shall be made by the executive director subject to ratification by the commission and by the parties contesting the rule in question. The settlement shall be expressed in a written stipulation representing an informed mutual consent.

These rules are intended to implement Iowa Code sections 17A.4, 17A.7 and 17A.9 and chapter 261.


~

lAC 5/6/87 Employment Security[370] Analysis, p.l (Job Service)

EMPLOYMENT SECURITY[370] Renamed Division of Job Services under the "umbrella" of Department of Employment Services by the

1986 Iowa Acts. chapter 1245.

CHAPTERS 1 to 7 See Job Service, Division of[34S)

CHAPTER 8 Transferred to Personnel Department[S81), Ch 21; lAC Supp.

S/6/87.

CHAPTER 9 Transferred to Personnel Department(S81), Ch 22; lAC Supp.

S/6181.

10.1 to 10.7 10.8 and 10.9

10.10

CHAPTER 10 FORMS

See 345-rules 10.1 to 10.7 Rescinded effective June

10, 1987. See 345-rule 10.10

; ·; .·'

lAC 3/11/87, 5/6/87 Nursing Board[590] Ch 2, p.l

CHAPTER 2* NURSING EDUCATION PROGRAMS

590-2.1(152) Definitions. Approval. Recognition status given nursing education programs based on their compliance

with the criteria specified in this chapter. Clinical facilities. Those resources that provide experiences with or related to patients/ clients

for application and reinforcement of didactic content. Controlling institution. The institution which has authority and administrative accountability

for the program(s). Head of the program. The dean, chairperson, director, or coordinator of the nursing edu

cation program(s). Program. Course of study which leads to a nursing diploma, degree, or certificate. Multi-

~,. 1 ple site programs offered by one controlling agency shall be considered as one program if the .._., philosophy and curriculum are the same. Programs may include the following:

1. Practical nursing education. A vocational course of study which leads to a diploma in practical nursing and eligibility for the practical nurse examination, as described in chapter 3.

2. Basic nursing education. A course of study which leads to initial eligibility for the registered nurse licensing examination as described in chapter 3. These include:

Associate degree. Diploma. Baccalaureate degree. 3. Advanced formal education. Baccalaureate/or registered nurses. A course of study designed for registered nurses which

leads to a baccalaureate degree with a major in nursing. Postbasic. A course of study in nursing which provides advanced knowledge and experiences

.._ 1

which facilitate development of competencies in a specialized clinical area. This leads to eligi._., bility for certification in the specialty and licensure as an advanced registered nurse practitioner.

Master,s degree. A postbaccalaureate course of study which offers postgraduate study in nursing.

Doctorate degree. A postmaster's course of study which offers postgraduate study in nursing.

590-2.2(152) Approval of programs. 2.2(1) Approval status for each program shall be determined by the board. The board

shall review all programs within a controlling institution at the same time, when feasible. A report shall be sent to the head(s) of the program(s) and controlling institution.

2.2(2) Interim approval shall be granted to a newly established program which meets the requirements of the board as specified in this subrule.

a. A controlling institution which proposes to establish or reopen a program shall: ~ (I) Submit a written statement of intent to the board at least nine (9) months prior to expected

opening date. (2) Utilize an advisory committee composed of representatives from the community and

nursing. Minutes of meetings shall be on file. (3) Submit the following information to the board at least six (6) months prior to expected

opening date: Program philosophy, objectives, and purpose which reflect the level of education to be taught. Organizational chart. A budget which demonstrates financial resources adequate for the planning, implementa

tion, and continuation of the program. Curriculum plan which establishes plan for compliance with rule 2.4(152). Availability of academic facilities adequate to meet program needs and learning needs of

the student. See rule 2.4(152). '-..,) Availability of clinical facilities adequate to meet curriculum objectives.

Availability of qualified faculty as defined in this subrule. Tentative time schedule for planning and initiation of the program.

*Effective date (4/IS/87) or chapter 2 delayed seventy days by the administrative rules review committee at its 4/14/87 meeting.

Ch 2, p.2 Nursing Board[S90) lAC 3/11187

b. The board may conduct a site visit to the controlling institution prior to acting upon interim approval. The submitted information will be discussed and the program's resources "-"' and clinical facilities visited.

c. The board shall review the statement of intent, submitted information, and written report of the site visit, if done, and take action. The board may seek further information, deny or grant interim approval to the program.

d. Faculty requirements. (1) The faculty shall meet the qualifications outlined in subrule 2.6(2). (2) The head of the program shall be employed for six (6) months prior to the expected

opening date. (3) The other faculty of the program shall be employed prior to the beginning of teaching

assignments. Sufficient time shall be allowed for orientation and preparation for teaching assignments.

e. Progress reports. The head of the program shall submit eight (8) copies of the progress ~ report three weeks prior to each regularly scheduled board meeting until full approval is granted by the board as defined in subrule 2.2(3).

f. Publicity. Publicity shall accurately reflect the approval status of the new program. g. Interim approval shall continue until the board reviews the program following the gradu

ation of the first class. Practical nursing or basic nursing programs shall be reviewed after the scores from the licensure examination of the first graduating class are available.

2.2(3) Approval procedure. a. Site visits of the program. A representative of the board shall make a site visit to a pro

gram prior to the expiration of the approval status or if there is evidence that the program is no longer able to meet the criteria for approval.

(1) The purpose of the site visit is to examine educational objectives, review courses, programs, administrative practices, services, and facilities; and to determine if the program con-tinues to meet the criteria for approval. \,.,1

(2) A written report of the site visit shall be submitted to the head of the program who shall be provided an opportunity to respond.

(3) The report shall be submitted to the board for review and action. b. Site visit of clinical facilities. A representative of the board may visit any clinical facility

used by nursing students. (1) The purpose of the visit is to ascertain appropriateness for student learning. Adminis

trative practices, client care program, census, personnel, and physical facilities may be reviewed. (2) A written report shall be submitted to the board for review and action. (3) The written report of board action shall be sent to the chief administrative officer of

the clinical facility, director of nursing service, and the head of the educational program. c. Action of the board regarding approval status. (1) Full approval may be granted for up to six (6) years. (2) Provisional approval is granted to a program that has had interim or full approval and ~

is found not to meet the criteria for approval. The board shall: 1. Meet with representatives from the program prior to placement on provisional approval. 2. Determine the length of provisional approval, indicate areas of improvement and specify

time limits for improvements. The board may request progress reports and a site visit. 3. Meet with representatives from the program to review materials and activities requested.

This shall be done prior to expiration of provisional approval. 4. Deny or withdraw approval if it is determined that a program failed to meet the stipula

tions of provisional approval. 2.2(4) Closing of an approved program. The controlling institution must submit a writ-

ten plan to be approved by the board prior to closing. The plan shall include reasons for closure; date of closure, which is the date when the last student graduates; and provisions for gradua-tion of enrolled students, retention of adequate numbers of qualified faculty, retention of approved curricular plan, maintenance of educational resources, students services, and provi- \..,I sion for student and graduate transcripts. When a program plans to close prior to the gradua-

lAC 3/11/87 Nursing Board[590] Ch 2, p.S

590-2.4(152) Resources of the controlling institution. 2.4(1) The controlling institution is responsible for provision of resources adequate to meet

program needs. a. Human resources. (1) Head of program. (2) Faculty. (3) Secretarial and other support and staff services to ensure appropriate use of faculty time

and expertise. b. Physical resources. (1) Classrooms, conference rooms, laboratories, offices, and equipment. (2) Student facilities. c. Library resources. Adequate and accessible holdings and space. 2.4(2) The agencies and services utilized for learning experiences are adequate in number

and kind to meet program objectives.

590-2.5(152) Curriculum. 2.5(1) The curriculum, a program of study developed by the faculty, shall: a. Reflect the philosophy, organizing framework, purpose, and objectives of the program. b. Identify the terminal behavioral outcomes. c. Be in accordance with current educational, societal, and nursing standards. d. Be consistent with the laws governing the practice of nursing. e. Ensure sufficient preparation for the safe and effective practice of nursing. f. Include teaching/learning experiences and learning strategies selected to meet curricu

lum objectives. g. When offered within a college or university.:

'-.-J (1) Be comparable to the quality and requirements of other degree programs within that institution.

(2) Be planned within the college calendar. (3) Assign credit hours for lecture and clinical or laboratory experience comparable with

the college pattern. 2.5(2) Curricula for practical nursing programs shall include didactic content and practice

in nursing with a focus on supportive and restorative health care for individuals through the life span.

a. Didactic content shall include life sciences, behavioral sciences, legal and ethical aspects as related to the role of the practical nurse, medical nursing, surgical nursing, maternity nursing, nursing of children, and gerontological nursing.

b. Learning experiences shall include care during acute, episodic, and chronic illnesses; observation; communication; technical skills; equipment use; and problem solving.

'-.-) 2.5(3) Curricula for basic nursing education programs shall include didactic content and practice in nursing which focuses on attaining, maintaining, and regaining health for individuals and groups throughout the life span.

a. Didactic content shall include content in nursing of clients with medical-surgical therapies, nursing of childbearing and childrearing families, mental health nursing, and nursing through the aging process. Baccalaureate programs shall include nursing research and nursing in the community.

b. Learning experiences shall include care during acute, episodic, and chronic illnesses with emphasis given to health promotion, illness prevention, and rehabilitative intervention.

c. Content in history and trends as related to nursing and professional, legal, and ethical aspects of nursing.

d. Content in the principles of leadership, management, and patient education. \.....~ e. Supporting content from the biological-physical, behavioral/social sciences.

2.5(4) Curricula for programs granting a baccalaureate degree to registered nurses shall include didactic content and practice in nursing which will enable the student to achieve competencies comparable to outcomes of baccalaureate education.

Ch 2, p.6 Nursing Board[590] lAC 5/6/87

2.5(5) Curricula of postbasic programs shall: a. Provide advanced didactic content and practice in a specialty area of nursing. b. Address the role of advanced registered nurse practitioners. 2.5(6) Curricula of master's and doctoral nursing degree programs shall: a. Provide for the in-depth study of nursing science including theory, clinical, and research

components. b. Provide for the study in role areas such as nursing education, administration, or clinical

practice.

590-2.6(152) Faculty. 2.6(1) Faculty requirements for programs are as follows: a. There shall be a sufficient number of qualified faculty to meet program objectives. \

1 b. Written personnel policies and position descriptions shall be provided. ......,. c. A faculty development program shall be designed to further the competence of individu

al faculty members and the faculty as a whole. d. There shall be a written teaching load policy. e. There shall be a nursing faculty organization which shall operate according to written

bylaws and meet on a regular basis. Minutes shall be recorded and available for reference. f. In practical and basic nursing programs a ratio of one (1) faculty to a maximum of ten

(10) students shall be required in those practice situations involving direct patient care. 2.6(2) Requirements of faculty members who teach nursing are as follows: a. Current licensure as a registered nurse in Iowa. b. Two years of experience in clinical nursing. c. The applicable academic qualifications: (l) All faculty hired after September 1, 1997, shall have a master's or doctoral degree with

a nursing major at the baccalaureate, master's, or doctoral level. The date of hire is the first "....,; day employed with compensation.

(2) A person who is a faculty member on September 1, 1987, and who holds a baccalaureate degree shall obtain at least a master's degree in an applicable field by September 1, 1998.

(3) A person who is a faculty member on September 1, 1987, and who does not hold a baccalaureate degree shall obtain a baccalaureate degree in an applicable field by September 1, 1995, and a master's degree in an applicable field by September 1, 1998.

(4) A faculty member who is hired after September 1, 1987, and before September 1, 1997, shall hold a baccalaureate degree with a nursing major by September 1, 1993, and a master's degree in an applicable field by September 1, 1998. The date of hire is the first day employed with compensation.

(5) A doctoral degree shall be required for faculty of master's and doctoral programs by September 1, 1993.

d. Submission of a detailed description of qualifications to the board office. ( 1) Each program head shall submit a list of all faculty teaching on September 1, 1987, along

with a detailed description of qualifications by which each faculty member's compliance with this subrule can be determined. The list shall be submitted within one month of notification by the board of this requirement. The detailed description of each faculty member's qualifications shall be submitted within another month.

(2) The board shall monitor each program's progress in meeting this subrule at least annually in the annual reports.

2.6(3) Functions of faculty. a. Develop, implement, and evaluate the purpose, philosophy, and objectives of the program. b. Design, implement, evaluate, and revise the curriculum. c. Provide students with the written policies as specified in subrule 2.7(1). d. Participate in academic advising and guidance of students. e. Provide for admission, promotion, and graduation of students. f. Provide for student, self, and peer evaluation of teaching effectiveness. g. Participate in activities to improve competency in area of responsibility.

lAC 3/11/87 Nursing Board[590] Ch 2, p.7

\._,I 590-2. 7(152) Program responsibilities. 2. 7(1) Policies affecting students. Programs shall include provisions for the development,

implementation, and communication of the following student policies: a. Admission/enrollment. Licensure if applicable according to subrule 3.2(1). b. Transfer or readmission. c. Withdrawal. d. Progression. e. Grading system. f. Suspension or dismissal. g. Graduation. h. Holiday and leave of absence. i. Health. j. Counseling.

\.._.I k. Grievance procedure. 2. 7(2) School information. Information about the program and the controlling institu-

tion shall be published at least every two (2) years and shall include: a. Philosophy and objectives of the program. b. A general description of the program. c. Curriculum plan. d. Course descriptions. e. Resources. f. Faculty. g. Tuition, fees, and refund policies. h. Ethical practices, including recruitment and advertising. i. Official dates.

' 2. 7(3) Program records. ~ a. Records shall be dated and include:

(1) Course outlines. (2) Minutes. (3) Faculty personnel records. (4) Correspondence. (5) Reports. (6) Catalogs and program bulletins. b. If a program closes the board shall be informed about the location and maintenance of

these records. 2. 7(4) Students records. a. Policies for records shall specify method for permanent protection and maintenance of

individual records against loss, destruction, and unauthorized use. ' b. The final record shall include the transcript and a summative performance statement.

\....,1 (1) The final transcript includes: 1. Legal name of student. 2. Dates of admission, completion of the program, and graduation. 3. Courses which were accepted for transfer. 4. Signature of the proper program official. 5. Seal of the program or controlling institution or notarized signature of proper program

official. (2) The summative performance statement is a profile of the student at the time of graduation. c. If a program closes, the board shall be informed about the location and maintenance

of the student and graduate records.

,590-2.8(152) Clinical facilities. 2.8(1) The clinical facilities shall provide adequate learning experiences to meet curricu-

'--"lum objectives. .

Ch 2, p.8 Nursing Board[590] lAC 3/11/87, 5/6/87

2.8(2) The program shall inform the board of clinical facilities used for learning experiences. a. The clinical facilities shall be accredited/approved by the appropriate agencies. b. The board may conduct a site visit of the clinical facilities. c. There shall be joint planning when more than one program uses the same facility for

student experiences.

590-2.9(152) Reports to the board. 2.9(1) Annual reports. The head of the nursing program shall submit an annual report

to the board on forms provided and shall include: a. Progress toward achievement of stated program goals of the past academic year. b. Qualifications and major responsibilities of the head of the program and each faculty

member. c. Policies for admission, progression, and graduation of students. d. Policies for student health and welfare. e. Current enrollment by class. f. Number of admissions and graduations per year for past five (5) years. g. Class mean scores on licensure examinations for past five (5) years. h. Curriculum plan. i. Descriptions of resources, clinical facilities, and contractual arrangements. j. Copy of audited fiscal reports, including a statement of income and expenditures. k. Goals for present academic year. I. Program catalog. 2.9(2) Special reports. The program shall notify the board of the following: a. Change of controlling institution. Information shall include official names of the pro

grams and controlling institution, organizational chart of the controlling institution, and names of administrative officials.

b. Changes in administrative personnel in the program or the controlling institution. c. Opening of a new site or campus. 2.9(3) Changes requiring board approval. a. These changes require the submission of eight (8) copies of the proposed change at least

three (3) weeks prior to the next regularly scheduled board meeting and include but need not be limited to the following:

(1) Changes in the curriculum which lengthen or shorten the program. (2) Addition or deletion of clinical or didactic credit hours in a course. (3) Changes in course requirements for graduation. b. Changes requiring the submission of one copy of the proposed change. A board represen

tative shall review the proposed change for approval. If the change is not approved, seven (7) additional copies shall be requested and the matter shall be submitted for board approval. These changes include but need not be limited to the following:

(1) Changes in the philosophy, objectives, or organizing framework used to define the curriculum.

(2) Change in the predominant method of instruction (e.g., where a course taught by faculty is shifted to computer, programmed self-study, or correspondence).

(3) Rearrangement of the sequence of required courses. These rules are intended to implement Iowa Code section 152.5.

[Filed 5/12170, amended 8/11/70] [Filed 5/3/76, Notice 1112/76, 3/22176-published 5/17/76, effective 6/21176]

[Filed 10/3177, Notice 8/24/77-published 10/19/77, effective 11/23177] [Filed 2/3/84, Notice 11/9/83-published 2129/84, effective 4/4/84]

[Filed without Notice 7/19/85-published 8/14/85, effective 9/18/85] [Filed 2/17/87, Notice 8/13/86-published 3/11/87, effective 4/15/87*]

[Filed emergency 4/15/87-published 5/6/87, effective 4/15/87] •Effective date of c:h 2 delayed seventy days by the administrative rules review committee at its 4/14/87 meeting.

lAC 2/11/87 Substance Abuse[805] Ch 6, p.3

805-6.2(125) Inspection. Upon approval of warden, superintendent or district director, each applicant or licensee agrees as a condition of license to permit properly designated representatives of the department to enter into and inspect any and all premises of facilities for which a license has been either applied or issued to verify information contained in the application or to assure compliance with all laws, rules, and regulations during all hours of operation of the facility and at any other reasonable hour. Further, each licensee agrees to permit properly designated representatives of the department to audit and collect statistical data from all records maintained by the licensee. Right of entry and inspection shall, under due process of law, extend to any premises on which the department has reason to believe a program is being operated in violation of these rules. A facility shall not be licensed which does not permit inspection by the department or examination of all records, including financial records, methods of administration, general and special dietary programs, the disbursement of drugs and methods of supply, and any other records the commission deems relevant to the establishment of a system.

805-6.3(125) General standards for all correctional substance abuse treatment programs. The following standards shall apply to all correctional substance abuse treatment programs in the state of Iowa regardless of the category of treatment services provided by the programs. In situations where differences between general standards for all treatment programs and specific standards occur, both general and specific standards must be met.

6.3(1) Procedures manual. All programs shall develop and maintain a procedures manual. This manual shall define the program's policies and procedures to reflect the program's activities. Revisions shall be entered with the date, name, and title of the individual making the entries. This manual shall contain all of the required written policies, procedures, definitions, and all other documentation required by these standards in the following areas:

a. Organization and management of the program; b. Personnel policies; c. Medical services/detoxification; d. Staff training; e. Intake and initial assessment; f. Treatment planning; g. Inmate case records; h. Discharge planning; i. Follow-up services; j. Inmate rights; k. Confidentiality of inmate records; and I. Medication control. Policies and procedures manual for OWl programs shall be approved on an annual basis

by the governing authority. 6.3(2) Personnel. Written personnel policies and procedures shall be developed by all pro-

grams. Merit rules may be utilized in lieu of specific program personnel policies and procedures. a. These policies and procedures shall address the following areas: (1) Recruitment and selection of staff members and volunteers; (2) Wage and salary administration; {3) Promotions; (4) Employee benefits; (5) Working hours; (6) Vacation and sick leave; (7) Lines of authority; (8) Rules of conduct; (9) Disciplinary actions and termination of employees; (10) Methods for handling cases of inappropriate client care; (11) Work performance appraisal;

Ch 6, p.4 Substance Abuse[805] lAC 5/6/87

(12) Employee accidents and safety; (13) Arbitration of employee grievances; (14) Policy on staff persons suspected of using or abusing substances; (15) Training and staff development which will include, but not be limited to orientation

of new staff members or volunteers, ongoing training laws, rules and regulations, and confidentiality regulations.

b. The written personnel policies and practices shall include an equal employment opportunity policy and an affirmative action plan for hiring members of protected classes.

c. There shall be written merit job descriptions for all positions. Each job description shall identify specifically:

(1) Job title; (2) Tasks and responsibilities of the job; (3) The skills, knowledge, training, education, and experience required for the job; and (4) Lines of authority. d. Section A Merit Performance Plan or job description shall accurately reflect the actual

job situation and shall be reviewed at least annually by the supervising authority or whenever there is a change in required qualifications of duties.

e. The written personnel policies and practices shall include a mechanism for the evaluation of personnel performance on at least an annual basis. This evaluation shall be in writing. There shall be evidence that this evaluation is reviewed with the employee and that the employee is given the opportunity to respond to this evaluation.

f. There shall be a personnel record kept on each staff member. These records shall con-tain as applicable:

(1) Section A Merit Performance Plan or job description; (2) The application for employment; (3) Documentation of a criminal records check with the Iowa division of criminal

investigation; (4) Wage and salary information, including all changes; (5) Job performance evaluation; (6) Incident reports; (7) Disciplinary actions taken; and (8) Documentation of review and adherence to confidentiality laws and regulations at least

during orientation. g. There shall be written policies and procedures designed to ensure confidentiality of per

sonnel records and a delineation of authorized personnel who have access to various types of personnel information.

6.3(3) Medical services. All inmates shall undergo a medical history and physical examination within twenty-one (21) days of admission to the treatment facility. Laboratory examinations may be done as deemed necessary by the physician.

The program shall have written policies and procedures defining the appropriate action to be taken when a medical emergency arises and the detoxification of an inmate is necessary.

OWl facilities shall ensure by contract or affiliation agreement that emergency medical services at a general hospital are available on a twenty-four (24)-hour, seven (7)-day-a-week basis.

6.3(4) Confidentiality. All inmate substance abuse records shall be kept confidential and shall be handled in compliance with the federal confidentiality regulations (Department of Health, Education and Welfare, Public Health Services-Confidentiality of Alcohol and Drug Abuse Patient Records, 42 CFR, Part 2, effective August 1, 1975), and with applicable federal and state rules. When a conflict occurs with state and federal confidentiality laws, the federally funded program will comply with federal confidentiality laws while state funded programs must minimally comply with state statutes and rules.

a. Disclosure of benefits. If the inmate gives specific written consent, the content of the record may be disclosed to legal counsel upon written endorsement by the attorney to nongovernmental personnel for the purpose of collecting health insurance claims or other benefits

lAC 5/6/87 Substance Abuse[805]

(3) The reason the information was released; and (4) The nature and details of the information given.

Ch 6, p.9

1. As soon as possible after the release of information, the inmate should be informed that it was released.

m. There shall be a record for each inmate that contains the following: (1) Results of all examinations, tests, and intake and assessment information; (2) Reports from referring sources; (3) Treatment plans; (4) Medication records, which shall allow for the monitoring of all medications administered

and the detection of adverse drug reactions. All medication orders in the inmate case records shall define at least the name of the medication, dose, route of administration, frequency of administration, the name of the physician who prescribed the medication, and the name of the person administering or dispensing the medication.

(5) Reports from outside resources, which shall include the name of the resource and the date of the report. These reports shall be signed by the person making the report or by the program staff member receiving the report;

(6) Multidisciplinary case conference and consultation notes, including the date of the conference or consultation, recommendations made, and action taken;

(7) Correspondence related to the inmate, including all letters and dated notations of tele-phone conversations relevant to the inmate's treatment;

(8) Treatment consent forms, if applicable; (9) Information release forms; (10) Progress notes. Entries shall be filed in chronological order and shall include the date

any relevant observations were made, the date the entry was made, and the sh~nature and staff title of the person rendering service;

(11) Records of service provided. Summaries of services provided shall be sufficiently detailed to identify the types of services the inmate has received and action taken to address specific problems identified. General terms such as "counseling" or "activities" shall be avoided in describing services;

(12) Discharge summary; and (13) Follow-up information. 6.3(13) Inmate rights. The program shall maintain written policies and procedures that

ensure that the legal rights of inmates participating in the program shall be observed and protected.

a. There shall be procedures to inform all inmates of legal rights at the time of admission into the program.

b. There shall be documentation of the implementation of these procedures. c. There shall be written policies and procedures for reviewing and responding to inmates'

communications, e.g., opinions, recommendations, and inmate grievances, with a mechanism for redress.

d. There shall be procedures designed to protect the inmates' rights and privacy with respect to facility visitors, e.g., educational or other individual or group visitations at the program.

6.3(14) Medication control. Policies and procedures shall be developed to ensure that all medications are administered or self-administered safely and properly in accordance with federal, state, and local laws and regulations. OWl facilities shall be in compliance with subrule 3.22(19).

This rule is intended to implement Iowa Code section 246.513(1)"a," and 1986 Iowa Acts, chapter 1246, section 402(2)"c."

805-6.4(125) Specific standards for correctional substance abuse program. A correctional substance abuse program shall be designed to provide comprehensive diagnostic, treatment, and rehabilitation services on a scheduled or nonscheduled basis.

6.4(1) Written plan. This component shall have a written plan.

Ch 6, p.lO Substance Abuse[805]

a. This plan shall include, but not be limited to the following: (1) Treatment philosophy; (2) Objectives; (3) Organizational structure; (4) The role of the coordinator/director in charge of this service; (5) Specifications of the lines of authority and staff responsibility; (6) Admission criteria; and (7) Interrelationship with other service components and providers.

lAC 5/6/87

b. There shall be documentation that this plan is reviewed and updated at least annually and that it has been approved by the warden/superintendent/district director or OWl facility governing authority.

6.4(2) Facilities. a. The facilities shall comply with rule 805-3.24(125), subrules 3.24(3) to 3.24(14) or ACA

standards or other standards established by the Iowa department of corrections. b. The facilities shall comply with rules 805-3.2(125) to 805-3.20(125). 6.4(3) Chemical dependency rehabilitation services. Inmates must participate in at least

two hundred twenty (220) hours of structured chemical dependency rehabilitation services which must include at least ten (10) hours of counseling services per week during the primary stay. If additional services are provided after primary treatment, there must be a mixture of counseling, educational or self-help group services totaling at least ten (10) hours per week.

These rules are intended to implement 1986 Iowa Acts, chapter 1246, section 402 and Iowa Code sections 246.513(1)"a," and 3211.2.

[Filed emergency 10/3/86-published 10/22/86, effective 10/3/86] [Filed l/23/87, Notice 1 0/22/86-published 2/11 /87]

[Filed emergency 4/16/87-published 5/6/87, effective 4/17/87]

lAC 4/22/87, 5/6/87 Auditor of State[81] Analysis, p.l

AUDITOR OF STATE[81] Editorially transferred from [130) to [81), lAC Supp. 5/6/87

INDUSTRIAL LOAN DIVISION

CHAPTER 1 Transferred to Banking Division(l87) under the "umbrella" of the

Department of Commerce as Ch 16, lAC Supp. 4/22/87.

SAVINGS AND LOAN DIVISION

CHAPTERS 2 to 13 Transferred to Savings and Loan Division{l97) under the "umbrella" of the Department of Commerce, lAC Supp. 3/25/87.

CHAPTERS 14 to 19 Reserved

LOCAL AUDIT DIVISION CHAPTER 20

COUNTY AUDITS CONDUCTED BY CERTIFIED PUBLIC ACCOUNTANTS

20.1(11) Introduction 20.2(11) Definition 20.3(11) Notification 20.4(11) Request for proposal required 20.5(11) Form of request for proposal 20.6(11) Evaluation of responses to

request for proposal 20.7(11) Selection of certified public

accountant 20.8(11) Education requirements 20.9(11) Auditor of state eligible


GENERAL DIVISION CHAPTER25

ORGANIZATION AND PROCEDURES 25.1(17A,11) Auditorofstate 25.2(17 A, 11) Duties of auditor 25.3(17A,l1) Location of office 25.4(17A,l1) Distribution of duties 25 .5( 17 A, 11) Savings and loan associa-

tions 25.6(17A, 11) Industrialloan companies 25. 7(17 A, 11) Staffing 25.8(17A, 11) Annual audit 25. 9(17 A, 11) Reports of audit 25.10(17A, 11) Declaratory rulings 25.11(17A, 11) Informal settlement 25.12(17A, 11) Change of rules

CHAPTER26 CERTIFICATION OF ACCOUNTING

SYSTEMS 26.1 (17 A, 7 A) Application 26.2(17 A, 7 A) Request to auditor 26.3(17 A, 7 A) Investigation 26.4(17A,7A) Approval 26.5(17A,7A) Appeals

Ch 1, p.1 Auditor of State[81]

INDUSTRIAL LOAN DIVISION CHAPTER 1

lAC 4/22/87, 5/6/87

Transrerred to Banking Division!187) under the "umbrella" or Department or Commerce( lSI) as Ch 16, lAC Supp. 4/22/87.

SAVINGS AND LOAN DIVISION CHAPTERS 2 to 13

Transrcrrcd to Savings and Loan Division[l97) under the "umbrella" of the Department or Commcrcc(l81), lAC Supp. 3/25/87.


~

~

\.._,/

'.-I

\...)

lAC 7 I 4/84, 5/6/87 Auditor of State[81] Ch 20, p.l

\.._,~ LOCAL AUDIT DIVISION CHAPTER 20

COUNTY AUDITS CONDUCTED BY CERTIFIED PUBLIC ACCOUNTANTS [Prior to S/6/87, sec Auditor of State[l30), Ch 20)

81-20.1(11) Introduction. These rules shall govern the procedures used by a county to contract with or employ certified public accountants to conduct the annual examination of the county's financial condition and transactions, pursuant to Iowa Code section 11.6.

81-10.1(11) Definition. ..Certified public accountant, means any person certified under Iowa Code section 116.5, or any partnership or corporation of certified public accountants registered under Iowa Code section 116.18, holding a valid permit to practice under Iowa Code section 116.20.

81-10.3(11) Notification. A county board of supervisors electing to have an annual audit made by a certified public accountant shall notify the auditor of state within 60 days after the close of the fiscal year to be audited by filing a resolution of the board of supervisors.

81-10.4(11) Request for proposal required. A county shall not contract with or employ a certified public accountant to conduct its annual audit unless the audit engagement is publicly advertised by the board of supervisors at least once every three years through a request for proposal. The notice of request for proposal shall be published in a newspaper of general circulation in the county more than 20 days but not more than 45 days before the date for filing responses to the request for proposal.

81-20.5(11) Form of request for proposal. The request for proposal used by a county shall be in a form developed by the auditor of state. A copy of this form, AOS-RFP-1, is attached and by this reference is made a part of these rules. Copies of this form shall be available to counties free of charge from the auditor of state.

81-10.6(11) Evaluation of responses to request for proposal. All responses to a county's request for proposal shall be evaluated by the county according to guidelines developed by the auditor of state. A copy of these guidelines, AOS-RFP-2, is attached and by this reference is made a part of these rules. Copies of these guidelines shall be available to counties free of charge from the auditor of state. Results of the county's evaluation of the responses shall be public information.

81-20. 7(11) Selection of certified public accountant. 10.7(1) After all responses to the request for proposal have been evaluated by the county,

the results of that evaluation shall be forwarded to the board of supervisors for its consideration. 10. 7(2) The board of supervisors may award a contract, not to exceed three years in dura

tion, to a certified public accountant to conduct the annual audit required in Iowa Code section 11.6 subject to the following limitations:

a. If three or fewer valid responses to the request for proposal are received by the county, only the respondent scoring highest in the evaluation of the responses may be awarded a contract; or

b. If four or more valid responses to the request for proposal are received by the county, only the respondent scoring highest or the respondent scoring second-highest in the evaluation may be awarded a contract.

20. 7(3) If the board of supervisors chooses not to award a contract under the provisions of subrule 20. 7(2), it may either:

a. Readvertise the audit engagement through a second request for proposal; or b. Request the auditor of state to perform the audit under the provisions of Iowa Code

section 11.6.

Ch 20, p.2 Auditor of State[81] lAC 7/4/84, 5/6/87

20. 7(4) Upon awarding a contract to a certified public accountant, the board of supervisors l.w/ shall, within seven calendar days, mail a copy of the contract to the auditor of state.

81-20.8(11) Education requirements. 20.8(1) Within three years prior to commencing work on a county audit, each member

of the audit team assigned by the certified public accountant to conduct the examination shall complete at least 16 hours of professional education in a local government accounting and auditing course approved by the auditor of state for this purpose.

20.8(2) For the purpose of subrule 20.8(2), an audit team shall be considered to consist of: a. The auditor designated to be in charge of the routine field work of the audit engagement; b. That auditor's direct supervisor on the engagement; and c. If applicable, at least one other individual directly involved in the field work.

81-20.9(11) Auditor of state eligible. Nothing in this chapter shall prevent the auditor of state from responding to any county's request for proposal.

[Filed emergency 6/7 /84-published 7 I 4/84, effective 6/7 /84]

Chapters 21 to 24 Reserved

lAC 2/4/81, 5/6/87 Auditor of State[81]

GENERAL DIVISION

CHAPTER25 ORGANIZATION AND PROCEDURES

(Originally Ch 10, renumbered Ch 2S lAC 2/4/81) (Prior to S/6/87, sec Auditor of Statc(l30), Ch 2S)

Chapter 25, p.1

81-25.1(17A,ll) Auditor of state. The auditor of state is a constitutional officer of the state of Iowa, as provided by Article IV, Section 22 of the Constitution of Iowa, as amended in 1972 which provides for the elei:tion of the auditor of state by the electorate of Iowa.

81-25.2(17A,ll) Duties of auditor. The rights, duties and responsibilities of the auditor '.._.,) of state are prescribed by Iowa Code chapter 11.

81-25.3(17A,ll) Location of office. The offices of the auditor of state of Iowa are located at the seat of government at Des Moines, Iowa 50319, and are available to the public during prescribed office hours 8 a.m. to 4:30p.m., Monday through Friday, or by special appointment in cases of necessity.

81-25.4(17A,ll) Distribution of duties. The office of auditor of state has four principal divisions, namely:

25.4(1) The executive and administrative division, under the direct control of the auditor of state, assisted by a deputy and administrative assistants, which exercises control and supervision of all activities of the auditor's office.

25.4(2) The state audit division, supervised and directed by a supervisor appointed by the auditor of state, which is charged with the responsibilities of annual audit of all agencies of the state receiving or expending state funds.

25.4(3) The county audit division directed by a supervisor appointed by the auditor of state is charged with the responsibilities of the annual audit of each county of the state as provided by statute.

25.4(4) The municipal and school audit division, directed by a supervisor appointed by the auditor of state, which is responsible for the audit of cities and schools as provided by statute.

81-25.5(17A,ll) Savings and loan associations. The auditor of state is charged with supervision of state of Iowa savings and loan associations chartered pursuant to Iowa Code chapter 534. This agency of the auditor of state is directed and supervised by a deputy known as "supervisor of savings and loan associations."

\_,) 81-25.6(17A,ll) Industrial loan companies. The auditor of state has supervision of industrial loan companies licensed by the state of Iowa pursuant to Iowa Code chapter 536A. This agency is supervised by a supervisor appointed by the auditor of state.

81-25.7(17A,ll) Staffmg. Each of the divisions and agencies of the auditor's office is staffed by auditors and assistants appointed by the auditor of state, as provided for by Iowa Code sections 11.7 and 11.8 and other personnel necessary to fulfill the requirements of the auditor's office.

81-25.8(17A,ll) Annual audit. The statutes of Iowa provide for annual audit of all state offices and departments of the state and the counties and cities and city offices, merged areas and educational agencies and all school districts and school offices except that cities having a population of seven hundred or more, but less than two thousand, shall be audited at least once every four years and cities having a population of less than seven hundred may be examined as otherwise provided.

Ch 25, p.2 Auditor of State[81) lAC 2/4/81, 5/6/87

81-25.9(17A,11) Reports of audit. Verified reports of audit are filed at the office of the auditor of state, with the officer or agency audited, the county auditor and board of supervisors of the county audited, and the mayor and council of a city audited and with the superintendent and directors of all schools involved.

25.9(1) All reports of audit are open to public inspection after publication and filing by the auditor. A limited number of copies of reports of audit are available to the public and news media.

25.9(2) Preliminary information of investigations or audit are not disclosed except as provided by law. There is to be no disclosure of results of investigation or report of audit until after the officer or agency involved has been notified and furnished a verified copy of such audit. Reports of audit are published by the auditor of state by forwarding a verified copy thereof to the officer or officers of the agency audited. Notice that a report of audit has been published is forwarded immediately thereafter to each newspaper, radio station and television station located in the county, municipality or school district involved.

81-25.10(17A,11) Declaratory rulings. A petition for declaratory ruling may be filed in writing by competent persons as to the applicability as to any statutory provision, rule or other written statement of law or policy decision or order of the agency. Petitions for declaratory ruling shall state the statutory provision, rule or other written statement of law or policy decision or order of the agency in question and shall contain a full statement of the facts being submitted for the department's consideration.

81-25.11(17A,11) Informal settlement. Informal settlement of controversies that may culminate in contested cases are encouraged. Parties to a controversy may arrange and consent to a meeting for informal settlement of pending controversy. Arrangements therefor may be petitioned for in writing by either party. The time and place for hearing of petition for in- ~ formal settlement shall be fixed by the agency involved or by mutual consent of the parties thereto.

81-25.12(17A,11) Change of rules. Any person desiring the adoption, amendment or repeal of a rule of the auditor of state shall submit such request, in writing, to the auditor of state, addressed to the Auditor of State, State Capitol, Des Moines, Iowa 50319. Such request shall state the proposed rule, amendment to the existing rule, or the action desired by the petitioner, the pertinent facts and reasons in support of petitioner's position.

[Filed 3/17/76, Notice 2/9/76-published 4/5/76, effective 5/10/76) [Filed emergency 2/2/79-published 2/21 /79, effective 2/2/79) [Filed emergency 1/16/81-published 2/4/81, effective 1/16/81)

CHAPTER26 CERTIFICATION OF ACCOUNTING SYSTEMS

(Originally Ch II, renumbered Ch 26 lAC 214/81) [Prior to S/6181, see Auditor of State[l30}, Ch 26]

81-26.1(17A,7A) Application. The governor or any state agency, prior to awarding a grant or purchase of services contact to a private agency who is to be awarded grants exceeding one hundred fifty thousand dollars in the aggregate during the fiscal year, shall obtain from the auditor of state, a certification stating that the grantee or contractor has an accounting system adequate to effect compliance with the terms and conditions of the grant or contract.

81-26.2(17A,7A) Requests to auditor. 26.2(1) All requests for certification of the accounting system shall be made in writing to

the auditor of state on form P .S.l, provided by the auditor, or facsimile. 26.2(2) Request for certification of the accounting system may originate from either the

grantee, contractor or the awarding agency.

lAC 2/4/81, 5/6/87 Auditor of State[81] Ch 26, p.2

81-26.3(17A,7A) Investigation. ~ 26.3(1) The investigation shall be conducted by the auditor of state or under the supervi

sion of the auditor of state in accordance with AU Sections 641 and 9641 of the Codification of Statements of Auditing Standards, issued by the American Institute of Certified Public Accountants, as effective January 22, 1980.

26.3(2) Wherever the grantee or contractor has retained a CPA, the auditor shall rely to the fullest extent possible on the work of the certified public accountant.

81-26.4(17A,7A) Approval. 26.4(1) The auditor of state will make the final determination whether or not an

accounting system shall be approved. 26.4(2) The auditor of state shall advise the requesting agency of approval or disapproval

within 30 days from the filing of the request.

81-26.5(17A,7A) Appeals. 26.5(1) The grantee or contractor may appeal the decision of the auditor of state to the

auditor within ten days of the auditor's notification. The appeal will be reviewed with the grantor and grantee within ten days.

26.5(2) The auditor shall certify the adequacy of the accounting system after the grantee or contractor has corrected the specific deficiencies noted in the disapproval.

26.5(3) The auditor shall not impose any unreasonable recordkeeping requirements on the grantee or contractor, nor require additional personnel for improved internal controls whenever the costs would exceed the benefits derived from such controls.

[Filed 2/1180, Notice 12/12179-published 2/20/80, effective 3/26/80] [Filed emergency 1116/81-published 2/4/81, effective 1116/81]

~~

lAC 3/25/87 Alcoholic Beverages[185] Analysis, p.1

ALCOHOLIC BEVERAGES DIVISION[185] Created within the Department of Commerce by 1986 Iowa Acts, Senate File 2175.

Formerly Beer and Liquor Control Department[l50]

CHAPTER 1 ORGANIZATION AND OPERATION 1.1(123,17A) Purpose 1.2(123,17A) Scope and rules 1.3(123,17A) Waiver 1.4(123.17A) Duties of the division 1.5(123, 17 A) Organization-commission 1.6(123,17A) Central offices l.7(123,17A) Matters applicable to all pro

ceedings

CHAPTER2 RULEMAKING

2.1(123,17A) Purpose and scope 2.2(123,17A) Petition for adoption of rules 2.3(123,17A) Commencement of proceed-

ings 2.4(123, 17 A) Written statements of posi

tion 2.5(123,17A) Counter-statements of posi

tion 2.6(123,17A) Requests for oral presenta

tion 2. 7(123, 17 A) Rulemaking oral presenta

tion 2.8(123,17A) Rulemaking decision

CHAPTER3 DECLARATORY RULINGS

3.1 (123, 17 A) Purpose and scope 3.2(123,17A) Declaratory rulings-general 3.3(123,17A) Petitions for declaratory rul-

ing 3.4(123,17A) ;Briefs and other supporting

communications 3.5(123,17A) Action by the division 3.6(123,17A) Dismissal 3.7(123,17A) Effect of a decision

CHAPTER 4 LIQUOR LICENSES-BEER PERMITS

-WINE PERMITS 4.1(123) Definitions 4.2(123) General requirements 4.3(123) Local ordinances permitted 4.4(123) Licensed premises 4.5(123) Sunday sales permit 4.6(123) Gross receipts from goods and

services 4.7(123) Improper conduct 4.8(123) Violation by agent, servant or

employee 4.9(123) Gambling evidence 4.10(123) Supplier interest 4.11(123) Donations by supplier 4.12(123) Display of license, permit, signs 4.13(123) Outdoor service 4.14(123) Revocation or suspension by

local authority 4.15(123) Suspension of liquor control

license, wine permit, or beer permit

4.16(123) Cancellation of beer permitsrefunds

4.17(123) Prohibited storage of alcoholic beverages and wine

4.18(123) Transfer of license or permit to another location

4.19(123) Execution and levy on alcoholic liquor, wine, or beer

4.20(123) Liquor store checks accepted 4.21(123) Where retailers must purchase

wine 4.22(123) Liquor on licensed premises 4.23(123) Liquor on unlicensed premises 4.24(123) Alcoholic liquor and wine on beer

permit premises

Analysis, p.2 Alcoholic Beverages[185] lAC 5/6/87

4.25(123) Age requirements 4.26(123) Timely filing of renewal

applications 4.27(123) Effect of suspension 4.28(123) Use of establishment during

hours alcoholic liquor, wine and beer cannot be consumed

4.29(123) Reserved 4.30(123) Persons producing fuel alcohol 4.31(123) Storage of beer 4.32(123) Delivery of alcoholic liquor 4.33(123) Delivery of beer and wine 4.34(123) Determination of population 4.35(123) Minors in licensed establishments 4.36(123) Sale of alcoholic liquor and

wine stock when licensee or permittee sells business

4.37(123) Business as usual on election days

4.38(123) Sunday sale of wine 4.39(123) Intoxication notice 4.40(123) Warehousing of beer and wine

CHAPTER 5 LICENSE AND PERMIT DIVISION

5.1(123) Manufacture and sale of native wine

5.2(123) Special permits 5.3(123) Licensed manufacturers and

wholesalers 5.4(123) Investigation before issuing license

or permit 5.5(123) Eligibility for beer and wine whole

~alers' licenses 5.6(123) Living quarters permit 5.7(123) Changeofownershipofali

censed premise, new license or permit required

5.8(123) Dram shop liability insurance requirements

5.9(123) Surety bond requirements 5.10(123) Combination wine licenses and

permits 5.11(123) Fees and surcharge enacted by

the legislature for combination wine licenses and permits

5.12(123) Distribution of fees and the surcharge enacted by the legislature for combination wine licenses and permits

5.13(123) Bonds for combination wine licenses and permits

5.14(123) Effect on retail and wholesale bottled wine licenses and permits

5.15(123) Refunds for fees for wholesale and retail bottled wine licenses

5.16(123) Liquor license surcharge enacted by the legislature

5.17(123) Calculating liquor license cost with Sunday Sales Privilege and surcharge enacted by the legislature

5.18(123) Surcharge on seasonal licenses 5.19(123) Surcharge refund

CHAPTER 6 ADVERTISING

6.1(123) Advertising

CHAPTER 7 REPRESENTATIVES OF DISTILLERS,

RECTIFIERS, MANUFACTURERS, BREWERS AND VINTNERS

7 .1(123) Alcoholic liquor sales to the division-registration of agents

7 .2( 123) Salespersons-prohibited practices-penalties

7.3(123) Purchases 7 .4(123) Infraction of rules

CHAPTER 8 TRANSPORTATION AND

WAREHOUSE 8.1(123) Transportation of alcoholic

liquor 8.2(123) Rules and regulation as between

shippers and this division

CHAPTER 9 PROCUREMENT -LEASING OF

STATE LIQUOR STORES 9.1 ( 123) Scope 9.2(123) Procurement policy 9.3(123) Requests for information 9.4(123) Bidding procedures 9.5(123) Plans and specifications 9.6(123) Instructions to bidders 9.7(123) Security 9.8(123) Time of submission 9.9(123) Modification or withdrawal of

bids 9.10(123) Opening of biJs 9.11(123\ Selection of bids 9 .12( 123) Bidder list -eligibility 9.13(123) Negotiated procurements 9.14(123) Impossibility of performance 9.15(123) Assignment of leases 9.16(123) Bidders appeal

lAC 12/3/86 Alcoholic Beverages[185] Ch 4, p.lO

ties imposed for operation of a motor vehicle while intoxicated. The notice shall be at least nine inches by twelve inches (9 x 12); the print size in the notice shall not be less than eleven (11) point; and the content of the notice must substantially comply with subrule 4.39(1). The notice shall be placed on a wall or door on the licensed premises and in the state liquor stores which shall be plainly visible to patrons or customers. The division may provide a copy of the notice to licensees and permittees who request it from the division.

4.39(1) OWl notice. OPERATION AND PENAL TIES FOR OPERATING

A MOTOR VEHICLE WHILE INTOXICATED (Effective July 1, 1986)

License Revocation OWl DEFINED: A person commits the offense of operating while intoxicated if the person operates a motor vehicle in either of the following conditions:

• while under the influence of an alcoholic beverage or other drug; or

• while having an alcoholic concentration of .10 or more.

Implied Consent: A person who operates a motor vehicle in Iowa under circumstances which give reasonable grounds to believe that the person was intoxicated is deemed to have given consent to the withdrawal of specimens of the person's blood, b~;eath, or urine for the purpose of determining the alcoholic concentration or presence of drugs.

Refusal to Consent: If a person refuses to submit to chemical testing, no test shall be administered but the person's privilege to drive shall be revoked for:

• 240 days if the person has not had a prior revocation within the previous six years under the state implied consent or drunk driving laws; or

• 540 days if the person has had a prior revocation within the previous six years.

\..,! Failed Chemical Test: If a person consents to chemical testing and the test results indicate an alcohol concentration of .10 or more, the person's driving privileges shall be revoked for:

• 180 days if the person has not had a prior revocation within the previous six years; or • 365 days if the person has had a prior revocation within the previous six years.

Accident: If an intoxicated driver causes a traffic accident which results in serious personal injury or death of another person, the driver's license shall be revoked for:

• one year where serious personal injury results; and • six years where death results.

Violators under 19: Conviction for OWl while under the age of 19 shall result in the revocation of a person's driving privileges until the end of the revocation period and until the person reaches age 19.

Civil Fine: If a person's license is revoked for any of the above-mentioned reasons, the person will not be issued a new license until a civil fine of $100 is paid.

Criminal Penalties In addition to the loss of driving privileges and civil fine, a person convicted of OWl shall be subject to the following criminal penalties:

1st Offense: Imprisonment up to one year (Mandatory minimum of 48 hours) and a $500-1000 fine. 2nd Offense: Imprisonment up to two years (Mandatory minimum of 7 days) and a $750-5000 fine. 3rd Offense: Imprisonment up to five years (Mandatory minimum of 30 days) and a $750-7500 fine.

WE ENCOURAGE YOU TO DESIGNATE A NONDRINKING DRIVER

This notice is posted in compliance with 1986 Iowa Acts, House File 2493, and Iowa Alcoholic Beverages Division rule 185-4.39(123), Iowa Administrative Code.

Ch 4, p.ll Alcoholic Beverages[l85] lAC 5/6/87

4.39(2) Reserved. \..,I This rule is intended to implement Iowa Code section 123.151.

185-4.40(123) Warehousing of beer and wine. A person holding a Class ''A'' wine permit or a Class "A" or "F" beer permit shall warehouse their wine or beer inventory within the state of Iowa. Persons issued a Class "A" wine permit or Class "A" or "F" beer permit prior to June 10, 1987, shall comply upon renewal or November 1, 1987, whichever date occurs first. A warehouse of a person holding a Class "A" wine permit or a Class "A" or "F" beer permit shall be considered a licensed premise.

This rule is intended to implement Iowa Code section 123.127. [Filed December 14, 1972j

[Filed 5/19/78, Notice 4/5/78-published 6/14/78, effective 7 /20/78] [Filed 2/16/79, Notice 12/27 /78-published 3/7/79, effective 4/16/79] I. ,

[Filed without Notice 7 /6/79-published 7/25/79, effective 8/29/79] .._., [Filed 8/ I S/80, Notice S/28/80-published 9/3/80, effective 10/8/80] [Filed 1/4/82, Notice9/2/81-published 1/20/82, effective2/25/82]

[Filed 5/18/82, Notice 3/3/82-published 6/9/82, effective 7/14/82] [Filed 6/17/83, Notice 3/30/83-published 7/6/83, effective 8/10/83*]


fFiled emer~encv 6/14/85-published 7/3/85, effective 7/1/85] [Filed emergency 7/1/85-published 7/31/85, effective 7/1185]


[Filed emergency 7/1/86-published 7/30/86, effective 7/1/86]** [Filed emergency 8/22/86-published 9/10/86, effective 9/30/86]**

[Editorially transferred from [150] to [185], lAC Supp. 10/8/86; see lAB 7/30/86] ~ [Filed emergency 11/12/86-published 12/3/86, effective 11/12/86]

[Filed emergency 3/6/87-published 3/25/87, effective 3/6/87] [Filed 4/17/87, Notice 12/31/86-published 5/6/87, effective 6/10/87]

•Effective date of 4.32 delayed seventy days by the administrative rules review committee on 8/2/83 . .. Two ARC's. See Alcoholic Beverages Division in lAB.

lAC 10/8/86 Utilities[l99] Ch 19, p.7

\. , (l) The daily and monthly average of total heating values of gas in accordance with ..._.. 19.7(6)"c".

(2) The monthly acquisition and disposition of gas. (3) Interruptions of service occurring during the month in accordance with 19. 7(7). If there

were no interruptions, then it should be so stated. (4) The number of customer pressure investigations made and the results. (5) The number of customer meters tested and test results tabulated as follows: The number

that falls into limits 0 to +20Jo, +2 to +4%, 0 to -2%, -2 to -4%, over +40Jo, under -4%, and "Does Not Register" in accuracy.

(6) Progress on leak survey program including the number of leaks found during the month classified as to nature of leaks and causes.

(7) Number of district regulators checked and nature of repairs required. (8) Number of house regulators checked and nature of repairs required.

'-'/ (9) Description of usual types of operating difficulties. (10) Type of odorant and monthly average pounds per million cubic feet used in each

individual distribution system. A summary of the twelve monthly gas service records for each calendar year shall be

attached to and submitted with the utility's annual fiscal plant and statistical report to the board.

e. Notice of location of records. The utility shall keep the board informed currently by written notice as to the location at which the utility keeps the various classes of records required by these rules.

f. Filing published meter and service installation rules. A copy of the utility's current rules, if any, published or furnished by the utility for the use of engineers, architects, plumbing contractors, etc., covering meter and service installation shall be filed with the board.

g. Filing customer bill forms. A copy of each type of customer bill form in current use ~ shall be filed with the board,

h. Notice of interruption of service. Prompt notice by telephone or telegram shall be given the gas engineering section of the board by a utility in the event of interruption of service as defined in 19.1(3)"k". Outages occurring at times the board offices are closed shall be reported the morning of the next regular work day for the board.

In addition, a written report shall be filed with the board, containing all information the utility considers to be significant for evaluation of the interruption. In no instance will the information be less than an identification of the affected area, interruption starting date and time, service restoration date and time, cause, number of affected customers and identification of estimates when actual data is unknown.

i. Record location. The utility shall keep the board informed by written notice of the location at which the utility keeps the various classes of records required by these rules.

j. Change in rate. A notification to the board shall be made of any planned change in rate \..}of service by a utility even though the change in rate of service is provided for in its tariff

filing with the board. This information shall reflect the amount of increase or decrease and the effective date of application. An up-to-date tariff sheet shall be supplied to the Iowa state utilities board for its copy of the tariff showing the current rates.

k. By July 1, 1983, and by April1 of each year thereafter, each rate-regulated utility shall report to the board in writing all expenses, charged or to be charged to Iowa ratepayers, incurred in the previous calendar year resulting from any assembly of all or part of its board of directors, principal officers, or both outside of any state in which the utility provides service. All expenses required to be reported under this subrule should be itemized according to the following classifications for each assembly:

(1) Transportation costs. (2) Lodging (including meeting rooms). (3) Food.

\.,.) (4) Itemized miscellaneous.

Ch 19, p.8 Utilities[l99] lAC 5/6/87

The utility also shall provide the following information about each assembly in the filing with the board: location of assembly (including city, state) and hotel(s) or motel(s) accommodations; purpose of the assembly and meeting agenda; travel information (including whether public or private mode and dates of departure, arrival, and return); and its directors or officers in attendance (including spouses and guests if any of their expenses have been or will be charged to ratepayers).

I. List of persons authorized to receive board inquiries. Each utility shall file with the board a list of names, titles, addresses, and telephone numbers of persons authorized to receive, act upon, and respond to communications from the board in connection with: (I) general management duties; (2) customer relations (complaints); (3) engineering operations; (4) meter tests and repairs; (5) emergencies during nonoffice hours; (6) pipeline permits (gas). Such information shall be kept current as changes or corrections are made.

m. Monthly. periodic and annual reports. Each utility shall file such other monthly, periodic and annual reports as are requested by the board. Monthly and periodic reports shall be due in the board's office within thirty (30) days after the end of the reporting period. All annual reports shall be filed with this board by Aprill of each year for the preceding calendar year.


199-19.3(476) General service requirements. 19.3(1) Disposition of gas. The meter and any service line pressure regulator shall be owned

by the utility. The utility shall place a visible seal on all meters and service line regulators in customer use, such that the seal must be broken to gain entry.

a. All gas sold by a utility shall be on the basis of meter measurement except: (1) Where the consumption of gas may be readily computed without metering; or (2) For temporary service installations. b. All gas delivered to multioccupancy premises where units are separately rented or owned

shall be sold by a utility on the basis of individual meter measurement for each unit except for that gas used in centralized heating, cooling or water-heating systems, where individual metering is impractical, or where submetering or resale of service was permitted prior to 1966.

c. This rule shall not be construed to prohibit any utility from requiring more extensive individual metering than otherwise required by this rule if pursuant to tariffs filed with and approved by the board.

d. All gas consumed by the utility shall be on the basis of meter measurement except where consumption may be readily computed without metering or where metering is impractical.

e. Rescinded, effective 7/29/81. 19.3(2) Condition of meter. No meter shall be installed or continued in service which is

known to be mechanically defective, has an incorrect correction factor or has not been tested, and adjusted, if necessary, in accordance with 19.6(3)"b., and 19.6(3)"c.,. The capacity of the meter and the index mechanism should be consistent with the gas requirements of the customer.

~

\..;

~

'\.._)

\.,I

lAC 5/6/87 Utilities[199] Ch 19, p.41

[Filed 4/19/85, Notice 2/13/85-published 5/8/85, effective 6/12/85] [Filed 5/6/85, Notice 1/2/85-published 5/22/85, effective 6/26/85] [Filed 6/14/85, Notice 4/10/85-published 7/3/85, effective 8/7/85]

[Filed 8/9/85, Notice 6/19/85-published 8/28/85, effective 10/2/85] [Filed emergency after Notice 2/7/86, Notice 10/9/85. 12/4/85-

published 2/26/86, effective 3/31/86] [Filed 8/8/86, Notice 5/7/86-published 8/27/86, effective 10/1/86]0

[Filed 8/22/86, Notice 6/18/86-published 9/10/86, effective 10/15/86]0 [Filed 8/22/86, Notices 5/21/86, 6/4/86-published 9/10/86, effective 10/15/86]t

[Filed emergency 9/18/86-published 10/8/86, effective 9/18/86] [Filed 4/3/87, Notices 11/5/86, 12/3/86, 2/25/87-published 4/22/87, effective 5/27/87]


OSee lAB, Utilities Division. tPubllshcd in Notice ponion of lAB 9/10/86; see lAB 10/22/86.

.. '...: .·


mation be less than an identification of the affected area, outage starting date and time, ser\..,1 vice restoration date and time_, cause_, number of affected customers and identification of esti

mates when actual data is unknown. In addition to the written report, prompt notice shall be given of a one hour or longer dura

tion unscheduled interruption of electrical service affecting the least in numbers of ten percent (lOOJo) of the utility's customers or five thousand (5000) customers. The notice shall be by telephone or telegraph to the engineering section of the board. Outages occurring at times the board offices are closed shall be reported the morning of the next regular work day for the board.

d. Each utility shall compile a monthly record of electric service showing the production, acquisition and disposition of electric energy, the number of customer terminal voltage investigations made, the number of customer meters tested and such other information as may be required by the board. The monthly "Electric Service" record shall be compiled not

~ later than thirty (30) days after the end of the month covered and such record shall, upon and after compilation, be kept available for inspection by the board or its staff at the utility's principal office within the state of Iowa. A summary of the twelve (12) monthly "Electric Service" records for each calendar year shall be attached to and submitted with the utility's annual report to the board.

e. The utility shall keep the board informed currently by written notice as to the location at which the utility keeps the various classes of records required by these rules.

f. A copy of the utility's current rules, if any, published or furnished by the utility for the use of engineers, architects, electrical contractors, etc., covering meter and service installations shall be filed with the board.

g. A copy of each type of customer bill form in current use shall be filed with the board. h. A copy of the adjustment calculation shall be provided the Board prior to each billing

cycle on the forms adopted by the Board. ~ i. Each utility shall file with the board true copies of the test reports of the tests required

by 20.6(7)'1"(1) and 20.6(7)~1,(2) within forty-five (45) days of the as-left test date on the test reports.

j. By July 1, 1983, and by April1 of each year thereafter, each rate-regulated utility shall report to the board in writing all expenses, charged or to be charged to Iowa ratepayers, incurred in the previous calendar year resulting from any assembly of all or part of its board of directors, principal officers, or both outside of any state in which the utility provides service. All expenses required to be reported under this subrule should be itemized according to the following classifications for each assembly:

(1) Transportation costs. (2) Lodging (including meeting rooms). (3) Food. (4) Itemized miscellaneous.

~ The utility also shall provide the following information about each assembly in the filing with the board: location of assembly (including city, state) and hotel(s) or motel(s) accommodations; purpose of the assembly and meeting agenda; travel information (including whether public or private mode and dates of departure, arrival, and return); and its directors or officers in attendance (including spouses and guests if any of their expenses have been or will be charged to ratepayers).


k. List of persons authorized to receive board inquiries. Each utility shall file with the board a list of names, titles, addresses, and telephone numbers of persons authorized to receive, act upon, and respond to communications from the board in connection with: (1) general management duties; (2) customer relations (complaints); (3) engineering operations; (4) meter tests and repairs; (5) emergencies during nonoffice hours; (6) franchises for electric lines; (7) certificates for electric generating plants. Such information shall be kept current as changes or corrections are made.


199-20.3(476) General service requirements. 20.3(1) Disposition of electricity. The meter and associated instrument transformers shall

be owned by the utility. The wiring between the instrument transformers and the meter shall be owned or controlled by the utility. The utility shall place a visible seal on all meters in customer use, such that the seal must be broken to gain entry.

a. All electricity sold by a utility shall be on the basis of meter measurement except: (1) Where the consumption of electricity may be readily computed without metering; or (2) For temporary service installations. b. All electricity delivered to multioccupancy premises where units are separately rented or

owned shall be sold by a utility on the basis of individual meter measurement for each unit except for that electricity used in centralized heating, cooling, water-heating or ventilation systems, where individual metering is impractical, or where submetering or resale of service was permitted prior to 1966.

c. This rule shall not be construed to prohibit any utility from requiring more extensive individual metering than otherwise required by this rule if pursuant to tariffs filed with and approved by the board.

d. All electricity consumed by the utility shall be on the basis of meter measurement except where consumption may be readily computed without metering, or where metering is impractical. · 20.3(2) Condition of meter. No meter shall be installed or continued in service which is known to be mechanically or electrically defective, or to have incorrect constants or which has not been tested, and adjusted if necessary, in accordance with rules herein. The capacity of the meter and the index mechanism should be consistent with the electric requirements of the customer.

20.3(3) Meter reading records. The meter reading records shall show: a. Customer's name, address, and rate schedule or identification of rate schedule. b. Identification of the meter or meters either by permanently marked utility number or

by manufacturer's name, type number and serial number. c. Meter readings. d. If the reading has been estimated. e. Any applicable multiplier or constant. 20.3(4) Meter charts. All charts taken from recording meters shall be marked with the

initial and final date and hour of the record, the meter identification, customer's name and location and the chart multiplier.

20.3(5) Meter register. If it is necessary to apply a multiplier to the meter readings, the multiplier must be marked on the face of the meter register or stenciled in weather resistant paint upon the front cover of the meter. Customers shall have continuous visual access to meter registers as a means of verifying the accuracy of bills presented to them and for im-

lAC 10/8/86 Utilities [ 199] Ch 20, p.45

above 95° Fahrenheit (35° Celsius) on the previous day, or (2) The utility's designated weather station predicts the temperature will rise to above 90°

Fahrenheit (33 o Celsius) on a day following at least two (2) consecutive days of temperatures above 95 o Fahrenheit (35 o Celsius), as officially recorded by the designated weather station, but

(3) If a utility can demonstrate it would have been required to provide between June 15 and September 15 a peak alert notice to customers, because of the existence of the conditions set forth in subrule 20.11(2)ub,(1) or 20.11(2)ub,(2), on more than six (6) days in any one of the preceding ten (10) years, the utility may substitute a 97° Fahrenheit (36° Celsius) standard in lieu of the 95 o Fahrenheit (35 o Celsius) standard in the subrule.

10.11(3) Implementation of notification plan. Upon approval of a peak notification plan by the board, the utility shall immediately prepare for implementation of the plan. The utility shall implement the approved plan on each day of the year when peak demand is likely to occur, as prescribed by sub rules 20.11 (2)" b".

20.11(4) Permissive notices. The standard for implementing peak alert notification in subrule 20.11(2) is a minimum standard and does not prohibit a utility or association of utilities from issuing a notice requesting customers to reduce usage at any other time.

10.11(5) Annual report. Each electric utility required by subrule 20.11 (2) to file a plan for customer notification shall file, on or before April 1 of each year, a report stating the number of notices given its customers, the dates when notices were issued, the annual cost of providing both general and direct notice to customers and measures of kilowatt hour demand at the time when notice was given and at hourly intervals thereafter until kilowatt hour demand decreases to the level at which it was measured when the notice was issued. The annual report shall also include a statement of any problems experienced by the utility in providing customer notification of a peak demand and a proposal to modify the plan, if necessary, to make customer notification more effective. Modifications must be approved by the board before they are implemented.

199-10.12(476) New structure energy conservation standards. Each utility providing electric service shall not provide such service to any structure completed after April 1, 1984, unless the owner or builder of the structure has certified to the utility that the building conforms to the energy conservation requirements adopted under Iowa Administrative Code subrule 680-16.800(3) as amended and updated by subrule 680-16.800(4). If this compliance is already being certified to a state or local agency, a copy of that certification shall be provided to the utility. If no state or local agency is monitoring compliance with these energy conservation standards, the owner or builder shall certify that the structure complies with the standards by signing a form provided by the utility. No certification will be required for structures that are not heated or cooled by electric service, or are not intended primarily for human occupancy.

199-10.13(476) Annual electric energy supply and cost review. 20.13(1) Procurement plan. All rate-regulated utilities providing electric service in Iowa

shall prepare and file with the board on or before May 15 of each year a complete electric fuel procurement plan for an annual period commencing June 1, or in the alternative, for the annual period used by the utility in preparing its own fuel procurement plan. The utility shall be required to use the same annual fuel procurement planning period in all subsequent reports that are filed with the board pursuant to this subrule. A utility's initial procurement plan shall include all required information and documents. If any of the information or documents required to be filed under this subrule in a subsequent procurement plan has been filed in a previous procurement plan or in other filings made with the board, the utility may specifically identify the document or information by reference in lieu of refiling it in its procurement plan. The board staff or consumer advocate may request, at any time during the review proceeding, copies of a specific contract. One utility will be allowed to file contracts for jointly owned units on behalf of all owners. A utility's procurement plan shall be organized to include required information as follows:


a. Introduction. An introductory paragraph shall preface the plan stating on whose behalf ~ the report is filed.

b. Index. The plan shall include an index of all documents and information required to be filed in the plan, and the identification of the board files in which the documents incorporated by reference are located.

c. Purchase contracts and arrangements. A utility's initial procurement plan shall include detailed summaries of the following types of contracts and agreements:

(I) All contracts and fuel supply arrangements for obtaining fuel for use by any unit in generating electricity;

(2) All contracts and arrangements for transporting fuel from point of production to the site where placed in inventory, including any unit generating electricity for the utility;

(3) Purchased power contracts or arrangements, including sale-of-capacity contracts, in-volving over 25 MW of capacity;

(4) Pool interchange agreements; (5) Multi-utility transmission line interchange agreements; and (6) Interchange agreements between investor-owned utilities generation and transmission

cooperatives, or both not required to be filed by either subparagraph (2) or (3) above; which were entered into or in effect during the previous twelve (12)-month period, and all such contracts or arrangements which will be entered into or exercised by the utility during the prospective twelve (12)-month period. In addition, the utility shall separately set forth a list of all contracts or agreements filed in the procurement plan which will become subject to renegotiation, extension, or termination within five (5) years.

All subsequent procurement plans filed by a utility shall include all of the types of contracts and arrangements listed in subparagraphs (I) and (2) of this paragraph which will be entered into or exercised by the utility during the prospective twelve (12)-month period. In addition, the utility shall file an updated list of contracts which are subject to renegotiation, extension, ~; or termination within five (5) years. The utility shall also annually update any price adjust-ment affecting any of the filed contracts or arrangements.

d. Other contract offers. The procurement plan shall include a list and description of those types of contracts and arrangements listed in subrule 20.13(1) uc" offered to the utility during the previous twelve (12)-month period into which the utility did not enter. In addition, the procurement plan shall include a list of those types of contracts and arrangements listed in subrule 20.13(1)uc" which were offered to the utility for the prospective twelve (12)-month period and into which the utility did not enter.

e. Studies or investigation reports. Initial procurement plans shall include all studies or investigation reports considered by the utility in deciding whether to enter into any of those types of contracts or arrangements listed in subrule 20.13(1)"c" and "d" in the previous twelve (12) months. In addition, the initial and subsequent procurement plans shall include all studies or investigation reports which have been considered by the utility in deciding whether to enter \.......~ into any of those types of contracts or arrangements listed in subrule 20.13(1)uc" and ud" which will be exercised or entered into during the prospective twelve (12)-m~nth period.


f. Actual and projected costs. The procurement plan shall include an accounting of the actual costs incurred in the purchase and transportation of fuel for use in generating electricity associated with each contract or arrangement filed in accordance with subrule 20.13(lr'c" for the previous twelve (12)-month period.

The procurement plan also shall include an accounting of all costs projected to be incurred by the utility in the purchase and transportation of fuel for use in generating electricity associated with each contract or arrangement filed in accordance with subrule 20.13(1)"c, in the prospective twelve (12)-month period.

If applicable, the reporting of transportion costs in the procurement plan shall include all known liabilities, including all unit train costs.

g. Costs directly related to the purchase of fuel. The utility shall provide a list and description of all other costs directly related to the purchase of fuels for use in generating electricity not required to be reported by paragraph "/. ,,

h. Evidence submitted. Each utility shall submit all factual evidence and written argument in support of its evaluation of the reasonableness and prudence of the utility's procurement practice decisions in the manner described in its procurement plan. The utility shall file data sufficient to forecast fuel consumption at each generating unit or power plant for the prospective twelve (12)-month period. The board may require the submission of machine-readable data for selected computer codes or models.

20.13(2) Annual review proceeding. The board shall annually conduct a proceeding to evaluate the reasonableness and prudence of a rate-regulated utility's procurement practices. The board shall docket the matter as a contested case within thirty (30) days of the utility's filing of its procurement plan in accordance with subrule 20.13(1).

a. On or before June 30 of each year, the consumer advocate and any intervenors shall file prepared direct testimony and exhibits.

b. On or before July 30 of each year, the rate-regulated utility shall file prepared rebuttal testimony and exhibits.

c. The board will schedule a public hearing, to be held within five (5) months after the filing of a procurement plan, for the purpose of cross-examining all filed testimony. The hearing shall be conducted in accordance with the provisions of rule 199-7.7(476). The board shall establish briefing schedules on a case-by-case basis. The burden shall be on the utility to prove it is taking all reasonable actions to minimize its purchased fuel costs.

d. The board may, in its discretion, modify the procedural schedule for an annual review proceeding.

20.13(3)* Annual meeting of electric utilities. The board shall convene an annual meeting of public utilities furnishing electricity and persons who have applied individually or jointly for, or who plan within the next five (5) years to apply for a certificate to construct an electric power generating plant.

a. Statement of purpose. The purpose of this rule is to obtain from each electric utility and others furnishing electricity to consumers within the state of Iowa all necessary

•Formerly rule 2S0-23.4(476,476A), renumbered 20.13(3) effective 10/31/84.


information about their plans to maintain and construct generating facilities needed to pro- '-'1 vide reasonably adequate service at reasonable prices. This rule is promulgated pursuant to the board's authority to inquire into the management of the business of all public utilities subject to board jurisdiction. Information filed and presented in compliance with this rule will be used only to inform the board as to the manner and method in which utilities providing serv-ice in the state are determining when additional generating capacity will be needed and how they plan, individually or jointly, to meet the demand for increased capacity in an economical and efficient manner. Information presented by utilities and others generating electricity, and statements made by the board, its staff and other persons appearing or presenting informa-tion in response to the filing requirements of this rule, shall be deemed to have been offered for informational purposes only and shall not, in any manner or to any degree, be construed as justifying or excusing an action taken by a public utility or person constructing an electric generating facility when, in another board proceeding, the reasonableness of that action, or ~ ratemaking treatment of plant capacity resulting from that action, is at issue. The adoption and implementation of this rule shall not be construed as relieving the management of any public utility of its duty to act prudently and reasonably, nor shall adoption and implementa-tion of this rule be construed to shift responsibility for prudent and reasonable planning from the utility to the board or any other public representative.

b. Report of planning information. On or before May 15, each public utility furnishing electricity and each person who has applied individually or jointly for, or who plans within the next five (5) years to apply for a certificate to construct an electric power generating plant, shall prepare and file with the board a report including information about anticipated public demand for electricity within each utility's system and about generating capacity which is or may be available to serve existing and forecasted demands.

Joint filing. Any electric utility or other person who is required to file a report of planning information and who relies on planning and forecasting by another utility or person, or engages in joint planning or dispatching with another utility, may file a joint report of plan- "-"' ning information with the utility or other person sharing the planning responsibilities. A jointly filed report shall specify, where appropriate, the extent to which statements made in the report are dependent upon information supplied by particular participants in the joint filing.

c. Content of report. The report of planning information shall be organized and shall include information required as follows:

(1) Introduction. An introductory paragraph shall preface the report stating on whose behalf the report is filed.

(2) Chapter 1-Reserve criteria. Chapter 1 of the report shall include the following information, presented in the same order as required herein, specifying reserve criteria considered in each utility's generation planning process:

1. Power pool reserve. The reserve criterion, stated numerically, of any power pool to \..I which the utility or utilities belong, followed by an explanation of why that criterion was adopted.

2. Control area reserve. The reserve criterion, stated numerically, of any control area to which the utility or utilities belong, followed by an explanation of why that criterion was adopted.

3. Utility reserve. All reserve criteria, stated numerically, considered by the utilities on whose behalf the summary is filed when determining how to provide adequate service, followed by an explanation of why each specified criterion is considered relevant to the planning process.


These rules are intended to implement Iowa Code sections 17 A.3, 474.5, 476.1, 476.2, 476.6, '-.-1 476.8, 476.20, 476.54, and 478.18, and 1986 Iowa Acts, Senate File 2175, section 707.

[Filed 7/12/66; amended 6/27/75] [Filed 12/30/75, Notice 10/6/75---published 1126/76, effective 3/1/76] [Filed 117/77, Notice 11/3/76-published 1126/77, effective 3/2/77]

[Filed 9/30/77, Notice 6/29/77-published 10/19/77, effective 11/23/77] [Filed 10/4/78, Notice 8/23/78-published 11/1178, effective 12/6/78] [Filed 1119/78, Notice 11/2/77-published 11/29/78, effective 113/791

(Filed emergency 12/22/78-published 1110/79, effective 12/22/78) (Filed emergency 12/27 /78-published 1/10/79, effective 12/27 /78)

[Filed 4/10/79, Notice 5/3/78, 8/23/78-published 5/2/79, effective 6/6/79) [Filed 4/10/79, Notice 11/1178-published 5/2/79, effective 6/6/79] [Filed 6/8/79, Notice 4/4/79---published 6/27179, effective 8/1/79]

~ [Filed 6/29/79, Notice 11/1178-published 7/25/79, effective 8/29/79] [Filed 9/26/80, Notice 8/6/80-published 10/15/80, effective 11119/80]

[Filed 1/30/81, Notice 51 14/80-published 2/18/81, effective 7 I 1/81] [Filed 4/10/81, Notice 6/25/80-published 4/29/81, effective 6/3/811

[Filed 5/18/81, Notice 9/17/80-published 6/10/81, effective 7/15/81] [Filed 6/19/81, Notice 10/1180-published 7/8/81, effective 8/12/81]


[Filed emergency 11117/81 after Notice of 9/30/81-published 12/9/81, effective 11117 /81] [Filed emergency 12/14/81-published 116/82, effective 12/14/81] [Filed emergency 6/28/82-published 7/21/82, effective 6/28/82]


\..I [Filed 12/3/82, Notice 9/1/82-published 12/22/82, effective 1126/83] [Filed 1128/83, Notice 12/8/82-published 2/16/83, effective 3/23/83] [Filed 2/25/83, Notice 12/22/82-published 3/16/83, effective 4/20/83] [Filed 4/11/83, Notice 2/16/83-published 4/27/83, effective 6/1/83] [Filed 4/15/83, Notice 1/19/83-published 5/11183, effective 6/15/83]

[Filed emergency 6/3/83-published 6/22/83, effective 7/1/83] [Filed 9/9/83, Notice 6/8/83-published 9/28/83, effective 11/2/83] [Filed 9/9/83, Notice 6/8/83-published 9/28/83, effective 1/1184]

[Filed 11/4/83, Notice 8/31183-published 11/23/83, effective 111184] [Filed 12/2/83, Notice 9/28/83-published 12/21183, effective 1/25/84] [Filed 12/16/83, Notice 9/14/83-published 114/84, effective 2/S/84] [Filed 1/13/84, Notice 9/11183-published 2/1/84, effective 3/7 /84]

\w,) [Filed 1/27/84, Notice 11/23/83-published 2/15/84, effective 3/21184]* [Filed 4/9/84, Notice 1/18/84-published 4/25/84, effective 5/30/84]

[Filed emergency 4/20/84-published 5/9/84, effective 4/23/84] [Filed 4/20/84, Notice 2/15/84-published 5/9/84, effective 6/13/84]**

[Filed emergency 6/1/84-published 6/20/84, effective 6/1/84] [Filed 9/10/84, Notice 2/15/84-published 9/26/84, effective 10/31/84] [Filed 9/10/84, Notice 7/18/84-published 9/26/84, effective 10/31184] [Filed 9/21/84, Notice 5/23/84-published 10/10/84, effective 11/14/84] [Filed 10/19/84, Notice 8/15/84-published 1117/84, effective 12/26/84]

[Filed 4/19/85, Notice 2/13/85-published 5/8/85, effective 6/12/85] fFiled 5/6/85. Notice 112/85-published 5/22/85, effective 6/26/85]

[Filed emergency 6/ 14/85-published 7/3/85, effective 6/ 14/85]

~ •Effective date of 20.3(13)"a," "b," (1), (2), (3), (4), and "c" delayed seventy days by administrative rules review committee . .. Effective date of 20.4(12), third unnumbered paragraph, delayed seventy days by the administrative rules review committee.

History continued on next page

Ch 20, p.54 Utilities [ 199] lAC 5/6/87

[Filed 6/14/85, Notice 4/ I 0/85-published 7/3/85, effective 8/7 /85] [Filed 8/9/85, Notice 6/19/85-published 8/28/85, effective 10/2/85] \,,

[Filed emergency after Notice 2/7/86, Notice 10/9/85, 12/4/85-published 2/26/86, effective 3/31 /86]

[Filed 3/7/86, Notice 12/4/85-published 3/26/86, effective 4/30/86] [Filed 8/8/86, Notice 5/7 /86-published 8/27/86, effective 10/ I /86] O

[Filed 8/22/86, Notices 5/21/86, 6/4/86-published 9/10/86, effective 10/15/86]t [Filed emergency 9/18/86-published 10/8/86, effective 9/18/86]


OSee lAB, Utilities Division. tPublished in Notice portion of lAB 9/10/86; see lAB 10/22/86

~

~

~

\._)

lAC 5/6/87

(1) General management duties. (2) Customer relations (complaints). (3) Engineering operations.

Utilities[l99]

(4) Emergencies during nonoffice hours. h. A copy of a new directory being distributed to customers.

Ch 22, p.8

i. A copy of any application for waiver, modification or clarification (however denominated) the utility files with the Federal Communications Commission with respect to its decision in Docket No. 20828.

j. Rescinded, effective 9/18/85. k. Any index of list which comprehensively catalogs or cross-references tariffed offerings

for internal management or sales purposes. I. By July 1, 1983, and by April 1 of each year thereafter, each rate-regulated utility shall

report to the board in writing all expenses, charged or to be charged to Iowa ratepayers, incurred in the previous calendar year resulting from any assembly of all or part of its board of directors, principal officers, or both outside of any state in which the utility provides service. All expenses required to be reported under this subrule should be itemized according to the following classifications for each assembly:

(1) Transportation costs. (2) Lodging (including meeting rooms). (3) Food. (4) Itemized miscellaneous. The utility also shall provide the following information about each assembly in the filing

with the board: location of assembly (including city, state) and hotel(s) or motel(s) accommodations; purpose of the assembly and meeting agenda; travel information (including whether public or private mode and dates of departure, arrival, and return); and its directors or officers in attendance (including spouses and guests if any of their expenses have been or will be charged to ratepayers).


199-22.3(476) General service requirements. The requirements of this rule do not apply to intrastate access service.

22.3(1) Held applications. a. During such period of time as telephone utilities may not be able to supply initial telephone

service to prospective customers or upgrade existing customers within thirty (30) days after the date applicant desires service, the telephone utility shall keep a record by exchanges showing the name and address of each applicant for service, the date of application, date that service is desired, the class and grade of service applied for, together with the reason for the inability to provide the new service or higher grade to the applicant.

b. When, because of shortage of facilities, a utility is unable to supply main telephone service on dates requested by applicants, first priority shall be given to furnishing those services which are essential to public health and safety. In cases of prolonged shortage or other emergency, the board may require establishment of a priority plan, subject to its approval for clearing held orders, and may request periodic reports concerning the progress being made.

Ch 22, p.9 Utilities[ 199] lAC 10/8/86

22.3(2) Directories. All directories published after the effective date of these rules shall conform to the following:

a. Telephone directories shall be published not less than annually, except for good cause shown, listing the name, address and telephone number of all customers unless otherwise requested by the customer.

b. Upon issuance, a copy of each directory shall be distributed to all customers locally served by that directory.

c. The year of issue shall appear on the front cover and, if space permits, on the back binding. Information pertaining to emergency calls, such as for the police and fire departments, for each exchange listed in the directory shall appear conspicuously on the front side of the first page of the directory. The directory shall also show a summary of the names of listed exchanges with the name of each serving telephone utility next to the exchanges it serves.

d. The directory shall contain such instructions concerning placing local and long distance calls, calls to repair and information services, and location of telephone company business offices as may be appropriate to the area served by the directory. A statement shall be included that the company will verify the condition of a line if requested by a customer and whether any charge will apply. Rates for basic transmission service for residential and business customers available from the utility shall also be included.

e. Directory assistance or intercept operators shall maintain records of all telephone numbers (except telephone numbers not listed or published at customer request) in the area for which they are responsible for furnishing information service.

f. In the event of an error or omission, in the name or number listing of a customer, that . customer's correct name and telephone number shall be furnished to the calling party either upon request to or interception by the telephone company.

g. Placed under the prominent heading "Customers' Rights To Own And Provide Their Own Telephones, Other Terminal Equipment And New Inside Station Wiring," each directory shall provide the following information:

(I) A customer has the right to provide and own terminal equipment and new inside station wiring.

(2) A customer is not required to buy or lease terminal equipment from the telephone utility in order to receive service.

(3) A customer is not required to use the services of the telephone utility for the installation or repair of new inside station wiring, telephone utility cable within or between two or more buildings on the same premises, or terminal equipment. Upon request, the telephone utility will provide limited technical information for the services and facilities listed above.

(4) The charges for transmission services, connections, disconnections or service checks shall not be preferential due to the fact that telephones, or other terminal equipment or new inside station wiring are provided by the telephone utility or other suppliers.

(5) A definition of terminal equipment. h. When additions or changes in plant, records or operations which will necessitate a

large group of number changes are scheduled, reasonable notice shall be given to all customers so affected even though the additions or changes may be coincident with a directory issue.

22.3(3) Grade of service. a. No utility shall connect more customers on any line than are contemplated under the

grade of service charged the customer on such line. b. All residential subscriber telephone service shall be a grade of one-, two-, or four-party

service. Not more than four residential parties shall be connected to any line outside the base rate area and not more than two residential parties shall be connected to any line within the base rate area.

Upon completion in the meeting of this requirement a report to that effect shall be filed ~ with the board.

c. All business subscriber telephone service shall be a grade of one- or two-party service. Not more than two business parties shall be connected to any line outside the base rate


'- 1 parts which are no longer serviceable shall be repaired or replaced. Adjustable apparatus .._., and equipment shall be readjusted as necessary when found by preventive routines or

fault location tests to be in unsatisfactory operating condition. Electrical faults, such ·as leakage or poor insulation, noise induction, cross talk, or poor transmission characteristics shall be corrected to the extent practicable within the design capability of the plant affected.

c. In all exchanges, periodic leakage tests shall be made on all circuits by use of proper · instruments to determine that sufficient insulation is being maintained and further to discover any substantial change in insulation values which might cause future service difficulties. Loop resistance tests or transmission loss tests should be made on local circuits when transmission is poor, in an endeavor to locate the source of trouble.

d. Maintenance of aerial plant shall include the replacement of broken or missing insulators; broken or badly deteriorated poles, crossarms and brackets; rusted wires; and

'-...) broken-down guys. Defective splices shall be replaced, slack wire retensioned, wires properly transposed, and adequate clearance provided between the wires and trees or brush.

e. Switchboard maintenance shall include the replacement of frayed cords, the periodic gauging of jack ferrules, and plugs, and the replacement of ferrules and plugs worn beyond reasonable tolerance. The night alarm circuit for each line and the ringoff drops on the cord circuits shall be tested periodically and adjustments made where necessary. Central office batteries shall be replaced when required to maintain good telephone service.

f. Dial central office equipment shall be inspected and routinely tested at regular intervals, and such repairs, adjustments or replacements made as are found to be necessary and as are required to insure the proper functioning of dial switching equipment.

g. All regulated station apparatus shall be properly maintained including replacement of transmitters and receivers and cords when broken, damaged, or when necessary for good transmission.

~......) h. Rescinded, effective 4/6/83. i. Records of various tests and inspections shall be kept on file in the office of the tele

phone utility for a minimum of one year. These records shall show the line or regulated equipment tested or inspected, the reason for the test, the general conditions under which the test was made, the general result of the test and such corrections as were made when the test indicated need for same.

199-22.6(476) Standards of quality of service. 22.6(1) Service interruption. a. Each telephone utility shall make all reasonable efforts to prevent interruptions of service.

When interruptions occur, the utility shall reestablish service with the shortest possible delay. The following objectives in the clearing of trouble reports shall be observed:

(1) In central offices in excess of ten thousand terminals: · \...,)Business service: Eighty percent cleared within two hours

Residence service: Eighty percent cleared within four hours (2) In central offices with less than ten thousand terminals:

Business service: Eighty percent cleared in eight hours Residence service: Eighty percent cleared in twenty-four hours.

b. Each telephone utility shall inform the board as soon as possible of any occurrence of an unusual nature which apparently will result in prolonged and serious interruption of service to a large number of customers.

c. Arrangements shall be made to have personnel available to receive and record trouble reports twenty-four (24) hours daily and also to clear trouble of an emergency nature; at night, on holidays, and weekends, as well as during regular working hours.

Ch 22, p.19 Utilities[199] lAC 9/6/87

d. Whenever service must be interrupted during regular working hours for the purpose of ~ working on the lines, cable or equipment, the work shall be done at a time which will cause the least inconvenience to the customers, and any who would be seriously affected by such interruption shall, so far as possible, be notified in advance.

e. Each telephone utility shall keep a written record showing all interruptions affecting service in an entire exchange service area or any major portion thereof for a minimum of six (6) years. This record shall show the date, time, duration, time cleared and extent and cause of the interruption. This record shall be available to the board or its authorized representatives upon request at any time within the period prescribed for retention of such records.

f. Whenever a trouble report is received, a record should be made by the company and if repeated within a thirty (30)-day period by the same customer, this case shall be referred to a supervisor for permanent correction.

g. When a customer's service is reported or is found to be out of order, it shall be restored as promptly as possible. ~

h. It shall be the minimum objective to so maintain the service that the average rate of cus-tomer trouble reports in an exchange is no greater than seven and a half per one hundred cen-tral office access lines per month.

22.6(2) Emergency operation. a. Each telephone utility shall make reasonable provisions to meet emergencies resulting

from failures of lighting or power service, sudden and prolonged increases in traffic, illness of operators, or from fire, storm, or acts of God, and each telephone utility shall inform employees as to procedures to be followed in the event of emergency in order to prevent or mitigate interruption or impairment of telephone service.

b. It is essential that all central offices have adequate provision for emergency power. In offices without installed emergency power facilities, there shall be access to a mobile power unit which can be delivered on short notice.

c. In toll centers and in exchanges exceeding ten thousand terminals, it is essential that a ~ permanent auxiliary power unit is installed.

199-22. 7(476) Safety. 22. 7(1) Protective measures. a. Each utility shall exercise reasonable care to reduce the hazards to which its

employees, its customers or users and the general public may be subjected. b. The utility shall give reasonable assistance to the board in the investigation of the cause

of accidents and in the determination of suitable means of preventing accidents. c. Each utility shall maintain a summary of all reportable accidents arising from its

operations. 22.7(2) Safety program. Each utility shall adopt and execute a safety program, fitted to

the size and type of its operations. As a minimum, the safety program should: "---a. Require employees to use suitable tools and equipment in order that they may perform

their work in a safe manner. b. Instruct employees in safe methods of performing their work. c. Instruct employees who, in the course of their work, are subject to the hazard of

electrical shock, asphyxiation or drowning, in accepted methods of artificial respiration.


22.11(4) Amortization of existing telephone utility cable within or between two (2) or more buildings on the same premise. That portion of existing outside plant which represents the undepreciated investment of the utility in telephone utility cable within or between two or more buildings on the same premises shall be amortized over the remaining life of the amortization period established by sub rule 22.11 (3), commencing from the effective date of these rules. Each telephone utility shall transfer the dollar amount which is to be amortized from the outside plant account 242.1 to the inside station wiring account 233 on the utility's transition date. Existing users of telephone utility cable within or between two or more buildings on the same premises on the transition date shall not be denied use in the future equal to their use on the transition date, unless that user requests a decrease in service after the transition date. Existing telephone utility cable within or between buildings on the same premise, upon expiration of the amortization period for the respective subaccounts, shall be excluded from the utility's regulated books of account.

22.11(5) Construction by user limitation. A user shall not be allowed to construct inside station wiring from a demarcation point or between two or more buildings on the same premises to obtain service from an exchange other than that by which they would normally be served, excluding users being provided adjacent exchange service or foreign exchange service as provided in a company's tariff. Existing inside wiring obtaining local exchange service within another exchange boundary shall be disconnected by the user within ten (10) days after receipt of written notification from the local exchange company.

22.11(6) Standards applicable to existing and new i~side station wiring. The following technical standards must be complied with:

a. Intrasystem wiring in customer-provided PBX and key telephone systems shall be in compliance with applicable registration standards promulgated by the federal communications commission.

b. For use with telephone transmission service where only nonbutton or single button telephone stations and associated ancillary devices are utilized, new inside station wiring shall be in compliance with 47 CFR Part 68.

c. All existing and new inside station wiring must comply with applicable national, state or local building and electrical codes, including, National Electrical Code, NFPA No. 70-1978 (Article 800, Communications Circuits); and accepted good engineering practice in the communication industry to assure, as far as reasonably possible, continuity of service, uniformity in the quality of service furnished, and safety of persons and property.

d. Telephone utilities shall generally endeavor to answer any questions concerning the installation, repair, and maintenance of new inside station wiring and the repair and maintenance of existing inside station wiring. Upon request, telephone utilities shall distribute to their customers or other interested parties, explanatory printed materials on new inside station wiring, including an explanation of how compliance with the above standards can be accomplished.

199-22.12(476) Contents of tariff filings proposing rates. 22.12(1) Construction of rule. This rule shall be construed in a manner consistent with

its purpose to expedite informed consideration of tariff filings proposing rates by assuring the availability of relevant information on a standardized basis. It shail appiy to all tariff filings by rate-regulated telephone utilities proposing rates, unless a waiver is granted prior to filing.

22.12(2) Cost studies to be filed. Tariff filings proposing rates shall be accompanied by applicable cost studies performed in accordance with 22.13(476). These shall be accompanied by all workpapers used.

Ch 22, p.25 Utilities[199] lAC 5/6/87

22.12(3) Specification of cost methodologies. By September 1, 1982, all telephone utilities ~ shall file cost study methods, consistent with 22.13(476).

a. This filing will include definitions which permit the assignment of tariffs to a cost study method, formulae or documentation for computer programs and applicable parameters, definitions, unit costs, and specific and common costs allocation factors.

b. Subsequent filings must be consistent with a filed method and contain an explanation as to how the cost study method used conforms with the filed definitions, unless an application is made to amend or revise the method on file.

22.12(4) Rescinded, effective June 10, 1987.

199-22.13(476) Methodology for determining costs to serve. 22.13(1) Construction of rule. This rule shall be construed in a manner consistent with its

purpose to provide information on costs of supplying specific telephone services and on the relative contributions of general telephone service offerings to the rates of returns to the ~ telephone utilities. It shall require periodic fully distributed cost (FDC) studies to be prepared and submitted to the board and shall require individual tariff filing to be supported by cost studies. It shall apply to all tariff filings by rate-regulated telephone utilities, unless a waiver is granted by the board prior to filing.

22.13(2) Fully distributed cost studies. As used in this chapter, a FDC study operates to estimate the costs to serve customer classes.

a. In a FDC analysis, the totality of all investment and operating costs for all services offered during a specified test period are first determined. In addition, the total volume of each service provided during the test period is determined from the utility's records. Direct costs which can be identified for a particular category of service are segmented and attributed to the relevant services. The remaining common and joint costs are allocated among the services according to quantitative determinations as to test period direct investment in each ~

1 service or test period relative use which each service made of the facilities, personnel, and .._... operations supported by such costs. Revenues are identified, segmented and attributed to the relevant services. At the conclusion of the process, it should be possible not only to compute a rate of return for each service, but also to estimate unit costs for each of the services offered during the test period, which can be used as a basis for assessing relative revenue requirement contributions for each service which would have satisfied the utility's total revenue requirement-including cost of capital. The rates for each service shall be computed so as to have contributed an equal rate of return on investment.

b. Service category cost studies shall be made a part of any cost study. The test period direct costs, common and joint costs, investments and revenues shall be identified and attributed to each of the categories.

Categories and subcategories of service to be studied include, but are not limited to, the following: ~·

'...._;

lAC 516181 Utilities[l99] Ch 22, p.30

a. Whether the reseller is, in fact, a local exchange carrier in its own right, as demonstrated by limitations on access to the original local exchange carrier, the geographical area of the offering, or other relevant factors; and

b. Whether the reseller is allowing access to the local exchange carrier on reasonable terms. These rules are intended to implement Iowa Code sections 476.1, 476.2, 476.5, 476.6, 476.8,

476.9, and 1986 Iowa Acts, Senate File 2175, section 707. [Filed December 12, 1967; amended June 27, 1975]

[Filed 10113176, Notice 9/8/75-published 11/3/76, effective 12/8176] [Filed 912111, Notice 4/20/77-published 9121177, effective 10/26177]

[Filed emergency 9/14/77-published 10/5/77, effective 9/14177] [Filed 9/30/77, Notice 6/29/77-published 10119177, effective 11123/77]

[Filed 4/10/79, Notice 5/3/78, 8/23/78-published 5/2/79, effective 6/6179J [Filed 1128182, Notice 9130181-published 2117182, effective 3124182]

[Filed 5121182, Notice 411181-published 619182, effective 7 114182] [Filed emergency 61 18182-published 7/7182, effective 7 I 14182]

[Filed emergency 6128182-published 7121182, effective 6128182] [Filed 1018182, Notices 10128181, 313182, 4114182, 7121182-published 10127182,

effective 1211182] [Filed 10121182, Notice 8118182-published 11110182, effective 12115182]

[Filed 2111183, Notices 7121182, 1218182-published 312183, effective 416183] [Filed 2125183, Notice 12122182-published 3116183, effective 4120183]

[Filed emergency 6117 183-published 716183, effective 7 I 1 183] [Filed 919183, Notice 6122183-published 9128183, effective 1112183] [Filed without Notice 9126/83-pub1ished 10112183, effective 1211183]

[Filed 10/7/83, Notice 8/17183-published 10126/83, effective 1211/83*] [Filed emergency 1114/83-published 11/23/83, effective 12/1183]

[Filed without Notice 1114183-published 11123/83, effective 111/84] [Filed 11/4183, Notice 8131183-published 11/23183, effective 111/84]

[Filed 2/10184, Notice 12121/83-published 2129184, effective 414184] [Filed 2124/84, Notice 11123/83-published 3114/84, effective 4/18/84] [Filed 419/84, Notice 1118/84-published 4125184, effective 5/30184] [Filed 611184, Notice 4125/84-published 6120184, effective 7125184]

[Filed 10119184, Notice 8115184-published 1117184, effective 12/12184] [Filed 11116184, Notice 8/15184-published 12/5184, effective 119185] [Filed 4/5/85, Notice 12/5/84-published 4/24/85, effective 5/29/85] [Filed 4/19185, Notice 2/13/85-published 5/8/85, effective 6/12/85]

[Filed 7126185, Notices 4/24185, 6119185-published 8114/85, effective 9118185] [Filed 2/7/86, Notices 8/14/85, 11/6/85-published 2/26186, effective 4121861

[Filed 317/86, Notice 1214/85-published 3/26186, effective 4130/86]0 [Filed 7111186, Notice 4/23186-published 7130186, effective 913/86]

[Filed 8122186, Notice 6118186-published 9110186, effective 10115186] [Filed emergency 9118186-published 1018186, effective 9118186]

[Filed 4117187, Notice 1213186-published 516181, effective 6110/87] [Filed 4117187, Notice 12131186-published 516187, effective 6110187]

"Effecth·c date of 12/1/83 of subrulcs 22.1(3), 22.2(5)"1•", and 22.3(1-1) delayed \C\·enty day~ lly the admini\trati\"c rules rc\·icw commiltce on 11/8/83.

OTwo ARCs.

lAC 5/6/87 Economic Development[261] Analysis, p.3

19. 78(7 A,l7 A,29USC 1501 et seq.)

19. 79(7 A, 17 A,29USC 1501 et seq.)

19.80(7A,7B,29USC 1501 et seq.)

19.81(7A,7B,29USC 1501 et seq.)

19.82(7B,29USC 1501 et seq.)

19.83(7B,29USC 1501 et seq.)

19.84 and 19.85 19.86(7A,7B,17A,

29USC 1554)

19.87(7 A, 7B,29USC 1554)

Reallocation process

Compliance review system

Audit resolution procedures

Debt collection procedure

Sanctions for violations of the Act

Appeals of sanctions

Reserved State administrative

entity complaint procedures

Transition provision and effective date

CHAPTER 20 CHILD CARE GRANTS PROGRAM

20.1(71GA,ch33) Purpose 20.2(71GA,ch33) Program description 20.3(71 GA,ch33) Definitions 20.4(71GA,ch33) Program administration 20.5(71 GA,ch33) Contents of application 20.6(71GA,ch33) Project specifications 20.7(71GA,ch33) Review and rating of

applications 20.8(71 GA,ch33) Grant agreement 20.9(71 GA,ch33) Allowable costs 20.10(71 GA,ch33) Reporting requirements 20.11(71GA,ch33) Monitoring 20.12(71 GA,ch33) Termination

PART III DIVISION OF

FINANCIAL ASSISTANCE

CHAPTER 21 DIVISION RESPONSIBILITIES

21.1(71GA,ch1245) Purpose 21.2(71GA,ch1245) Structure

CHAPTER 22 COMMUNITY ECONOMIC BETTERMENT PROGRAM

22.1 (71 GA,ch33) Purpose 22.2(71 GA,ch33) Definitions 22.3(71 GA,ch33) Board and committee 22.4(71 GA,ch33) Eligible applicants 22.5(71 GA,ch33) Eligible projects 22.6(71 GA,ch33) A-pplication restrictions

22. 7(71 GA,ch33) Application procedures 22.8(71GA,ch33) Application review and

rating 22.9(71GA,ch33) Award process 22.10(71 GA,ch33) Financial management

standards 22.11(7lGA,ch33) Record keeping and

retention requirements 22.12(71 GA,ch33) Performance reports

and review 22.13(71 GA,ch33) Noncompliance 22.14(71GA,ch33) Remedies for

noncompliance 22.15(71GA,ch33) Amendments to

applications 22.16(71GA,ch33) Grant loan closeouts 22.17(71GA,ch33) Forms 22.18(71GA,ch33) Administration of loans 22.19(71 GA,ch33) Timing of loans 22.20(71 GA,ch33) Administration, report-

ing, and audit 22.21(71GA,ch33) Timing of grants 22.22(71 GA,ch33) Annual report 22.23(71GA,ch33) Prior costs 22.24(71GA,ch33) Cost variations 22.25(71 GA,ch33) Appeals 22.26(71 GA,ch33) Approved regional plan

CHAPTER 23 COMMUNITY DEVELOPMENT

BLOCK GRANT NONENTITLEMENT PROGRAM

23.1(71GA,ch1245) Goals and objectives 23 .2(71 GA,ch 1245) Definitions 23.3(71GA,ch1245) Eligibility 23.4(71GA,ch1245) Eligible and ineligible

activities 23.5(71GA,ch1245) Application require

ments for the competitive program

23.6(71GA,chl245) Selection criteria for the competitive program

23.7(71GA,ch1245) Application requirements for the economic development set-aside program

23.8(71GA,ch1245) Selection criteria for economic development set-aside program

23.9(71GA,ch1245) Application requirements for the public facilities set-aside program

Analysis, p.4 Economic Development[261] lAC 4/8/87

23.1 0(71 GA,ch 1245) Funding allocation 23.11(71GA,ch1245) Administration 23 .12(71 GA,ch 1245) Miscellaneous 23.13(71GA,ch1245) Imminent threat con-

tingency fund 23.14(71GA,ch1245) CDBG interim financ

ing program

CHAPTER 24 EMERGENCY SHELTER

GRANTS PROGRAM 24.1(PL 99-500) 24.2(PL 99-500) 24.3(PL 99-500) 24.4(PL 99-500) 24.5(PL 99-500) 24.6(PL 99-500) 24. 7(PL 99-500)

24.8(PL 99-500) 24.9(PL 99-500) 24.10(PL 99-500)

24.ll(PL 99-500)

24.12(PL 99-500)

Purpose Definitions Eligible applicants Eligible activities Ineligible activities Application procedures Application review and

approval process Matching requirements Grant ceilings Restrictions placed on

nonprofit recipients Compliance with appli

cable federal and state laws and regulations

Administration

CHAPTER 25 Reserved

CHAPTER 26 IOWA RENTAL

REHABILITATION PROGRAM 26.1 (7 A,24CFR511) Definitions 26.2(7 A,24CFR511) Purpose 26.3(7A,24CFR511) Eligibility 26.4(7A,24CFR511) Tenant assistance

required 26.5(7 A,24CFR511) Application for funds 26.6(7A,24CFR511) Selection criteria 26. 7(7 A,24CFR511) Administration 26.8(7A,24CFR511) Amendments and

modifications 26.9(7A,24CFR511) Remedies for

noncompliance 26.1 0(7 A,24CFR511) Miscellaneous


PART IV DIVISION FOR COMMUNITY PROGRESS


36.1 (71 GA,ch 1245) Functions

CHAPTER 37 CITY DEVELOPMENT BOARD

37.1 (368) Expenses, annual report and rules

37.2(17A) Forms

CHAPTER 38 IOWA INTERGOVERNMENTAL

38.1(7A) 38.2(7A) 38.3(7A)

REVIEW SYSTEM Purpose Definitions

38.4(7A)

Activities of the state clearinghouse

Areawide clearinghouses

38.5(7 A,28E,473A) Designation 38.6(7 A) Review procedures-

38.7(7A) 38.8(7A) 38.9(7A) 38.10(7A) 38.11(7A,68A)

federal financial assistance

Housing programs Direct development Board of regents Internal process Information

CHAPTER 39 lOW A MAIN STREET PROGRAM

39.1(71GA,ch33) Purpose 39.2(71GA,ch33) Definitions 39.3(71GA,ch33) Program administration 39 .4(71 GA,ch33) Eligible applicants 39.5(71GA,ch33) Funding 39 .6(71 GA,ch33) Selection 39.7(71GA,ch33) Selection criteria 39 .8(71 GA,ch33) Financial management 39.9(71GA,ch33) Performance reviews 39 .I 0(71 GA,ch33) Noncompliance 39.11(71GA,ch33) Forms

CHAPTER 40 REGIONAL ECONOMIC DEVELOPMENT

COORDINATION PLANS 40.1 (28) Purpose 40.2(28) Definitions 40.3(28) Regional coordinating council

organization 40.4(28) Regional economic development

coordination plan-suggested contents

40.5(28) Submitting and review of the plan

40.6(28) Amending the plan

lAC 1/14/87 Economic Development[261]

PART III DIVISION OF FINANCIAL ASSISTANCE


Ch 21, p.1

261-21.1(71GA,ch1245) Purpose. The general purpose of the division of fmancial assistance is to provide for financial assistance to businesses, local governments, and educational institutions through loans and grants of state and federal funds to enable them to promote and achieve economic development within the state. To carry out this responsibility, the division administers several principal economic development fmancing programs including the community economic betterment program; community development block grant program; and the economic development set-aside program.

261-21.2(71GA,ch1245) Structure. The division consists of two (2) bureaus: 21.2(1) Bureau of business grants and loans. The bureau of business grants and loans

is responsible for the following programs: the community economic betterment account (CEBA); the community development block grant (CDBG); the CDBG economic development set-aside (EDSA); interim financing and financing rural economic development (FRED). The bureau has also retained administrative responsibilities for servicing and closing out the "Iowa Community Development Loan (ICDL) Program," 630-chapter 25, formerly administered by the office for planning and programming.

21.2(2) Bureau of housing and community development. The Iowa finance authority (IF A) is attached to the Iowa department of economic development for organizational and administrative purposes only. Within the IDEO table of organization the IFA is located in the bureau of housing and community development. The IDEO and the IF A have entered into a 28E agreement as permitted by Iowa Code chapter 28E. Pursuant to this agreement, the IF A is an independent agency and the IDEO and the IF A agree to share certain administrative functions.

These rules are intended to implement 1986 Iowa Acts, chapter 1245. [Filed emergency 12/19/86-published 1/14/87, effective 12/19/86]

Ch 22, p.1 Economic Development[261] lAC 5/6/87

CHAPTER 22 COMMUNITY ECONOMIC BETTERMENT PROGRAM

(Prior to 1/14/87; Iowa Development Commission(S20), ch 81

261-22.1(71GA,ch33) Purpose. The purpose of the community economic betterment program is to provide grants and loans to political subdivisions to aid in economic development that will create or retain jobs for Iowans.

261-22.2(71GA,ch33) Definitions. The following definitions apply to the community economic betterment program unless the context otherwise requires:

,Act" means 1985 Iowa Acts, chapter 33. ,Business benefactor" means the private sector company that will receive the ultimate pro-

ceeds of the grant or loan . .. CEB'' refers to the community economic betterment program funded by Act, section 301(2) . .. Department" or ,IDED" means the Iowa department of economic development. "Direct jobs" means permanent employment created or retained by the beneficiary of the

grant. "Director" means the director of the Iowa department of economic development. "IDED board" means the Iowa department of economic development board established

by 1986 Iowa Acts, chapter 1245, section 803. "Indirect jobs" is employment which ultimately may be created as a result of the project. "Political subdivision" means all Iowa cities, counties, and merged area schools. "Twenty-eight E (28E) agreement" refers to an intergovernmental agreement formed under

Iowa Code chapter 28E.

261-22.3(71GA,ch33) Board and committee. The chairperson of the board may appoint a four-member project review committee to review applications requesting CEBA funding. The committee shall, if formed, be composed of four board members, two of whom shall be the board chairperson and vice chairperson. The director shall be an ex officio member of an active committee. A majority of those voting is necessary for action by the committee.

The board may authorize the committee to make funding recommendations to the board. Alternatively, the board may authorize the committee or the director to make final funding decisions on behalf of the board. Such authorization may be for a specific period of time, or until such time as the board rescinds the authorization.

261-22.4(71GA,ch33) Eligible applicants. 22.4(1) All cities, counties, and merged area schools in the state are eligible to apply to

the commission for funding under this program. 22.4(2) Cities, counties, and merged area schools may apply for the benefit of any business

or industry located or to be located within their boundaries. 22.4(3) Applications will be accepted from eligible applicants to conduct activities outside

their boundaries, provided such activities are not inconsistent with state or local law and a valid 28E agreement is in effect.

261-22.5(71GA,ch33) Eligible projects. Projects eligible for CEB funding include, but are not limited to, the following:

I. Principal buy-down to reduce the principal of a business loan; 2. Interest buy-down to reduce the interest on a business loan; 3. Grants and loans to aid in economic development; 4. Building construction or reconstruction; 5. Acquisition of land or buildings; 6. Equipment purchases; 7. Operating and maintenance expenses; 8. Clearance, demolition and removal of buildings to develop sites; 9. Infrastructure improvements directly related to new employment; and

10. Road construction projects directly supporting and assisting economic development.

lAC 1/14/87 Economic Development[261] Ch 22, p.2

261-22.6(71 GA,ch33) Application restrictions. 22.6(1) An applicant may submit more than one project proposal for the project review

committee's consideration, but the applicant must rank them in the order it prefers funding. 22.6(2) A business or industry may only have one political subdivision apply on their behalf

per project. 22.6(3) No applications will be considered from eligible applicants on projects which result

in the moving of jobs and capital investment from one location in Iowa to another without substantial mitigating circumstances. For purposes of this subrule "substantial mitigating circumstances" includes such factors as casualty, highway relocation, zoning changes or such other circumstances as may be determined by the IDEO board.

22.6(4) No one project may be awarded more than one million dollars unless at least twothirds of the members of the IDEO board vote for providing an additional sum. However, additional moneys credited to the community economic betterment account after the first ten million dollars are not subject to the one million dollar limitation.

261-22. 7(71GA,cb33) Application procedures. 22. 7(1) Where to apply. All eligible applicants may apply monthly to the Iowa depart

ment of economic development for funding of eligible projects. Application instruction and any necessary forms will be available by contacting: Iowa Department of Economic Development, Community Economic Betterment Program, 200 East Grand Avenue, Des Moines, Iowa 50309. Phone: (515) 281-3251.

22. 7(2) General information. a. Each application conforming to the requirements of these rules will be reviewed and ranked

by the department. The department will consult with appropriate state, federal and private sources as the department deems necessary. The department may contract for specific marketing and feasibility studies, financial reviews, legal services, and other related activities upon recommendation of the CEB project review committee.

b. The CEB project review committee may request additional information it deems necessary to make a recommendation to the IDEO board. The request shall be in writing and state the data or information requested and will provide a deadline date for submission. The project review committee has thirty days from the submission date of this additional data or information to forward its recommendations to the IDEO board or to reject the application. The project review committee may request the applicant or the business or industry on whose behalf the application is submitted to appear before the project review committee. The project review committee may also direct the director or designee and staff to negotiate with the applicant. The IDEO board may direct the director, or designee and staff to negotiate on behalf of the CEB program before awarding funds. The IDEO board may fund a project in an amount they feel is needed up to the maximum provided by law and funding capabilities in the CEB account.

22. 7(3) Emergency awards. a. Immediate circumstances. Where an applicant can demonstrate to the satisfaction of

the CEB project review committee that circumstances require a response in thirty days or less, the IDED board may conduct an electronic meeting in accordance with Iowa Code sections 21.5 and 21.8 and render a binding decision subject to proper and satisfactory documentation and compliance with the CEB administrative rules.

b. Immediate award review procedure. The CEB project review committee may, at the request of its chairperson, conduct a telephone meeting of the committee for projects which need a determination before a full IDED board meeting is scheduled. The CEB project review committee may award the grant in writing, stating the documentation desired. This letter shall be a binding commitment upon the IDEO board for a period not to exceed thirty days. If an applicant cannot meet the documentation request in the thirty-day time period, the application shall be considered withdrawn from special consideration. However, the applicant may resubmit under normal application procedures.

Ch 22, p.3 Economic Development[261] lAC 5/6/87

261-22.8(71GA,cb33) Application review and rating. 22.8(1) General requirement. All applicants must submit a business plan, including but not

limited to budget, business history, feasibility study, and market study. If funding is required from another source, documentation or certification that the applicant will receive the necessary funding must accompany the application.

22.8(2) Ranking factors. In ranking applications for funding, the following criteria shall be considered:

a. The proportion of political subdivision match to be provided; b. The proportion of private contributions to be provided; c. The total number of jobs to be created; d. The recapture, if any, of these funds by the political subdivision that will occur; e. The level of need in the political subdivision; and f The impact of the proposed project on the economy of the state and the political

subdivision. 22.8(3) Scoring. Since the goal of the CEB program is to encourage the expansion and devel

opment of new, existing or potential industries within Iowa and to generate new areas of employment, all applications demonstrating job creation will receive preference in the evaluation process. The maximum point total is 200 with the points distributed as follows:

a. Applicant needs (maximum of 30 points). Based on the last two years unemployment rates, per capita income and declining tax base, business closings, and major layoffs.

b. Applicant and state impact (maximum of 120 points). Based on number of jobs created (both direct and indirect), number of jobs retained, cost per job/ratio of CEB funds per job created or retained, diversification of the local and state economy, expansion of the tax base of the project, and the overall effect on the quality of life.

c. Private contribution (maximum of 25 points). The greater the proportion of capital investment by the beneficiary of the grant, the more points awarded.

d. Local match (maximum of 25 points). The percentage of the local match shall be considered based on the lawful use of public funds, and may include funds and staff time that a political subdivision of the state may provide to the grant beneficiary. The local effort may include the fair market value of real estate or in-kind services from external sources including, but not limited to, economic development groups, private contributions, and chambers of commerce going directly to the business applying for CEB funds. Any recapture of CEB funds will be returned to the CEB account at the commission.

261-22.9(71GA,ch33) Award process. 22.9(1) Timing. Formal awards will be announced monthly by the department. 22.9(2) Project review committee recommendations. a. The project review committee shall meet at least once a month and submit its recommen-

dations to the IDED board. ""--' b. The project review committee has thirty days in which to review an application and may

request a thirty-day extension to receive additional information from the applicant. c. The project review committee may reject any application. An affirmative vote of five

members of the IDED board is required to reject or approve the project review committee's recommendation.

22.9(3) Decision by the IDED board. The IDED board shall receive the recommendation from the project review committee monthly. The IDED board may authorize or reduce funding as moneys are available, may table any or all funding requests to a subsequent meeting, or refer the application back to the project review committee and its staff with directions for a more detailed analysis.

261-22.10(71GA,cb33) Financial management standards. 22.10(1) All contracts made under these rules are subject to audit. Recipients shall be \.,w,

responsible for the procurement of audit services and for the payment of audit costs. Audits may be performed by the state auditor's office or by a qualified independent auditor.

lAC 5/6/87 Economic Development[261] Ch 22, p.6

22.20(2) Reporting and audit requirements. The department may require grant applicants to submit quarterly progress reports on the status of the project, and such other documents as may be required in order to demonstrate compliance with the Act and these rules. All political subdivisions shall have project expenditures audited. This audit may be part of the next regular audit following project completion. Audit costs may be included as a portion of the local cost match. Audits shall be submitted to the department within thirty days after their completion.

261-22.21(71GA,ch33) Timing of grants. In order to promote sound administration and effectuate the intent of the legislation, the department may set one or more deadlines for grant applications, enter into grant agreements, and make grants of some or all of the funds appropriated under the Act.

\....) 261-22.22(71GA,ch33) Annual report. The department shall submit to the governor and the general assembly an annual report setting forth the details of the operation of the program. The report shall cover the operations of the program on a fiscal year basis, from July 1 to June 30.

261-22.23(71GA,ch33) Prior costs. Costs of any kind related to the project that were incurred before the effective date of the loan or grant agreement shall not be included as local cash resources and loan proceeds shall not be used to pay for or reimburse such costs.

261-22.24(71GA,ch33) Cost variations. In the event costs for completed projects are less than specified in the approved project budget, then said costs shall be paid for in the same ratio of loan or grant funds and local funds as provided for in the approved project budget. Loan or grant funds requested and received by the recipient which exceed the proportional share of the total cost of the project shall be returned to the CEB account.

261-22.25(71GA,ch33) Appeals. A formal appeals procedure is available only to applicants whose grants or loans were declined on procedural impropriety or error as evidenced by one or more of the following reasons:

1. Application declined on the basis of review criteria other than those appearing in the relevant guidelines;

2. Based on influence on the IDED board members willfully or unwillfully failing to disclose conflict of interest; and

3. Based on highly erroneous information provided by staff, or IDED board members at the time of review despite the fact that the applicant provided the IDED board with accurate and complete information on regulation forms as part of the standard application process.

Incomplete applications are specifically denied any appeals process whatsoever. Substantially revised applications may be recognized as new applications, or may be declared ineligible if constraints of time preclude accurate information being made available to the IDED board. A successful appeal will be determined by the IDED board, whose discretions may include full or partial funding of the aggrieved application at the earliest occasion.

261-22.26(71GA,ch33) Approved regional plan. Effective July 1, 1987, only applications from political subdivisions located within a region with an approved regional coordinating plan will be accepted for funds from the CEB account established in the Iowa plan in section 301 of the Act.

This chapter is intended to implement 1985 Iowa Acts, chapter 33, portions of section 301. [Filed emergency 12/13/85-published 111186, effective 12/13/85]

[Filed 4/30/86, Notice 111/86-published 5/21186, effective 6/25/86] [Filed emergency 12/ 19/86-published 1114/87, effective 12/ 19/86]

[Filed emergency 4/17/87-published 5/6/87, effective 5/1187]

lAC 9/24/86 Labor Services[347] Analysis, p.1

LABOR SERVICES, DIVISION OF[347] Former Bureau of Labor renamed Division of Labor Services under the "umbrella•• of Department of Employment Services by the 1986Iowa Acts, Chapter 1245. Included in the Division of Labor Services are rules from Athletics Commissioner[llO], chs 96 to 99, and Employment Agency Licensing

Commission[350], ch 38.

ADMINISTRATION CHAPTER 1

DESCRIPTION OF ORGANIZATION AND PROCEDURES BEFORE THE DIVISION 1.1 (91) Definitions 1.2(91) Scope and application 1.3(91) Department of employment serv-

ices, division of labor services 1.4( 17 A) Petitio·n for rulemaking 1.5(17A) Petition for declaratory ruling 1.6(17A) Informal settlements 1. 7(17 A) Notice of contested cases

IOWA OCCUPATIONAL SAFETY AND HEALTH

CHAPTER 2 IOSH ENFORCEMENT, IOSH

RESEARCH AND STATISTICS, IOSH CONSULTATION AND EDUCATION

2.1 (88) Scope and application 2.2(88) IOSH enforcement 2.3(88) IOSH research and statistics 2.4(88) IOSH private sector consultative

services 2.5(88) IOSH public sector consultative

services 2.6(88) IOSH education

CHAPTER 3 INSPECTIONS, CITATIONS

AND PROPOSED PENAL TIES 3.1 (88) Posting of notice; availability of

the Act, regulations and applicable standards

3.2(88) Objection to inspection 3.3(88) Entry not a waiver 3.4(88) Advance notice of inspections 3.5(88) Conduct of inspections 3.6(88) Representatives of employers and

employees 3. 7(88) Complaints by employees 3.8(88) Trade or governmental secrets 3.9(88) Imminent danger 3.10(88) Consultation with employees 3.11(88) Posting of citations 3.12(88) Informal conferences

3.13(88) Petitions for modification of abatement date

3 .14(88) Definitions 3.15(88) Occupational safety and health

bureau forms

CHAPTER 4 RECORDING AND REPORTING

OCCUPATIONAL INJURIES AND ILLNESSES

4.1 (88) Purpose and scope 4.2(88) Log and summary of occupational

injuries and illnesses 4.3(88J Records 4.4(88) Supplementary record 4.5(88) Annual summary 4.6(88) Retention of records 4. 7(88) Access to records 4.8(88) Reporting of fatality or multiple

hospitalization accidents 4. 9(88) Falsification or failure to keep

records or reports 4.10(88) Change of ownership 4.11(88) Reserved 4.12(88) Petitions for recordkeeping ex-

ceptions 4. J 3(88) Description of statistical program 4.14(88) Duties 4.15(88) Employees not in fixed establish

ments 4. J 6(88) Small employers 4.17(88) Bureau of inspections and

reporting, research and statistical section forms

4.18(99) Definitions 4.19(88) Establishments classified in

Standard Industrial Classification Codes (SIC) 52-89 (except 52-54, 70, 75, 76, 79 and 80)

CHAPTER 5 RULES OF PRACTICE FOR

VARIANCES, LIMITATIONS, VARIATIONS, TOLERANCES

AND EXEMPTIONS !).1 (88) Purpose and scope 5.2(88) Definitions 5.3(88) Reserved

Analysis, p.2 Labor Services[347) lAC 5/6/87

5.4(88) Effect of variances 5.5(88) Notice of a granted variance 5.6(88) Form of documents; subscription:

copies 5. 7(88) Temporary variance 5.8(88) Permanent variance 5. 9(88) Special variance 5. 10(88) Modification and revocation of

rules or orders 5.11 (88) Action on applications 5.12(88) Requests for hearings on appli-

cations 5.13(88) Consolidation of proceedings 5.14(88) Notice of hearing 5. J 5(88) Manner of service 5. J 6(88) Hearing examiner: powers and

duties 5. J 7(88) Pre hearing conferences 5. 1 8(88) Consent findings and rules or

orders 5. J 9(88) Discovery 5.20(88) Hearings 5.21(88) Decisions of hearing examiner 5.22(88) Motion for summary decision 5.23(88) Summary decision 5.24(88) Finality for purposes of judicial

review

CHAPTER 6 Reserved

CHAPTER 7 Reserved

CHAPTER 8 CONSULTATIVE SERVICES

8.1(88) Purpose and scope 8.2(88) Definitions 8.3(88) Request and scheduling of an

on-site consultative visit 8.4(88) Conduct of a visit 8.5(88) Relationship to enforcement

CHAPTER 9 DISCRIMINATION AGAINST

EMPLOYEES 9 .I (88) Introductory statement 9.2(88) Purpose of this chapter 9.3(88) General requirements of Iowa

Code section 89.9(3) 9.4(88) Persons prohibited from

discriminating 9.5(88) Persons protected by Iowa Code

section 89. 9(3)

9.6(88) Unprotected activities distinguished

9.7 and 9.8 Reserved 9.9(88) Complaints under or related to

the Act 9. 10(88) Proceedings under or related to

the Act 9.11(88) Testimony 9.12(88) Exercise of any right afforded by

the Act 9.13 and 9.14 Reserved. 9.15(88) Filing of complaint for discrim-

ination 9. 16(88) Reserved 9.17(88) Withdrawal of complaint 9.18(88) Arbitration or other agency pro-

ceedings 9.19 to 9.20 Reserved 9.21(88) Walkaround pay disputes 9.22(88) Employee refusal to comply with

safety rules

CHAPTER 10 GENERAL INDUSTRY SAFETY

AND HEALTH RULES 10.1 (88) Definitions 10.2(88) Applicability of standards 10.3(88) Incorporation by reference 10.4 to 10.11 Reserved 10.12(88) Construction work 10.13 to 10.18 Reserved 10.19(88) Special provisions for air con

taminants 10.20(88) Adoption by reference


SAFETY AND HEALTH REGULATIONS FOR CONSTRUCTION

CHAPTER 26 CONSTRUCTION SAFETY AND

HEALTH RULES 26.1(88) Adoption by reference

CHAPTER 27 PROTECTIVE CLOTHING AND EQUIPMENT STANDARDS FOR

FIRE FIGHTERS 27.1 (88) Definitions 27 .2(88) Applicability of rules 27 .3(88) Effective dates 27 .4(88) General requirements 27 .5(88) Foot and leg protection 27 .6(88) Body protection 27. 7(88) Hand protection

lAC 5/6/87 Labor Services[347] Analysis, p.3a

RAILROADS CHAPTER 51

Reserved

CHAPTER 52 SANITATION AND SHELTER RULES

FOR RAILROAD EMPLOYEES 52.1 (327F) Definitions 52.2(327F) Water supply 52.3(327F) Toilets 52.4(327F) Eating places and lunchrooms 52.5(327F) Sleeping accommodations 52.6(327F) Cleanliness and maintenance 52. 7(327F) General rules


AMUSEMENT PARKS AND RIDES CHAPTER 61

ADMINISTRATION-AMUSEMENT PARKS AND RIDES DIVISION

61.1(88A) Purpose, scope and definitions 61.2(88A) Administration 61.3(88A) Exemptions

CHAPTER62 SAFETY RULES FOR AMUSEMENT

PARKS AND RIDES 62.1 (88A) Purpose, scope and definitions 62.2(88A) Design criteria 62.3(88A) Concession booth requirements 62.4(88A) Walking surfaces, access and

egress 62.5 and 62.6 Reserved 62. 7(88A) Signal systems 62.8(88A) Hazardous materials 62.9 Reserved 62.10(8SA) General environment 62.11(88A) Medical and first aid 62.12(88A) Fire protection 62.13(88A) Compressed gas and air equip

ment 62.14 Reserved 62.15(88A) Machinery and machine

guarding 62.16 Reserved 62.17(88A) Welding, cutting and brazing 62.18(88A) Operations 62.19(88A) Electrical


ELEVATOR DIVISION CHAPTER 71

ADMINISTRATION 71.1 (89A) Definitions 71.2(89A) Inspections 71.3(89A) Accident reports 71.4(89A) Registration of facilities 71.5(89A) Special inspector qualifica-

tions and limitations

CHAPTER 72 NEW INSTALLATIONS

72.1 (89A) Purpose and scope 72.2(89A) Definitions 72.3(89A) Hoistways, hoistway

enclosures and related construction for electric elevators

72.4(89A) Machinery and equipment for

72.5(89A) 72.6(89A) 72.7(89A) 72.8(89A) 72.9(89A) 72.10(89A) 72.11(89A)

electric elevators Hydraulic elevators Power sidewalk elevators Hand elevators Hand and power dumbwaiters Escalators Moving walks Acceptance and periodic tests

and inspections of elevators, dumbwaiters, escalators and moving walks

72.12(89A) Engineering and type tests 72.13(89A) Alterations, repairs and

replacements 72.14(89A) Design data and formulas 72.1 5(89A) Power operated special purpose

elevators 72.16(89A) Hand powered special purpose

elevators 72.17(89A) Handicapped applications 72.18(89A) Handicapped restricted use

elevators

CHAPTER 73 EXISTING FACILITIES

73.1(89A) Purpose and scope 73.2(89A) Hoistways 73.3(89A) Car enclosures: Passenger 73.4(89A) Car enclosures: Freight 73.5(89A) Brakes 73.6(89A) Machines 73.7(89A) Electrical switches 73.8(89A) Maintenance, repair and

alterations 73.9(89A) Machine rooms

Analysis, p.4 Labor Services[347] lAC 5/6/87

73.10(89A) Pits CHAPTER 78 ~ 73.11(89A) Counterweights HEARINGS AND APPEALS 73.12(89A) Car platforms and car slings 78.1(89A) Purpose and scope 73.13(89A) Wire ropes-hoisting, governor 78.2(89A) Definitions

and tiller 78.3(89A) Requests for hearings 73.14(89A) Car safeties and speed governors 78.4(89A) Consolidation of proceedings 73.15(89A) Guide rails 78.5(89A) Notice of hearing 73.16(89A) Existing hydraulic elevators 78.6(89A) Manner of service 73.17(89A) Existing sidewalk elevators 78.7(89A) Hearing examiner; powers and 73.18(89A) Hand elevators duties 73.19(89A) Power operated special purpose 78.8(89A) Prehearing conferences

elevators 78.9(89A) Decisions of commissioner 78.10(89A) Appeals

\...) CHAPTER 74 CHAPTERS 79 and 80

EXISTING ESCALATORS, MOVING Reserved WALKS AND DUMBW AlTERS

74.1(89A) Escalators CHAPTER 81 74.2(89A) Moving walks ASBESTOS CONTROL PROCEDURES 74.3(89A) Dumbwaiters 81.1(888) Definitions

81.2(88B) Control of NESHAP sources CHAPTER 75 81.3(888) Control of asbestos

FEES 75.1(89A) New installations CHAPTER 82 75.2(89A) Major alterations LICENSING OF BUSINESS ENTITIES, 75.3(89A) Annual inspections LICENSING OF TRAINING COURSES,

\,./ 75.4(89A) Operating permits AND WORKER CERTIFICATION 75.5(89A) Temporary operating permits 82.1(888) Definitions

82.2(888) Business entity licensing CHAPTER 76 82.3(888) License application

PERMITS 82.4(888) Notification 76.1(89A) Owner's responsibility 82.5(88B) Removal or encapsulation 76.2(89A) Information to be submitted project records 76.3(89A) Drawings and specifications 82.6(888) Employee exposure records 76.4(89A) Placement of operating 82.7(88B) Medical examinations required

permits for licensure 76.5(89A) Posting of installation or 82.8(88B) Respiratory protection program

major alteration permits required for licensure 76.6(89A) Temporary permits 82.9(888) Safety and health training

\.,J 76.7(89A) Alterations courses licensing 82.10(88B) Worker certification

CHAPTER 77 82.11 (88B) Effective date VARIANCES

77.1(89A) Purpose and scope CHAPTERS 83 to 95 77.2(89A) Permanent variance and Reserved

interim order 77.3(89A) Temporary variance CHAPTER 96 77.4(89A) Form of documents and PROFESSIONAL WRESTLING

copies 96.1(90A) Limitation of bouts 77.5(89A) Modification and revocation 96.2(90A) Fall

of variance orders 96.3(90A) Out-of-bounds 77.6(89A) Action on applications 96.4(90A) Disqualification \..,)

lAC 5/6/87 Labor Services[347] Analysis, p.S

~ 96.5(90A) Failure to break hold 97.34(90A) Chief second 96.6(90A) Prohibition against hanging 97.35(90A) Naming referee

on 97.36(90A) Reasons for stopping bout 96.7(90A) Abusing referee 97.37(90A) Forfeit of purse 96.8(90A) Prohibited materials in ring 97.38(90A) Inspection for foreign 96.9(90A) Contestants' grooming substances 96.10(90A) Time between falls 97.39(90A) Shaking hands 96.11(90A) Contestants' arrival 97.40(90A) Assessing fouls 96.12(90A) Contestants of the opposite 97.41(90A) Delaying prohibited

sex prohibited 97.42(90A) Count 96.13(90A) Separation of boxing and 97.43(90A) Intentional foul

wrestling 97.44(90A) Use of the ropes

'-...~ 96.14(90A) Public safety 97.45(90A) Attending ring physician 96.15(90A) Health of wrestler 97.46(90A) Technical knockout 96.16(90A) Wrestling outside of ring 97.47(90A) Timekeeper 96.17(90A) Advertising 97.48(90A) Seconds 96.18(90A) Responsibility of promoter 97.49(90A) Requirements for seconds

97.50(90A) Use of water CHAPTER 97 97.51(90A) Stopping the fight

PROFESSIONAL BOXING 97.52(90A) Removing objects from ring 97.1(90A) Limitation of rounds 97.53(90A) Decision 97.2(90A) Weight restrictions 97.3(90A) Age restrictions CHAPTER 98 97.4(90A) Injury ELIMINATION TOURNAMENTS 97.5(90A) Knockdown 98.1(90A) Purpose and scope 97.6(90A) Limitation on number of 98.2(90A) Bouts, rounds and rest

'-1 bouts periods 97.7(90A) Contestants' arrival 98.3(90A) Protective equipment 97.8(90A) Persons allowed in the ring 98.4(90A) Weight restrictions 97.9(90A) Protection of hands 98.5(90A) Down 97.10(90A) Scoring 98.6(90A) Suspension 97.11(90A) Gloves 98.7(90A) Training requirements 97.12(90A) Proper attire 98.8(90A) Judges 97.13(90A) Use of substances 98.9(90A) Public safety 97.14(90A) "Down" 98.10(90A) Impartiality of timekeeper 97.15(90A) Foul 98.11(90A) Ringside 97.16(90A) Penalties 98.12(90A) Physical examination-Female 97.17(90A) Weight classes contestants

\.:) 97 .18(90A) Attendance of commissioner 98.13(90A) Contestants of opposite sex 97.19(90A) Weighing of contestants prohibited 97.20(90A) Officials 97.21(90A) General requirements CHAPTER 99 97.22(90A) Public safety AMATEUR BOXING 97.23(90A) Excesive coaching 99.1(90A) Purpose 97.24(90A) Abusive language 99.2(90A) Application 97.25(90A) Locker rooms 99.3(90A) Verification 97.26(90A) Contracts 99.4(90A) Forms 97.27(90A) Ring requirements

CHAPTERS 100 to 109 97.28(90A) Ring posts 97.29(90A) Ropes Reserved 97.30(90A) Ring floor

~ 97.31(90A) Bell 97.32(90A) Gloves 97.33(90A) Referee's duties

Analysis, p.6 Labor Services[347] lAC 5/6/87

CHAPTER 110 HAZARDOUS CHEMICAL RISKS

RIGHT TO KNOW -GENERAL PROVISIONS

110.1(88,89B) Purpose, scope and application

110.2(88,89B) Definitions 110.3(88,89B) Hazard determination 110.4(88,89B) Labels and other forms of

warning 110.5(88,89B) Material safety data sheets 110.6(88,898) Trade secrets 110. 7(88,89B) Effective dates


CHAPTER 120 WORKER RIGHT TO KNOW

120.1(88,89B) Worker right to know 120.2(88,89B) Hazard determination 120.3(88,89B) Written hazard communica-

tion program 120.4(88,89B) Labels and other forms of

warning 120.5(88,89B) Material safety data sheets

procedures are at 347-110.5(88,898)

120.6(88,89B) Employee information and training

120.7 Reserved 120.8(88,898) Discrimination 120.9(88,898) Conduct of inspections 120.10(88,898) Trade secret, medical

emergency 120.11 (88,898) General procedures for cita

tion, penalties, and appeal 120.12(88,898) Effective date


CHAPTER 130 COMMUNITY RIGHT TO KNOW

130.1(898) Employer's duty 130.2(898) Records accessibility 130.3(898) Application for exemption 130.4(898) Burden of proof and criteria 130.5(898) Formal ruling 130.6(898) Requests for information 130.7(898) Filing with division 130.8(898) Grounds for complaint

against the employer

130.9(898)

130.10(898) 130.11(898)

Investigation or inspection upon complaint

Order to comply Effective date

CHAPTER 131 to 139 Reserved

CHAPTER 140 PUBLIC SAFETY /EMERGENCY RESPONSE RIGHT TO KNOW

140.1(898) Signs required and adoption

140.2(898)

140.3(898)

140.4(898) 140.5(898)

140.6(89B)

by reference Employer variance

applications Agreement between an

employer and fire department

Significant amounts Information submitted to

local fire department Recommended

communications 140. 7(898) Procedure for noncompliance 140.8(898) Notice of noncompliance 140.9(88,898) Effective date

~

~

~

'..J

\..-)

lAC 5/6/87 Labor Services[347]

ADMINISTRATION CHAPTER 1

DESCRIPTION OF ORGANIZATION AND PROCEDURES BEFORE THE DIVISION

(Prior to 9/24/86, Labor, Bureau of (SJO))

Ch 1, p.1

347-1.1(91) Definitions. The definitions of terms in Iowa Code section 17A.2 shall apply to these terms as they are used throughout this chapter. In addition, as used in this chapter:

ucommissioner,, means the labor commissioner of the division of labor services. uDivision, means the division of labor services of the department of employment services.

347-1.2(91) Scope and application. This chapter describes the organization of the bureau, the laws it enforces, and the methods by which and location where the public may obtain information or make submissions or requests.

347-1.3(91) Department of employment services, division of labor services. The division is the office of the commissioner and consists of the commissioner and those employees who discharge the duties and responsibilities imposed upon the commissioner by the laws of this state. The commissioner has control, supervision and authority to enforce the following chapters of the Iowa Code: Chapter 88, Iowa Occupational Safety and Health Act; Chapter 88A, Safety Inspection of Amusement Rides; Chapter 88B, Removal or Encapsulation of Asbestos; Chapter 89, Boiler Inspections; Chapter 89A, State Elevator Code; Chapter 89B, Hazardous Chemicals Risks-Right to Know; Chapter 90A, Boxing and Wrestling; Chapter 91A, Wage Payment Collection Law; Chapter 91B, Employee Health Benefit Plans; Chapter 92, Child Labor; Chapters 94 and 95, License for Employment Agencies; Section 327F.37, Sanitation and Shelter for Railway Employees. The division consists of four bureaus: Occupational Safety and Health Enforcement Bureau (enforces occupational safety and health rules in workplaces through inspections based on accidents, complaints, and programmed inspections); Occupational Safety and Health Consultation and Education Bureau (conducts occupational safety and health inspections at the request of an employer and conducts educational programming); Inspections and Reporting Bureau (conducts amusement rides, elevator and boiler inspections and maintains statistical information on the worker's illnesses and injuries and the division's inspection activities); and Employee Protection Bureau (responsible for child labor, wage payment and collection, employment agency licensing, workplace standards, asbestos removal and encapsulation contractor licensing and worker certification, and community and emergency response right to know). The licensing and supervision of professional boxing and wrestling is the reponsibility of the commissioner. Information may be obtained and submission or requests may be made by contacting the Department of Employment Services, Division of Labor Services, 1000 East Grand Avenue, Des Moines, Iowa 50319. The telephone number is (51 5) 281-3606. All correspondence and payment of fees and costs relating to the division shall be submitted directly to the division.

347-1.4(17A) Petition for rulemaking. 1.4(1) Form for petition. Any person or agency may file a petition for rulemaking with

the division at the office of the division. A petition is deemed filed when it is received by the commissioner. The division will provide the petitioner with a file-stamped copy of the petition if the petitioner provides the division an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:

Ch 1, p.2 Labor Services[347] lAC 9/24/86

DIVISION OF LABOR SERVICES

Petition by (Name of Petitioner)

for the (adoption, amendment, or : PETITION FOR

repeal) of rules relating to RULE MAKING

(state subject matter).

The petition must provide the following information: 1. A statement of the specific rulemaking action sought by the petitioner including the text

or a summary of the contents of the proposed rule or amendment of a rule and, if it is a petition to amend or repeal a rule, a citation and the relevant language to the particular portion or portions of the rule proposed to be amended or repealed.

2. A citation to any law deemed relevant to the division's authority to take the action urged or to the desirability of that action.

3. A brief summary of petitioner's arguments in support of the action urged in the petition. 4. A brief summary of any data supporting the action urged in the petition. 5. The names and addresses of other persons, or a description of any class of persons, known I.....J

by petitioner to be affected by, or interested in, the proposed action which is the subject of the petition.

6. Any request by petitioner for a meeting provided for by 1.4(4). The petition must be dated and signed by the petitioner or the petitioner's representative.

The petition must also include the name, mailing address, and telephone number of the petitioner or petitioner's representative, and a statement indicating the person to whom communications concerning the petition should be directed.

The division may deny a petition because it does not substantially conform to the required form.

1.4(2) Briefs. The petitioner may attach a brief to the petition in support of the action urged in the petition. The division may request a brief from the petitioner or from any other person concerning the substance of the petition. \..,!

1.4(3) Inquiries. Inquiries concerning the status of a petition for a rulemaking may be made to deputy labor commissioner at the division.

1.4(4) Division consideration. Within fourteen (14) days after the filing of a petition, the division will submit a copy of the petition and any accompanying brief to the administrative rules coordinator and to the administrative rules review committee. Upon request by petitioner in the petition, the division will schedule a brief and informal meeting between the petitioner and the commissioner or a member of the staff of the division, to discuss the petition. The division may request the petitioner to submit additional information or argument concerning the petition. The division may also solicit comments from any person on the substance of the petition. Also, comments on the substance of the petition may be submitted to the division by any person.

Within sixty (60) days after the filing of the petition, or within any longer period agreed -to by the petitioner, the division will, in writing, deny the petition, and notify the petitioner \...,) of the division's actions and the specific grounds for the denial, or grant the petition and notify the petitioner that it has instituted rulemaking proceedings on the subject of the petition. The

lAC 5/6/87 Labor Services[347] Ch 2, p.1

347-1.7(17A) Notice of contested cases. In addition to the methods of notice as specified in Iowa Code section 17A.12(1), notice may be delivered by first class return receipt requested.

[Filed 12/15/75, Notice 10/6/75-published 12/29/75, effective 2/4176] [Filed emergency 11/20/79-published 12/12/79, effective 11120179]


IOWA OCCUPATIONAL SAFETY AND HEALTH CHAPTER 2

IOSH ENFORCEMENT, IOSH RESEARCH AND STATISTICS, IOSH CONSULTATION AND EDUCATION

(Prior 9/24/86, Labor, Bureau of (530) ch 2)

347-2.1(88) Scope and application. This chapter describes the procedures, functions, and personnel of the bureaus and sections of the division of labor services of the department of employment services: (1) JOSH Enforcement; (2) IOSH Research and Statistics; (3) IOSH Private Sector Consultative Services; (4) JOSH Public Sector Consultative Services and (5) JOSH Education. Substantive rules for each of these divsions are located in chapters 3, 4, 5, 8, 9, 10, 26, 27, 28, 110, and 120.

347-2.2(88) JOSH enforcement. This bureau is responsible for the administration and enforcement of the Iowa Occupational Safety and Health Act, Iowa Code chapter 88 and chapter 455D, division II. It consists of an JOSH administrator (bureau chief), labor safety officers, and compliance safety and health officers.

2.2(1) Personnel. a. IOSH administrator (bureau chieO. The bureau chief supervises and coordinates all activi

ties in this bureau. All inquiries to this bureau should be directed to the JOSH administrator. b. Labor safety officers (LSOs). LSOs are responsible for planning, development, and

administration of comprehensive safety and health enforcement programs. The two LSOs are the supervisors of the two sections; the occupational safety enforcement section and the occupational health enforcement section. They also have direct supervision over the activities of the compliance safety and health officers.

c. Compliance safety and health officers (CSHOs). CSHOs are responsible for inspecting places of employment for compliance with the Iowa Occupational Safety and Health Act and the Hazardous Chemicals Risks Right to Know Act, division II.

2.2(2) Reserved.

347-2.3(88) JOSH research and statistics. This section of the inspections and reporting bureau is responsible for assisting the commissioner in developing and maintaining an effective program of collection, compilation, and analysis of occupational safety and health statistics including worker illnesses and injuries and activity measures of the division of labor services. It consists of a supervisor of research and statistics and a support staff to assist in the statistical work. All inquiries to this section should be made to the chief of the inspections and reporting bureau.

347-2.4(88) JOSH private sector consultative services. This section of the consultation and education bureau is responsible for developing and directing an on-site consultative service program for employers in the private sector (nongovernmental employers). The section conducts consultations at workplaces to assist employers in the recognition and correction of workplace hazards and potential violations of the Iowa Occupational Safety and Health Act and the Hazardous Chemicals Risks Right to Know Act, division II. The section consists of a chief of the consultation and education bureau and safety and health consultants. The safety and health consultants conduct workplace consultative visits. This section operates under the


rules in 347-chapter 8. All inquiries to this section and requests for services shall be made ~ to the chief of the consultation and education bureau.

347-2.5(88) JOSH public sector consultative services. This section is responsible for conducting on-site consultative visits for public sector employers to assist them in providing safe and healthful workplaces for their employees. The public sector consists of any governmental agency or political subdivision. The section's services are the same as IOSH private sector consultative services. All inquiries to this section should be made to the chief of the consultation and education bureau.

347-2.6(88) JOSH education. This section is responsible for conducting educational programs for any interested group. The dissemination of OSHA publications and materials are handled by this section. All inquiries to this section should be made to the chief of the consul-tation and education bureau. ~

[Filed 12/15/75, Notice 10/6/75-published 12/29/75, effective 2/4/76] [Filed emergency 11/20/79-published 12/12/79, effective 11/20/79]


'-"I

lAC 5/6/87 Labor Services[347] Ch 3, p.l

CHAPTER 3 INSPECTIONS, CITATIONS AND PROPOSED PENALTIES

(Prior to 9/24/86, Labor, Bureau of (530))

347-3.1(88) Posting of notice; availabiliy of the Act, regulations and applicable standards. 3.1(1) Each employer shall post and keep posted a notice or notices informing employees

of the protections and obligations provided for in the Act, and that for assistance and information, including copies of the Act and of specific safety and health standards, employees should contact the employer or the department of employment services, division of labor services. The notice or notices shall be posted by the employer in each establishment in a conspicuous place or places where notices to employees are customarily posted. Each employer shall take steps to ensure that such notices are not altered, defaced or covered by other materials. The notice or notices will be furnished by the occupational safety and health bureau of the division of labor services.

Reproductions or facsimilies of the state poster shall constitute compliance with the posting requirements of Iowa Code section 88.6(3) "a, where such reproductions or facsimilies are at least 8Yl inches by 14 inches, and the printing size is at least lO point. Whenever the size of the poster increases, the size of the print shall also increase accordingly. The caption or heading on the poster shall be in large type, generally not less than 36 point.

3.1(2) "Establishment" means a single physical location where business is conducted or where services or industrial operations are performed. (For example: A factory, mill, store, hotel, restaurant, movie theatre, farm, ranch, bank, sales office, warehouse, central administrative office or governmental agency or subdivision thereof.) Where distinctly separate activities are performed at a single physical location (such as contract construction activities from the same physical location as a lumber yard), each activity shall be treated as a separate physical establishment, and a separate notice or notices shall be posted in each such establishment, to the extent that such notices have been furnished by the Occupational Safety and Health Administration, U.S. Department of Labor, or the division of labor services. Where employers are engaged in activities which are physically dispersed, such as agriculture, construction, transportation, communications and electric, gas and sanitary services, the notice or notices required by this rule shall be posted at the location to which employees report each day. Where employees do not usually work at, or report to, a single establishment, such as harbor workers, traveling salespersons, technicians, engineers, and similar personnel, such notice or notices shall be posted at the location from which the employees operate to carry out their activities. In all cases, such notice or notices shall be posted in accordance with the requirements of subrule 3.1(1).

3.1(3) Copies of the Act, all regulations published in this chapter and all applicable safety and health rules are available from the division of labor services. If an employer has obtained copies of these materials from the division of labor services or the U.S. Department of Labor, the employer shall make them available upon request to any employee or authorized employee representative for review in the establishment where the employee is employed on the same day the request is made or at the earliest time mutually convenient to the employee or authorized employee representative and the employer.

3.1(4) Any employer failing to comply with the provisions of this rule shall be subject to citation and penalty in accordance with the provisions of Iowa Code section 88.14.

This rule is intended to implement Iowa Code section 88.6(3) "a.,

347-3.2(88) Objection to inspection. 3.2(1) Upon a refusal to permit a compliance safety and health officer, in the exercise of

official duties, to enter without delay and at reasonable times any place of employment or any place therein, to inspect, to review records or to question any employer, owner, operator, agent or employee, or to permit a representative of employees to accompany the compliance safety and health officer during the physical inspection of any workplace, the compliance safety and health officer shall terminate the inspection or confme the inspection to other areas, conditions, structures, machines, apparatus, devices, equipment, materials, records or interviews con-


cerning which no objection is raised. The compliance safety and health officer shall endeavor to ascertain the reason for such refusal and shall immediately report the refusal and the reason therefor to the labor commissioner or the commissioner's designee. The labor commissioner shall promptly take appropriate action, including compulsory process, if necessary.

3.2(2) Compulsory process shall be sought in advance of an attempted inspection or investigation if, in the judgment of the labor commissioner or a designee, circumstances exist which make such preinspection process desirable or necessary. Some examples of circumstances in which it may be desirable or necessary to seek compulsory process in advance of an attempt to inspect or investigate include (but are not limited to):

a. When the employer's past practice either implicitly or explicitly puts the commissioner on notice that a warrantless inspection will not be allowed, or

b. When an inspection includes the use of special equipment or when the presence of an expert or experts is needed in order to properly conduct the inspection, and procuring a warrant prior to an attempt to inspect would alleviate the difficulties or costs encountered in co-ordinating the availability of such equipment or expert.

3.2(3) For the purposes of this rule, the term "compulsory process" shall mean the institution of any appropriate action, including ex parte application for an inspection warrant or its equivalent. Ex parte inspection warrants shall be the preferred form of compulsory process in all circumstances where compulsory process is relied upon to seek entry to a workplace under this rule.

This rule is intended to implement Iowa Code section 88.6(1).

347-3.3(88) Entry not a waiver. Any permission to enter, inspect, review records or question any person shall not imply or be conditioned upon a waiver of any cause of action, citation or penalty under the Act. Compliance safety and health officers are not authorized to grant any such waiver.


347-3.4(88) Advance notice of inspections. 3.4(1) Advance notice of inspections may not be given, except in the following situations: a. In cases of apparent imminent danger, to enable the employer to abate the danger

as quickly as possible; . b. In circumstances where the inspection can most effectively be conducted after regular

business hours or where special preparations are necessary for an inspection; c. Where necessary to assure the presence of representatives of the employer and

employees or the appropriate personnel needed to aid in the inspection; and d. In other circumstances where the labor commissioner or the commissioner's designee

determines that the giving of advance notice would enhance the probability of an effective and thorough inspection.

3.4(2) In situations described in 3.4(1) advance notice of inspections may be given only if authorized by the labor commissioner or the commissioner's designee, except that in cases of apparent imminent danger, advance notice may be given by the compliance safety and health officer without such authorization if the labor commissioner or the commissioner's designee is not immediately available. When advance notice is given, it shall be the employer's responsibility promptly to notify the authorized representative of employees of the inspection, if the identity of the representative is known to the employer. Upon the request of the employer, the compliance safety and health officer will inform the authorized representative of employees of the inspection, provided that the employer furnishes the compliance safety and health officer with the identity of the representative and with other information as is necessary to enable the compliance safety and health officer promptly to inform the representative of the inspection. An employer who fails to comply with the obligation under this paragraph promptly to inform the authorized representative of employees of the inspection or to furnish such information as is necessary to enable the compliance safety and health officer promptly to inform the representative of the inspection, may be subject to citation and penalty under Iowa Code


\._,I section 88.14(3). Advance notice in any of the situations described in subrule 3.4(1) shall not be given more than twenty-four hours before the inspection is scheduled to be conducted, except in apparent imminent danger situations and in other unusual circumstances.

This rule is intended to implement Iowa Code sections 88.6(1) and 88.14(6).

347-3.5(88) Conduct of inspections. 3.5(1) Inspections shall take place at the times and in the places of employment as the labor

commissioner or the commissioner's designee may direct. At the beginning of an inspection compliance safety and health officers shall present their credentials to the owner, operator or agent in charge at the establishment; explain the nature and purpose of the inspection; and indicate generally the scope of the inspection and the records specified in 4.2(88), 4.4(88), and 4.5(1) which they wish to review. However, such designation of records shall not preclude

\.._.) access to additional records specified in 29 C.F.R, Chapter XVII, section 1903.3 and published in 36 Fed. Reg. 17850 (September 4, 1971).

3.5(2) Compliance safety and health officers shall have authority to take environmental samples and to take or obtain photographs related to the purpose of the inspection, employ other reasonable investigative techniques, and question privately any employer, owner, operator, agent or employee of the establishment. As used herein the term "employ other reasonable investigative techniques" includes, but is not limited to, the use of devices to measure employee exposures and the attachment of personal sampling equipment such as dosimeters, pumps, badges and other similar devices to employees in order to monitor their exposures.

3.5(3) In taking photographs and samples, compliance safety and health officers shall take reasonable precautions to insure that such actions with flash, spark-producing or other equipment would not be hazardous. Compliance safety and health officers shall comply with all employer safety and health rules and practices at the establishment being inspected, and they

\,.) shall wear and use appropriate protective clothing and equipment. 3.5(4) The conduct of inspections shall be such as to preclude unreasonable disruption of

the operations of the employer's establishment. 3.5(5) At the conclusion of the inspection, the compliance safety and health officer shall

confer with the employer or representative and informally advise the employer or representative of any apparent safety or health violations disclosed by the inspection. During the conference, the employer shall be afforded an opportunity to bring to the attention of the compliance safety and health officer any pertinent information regarding conditions in the workplace.

3.5(6) Inspections shall be conducted in accordance with the requirements of this chapter. This rule is intended to implement Iowa Code section 88.6(1).

347-3.6(88) Representatives of employers and employees. 3.6(1) Compliance safety and health officers shall be in charge of inspections and ques-

\._,) tioning of persons. A representative of the employer and a representative authorized by employees shall be given an opportunity to accompany the compliance safety and health officer during the physical inspection of any workplace for the purpose of aiding the inspection. A compliance safety and health officer may permit additional employer representatives and additional representatives authorized by employees to accompany the compliance safety and health officer where the compliance safety and health officer determines that the additional representatives will further aid the inspection. A different employer and employee representative may accompany the compliance safety and health officer during each different phase of an inspection if this will not interfere with the conduct of the inspection.

3.6(2) Compliance safety and health officers shall have authority to resolve all disputes as to who is the representative authorized by the employer and employees for the purpose of this rule. If there is no authorized representative of employees, or if the compliance safety and

I. J health officer is unable to determine with reasonable certainty who is the representative, the ,..... compliance safety and health officer should consult with a reasonable number of employees

concerning matters of safety and health in the workplace.


3.6(3) The representative(s) authorized by employees shall be an employee(s) of the \.,..) employer. However, if in the judgment of the compliance safety and health officer, good cause has been shown why accompaniment by a third party who is not an employee of the employer (such as an industrial hygienist or a safety engineer) is reasonably necessary to the conduct of an effective and thorough physical inspection of the workplace, the third party may accompany the compliance safety and health officer during the inspection.

3.6(4) Compliance safety and health officers are authorized to deny the right of accompaniment under this rule to any person whose conduct interferes with a fair and orderly inspection.


347-3. 7(88) Complaints by employees. 3. 7(1) Any employee or representative of employees who believes that a violation of the

Act exists in any workplace where the employee is employed may request an inspection of \..,) the workplace by giving notice of the alleged violation to the commisioner or a designee. Any such notice shall be reduced to writing, shall set forth with reasonable particularity the grounds for the notice, and shall be signed by the employee or representative of employees. A copy shall be provided the employer or agent by the commissioner's designee no later than at the time of inspection, except that, upon the request of the person giving the notice, the name and the names of individual employees referred to therein shall not appear in the copy or on any record published, released, or made available by the division of labor services.

3.7(2) If upon receipt of notification the commissioner or a designee determines that the complaint meets the requirements set forth in subrule 3. 7(1), and that there are reasonable grounds to believe that the alleged violation exists, an inspection shall be made as soon as practicable, to determine if the alleged violation exists. Inspections under this rule shall not be limited to matters referred to in the complaint.

3. 7(3) Prior to or during any inspection of a workplace, any employee or representative of ~· employees employed in the workplace may notify the compliance safety and health officer, in writing, of any violation of the Act which they have reason to believe exists in the workplace. Any such notice shall comply with the requirements of subrule 3.7(1).

347-3.8(88) Trade or governmental secrets. 3.8(1) At the commencement of an inspection, the employer may identify areas in the

establishment which contain or which might reveal trade or governmental secrets. If the compliance safety and health officer has no clear reason to question such identification, information obtained in such areas, including all negatives and prints of photographs and environmental samples, shall be labeled "confidential-trade/governmental secrets" and shall not be disclosed except in accordance with the provisions of Iowa Code section 88.12.

3.8(2) Upon the request of an employer, any authorized representative of employees in an . area containing trade or governmental secrets shall be an employee in that area or an employee '..I authorized by the employer to enter that area. Where there is no representative or employee, the compliance safety and health officer shall consult with a reasonable number of employees who work in that area concerning matters of safety and health.

This rule is intended to implement Iowa Code sections 88.6(1) and 88.12.

347-3.9(88) Imminent danger. Whenever and as soon as a compliance safety and health officer concludes on the basis of an inspection that conditions or practices exist in any place of employment which could reasonably be expected to cause death or serious physical harm immediately or before the imminence of such danger can be eliminated through the enforce-ment procedures otherwise provided by the Act, the affected employees and employers shall be notified as provided in Iowa Code section 88.11(3). Appropriate citations and notices of proposed penalties may be issued with respect to an imminent danger even though, after being\..,) informed of the danger by the compliance safety and health officer, the employer immediate-ly eliminates the imminence of the danger and initiates steps to abate the danger.

lAC 5/6/87 Labor Services[347] Ch 3, p.S

"..) 347-3.10(88) Consultation with employees. Compliance safety and health officers may consult with employees concerning matters of occupational safety and health to the extent that they deem necessary for the conduct of an effective and thorough inspection. During the course of an inspection, any employee shall be afforded an opportunity to bring any violation of the Act which the employee has reason to believe exists in the workplace to the attention of the compliance safety and health officer.


347-3.11(88) Posting of citations. 3.11(1) Upon receipt of any citation under the Act, the employer shall immediately post

the citation or a copy thereof, unedited, at or near each place an alleged violation referred to in the citation occurred, except as provided in this rule. Where, because of the nature of the employer's operations, it is not practicable to post the citation at or near ea~h place of

\.,.! alleged violation, the citation shall be posted, unedited, in a prominent _place where it will be readily observable by all affected employees. For example, where employers are engaged in activities which are physicallt dispersed, the citation may be posted at the location to which employees report each day. Where employees do not primarily work at or report to a single location, the citation may be posted at the location from which the employees operate to carry out their activities. The employer shall take steps to ensure that the citation is not altered, defaced or covered by other material. Notices of de minimis violations need not be posted.

3.11(2) Each citation or a copy thereof shall remain posted until the violation has been abated, or for three working days, whichever is later. The filing by the employer of a notice of intention to contest shall not affect the posting responsibility under this rule unless and until the appeal board issues a final order vacating the citation.

3.11(3) An employer to whom a citation has been issued may post a notice in the same \..._.,) location where such citation is posted indicatin_g that the citation is being contested before the

appeal board and the notice may explain the reasons for the contest. The employer may also indicate that specified steps have been taken to abate the violation.

3.11(4) Any employer failing to comply with the provisions of subrules 3.11(1) and 3.11(2) shall be subject to citation and penalty in accordance with the provisions of section 88.14.

This rule is intended to ill'!plement Iowa Code section 88. 7(2).

347-3.12(88) Informal conferences. At the request of an affected employer, employee, or representative of employees, the labor commissioner or the commissioner's designee may hold an informal conference for the purpose of discussing any issues raised by an inspection, citation, notice of proposed penalty, or notice of intention to contest. The settlement of any issue at the conference shall be subject to the rules of procedure prescribed by the appeal board.

\..,) If the conference is requested by the employer, an affected employee or the employee's representative shall be afforded an opportunity to participate, at the discretion of the labor commissioner or the commissioner's designee. If the conference is requested by an employee or representative of employees, the employer shall be afforded an opportunity to participate, at the discretion of the labor commissioner or the commissioner's designee. Any party may be represented by counsel at the conference. No conference or request for a conference shall operate as a stay of any fifteen-working-day period for filing a notice of intention to contest.

This rule is intended to implement Iowa Code section 17 A.3(1 )" b," and 17 A.IO.

347-3.13(88) Petitions for modification of abatement date. 3.13(1) An employer may file a petition for modification of abatement date when the

employer has made a good faith effort to comply with the abatement requirements of a citation, but such abatement has not been completed because of factors beyond its reasonable control.

\._,/ 3.13(2) A petition for modification of abatement date shall be in writing and shall include the following information: ·


a. All steps taken by the employer, and the dates of the action, in an effort to achieve com- ~ pliance during the prescribed abatement period.

b. The specific additional abatement time necessary in order to achieve compliance. c. The reasons the additional time is necessary, including the unavailability of professional

or technical personnel or of materials and equipment, or because necessary construction or alteration of facilities cannot be completed by the original abatement date.

d. All available interim steps being taken to safeguard the employees against the cited hazard during the abatement period.

e. A certification that a copy of the petition and notice informing affected employees of their rights to party status has been posted and, if appropriate, served on the authorized representative of affected employees, in accordance with 3.13{3) "a'' and a certification of the date upon which the posting and service was made. A notice in the following form shall be deemed to comply with this paragraph:

(Name of employer) ~ Your employer has been cited by the commissioner of labor for violation of the Iowa Occupa-

tional Safety and Health Act and has requested additional time to correct one or more of the violations. Affected employees are entitled to participate as parties under terms and conditions established by the Iowa employment appeal board in its rules of procedure. Affected employees or their representatives desiring to participate must file a written objection to the employer's petition with the commissioner of labor. Failure to file the objection within ten working days of the first posting of the accompanying petition and this notice shall constitute a waiver of any further right to object to the petition or to participate in any proceedings related thereto. Objections shall be sent to the commissioner's designee: IOSH Administrator, Occupational Safety and Health Bureau, Division of Employment Services, 1000 East Grand A venue, Des Moines, Iowa 50319. All papers relevant to this matter may be inspected at: {Place reasonably convenient to employees, preferably at or near workplace).

3.13(3) A petition for modification of abatement date shall be filed with the labor com- \.,.~' missioner or the commissioner's designee no later than the close of the next working day following the date on which abatement was originally required. A later-filed petition shall be accompanied by the employer's statement of exceptional circumstances explaining the delay.

a. A copy of the petition and a notice of employee rights complying with 3.13(2)"e" shall be posted in a conspicuous place where all affected employees will have notice thereof or near the location where the violation occurred. The petition and notice of employee rights shall remain posted for a period of ten (10) working days. Where affected employees are represented by an authorized representative, the representative shall be served with a copy of the petition and notice of employee rights.

b. Affected employees or their representatives may file an objection in writing to a petition with the labor commissioner or the commissioner's designee. Failure to flle the objection within ten (10) working days of the date of posting of the petition and notice of employee rights or of ~ j

service upon an authorized representative shall constitute a waiver of any further right to object ~ to the petition.

c. The labor commissioner or the commissioner's designee shall have the authority to approve any filed petition for modification of abatement date. Uncontested petitions shall become final orders pursuant to Iowa Code section 88.8.

d. The labor commissioner or the commissioner's designee shall not exercise approval power until the expiration of fifteen (l 5) working days from the date the petition and notice of employee rights were posted or served by the employer.

3.13(4) Where any petition is objected to by the labor commissioner or the commissioner's designee or affected employees, the petition, citation, and any objections shall be forwarded to the employment appeal board within three (3) working days after the expiration of the fifteen (15)-day period set out in subrule 3.13(3)"d.,

This rule is intended to implement Iowa Code section 88.8. ~....../


347-3.14(88) Definitions. The definitions and interpretations contained in Iowa Code section 88.3 shall be applicable to the terms when used in this chapter. As used in this chapter unless the context clearly requires otherwise:

uAct" means the Iowa Occupational Safety and Health Act of 1972, Iowa Code chapter 88. ucompliance safety and health officer" means a person authorized by the labor commis

sioner of the department of employment services, division of labor services, to conduct inspections.

ulnspection" means any inspection of an employer's factory, plant, establishment, construction site or other area, workplace or environment where work is preformed by an employee of an employer, and includes any inspection conducted pursuant to a filed complaint, and any follow-up inspection, accident investigation or other inspections conducted under the Act.

uworking days" means Mondays through Fridays but shall not include Saturdays, Sundays or federal or state holidays. In computing 15 working days, the day of receipt of any notice shall not be included, and the last day of the 15 working days shall be included.

This rule is intended to implement Iowa Code sec~ion 88.6.

347-3.15(88) Occupational safety and health bureau forms. 3.15(1) IOSH-2 Form: Citation and Notification of Penalty. 3.15(2) IOSH-28 Form: Notification of Failure to Correct. 3.15(3) IOSH-7 Form: Complaint. 3.15(4) IOSH-8 Form: Notice of Alleged Imminent Danger. 3.15(5) IOSH-9 Form: Abatement Notice. (These forms are being omitted from this publication. For copies of forms contact Divi

sion of Labor Services, 1000 East Grand Avenue, Des Moines, Iowa 50319.) These rules are intended to implement Iowa Code chapters 17 A and 88 and sections 84A.1,

84A.2 and 88.2. [Filed August 29, 1972]

[Filed 12/15/75, Notice 10/6/75-published 12/29/75, effective 2/4/76] [Filed emergency 11/20/79-published 12/12/79, effective 11/20179]

[Filed 1131180, Notice 12/26/79-published 2/20/80, effective 3/28/80) [Filed 7/1183, Notice 5/11183-published 7/20/83, effective 9/1183]



Ch 4, p.l Labor Services[347] lAC 5/6/87

CHAPTER 4 \..,.) RECORDING AND REPORTING OCCUPATIONAL INJURIES AND ILLNESSES

[Prior to 9/24/86, Labor, Bureau or (530))

347-4.1(88) Purpose and scope. These rules provide for recordkeeping and reporting by employers covered under Iowa Code chapter 88 as necessary or appropriate for enforcement of the Act, for developing information regarding the causes and prevention of occupational accidents and illnesses, and for maintaining a program of collection, compilation and analysis of occupational safety and health statistics.

347-4.2(88) Log and summary of occupational injuries and illnesses. 4.2(1) Each employer shall, except as provided in 4.2(2): (1) Maintain in each establishment

a log and summary of all recordable occupational injuries and illnesses for that establishment; and (2) enter each recordable injury and illness on the log and summary as early as practicable but no later than six working days after receiving information that a recordable injury or illness has occurred. For this purpose, Form OSHA No. 200 or an equivalent which is as readable and comprehensible to a person not familiar with it shall be used. The log and summary shall be completed in the detail provided in the form and instructions on form OSHA No. 200.

4.2(2) Any employer may maintain the log and summary of occupational injuries and illnesses at a place other than the establishment or by means of data-processing equipment, or both, under the following circumstances:

a. There is available at the place where the log and summary is maintained sufficient information to complete the log and summary to a date within six working days after receiving information that a recordable case has occurred, as required by 4.2(1).

b. At each of the employer's establishments, there is available a copy of the log and summary which reflects separately the injury and illness experience of that establishment complete and current to a date within 45 calendar days.

347-4.3(88) Records. Records shall be established on a calendar year basis.

347-4.4(88) Supplementary record. 4.4(1) In addition to the log and summary of occupational injuries and illnesses provided

for under rule 4.2(88), each employer shall have available for inspection at each establishment within six working days after receiving information that a recordable case has occurred, a supplementary record for each occupational injury or illness for that establishment. The record shall be completed in the detail prescribed in the instructions accompanying Occupational Safety and Health Administration OSHA Form No. 101. Workers' compensa-tion, insurance or other reports are acceptable alternative records if they contain the informa-

~

\...!

tion required by OSHA Form No. 101. The state of Iowa Form L-1/WC-1 meets the above requirements. If no acceptable alternative record is maintained for other purposes, OSHA ~ Form No. 101 shall be used or the necessary information shall be otherwise maintained.

4.4(2) All employers shall report in writing to the Iowa industrial commissioner of the department of employment services, division of industrial services, any occupational injury or illness which temporarily disables an employee for more than three days or which results in permanent total disability, permanent partial disability or death. This report shall be made within four days from such event when such injury or illness is alleged by the employee to have been sustained in the course of the employee's employment. The form to be used for reporting under this subrule is the Iowa Form No. L-1/WC-1(309-5012). A report to the department of employment services, division of industrial services, is considered to be a report to the department of employment services, division of labor services. The division of industrial services shall forward all reports to the division of labor services. This rule does not excuse employers from notifying the division of labor services of fatality or multiple hospitaliza-tion accidents as required by rule 347-4.8(88). I....,J


347-4.5(88) Annual summary. ~ 4.5(1) Each employer shall post an annual summary of occupational injuries and ill·

nesses for each establishment. This summary shall consist of a copy of the year's totals from the form OSHA No. 200 and the following information from that form: Calendar year covered, company name, establishment name, establishment address, certification signa· ture, title, and date. A form OSHA No. 200 shall be used in presenting the summary. If no injuries or illnesses occurred in the year, zeros must be entered on the totals line, and the form must be posted.

4.5(2) The summary shall be completed by February 1 of each year. 4.5(3) Each employer, or the officer or employee of the employer who supervises the

preparation of the log and summary of occupational injuries and illnesses, shall certify that the annual summary of occupational injuries and illnesses is true and complete. The certi· fication shall be accomplished by affixing the signature of the employer, or the officer or

\...,..) employee who supervises the preparation of the annual summary of occupational injuries and illnesses, at the bottom of the last page of the log and summary or by appending a separate statement to the log and summary certifying that the summary is true and complete.

4.5(4) Each employer shall post a copy of the establishment's summary in each estab· Iishment in the same manner that notices are required to be posted in 3.1(88). The sum· mary covering the previous calendar year shall be posted no later than February 1, and shall remain in place until March 1. For employees who do not primarily report for work at a single establishment, or who do not report to any fixed establishment on a regular basis, employers shall satisfy this posting requirement by presenting or mailing a copy of the sum· mary portion of the log and summary during the month of February of the following year to each such employee who receives pay during that month. For multiestablishment employers where operations have closed down in some establishments during the calendar year, it will

. not be necessary to post summaries for those establishments. \,./ A failure to comply with the requirements of this rule may result in the issuance of citations

and assessment of penalties pursuant to Iowa Code sections 88.7 and 88.14.

347-4.6(88) Retention of records. Records provided for in rules 4.2(88), 4.4(88), and 4.5(88) shall be retained in each establishment for five years following the end of the year to which they relate.

347-4. 7(88) Access to records. 4. 7(1) Each employer shall provide, upon request, records provided for in rules 4.2(88),

4.4(88), and 4.5(88) for inspection and copying by any representative of the labor commis· sioner for the purpose of carrying out the provisions of the Act, and by authorized representatives of the Secretary of Labor or of the Secretary of Health and Human Services.

4.7(2) Log and summary. \.._,) a. The log ~d summary of all recordable occupational injuries and illnesses (OSHA No.

200) (the log) provided for in 4.2(88) shall, upon request, be made available by the employer to any employee, former employee, and to their representatives for examination and copying in a reasonable manner and at reasonable times. The employee, former employee, and their representatives shall have access to the log for any establishment in which the employee is or has been employed.

b. Nothing in this rule shall be deemed to preclude employees and employee representatives from collectively bargaining to obtain access to information relating to occupational injuries and illnesses in addition to the information made available under this rule.

c. Access to the log provided under this rule shall pertain to all logs retained under the requirements of 4.6(88).

This rule is intended to implement Iowa Code sections 17A.3 and 88.6(3).


347-4.8(88) Reporting of fatality or multiple hospitalization accidents. Within forty-eight '-J hours after the occurrence of an employment accident which is fatal to one or more employees or which results in hospitalization of five or more employees, the employer of any employees so injured or killed shall report the accident either orally or in writing to the division of labor services. The reporting may be by telephone or telegraph. The report shall relate the circumstances of the accident, the number of fatalities and the extent of any inju-ries. The labor commissioner may require such additional reports, in writing or otherwise, as deemed necessary, concerning the accident.

Hospitalization as used herein means: To be sent to; or to be admitted to a hospital or an equivalent medical facility. Therefore, an employment accident which resulted in the hospitalization of five or more employees must be reported whether or not treatment was provided and without regard to the length of stay in the hospital.

This rule is intended to implement Iowa Code section 88.18. ~

347-4.9(88) Falsification or failure to keep records or reports. Falsification of or failure to maintain records or file reports as required by this chapter, or in the details required by forms and instructions issued under this chapter, may result in the issuance of citations and assessment of penalties as provided for in Iowa Code sections 88.7, 88.8 and 88.14.

347-4.10(88) Change of ownership. Where an establishment has changed ownership, the employer shall be responsible for maintaining records and filing reports only for that period of the year during which that employer owned the establishment. However, in the case of any change of ownership, the employer shall preserve those records, if any, of the prior ownership which are required to be kept under this chapter. The records shall be retained at each establishment to which they relate, for the period or remainder thereof, required under rule 4.6(88). '.ri

4.11 Reserved. rrransrerred to 4.18(88) lAC 11128179)

347-4.12(88) Petitions for recordkeeping exceptions. 4.12(1) Submission of petition. Any employer who wishes to maintain records in a man

ner different from that required by this chapter may submit a petition containing the information specified in subrule 4.12(3) to the Regional Commissioner, Bureau of Labor Statistics, BLS Regional Office, Kansas City, Missouri. State and local governmental units in Iowa shall submit their petitions to the labor commissioner of the division of labor services.

4.12(2) Opportunity for comment. Affected employees or their representatives shall have an opportunity to submit written data, views or arguments concerning the petition to the labor commissioner or BLS regional commissioner within ten working days following the receipt of notice under 4.12(3)"e".

4.12(3) Contents of petition. A petition filed under 4.12(1) shall include: a. The name and address of the applicant; b. The address of the place or places of employment involved; c. Specifications of the reasons for seeking relief; d. A description of the different recordkeeping procedures which are proposed by the

applicant; e. A statement that the applicant has informed affected employees of the petition by giving

a copy thereof to them or to the authorized representative or by posting a statement giving a summary of the petition and by other appropriate means. A statement posted pursuant to this paragraph shall be posted in each establishment in the same manner that notices are required to be posted under rule 3.1(88). The applicant shall also state that affected employees have been informed of their rights under subrule 4.12(2);

f. In the event an employer has more than one establishment the employer shall submit a list of the states in which the establishments are located and the number of establishments in each state. In the further event that certain of the employer's establishments would not

IACS/6/87 Labor Services[347] Ch4, p.4

be affected by the petition, the employer shall identify every establishment which would be affected by the petition and give the state in which they are located;

g. Any petition granted pursuant to 29 C.F.R. 1904.13 shall be granted automatically as if it were applied for pursuant to this rule.

347-4.13(88) Description of statistical program. Iowa Code section 88.18 directs the labor commissioner to develop and maintain a program of collection, compilation and analysis of occupational safety and health statistics. The program shall consist of periodic surveys of occupational injuries and illnesses.

347-4.14(88) Duties. Upon receipt of an Occupational Injuries and Illnesses Survey Form, the employer shall promptly complete the form in accordance with the instructions contained therein and return it to the division of labor services.

347-4.15(88) Employees not in fixed establishments. Employers of employees engaged in physically dispersed operations as occur in construction, installation, repair or service activities who do not report to any fixed establishment on a regular basis but are subject to common supervision may satisfy the provisions of rules 4.2(88), 4.4(1) and 4.6(88) with respect to such employees by:

1. Maintaining the required records for each operation or group of operations which is subject to common supervision (field superintendent, field supervisor, etc.) in an established central place;

2. Having the address and telephone number of the central place available at each worksite; and

3. Having personnel available at the central place during normal business hours to provide information from the records maintained there by telephone and by mail.

347-4.16(88) Small employers. 4.16(1) An employer who had no more than ten employees at any time during the

calendar year immediately preceding the current calendar year need not comply with any of the requirements of this chapter except subrule 4.4(2) concerning workers' compensation report-

. able cases and rule 4.8(88) concerning fatalities or multiple hospitalization accidents (i.e., the employer need not maintain the log and summary, OSHA Form No. 200, the supplementary record, OSHA Form No. 101 or Iowa Form L-1/WC-1(309-5012), nor prepare or post the summary).

4.16(2) Subrule 4.16(1) shall not apply when an employer has been notified in writing by the United States Bureau of Labor Statistics that the employer has been selected to participate in a statistical survey of occupational injuries and illnesses. If selected, an employer will be required to maintain the log and summary of occupational injuries and illnesses (OSHA Form No. 200) in accordance with rule 4.2(88) and to make reports in accordance with rule 4.14(88) for the period of time which is specified in the notice.


347-4.17(88) Bureau of inspections and reporting, research and statistical section forms. The forms are being omitted from this publication. Copies are available from the division.

4.17(1) OSHA No. 200-Log and summary of occupational injuries and illnesses. 4.17(2) OSHA No. L-1/WC-1(309-5012): Employers work injury report and employers

first report of injury.

347-4.18(88)* Definitions. The definitions and interpretations contained in Iowa Code section 88.3 shall be applicable to the terms when used in this chapter. As used in this chapter unless the context clearly requires otherwise:

\.._) uAct" means the Iowa Occupational Safety and Health Act, Iowa Code chapter 88. "Establishment" means:

*Appeared as 4.11 prior to 11/28179.

Ch4,p.5 Labor Services[347] IAC5/6/87

a. A single physical location where business is conducted or where services or industrial operations are performed. (For example: a factory, mill, store, hotel, restaurant, movie theatre, farm, ranch, bank, sales office, warehouse, central administrative office, or governmental agency or subdivision thereof.) Where distinctly separate activities are performed at a single physical location (such as contract construction activities operated from the same physical location as a lumber yard), each activity shall be treated as a separate establishment.

b. For firms engaged in activities such as agriculture, construction, transportation, communications and electric, gas and sanitary services which may be physically dispersed, records may be maintained at a place to which employees report each day.

c. Records for personnel who do not primarily report or work at a single establishment, and who are generally not supervised in their daily work, such as traveling salespersons, technicians, engineers, etc., shall be maintained at the location from which they are paid or the base from which personnel operate to carry out their activities.

uEstablishments classified in Standard Industrial Classification Codes (SIC) 52-89" means and is applied to:

a. Establishments whose primary activity constitutes retail trade, finance, insurance, real estate and services are classified in SIC's 52-89.

b. Retail trades are classified as SIC's 52-59 and for the most part include establishments engaged in selling merchandise to the general public for personal or household consumption. Some of the retail trades are: automotive dealers, apparel and accessory stores, furniture and home furnishing stores, and eating and drinking places.

c. Finance, insurance and real estate are classified as SIC's 60-67 and include establishments which are engaged in banking, credit other than banking, security dealings, insurance, and real estate.

d. Services are classified as SIC's 70-89 and include establishments which provide a variety of services for individuals, businesses, government agencies, and other organizations. Some of the service industries are: personal and business services, in addition to legal, education, social and cultural; and membership organizations.

e. The primary activity of an establishment is determined as follows: For finance, insurance, real estate, and service establishments, the value of receipts or revenue for services rendered by an establishment determines its primary activity. In establishments with diversified activities, the activities determined to account for the largest share of production, sales or revenue will identify the primary activity. In some instances these criteria will not adequately represent the relative economic importance of each of the varied activities. In such cases, employment or payroll should be used in place of the normal basis for determining the primary activity.

uFirst aid, is any one-time treatment and any follow-up visit for the purpose of observation of minor scratches, cuts, burns, splinters, and so forth, which do not ordinarily require medical care. One-time treatment and follow-up visit for the purpose of observation are considered first aid even though provided for by a physician or registered professional personnel.

uLost workdays, is the number of days (consecutive or not) after, but not including, the day of injury or illness during which the employee would have worked but could not do so; that is, could not perform all or any part of the employee's normal assignment during all or any part of the workday or shift, because of the occupational injury or illness.

uMedical treatment, includes treatment administered by a physician or by registered professional personnel under the standing orders of a physician. Medical treatment does not include first aid treatment even though provided by a physician or registered professional personnel.

uRecordable occupational injuries or illnesses, are any occupational injuries or illnesses which result in:

a. Fatalities, regardless of the time between the injury and death, or the length of the illness; or

b. Lost workday cases, other than fatalities, which result in lost workdays; or c. Nonfatal cases without lost workdays which result in transfer to another job or

termination of employment, or require medical treatment (other than first aid) or involve:


loss of consciousness or restriction of work or motion. This category also includes any diagnosed occupational illnesses which are reported to the employer but are not classified as fatalities or lost workday cases.

347-4.19(88) Establishments classified in Standard Industrial Classification Codes (SIC) 52-89, (except 52-54, 70, 75, 76, 79 and 80). An employer whose establishment is classified in SIC's 52-89 (excluding 52-54, 70, 75, 76, 79 and 80) need not comply, for such establishments, with any of the requirements of this part except the following:

I. Obligation to report under 347-4.8(88) concerning fatalities or multiple hospitalization accidents;

2. Obligation to maintain a log of occupational injuries and illnesses under 347-4.14(88), upon being notified in writing by the division of labor services that the employer has been selected to participate in a statistical survey of occupational injuries and illnesses; and

3. Obligation to report to the Iowa industrial commissioner under subrule 4.4(2) any occupational injury or illness which temporarily disables an employee for more than three days or which results in permanent total disability, permanent partial disability, or death.

These rules are intended to implement Iowa Code sections 17A.3, 84A.l, 84A.2, 88.2, 88.6(3), and 88.18.

[Filed July 13, 1972; amended August 29, 1972, December 1, 1972, April2, 1973, February 28, 1975]

[Filed 12/15/75, Notice 10/6/75-published 12/29/75, effective 2/4/76] I Filed I l/18177, Notice 10/5177-published 12/14/77, effective 1/20/781 [Filed 3/15/78, Notice 2/8/78-published 4/5/78, effective 5/15178}

[Filed 11/2/78, Notice 9/20/78-published 11/15/78, effective 12/22/78] [Filed emergency 11/8179-published 11/28/79, effective i/1/80]

[Filed emergency 11/20/79-published 12/12/79, effective 11/20/79] [Filed emergency 12/5/79-published 12/26/79, effective 12/5/79] [Filed emergency 12/5/79-published 12/26/79, effective 1/1/80]

[Filed 10/3/80, Notice 7 /9/80-published 10/29/80, effective 12/3/80] [Filed 7/1/83, Notice 5/11/83-published 7/20/83, effective 9/1/83]



CHAPTERS ~ RULES OF PRACTICE FOR VARIANCES, LIMITATIONS, VARIATIONS,

TOLERANCES AND EXEMPTIONS (Prior to 9124/86, Labor, Bureau of (S30))

347-5.1(88) Purpose and scope. This chapter contains rules of practice for administrative proceedings to grant variances and other relief under Iowa Code sections 88.5(3), 88.5(6), and 88.5(7). These rules shall be construed to secure a prompt and just conclusion of proceedings subject thereto.


uAct, means the Iowa Occupational Safety and Health Act, Iowa Code chapter 88. ~ uAffected employee, means an employee who would be affected by the grant or denial

of a variance, or any one of the employee's authorized representatives, such as the collective bargaining agent.

ucommissioner, means the labor commissioner of the department of employment services, division of labor services.

"Hearing examiner, means the labor commissioner or the commissioner's designee. "Party, means a person admitted to participate in a hearing conducted in accordance with

rules 5.14(88) to 5.21(88). An applicant for relief and any affected employee shall be entitled to be named parties. For the purpose of special variance hearing procedures under section 88.5(7), the conflicting federal regulatory agency shall also be a party. The department of employment services, division of labor services shall be deemed to be a party without the neccessity of being named.

"Person, means an individual, partnership, association, corporation, business trust, legal ~ representative, an organized group of individuals, or an agency, authority or instrumentality of the state of Iowa.

"Variance" means variances, limitations, variations, tolerances and exemptions for temporary variances Iowa Code section 88.5(3), permanent variances section 88.5(6), and special variances section 88.5(7), unless otherwise specified.

347-5.3(88) Reserved.

347-5.4(88) Effect of variances. All variances granted pursuant to this chapter shall have only future effect. The commissioner may discretionarily decline to entertain an application for a variance on a subject or issue concerning which a citation has been issued to the employer involved, and a proceeding on the citation or a related issue concerning a proposed penalty or period of abatement is pending before the employment appeal board until the completion \..,.J of such proceedings.

347-5.5(88) Notice of a granted variance. Notice of every final action granting a variance under this chapter shall be published in one or more newspapers in the state having a statewide circulation. Every such final action shall specify the alternative to the standard involved which the particular variance permits.

347-5.6(88) Form of documents; subscription; copies. 5.6(1) No particular form is prescribed for applications and other papers which may be

filed in proceedings under this chapter. However, any application and other papers shall be clearly legible. An original and two copies of any application or other papers shall be filed. The original shall be typewritten. Clear carbon copies or printed or processed copies are ~

1 acceptable copies. ..__...

5.6(2) Each application or other paper which is filed in proceedings under this chapter shall be subscribed by the person filing the same or by the person's attorney or other authorized representative.


347-5. 7(88) Temporary variance. 5. 7(1) Application for variance. Any employer or class of employers desiring a variance

from a standard, or portion thereof, authorized by section 88.5(3) may file a written application containing the information specified in subrule 5.7(2) with the labor commissioner.

5.7(2) Contents. An application filed pursuant to 5. 7(1) shall include: a. The name and address of the applicant; b. The address of the place or places of employment involved; c. Any request for a hearing, as provided in this chapter; an'd d. The statements and certifications required by section 88.5(3). 5.7(3) Interim order. a. Application. An application may also be made for an interim order to be effective

until a decision is rendered on the application for the variance filed previously or concurrently. An application for an interim order may include statements of fact and arguments as to why the order should be granted. The labor commissioner may rule ex parte upon the application.

b. Notice of denial of application. If an application filed pursuant to 5. 7(3) "a.. is denied, the applicant shall be given prompt notice of the denial, which shall include, or be accompanied by, a brief statement of the grounds therefor.

c. Notice of the grant of an interim order. If an interim order is granted, a copy of the order shall be served upon the applicant for the order and other parties and notice of the terms of the order shall be made in accordance with the notice requirements of rule 5.5(88). It shall be a condition of the order that the affected employer shall give notice thereof to affected employees by the same means to be used to inform them of an application for a variance [see 5.8(2) "e, (2)].


347-5.8(88) Permanent variance. 5.8(1) Application for variance. Any employer or class of employers desiring a variance

authorized by Iowa Code section 88.5(6) may file a written application containing the information specified in subrule 5.8(2) with the labor commissioner.

5.8(2) Contents. An application filed pursuant to 5.8(1) shall include: a. The name and address of the applicant; b. The address of the place or places of employment involved; c. A description of the conditions, practices, means, methods, operations or processes

used or proposed to be used by the applicant; d. A statement showing how the conditions, practices, means, methods, operations or

processes used or proposed to be used would provide employment and places of employment to employees which are as safe and healthful as those required by the standard from which a variance is sought; .

e. A certification that the applicant has informed affected employees of the application by (1) giving a copy thereof to their authorized representative; (2) posting a statement giving a summary of the application and specifying where a copy may be examined, at the place or places where notices to employees are normally posted (or in lieu of such summary, the posting of the application itself); and (3) by other appropriate means when necessary;

f. Any request for a hearing, as provided in this chapter; and g. A description of how employees have been informed of the application and of their

right to petition the labor commissioner for a hearing. 5.8(3) Interim order. Procedures for applications and for notifications of a denial or

grant of interim orders shall be in the same manner as provided for in subrule 5. 7(3). This rule is intended to implement Iowa Code section 88.6.


347-5.9(88) Special variance. 5.9(1) Application for variance. Any employer, or class of employers, desiring a special

variance authorized by Iowa Code section 88.5(7) may file a written application containing the information specified in 5.9(2) with the labor commissioner.

5.9(2) Contents. An application filed pursuant to 5. 9(1) shall include: a. The name and address of the applicant; b. The address of the place or places of employment involved; c. The name of the federal agency and a designation of the standard, rule, or regulation

allegedly in conflict with a standard, rule or regulation of the division of labor services; d. A designation of the standard, rule or regulation of the division of labor services allegedly

in conflict; e. A description of the conditions, means, methods, operations, and procedures used and

a specific detailed statement as to how and where the conflict exists between federal agency or agencies and the division of labor services: f. A description of the conditions, practices, means, methods, operations or processes

used or proposed to be used by the applicant; g. A statement showing how the conditions, practices, means, methods, operations or

processes used or proposed to be used would take into consideration the safety and health of the employees involved;

h. A certification that the applicant has informed employees affected of the application by (I) giving a copy thereof to their authorized representative; (2) posting a statement giving a summary of the application and specifying where a copy may be examined, at the place or places where notices to employees are normally posted (or in lieu of such summary, the posting of the application itseJO; and (3) by other appropriate means where necessary;

i. Any request for a hearing, as provided in this chapter; and j. A description of how employees have been informed of the application and of their

right to petition the labor commissioner for a hearing. 5.9(3) Interim order. Procedures for applications and for notifications of a denial or

grant of interim orders shall be in the same manner as provided for in 5. 7(3). This rule is intended to implement Iowa Code section 88.7.

347-5.10(88) Modification and revocation of rules or orders. 5.10(1) An affected employer or an affected employee may apply in writing to the labor

commissioner for a modification or revocation of a rule or order issued under Iowa Code section 88.5(3), 88.5(6), or 88.5(7). The application shall contain:

a. The name and address of the applicant; b. A description of the relief which is sought; c. A statement setting forth with particularity the grounds for relief; d. If the applicant is an employer, a certification that the applicant has informed affected

employees of the application by: (1) Giving a copy thereof to their authorized representative; (2) posting at the place or places where notices to employees are normally posted, a statement giving a summary of the application and specifying where a copy of the full application may be examined (or, in lieu of the summary, posting the application itself); and (3) other appropriate means when necessary;

e. If the applicant is an affected employee, a certification that a copy of the application has been furnished to the employer; and

f. Any request for a hearing, as provided in this chapter. 5.10(2) The commissioner may move to modify or revoke a rule or order issued under Iowa

Code section 88.5(3), 88.5{6), or 88.5(7). In such event, the commissioner shall cause a notice of intention to be published in accordance with the notice requirements of rule 5.5(88), affording interested persons an opportunity to submit written data, views or arguments regarding the proposal and informing the affected employer and employees of their right to request a hear-


ing, and shall take such other action as may be appropriate to notify the affected employer and employees. Any request for a hearing shall include a short and plain statement of:

a. How the proposed modification or revocation would affect the requesting party; and b. What the requesting party would seek to show on the subjects or issues involved.

347-5.11(88) Action on appHcations. 5.11(1) Defective applications. If an application filed pursuant to 5. 7(1), 5.8(1), 5.9(1),

or 5.10(1) does not conform to the applicable rule, the labor commissioner may deny the application. Prompt notice of the denial of an application shall be given to the applicant and shall include, or be accompanied by, a brief statement of the grounds for the denial. A denial of an application pursuant to this rule shall be without prejudice to the filing of another application.

5.11(2) Adequate applications. If an application has not been denied pursuant to 5.11(1), the labor commissioner shall cause notice of the filing of the application to be made in accordance with rule 5.5(88).

A notice of the filing of an application shall include: a. The terms or an accurate summary, of the application; b. A reference to the section of the Act under which the application has been filed; c. An invitation to interested persons to submit within a stated period of time written

data, views or arguments regarding the application; and. d. Information to affected employers and employees of any right to request a hearing on

the application.

347-5.12(88) Requests for hearings on applications. 5.12(1) Request for hearing. Within the time allowed by a notice of the filing of an ap

plication, any affected employer or employee may file with the labor commissioner a request for a hearing on the application.

5.12(2) Contents of a request for a hearing. A request for a hearing filed pursuant to 5.12(1) shall include:

a. A concise statement of facts showing how the employer or employee would be affected by the relief applied for;

b. A specification of any statement or representation in the application which is denied, and a concise summary of the evidence that would be adduced in support of each denial; and

c. Any views or arguments on any issue of fact or law presented.

347-5.13(88) ConsoHdation of proceedings. The commissioner may move or any party may move to consolidate or contemporaneously consider two or more proceedings which involve the same or closely related issues.

347-5.14(88) Notice of hearing. 5.14(1) Service. Upon request for a hearing as provided in this chapter, or upon the com

missioner's own initiative, the labor commissioner shall serve, or cause to be served, a reasonable notice of hearing.

5.14(2) Contents. A notice of hearing served under 5.14(1) shall include: a. The time, place, and nature of the hearing; b. The legal authority under which the hearing is to be held; and c. A specification of issues of fact and law.

347-5.15(88) Manner of service. Service of any document upon any party may be made by personal delivery of, or by mailing, a copy of the document to the last known address of the party. The person serving the document shall certify to the manner and the date of the service.


347-5.16(88) Hearing examiner; powers and duties. 5.16(1) Powers. The labor commissioner or designee shall preside over the bearing and

shall have all powers necessary or appropriate to conduct a fair, full, and impartial hearing, including the following:

a. To administer oaths and affirmations; b. To rule upon offers of proof and receive relevant evidence; c. To provide for discovery and to determine its scope; d. To regulate the course of the hearing and the conduct of the parties and their counsel

therein; e. To consider and rule upon procedural requests; f. To hold conferences for the settlement or simplification of the issues by consent of the

parties; g. To make, or to cause to be made, an inspection of the employment or place of

employment involved; h. To make decisions in accordance with the Act and this chapter; and i. To take any other appropriate action authorized by the Act or this chapter. 5.16(2) Private consultation. Except to the extent required for the disposition of ex

parte matters, the hearing examiner may not consult a person or a party on any fact at issue, unless upon notice and opportunity for all parties to participate.

5.16(3) Disqualification. When the labor commissioner or designee deems appropriate to be disqualified to preside, or to continue to preside, over a particular hearing, the commissioner or designee shall withdraw therefrom by notice on the record, and the commissioner shall designate another.

Any party who deems the commissioner or designee for any reason to be disqualified to preside, or to continue to preside, over a particular hearing, may file with the commissioner a motion for disqualification and removal, which shall be supported by affidavits setting forth the alleged ground for disqualification. The commissioner shall rule upon the motion. The decision shall be deemed final for the purposes of judicial review under rule 5.24(88).

5.16(4) Contumacious conduct; failure or refusal to appear or obey the rulings of the hearing examiner. Contumacious conduct at any hearing before the hearing examiner shall be ground for exclusion from the hearing.

If a witness or a party refuses to answer a question after being directed to do so, or refuses to obey an order to provide or permit discovery, the hearing examiner may make such orders with regard to the refusal as are just and appropriate, including an order denying the application of an applicant or regulating the contents of the record of the hearing.

5.16(5) Referral to Iowa rules of civil procedure. On any procedural question not regulated by the Act or this chapter, the hearing examiner shall be guided to the extent practicable by any pertinent provisions of the Iowa rules of civil procedure.

347-5.17(88) Prehearing conferences. 5.17(1) Convening conference. Upon the commissioner's own motion or the motion of

a party, the labor commissioner or designee may direct the parties or their counsel to meet with the commissioner for a conference to consider:

a. Simplification of the issues; b. Necessity or desirability of amendments to documents for purpose of clarification,

simplification, or limitation; c. Stipulations, admissions of fact and of contents and authenticity of documents; d. Limitation of the number of parties and of expert witnesses; and e. Such other matters as may tend to expedite the disposition of the proceeding, and to

assure a just conclusion thereof. 5.17(2) Record of conference. The labor commissioner or designee shall make an order

which recites the action taken at the conference, the amendments allowed to any documents which have been filed, and the agreements made between the parties as to any of the matters


~ considered, and which limits the issues for hearing to those not disposed of by admissions or agreements; and such order when entered controls the subsequent course of the hearing, unless modified at the hearing, to prevent manifest injustice.

347-5.18(88) Consent findings and rules or orders. 5.18(1) At any time before the reception of evidence in any hearing, or during any

hearing a reasonable opportunity may be afforded to permit negotiation by the parties of an agreement containing consent findings and a rule or order disposing of the whole or any part of the proceeding. The allowance of such opportunity and the duration thereof shall be in the discretion of the hearing examiner, after consideration of the nature of the proceeding, the requirements of the public interest, the representations of the parties and the probability of an agreement which will result in a just disposition of the issues involved.

5.18(2) Contents. Any agreement containing consent findings and rule or order disposing of a proceeding shall also provide:

a. That the rule or order shall have the same force and effect as if made after a full hearing;

b. That the entire record on which any rule or order may be based shall consist solely of the application and the agreement;

c. A waiver of any further procedural steps before the labor commissioner or designee; and d. A waiver of any right to challenge or contest the validity of the findings and of the rule

or order made in accordance with the agreement. 5.18(3) Submission. On or before the expiration of the time granted for negotiations,

the parties or their counsel may: a. Submit the proposed agreement to the hearing examiner for consideration; or b. Inform the hearing examiner that agreement cannot be reached. 5.18(4) Disposition. In the event an agreement containing consent findings and rule or

order is submitted within the time allowed therefor, the hearing examiner may accept such agreement by issuing a decision based upon the agreed findings.

347-5.19(88) Discovery. 5.19(1) Perpetuating testimony. Iowa Rules of Civil Procedure 159-166 are applicable

for the taking of depositions for a variance hearing before the hearing examiner. 5.19(2) Other discovery. Whenever appropriate to a just disposition of any issue in a

hearing, the hearing examiner may allow discovery by other appropriate procedures, such as by written interrogatories upon a party, production of documents by a party, or by entry for inspection of the employment or place of employment involved. Iowa Rules of Civil Procedure 121-134 and 140-158 shall be applicable to such authorized discovery procedures.

347-5.20(88) Hearings. 5.20(1) Order of proceeding. Except as may be ordered otherwise by the hearing

examiner the party applicant for relief shall proceed first at a hearing. 5.20(2) Burden of proof. The party applicant shall have the burden of proof. 5.20(3) Evidence. a. Admissibility. A party shall be entitled to present the party's case or defense by oral

or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts. Any oral or documentary evidence may be received, but a hearing examiner shall exclude evidence which is irrelevant, immaterial or unduly repetitious.

b. Testimony of witnesses. The testimony of a witness shall be upon an oath or affirmation administered.

c. Objections. If a party objects to the admission or rejection of any evidence or to the limitation of the scope of any examination or cross-examination, or to the failure to limit


such scope, the party shall state briefly the grounds for such objection. Rulings on all objections shall appear in the record. Only objections made before the hearing examiner may be relied upon subsequently in a proceeding.

d. Proof for a special variance. Before a special variance may be granted, there must be proof that an actual conflict does exist. The proof required to establish such conflict is information in writing or oral testimony from a representative of the involved federal regulatory agency or agencies, substantiated by evidence, that there is a conflict between the standards, rules or regulations of the federal agency and those of the division of labor services. Also, the applicant must prove that compliance with the standard, rule or regulation of the division of labor services would subject the applicant to probable citation, penalty, or prosecution for violating such federal agency standard, rule or regualtion.

5.20(4) Official notice. Official notice may be taken of any material fact not appearing in evidence in the record, which is among the traditional matters of judicial notice or concerning which the division of labor services by reason of its functions is presumed to be expert: Provided, that the parties shall be given adequate notice, at the hearing or by reference in the hearing examiner's decision, of the matters so noticed, and shall be given adequate opportunity to show the contrary.

5.20(5) Transcript. Hearings shall be stenographically reported. Copies of the transcript may be obtained by the parties upon written application filed with the reporter, and upon the payment of fees at the rate provided in the agreement with the reporter.

347-5.21(88) Decisions of hearing examiner. 5.21(1) Proposed findings of fact, conclusions and rules or orders: Within ten days after

receipt of notice that the transcript of the testimony has been filed or such additional time as the hearing examiner may allow, each party may file with the hearing examiner proposed findings of fact, conclusions of law, and rule or order, together with supporting briefs shall be served on all other parties, and shall refer to all portions of the record and to all authorities relied upon in support of each proposal.

5.21(2) ·Decision. Within a reasonable time after the time allowed for the filing of proposed findings of fact, conclusions of law, and rule or order, the hearing examiner shall issue a decision which shall be reviewed and countersigned by the commissioner. The commissioner shall serve the decision upon each party, and the decision shall become final upon the twentieth day after service thereof. The decision shall include: (1) A statement of findings and conclusions, with reasons and bases therefor, upon each material issue of fact, law, or discretion presented on the record, and (2) the appropriate rule, order, relief or denial thereof. The decision shall be based upon a consideration of the whole record and shall state all facts officially noticed and relied upon. The decision shall be made on the basis of a preponderance of reliable and probative evidence.

5.21(3) Grant of a special variance. The grant of a special variance shall be renewable upon review by the labor commissioner at six-month intervals beginning on the date the decision becomes final under 5.21(2). If at the time of the review the labor commissioner finds that there has been a change in the standard, rule, or regulation or a change in the interpretation of such standard, rule or regulation of the federal agency or the division of labor services affecting or resolving the conflict on which the special variance was granted, the labor commissioner shall set the case for an evidentiary hearing in accordance with 5.14(88) to 5.21(88). Enforcement shall be stayed during review and hearing procedures under this rule.

Affected employees shall be notified by their employer of a renewal or a refusal to renew by: (1) Giving a copy of the labor commissioner's notice to the authorized employee representative; (2) posting a copy of the commissioner's notice at the place or places where notices to employees are normally posted; and (3) other appropriate means.


347-5.22(88) Motion for summary decision. ~ 5.22(1) Any party may, at least 20 days before the date fixed for any hearing, move with

or without supporting affidavits for a summary decision in favor of the moving party on all or any part of the proceeding. Any other party may, within ten days after service of the motion, serve opposing affidavits or countermove for summary decision. The hearing examiner may discretionarily set the matter for argument and call for the submission of briefs.

5.22(2) The filing of any documents under 5.22(1) shall be with the labor commissioner, and copies of any such documents shall be served in accordance with 5.15(88).

5.22(3) The hearing examiner may grant the motion if the pleadings, affidavits, material obtained by discovery or otherwise obtained, or matters officially noticed show that there is no genuine issue as to any material fact and that a party is entitled to summary decision. The hearing examiner may deny such motion whenever the moving party denies access to information by means of discovery to a party opposing the motion .

......_,; 5.22(4) Affidavits shall set forth such facts as would be admissible in evidence in the hearing and shall show affimatively that the affiant is competent to testify to the matters stated therein. When a motion for summary decision is made and supported as provided in this rule, a party opposing the motion may not rest upon the mere allegations or denials of its own pleading. The response of the party opposing the motion must set forth specific facts showing that there is a genuine issue of fact for the hearing.

5.22(5) Should it appear from the affidavits of a party opposing the motion that the opposing party cannot for reasons stated present by affidavit facts essential to justify the opposition, the hearing examiner may deny the motion for summary decision or may order a continuance to permit affidavits to be obtained or discovery to be had or may make such other order as is just.

347-5.23(88) Summary decision. 5.23(1) No genuine issue of material fact.

~ a. Where no genuine issue of a material fact is found to have been raised, the hearing examiner may issue a decision to become final 20 days after service thereof.

b. A decision made under 5.23(1) shall include a statement of: (1) Findings and conclusions, and the reasons or bases therefor, on all issues presented; and (2) the terms and conditions of the rule or order made.

c. A copy of the decision under this rule shall be served on each party. 5.23(2) Hearings on issues of fact. Where a genuine material question of fact is raised,

the hearing examiner shall, and in any other case may, set the case for an evidentiary hearing in accordance with rules 5.14(88) to 5.21(88).

347-5.24(88) Finality for purposes of judicial review. A _preliminary, procedural or intermediate agency action or ruling is immediately reviewable if review of the final agency decision would not provide an adequate remedy. The filing of the petition does not itself

~ stay enforcement of the agency decision. The agency may grant, or the reviewing court may order, a stay upon appropriate terms.

These rules are intended to implement Iowa Code sections 84A.I, 84A.2, 88.2, 88.3, 88.5, 88.6, and 88.7.

[Filed 10/ 11 /72] [Filed emergency 2/15/80-published 3/5/80, effective 2/15/80] [Filed emergency 9/5/86-published 9/24/86, effective 9/24/86]

[Filed 4/17/87, Notice 9/24/86-published 5/6/87, effective 6/ 10/87]

Ch 7, p.l Labor Services[347]

CHAPTER 6 Rescinded, effective 1128/81

[Similar subject covered in Ch 8 published lAC 12124/80)

CHAPTER 7 PROCEDURES

lAC 9/24/86

Rules renumbered or replaced, lAB 9/24/86, see rules 347-1.4 to 1.7.


CHAPTER 8 CONSULTATIVE SERVICES

[Similar subject covered inCh 6 prior to 12124/80) [Ch 8 appearing prior to 12/24/80 renumbered as Ch 9)

[Prior to 9/24/86, Labor, Bureau or(S30))

Ch 8, p.l

347-8.1(88) Purpose and scope. The chapter contains procedures under which the division of labor services, bureau of consultation and education provides on-site consultative services to employers. The service is available at no cost to employers to assist them in establishing effective occupational safety and health programs for providing their employees employment and a place of employment which is safe and healthful. The overall goal is to prevent the occurrence of injuries and illnesses which may result from exposure to hazardous working conditions and from hazardous work practices. The principal assistance will be provided at the employer's worksite, but off-site assistance may also be provided by telephone and correspondence, and at locations other than the employer's worksite, such as the offices of the division of labor services. At the worksite, the consultant will, within the scope of the employer's request, evaluate the employer's program for providing employment and a place of employment which is safe and healthful, as well as identify specific hazards in the workplace, and will provide appropriate advice and assistance in establishing or improving the employer's safety and health program and in correcting any hazardous conditions identified.

Assistance may include education and training of the employer, the employer's supervisors, and the employer's other employees as needed to make the employer self-sufficient in ensuring safe and healthful work and working conditions. Although on-site consultation is conducted independent of the activities of the division of labor services' bureau of occupational safety and health (IOSH enforcement), and the discovery of hazards shall not mandate citations or penalties, the employer remains under the statutory obligation to protect employees, and, in certain instances, the employer shall be required to take necessary protective action. Employer correction of hazards identified by the consultant during a comprehensive workplace survey, and implementation of certain core elements of an effective safety and health program and commitment to the completion of others may serve as the basis for employer exemption from certain enforcement activities by the bureau of occupational safety and health (IOSH enforcement).

The division of labor services encourages employers to request on-site consultative visits. The service is available to both private and public employers.

Employers seeking information regarding consultative services should contact Chief, Bureau of Consultation and Education, Division of Labor Services, 1000 East Grand A venue, Des Moines, Iowa 50319.


..,Act, means the Iowa Occupational Safety and Health Act, Iowa Code chapter 88. "Commissioner" means the labor commissioner of the division of labor services of the depart

ment of employment services . ..,Compliance officer, means a compliance safety and health officer employed by the occu

pational safety and health bureau of the division of labor services (IOSH enforcement). "Consultant, means an employee of the bureau of consultation and education of the division

of labor services. uconsultation , means all activities related to the provision of consultative assistance under

this chapter, including off-site consultation and on-site consultation . ..,Division, means the division of labor services of the department of employment services. uEducation ,, means planned and organized activity by a consultant to impart information

to employers and employees to enable them to establish and maintain employment and a place of employment which is safe and healthful.


.. Hazard correction., means the elimination or control of a workplace hazard in accordance ~ with the requirements of the Act and rules .

.. Imminent danger., means a condition or practice in a place of employment which is such that a danger exists which could reasonably be expected to cause death or serious physical harm immediately or before the imminence of the danger can be eliminated through the procedures set forth in subrules 8.4(3), 8.4(4) and 8.4(6) .

.. Off-site consultation •• means the provision of consultative assistance on occupational safety and health issues away from an employer's worksite by means such as telephone and correspondence, and at locations other than the employer's worksite, such as the offices of the bureau of consultation and education.

uon-site consultation, means the provision of consultative assistance on an employer's occupational safety and health program and on specific workplace hazards through a visit to an employer's worksite. It includes a written report to the employer on the findings and recom- "--" mendations resulting from the visit. It may include training and education needed to address hazards, or potential hazards, at the worksite .

.. Training, means the planned and organized activity of a consultant to impart skills, techniques and methodologies to employers and their employees to assist them in establishing and maintaining employment and a place of employment which is safe and healthful.

347-8.3(88) Request and scheduling of an on-site consultative visit. 8.3(1) Employer requests. An on-site consultative visit will be provided only upon the writ

ten request of the employer, and shall not result from the enforcement of any right of entry under law. When making the request, an employer in a small, high hazard establishment is encouraged to include within the scope of the request all working conditions at the worksite and the employer's entire safety and health program. Any employer may specify a more limited scope for the visit by indicating working conditions, hazards, or situations on which on-site \.....,/ consultation will be focused. When a limited request is at issue, the consultant shall limit review and provide assistance only with respect to those working conditions, hazards, or situations specified; except that if the consultant observes, in the course of the on-site visit, hazards which are outside the scope of the request, the consultant shall treat the hazards as though they were within the scope of the request. On-site consultative services may be requested to assist in the abatement of hazards cited during an enforcement inspection. However, an on-site consultative visit may not take place after an enforcement inspection until the conditions set forth in 8.5(2) uc, have been met.

8.3(2) Scheduling priority. Priority is assigned to requests from employers with the most hazardous operations, with primary attention to smaller employers. Preference is given to smaller business, based on their number of employees, with an emphasis on those workplaces of a highly hazardous nature and to requests where possible imminent danger conditions are believed to exist. \,.,/

347-8.4(88) Conduct of a visit. 8.4(1) Structured format. An initial on-site consultative visit shall consist of an opening

conference where the employer shall be advised as to the responsibilities under state law, an examination of those aspects of the employer's safety and health program which relate to the scope of the visit, a walk through the workplace and a closing conference where the employer shall be informed of hazards and the recommended corrective measures. An initial visit may include training and education for employers and employees, if the employers request the assis-tance and if the need for the training and education is revealed by the walk through the work-place and the examination of the employer's safety and health program. Additional visits may be conducted as the employer requests to provide needed education and training, assistance __ with the employer's safety and health program, or technical assistance in the correction of hazards, or as necessary to verify the correction of serious hazards identified during previous ~ visits. A compliance inspection may, in some cases, be the basis for a visit limited to educa-tion and training, assistance with the employer's safety and health program, or technical assis-tance in the correction of hazards.


8.4(2) Employee participation. The consultant retains the right to confer with individual employees during the course of the visit in order to identify and judge the nature and extent of particular hazards within the scope of the employer's request, and to evaluate the employer's safety and health program. The consultant shall explain the necessity for this contact to the employer during the opening conference, and the employer must agree to this contact before a visit can proceed. In addition, employees, their representatives, and members of a workplace joint safety and health committee, may participate in the on-site cQnsultative visit, to the extent desired by the employer. In the opening conference, the consultant shall encourage the employer to allow employee participation to the fullest extent practicable.

8.4(3) On-site activity. Activity during the on-site consultative visit will be focused primarily on those conditions, hazards or situations regarding which the employer has requested assistance. Within the scope of the employer's request, the consultant shall review the employer's safety and health program and provide advice on modifications or additions to make the program more effective.

To the extent of their capability and training, consultants shall identify and provide advice on the elimination of those hazards included in the employer's request and any other safety or health hazards observed in the workplace during the course of the on-site consultative visit. The consultant shall conduct sampling and testing, with subsequent analysis, as may be necessary to confirm the existence of a safety or health hazard. Advice and technical assistance on the elimination of identified safety and health hazards may be provided to employers during and after the on-site consultative visit. However, the advice and assistance shall not include engineering services or the provision of engineering design solutions.

When a hazard is identified in the workplace, the consultant shall indicate to the employer the consultant's best judgment as to whether the situation would be classified as a "serious" or "other-than-serious" hazard.

At the time the consultant determines that an identified serious hazard exists, the consultant shall assist the employer to develop a specific plan to correct the hazard, affording the employer a reasonable period of time to complete the necessary action. An opportunity for an expeditious informal discussion with the chief of the bureau of consultation and education regarding the period of time established for the correction of a hazard or any other substantive findings of the consultant shall be held if the employer requests the informal discussion within 15 working days from receipt of the consultant's report.

8.4(4) Employer's obligations. An employer must take immediate action to eliminate employee exposure to a hazard which, in the judgment of the consultant, presents an imminent danger to employees. If the employer fails to take the necessary action, the chief of the bureau of consultation and education shall immediately notify the affected employees and the chief of the bureau of occupational safety and health and provide relevant information.

An employer must also take the necessary action to eliminate or control employee exposure to any identified serious hazard. In order to demonstrate that the necessary action is being taken, an employer may be required to submit periodic reports, permit a follow-up visit, or take similar action. An employer may request, and the chief of the bureau of consultation and education may grant, an extension of the time established for the correction of a serious hazard when the employer demonstrates having made a good faith effort to correct the hazard within the established time frame; shows evidence that correction has not been completed because of factors beyond the employer's reasonable control; and shows evidence that the employer is taking all available interim steps to safeguard the employees against the hazard during the correction period. If the employer fails to take the action necessary to eliminate a serious hazard within the established time frame or any extensions thereof, the chief of the bureau of consultation and education shall immediately notify the chief of the bureau of occupational safety and health and provide relevant information. The chief of the bureau of occupational safety and health shall make a determination, based upon a review of the facts, whether enforcement activity is warranted.


8.4(5) Confirmation of hazard correction. After correction of all serious hazards, the employer shall confirm in writing to the chief of the bureau of consultation and education the correction of the hazards, unless correction of the serious hazards was verified by direct observation by the consultant.

8.4(6) Written report. A written report shall be prepared for each visit and sent to the employer. The report shall restate the employer's request and describe the working conditions examined by the consultant; evaluate the employer's program for ensuring safe and healthful employment and provide recommendations for making the program effective; identify specific hazards and describe their nature, including reference to applicable rules; identify the seriousness of the hazards; and to the extent possible, shall include suggested means or approaches to their correction. Additional sources of assistance shall also be indicated, if known, including the possible need to procure specific engineering consultation, medical advice and assistance, and other appropriate items. The report shall indicate the completion date for each serious hazard.

8.4(7) Confidentiality of trade secrets. The consultant will preserve the confidentiality of the information obtained as a result of a consultative visit which contains or might reveal a trade secret of the employer.

347-8.5(88) Relationship to enforcement. 8.5(1) Confidentiality. The identity of employer requesting on-site consultation as well

as the file of the consultant's visit shall not be forwarded or provided to the bureau of occupational safety and health, unless the employer fails to take the necessary action to protect employees from a hazard considered by the consultant to be an imminent danger or serious hazard.

8.5(2) Effect upon scheduling. a. An on-site consultative visit already in progress shall have priority over compliance inspec

tions by the bureau of occupational safety and health except as provided in 8.5(2) "b. •• The consultant and the employer shall notify the compliance officer of the visit in progress and request delay of the inspection until after the visit is completed. An on-site consultative visit shall be considered in progress in relation to the working conditions, hazards, or situations covered by the request from the beginning of the opening conference through the end of the closing conference; except that for periods which exceed thirty (30) days from the initiation of the opening conference, the commissioner may determine that the inspection will proceed. For working conditions, hazards, or situations not covered by the request, the on-site consultative visit shall be considered in progress only while the consultant is at the place of employment.

b. The consultant shall terminate an on-site consultative visit already in progress if one of the following kinds of compliance inspection by the bureau of occupational safety and health is about to take place:

1. Imminent danger investigations. 2. Fatality I catastrophe investigations. 3. Complaint investigations. 4. Other critical inspections as determined by the commissioner. c. An on-site consultative visit shall not take place while an enforcement inspection is in

progress at the establishment. An enforcement inspection shall be deemed "in progress" from the time a compliance officer initially seeks entry to the workplace to the end of the closing conference. An enforcement inspection will also be considered "in progress" in cases where entry is refused, until such times as the inspection is conducted, the commissioner determines that a warrant to enter will not be sought, or the commissioner determines that allowing a consultative visit to proceed is in the best interest of employee safety and health. An on-site consultative visit shall not take place subsequent to an enforcement inspection until the employer has been notifed that no citations will be issued, or if a citation is issued, on-site consultation shall only take place with regard to those citation items which have become final orders.

d. When an employer requests and undergoes a consultative visit at an establishment covering all conditions and operations in the place of employment related to occupational safety and


\.,.,/ health; corrects all hazards that have been identified during the course of the consultative visit within established time frames, and posts notice of their correction when complete; demonstrates to the consultant that certain core elements of an effective safety and health program are in effect, and that the remaining elements of an effective safety and health program shall be implemented within a reasonable, established time frame; and agrees to request a consultative visit if major changes in working conditions or work processes occur which may introduce new hazards, the employer may, upon request, be exempt from a general schedule enforcement inspection for a period of one year from the end of the closing conference of the consultative visit. Between the time of election to participate in the process required to qualify for the exemption and completion of the process, the employer must post a notice of the participation. When an employer requests consideration for an inspection exemption under this rule, the same procedures for correction of other-than-serious hazards shall apply as this chapter requires for serious hazards.

~ 8.5(3) Effect upon enforcement. a. The advice of the consultant and the consultant's written report shall not be binding upon

a compliance officer in a subsequent enforcement inspection. In a subsequent inspection, a compliance officer is not precluded from finding hazardous conditions or violations of standards or rules for which citations would be issued and penalties proposed.

b. The hazard identification and correction assistance given by the consultant, or the failure of the consultant to point out a specific hazard, or other possible errors or omissions by the consultant shall not be binding upon a compliance officer, and shall not affect the regular conduct of a compliance inspection, or preclude the finding of alleged violations and the issuance of citations, or act as a defense to any enforcement action.

c. In the event of a subsequent enforcement inspection, the employer is not required to inform the compliance officer of the prior consultative visit. The employer is not required to provide a copy of the consultant's written report to the compliance officer, except to the extent that

~ disclosure of information contained in the report is required by 347-10.20(88), specifically 29 CFR 1910.20. However, if the employer chooses to provide a copy of the consultant's report to the compliance officer, it may be used to determine the extent to which an inspection is required and as a factor in determining employer's good faith for the purpose of proposing penalties.

8.6 Rescinded, effective June 10, 1987. These rules are intended to implement Iowa Code section 88.16 and 1986 Iowa Acts, Chap

ter 1245, sections 901, 902, and 914. [Filed 12/5/80, Notice 10/29/80-published 12/24/80, effective 1/28/81]

[Filed emergency 9/5/86-published 9/24/86, effective 9/24/861 [Filed emergency 4/17 /87-published 5/6/87, effective 4/17 /87]

[Filed 4/17/87, Notice 9/24/86-published 5/6/87, effective 6/10/87]*

•Rules renumbered and rescinded, see lAB S/6/87.

',':


CHAPTER9 DISCRIMINATION AGAINST EMPLOYEES

(Previously Ch 8 lAC renumbered 12/24/80) (Prior to 9/24/86, Labor, Bureau of (530))

347-9.1(88) Introductory statement.

Ch 9, p.l

9.1(1) The Occupational Safety and Health Act, Iowa Code chapter 88, hereinafter referred to as the Act, is designed to regulate employment conditions relating to occupational safety and health and to achieve safer and healthier workplaces throughout the state. By the terms of the Act, every person engaged in a business, the state of Iowa and its various departments and agencies and any political subdivision of the state, who have employees is required to furnish each of its employees employment and a place of employment free from recognized hazards that are causing or likely to cause death or serious physical harm, and, further, to comply with occupational safety and health standards promulgated under the Act.

9.1(2) Employees and representatives of employees are afforded a wide range of substantive and procedural rights under the Act. Moreover, effective implementation of the Act and achievement of its goals depend in large part upon the active but orderly participation of employees, individually and through their representatives, at every level of safety and health activity.

9.1(3) This chapter deals essentially with the rights of employees afforded under section 88.9(3). Section 88.9(3) prohibits reprisals, in any form, against employees who exercise rights under the Act.

347-9.2(88) Purpose of this chapter. The purpose of this chapter is to make available in "-- one place interpretations of the various provisions of Iowa Code section 88.9(3), which will

guide the commissioner of labor in the performance of duties.

347-9.3(88) General requirements of Iowa Code section 88.9(3). Section 88.9(3) provides in general that no person shall discharge or in any manner discriminate against any employee because the employee has:

1. Filed any complaint under or related to the Act; 2. Instituted or caused to be instituted any proceeding under or related to the Act; 3. Testified or is about to testify in any proceeding under the Act or related to the Act;

or 4. Exercised on the employee's own behalf or on behalf of others any right afforded by

the Act. Any employee who believes that the employee has been discriminated against in violation of section 88.9(3) may, within thirty (30) days after such violation occurs, lodge a complaint with the commissioner of labor alleging the violation. The commissioner shall then cause an appropriate investigation to be made. If, as a result of the investigation, the commissioner determines that the provisions of section 88.9(3) have been violated civil action may be instituted in any appropriate district court, to restrain violations of section 88.9(3) and to obtain other appropriate relief, including rehiring or reinstatement of the employee to the former position with backpay. Section 88.9(3) further provides for notification of complainants by the commissioner of determinations made pursuant to their complaints.

347-9.4(88) Persons prohibited from discriminating. Section 88.9(3) specifically states that "no person shall discharge or in any manner discriminate against any employee" because the employee has exercised rights under the Act. Section 88.3(3) defines "person" as "one or more individuals, partnerships, associations, corporations, business trusts, legal

"-"' representatives, or any organized group of persons." Consequently, the prohibitions of section 88.9(3) are not limited to actions taken by employers against their own employees. A person may be chargeable with discriminatory action against an employee of another person. Section 88. 9(3} would extend to such entities as organizations representing


employees for collective bargaining purposes, employment agencies, or any other person in a position to discriminate against an employee.

347-9.5(88)t Persons protected by Iowa Code section 88.9(3). 9.5(1) All employees are afforded the full protection of section 88.9(3). For purposes of

the Act, an employee is defined as "an employee of an employer who is employed in a business of his employer.''

9.5(2) Reserved. This rule is intended to implement Iowa Code section 88.9(3).

347-9.6(88) Unprotected activities distinguished. 9.6(1) Actions taken by an employer, or others, which adversely affect an employee may

be predicated upon nondiscriminatory grounds. The proscriptions of section 88. 9(3) apply '\.w,l when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in activities protected by the Act does not automatically render the employee immune from discharge or discipline for legitimate reasons, or from adverse action dictated by nonprohibited considerations.

9.6(2) At the same time, to establish a violation of section 88 .. 9(3), the employee's engagement in protected activity need not be the sole consideration behind discharge or other adverse action. If protected activity was a substantial reason for the action, or if the discharge or other adverse action would not have taken place "but for" engagement in protected activity, section 88. 9(3) has been violated. Ultimately, the issue as to whether a discharge was because of protected activity will have to be determined on the basis of the facts in the particular case.

9. 7 Reserved. 9.8 Reserved. \.wV

347-9.9(88) Complaints under or related to the Act. 9.9(1) Discharge of, or discrimination against, an employee because the employee has

filed "any complaint ... under or related to this Act ... " is prohibited by section 88.9(3). An example of a complaint made "under" the Act would be an employee request for inspection pursuant to section 88.6(5). However, this would not be the only type of complaint protected by section 88.9(3). The range of complaints "related to" the Act is commensurate with the broad remedial purposes of this legislation and the sweeping scope of its application.

9.9(2) Complaints registered with other governmental agencies which have the authority to regulate or investigate occupational safety and health conditions are complaints "related to" this Act. These types of complaints, however, must relate to conditions at the workplace, l

1 as distinguished from complaints touching only upon general public safety and health. .._..,

9.9(3) Further, the salutary principles of the Act would be seriously undermined if employees were discouraged from lodging complaints about occupational safety and health matters with their employers. Such complaints to employers, if made in good faith, therefore would be related to the Act, and an employee would be protected against discharge or discrimination caused by a complaint to the employer.

347-9.10(88) Proceedings under or related to the Act. 9.10(1) Discharge of, or discrimination against, any employee because the employee has

"instituted or caused to be instituted any proceeding under or related to this Act" is also prohibited by section 88.9(3). Examples of proceedings which could arise specifically under the Act would be inspections of workplaces under section 88.6, an employee contest of an abatement date under section 88.8(3), an employee application for modification or revocation ~

tobjcction was filed 6/S/19 to rule as appeared S/16179, see lAB 6127179 ror text or objection as well as amended language intended to overcome objection.


of a variance under section 88.5 and an employee appeal of an order of the employment appeal board under section 88.9(1). In determining whether a "proceeding" is "related to" the Act, the considerations discussed in rule 8.9(88) would also be applicable.

9.10(2) An employee need not directly institute the proceedings. It is sufficient if the employee sets into motion activities of others which result in proceedings under or related to the Act.

347-9.11(88) Testimony. Discharge of, or discrimination against, any employee because the employee "has testified or is about to testify" in proceedings under or related to the Act is also prohibited by section 88.9(3). This protection would of course not be limited to testimony in proceedings instituted or caused to be instituted by the employee, but would extend to any statements given in the course of judicial, quasi-judicial, and administrative proceedings, including inspections, investigations, and administrative rule making or adjudicative functions. If the employee is giving or is about to give testimony in any proceeding under or related to the Act, the employee would be protected against discrimination resulting from such testimony.

347-9.12(88) Exercise of any right afforded by the Act. 9.12(1) In addition to protecting employees who file complaints, institute proceedings,

or testify in proceedings under or related to the Act, Iowa Code section 88.9(3) also protects employees from discrimination occurring because of the exercise "of any right afforded by this chapter." Certain rights are explicitly provided in the Act; for example, there is a right to participate as a party in enforcement proceedings. Certain other rights exist by necessary implication. For example, employees may request information from the bureau of occupational safety and health of the division of labor services of the department of employment services; such requests would constitute the exercise of a right afforded by the Act. Likewise,

~ employees interviewed by agents of the commissioner in the course of inspections or investigations could not subsequently be discriminated against because of their co-operation.

9.12(2) On the other hand, review of the Act and examination of the legislative history discloses that, as a general matter, there is no right afforded by the Act which would entitle employees to walk off the job because of potential unsafe conditions at the workplace. Hazardous conditions which may be violative of the Act will ordinarily be corrected by the employer, once brought to its attention. If corrections are not accomplished, or if there is dispute about the existence of a hazard, the employee will normally have opportunity to request inspection of the workplace pursuant to section 88.6(5), or to seek assistance of other public agencies which have responsibility in the field of safety and health. Under such circumstances, therefore, an employer would not ordinarily be in violation of section 88. 9(3) by taking action to discipline an employee for refusing to perform normal job activities because of alleged safety or health hazards.

~ 9.12(3) However, occasions might arise when an employee is confronted with a choice between not performing assigned tasks or being subjected to serious injury or death arising from a hazardous condition at the workplace. If the employee, with no reasonable alternative, refuses in good faith to be exposed to the dangerous condition, the employee would be protected against subsequent discrimination. The condition causing the employee's apprehension of death or injury must be of such a nature that a reasonable person, under the circumstances then confronting the employee, would conclude that there is a real danger of death or serious injury and that there is insufficient time, due to the urgency of the situation, to eliminate the danger through resort to regular statutory enforcement channels. In addition, in such circumstances, the employee, where possible, must also have sought from the employer, and been unable to obtain, a correction of the dangerous condition.

9.13 Reserved. '-..) 9.14 Reserved.


347-9.15(88) Filing of complaint for discrimination. 9.15(1) A complaint of section 88.9(3) discrimination may be filed by the employee, or

by a representative authorized to do so on the employee's behalf. No particular form of complaint is required. A complaint should be filed with the commissioner of labor.

9.15(2) Iowa Code section 88.9(3) provides that an employee who believes discriminatory actions have occurred in violation of section 88.9(3) "may, within thirty days after such violation occurs," file a complaint with the commissioner. The major purpose of the thirty day period in this provision is to allow the commissioner to decline to entertain complaints which have become stale. Accordingly, complaints not filed within thirty days of an alleged violation will ordinarily be presumed to be untimely. However, there may be circumstances which would justify tolling of the thirty-day period on recognized equitable principles or because of strongly extenuating circumstances, e.g., where the employer has concealed, or misled the employee regarding the grounds for discharge or other adverse action or where the discrimination is in the nature of a continuing violation. The pendency of grievance-arbitration proceedings or filing with another agency, among others, are circumstances which do not justify tolling of the thirty-day period. In the absence of circumstances justifying a tolling of the thirtyday period, untimely complaints will not be processed.

9.16 Reserved.

347-9.17(88) Withdrawal of complaint. Enforcement of the provisions of section 88.9(3) is not only a matter of protecting rights of individual employees, but also of public interest. Attempts by an employee to withdraw a previously filed complaint will not necessarily result in termination of the commissioner's investigation. The commissioner's jurisdiction cannot be foreclosed as a matter of law by unilateral action of the employee. However, a voluntary and uncoerced request from a complainant to withdraw the complaint will be given careful consideration and substantial weight as a matter of policy and sound enforcement procedure.

347-9.18(88) Arbitration or other agency proceedings. 9.18(1) An employee who files a complaint under Iowa Code section 88.9(3) of the Act

may also pursue remedies under grievance arbitration proceedings in collective bargaining agreements. In addition, the complainant may concurrently resort to other agencies for relief, such as the National Labor Relations Board or the Iowa department of personnel. The commissioner's jurisdiction to entertain section 88.9(3) complaints, to investigate, and to determine whether discrimination has occurred, is independent of the jurisdiction of the other agencies or bodies. The commissioner may file action in district court regardless of the pendency of other proceedings. However, the commissioner also recognizes the policy favoring voluntary resolution of disputes under proceedings in collective bargaining agreements. By the same token, due deference should be paid to the jurisdiction of other forums established to resolve disputes which may also be related to section 88. 9(3) complaints. Where a complainant is in fact pursuing remedies other than those provided by section 88.9(3), postponement of the commissioner's determination and deferral to the results of such proceedings may be in order.

9.18(2) Postponement of determination would be justified where the rights asserted in other proceedings are substantially the same as rights under section 88. 9(3) and those proceedings are not likely to violate the rights guaranteed by section 88. 9(3). The factual issues in such proceedings must be substantially the same as those raised by section 88. 9(3) complaint, and the forum hearing the matter must have the power to determine the ultimate issue of discrimination.

9.18(3) A determination to defer to the outcome of other proceedings initiated by a complainant must necessarily be made on a case-to-case basis, after careful scrutiny of all available information. Before deferring to the results of other proceedings, it must be clear that those proceedings dealt adequately with all factual issues, that the proceedings were fair, regular, and free of procedural infirmities, and that the outcome of the proceedings


was not repugnant to the purpose and policy of the Act. In this regard, if such other actions initiated by a complainant are dismissed without adjudicatory hearing thereof, the dismissal will not ordinarily be regarded as determinative of the section 88.9(3) complaint.

9.19 Reserved. 9.20 Reserved.

347-9.21(88) Walkaround pay disputes. An employers's failure to pay employees for time during which they are engaged in walkaround inspections, or in other inspection related activities, such as responding to questions of compliance officers, or participating in the opening and closing conferences, is discriminatory under section 88. 9(3) so long as neither the number of employees participating nor the time required to express employee concerns is excessive. An authorized employee representative shall be given the opportunity to accompany on the physical inspection pursuant to 88.6(4) and 530-3.6(88) lAC.


347-9.22(88) Employee refusal to comply with safety rules. Employees who refuse to comply with occupational safety and health standards or valid safety rules implemented by the employer in furtherance of the Act are not exercising any rights afforded by the Act. Disciplinary measures taken by employers solely in response to employee refusal to comply with appropriate safety rules and regulations, will not ordinarily be regarded as discriminatory action prohibited by section 88.9(3). This situation should be distinguished from refusals to work, as discussed in rule 8.12(88).

These rules are intended to implement Iowa Code sections 84A.1, 84A.2, 88.2, and 88.9(3). [Filed 4/27/79, Notice 11 /29/78---published 5/16/79, effective 6/25/79]


[Filed 12/5/80, Notice 10/29/80-published 12/24/80, effective 1128/81] [Filed emergency 9/5/86-published 9/24/86, effective 9/24/86]



CHAPTER 10 GENERAL INDUSTRY SAFETY AND HEALTH RULES

[Prior 10 9/24/86, Labor, Bureau of (S30))

347-10.1(88) Definitions. As used in these rules, unless the context clearly requires otherwise:

uPart,. means 347-chapter 10, Iowa Administrative Code. ustandard,. means a standard which requires conditions, or the adoption or use of one or

more practices, means, methods, operations, or processes, reasonably necessary or appropriate to provide safe or healthful employment and places of employment.

347-10.2(88) Applicability of standards. 10.2(1) None of the standards in this chapter shall apply to working conditions of

employees with respect to which federal agencies other than the United States Department of Labor, exercise statutory authority to prescribe or enforce standards or regulations affecting occupational safety or health.

10.2(2) If a particular standard is specifically applicable to a condition, practice, means, method, operation, or process, it shall prevail over any different general standard which might otherwise be applicable to the same condition, practice, means, method, operation, or process.

10.2(3) However, any standard shall apply according to its terms to any employment and place of employment in any industry, even though particular standards are also prescribed for the industry, as in 1910.12, 1910.261, 1910.262, 1910.263, 1910.264, 1910.265, 1910.266, 1910.267, and 1910.268 of 29 C.F.R. 1910, to the extent that none of such particular standards applies.

10.2(4) In the event a standard protects on its face a class of persons larger than employees, the standard shall be applicable under this part only to employees and their employment and places of employment.

10.2(5) An employer who is in compliance with any standard in this part shall be deemed to be in compliance with the requirement of Iowa Code section 88.4, but only to the extent of the condition, practice, means, method, operation or process covered by the standard.

: 4..:.. •

347-10.3(88) Incorporation by reference. The standards of agencies of the U.S. Government, and organizations which are not agencies of the U.S. Government which are incorporated by reference in this chapter have the same force and effect as other standards in this chapter. Only mandatory provisions (i.e., provisions containing the word "shall" or other mandatory language) of standards incorporated by reference are adopted under the Act.

10.4 to 10.11 Reserved.

347-10.12(88) Construction work. 10.12(1) Standards. The standards prescribed in 347 lAC chapter 26 are adopted as oc

cupational safety and health standards and shall apply, according to the provisions thereof, to every employment and place of employment of every employee engaged in construction work. Each employer shall protect the employment and places of employment of each employee engaged in construction work by complying with the provisions of 347 lAC chapter 26.

10.12(2) Definition. For the purpose of this rule, uconstruction work" means work for construction, alteration, or repair including painting and redecorating, and where applicable, the erection of new electrical transmission and distribution lines and equipment, and the alteration, conversion, and improvement of the existing transmission and distribution lines and equipment. This incorporation by reference of 347 lAC chapter 26 (Part 1926) is not intended to include references to interpretative rules having relevance to the application of the construction safety Act, but having no relevance to the application of Iowa Code chapter 88.


347-10.19(88) Special provisions for air contaminants. 10.19(1) Asbestos dust. Rule 1910.1001 of the federal rules as adopted by reference in

347-10.20(88) shall apply to the exposure of every employee to asbestos dust in every employment and place of employment covered by 347-10.12(88), in lieu of any different stan-


\...,/' dard on exposure to asbestos dust which would otherwise be applicable by virtue of any rule adopted in 347 lAC chapter 26.

10.19(2) Vinyl chloride. Rule 1910.1017 of the federal rules as adopted by reference in 347-10.20(88) shall apply to the exposure of every employee to vinyl chloride in every employment and place of employment covered by 347-10.12(88), in lieu of any different standard on exposure to vinyl chloride which would otherwise be applicable by virtue of any rule adopted in 347 lAC chapter 26.

10.19(3) Acrylonitrile. Rule 1910.1045 of the federal rules as adopted by reference in 347-10.20(88) shall apply to the exposure of every employee to acrylonitrile in every employment and place of employment covered by 347-10.12(88), in lieu of any different standard on exposure to acrylonitrile which would otherwise be applicable by virtue of any rule adopted in 347 lAC chapter 26.

10.19(4) Inorganic arsenic. Rule 1910.1018 of the federal rules as adopted by reference '-...) in 347-10.20(88) shall apply to the exposure of every employee to inorganic arsenic in every

employment and place of employment covered by 347-10.12(88), in lieu of any different standard on exposure to inorganic arsenic which would otherwise be applicable by virtue of any rule adopted in 347 lAC chapter 26.

10.19(5) Rescinded, effective 6/10/87. 10.19(6) Lead. Rule 1910.1025 of the federal rules as adopted by reference in 347-10.20(88)

shall apply to the exposure of every employee to lead in every employment and place of employment covered by 347-10.12(88), in lieu of any different standard on exposure to lead which would otherwise be applicable by virtue of any rule adopted in 347-chapter 26.

10.19(7) Ethylene oxide. Rule 1910.1047 of the federal rules as adopted by reference in 347-10.20(88) shall apply to the exposure of every employee to ethylene oxide in every employment and place of employment covered by 347-1 0.12(88), in lieu of any different standard on exposure to ethylene oxide which would otherwise be applicable by virtue of any rule

\..1 adopted in 347-chapter 26.


347-10.20(88) Adoption by reference. The rules beginning at 1910.20 and continuing through 1910, as adopted by the United States secretary of labor shall be the rules for implementing Iowa Code chapter 88. This rule adopts the Federal Occupational Safety and Health Standards of29 C.F.R., Chapter XVII, Part 1910 as published at 37 Fed. Reg. 22102 to 22324 (October 18, 1972) and as amended at: 37 Fed. Reg. 23719 (November 8. 1972) 37 Fed. Reg. 24749 (November 21. 1972) 38 Fed. Reg. 3599 (February 8. 1973) 38 Fed. Reg. 9079 (April 10. J 973) 38 Fed. Reg. 10932 (May 3, 1973) 38 Fed. Reg. 14373 (June J, 1973) 38 Fed. Reg. 16223 (June 21, I 973) 38 Fed. Reg. 19030 (July 17, 1973) 38 Fed. Reg. 27048 (September 28, 1973) 38 Fed. Reg. 28035 (October It, 1973) 38 Fed. Reg. 33397 (December 4. 1973) 39 Fed. Reg. 1437 (January 9. J 974) 39 Fed. Reg. 3760 (January 29. 1974) 39 Fed. Reg. 6110 (February 19. 1974) 39 Fed. Reg. 9958 (March I 5, 1974) 39 Fed. Reg. 19468 (June 3, 1974) 39 Fed. Reg. 35896 (October 4, 1974) 39 Fed. Reg. 41846 (December 3, 1974) 39 Fed. Reg. 41848 (December 3, 1974) 40 Fed. Reg. 3982 (January 27, 1975) 40 Fed. Reg. 13439 (March 26, 1975) 40 Fed. Reg. 18446 (April 28, 1975) 40 Fed. Reg. 23072 (May 28. 1975) 40 Fed. Reg. 23743 (June 2, 1975) 40 Fed. Reg. 24522 (June 9, 1975) 40 Fed. Reg. 27369 (June 27, 1975) 40 Fed. Reg. 31598 (July 28. 1975) 41 Fed. Reg. 11504 (March 19, 1976) 41 Fed. Reg. 13352 (March 30, 1976) 41 Fed. Reg. 35184 (August 20, 1976) 41 Fed. Reg. 46784 (October 2~. 1976) 41 Fed. Reg. 55703 (December 21, 1976) 42 Fed. Reg. 2956 (January 14, 1977) 42 Fed. Reg. 3304 (January 18, · 1977) 42 Fed. Reg. 45544 (September~9. 1_977) 42 Fed. Reg. 46540 (September 16. 1977) 42 Fed. Reg. 37668 (July 22. 1977) 43 Fed. Reg. 11527 (March 17. 1978) 43 Fed. Reg. I %24 (May 5. 1978) 43 Fed. Reg. 27394 (June 23. 1978) 43 Fed. Reg. 27434 (June 23. 1978) 43 Fed. l~eg. 28472 (June 30. 1978) 43 Fed. Reg. 28473 (June 30, 1978) 43 Fed. Reg. 31330 (July 21. 1978) 43 Fed. Reg. 35032 (August 8. 1978) 43 Fed. Reg. 45809 (October 3. 1978) 43 Fed. Reg. 49744 (October 24. 1 978) 43 Fed. Reg. 51759 (November 7, 1978)

43 Fed. Reg. 53007 (November 14, 1978) 43 Fed. Reg. 56893 (December 5, 1978) 43 Fed. Reg. 57602 (December 8, 1978) 44 Fed. Reg. 5447 (January 26, 1979) 44 Fed. Reg. 50338 (August 28, 1979) 44 ·Fed. Reg. 60981 (October23, 1979) 44 Fed. Reg. 68827 (November 30, 1979) 45 Fed. Reg. 6713 (January 29, 1980) 45 Fed. Reg. 8594 (February 8, 1980) 45 Fed. Reg. 12417 (February 26, 1980) 45 Fed. Reg. 35277 (May 23, 1980) 45 Fed. Reg. 41634 (June 20, 1980) 45 Fed. Reg. 54333 (August 15, 1980) 45 Fed. Reg. 60703 (September 12, 1980) 46 Fed. Reg. 4056 (January 16, 1981) 46 Fed. Reg. 6288 (January 21, 1981) 46 Fed. Reg. 24557 (May 1, 1981) 46 Fed. Reg. 32022 (June 19, 1981) 46 Fed. Reg. 40185 (August 7, 1981) 46 Fed. Reg. 2632 (August 21, 1981) 46 Fed. Reg. 42632 (August 21, 1981) 46 Fed. Reg. 45333 (September 11, 1981) '..I 46 Fed. Reg. 60775 (December 11, 1981) 47 Fed. Reg. 39161 (September 7, 1982) 47 Fed. Reg. 51117 (November 12, 1982) 47 Fed. Reg. 53365 (November 26, 1982) 48 Fed. Reg. 2768 (January 21, 1983) 48 Fed. Reg. 9641 (March 8, 1983) 48 Fed. Reg. 9776 (March 8, 1983) 48 Fed. Reg. 29687 (June 28, 1983) 49 Fed. Reg. 881 (January 6, 1984) 49 Fed. Reg. 4350 (February 3, 1984) 49 Fed. Reg. 5321 (February 10, 1984) 49 Fed. Reg. 25796 (June 22, 1984) 50 Fed. Reg. 1050 (January 9, 1985) 50 Fed. Reg. 4648 (February 1, 1985) 50 Fed. Reg. 9800 (March 12, 1985) 50 Fed. Reg. 36992 (September 11, 1985) 50 Fed. Reg. 37353 (September 13, 1985) 50 Fed. Reg. 41494 (October 11, 1985) 50 Fed. Reg. 51173 (December 13, 1985) 51 Fed. Reg. 22733 (June 20, 1986) 51 Fed. Reg. 224325 (July 3, 1986) 51 Fed. Reg. 25053 (July 10, 1986) 51 Fed. Reg. 33033 (September 18, 1986) 51 Fed. Reg. 34560 (September 29, 1986) 51 Fed. Reg. 45663 (December 19, 1986) \...!


(1) The application of 29 C.F.R. 1910.1025(e)(i), which provides for compliance by \..._,/ engineering and work practice controls, is stayed. During the period of this stay, the present

lead exposure standard, 29 C.F.R. 1910.1000, Table Z-2, remains in effect. The application of 29 C.F.R. 1910.1025(e)(2), which provides for respiratory protection, is effective except for the reference to paragraph (0 as elsewhere stayed. The provisions of 29 C.F.R. 1910.1025(e)(3), governing written compliance programs, are stayed, except for paragraph (F). The remaining portions of 29 C.F.R. 1910.1025(e) are stayed.

(2) The application of 29 C.F.R. 1910.1025(0(2)(ii) is stayed. During the period of the stay employers shall provide a powered, air-purifying respirator in lieu of the respirator specified in Table II of (0(2)(i) when the physical characteristics of the employee are such that the respirators specified in Table II are inadequate for his/her protection.

(3) The application of 29 C.F.R. 1910.1025(i), governing hygiene facilities and practices, is stayed to the extent this section requires the construction of new facilities or substantial

~ renovation of existing facilities. The provisions in paragraph (i)(6) are stayed. (4) The application of 29 C.F.R. 1910.10250), governing medical surveillance, is stayed to

the following extent: (1) with respect to the requirements in paragraph 0)(2) that employers conduct biological monitoring of zinc protoporphyrin and in paragraph 0)(3)(ii)(D) that they conduct medical examinations for zinc protoporphyrin; and (2), with respect to the multiple physician review mechanism established by 29 C.F.R. 1910.10250)(3)(iii) and referred to elsewhere in the standard.

(5) The application of 29 C.F.R. 1910.1025(m), signs, is stayed pursuant to the stipulation of counsel.

This rule is intended to implement Iowa Code sections 84A.1, 84A.2, 88.2 and 88.5. [Filed 7 /13/72; amended 8/29/72, 12/1/72, 8/16/73, 10/11/73, 3/18/74, 6/12/74,

12/3/74, 3/13/75] ,

1 [Filed 2/20/76, Notice 12/29/75-published 3/8/76, effective 4/15/76]

,.._... [Filed 6/21/76, Notice 5/17/76-published 7/12/76, effective 8/20/76] [Filed 4/13/77, Notice 3/9/77-published 5/4/77, effective 6/9/77] !Filed emergency 10/13/77-published 11/2/77, effective 10/13/77]

!Filed 11/3/78, Notice 9/20/78-published 11/29/78, effective 1/10/79] !Filed emergency 2/2/79-published 2/21/79, effective 2/2/79]

[Filed 8/1/80, Notice 6/25/80-published 8/20/80, effective 9/25/80] [Filed emergency 6/ 15/81-published 7/8/81, effective 6/15/81]

[Filed 8/12/81, Notice7/8/81-published 9/2/81, effective 10/9/81] [Filed 4/22/83, Notice 3/16/83-published 5/11/83, effective 6/15/83] [Filed 5/20/83, Notice 4/13/83-published 6/8/83, effective 7/15/83] [Filed 5/20/83, Notice 4/13/83-published 6/8/83, effective 7 /15/83]

[Filed emergency after Notice 7/1183, Notice 3/16/83-published 7/20/83, effective 7/1183] \..1 [Filed 7/12/84, Notice 3/14/84-published 8/1/84, effective 9/5/84]


[Filed 12/30/85, Notice 10/23/85-published 1/15/86, effective 2/19/86] [Filed 3/21185, Notice 12/18/85-published 4/9/86, effective 5/25/86]

[Filed emergency 6/27/86-published 7/16/86, effective 7/21/86] [Filed 6/27/86, Notice 3/26/86-published 7 I 16/86, effecitve 8/20/86]






lAC 5/6/87

SAFETY AND HEALTH REGULATIONS FOR CONSTRUCTION

CHAPTER 26 CONSTRUCTION SAFETY AND HEALTH RULES

(Prior to 9/24/86, Labor, Bureau of (S30)J

347-26.1(88) Adoption by reference. Rules 1926.20-1926.1003, as adopted by the United States Secretary of Labor, shall be rules for implementing Iowa Code chapter 88. This rule adopts Federal Safety and Health Regulations for Construction of 29 C.F.R., Chapter XVII, Part 1926 as published at 37 Fed. Reg. 27503-27600 (December 16, 1972). These federal rules shall apply and be interpreted to apply to the Iowa Occupational Safety and Health Act, Iowa ~ , Code chapter 88, not the Contract Work Hours and Safety Standards Act, and shall apply .._., and be interpreted to apply to enforcement by the Iowa commissioner of labor, not the United States Secretary of Labor or the Federal Occupational Safety and Health Administration. The amendments to 29 C.F.R. 1926 are adopted as published at:

38 Fed. Reg. 16856 (June 27, 1973) 38 Fed. Reg. 27594 (October 5, 1973) 38 Fed. Reg. 33397 (December 4, 1973) 39 Fed. Reg. 19470 (June 3, 1974) 39 Fed. Reg. 24361 (July 2, 1974) 40 Fed. Reg. 23072 (May 28, 1975) 41 Fed. Reg. 55703 (December 21, 1976) 42 Fed. Reg. 2956 (January 14, 1977) 42 Fed. Reg. 37668 (July 22, 1977) 43 Fed. Reg. 56894 (December 5, 1978) 45 Fed. Reg. 75626 (November 14, 1980) 51 Fed. Reg. 22733 (June 20, 1986) 51 Fed. Reg. 25318 (July 11, 1986)

These rules are intended to implement Iowa Code sections 84A.l, 84A.2, 88.2 and 88.5. [Filed 7 /13/72; amended 8/29/72, 8/16/73, 10/11/73, 3/18/74, 12/3/74]

[Filed 2120/76, Notice 12/29/75-published 3/8/76, effective 4/15/76] [Filed 4/13/77, Notice 3/9/77-published 5/4/77, effective 6/9/77]

!Filed 11/3/78. Notice 9/20/78-published 11/29/78, effective 1/10/79] [Filed 8/1180, Notice 6/25/80-published 8/20/80, effective 9/25/80] [Filed 8/12/81, Notice 7/8/81-published 9/2/81, effective 10/9/81]

[Filed emergency 9/5/86-published 9/24/86, effective 9/24/86] [Filed emergency 10/1186-published 10/22/86, effective 10/1186]



\..-1 tion against penetration of the midsole by a size 80 common nail when at least 300 pounds of static force is applied to the nail.

1...._;

347-27 .6(88) Body protection. 27 .6(1) Body protection shall be co-ordinated with foot and leg protection to ensure full

body protection for the wearer. This shall be achieved by one of the following methods: a. Wearing a fire-resistive coat meeting the requirements of subrule 27 .6(2) in combination

with fully extended boots meeting the requirement of rule 27 .5(88). b. Wearing a fire-resistive coat in combination with protective trousers both of which meet

the requirements of 27.6(2). 27.6(2) The performance, construction and testing of fire-resistive coats and protective

trousers shall be at least equivalent to the requirements of the National Fire Protection Association (NFPA) standard NFPA No. 1971-1975, "Protective Clothing for Structural Fire Fighting" with the following permissible variations in those requirements:

a. The liner may be detachable but the shell is not permitted to be worn without the liner while performing fire fighting.

b. To achieve increased ventilation of trapped body heat, the outer shell and vapor barrier may be penetrated by ventilation openings protected by nonmetallic flame resistant material equal to this rule.

c. Tearing strength of the outer shell shall be a minimum of eight (8) pounds in any direction. d. The criteria for flame resistance of the outer shell including that of trim, after the

removal of the test flame, shall be: Maximum after-flame 2.0 seconds, maximum after-glow 4.0 seconds, and average char-length 6.0 inches.

e. The outer shell and lining may char or discolor but must retain heat resistance and shall not separate or melt when placed in a forced air laboratory oven at a temperature of 500 °F (260 °C) for a period of five (5) minutes.

f. Where fully extended boots are worn, the fire coat shall extend to at least two (2) inches above the knee. Where shorter coats are used, it shall be mandatory to wear protective trousers which meet the requirements of this rule.

347-27. 7(88) Hand protection. 27. 7(1) Hand protection shall be achieved by meeting the following requirements: a. Hand protection shall consist of protective gloves or a glove system which allows dex

terity of hand movement and sense of feel for objects. b. Exterior material of protective gloves shall provide resistance against abrasion and punc

ture. c. Exterior material of gloves shall be fire resistant. Materials shall be tested by Federal Test

Method 191, method 5903 (1971); the maximum after-flame shall be 2.0 seconds, the maximum after-glow 2.0 seconds, and the maximum char-length 4.0 inches (10.2 em).

d. Protective gloves or glove system shall provide thermal insulation. When tested in accordance with National Institute for Occupational Safety and Health (NIOSH) publication, "The Development of Criteria for Firefighters' Gloves; Vol. II: Glove Criteria and Test Methods" (1976), such thermal insulation shall be sufficient so that the temperature inside the palm and gripping surface of the fingers of the gloves shall not exceed 111 op (44 °C) when gloves or glove system are exposed to 932 °F (500 oq or five (5) seconds at 4 psi (28 kPa) pressure.

e. When design of the fire-resistive coat does not otherwise provide protection for the wrist, wristlets of at least 4.0 inches (10.2 em) in length shall be required to protect the wrist area when the arms are extended upward and outward from the body.

27.7(2) The term "gloves" includes mittens.

347-27 .8(88) Head, eye and face protection. \.,..) 27 .8(1) Head protection shall consist of a protective head device with ear flaps and chin

strap which meets the performance, construction, and testing requirements of the National Fire Safety and Research Office of the National Fire Prevention and Control Administration,


U.S. Department of Commerce, which are contained in "Model Performance Criteria for ~ Structural Fire Fighters' Helmets" (August 1977).

27 .8(2) Protective eye and face devices which comply with lAC 347 rule 10.20(88) shall be used by firefighters when performing operations where the hazards of flying or falling materials which may cause eye and face injuries are present. Protective eye and face devices provided as accessories to protective head devices (face shields) are permitted when such devices meet the requirements of rule 10.20(88).

27 .8(3) Firefighters wearing full facepieces of breathing apparatus meeting the requirements of lAC 347 rule 10.20(88) and subrule 27 .10(1), shall be acceptable as meeting the eye and face protection requirements of this rule.

347-27 .9(88) Ear and neck protection. 27 .9(1) Protection against burns or injury to the ears and neck shall be provided by one or '.,'

more of the following means, or an equivalent method: a. Helmet configuration. b. Ear flap attachment to helmet. c. Flexible neck protector cape or winter liner worn with helmet. d. Flared neck shield attached to brim of helmet. e. Hood, shroud or snood. 27 .9(2) Fabric specified in this section shall be constructed and tested in accordance with

the provisions of subrule 27 .6(2). 27 .9(3) Non fabric materials shall meet heat and flame resistance requirements of subrule

27.8(1).

347-27 .10(88) Respiratory protection devices. 27.10(1) Respiratory protection devices shall meet the following general requirements: ~ a. The employer shall assure that respiratory protective devices worn by fire fighters meet

the requirements contained in ANSI Z88.5-1979. b. Approved self-contained breathing apparatus with full facepiece or with approved

helmet or hood configuration shall be worn by firefighters while working inside buildings or confined spaces where there are toxic products of combustion or an oxygen deficiency may be present. Such apparatus shall also be worn during emergency situations involving toxic substances.

c. Approved self-contained breathing apparatus may be equipped with either a ''buddy breathing" device or a quick disconnect valve even if these devices are not certified by NIOSH (National Institute for Occupational Safety and Health). If these accessories are used, they shall not cause damage to the apparatus, or restrict the air flow of the apparatus, or obstruct the normal operation of the apparatus.

d. Self-contained compressed air breathing apparatus may be used with cylinders from ~~ other approved self-contained compressed air breathing apparatus provided that such cylinders are of the same capacity and pressure rating. All compressed air cylinders used with self-contained breathing apparatus provided that such cylinders are of the same capacity and pressure rating. All compressed air cylinders used with self-contained breathing apparatus shall meet DOT and NIOSH criteria.

e. Self-contained breathing apparatus shall have a minimum service life of thirty minutes in accordance with the methods and requirements of the Mine Safety and Health Administration (MSHA) and NIOSH except for escape self-contained breathing apparatus (ESCBA) used only for emergency escapes purposes.

f. Self-contained breathing apparatus shall be provided with an indicator which automatically sounds an audible alarm when the remaining rated service life of the apparatus is reduced to within a range of twenty (20) to twenty-five percent (25 OJo) of its rated service time.

g. The employer shall assure that each respiratory protection device be cleaned, disinfected, "-"' and where appropriate, refilled after each use. Self-contained breathing apparatus shall be stored in such a manner that it will be maintained in a clean and operable condition.


17.10(1) The employer shall assure that self-contained breathing apparatus purchased are of the pressure-demand, or other positive-pressure type when such apparatus is worn by fire fighters while performing interior structural fire-fighting operations. Only pressure-demand or other positive-pressure self-contained breathing apparatus shall be used while performing interior structural fire fighting.

17 .10(3) This paragraph does not prohibit the use of a self-contained breathing apparatus where the apparatus can be switched from a demand to a positive-pressure mode. However, such apparatus shall be in the positive-pressure mode when the firefighter is performing interior structural firefighting operations.

17.10(4) Negative-pressure self-contained breathing apparatus with a rated service life of more than two hours shall not be used.

These rules are intended to implement Iowa Code sections 84A.1, 84A.2, 88.2(1), 88.2(4) and 88.5(11).

[Filed 1130/81, Notice 11/12/80-published 2/18/81, effective 4/1181] [Filed emergency 9/5/86-published 9/24/86, effective 9/24/86]


CHAPTER 28 OCCUPATIONAL SAFETY AND HEALTH STANDARDS FOR AGRICULTURE

[Prior to 9/24/86, Labor, Bureau of (530))

347-18.1(88) Adoption by reference. Rules 1928.1, 1928.21, 1928.51-1928.53 and 1928.57, as adopted by the United States Secretary of Labor, shall be rules for implementing Iowa Code chapter 88. This rule adopts the federal Occupational Safety and Health Standards for Agriculture, 29 C.F.R. 1928 as published at 40 Fed. Reg. 18253-18268 (April25, 1975) and as amend-ed at: •

41 Fed. Reg. 10190 (March 9, 1976) 41 Fed. Reg. 11022 (March 16, 1976) 41 Fed. Reg. 22268 (June 2, 1976) 41 Fed. Reg. 46598 (October 22, 1976) 42 Fed. Reg. 37668 (July 22, 1977) 42 Fed. Reg. 38569 (July 29, 1977) 43 Fed. Reg. 27463 (June 23. 1978) 43 Fed. Reg. 28474 (June 30, 1978) 43 Fed. Reg. 35036 (August 8, 1978) 46 Fed. Reg. 32022 (June 19, 1981) These federal rules shall apply and be interpreted to apply to the Iowa Occupational Safety

and Health Act, Iowa Code chapter 88 and enforcement by the labor commissioner. This rule is intended to implement Iowa Code sections 84A.l, 84A.2, 88.2 and 88.5.

[Filed 2/20/76, Notice 12/29/75-published 3/8/76, effective4/15/76] [Filed 6/21176, Notice 5/17 /76-published 7/12/76, effective 8/20/76]

[Filed 4/13/77, Notice 3/9/77 -published 5/4/77, effective 6/9/77] [Filed 11/3/78, Notice 9/20/78-published 11/29/78, effective 1/10/79]



.. :

.. ·.

,j

·'


32.8(18) Definitions of terms as used in section 92.8(9). a. Slaughtering and meat packing establishments. Places in or about which cattle, hogs,

sheep, lambs, goats, horses, poultry, rabbits or small game are killed, processed or butchered. The term shall also include establishments which manufacture or process meat products or sausage casings from such animals.

b. Rendering plants. Establishments engaged in the conversion of dead animals, animal offal, animal fats, scrap meats, blood and bones into stock feeds, tallow, inedible greases, fertilizer ingredients and similar products.

32.8{19) Definitions of occupations involved in the operation of certain power-driven bakery machines as provided by section 92.8(10) are interpreted as follows: The following occupations involved in the operation of power-driven bakery machines:

a. The occupations of operating, assisting to operate or setting up, adjusting, repairing, oiling or cleaning any horizontal or vertical dough mixer, batter mixer, bread dividing, rounding or molding machine, dough brake, dough sheeter, combination bread slicing and wrapping machines or cake cutting band saw.

b. The occupation of setting up or adjusting a cooky or cracker machine. 32.8(20) Definitions of wrecking, demolition and shipbreaking operations as provided by

section 92.8(14) are interpreted as follows: All work, including cleanup and salvage work, performed at the site of the total or partial razing, demolishing or dismantling of a building, bridge, steeple, tower, chimney, other structure, ship or other vessel.

32.8(21) Definition of roofing operations as provided by section 92.8(15) is interpreted as follows: All work performed in connection with the application of weatherproofing materials and substances (such as tar or pitch, asphalt prepared !)&.per, tile, slate, metal, translucent materials and shingles of asbestos, asphalt or wood) to roofs of buildings or other structures. The term shall also include all work performed in connection with:

a. The installation of roofs, including related metal work such as flashing and b. Alterations, additions, maintenance and repair, including painting and coating, of

existing roofs. The term shall include gutter and downspout work; the construction of the sheathing or base of roofs; or the installation of television antennas, air conditioners, exhaust and ventilating equipment or similar appliances attached to roofs.

32.8(22) Definition of occupations deemed by the committee on child labor to be hazardous to life or limb as provided in section 92.8(21) shall be interpreted to include the following: Occupations involved in the operation of power cutters on com detasseling machines.

It shall also include occupations involved in the driving of power-driven detasseling machines unless the driver has a valid driver's license or a certificate issued by the Federal Extension Service showing that he has completed a 4-H farm and machinery program.

\__.! 32.9 and 32.10 Reserved.

347-32.11(92) Superintendent's responsibilities. Definition of superintendent as used in section 92.11 shall be interpreted to mean the superintendent of a public school, and in the case of a nonpublic accredited school to be the superintendent or individual with equal responsibilities.


347-32.17(92) No compensation. Definition of work as used in section 92.17(1) shall be interpreted to mean such work for which compensation is not usually given.

32.17(1) Defmition of part-time as provided by section 92.17(3) shall be interpreted to mean one-half of the maximum hours allowed under the Act.


32.17(2) Definition of occupation or business operated by the child's parents as \..,) provided by section 92.17(4) shall be interpreted to be those operated by the child's parent who operates and has complete control of the day to day business of the business and is on the premises during the hours of the child's employment.

This rule is intended to implement Iowa Code-chapter 92. [Filed 4/15/71; amended 2/9/72]


CHAPTERS 33 and 34 Reserved

CHAPTER 35 WAGE COLLECTION PAYMENT

(Prior to 9/24/86, Labor, Bureau of (S30))

347-35.1(91A) Definitions. uc/aim for wages, means the printed form available upon request from the division. ucommissioner, as used herein shall mean the labor commissioner of division of labor ser

vices or a designee. uDivision, means the division of labor services of the department of employment services. uEnforceable claim, as used herein shall mean a claim for wages which merits judicial

proceedings and one which is collectible.

347-35.2(91A) Filing a claim. A claim for wages shall be made by filing a complete claim for wages form with the division located at 1000 East Grand Avenue, Des Moines, Iowa 50319. The claim for wages form is available upon request. The requests may be made by telephoning, writing, or personally visiting the division.

347-35.3(91A) Investigation. 35.3(1) Upon receipt by the division of a completed and signed claim for wages form from

an aggrieved employee, the commissioner shall commence investigation of the claim for wages and the allegations therein. The commissioner's investigation is not to be construed as a contested case as defined in Iowa Code chapter 17A.

35.3(2) The commissioner shall advise the employer in writing of the allegations contained in the claim for wages and shall request a response from the employer within fourteen (14) days' time from the date of the letter. This period may be extended by the commissioner for good cause.

35.3(3) If the employer fails to answer the commissioner's request for response within the fourteen (14) day period, as extended by the commissioner, the commissioner may determine the employee's claim to be enforceable.

35.3(4) If the employer answers the commissioner's request for response within the established time, the commissioner shall notify the aggrieved employee of the employer~s response and afford that employee an opportunity to present additional information in support of the employee's claim for wages. The employee shall submit the requested additional information within fourteen ( 14) days from the date of the letter. This period may be altered by the commissioner for good cause.

35.3(5) Upon receipt of the requested additional information from the employee, the commissioner may determine additional information is required from the employer.

lAC 5/6/87 Labor Services[347] Ch 36, p.l

35.3(6) Upon receipt of all requested information, the commissioner may determine the employee's claim for wages to be enforceable and the commissioner shall notify the employee of that determination. Due to the budgetary constraints placed upon the division and its desire to provide the largest number of employees with assistance in the pursuit of claimed wages, the commissioner may determine that a claim is unenforceable by the division if the claim is of a complex nature requiring extensive legal discovery, proceedings, and the claim is for a substantial amount of wages. The fact that a claim for wages is unenforceable for such a reason in no way precludes the employee from seeking the services of a private attorney. The employee may have the attorney's fees reimbursed should that employee prevail in court as provided by Iowa Code section 91A.8. Should the commissioner determine the claim is unenforceable by the division, the commissioner shall so notify the employee. The fact that the commissioner has determined a claim for wages is unenforceable in no way precludes the employee from pursuing the matter, or from seeking the services of a private attorney. The employee may have the attorney's fees reimbursed should the employee prevail in court as provided by Iowa Code section 91A.8.

35.3(7) Upon a determination that a claim for wages is enforceable, the commissioner shall notify the employer of that determination in writing and afford the employer an opportunity to tender settlement within fourteen (14) days of the writing prior to initiating judicial proceedings.

347-35.4(91A) Judicial proceedings. Upon filing a legal action, the commissioner shall be bound by the standard of conduct required by the code of professional responsibility for lawyers.

These rules are intended to implement Iowa Code chapter 91A and section 84A.2. [Filed 7/1183, Notice 5/11/83-published 7/20/83, effective 9/1183]


CHAPTER 36 DISCRIMINATION AGAINST EMPLOYEES

(Prior to 9/24/86, Labor, Bureau of (530))

347-36.1(91A) Definitions. "Division, means the division of labor services. "Commissioner, means the labor commissioner of the division of labor services or a designee. "Employer" means any person as defined in Iowa Code chapter 4, who in this state em-

ploys for wages a natural person. "Employee" means a natural person as defined in Iowa Code section 9IA.2(3).

'..' 347-36.2(91A) Employee rights. Employees are afforded a wide range of substantive and procedural rights under the Act. This chapter deals with the protection of employees. Iowa Code section 91A.10(5) prohibits the discharge of an employee or discriminatory actions against an employee for exercising rights under the Act.

347-36.3(91A) Purposes. This chapter describes the procedures, functions and interpretations established by the commissioner with respect to implementation and enforcement of Iowa Code section 91A.10(5).

347-36.4(91A) General requirements. Iowa Code section 91A.I0(5) provides in general that an employer shall not discharge or in any manner discriminate against any employee because the employee has:

1. Filed any complaint under or related to the Act; ·'-../ 2. Assigned a claim to the commissioner;

3. Instituted or caused to be instituted any proceeding under or related to the Act; 4. Co-operated in bringing any action against an employer; 5. Exercised on the employee's behalf or on behalf of others any right afforded by the Act.


347-36.5(91A) Unprotected activities distinguished. 36.5(1) Actions taken by an employer, or others, which adversely affect an employee may

be predicated upon nondiscriminatory grounds. The prohibitions apply when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in activities protected by the Act does not automatically render the employee immune from discharge or discipline for legitimate reasons, or from adverse action dictated by nonprohibited considerations.

36.5(2) However, to establish a violation, the employee's engagement in protected activity need not be the sole consideration behind discharge or other adverse action. A violation exists if the protected activitiy was a substantial reason for the action, or if the discharge or other adverse action would not have taken place "but for" engagement in the protected activity. The issue as to whether a discharge or discrimination action was because of protected activity will be determined on the basis of the facts in each case.

347-36.6(91A) Complaint under or related to the Act. 36.6(1) Discharge or discriminatory actions to an employee because the employee has filed

a complaint against an employer is prohibited. An example of a complaint would be where an employee filed a wage claim with the commissioner. However, this would not be the only type of action protected. The range of complaints related to the Act is commensurate with the Act's broad remedial purposes.

36.6(2) The statutory principles of the Act would be seriously undermined if employees were discouraged from lodging complaints about wages with their employers. A complaint to the employer made in good faith would be related to the Act, and an employee would be protected against discharge or discrimination caused by the complaint to the employer.

347-36. 7(91A) Proceedings under or related to the Act. '--" 36. 7(1) Discharge of or discrimination against any employee because the employee has

brought an action under the Act, or has co-operated in bringing any action against an employer, is prohibited. An example of co-operating in bringing an action would be a situation which an employee has testified or is about to testify in proceedings under or related to Iowa Code chapter 91A. Protection under the Act would extend to any statements given in the course of judicial, quasi-judicial, and administrative proceeding, including inspections, investigations, or adjudicative functions.

36. 7(2) Reserved.

347-36.8(91A) FiHng of complaint for discrimination or discharge. 36.8(1) Any employee who believes that discrimination in violation of Iowa Code section

91A.l0(5) has occurred, may, within thirty days after the violation occurs, lodge a complaint with the commissioner alleging the violation. No particular form is required. The commis- ~ sioner shall cause an appropriate investigation to be made. If, as a result of the investigation, the commissioner determines that section 9IA.l0(5) has been violated, civil action may be in-stituted in any appropriate district court to restrain the violations and to obtain other appropriate relief, including rehiring or reinstatement of the employee to the former position with back pay.

36.8(2) Complaints not filed within thirty (30) days of an alleged violation will ordinarily be presumed to be untimely. However, there may be circumstances which would justify tolling of the thirty (30)-day period on recognized equitable principles or because of strongly extenuating circumstances, e.g., where the employer has concealed or misled the employee regarding the grounds for discharge or other adverse action, where the employee has within the thirty (30)-day period resorted in good faith to grievance, where the employee has filed a complaint regarding the same general subject with another agency, or where the employer's actions are of the nature of a continuing violation. In the absence of circumstances justifying a tolling \.

1 of the thirty (30)-day period, untimely complaints will not be processed. ~

347-36.9(91A) Withdrawal of complaints. Enforcement is not only a matter of protecting rights of employees, but also of public interest. Attempts by an employee to withdraw a previ-


deposited with the U.S. Post Office by restricted certified mail with return receipt requested and addressed to the licensee at its last known place of business. Notice of hearing shall be not less than twenty calendar days prior to hearing. The procedures including notice, hearing and records shall be in accordance with Iowa Code chapter 17 A relating to contested cases.

38.5(2) The hearing shall be conducted by the commissioner. 38.5(3) A licensee may be represented by an officer, employee, or attorney of the licensee. 38.5(4) The testimony shall be taken under oath or affirmation. 38.5(5) The commissioner shall give notice of the revocation proceedings to any interested

person who has made a written request to the commissioner to be notified of revocation proceedings. The notice shall be sent by first class mail at the time notice is sent to the licensee.

These rules are intended to implement Iowa Code sections 94.11, 95.5, and 17A.l0 to 17A.l8.

347-38.6(94) Permissible fees charged by agency. 38.6(1) The total amount charged to any applicant in any form by an agency shall not

exceed eight percent (8%) of the applicant's gross earnings from that employer for which the agency procured the job in any pay period for a period of time not to exceed the first twelve (12) months from the date of employment. This subrule shall not apply to licensees exempted under Iowa Code section 94.6.

38.6(2) Fees due the agency are payable as earned, however, the applicant may knowingly agree to pay the fee in advance, with the full understanding that the applicant is not required to do so, and the agency guarantees to refund any amounts in excess of eight percent (80Jo) of actual gross earnings, when ascertained. This subrule shall not apply to licensees exempted under Iowa Code section 94.6.

38.6(3) No licensee or any person connected therewith shall require any applicant to execute any negotiable instrument, assignment of earnings, or note except for that amount of fee which is past due to the licensee.

38.6(4) Each licensee shall keep conspicuously posted at its place of business, a copy of each schedule of applicant paid fees on file with the commissioner. The schedules shall be printed in not less than eight (8) point type.

38.6(5) Applicants who have paid the fee in advance must be notified at their last known address by the licensee at the time they make the final payment on the fee that they may have a refund due if they have paid more than eight percent (8%) of the gross earnings of their first year of employment. This rule shall not apply to licensees exempted under Iowa Code section 94.6.

38.6(6) The commissioner considers it to be contrary to public policy for employers to require applicants to contract with the employer to reimburse the employer for an employer paid fee. For positions where a representation is made to an applicant that the employer will pay the fee, the licensee shall guarantee that the fee payment shall be without cost to the applicant. Written notice of the provisions of this subrule shall be given to all applicants to which this subrule applies.

This rule is intended to implement Iowa Code section 94.6

347-38. 7(94) Agency placement procedures. 38. 7(1) Employment availability verified. No licensee shall refer an applicant for an employ

ment interview unless the licensee has verified within the past five (5) calendar days that the situation of employment is still available.

38. 7(2) Deceptive representations. No licensee shall pursue a continued or flagrant course of misrepresentation, or make false promises through advertising or otherwise.

38. 7(3) Advertising. Advertising shall not be written in a form that is intended to deceive. A licensee shall not advertise any salary information which has not been received from the employer. Written communication of licensee shall not contain language which directly or indirectly is likely to cause the public to be confused, mistaken, or deceived that licensee is other than a private employment agency business.



347-38.8(94,95) Contracts and fee schedules. 38.8(1) Schedules furnished. Any schedule of fees to be charged by a licensee to appli-

cants shall be furnished to all applicants at the time of making an application with the licensee. 38.8(2) Contract content. a. Contracts and fee schedules shall not contain smaller than eight (8) point type. b. Contracts and fee schedules shall contain no ambiguous, false or misleading information. c. Each applicant paid fee contract shall contain a provision limiting to one (1) year from

the date of referral the period for which a licensee may assess a placement fee for referral of that applicant to that employer.

d. Contracts and fee schedules of a licensee who solely furnishes or procures vaudeville acts, circus acts, theatrical, or stage or platform attractions or amusement enterprises shall contain language to such effect.

e. Where the licensee provides the option for advance payment, tbe contract and applicant paid fee schedule must clearly state that the applicant knowingly agrees to pay the fee in · advance with the full understanding that the applicant is not required to do so, and that the licensee guarantees to refund any amount in excess of eight percent (80Jo) of the applicant's gross earnings from that employer for which the agency procured the job for a period of time not to exceed the first twelve (12) months from the date of employment, when ascertained. This subrule shall not apply to those licensees exempted by Iowa Code section 94.6.

f. All applicant paid fee contracts and fee schedules must state the fee in dollar amounts as well as percentages.

g. All contracts and fee schedules must clearly state that the agency is licensed by the labor commissioner and that inquiries may be submitted to the Division of Labor Servcies, 1000 East Grand Avenue, Des Moines, Iowa 50319, telephone (515) 281-3606.


347-38.9(94) Required records and report. 38.9(1) Applicant's record. Every licensee shall maintain records on all applicants referred

for job interviews. The record shall include: 1. Name and address of applicant; 2. Name of employer to whom the applicant is referred; 3. The date that the applicant was referred to a prospective employer for a job or an

interview; 4. Type of job offer; 5. Earnings the employer proposed to pay, if known.

38.9(2) Business transaction record. Every licensee shall maintain a record called a business transaction record containing consecutively numbered entries. Each entry shall include:

1. The name and address of the applicant placed; 2. Name and address of employer; 3. Name and title of employer representative; 4. Starting date of position; 5. Starting salary; 6. Whether the fee was employer or applicant paid; 7. If the applicant paid fee:

a. Method of payment; b. Amount of fee paid;

8. If applicant paid fee in advance: a. Amount of earnings paid by the employer to the applicant, unless such information

is refused by applicant and employer; b. Amount of fee paid; c. Amount of refund, if any.


38.9(3) Retention of records. All records listed in subrule 38.9(1) shall be retained within the state for at least two years and all records listed in subrule 38.9(2) shall be retained within the state for at least five years. If records are kept at a location other than the licensee's office the licensee shall give written notification to the commissioner of the address of said location.

38.9(4) Reports. Each licensee shall file a report with the commissioner upon Form EALC-4(309-6167). The report shall be submitted annually by July I for the preceding calendar year from January I to December 31. No license shall be renewed unless Form EALC-4(309-6167) has been completed and returned to the commissioner.


347-38.10(95) Forms. 38.10(1) EALC-1. This form shall contain the name of the applicant, and if the applicant

be a firm, the names of the members, and if it be a corporation, the names of the corporation officers. The form shall contain the name, number and address of the building and place where the business of the agency is to be conducted. The form shall specify the period for which the license is requested. When an applicant is applying for a license for the first time, the applicant shall fill out that portion of this form which contains the affidavits of two reputable citizens of the state in no way connected with the applicant, or, if a firm or corporation, of each of the members or officers thereof, and that the applicant is a citizen of the United States, if a natural person. That portion of Form EALC-1 dealing with the affidavits of two reputable citizens need not be completed when an· applicant is renewing the license.

38.10(2) EALC-2. This form shall contain the schedule of employer paid fees. The form shall state the name and address of the agency, and the period for which the schedule is effective.

38.10(3) EALC-3. This form shall contain the schedule of employee paid fees. The form shall state the name and address of the agency, and the period for which the schedule is effective.

38.10(4) EALC-4. This form shall list the number of placements, applicant paid fees, employer paid fees, and applicant paid fees for each percentage charged.

This rule is intended to implement Iowa Code sections 17A.10 to 17A.I8, 94.6 to 94.8, 94.10, 94.11, 95.1 to 95.3 and 95.5.

[Filed 3/9/78, Notice 11130/77-published 4/5/78, effective 6/30/78] [Filed 1118/79, Notice 10/18/78-published 2/7/79, effective 3/19/79] [Filed 3/18/82, Notice 10/28/81-published 4/14/82, effective 7/1182] [Filed 12/30/85, Notice 10/9/85-published 1/15/86, effective 2/19/86]

[Filed emergency 9/5/86-published 9/24/86, effective 9/24/86] [Filed emergency 4/17 /87-published 5/6/87, effective 4/17 /87]

CHAPTERS 39 and 40 Reserved

NOTE: For rust four lines of history, see Employment Agency Licensing(3SO), Chapters 2, and 4 to 10.

:·

,;.


CHAPTER 72 NEW INSTALLATIONS

[Prior to 9/24/86, Labor, Bureau of (530))

Ch 72, p.1

347-72.1(89A) Purpose and scope. This chapter contains rules of safety standards covering the design, construction, installation, operation, inspection, testing, maintenance, alteration and repair of facilities. As used in this chapter ANSI A17.1 and ANSI C1 shall mean ANSI A17.1 (1971) and ANSI C1-1975 for all facilities installed from January 1 1975, through December 31, 1982, and ANSI A17.1 (1981) and ANSI C1-1981 for all facilities installed on or after January 1, 1983. Any installation which is in compliance with the latest supplements to ANSI A17 .1 shall be considered to be in compliance with this chapter. As used in this rule, the word "installed" refers to the date of written contractual agreement to install the facility.

347-72.2(89A) Definitions. The definitions and interpretations contained in section 3 of the introduction of the American National Standard Safety Code for Elevators, Dumbwaiters~ Escalators and Moving Walks, ANSI A17.1, shall be applicable as used in this chapter to the extent that they do not conflict with the definitions contained in Iowa Code chapter 89A.

347-72.3(89A) Hoistways, hoistway enclosures and related construction for electric elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part I, sections 100-112, are adopted by reference. When ANSI Cl (NFPA 70) is· used in part II it shall be changed to the ANSI Cl (NFPA 70) required by rule 347-72.1(89A).

347-72.4(89A) Machinery and equipment for electric elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part II, sections 200-212, are adopted by reference. When ANSI CI (NFPA 70) is used in part II it shall be changed to the ANSI C1 (NFPA 70) required by rule 347-72.1(89A).

347-72.5(89A) Hydraulic elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part Ill, sections 300-307, are adopted by reference. On hydraulic elevator installations, a scavenger pump or other acceptable means shall be provided, designed to carry excess oil from the cylinder packing gland back to the oil storage tank of the elevator. When ANSI Cl (NFPA 70) is used in part III it shall be changed to the ANSI Cl (NFP A 70) required by rule 347-72.1 (89A).

347-72.6(89A) Power sidewalk elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part IV, sections400-402, are adopted by reference. When ANSI Cl (NFPA 70) is used in part IV it shall be changed to the ANSI C1 (NFPA 70) required by rule 347-72.1(89A).

347-72. 7(89A) Hand elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part VI, sections 600-610, are adopted by reference. When ANSI Cl (NFPA 70) is used in part VI it shall be changed to the ANSI Cl (NFPA 70) required by rule 347-72.1(89A).

347-72.8(89A) Hand and power dumbwaiters. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part VII, sections 700-709, are adopted by reference. When ANSI Cl (NFPA 70) is used in part VII it shall be changed to the ANSI Cl (NFPA 70) required by rule

\,.) 347-72.1(89A).

347-72.9(89A) Elevators. The provisions contained in American National Standard Safety


Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part VIII, ~ sections 800-806, are adopted by reference. When ANSI C1 (NFPA 70) is used in part VIII it shall be changed to the ANSI C1 (NFPA 70) required by rule 347-72.1(89A).

347-72.10(89A) Moving walks. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part IX, sections 900-903, are adopted by reference. When ANSI C1 (NFPA 70) is used in part IX it shall be changed to the ANSI C1 (NFPA 70) required by rule 347-72.1(89A).

347-72.11(89A) Acceptance and periodic tests and inspections of elevators, dumbwaiters, escalators and moving walks. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI Al7.1, part X, sections 1000-1002, are adopted by reference. \wl

347-72.12(89A) Engineering and type tests. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part XI, sections 1100-1103, are adopted by reference.

347-72.13(89A) Alterations, repairs and replacements. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part XII, sections 1200-1202, thereto are adopted by reference.

347-72.14(89A) Design data and formulas. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, part XIII, sections 1300-1308, are adopted by reference.

347-72.15(89A) Power operated special purpose elevators. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, (1981), part XV, sections 1500-1502, are adopted by reference for all power operated special purpose elevators installed after January 1 , 1983.

347-72.16(89A) Hand powered special purpose elevators. Hand powered special purpose elevators shall not be installed after January 1, 1983.

347-72.17(89A) Handicapped applications. All passenger elevators installed between January 1, 1975, and December 31, 1982, which are available and intended for public use shall be usable by the physically handicapped. All passenger elevators shall have control buttons with identifying features for the benefit of the blind and shall allow for wheelchair traffic. All passenger elevators installed on or after January 1, 1983, which are accessible to the general ~ public shall comply with ANSI A117-l.-1980, section 4.10.1-4.10.14.

347-72.18(89A) Handicapped restricted use elevators. This rule permits the installation of elevators not meeting the requirements of rules 347-72.3(89A) and 347-72.4(89A) where the elevators are only used to transport a restricted number of handicapped persons. These rules only apply to locations such as churches, schools, fraternal organizations and similar locations where other elevators do not exist. Operating permits will only be issued where the owner can indicate that the elevator would provide a benefit to handicapped individuals and where the failure to install the restricted use elevator would deprive a known group of handicapped individuals of the use of the building. The provisions contained in American National Standard Safety Code for Elevators, Dumbwaiters, Escalators and Moving Walks, ANSI A17.1, 1981, part V, are adopted by reference for all handicapped restricted use elevators installed after -January 1, 1983. Additionally, the elevator installed under this rule shall comply with the \...~ following limitations:

1. The elevator shall only be used by a maximum of one handicapped person and one


attendant at a time. Where a handicapped individual cannot operate the elevator in a manner which will ensure access to all operating controls and safety features, an attendant shall accompany the handicapped individual.

2. The elevator shall be key operated and shall not be capable of being called by buttons or switches but may be called by a key operator.

3. Keys to operate the elevator shall be in the control of the handicapped person, the attendant or in control of persons in positions of responsibility at the location.

4. A list shall be maintained at the location indicating the persons holding keys for the operation of the elevator.

5. Each landing and the elevator car shall be posted to indicate that the use of the elevator is only for the use of handicapped persons.

6. The travel distance of the elevator shall not exceed fifty feet. These rules are intended to implement Iowa Code chapter 89A. [Filed emergency 12/15/75, Notice 10/6/75-published 12/29/75, effective 12/15/75]

[Filed 7/28/82, Notice 5/26/82-published 8/18/82, effective 9/30/82] [Filed emergency 9/5/86-published 9/24/86, effective 9/24/86] [Filed emergency 4/17/87-published 5/6/87, effective 4/17/87]

CHAPTER 73 EXISTING FACILITIES

[Prior to 9124/86, Labor, Bureau of (530))

347-73.1(89A) Purpose and scope. This chapter establishes minimum safety standards for all existing elevators, dumbwaiters, escalators and moving walks (facilities not covered by 347-chapter 72). This chapter shall apply to all facilities unless specifically stated otherwise. Any facility which is in compliance with the latest supplements to ANSI Al7 .1 or 347-chapter 72 shall be considered to be in compliance with this chapter.

347-73.2(89A) Hoistways. 73.2(1) Each passenger elevator hoistway landing shall be protected with a door or gate.

The door or gate shall be of solid construction and shall guard the entire entrance. 73.2(2) All automatic passenger elevators with power doors shall have nonvision panels

on hoistway doors. 73.2(3) Each hoistway landing in any elevator hoistway shall be continuously provided

with a properly working door or gate. 73.2(4) Where freight elevator hoistway doors or gates are of open or lattice

construction they shall be at least six feet high and shall come within two inches of the floor when closed. Gates shall be constructed as to reject a ball two inches in diameter. They shall withstand a force of two hundred fifty pounds pressure applied in the center of the gate without breaking or forcing it out of its guides.

73.2(5) Manually operated biparting entrances of elevators which can be operated from the landings shall be provided with pull straps on the inside and outside of the upper panel where the lower edge of the upper panel is more than six feet six inches above the landing when the panel is in the fully opened position.

73.2(6) All freight elevators having wooden hoistway gates in an area where power loading equipment, such as fork trucks, electric mules, etc. are used shall have an acceptable means to restrain the power equipment from running through such wooden gates.

73.2(7) Each hoistway door or gate shall be provided with interlocks designed to prevent the car from moving unless the doors or gates are closed. Where doors or gates do not lock when closed they shall lock when the elevator is not more than twelve inches away from the floor. Passenger elevator hoistway doors shall be closed and locked before the car leaves the floor.

Ch 73, p.2 Labor Services[347] lAC 9/24/86, 5/6/87

73.2(8) All hoistway-door interlocks shall be of the hoistway-unit type. 73.2(9) Automatic fire doors shall not lock any landing opening in the hoistway ~

enclosure from the hoistway side nor lock any exit leading from any hoistway landing to the outside of the building.

73.2(10) Emergency keys for hoistway doors and service keys shall be kept readily accessible to authorized persons.

73.2(11) Access means shall be provided at one upper landing to permit access to the top of the car, and at the lowest landing if this landing is the normal point of access to the pit.

73.2(12) Each hoistway door or gate which is counterweighted shall have its weights enclosed in a box-type guide or run in metal guides. The bottom of the guides or boxes shali be so constructed as to retain the counterweight if the counterweight suspension means breaks.

73.2(13) Hoistways containing freight elevators shall be fully enclosed. Enclosures shall be \..J unperforated to a height of six feet above each floor or landing and above the treads of adja-cent stairways. Unperforated enclosures shall be so supported and braced as to deflect not over one inch when subjected to a force of one hundred pounds applied horizontally to any point. Open work enclosure may be used above the six foot level and shall reject a ball two inches in diameter.

73.2(14) Hoistways containing passenger elevators shall be fully enclosed and the enclosure shall be of solid construction to its full height.

73.2(15) Except where vertical opening biparting doors are provided, all elevators provided with automatic leveling, inching or teasing devices and where the landing sills project into the hoistway, shall be equipped with a bevel on the underside of the landing sill. Bevels shall be constructed of smooth concrete or not less than sixteen gauge metal securely fastened to the hoistway entrance. Bevels shall extend the full depth of the leveling zone plus three inches. ~

73.2(16) Every hoistway window opening seven stories or less on an outside wall above a thoroughfare and every such window three stories or less above a roof of the building or of an adjacent building shall be guarded to prevent entrance by fire or emergency rescue persons. Each such window shall be marked "hoistway" in a readily visible manner.

347-73.3(89A) Car enclosure: Passenger. 73.3(1) Each passenger car shall be fully enclosed except on the sides used for entrance

and exit. The enclosure shall be of solid construction. Grill work at the top of the sides shall not be more than eight inches high. If the car is provided with a solid door and there is no grill work in the enclosure, adequate means of ventilation shall be provided.

73.3(2) Each passenger car enclosure shall have a top constructed of solid material. The top shall be capable of sustaining a load of three hundred pounds on any area of two feet on a side and one hundred pounds applied at any point. Simultaneous application of these \..,; loads is not required.

73.3(3) Passenger car enclosure tops shall have an emergency exit with cover. Opening size shall be as set forth in ANSI A17.1, 1971, rule 204.1E. Exception: Hydraulic elevators provided with a manual lowering valve.

73.3(4) Each passenger car shall have a door or gate at each entrance. Doors or gates shall be of the horizontally sliding type. Doors shall be of solid construction. Gates shall be of the collapsible type. Gates and doors shall conform to ANSI A17.1, 1971, rule 204.4.

73.3(5) Each passenger car door or gate shall have an electric contact to prevent the car from running with doors or gates open. Exceptions:

a. By a car-leveling or truck-zoning device. b. By a combination hoistway access switch and operating device. c. When a hoistway access switch is operated.


76.6(6) Such permits shall be issued for a period of ninety days and may be extended upon application to the commissioner.

347-76. 7(89A) Alterations. When any combination of alterations or changes is made constituting more than fifty percent of the elevator or hoistway construction as determined by the commissioner, the entire facility shall be brought into compliance with ANSI A 17.1, 1981 and shall be deemed a new facility.

These rules are intended to implement Iowa Code chapter 89A and 1986 Iowa Acts, chapter 1245, section 937.

[Filed emergency 12/15/75, Notice 10/6/75-published 12/29175, effective 12/15/75] [Filed 7/28/82, Notice 5/26/82-published 8/18/82, effective 9/30/82]


CHAPTER 77 VARIANCES

[Prior to 9/24/86, Labor, Bureau of (S30))

347-77.1(89A) Purpose and scope. This chapter contains rules of practice for administrative proceedings to grant variances and other relief under Iowa Code section 89A.11. These rules shall be construed to secure a prompt and just conclusion of proceedings subject thereto.

347-77 .2(89A) Permanent variance and interim order. A permanent variance may be granted by the commissioner when the applicant can not comply with rules adopted by the commissioner without undue hardship. The commissioner shaH consider the age of the facility, the general operating condition of the facility and the effect upon the safe operation of the facility under the variance in determining if a variance shall be granted.

77 .2(1) Any owner of a facility covered under chapter 89A desiring a permanent variance from a rule or portion thereof may file a written application with the commissioner.

77.2(2) Contents. An application filed pursuant to 77.2(1) shall include: a. The name and address of the applicant; b. The address, specific location, and state I.D. number, if any, of the facility involved; c. A description of the operation and type of facility; d. A listing of the rules to which the variance would apply; e. A representation by the owner specifying the undue hardships which would arise from

compliance with chapter 89A and its applicable rules and the effect upon the safe operation of the facility under the variance supported by representation from qualified persons having firsthand knowledge of the facts represented; and

f. A request for a hearing if one is desired. 77 .2(3) Interim order. An application may also be made for an interim order to be effec

tive until a decision is rendered on the application for the variance filed previously or concurrently. An application for an interim order may include statements of fact and arguments as to why the order should be granted. The commissioner may rule ex parte upon the application.

347-77 .3(89A) Temporary variance. A temporary variance may be granted by an inspector for violations which would be considered to be noncritical to the safe operation of the facility. A temporary variance shall only be issued if the facility passed inspection on all other matters and failure to grant a temporary variance would result in a reinspect ion of the facility.

77 .3(1) Application for variance. Any owner of a facility covered under chapter 89A desiring a temporary variance from a rule or portion thereof, may seek a temporary variance. The owner may make a verbal request to the inspector at the time of the inspection or the inspector may grant a variance on his own initiative.


77 .3(2) An inspector will consider the following factors prior to granting or denying a request for a temporary variance.

a. Degree and probability of threatened harm to the users of the facility; b. A determination that the issuance of the variance will not substantially affect safe opera

tion of the facility and the minor infractions cannot be corrected before the inspection is completed;

c. Degree of difficulty in abating the violation; and d. General operating condition of the facility. 77.3(3) Upon granting a temporary variance, the inspector shall issue to the owner a writ

ten statement of the objects, conditions and violations covered by the temporary variance. 77.3(4) If a variance is denied, the owner may make a written application to the commis

sioner stating the factors believed to support the variance. 77 .3(5) A temporary variance will be valid until the next inspection, although the owner is

expected to comply as promptly as possible. 77.3(6) Temporary variances shall only be issued by employees of the division of labor

services.

347-77 .4(89A) Form of documents and copies. No particular form is prescribed for written applications and other papers filed in proceedings under this chapter. All applications for permanent variances or temporary variances submitted to the commissioner shall be clearly legible. An original and one copy of the application and all supporting documents shall be filed. All documents shall be signed and include the title of the applicant.

347-77 .5(89A) Modification and revocation of variance orders. 77 .5(1) An affected person may apply in writing for a modification or revocation of any

variance. The application shall contain: ~ a. The name and address of the applicant; b. A description of the relief sought; c. A statement setting forth with particularity the grounds for relief; and d. A request for a hearing if one is desired. 77 .5(2) The commissioner may move to modify or revoke a variance order. The commis

sioner shall inform the owner of the action and allow for a hearing.

347-77 .6(89A) Action on applications. Applicants shall be notified of the decision of the commissioner by a written order.


[Filed 3/8/76, Notice 10/6/75-published 3/22/76, effective 4/30/76] [Filed 7/28/82, Notice 5/26/82-published 8/18/82, effective 9/30/82] ~


CHAPTER 78 HEARINGS AND APPEALS (Prior to 9/24/86, Labor, Bureau of (530))

347-78.1(89A) Purpose and scope. This chapter contains rules of procedure for administrative proceedings relating to the method and manner of requests for hearings, conduct of hearings and appeals. These rules shall be construed to secure a prompt and just conclusion of proceedings subject thereto.


\._I 347-78.2(89A) Definitions. The definitions and interpretations contained in Iowa Code section 89A.l shall be applicable to such terms when used in this chapter.

"Affected person, means any person covered under subrule 78.2(2) aggrieved by a decision of the commissioner .

.,Person, means an individual, partnership, association, corporation, business trust, legal representative, an organized group of individuals, or an agency, authority or instrumentality of the state of Iowa.

347-78.3(89A) Requests for hearings. 78.3(1) Request for hearing. Within thirty days after any action concerning an affected

person, a person may file with the commissioner a request for a hearing. 78.3(2) Contents of request. A request for a hearing shall include a concise statement of

\ J facts showing how the person would be affected and any views or arguments on any issue of ,._.... fact or law presented.

347-78.4(89A) Consolidation of proceedings. The commissioner may move or any party may move to consolidate or contemporaneously consider two or more proceedings which involve the same or closely related issues.

347-78.5(89A) Notice of hearing. 78.5(1) Service. Upon request for a hearing as provided in this chapter, or upon the com

missioner's own initiative, the commissioner shall serve, or cause to be served, a reasonable notice of hearing.

78.5(2) Contents. A notice of hearing served under subrule 78.5(1) shall include: a. The time, place and nature of the hearing; b. The legal authority under which the hearing is to be held; and c. A specification of issues of fact and law.

347-78.6(89A) Manner of service. Service of any document upon any party may be made by personal delivery of, or by mailing a copy of a document to the last known address of the party. The person serving the document shall certify to the manner and the date of the service.

347-78. 7(89A) Hearing examiner; powers and duties. 78. 7(1) Powers. The commissioner shall preside over the hearing and shall have all powers

and duties necessary or appropriate to conduct a fair, full and impartial hearing, including the following:

a. To administer oaths and affirmations; ~ b. To regulate the course of the hearing and the conduct of the parties and their counsel

therein; c. To make, or to cause to be made, an inspection of the facility involved; d. To make decisions in accordance with the Act and this chapter; and e. To take any other appropriate action authorized by the Act or this chapter. 78. 7(2) Private consultation. Except to the extent required for the disposition of ex parte

matters, the hearing examiner may not consult a person or a party on any fact at issue, unless upon notice and opportunity for all parties to participate.

78. 7(3) Disqualification. When the commissioner determines that in the best interest of the parties the commissioner should not preside, or continue to preside, over a particular hearing, the commissioner shall withdraw therefrom by giving notice to the parties and the commissioner shall designate another. Any party who deems the commissioner or designee for any reason to be disqualified from presiding, or to continue to preside, over a particular hearing,

\._,/ may file with the commissioner a motion for disqualification and removal, the motion shall be supported by affidavits setting forth the alleged ground for disqualification. The commissioner shall rule upon the motion. The decision shall be deemed final for the purposes of judicial review.


78. 7(4) Contumacious conduct,· failure or refusal to appear or obey the rulings of the commissioner. Contumacious conduct at any hearing before the commissioner shall be grounds for exclusion from the hearing. If a witness or a party refuses to answer a question after being directed to do so, or refuses to obey an order to provide or permit discovery, the commissioner may make such orders with regard to the refusal as are just and appropriate, including an order denying the application of an applicant or regulating the contents of the record of the hearing.

347-78.8(89A) Prehearing conferences. The parties or their counsel shall have the right to meet for a conference to consider:

a. Simplification or settlement of the issues; b. Necessity or desirability of amendments to document of clarification, simplification, or

limitation; c. Stipulations, admissions of fact and of contents and authenticity of documents; and d. Such other matters as may tend to expedite the disposition of the proceeding, and to

assure a just conclusion thereof.

347-78.9(89A) Decisions of commissioner. The commissioner shall render a decision within a reasonable time of the hearing. The commissioner shall serve the decision upon each party, and the decision shall become final upon the twentieth day after service thereof. The decision shall include:

I. A statement of findings and conclusions, with reasons and bases therefor, upon each material issue of fact, law, or discretion presented on the record, and

2. The appropriate rule, order, relief or denial thereof. The decision shall be based upon a consideration of the whole record. It shall be made on the basis of a preponderance of reliable and probative evidence.

347-78.10(89A) Appeals. Appeal from the commissioner's final order shall be to the employment appeal board pursuant to its rules.





82.3(4) Denial or revocation. The division will deny an application or revoke an issued license if a determination is made that the applicant has not demonstrated the ability to comply fully with applicable requirements, procedures, and standards established by:

a. The division in rule 10.20(88), specifically 29 CFR 1910.1001 as of January I, 1985; b. The EPA in 40 CFR Part 61 as of January 1, 1985; and c. The division in chapters 81 and 82 of their rules.

347-82.4(888) Notification. 82.4(1) Schools containing asbestos. A person who intends to engage in an asbestos project

in a school shall notify the division at least seven days before beginning the project. The notice shall be sent by certified mail or by· postage prepaid first class mail with a certification of mailing.

82.4(2) All other asbestos projects. After obtaining or renewing a license, a business entity shall notify the division at least seven days before beginning each of its first two planned asbestos projects. A business entity shall notify the division of additional asbestos projects upon request by the division. All notifications shall be sent by certified mail.

347-82:5(888) Removal or encapsulation project records. The licensee shall keep a record of each asbestos project it performs and shall make the record available to the division at any reasonable time. Records required by these rules shall be kept for at least six years. The records shall include:

1. The name, address and certificate number of the individual who supervised the asbestos project and of each employee or agent who worked on the project.

2. The location of and a description of the project and the amount of asbestos material that was removed.

3. The starting and completion dates of each instance of removal or encapsulation. 4. A summary of the procedures that were used to comply with all applicable standards. 5. The name and address of each asbestos disposal site where the waste, containing asbestos,

was deposited. 6. A receipt from the asbestos disposal site shall be kept indicating the amount of asbestos

which was deposited and the date of the deposit.

347-82.6(888) Employee exposure records. 82.6(1) Record maintenance. Every business entity shall maintain records of any personal

or environmental monitoring for at least twenty years in accordance with rule 1 0.20(88), specifically 29 CFR 1910.1001(h)(i) as of January 1, 1985.

82.6(2) Employee access. Every employee and former employee shall have reasonable access to any record required to be maintained which indicates the employee's exposure to asbestos fibers.

82.6(3) Employee notification. Any employee found to have been exposed at any time to airborne concentrations of asbestos fibers in excess of the limits prescribed in subrule 81.3(3) shall be notified in writing of the exposure as soon as practicable but not later than five days of the finding. The employee shall be notified at the same time of the corrective action being taken.

347-82. 7(888) Medical examinations required for licensure. 82. 7(1) General. The employer shall provide or make available at the employer's cost,

medical examinations relative to exposure to asbestos required by this rule. 82.7(2) Preplacement. The employer shall provide or make available to each employee,

within thirty calendar days following first employment in an occupation exposed to airborne concentrations of asbestos fibers, a comprehensive medical examination, which shall include, as a minimum, a chest roentgenogram (posterior-anterior fourteen by seventeen inches), a history to elicit symptomatology of respiratory disease, and pulmonary function tests to include forced vital capacity (FVC) and forced expiratory volume at one second (FEY 1•0).

82.7(3) Annual examinations. Every employer shall annually provide or make available comprehensive medical examinations to each employee engaged in an occupation exposed to


airborne concentrations of asbestos fibers. The annual examination shall include all procedures and tests required for a preplacement medical examination.

82. 7(4) Termination of employment. The employer shall provide or make available within thirty calendar days before or after termination of employment of any employee engaged in an occupation exposed to airborne concentrations of asbestos fibers, a comprehensive medical examination which shall include all procedures and tests required for a preplacement medical examination.

82. 7(5) Recent examinations. No medical examination is required of any employee if adequate records show that the employee has been examined in accordance with this rule within the past one-year period.

82. 7(6) Maintenance of and access to medical examination records. a. Maintenance. Employers of employees examined pursuant to this rule shall maintain

complete and accurate records of all medical examinations. Records shall be retained by employers for at least twenty years in accordance with rule 10.20(88), specifically 29 CFR 1910.10010)(6) as of January 1, 1985.

b. Access. The content of the records of the medical examinations required by this rule shall be made available, for inspection and copying, to the commissioner, to authorized physicians and medical consultants of the commissioner and upon the request of employee or former employee, to the employee's physician. Any physician who conducts a medical examination required by this rule shall furnish to the employer of the examined employee all the information specifically required and any other medical information related to occupational exposure to asbestos fibers. ·

347-82.8(888) Respiratory protection program required for licensure. A business entity, prior to engaging in an asbestos project, shall prepare a written respiratory protection program as defined in rule 10.20(88), specifically 29 CFR 1910.1001(d)(2)(iv) and 29 CFR 1910.134 as of January 1, 1985, which shall include annual qualitative fit testing utilizing irritant smoke in an enclosure, and make the program available to the division and employees.

347-82.9(888) Safety and health training courses licensing. 82.9(1) Application for approval of a training course. A person may apply for approval

of a course on the health and safety aspects of asbestos demolition, removal, and encapsulation by submitting a written application on forms provided by the division.

82.9(2) Criteria for course. In order to obtain division approval, a person sponsoring a course shall prepare and submit to the division a curriculum which provides at least five hours of instruction which shall substantially satisfy the following criteria and topics:

a. Recognition of asbestos, including its physical characteristics and uses; b. Health hazards, including the relationships between asbestos exposure, smoking, and

diseases; c. Worker protection, including respiratory protection, protective clothing, safety equip

ment, air monitoring, medical surveillance and personal hygiene; d. A detailed description of respirators and their use and care, including the degree of pro

tection afforded, fitting and testing procedures, and maintenance and cleaning; e. Work practices, including area preparation, decontamination, and waste disposal; f. Worker's rights of access to medical records and records required to be maintained by

the employer as required by rule 82. 7(88B); g. Requirements, procedures, and standards established by: (1) The division in rule 10.20(88), specifically 29 CFR 1910.1001 as of January 1, 1985; (2) The EPA in 40 CFR Part 61, Subparts A and Bas of January 1, 1985; and (3) The division in chapters 81 and 82 of their rules. h. Provide each student at least fifteen minutes of individual instruction consisting of in

dividual respirator fit tests and an opportunity to use respirators. 82.9(3) Licensing of training course for only the glovebag method of removal. A training

course can be limited to procedures involving the glovebag method of removal. The course


shall contain all of the requirements of 82.9(2), but be limited in its application and instruction to only the glovebag method of removal. Participants in the course would receive a special limited certification for the removal of small quantities of asbestos incidental to the employee's normal job duties and limited to the glovebag method of removal. Videotape training courses may be submitted to the division for approval. The videotape course shall include demonstrations in the use of the glovebag in the type of operations likely to be encountered by the employee receiving the training. The application for the course shall also include a description of the method the instructor will use for "hands-on" training of attendees in the use of the glovebag.

82.9(4) Supplementary procedures. Each person sponsoring a training course shall: a. Maintain a list of students trained, the student's social security number and the dates

on which training occurred. This information shall be provided to the division within ten days of the completion of the training course.

b. Provide an opportunity for students to complete written course evaluations. c. Issue to each student who completes the course a certification of attendance containing

the name of the sponsor and the course, the date of the course and the location of the course. 82.9(5) Action on an application of course approval. Within twenty days after receiving

an application, the division will acknowledge receipt of the application and notify the applicant of any deficiency in the application. Within ninety days after receiving a completed application, including all additional information requested by the division, the division will issue a course approval or deny the application.

347-82.10(888) Worker certification. 82.10(1) Applicability. A worker shall not be involved in the removal or encapsulation

of asbestos unless the worker is certified by the division. An employer shall take precautions to ensure that workers who are not certified do not come into contact with asbestos.

82.10(2) Certification procedures. a. Application. To apply for or to renew a certificate, a worker shall pay the application

fee of $5.00 and submit the following: (1) A copy of a certificate of completion from an asbesto·s removal training course licensed

by the division. Attendance at the training course shall be within the prior twelve months of the date of application. For employees who have attended asbestos removal training courses outside the state of Iowa, the employer can submit requested documentation regarding the out-of-state school to the division and ask for approval.

(2) A completed application to the division on forms provided by the division which shall include:

1. The name and address of the asbestos removal training course; 2. The sponsor of the course; and 3. The course attendance dates. b. Action on an application. Within twenty days after receiving a completed application,

the division will issue a certificate or deny the application. c. Denial. The division will deny an application if it determines that the applicant has not

successfully completed an asbestos removal training course licensed by the division. d. Duration. A certificate issued by the division under this rule shall be valid for one year

from the date of issuance. To renew the certificate, the applicant must comply with all aspects of paragraph 82.10(2)"a ...

e. A worker certified to only remove small quantities of asbestos by the glovebag technique shall not be involved in any asbestos project in which asbestos is not removed by the glove bag technique.


347-82.11(888) Effective date. Subrule 82.10(1) shall become effective on July 1, 1985. These rules are intended to implement Iowa Code chapter 88B and 1986 Iowa Acts, chapter

1245, section 937. [Filed 3/22/85, Notice 11/7/84-published 4/10/85, effective 5/15/85*]


•Exception: See rule 82.11(888) Effective date of Ch 82 delayed seventy days by the administrative rules review committee. Effective date (5/15/85) of 82.3(1)"a"(ll) delayed by the administrativt rules review committee until the expiration of forty-five calendar days into the 1986 session of the General Assembly pursuant to Iowa Code section 17A.8(9).

lAC 9/24/86, 5/6/87 Labor Services[347]

CHAPTER99 AMATEUR BOXING

(Prior to 9/24/86, Athletics Commissioner(IIO) ch 4]

Ch 99, p.l

347-99.1(90A) Purpose. This chapter applies to amateur boxing contests. Until the promoter assures compliance with this chapter, no contest shall be considered as a sanctioned or permitted event of the Iowa amateur boxing federation.

347-99.2(90A) Application. All promoters of organized amateur boxing contests shall complete an application form obtained from the United States of America Amateur Boxing Federation, Iowa amateur boxing federation. The application shall include an attached signed statement that the promoter prohibits contestants who are thirty years of age or over from participating in boxing tournaments where other contestants are under thirty years of age, and prohibits those over thirty years of age from participating in individual bouts unless both contestants are over thirty years of age. The Iowa amateur boxing federation shall provide the labor commissioner with the completed application and promoter statement within seven days after the date of the contest.

347-99.3(90A) Verification. Verification of the contestant's age shall be made by the promoter at the time of the prefight physical examination. Proof of age shall be through a birth certificate or equivalent document provided by the contestant.

347-99.4(90A) Forms. Forms to comply with this chapter will be provided by the labor commissioner.

These rules are intended to implement Iowa Code chapter 90A. [Filed 1/24/85, Notice 11/21184-published 2/13/85, effective 3/20/85]


NOTE: For first line of history, see Athletics Commissioner(IIO) ch 4



CHAPTER 110 HAZARDOUS CHEMICAL RISKS RIGHT TO KNOW-

GENERAL PROVISIONS (Prior to 9/24/86, see Labor, Bureau of(S30))

347-110.1(88,898) Purpose, scope and application. 110.1(1) Purpose. The purpose of chapters 110, 120, 130, and 140 is to implement Iowa

Code chapter 89B. The rules in chapter 110 are to ensure that the hazards of all chemicals produced or imported by chemical manufacturers or importers are evaluated and that the information is transmitted to affected employers. This chapter is enforced under Iowa Code chapters 88 and 89B.

Chapter 120 provides that information concerning chemical hazards is transmitted to affected ~mployers and employees. This transmittal of information is to be accomplished by means :>f a comprehensive hazard communication program, which is to include container labeling 1nd other forms of warning, material safety data sheets, and employee training. This chapter is enforceable under Iowa Code chapter 88.

Chapter 130 addresses the procedures for the public to gain access to information on tazardous chemicals used in the community, the administrative procedures to determine the :xtent of the information required to be presented, and the actions to compel the release of .he information when the employer does not voluntarily release the information.

Chapter 140 addresses the procedures by which an employer submits information to the ocal fire department on the hazardous chemicals at the employer's workplace.

110.1(2) Scope, application, and exemptions. These chapters require chemical manufac.urers or importers to assess the hazards of chemicals which they produce or import, and all !mployers, except those exempted in subrule 110.1(3), to provide information to their employees tbout the hazardous chemicals to which they are exposed, by means of a hazard communicaion program, labels and other forms of warning, material safety data sheets, and informaion and training. In addition, this section requires distributors to transmit the required nformation to employers. These rules apply to any chemical which is known to be present n the workplace so that employees may be exposed under normal conditions of use or in a 'oreseeable emergency.

110.1(3) Exemption of employers-laboratories. These rules apply to laboratories only ts follows:

a. Employers shall ensure that labels on incoming containers of hazardous chemicals are tot removed or defaced;

b. Employers shall maintain any material safety data sheets that are received with incomng shipments of hazardous chemicals, and ensure that they are readily accessible to laboratory :mployees; and

c. Employers shall ensure that laboratory employees are apprised of the hazards of chemi:als in their workplaces in accordance with rule 120.6(88,89B).

110.1(4) Exemption of employers-educational research laboratories. Except for Iowa Code ection 89B.9, 347-chapter 120 does not apply to research laboratories at a public or pri'ate educational institution provided the educational research laboratory submits a plan for upervision and handling of hazardous chemicals and for the development of training pro~rams for employees.

a. Components of a plan for research laboratories: (1) Education training component. A research laboratory shall submit a plan of the super

'ision and training program for the employees who work in an educational research laboratory. rhis plan shall be designed to inform the employees in writing and orally of the nature of he hazardous chemicals to which they are exposed during the course of their employment md the potential health risks which the hazardous chemicals pose. Training shall be provided n the proper and safe procedures for handling all categories of hazardous chemicals under

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all circumstances. It is recognized that, due to the magnitude of the number of hazardous chemicals that the employee will encounter, it is not possible to detail a specific training program for each chemical. The plan is to provide an alternative training for research laboratory employees of the physical and health hazards involved with the chemicals while providing comprehensive training in the areas of the general principles and the methods used for monitoring of exposure levels, the recognition of signs and symptoms of exposure, the scientific procedures for safe handling, and the protective devices that the employee can use in a laboratory setting. Training programs set forth in the plan shall be made available to each new employee and shall have provisions for refresher course at least on an annual basis.

(2) Classification of hazardous chemicals. Educational research laboratories may devise a scheme for the labeling of containers by means of a code or a number system. The code or number system will enable the employee to readily make a cross-reference to a hazardous substance material list and other hazardous chemical reference materials which will provide the employee with the chemical name and information which would normally be contained in a material safety data sheet. An educational research laboratory may also employ a system of classification which would provide standard handling procedures for certain categories of hazardous chemicals where the categories would be determined by both the magnitude and the nature of their physical risks and health hazards. In the event that the educational research laboratory employs a system of standard precautionary handling techniques based on categories of hazardous chemicals, the prescribed safety techniques for each category shall provide the minimum safety requirements for the chemical in that category which requires the greatest degree of precaution.

b. Standard for review. In reviewing the contents of a plan submitted by an educational research laboratory, the applicable standard for approval shall be whether the plan would provide the employee with a commensurate level of knowledge, safety, and precaution required by subrule 347-120.6(2).

c. Procedure. An educational research laboratory meeting the criteria for the exemption set forth in Iowa Code section 89B.ll, subsection 2, shall make application for approval of a plan by:

(1) Submitting evidence of the status of the applicant as a research laboratory in conjunction with a private or public educational institution; and

(2) Submitting comprehensive plans meeting the requirements of 110.1(4)"a. ,. The commissioner may conduct an inspection prior to a determination of the plan. The commissioner shall notify the applicant by certified mail of the action upon the application. Any applicant who is aggrieved by the initial decision may:

1. Request a period of sixty days in which to make revisions and resubmit an amended plan; or

2. Request a full evidentiary hearing before the commissioner. Upon notice and hearing, the acceptance or rejection of the plan shall be a final agency action pursuant to Iowa Code chapter 17 A.

d. Technically qualified person. A technically qualified person shall be available to observe the techniques used by the employee when handling hazardous chemicals within the designated laboratory area or areas. The technically qualified person shall also be immediately available to assist, advise, and inform employees about the techniques of handling and using hazardous chemicals. A technically qualified person is qualified by virtue of education or experience, has familiarity with all types and classes of hazardous chemicals used within the laboratory and possesses the technical qualifications to serve as a consultant on hazardous chemicals for other employees in the research laboratory.

A technically qualified person shall have a minimum of twenty (20) semester hours in chemistry.

The technically qualified person shall have successfully completed training as specified in 347-120.6(2) and annually shall complete at least eight (8) hours of training as designated and approved in writing by the director or responsible person in charge of the laboratory.


110.1(5) Exemption of employers-agricultural activities and pesticide applicators. Iowa Code section 898.4 provides an exemption for persons engaged in farming and pesticides as defined in Iowa Code section 206.2, subsection 1, when used, stored, or available for sale by pesticide applicators and dealers as defined in Iowa Code chapter 206. Notwithstanding the exemptions for commercial applicators, certified applicators, certified private applicators, and certified commercial applicators in Iowa Code section 898.4, subsection 1, the Act shall apply to any employer who has a "misbranded" pesticide as defined in 7 U.S.C. 136(q). The Act shall also apply to any person who uses a hazardous chemical which is not a pesticide registered pursuant to 7 U.S.C. 136a(c) or exempted under 7 U.S.C. 136a(b).

110.1(6) Exemption of employers-transportation. Iowa Code section 898.5 provides an exemption to the transportation of hazardous chemicals if the transportation and means of transportation is regulated by federal law or regulation. The exemption does not apply to Iowa Code section 89B.9. For purposes of this section, chemicals shall be deemed in transportation if:

a. The means of transportation is via land surface and the chemical is in the actual physical possession of a carrier and not in the possession or control of the consignee;

b. The means of transportation is via water,. and the vessel transporting the chemical is under way and not secured in the possession or control of the consignee; or

c. The means of transportation is via air, whenever the hazardous chemical is in the possession of the carrier and not in the possession or control of the consignee.

110.1(7) Exemptions. This chapter and 347-chapter 120 do not require labeling of the following chemicals:

a. Any pesticide as defined in the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136 et seq.), when subject to the labeling requirements of the Act and labeling regulations issued under that Act by the Environmental Protection Agency;

b. Any food, food additive, color additive, drug, or cosmetic, including materials intended for use as ingredients in such products (e.g., flavors and fragrances), as defined in the Federal Food, Drug, and Cosmetic Act (21 U .S.C. 301 et seq.) and regulations issued under that Act, when they are subject to the labeling requirements of that Act and labeling regulations issued under that Act by the Food and Drug Administration;

c. Any distilled spirits (beverage alcohols), wine, or malt beverage intended for nonindustrial use, as defined in the Federal Alcohol Administration Act (27 U.S.C. 201 et seq.) and regulation issued under that Act, when subject to the labeling requirements of that Act and labeling regulations issued under that Act by the Bureau of Alcohol, Tobacco, and Firearms; and

d. Any consumer product or hazardous substance as defined in the Consumer Product Safety Act (15 U.S.C. 2051 et seq.) and Federal Hazardous Substances Act (15 U.S.C. 1261 et seq.) respectively, when subject to a consumer product safety standard or labeling requirement of those Acts, or regulations issued under those Acts by the Consumer Product Safety Commission.

e. These rules do not apply to: 1. Any hazardous waste as defined by the Solid Waste Disposal Act, as amended by the

Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C. 6901 et seq.), when subject to regulations issued under that Act by the Environmental Protection Agency;

2. Tobacco or tobacco products; 3. Wood or wood products; 4. Articles; and 5. Foods, drugs, or cosmetics intended for personal consumption by employees while in

the workplace. 6. Consumer products in the possession of employers except (i) those employers in SIC Codes

20 through 39 (Division D, Standard Industrial Classification Manual), or (ii) those employers who are chemical manufacturers, importers or distributors as defined in the federal occupational safety and health administration's hazard communication regulation 29 C.F.R. 1910.1200 as promulgated on November 25, 1983.

This rule is intended to implement Iowa Code subsections 898.4(1) and 898.8(5).

lAC S/6/87 Labor Services[347] Ch 110, p.4

, ) 347-110.2(88,898) Definitions. ~ "Act" means the hazardous chemical risk right to know Act, Iowa Code .chapter 4SSD.

"Article" means a manufactured item: I. Which is formed to a specific shape or design during manufacture; 2. Which has end use function(s) dependent in whole or in part upon its shape or design

during end use; and 3. Which does not release, or otherwise result in exposure to, a hazardous chemical under

normal conditions of use. "Chemical" means any element, chemical compound, or mixture of elements or compounds. "Chemical manufacturer" means an employer with a workplace where chemical(s) are

produced for use or distribution. "Chemical name" means the scientific designation of a chemical in accordance with the

nomenclature system developed by the International Union of Pure and Applied Chemistry ~ (IUPAC) or the Chemical Abstracts Service (CAS) rules of nomenclature, or name which will

clearly identify the chemical for the purpose of conducting a hazard evaluation. "Combustible liquid" means any liquid having a flash point at or above I 00 op (37 .8 °C),

but below 200°F (93.3 °C), except any mixture having components with flash points of 200°F (93.3°C), or higher, the total volume of which makes up ninety-nine percent or more of the total volume of the mixture.

"Commissioner" means the labor commissioner or designee. "Common name" means any designation or identification such as code name, code num

ber, trade name, brand name or generic name used to identify a chemical other than by chemical name.

"Compressed gas" means: 1. A gas or mixture of gases having, in a container, an absolute pressure exceeding 40 psi

at 70°F (21.1 °C); ~ 2. A gas or mixture of gases having, in a container, an absolute pressure exceeding 104 psi

at 130°F (54.4 °C) regardless of the pressure at 70°F (21.1 °C); or 3. A liquid having a vapor pressure exceeding 40 psi at 100°F (37 .8 °C) as determined by

ASTM D-323-72. "Consumer product" means any hazardous chemical, or component part thereof, produced

or distributed for 1. Sale to a consumer for use in or around a permanent or temporary household or resi

dence, a school, in recreation, or otherwise, or 2. The personal use, consumption, or enjoyment of a consumer in or around a permanent

or temporary household or residence, a school, in recreation, or otherwise. For additional information, consult IS U.S.C. section 2051 et seq., and 16 C.F.R. Parts

1101-1406. "Container" means any bag, barrel, bottle, box, can, cylinder, drum, reaction vessel, storage

\.....~tank, or the like that contains a hazardous chemical. For purposes of this section, pipes or piping systems are not considered to be containers.

~~Designated representative" means an individual or organization to whom an employee gives written authorization to exercise such employee's rights under 347-chapter 120. A recogJ;lized or certified collective bargaining agent shall be treated automatically as a designated representative without regard to written employee authorization.

"Distributor" means a business, other than a chemical manufacturer or importer, which supplies hazardous chemical to other distributors or to purchasers.

"Division" means the division of labor services of the department of employment services. "Educational research laboratory" means a specially designed area used primarily for research

development and testing activity in conjunction with a public or private educational institution and which is not primarily involved in the production of goods for commercial sale in

\. 1which hazardous chemicals are used by or under the direct supervision of a technically quali-'--' fied person.

Ch 110, p.4a Labor Services[347] lAC 9/24/86, 5/6/87

.. Emergency response department .. means any governmental department which might be ~ reasonably expected to be required to respond to an emergency involving a hazardous chemi-cal, including, but not limited to, local fire, police, medical rescue, disaster, and public health departments.

"Employee" means an individual employed by an employer in a workplace in this state who may be exposed to hazardous chemicals under normal operating conditions or foreseeable emergencies.

"Employer'' means a person engaged in a business in this state where chemicals are either used, or produced for use or distribution.

"Explosive" means a chemical that causes a sudden, almost instantaneous release of pressure, gas, and heat when subjected to sudden shock, pressure, or high temperature .

.. Exposure" or "exposed" means that an employee is subjected to a hazardous chemical in the course of employment through any route of entry (inhalation, ingestion, skin contact l J

or absorption, etc.), and includes potential (e.g., accidental or possible) exposure. ......_, .. Flammable" means a chemical that falls into one of the following categories:

lAC 9/24/86, 5/6/87 Labor Services[347] Ch 110, p.5

· 1. ..Aerosol, flammable .. means an aerosol that, when tested by the method described in ~6 C.F.R. 1500.45 (1985), yields a flame projection exceeding 18 inches at full valve opening,

or a flashback (a flame extending back to the valve) at any degree of valve opening; 2 . .. Gas, flammable, means: A gas that, at ambient temperature and pressure, forms a flammable mixture with air at

a concentration of thirteen percent by volume or less; or A gas that, at ambient temperature and pressure, forms a range of flammable mixtures with

air wider than twelve percent of volume, regardless of the lower limit; 3 . .. Liquid, flammable, means any liquid having a flash point below l00°F (37.8°C), except

any mixture having components with flash points of 100 °F (37 .8 °C) or higher' the total of which make up ninety-nine percent or more of the total volume of the mixture.

4 . .. Solid, flammable, means a solid, other than a blasting agent or explosive as defined 'n subsection 29 C.F.R. 1910.109(a) (1984), that is liable to cause fire through friction, absorption

'~f moisture, spontaneous chemical change, or retained heat from manufacturing or processing, or which can be ignited readily and when ignited burns so vigorously and persistently as to create a serious hazard. A chemical shall be considered to be a flammable solid if, when tested by the method described in 16 C.F.R. 1500.44 (1985), it ignites and burns with a selfsustained flame at a rate greater than one-tenth of an inch per second along its major axis .

.. Flash point, means the minimum temperature at which a liquid gives off a vapor in sufficient concentration to ignite when tested as follows:

I. Tagliabue Closed Tester (see American National Standard Method of Test for Flash Pont by Tag Closed Tester, ASTM D 56-82) for liquids with a viscosity of less than 45 Saybolt Universal Seconds (SUS) at l00°F (37.8°C), that do not contain suspended solids and do not have a tendency to form a surface film under test; or

2. Pensky-Martens Closed Tester (see American National Standard Method of Test for Flash 0 oint by Pensky-Martens Closed Tester, ASTM D 93-85) for liquids with a viscosity equal

'-"o or greater than 45 SUS at I 00 °F (37 .8 °C), or that contain suspended solids, or that have a tendency to form a surface film under test; or

3. Setaflash Closed Tester (see American National Standard Method of Test for Flash Point by Setaflash Closed Tester ASTM D 3278-82El).

Organic peroxides, which undergo autoaccelerating thermal decomposition, are excluded from any of the flash point determination methods specified above.

"Foreseeableemergency,means any potential occurrence such as, but not limited to, equipment failure, rupture of containers, or failure of control equipment which could result in an uncontrolled release of a hazardous chemical into the workplace.

"Hazard warning .. means any words, pictures, symbols, or combination thereof appearing on a label or other appropriate form of warning which convey the hazards of the chemical(s) in the container(s).

"Hazardous chemical .. means any chemical which is a physical hazard or a health hazard. ~ "Health hazard, means a chemical for which there is statistically significant evidence based

on at least one study conducted in accordance with established scientific principles that acute or chronic health effects may occur in exposed employees. The term "health hazard" includes chemicals which are carcinogens, toxic or highly toxic agents, reproductive toxins, irritants, corrosives, sensitizers, hepatoxins, nephrotoxins, neurotoxins, agents which act on hematopoietic system, and agents which damage the lungs, skin, eyes, or mucous membranes. Appendix A (available from the division) provides further definitions and explanations of the scope of health hazards covered by this rule, and Appendix B (available from the division) describes the criteria to be used to determine whether or not a chemical is to be considered hazardous for purposes of this chapter .

.. Identity .. means any chemical or common name which is indicated on the material safety data sheet (MSDS) for the chemical. The identity used shall permit cross-references to be made mong the required list of hazardous chemicals, the label and the MSDS.

'...._! .. Immediate use .. means that the hazardous chemical will be under tbe control of and used only by the person who transfers it from a labeled container and only within the work shift


\.,..) in which it is transferred. "Importer'' means the first business with employees within the Customs Territory of the

United States which receives hazardous chemicals produced in other countries for the purpose of supplying them to distributors or purchasers within the United States.

"Information in sufficient specificity" means a list of hazardous chemicals which are consistently generated by, used by, stored at, or transported from the employer's facility. A form is not specified. The information shall be submitted on an eight and one-half by eleven page and shall include:

1. N'ame of the employer; 2. Name of contact person of the employer; 3. Mailing address of the employer; 4. Address of the establishment for which the information is provided; and 5. A list of the chemicals which includes: ··

~ a. Identity of the hazardous chemical; b. NFPA numerical hazard rating in health, flammability, and reactivity as well as any

information which constitutes a special hazard pursuant to NFPA 704-1980, chapter 5, for each listed chemical; and

c. Any other special hazard information from the material safety data sheets which may be relevant.

If the fire department is unable to tour the facility annually due to limits by the fire department or employer, the fire chief shall be provided upon request with the following:

1. A plane view scale diagram which shows the permanent location of each hazardous chemical within the employer's facility, as well as easily recognizable reference points such as doorways, stairs, and windows; and

2. A copy of requested material safety data sheets. ~ 1 "Interested person" means any person who is requesting information from an employer, ~ but does not include an employee of that employer.

"Label" means any written, printed, or graphic material displayed on or affixed to containers of hazardous chemicals.

"Material safety data sheet (MSDS) •• means written or printed material concerning a hazardous chemical which is prepared in accordance with rule 347-120.5(88,898).

"Mixture, means any combination of two or more chemicals if the combination is not, in whole or in part, the result of a chemical reaction.

"Organic peroxide" means an organic compound that contains the bivalent-0-0-structure and which may be considered to be a structural derivative of hydrogen peroxide where one or both of the hydrogen atoms has been replaced by an organic radical.

"Oxidizer" means a chemical other than a blasting agent or explosive as defined in 347-10.20(88), specifically 29 C.F.R. 1910.109(a)(1985), that initiates or promotes combus

V tion in other materials thereby causing fire either of itself or through the release of oxygen or other gases.

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"Permanently stored hazardous material" means a substance that is located in an area designated by the employer or located in an area which is established through common use and practice as being the location where the hazardous chemical is stored or can be obtained.

"Physical hazard" means a chemical for which there is scientifically valid evidence that it is a combustible liquid, a compressed gas, explosive, flammable, an organic peroxide, an oxidizer, pyrophoric, unstable (reactive) or water-reactive.

"Produce" means to manufacture, process, formulate, or repackage. "Purchaser" means an employer covered by Iowa Code chapter 89B with a workplace

in this state who purchases a hazardous chemical for use within or at that workplace. "Pyrophoric" means a chemical that will ignite spontaneously in air at a temperature of

130°F (54.4°C) or below.

Ch 110 v.7 Labor Services[347] lAC 5/6/87

"Responsible party, means someone who can provide additional information on the~ hazardous chemical and appropriate emergency procedures, if necessary. A chemical manufacturer or importer shall be deemed a responsible party.

"Review commission, means Iowa occupational safety and health review commission established at Iowa Code section 88.10.

"Specific chemical identity, means the chemical name, Chemical Abstracts Service (CAS) Registry Number, or any other information that reveals the precise chemical designation of the substance.

"Technically qualified person, means an individual who meets the qualifications specified in 1l0.1(4)"d."

"Trade secret" means any confidential formula, pattern, process, device, information or compilation of information that is used in an employer's business, and that gives the employer an opportunity to obtain an advantage over competitors who do not know or use it. Appen- '-"' dix D (available from the division) sets out the criteria to be used in evaluating trade secrets.

"Unstable (reactiver' means a chemical which in the pure state, or as produced or transported, will vigorously polymerize, decompose, condense, or will become self-reactive under conditions of shocks, pressure, or temperature.

"Use" means to package, handle, react, or transfer. "Water-reactive" means a chemical that reacts with water to release a gas that is either flam

mable or presents a health hazard. "Work area" means a room or defined space in a workplace where hazardous chemicals

are produced or used, and where employees are present. "Workplace, means an establishment at one geographical location containing one or more

work areas. This rule is intended to implement Iowa Code sections 898.4 and 898.8.

347-110.3(88,898) Hazard determination. 110.3(1) Chemical manufacturers and importers shall evaluate chemicals produced in their

workplaces or imported by them to determine if they are hazardous. Employers are not required to evaluate chemicals unless they choose not to rely on the evaluation performed by the chemical manufacturer or importer for the chemical to satisfy this requirement. Employers who mix or otherwise combine chemicals are chemical manufacturers of that resultant chemical.

110.3(2) Chemical manufacturers, importers, or employers evaluating chemicals shall iden-tify and consider the available scientific evidence concerning the hazards. For health hazards, evidence which is statistically significant and which is based on at least one positive study conducted in accordance with established scientific principles is considered to be sufficient to establish a hazardous effect if the results of the study meet the definitions of health hazards in rule 110.2(88,898). Appendix A (available from the division) shall be consulted for the scope of health hazards covered, and Appendix 8 (available from the division) shall be con-\..I suited for the criteria to be followed with respect to the completeness of the evaluation, and the data to be reported.

110.3(3) The chemical manufacturer, importer, or employer evaluating chemicals shall treat the following sources as establishing that the chemicals listed in them are hazardous:

a. 29 C.F.R. Part 1910, Subpart Z, (1986) Toxic and Hazardous Substances, Occupational Safety and Health Administration (OSHA); or

b. "Threshold Limit Values for Chemical Substances and Physical Agents in the Work Environment," American Conference of Government Industrial Hygienists (ACGIH) (1986).

The chemical manufacturer, importer, or employer is still responsible for evaluating the hazards associated with the chemicals in these source lists in accordance with the requirements of the standard.

110.3(4) Chemical manufacturers, importers, and employers evaluating chemicals shall treat -the following sources as establishing that a chemical is a carcinogen or potential carcinogen ~ for hazard communication purposes:

a. National Toxicology Program (NTP), "Annual Report on Carcinogens" (1982); b. International Agency for Research on Cancer (IARC) Monographs (1982); or


\.._,) c. 29 C.F.R. Part 1910, Subpart Z, (1986) Toxic and Hazardous Substances, Occupational Safety and Health Administration.

NOTE-The "Registry of Toxic Effects of Chemical Substances" published by the National Institute for Occupational Safety and Health indicates whether a chemical has been found by NTP or IARC to be a potential carcinogen. The original document referenced in RTECS must be consulted in all instances. RTECS should be regarded as a locator document only.

110.3(5) The chemical manufacturer, importer, or employer evaluating chemicals shall determine the hazards of mixtures of chemicals as follows:

a. If a mixture has been tested as a whole to determine its hazards, results of the testing shall be used to determine whether the mixture is hazardous;

b. If a mixture has not been tested as a whole to determine whether the mixture is a health hazard, the mixture shall be assumed to present the same health hazards as do the components

\._,/ which comprise one percent (by weight or volume) or greater of the mixture, except that the mixture shall be assumed to present a carcinogenic hazard if it contains a component in concentrations of 0.1 percent or greater which is considered to be a carcinogen under subrule 110.3(4);

c. If a mixture has not been tested as a whole to determine whether the mixture is a physical hazard, the chemical manufacturer, importer, or employer may use whatever scientifically valid data is available to evaluate the phsyical hazard potential of the mixture; and

d. If the employer has evidence to indicate that a component present in the mixture in concentrations of less than one percent (or in the case of carcinogens, less than 0.1 percent) could be released in concentrations which would exceed an established division (OSHA) permissible exposure limit or ACGIH Threshold Limit Value (1985-1986), or could present a health hazard to employees in those concentrations, the mixture shall be assumed to present the same hazard.

~ 110.3(6) Chemical manufacturers, importers, or employers evaluating chemicals shall · describe in writing the procedures they use to determine the hazards of the chemical they evalu

ate. The procedures shall be made available as specified in subrule 347-120.2(2).

347-110.4(88,898) Labels and other forms of warning. 110.4(1) The chemical manufacturer, importer, or distributor shall ensure that each con

tainer of hazardous chemicals leaving the workplace is labeled, tagged, or marked with the following information:

a. Identity of the hazardous chemical(s); b. Appropriate hazard warnings; and c. Name and address of the chemical manufacturer, importer, or other responsible party. 110.4(2) Chemical manufacturers, importers, or distributors shall ensure that each con-

tainer of hazardous chemicals leaving the workplace is labeled, tagged, or marked in accor~ dance with this rule in a manner which does not conflict with the requirements of the Hazardous

Materials Transportation Act (18 U.S.C. 1801 et seq.) and regulations issued under that Act by the Department of Transportation.

110.4(3) If the hazardous chemical is regulated by the division in an OSHA substancespecific health standard, the chemical manufacturer, importer, distributor, or employer shall ensure that the labels or other forms of warning used are in accordance with the requirements of that standard.

110.4(4) The chemical manufacturer, importer, distributor, or employer need not affix new labels to comply with this rule or 347-120.4(88,898) if existing labels already convey the required information.

347-110.5(88,898) Material safety data sheets. 110.5(1) Chemical manufacturers and importers shall obtain or develop a material safety

\...,) data sheet for each hazardous chemical they produce or import. 110.5(2) Each material safety data sheet shall be in English and sqall contain at least the

following information:


a. The identity used on the label, and except as provided for in rule 110.6(88,89B) on trade \..,I secrets:

(1) If the hazardous chemical is a single substance, its chemical and common name(s); (2) If the hazardous chemical is a mixture which has been tested as a whole to determine

its hazards, the chemical and common name(s) of the ingredients which contribute to these known hazards, and the common name(s) of the mixture itself; or

(3) If the hazardous chemical is a mixture which has not been tested as a whole: 1. The chemical and common name(s) of all ingredients which have been determined to

be health hazards, and which comprise one percent or greater of the composition, except that chemicals identified as carcinogens under subrule 110.3(4) shall be listed if the concentrations are 0.1 percent or greater; and

2. The chemical and common name(s) of all ingredients w.hich have been determined to present a physical hazard when present in the mixture; "--"'

b. Physical and chemical characteristics of the hazardous chemical (such as vapor pressure, flash point);

c. The physical hazards of the hazardous chemical, including the potential for fire, explosion, and reactivity;

d. The health hazards of the hazardous chemical, including signs and symptoms of exposure, and any medical conditions which are generally recognized as being aggravated by exposure to the chemical;

e. The primary route(s) of entry; f. The division's (OSHA) permissible exposure limit, ACGIH Threshold Limit Value

(1985-1986), and any other exposure limit used or recommended by the chemical manufacturer, importer, or employer preparing the material safety data sheet, where available;

g. Whether the hazardous chemical is listed in the National Toxicology Program (NTP) "Annual Report on Carcinogens" (1982) or has been found to be a potential carcinogen in \wl the International Agency for Research on Cancer (IARC) "Monographs" (1982), by the division.

h. Any generally applicable precautions for safe handling and use which are known to the chemical manufacturer, importer or employer preparing the material safety data sheet, including appropriate hygienic practices, protective measures during repair and maintenance of contaminated equipment, and procedures for clean-up of spills and leaks;

i. Any generally applicable control measures which are known to the chemical manufacturer, importer, or employer preparing the material safety data sheet, such as appropriate engineering controls, work practices, or personal protective equipment;

j. Emergency and first-aid practices; k. The date of preparation of the material safety data sheet or the last change to it; and I. The name, address and telephone number of the chemical manufacturer, importer,

employer, or other responsible party preparing or distributing the material safety data sheet, who can provide additional information on the hazardous chemical and appropriate emer- '-..! gency procedures, if necessary.

110.5(3) If no relevant information is found for any given category on the material safety data sheet, the chemical manufacturer, importer, or employer preparing the material safety data sheet shall mark it to indicate that no applicable information was found.

110.5(4) Where complex mixtures have similar hazards and contents (i.e., the chemical ingredients are essentially the same, but the specific composition varies from mixture to mixture), the chemical manufacturer, importer, or employer may prepare one material safety data sheet to apply to all of these similar mixtures.

110.5(5) The chemical manufacturer, importer, or employer preparing the material safety data sheet shall ensure that the information recorded accurately reflects the scientific evidence used in making the hazard determination. If the chemical manufacturer, importer, or employer becomes newly aware of any significant information regarding the hazards of a chemical, or ways to protect against the hazards, this new information shall be added to the material safety '--" data sheet within three months. If the chemical is not currently being produced or imported

\~

lAC 9/24/86, 5/6/87 Labor Services[347] Ch 110, p.lO

the chemical manufacturer or importer shall add the information to the material safety data sheet before the chemical is introduced into the workplace again.

110.5(6) Chemical manufacturers or importers shall ensure that distributors and purchasers of hazardous chemicals are provided an appropriate material safety data sheet with their initial shipment, and with the first shipment after a material safety data sheet is updated. The chemical manufacturer or importer shall either provide material safety data sheets with the shipped containers or send them to the purchaser prior to or at the time of the shipment. If the material safety data sheet is not provided with the shipment the purchaser shall obtain one from the chemical manufacturer, importer, or distributor as soon as possible.

110.5(7) Distributors shall ensure that material safety data sheets, and updated information, are provided to other distributors and purchasers of hazardous chemicals.

347-110.6(88,898) Trade secrets. 110.6(1) The chemical manufacturer, importer or employer may withhold the specific chem

ical identity, including the chemical name and other specific identification of a hazardous chemical, from the material safety data sheet, provided that:

a. The claim that the information withheld is a trade secret can be supported; b. Information contained in the material safety data sheet concerning the properties and

effects of the hazardous chemical is disclosed; c. The material safety data sheet indicates that the specific chemical identity is being with

held as a trade secret; and - d. The specific chemical identity is made available to health professionals, employees, and designated representatives, in accordance with the applicable provisions of this rule.

110.6(2) Where a treating physician or nurse determines that a medical emergency exists and the specific chemical identity of a hazardous chemical is necessary for emergency or firstaid treatment, the chemical manufacturer, importer, or employer shall immediately disclose the specific chemical identity of a trade secret chemical to that treating physician or nurse, regardless of the existence of a written statement of need or a confidentiality agreement. The chemical manufacturer, importer, or employer may require a written statement of need and confidentiality agreement, in accordance with the provisions of subrules 110.6(3) and 110.6(4), as soon as circumstances permit.

110.6(3) In nonemergency situations, a chemical manufacturer, importer, or employer shall, upon request, disclose a specific chemical identity, otherwise permitted to be withheld under subrule 110.6(1), to a health professional (i.e., physician, industrial hygienist, toxicologist, or epidemiologist) providing medical or other occupational health services to exposed employee(s), and to employees or designated representatives, if:

a. The request is in writing; b. The request describes with reasonable detail one or more of the following occupational

health needs for the information: (1) To assess the hazards of the chemicals to which employees will be exposed; (2) To conduct or assess sampling of the workplace atmosphere to determine employee

exposure levels; (3) To conduct preassignment of periodic medical surveillance of exposed employees; (4) To provide medical treatment to exposed employees; (5) To select or assess appropriate personal protective equipment for exposed employees; (6) To design or assess engineering controls or other protective equipment for exposed

employees; and (7) To conduct studies to determine the health effects of exposure. c. The request explains in detail why the disclosure of the specific chemical identity is essential

and that, in lieu thereof, the disclosure of the following information to the health professional, employee, or designated representative, would not satisfy the purposes described in 11 0.6(3) 16b ":

(1) The properties and effects of the chemical; (2) Measures for controlling worker's exposure to the chemical;

Ch 110, p.ll Labor Services[347] lAC 9/24/86

(3) Methods of monitoring and analyzing worker exposure to the chemical; and (4) Methods of diagnosing and treating harmful exposures to the chemical; d. The request includes a description of the procedures to be used to maintain the confiden

tiality of the disclosed information; and e. The health professional, and the employer or contractor of the services of the health profes

sional (i.e., downstream employer, labor organization, or individual employee), employee, or designated representative, agree in a written confidentiality agreement that the health professional, employee, or designated representative, will not use the trade secret information for any purpose other than the health need(s) asserted and agree not to release the information under any circumstances other than to the division, as provided in subrule 110.6(6), except as authorized by the terms of the agreement or by the chemical manufacturer, importer, or employer.

110.6(4) The confidentiality agreement authorized by 11 0.6(3) ud": a. May restrict the use of the information to the health purposes indicated in the written

statement of need; b. May provide appropriate legal remedies in the event of a breach of the agreement, including

stipulation of a reasonable pre-estimate of likely .damages; and c. May not include requirements for the posting of a penalty bond. 110.6(5) Nothing in 347-chapters 110 and 120 is meant to preclude the parties from pur

suing noncontractual remedies to the extent permitted by law. 110.6(6) If the health professional, employee, or designated representative receiving the

trade secret information decides that there is a need to disclose it to the division, the chemical manufacturer, importer, or employer who provided the information shall be informed by the health professional, employee, or designated representative prior to, or at the same time as, the disclosure.

110.6(7) If the chemical manufacturer, importer, or employer denies a written request for disclosure of a specific chemical identity, the denial must:

a. Be provided to the health professional, employee, or designated representative, within thirty days of the request;

b. Be in writing; c. Include evidence to support the claim that the specific chemical identity is a trade secret; d. State the specific reasons why the request is being denied; and e. Explain in detail how alternative information may satisfy the specific medical or occupa

tional health need without revealing the specific chemical identity. 110.6(8) The health professional, employee, or designated representative whose request

for information is denied under subrule 110.6(3) may refer the request and the written denial of the request to the division for consideration.

110.6(9) When a health professional, employee, or designated representative refers the denial to the division under subrule 110.6(8), the division shall consider the evidence to determine if:

a. The chemical manufacturer, importer, or employer has supported the claim that the specific chemical identity is a trade secret;

b. The health professional, employee, or designated representative has supported the claim that there is a medical or occupational health need for the information; and

c. The health professional, employee, or designated representative has demonstrated adequate means to protect the confidentiality.

110.6(10) If the division determines that the specific chemical identity requested under subrule 110.6(3) is not a bona fide trade secret, or that it is a trade secret, but the requesting health professional, employee, or designated representative has a legitimate medical or occupational health need for the information, has executed a written confidentiality agreement, and has shown adequate means to protect the confidentiality of the information, the chemical manufacturer, importer, or employer will be subject to citation by the division.

If a chemical manufacturer, importer, or employer demonstrates to the division that the execution of a confidentiality agreement would not provide sufficient protection against the potential harm from the unauthorized disclosure of a trade secret specific chemical identity, the . .

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~

lAC 5/6/87 Labor Services[347] Ch 110, p.l2

commissioner may Issue an order or impose additional limitations or conditions upon the disclosure of the requested chemical information as may be appropriate to assure that the occupational health services are provided without an undue risk of harm to the chemical manufacturer, importer, or employer.

110.6(11) If following the issuance of a citation and any protective orders, the chemical manufacturer, importer, or employer continues to withhold the information, the matter is referable to the review commission for enforcement of the citation. In accordance with review commission rules, the review commission may review the citation and supporting documentation in camera or issue appropriate protective orders.

110.6(12) Notwithstanding the existence of a trade secret claim, a chemical manufacturer, importer, or employer shall, upon request, disclose to the commissioner any information which this rule requires the chemical manufacturer, importer, or employer to make available. Where there is a trade secret claim, the claim shall be made no later than at the time the information is provided to the commissioner so that suitable determinations of trade secret status can be made and the necessary protections can be implemented.

110.6(13) Nothing in this rule shall be construed as requiring disclosure under any circumstances of process or percentage of mixture information which is a trade secret.

347-110.7(88,898) Effective dates. Compliance with this chapter shall be achieved within the following time periods:

1. Chemical manufacturers and importers shall label containers of hazardous chemicals leaving their workplaces, and provide material safety data sheets with initial shipments by May 25, 1986.

2. Distributors shall be in compliance with all provisions of this chapter applicable to them by May 25, 1986.

3. Employers shall be in compliance with all provisions of this chapter by May 25, 1986. These rules are intended to implement Iowa Code sections 89B.4, 89B.5, 89B.8, and 89B.11

and 1986 Iowa Acts, chapter 1245, sections 1899E to 1899J. [Filed 3/21/86, Notice 12/18/85-published 4/9/86, effective 5/25/86]

[Filed emergency 9/5/86-published 9/24/86, effective 9/24/86]* [Filed emergency 4/17/87-published 5/6/87, effective 4/17/87]


*Two ARCs.

Ch 120, p.1 Labor Services[347]


CHAPTER 120 WORKER RIGHT TO KNOW

[Prior to 9/24/86, Labor, Bureau of(S30))

lAC 5/6/87

347-120.1(88,898) Worker right to know. The provisions of this chapter relate to all employers to the extent not exempted by subrules 347-110.1(2) and 110.1(3) or rule 347-120.8(898). To the extent an employer is a chemical manufacturer and has information relative to trade secrets, the rules in 347-chapter 110 are also applicable to employers. The employer's duty shall extend to a person who would normally be deemed an independent contractor, in circumstances where the employer furnishes or specifies that a hazardous chem-ical shall be used at the workplace. The employer-contractor relationship does not include ~ those situations when a client, patient, customer, or other person obtains professional services from a licensed person on a fee service basis.

347-120.2(88,898) Hazard determination. Procedures for hazard determinations are at rule 347-110.3(88,898).

120.2(1) Employers are not required to evaluate chemicals unless they choose not to rely on the evaluation performed by the chemical manufacturer or importer for the chemical.

120.2(2) The written procedures describing the procedures used to determine the hazards of the chemical prepared by the chemical manufacturers, importers, or employers are to be made available, upon request, to employees, their designated representatives, and the commissioner The written description may be incorporated into the written hazard communication program required under rule 120.3(88,898).

347-120.3(88,898) Written hazard communication program. 120.3(1) Employers shall develop and implement a written hazard communication pro

gram for their workplaces which at least describes how the criteria specified in rules 437-110.4(88,898), 110.5(88,898), and 120.4(88,898) to 120.6(88,898) for labels and other forms of warning, material safety data sheets, and employee information and training will be met, and shall also include the following:

a. A list of the hazardous chemicals known to be present using an identity that is referenced on the appropriate material safety data sheet (the list may be compiled for the workplace as a whole or for individual work areas);

b. The methods the employer will use to inform employees of the hazards of nonroutine tasks (for example, the cleaning of reactor vessels), and the hazards associated with chemicals contained in unlabeled pipes in their areas; and

c. The methods the employer will use to inform any contractor employers with employees working in the employer's workplace of the hazardous chemical their employees may be exposed to while performing their work, and any suggestions for appropriate protective measures.

120.3(2) The employer may rely on an existing hazard communication program to comply with these requirements, provided that it meets the criteria established in rule 120.3(88,898).

120.3(3) The employer shall make the written hazard communication program avaliabie, upon request, to employees, their designated representatives and the commissioner during working hours, in accordance with the requirements of rule 347-10.20(88), specifically 29 C.F.R. 1910.20(e).

347-120.4(88,898) Labels and other forms of warning. Procedures for labels and other forms of warnings are at 347-110.4(88,898).

120.4(1) Except as provided in subrules 120.4(2) and 120.4(3), the employer shall ensure that each container of hazardous chemicals in the workplace is labeled, tagged, or marked with the following information:

lAC 9/24/86, 5/6/87 Labor Services[347] Ch 120, p.2

a. Identity of the hazardous chemical(s) contained therein, and b. Appropriate hazard warnings. 120.4(2) The employer may use signs, placards, process sheets, batch tickets, operating

procedures, or other such written materials in lieu of affixing labels to individual stationary process containers, as long as the alternative method identifies the containers to which it is applicable and conveys the information required by subrule 120.4(1) to be on a label. The written materials shall be readily accessible to the employees in their work area throughout each work shift.

120.4(3) The employer is not required to label portable containers into which hazardous chemicals are transferred from labeled containers, and which are intended only for the immediate use of the employee who performs the transfer.

120.4(4) The employer shall not remove or deface existing labels on incoming containers of hazardous chemicals, unless the container is immediately marked with the required information.

120.4(5) The employer shall ensure that labels or other forms of warning are legible, in English, and prominently displayed on the container, or readily available in the work area throughout each work shift. Employers having employees who speak other languages may add the information in their language to the material presented, as long as the information is presented in English as well.

347-120.5(88,898) Material safety data sheets procedures are at 347-110.5(88,898). 120.5(1) Employers shall have a material safety data sheet for each hazardous chemical

which they use. 120.5(2) The employer shall maintain copies of the required material safety data sheets

for each hazardous chemical in the workplace, and shall ensure that they are readily accessible during each work shift to employees when they are in their work area(s).

120.5(3) Material safety data sheets may be kept in any form, including operating procedures, and may be designed to cover groups of hazardous chemicals in a work area where it may be more appropriate to address the hazards of a process rather than individual hazardous chemicals. However, the employer shall ensure that in all cases the required information is provided for each hazardous chemical, and is readily accessible during each work shift to employees when they are in their work area(s).

120.5(4) Material safety data sheets shall also be made readily available, upon request, to designated representatives, and to the commissioner, in accordance with the requirements of rule 347-10.20(88), specifically 29 C.F.R. 1910.20(e).

347-120.6(88,898) Employee information and training. Employers shall provide employees with information and training on hazardous chemicals in their work area at the time of their initial assignment, and whenever a new hazard is introduced into their work area.

120.6(1) Information. Employees shall be informed of: a. The requirements of 347-chapters 110 and 120; b. Any operations in their work area where hazardous chemicals are present; and c. The location and availability of the written hazard communication program, including

the required list(s) of hazardous chemicals, and material safety data sheets required by this chapter.

120.6(2) Training. Employee training shall include at least: a. Methods and observations that may be used to detect the presence or release of hazardous

chemicals in the work area (such as monitoring conducted by the employer, continuous monitoring devices, visual appearance or odor of hazardous chemicals when being released, etc.);

b. The physical and health hazards of the chemicals in the work area including the effects of chronic and acute exposure;

c. The measures employees can take to protect themselves from these hazards, including specific procedures the employer has implemented to protect employees from exposure to hazardous chemicals, such as appropriate work practices, emergency procedures, personal pro-


tective equipment to be used and a description of any biological monitoring program (such as blood leads); and

d. The details of the hazard communication program developed by the employer, including an explanation of the labeling system and the material safety data sheet, and how employees can obtain and use the appropriate hazard information.

120.6(3) Training format. The employer may present the training program to the employee in any format; however the employer shall preserve a written summary and synopsis of the training, a cassette tape recording of an oral presentation, or a video tape recording of an audio video presentation of the training relied upon by the employer for compliance with subrule 120.6(2), and shall allow employees and their designated representatives access to the written synopsis, tape recording, or video tape recording.

120.6(4) Review by the division. The training program shall be available for review and approval upon inspection by the division. Upon request by the commissioner, the employer shall make available the written synopsis, cassette tape recording, or video tape recording used or prepared by the employer. The commissioner may conduct an inspection to review an actual training program or review the employer's records of a training program.

120.6(5) Training exemption. This rule does not apply to an employee employed by a retail sector employer within Standard Industrial Classification (SIC) codes 53 and 54 provided the hazardous chemical is a consumer product as that term is defined in the Consumer Product Safety Act (15 U.S.C. 2015 et seq.). The employee only handles the packaged consumer product for sale purposes, and the employee does not use the chemical in the course of employment.

120.7 Reserved.

347-120.8(88,898) Discrimination. Iowa Code section 898.9 provides that the employer shall not discharge or in any other manner discriminate against an employee because the employee has filed a complaint, brought an action under the Act, or has co-operated in bringing an action against an employer.

120.8(1) Complaint procedure. An employee shall file a written complaint to the division setting forth the alleged violation of Iowa Code section 898.9 within thirty (30) days of the alleged violation.

"120.8(2) Unprotected activity-employer action predicated on nondiscriminatory grounds. Actions taken by an employer or others which adversely affect an employee may be predicated upon nondiscriminating grounds. An employee's engagement in activities protected by the Act does not automatically render an employee free from discharge or discipline for legitimate reasons or from adverse actions dictated by nonprohibitive considerations. The protection only applies when an adverse action occurs because the employee has engaged in a protected activity.

120.8(3) Substantial reason standard. To establish a violation of Iowa Code section 898.9, the employee's engagement in protected activity need not be the sole consideration behind discharge or other adverse action. If the protected activity was a substantial reason for the action or if a discharge or other adverse action had not taken place "but for" engagement in protected activity, Iowa Code section 898.9 had been violated. Ultimately the issues as to whether a discharge was because of protected activity will be determined on the basis of the facts of the particular case.

120.8(4) Procedure. Upon receipt of a written complaint, the commissioner shall commence an investigation to determine whether the provisions of Iowa Code section 898.9 have been violated. If the commissioner determines a violation has occurred, the commissioner shall bring an action in the appropriate district court against the employer.

347-120.9(88,898) Conduct of inspections. 120.9(1) Inspection of records. In addition to rule 347-3.5(88), compliance safety and

health officers shall have the authority to examine material safety data sheets, hazard communication program, hazard chemical lists submitted to the fire department, and information in sufficient specificity furnished to fire departments. However, noncompliance with the pro-

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visions of 347-chapter 130, community right to know, and 347-chapter 140, emergency response right to know, of the Act, shall not be grounds for the compliance safety and health officer to issue an IOSH citation.

120.9(2) Trade secrets, exemption and procedure. When at the commencement of an inspection, the employer identifies a hazardous chemical or mixture as a trade secret, the compliance safety and health officer shall label all information obtained in such areas which could reveal the trade secret, including all negatives and prints or photographs, and specific chemical identity as "confidential-trade/government secrets" and shall not disclose the chemical identity except in accordance with the provisions of Iowa Code section 88.12. The employer shall have the burden of proof to demonstrate to the compliance safety and health officer that the hazardous chemical can be qualified as a trade secret and meet all criteria for trade secrets set forth in rule 347-110.6(88,898).

120.9(3) Confidentiality preserved. In the event that a compliance safety and health officer finds that a hazardous chemical or mixture does not qualify as a trade secret, the officer shall preserve the confidentiality of its identity until the employer has exhausted the administrative remedies and has either failed to file a timely appeal or has failed to prevail upon a trade secret determination as a final agency action under Iowa Code chapter 17 A.

347-120.10(88,898) Trade secret, medical emergency. In the event that a trade secret is involved in an employee exposure to a hazardous chemical that results in a medical emergency, the commissioner may issue a subpoena to obtain the identity of a chemical and the most recent update of the MSDS when the immediate release of such information is necessary for emergency medical treatment. The subpoena shall be issued to the employer upon notice to the commissioner from the attending physician (or other authorized personnel) that a request for this information has been denied and a medical emergency does exist in accordance with subrule 347-110.6(2).

347-120.11(88,898) General procedures for citation, penalties, and appeal. In the event that an investigation reveals a violation of this chapter, the commissioner shall issue a citation in accordance with Iowa Code section 88.7 and follow the procedure for enforcement of Iowa Code section 88.8. The review commission may assess penalties pursuant to Iowa Code section 88.14.

347-120.12(88,898) Effective date. Employers shall be in compliance with the provisions of this chapter by May 25, 1986, including initial training for all current employees. Chapter 898 imposes a duty upon the employer to comply with Iowa Code sections 898.8 to 898.11 as soon as the employer has information necessary to comply. For purposes of this rule, that point in time shall be defined as whichever first occurs; the employer received a material safety data sheet either when the employer came in possession of the hazardous chemical or at a later time when the MSDS is submitted to the employer by a manufacturer, importer, or distributor; or the first time when the employer has actual knowledge that a chemical in the workplace is first classified as hazardous chemical pursuant to rule 347-110.3(88,898).

These rules are intended to implement Iowa Code sections 898.8 to 898.10. [Filed 3/21/86, Notice 12/18/85-published 4/9/86, effective 5/25/86]




CHAPTER 130 COMMUNITY RIGHT TO KNOW

[Prior 10 9/24/86, l:.abor, Bureau of(S30))

lAC 5/6/87

347-130.1(898) Employer's duty. Upon request, an employer has a duty to inform the public of the presence of hazardous chemicals in the community and the potential health and environmental hazards that the chemicals pose. Requests shall be made during normal office hours of the employer. The employer shall provide the information or reason for refusal within ten days unless the request is from a health professional.

347-130.2(898) Records accessibility. 130.2(1) Records do not need to be accessible to public if the information is a trade secret \...,)

or the employer has notified the division in writing that certain information should not be acces-sible to the public for reasons that the information is not relevant to public health and safety or the release of the information is proven to cause damage to the employer.

130.2(2) Accessible records include the material safety data sheets. The employer shall also provide information concerning the quantity of each hazardous chemical stored or used. Quantity information may include the manner of purchase such as in gallon containers, barrels, tankers, etc. Additionally, the employer shall provide information specifying the quantity as less than five hundred pounds, between five hundred pounds and one thousand pounds, between one thousand pounds and five thousand pounds, or in excess of five thousand pounds.

130.2(3) An employer is not required to make a copy of a material data sheet if the interested person is given an opportunity to review and make notes regarding the material safety data sheet.

If an employer provides a copy of a material safety data sheet at the request of the inter- \,/' ested person, a reasonable fee can be charged for the actual cost of copying.

347-130.3(898) Application for exemption. To obtain an order from the commissioner pursuant to Iowa Code chapter 898 and rule 130.2(898), an employer shall make a written application to the commissioner setting forth the specific grounds for the claimed exemption. Upon receipt of an application, the commissioner shall give the applicant notice and opportunity to ~e heard at a full evidentiary hearing before the commissioner.

347-130.4(898) Burden of proof and criteria. 130.4(1) Trade Secrets. The employer-applicant shall have the burden of proof in show

ing that the information claimed exempted qualifies as a trade secret. a. At the discretion of the commissioner, official notice may be taken that similar informa

tion of the employer-applicant has been deemed a trade secret for the purpose of rule 347-110.6(88,898) and the commissioner may summarily grant the exemption based on the official notice.

b. The criteria for determining a trade secret under this rule shall be identical to that under rule 347-110.6(88,898).

130.4(2) Relevance of public health and safety/damage to employer. The employerapplicant shall have the burden of proof in showing that the information is not relevant to public health and safety or that the release of the information would damage the employer. Notification in writing by the employer is not, in and of itself, sufficient to allow the employer to obtain the exemption.

347-130.5(898) Formal ruling. The commissioner shall issue a formal ruling upon application. The ruling shall set forth findings of fact and conclusions of law and grant or deny


\.,_) the application. The ruling shall be the final agency action for purposes of Iowa Code chapter 17A.

347-130.6(898) Request for information. An interested person may request information from an employer. If the request is denied by the employer, the requesting party may then file an application for information with the division. The application will set forth the information being requested and that information was refused by the employer or that the employer denies access or that the employer alleged that no records were kept. The applicant shall state the interest in the information requested to be received.

347-130.7(898) Filing with division. Upon receipt of application for information, the division shall determine if the applicant has a legitimate interest, and if so, the division shall make a written demand upon the employer to provide the requested information to the division. If the employer complies, the division shall forward copies to the interested person. Requests for the information under rule 130.6(898) will be kept confidential. The division shall not disclose the name of the interested person to any person.

347-130.8(898) Grounds for complaint against the employer. The commissioner may cite the employer on a formal written complaint on any of the following grounds:

130.8(1) The division has not received a reply within 30 days of the request for information pursuant to rule 130. 7(89B); or

130.8(2) The division finds on an IOSH inspection that the employer's records materially distort the information given the public or an emergency response group so as to pose a serious hazard to community health, environment, or emergency response personnel.

347-130.9(898) Investigation or inspection upon complaint. Within 15 days of determining that there are grounds for a complaint, the commissioner shall either notify the employer in writing of the grounds of the complaint and request information or conduct an unannounced inspection of the employer's workplace at reasonable times and in a reasonable manner. Within 30 days of initiating an investigation or inspection, the division may fitid that the complaint is invalid and unfounded and shall so inform the interested person and the employer in writing.

347-130.10(898) Order to comply. 130.10(1) If after conducting an investigaton or inspection of the employer's workplace

the commissioner finds that the complaint is meritorious, the commissioner shall issue an order to comply to the employer which shall set forth with specificity the employer's noncompliance with the Act or rules. The commissioner shall give the employer a period of thirty (30) days to take remedial steps for compliance. The commissioner may establish a shorter period of time if justification is provided in the order to comply.

130. 10(2) An employer may request an evidentiary hearing on the order to comply at any time prior to the time set forth for compliance in the order to comply.

130.10(3) If the employer has not requested a hearing, the commissioner, after the time set forth for compliance with the order to comply, may re-examine records submitted by the employer or may reinspect the premises. If the employer has not taken the necessary remedial steps required by the order to comply, the commissioner, upon notice and evidentiary hearing, may issue a decision on the order to comply which shall be deemed a final agency action pursuant to Iowa Code chapter 17 A.

130.10(4) In the event that the employer fails to comply with a decision on the order to comply, the commissioner may commence an action in the Iowa District Court for injunctive and other equitable relief that may be just and equitable.


347-130.11(898) Effective date. The rules in this chapter shall become effective on July 1, 1986.

These rules are intended to implement Iowa Code chapter 89B. [Filed 3/21186, Notice 12/18/85-published 4/9/86, effective 7/1186]



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CHAPTER 140 PUBLIC SAFETY /EMERGENCY RESPONSE RIGHT TO KNOW

(Prior to 9/24/86, Labor, Bureau of(S30))

347-140.1(898) Signs required and adoption by reference. The employer shall post signs which will comply with this rule. An employer need not comply with the sign posting requirements of subrule 140.1(2) if the building, structure, or location within the building o; structure does not contain a significant amount of the hazardous chemical as defined in subrule 140.4(1). The National Fire Protection Association's standard system for identifying fire hazards of chemicals based on NFPA standard 704-1980 is adopted by reference.

\....) 140.1(1) Size. The signs shall be at least seven and one-half inches on each side. The sign shall have four spaces each at least three and three-fourths inches on a side. Numbers and symbols within each of the four spaces shall be at least three inches in height.

140.1(2) Location. If a building or structure has a floor space of five thousand square feet or less, an employer shall post signs on the outside of the building or structure identifying the type of each hazardous chemical contained in the building or structure. If the building has more than five thousand square feet, the employer shall post a sign at the place within the building where each hazardous chemical is permanently stored to identify the type of hazardous chemical. If the hazardous chemical is moved within the building, the employer shall also move the sign or post an additional sign at the location where the hazardous chemical is moved. This subrule applies to significant amounts of a hazardous chemical as defined in subrule 140.4(1).

140.1(3) Categories. The signs shall identify hazards of a chemical in terms of three prin-~ipal categories, namely, "health," "flammability," and "reactivity (instability)"; and indi

cate the order of severity numerically by five classifications ranging from four, indicating a severe hazard, to zero, indicating no special hazard. This information is to be presented by a spatial system of diagrams with "health" always being on the left; "flammability" at the top; and "reactivity (instability)" on the right. Color backgrounds and numbers are used for the three categories with blue representing "health" hazard, red representing "flammability," and yellow representing "reactivity (instability)." The fourth space shall be at the bottom and used to indicate unusual reactivity or other special hazard warnings in black and white colors.

347-140.2(898) Employer variance applications. An employer may make application to the commissioner for less stringent sign posting requirements.

140.2(1) The employer shall make written application for a variance. 140.2(2) The employer shall have the burden of proof to show that compliance imposes

\win undue hardship on the employer and that the less stringent sign posting requirements as proposed by the employer offer substantially the same degree of notice and protection to emergency responders as if Iowa Code section 89B.l4 were strictly applied.

140.2(3) Procedure. The employer application which shall be procedurally processed in the same manner as an application for exemption under subrule 130.5(5).

347-140.3(898) Agreement between an employer and fire department. In instances where the posting of a sign for each hazardous chemical would be ambiguous, repetitive, or where space is limited by the physical characteristics of the structure, or in situations, such as in a building, structure, or location, where a wide variety of materials may be stored having varying degrees of hazards, the identifying symbol shall indicate the most severe degree of hazard in each category except when a high hazard rating would be misleading because of the presence ,f an insignificant quantity of the material requiring the rating.

\._,)


The employer may enter into a written agreement with the fire chief of the local fire depart- ~ ment which provides for the posting of signs for the most hazardous chemical in each prin-cipal category as set forth in subrule 140.1(2). The agreement is subject to the approval of the division pursuant to the procedure for a variance, as specified in rule 140.2(898). If the variance is approved, the employer shall post in the same location as the required posted signs a sign stating: "Signs not posted for all hazardous chemicals." The sign shall be in block letters at least three inches in height.

347-140.4(898) Significant amounts. 140.4(1) Definition. A "significant amount" means the amount of a hazardous chemi-

cal(s) meeting any of the following criteria: a. Any amount of a hazardous chemical which is classified as follows: (I) A U.S. Department of Transportation Class A explosive; (2) A U.S. Department of Transportation Class 8 explosive; ~ (3) A U.S. Department of Transportation Class A poison; (4) A U.S. Department of Transportation Class 8 poison; (5) A U.S. Department of Transportation flammable solid with a "dangerous when wet"

warning; (6) A U.S. Departament of Transportation yellow III label radioactive material; (7) An NFPA 704-1980 flammability rating of 4; (8) An NFPA 704-1980 health rating of greater than or equal to 3; or (9) An NFPA 704-1980 reactivity rating of 4. b. The aggregate amount of hazardous chemicals stored, placed, or used at the building,

structure, or location is greater than or equal to 25 gallons of liquid or 250 pounds of nonliquid where the numerical rating of the hazardous chemical based on the NFP A 704-1980 system meeting any of the following criteria:

(I) Health rating of greater than or equal to 2; '.,~ (2) Flammability rating greater than or equal to 3;

or (3) Reactivity rating of greater than or equal to 2.

If the hazardous chemical in both a liquid and nonliquid state, the aggregate amount measurement shall be made considering the combined poundage.

140.4(2) The requirements of this rule shall be superseded by other state or federal laws· where those regulations are more restrictive.

347-140.5(898) Information submitted to local fire department. The employer shall sub-mit to the local fire department a list of hazardous chemicals which are consistently generated by, used by, stored at, or transported from the employer's facility. The employer shall sub-mit updated information as it becomes available to the employer. The employer shall submit information in sufficient specificity as defined in rule 347-110.2(88,898). This subrule shall '.,; not apply to hazardous chemicals which are not in significant amounts. The employer shall send the information by certified mail.

347-140.6(898) Recommended communications. It is recommended that local fire departments and employers meet to collaborate on the types and amounts of hazardous chemicals as well as any unusual hazards which may be encountered by emergency response personnel.

347-140.7(898) Procedure for noncompliance. If an employer fails to comply with the requirements of this chapter, the fire chief in the jurisdiction of the employer may file a written complaint with the commissioner.

347-140.8(898) Notice of noncompliance. The commissioner may rely on the informa-tion provided by the fire chief and immediately issue a notice of noncompliance to the employer. ~

140.8(1) Opportunity for hearing. The notice of noncompliance shall be sent by certified mail and shall set forth that the employel'·may have an opportunity to be heard, upon demand


by the employer. In the event the employer demands a hearing, the commissioner may conduct an investigation or an inspection pursuant to 347-chapter 3.

140.8(2) In the event the employer does not demand a hearing within thirty days of the receipt of notice of noncompliance, the commissioner shall, without further notice, issue an order for compliance which shall be a final agency action pursuant to Iowa Code chapter 17 A.

140.8(3) In the event the issue of noncompliance comes for hearing before the commissioner, the commissioner may, at the conclusion of the hearing, issue an order for compliance which shall be a final agency action pursuant to Iowa Code chapter 17 A or dismiss the complaint.

347-140.9(88,898) Effective date. The rules in this chapter shall become effective on November I, 1986.

These rules are intended to implement Iowa Code chapter 89B.

•Two ARCs.

[Filed 3/21/86, Notice 12/18/85-published 4/9/86, effective 1111186] [Filed emergency 9/5/86-published 9/24/86, effective 9/24/86]* [Filed emergency 4/17/87-published 5/6/87, effective 4/17/87]

lAC 2/11/87, 5/6/87 Human Services[441]

CHAPTER 175* ABUSE OF CHILDREN

(Prior to 711183, Social Scrvices(770), Ch 13S) (Previously appeared as Ch US-renumbered lAB 2/29/84)

(Prior to 2/11/87, Human Services(498))

441-17S.l(l3SA) Definitions.

Ch 175, p.1

uAdequate food, shelter, clothing or other care" shall mean that food, shelter, clothing, or other care which if not provided would constitute a denial of critical care.

"Appropriate investigation" shall mean that investigation reasonably believed by the department to be warranted by the facts and circumstances of the case as reported.

~~child abuse information" shall mean any or all individually identified data defined in Iowa Code section 235A.13, subsections (1), (2), (3), and (4), maintained by the registry or by any

. local office of the department of human services. \..._) .. Child abuse prevention services" shall be provided for the purpose of reducing or remov-

ing conditions which may cause or contribute to abuse of a child. These services shall include client assessment and case management, home management, child day care, mental health related and family planning services as the services are defined in their respective chapters of the lAC.

"Child abuse treatment services" shall be provided for the purposes of ensuring the safety of a child and reducing or removing conditions present in the home of a child or person responsible for a child's care which have caused or contributed to abuse of a child. These services shall include client assessment and case management, mental health, home management, child day care, emergency shelter, foster family home, foster group care, court ordered oversight, health related and family planning services as these services are defined in their respective chapter of the lAC.

"Collateral sources" shall mean any person or agency who is presently providing, either "'-" in a professional or paraprofessional capacity, service to the family or child including, but

not limited to, doctors, teachers, counselors, and public health nurses. "Denial of critical care" shall mean any of the following: 1. A pattern of care by the person responsible for the care of the child in which a child's

basic needs are denied or ignored to such an extent that there is imminent or potential danger of the child suffering injury or death.

2. A denial of or a failure to provide the mental health care necessary to adequately treat a child's serious social maladjustment.

3. A gross failure of the person resp-onsible for the care of the child to meet the emotional needs of the child necessary for normal development.

4. A failure by the person responsible for the care of the child to provide for the proper supervision of the child.

5. A failure to respond to a child's life threatening conditions by providing treatment in\../ eluding appropriate hydration, nutrition, and medication, which, in a physician's reasonable

medical judgment, will be most likely to be effective in ameliorating or correcting the conditions. a. The infant is chronically and irreversibly comatose; b. The provision of such treatment would merely prolong dying, not be effective in ameliorat

ing or correcting all of the infant's life-threatening conditions, or otherwise be futile in terms of the survival of the infant;

c. The provision of such treatment would be virtually futile in terms of the survival of the infant and the treatment itself under such circumstances would be inhumane.

"Facility providing care to a child" shall mean any public or private facility including an institution, hospital, health care facility, group home, mental health center, residential treatment center, shelter care facility, detention center, or child care facility. A public or private school is not considered a facility providing care to a child.

"Institution" shall not include public and nonpublic schools as those terms are defined in \..,.) Iowa Code section 280.2.

•Effective date (5/1187) of amendments to subruJe 175.8(4), paragraph "a," subparagraphs (7), (9), and (10); subrule 175.8(5); rules 175.9 and 175.15 delayed seventy days by the administrative rules review commiuee at its 4/13/87 meeting.

Ch 175, p.2 Human Services[441] lAC 2/11/87

"Investigation service .. shall mean the study, investigation and evaluation of reported allega- ~ tions of child abuse to determine the accuracy of the report, the need for protective interven-tion and the action to be taken as required by Iowa Code section 232.71.

"Multidisciplinary team .. shall mean a group of individuals who possess knowledge and skills related to the investigation, diagnosis, assessment and disposition of child abuse cases and who are professionals practicing in the disciplines of medicine, public health, mental health, social work, child development, education, law, juvenile probation or law enforcement.

"Nonaccidental physical injury .. shall mean an injury which was the natural and probable result of a caretaker's actions which the caretaker could have reasonably foreseen, or which a reasonable person could have foreseen in similar circumstances, or which resulted from an act administered for the specific purpose of causing an injury.

"Physical injury .. shall mean damage to any bodily tissue to the extent that the tissue must undergo a healing process in order to be restored to a sound and healthy condition or damage ~ to any bodily tissue to the extent that the tissue cannot be restored to a sound and healthy condition or damage to any bodily tissue which results in the death of the person who has sustained the damage.

"Preponderance of evidence .. shall mean evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it.

"Primary caretaker .. shall mean a person responsible for the care of a child, as defined in Iowa Code subsection 232.68(6) who exercises responsibility for meeting the basic needs of a child on a continuing twenty-four (24)-hour a day basis.

· "Proper supervision u shall mean that supervision which a reasonable and prudent person would exercise under similar facts and circumstances, but in no event shall the person place a child in a situation that may endanger the child's life or health, or cruelly or unduly confine such child.

"Report .. shall mean a verbal or written statement, made to the department, which alleges l , that child abuse has occurred. ..._..,

"Substitute caretaker .. shall mean a person to whom a primary caretaker has delegated temp-orary responsibility for the care of a child during the absence of the child's primary caretaker. The primary caretaker retains continuing responsibility for meeting the basic needs of the

child during the absence. This rule is intended to implement Iowa Code sections 232.67 to 232.77 and 235A.15 to

235A.17.

441-175.2(232) Denial of critical care. The failure on the part of a person responsible for the care of a child to provide for the adequate food, shelter, clothing, or other care necessary for the child's health and welfare when financially able to do so or when offered financial and other reasonable means to do so shall constitute denial of critical care to that child.

This rule is intended to implement Iowa Code section 232.68. ~

441-175.3(235A) Reports. The central registry and local office shall accept initial reports from mandatory reporters or any other person believing a child has been the subject of child abuse, as defined by Iowa Code section 232.68. A written report shall be made within forty-eight (48) hours after an oral report. The reporter may use the department's Form SS-1705-0, Suspected Child Abuse Reporting Form, or may use a form developed by the reporter which meets the requirements of Iowa Code section 232.70.

441-175.4(232) Eligibility for service and service provision. 175.4(1) Investigation services. Investigation of reports of suspected abuse shall be

provided pursuant to the requirements of Iowa Code section 232.71. 175.4(2) Child abuse treatment services. a. Child abuse treatment service shall be offered to the child, to other children in the same '-..!

home and to the primary caretaker when both of the following conditions exist: (1) The findings of an investigation of suspected child abuse support a conclusion that the

child has been abused.

lAC 3/25/87, 5/6/87 Human Services[441] Ch 175, p.9

\...,) 441-175.15(235A) Request for correction or expungement and appeal. Within six (6) months of the date of the notice of the investigation results, a person may file with the department a written statement to the effect that child abuse information referring to the person is partially or entirely erroneous. The person may also request a correction of that information or of the findings of the investigation report.

Unless the department corrects the information or findings as requested, the department shall provide the person with an opportunity for a hearing as provided by 441-chapter 7 to correct the information, or the findings. The department may defer the hearing until the conclusion of a pending juvenile court or district court case relating to the information or findings.

The department shall delay the correction or expungement of information which is not determined to be founded if a request for correction is first made by a person other than the person alleged to be responsible for the abuse. When this occurs, the expungement shall be delayed until the issue is resolved. If the person alleged to be responsible for the abuse is the first

\.,) to seek correction, then information cannot be determined to be founded and shall be expunged at the time specified by statute without delay.

This rule is intended to implement Iowa Code section 235A.19. [Filed August 26, 1974]

[Filed 4/30/76, Notice 3/22/76-published 5/17/76, effective 6/21176] [Filed 5/8/78, Notice 11/30/77-published 5/31178, effective 7 /5/78]

(Filed 10/24/79, Notice2/21/79-published 11/14/79, effective 12/19/79] [Filed 6/2/81, Notice 2/18/81 -published 6/24/81, effective 7/29/81 J

[Filed 9/26/83, Notice 8/3/83-published 10/12/83, effective 12/1183] [Filed emergency 2/10/84-published 2/29/84, effective 2/10/84]

[Filed emergency 6/15/84-published 7/4/84, effective 7/1184] [Filed emergency 6/14/85-published 7/3/85, effective 7/li85]

[Filed 7/26/85, Notice 6/19/85-published 8/14/85, effective 10/1/85] \..,) [Filed 7/26/85, Notice 6/19/85-published 8/14/85, effective 10/1185]

'....._;

[Filed 8/23/85, Notice 7/3/85-published 9/11/85, effective 11/1185] [Filed emergency 1115/87-published 2/11187, effective 1/15/87]

[Filed 3/3/87, Notice 12/31186-published 3/25/87, effective 5/1187*]

*Effective date of amendments to subrule 17S.8(4), paragraph "a," subparagraphs (7), (9), and (10); subrule ·17S.8(S); rules 17S.9 and 17S.lS delayed seventy days by the administrative rules review committee.

'--~----

:, .·

lAC 5/6/87 Personnel[581] Analysis, p.3

CHAPTER19 GENERAL

19.1(19A) State system of personnel 19.2(19A) Declaratory rulings 19.3(19A) Petition for adoption, amend

ment, revision or repeal of a rule

19.4(19A) Taking examinations and interviewing for state jobs

CHAPTER 20 ~_ J AFFIRMATIVE ACTION ..._., 20.1(71GA,SF2175) Definitions

20.2(71GA,SF2175) Affirmative action requirement

20.3(71GA,SF2175) Planning standards 20.4(71GA,SF2175) Dissemination 20.5(71GA,SF2175) Annual report

CHAPTER 21 IOWA PUBLIC EMPLOYEES'

RETIREMENT SYSTEM 21.1(97B) Iowa public employees' retire

ment system '-.,) 21.2(97B) Records to be kept by the

employer 21.3(97B) Liable employers 21.4(97B) Definition of wages for

employment during the calendar quarter-other definitions

21.5(978) Identification of employees covered by the Iowa public employees' retirement law

21.6(978) Wage reports and contributions by employers

21. 7(97B) Accrual of interest ~ 21.8(97B) Refunds

21.9(97B) Appeals 21.1 0(97B) Beneficiaries 21.11(978) Application for benefits 21.12(97B) Definition of year of member-

ship service 21.13(97B) Formula benefits for monthly

payment of allowance 21.14(97B) Interest on accumulated

contributions 21.15(978) Forgery procedure 21.16(978) Authorized leave period 21.17(978) Membership status

\..,) 21.18(978) Retirement dates 21.19(978) Wage-earning disqualification

for retired members 21.20(97B) Identification of agents

21.21(97B) Verification of retired member's signature

21.22(97B) Disability 21.23(97B) Confidentiality of records

CHAPTER 22 FEDERAL SOCIAL SECURITY

22.1 Reserved 22.2(97C) Records to be kept by the

employer 22.3(97C) Contents of records 22.4(97C) Reports 22.5(97C) Definition of wages for

employment during the calendar quarter

22.6(97C) Identification of workers covered by federal social security law

22.7(97C) Contribution by employers 22.8(97C) Accrual of interest

. ~ .' .

-~ .. ·· .. , .. ,-· r~···. -·:J

lAC 5/6/87 Personnel[581] Ch 21, p.1

CHAPTER 21 IOWA PUBLIC EMPLOYEES' RETIREMENT SYSTEM

[Prior to 5/6/87, Employment Security(370), Ch 8)

581-21.1(97B) Iowa public employees' retirement system. 21.1(1) Organization. The Iowa public employees' retirement system (IPERS) was created

by Iowa Code chapter 978. 21.1(2) IPERS investment board. The investment board establishes policy in matters relat

ing to the investment of the trust funds of the system. The board shall consist of nine (9) members. Six (6) members shall be appointed by the governor: One (1) executive of a domestic life insurance company, one (1) executive of a state or national bank operating in Iowa, one (1) executive of a major industrial corporation in Iowa, two (2) active members of the system (one (1) employee of a school system and one (1) employee other than an employee of a school system) and one (1) retired member of the system. The majority leader of the senate shall appoint one (1) member from the membership of the senate and the speaker of the house of representatives shall appoint one (1) member from the membership of the house. Governor-appointed members shall serve for a term of six (6) years. All appointees must be approved by two-thirds of the senate. The director of the department of personnel shall be an ex officio nonvoting member. The eight (8) appointed members shall each have equal voting rights in the establishment of investment policy.

a. Organization of board. At the first meeting in each fiscal year the members elect a chair and vice chair. The principal place of business of the board is located at 600 East Court Avenue, the IPERS office in Des Moines.

b. Location and methods of obtaining information. All available information may be obtained by written request to the board in care of the following address: Investment Board, Iowa Public Employees' Retirement System, 600 East Court Avenue, P.O. Box 9117, Des Moines, Iowa 50306.

c. Board's agenda. A person who wishes to be on the board's agenda for its next meeting should file a verbal or written request with the IPERS director at least five (5) working days prior to the meeting. The board may take up matters not included on its agenda.

d. Quorum. Two-thirds of the members eligible to vote on the date of the meeting will constitute a quorum. A simple majority vote will be the vote of the board.

21.1(3) Investment goal statement and policy. In accordance with 1985 Iowa Acts, chapter 190~ the IPERS Investment Board will annually review the investment policies and procedures used by the department and shall hold a public meeting on the subject. The meeting will occur at the first regularly scheduled meeting of the board after July 1 of each year. Subsequent to the annual review, the board will establish an "Investment goal statement and policy" which shall direct the investment activities of the IPERS administration. The department shall execute the investment activities of the system in accordance with this statement. Modifications to the statement may be adopted prior to the annual formal review.

This rule is intended to implement Iowa Code sections 978.5, 97B.7, 97B.8, and 97B.15.

581-21.2(978) Records to be kept by the employer. 21.2(1) Definition. Each employing unit shall maintain records to show the information

hereinafter indicated. Records shall be kept in a form and manner that will be possible from an inspection to obtain the facts necessary to determine the eligibility of each employee to coverage. Records shall be open to inspection and may be copied by the department and its authorized representatives at any reasonable time.

21.2(2) Records shall show with respect to each employee: The employee's name, address and social security account number; each date the employee was paid wages or other wage equivalent (room, board, etc.); the total amount of wages paid on each date including noncash wage equivalent; the total amount of wages including wage equivalent on which IPERS

Ch 21, p.2 Personnel[581] lAC 5/6/87

contributions are payable; the amount withheld from wages or wage equivalent for the employee's share of IPERS contributions.

21.2(3) Reports. Each employing unit shall make reports as the IPERS office may require, and shall comply with the instructions printed upon any report form issued by the IPERS office pertaining to the preparation and return of the report.


581-21.3(978) Liable employers. 21.3(1) Definition. All public employers in the state of Iowa, its cities, counties, town

ships, and public schools are required to participate in IPERS, if any employee meets the minimum calendar quarter requirement. Some employers included are: the state of Iowa and its administrative agencies; counties, including their hospitals and county homes; cities including their hospitals; park boards and commissions; recreation commissions; townships; public libraries; cemetery associations; municipal utilities including water works, gas works, electric light and power; school districts including their lunch and activity programs; state colleges and universities; and state hospitals and institutions. Any employing unit, not already reporting to the IPERS office, which fulfi11s the conditions with respect to becoming an employer, shall immediately give notice to the IPERS office of that fact. Such notice shall set forth the name. and address of the employing unit.

21.3(2) Name change. Any employing unit which has a change of name, address, or title of the unit or its reporting official, or any other identifying information, shall immediately give notice in writing to the IPERS office. The notice shall include the former name, address and IPERS account number of the employing unit, the new name and address of the employing unit, and the reason for the change if other than a change of reporting official.

21.3(3) Termination. Any employing unit which terminates for any reason shall provide the IPERS office with the following:

a. Complete name and address of the dissolved entity. b. Assigned IPERS account number. c. Last date on which wages were paid. d. Date on which the entity dissolved. e. Reason for the dissolution. f. Whether or not the entity expects to pay wages in the future. g. Name and address of absorbed employing unit if applicable. 21.3(4) Reports of dissolved or absorbed employers. An employing unit that has been

dissolved or entirely absorbed by another employing unit is required to file a quarterly or monthly report with IPERS through the last date on which it legally existed. Any wages paid after the legal date of dissolution are reported under the account number assigned to the new or successor employing unit, if any.

21.3(5) IPERS account number. Each reporting unit is assigned an IPERS account number. This number should be used on all correspondence and reporting forms directed to the IPERS office.

This rule is intended to implement Iowa Code sections 978.5, 978.9-978.12, 978.15 and 978.41(3)"a."

581-21.4(978) Definition of wages for employment during the calendar quarter-other definitions. Unless the context otherwise requires, terms used in these rules, regulations, interpretations, forms and other official pronouncements issued by the IPERS office shall have the following meaning:

21.4(1) "Wages" means all compensation earned by employees, including vacation pay, sick pay, bonus payments, dismissal pay, amounts deducted from employee's pay for taxsheltered annuities, and the cash value of wage equivalents.

a. Vacation pay. The amount paid an employee during a period of vacation.

lAC 5/6/87 Personnel[S81] Ch 21, p.3

b. Sick pay. Payments made for sick leave which are a continuation of salary payments. c. Bonus payments. Allowance paid to an employee in addition to salary. d. Dismissal pay. Pay by an employer to an employee whose services are ended

independently of the employee's will or wishes. e. Wage equivalents. Items such as food, lodging and travel pay which are includable as

employee income, if they are paid as compensation for employment. The basic test is whether or not such wage equivalent was given for the convenience of the employee or employing unit. Wage equivalents are not taxable under IPERS if given for the convenience of the employing unit. Wages paid in any other form than money are measured by the fair market value of the meals, lodging, travel or other wage equivalents.

f. Special lump sum payments. Wages do not include special lump sum payments made, during or at the end of service, as a payoff of unused sick leave. Wages do not include special lump sum payments made, during or at the end of service, as a payoff of unused accrued vacation. Wages do not include special lump sum payments made, during or at the end of service, as an incentive to retire early.

21.4(2) Wages are taxable in the quarter in which they are actually paid to the employee. 21.4(3) Wages which do not equal or exceed the sum of three hundred dollars ($300) in

any calendar quarter shall be excluded from IPERS coverage unless the lesser amount would raise the employee's taxable wages to the annual covered wage maximum. See subrule 21.6(2).

a. ucovered wagesu means wages of a member during periods of service that do not exceed the annual covered wage maximum. Effective January 1, 1976, the annual covered wage maximum was twenty thousand dollars ($20,000). Effective January 1, 1984, the annual covered wage maximum was twenty-one thousand dollars ($21,000). Effective January 1, 1986, the annual covered wage maximum was twenty-two thousand dollars ($22,000). , Effective January 1, 1987, the annual covered wage maximum was twenty-three thousand

dollars ($23,000). Effective January 1, 1988, the annual covered wage maximum will be twentyfour thousand dollars ($24,000). The covered wage maximum shall increase by one thousand dollars ($1,000) annually, contingent upon the actuarial soundness of the system, up to a maximum of forty thousand dollars ($40,000).

(1) Effective July 1, 1978, covered wages shall not include wages paid a member on or after the first day of the month in which the member reaches age seventy (70).

(2) If a member is employed by more than one employer during the calendar year, the total amount of wages paid shall be included in determining the annual covered wage maximum. If the amount of wages paid to a member by several employers during a calendar year exceeds the covered wage limit, the amount of the excess shall not be subject to contributions required by Iowa Code section 978.11. See subrule 21.8(1), paragraph ud. u

This rule is intended to implement Iowa Code sections 97B.41(1)Ha'' and 97B.41(l)ub."

581-21.5(978) Identification of employees covered by the Iowa public employees' retirement law.

21.5(1) Definition of employee. a. An employee is an individual who is subject to control by the agency for whom the

individual performs services for wages. The term control refers only to employment and includes control over the way the employee works, where the employee works and the hours the employee works. The control need not be actually exercised for an employer-employee relationship to exist; the right to exercise control is sufficient. A public official may be an "employee" as defined in the agreement between the state of Iowa and the Secretary of Health, Education and Welfare, without the element of direction and control. However, there are certain employees who are not included in the IPERS program. The following lists some public employee groups which may raise questions and gives the rule concerning inclusion or exclusion.

(1) Full-time officials elected by public vote are included; but elected officials of townships, members of the Iowa general assembly, (effective January 1, 1979, members of the Iowa general assembly may elect coverage under IPERS), election clerks and judges, and part-time officials elected by public vote are excluded.

(2) County and municipal court bailiffs who receive compensation for duties are included.


(3) City attorneys are included. ~ (4) Magistrates are included, (effective January 1, 1978 part-time judicial magistrates

may elect not to be covered by IPERS). A judicial magistrate having once made a choice to elect IPERS membership may not revoke that election and discontinue such membership.

(5) Office and clerical staff of a county medical examiner's office are included; but county medical examiners and deputy county medical examiners are excluded.

(6) Police officers and fire fighters in towns of less than eight thousand {8,000) population are included, as are the traffic control officer and special police officers; but police officers and fire fighters in towns over eight thousand (8,000) population are excluded.

(7) County social welfare employees are included. (8) Members of county soldiers relief commissions and their administrative or clerical

employees are included. (9) Mayors in mayor-council forms of government may or may not be included, depend- \..._,)

ing on whether a mayor under the mayor-council form of municipal government is in full-time or part-time employment. An individual determination must be made by IPERS on a case-by-case basis. Among factors considered are the amount of time the mayor devotes to official duties, the number of outside jobs the mayor holds, and the agreement on the execu-tion of official duties between the mayor and the council.

(10) Field assessors are included. (11) Members of county boards of supervisors who receive an annual salary are included;

but members of county boards of supervisors paid on a per diem basis are excluded. (12) Part-time employees who earn three hundred dollars ($300) or more in a calendar quarter

are included; but part-time employees who earn less than three hundred dollars ($300) in a calendar quarter are excluded, unless the part-time employee works for more than one public employing unit and the employee's services are under the direction and control of a single authority and the combined quarterly earnings equal or exceed three hundred dollars ($300). '..,/

(13) Employees hired for temporary employment for six (6) months or less are excluded. (14) Drainage district employees who have vested rights to IPERS through earlier partici

pation or employees of drainage districts who elect IPERS coverage by submitting a formal application are included.

(15) Employees below age seventy (70) receiving IPERS benefits or old-age or disability benefits are included; employees age seventy (70) or over are excluded on and after the first day of the month in which the employee reaches age seventy (70).

(16) Tax study committee employees are included. (17) Appointed officials of school districts such as secretaries or treasurers who work part

time or full-time and receive three hundred dollars ($300) or more during a calendar quarter are included; but elective officials of school districts are excluded.

(18) School bus drivers paid three hundred dollars ($300) or more in a calendar quarter are included; but school bus drivers who are independent contractors are excluded. A ~ determination must be made by the IPERS office on the facts presented on a case-by-case basis.

(19) Student employees are excluded. (20) Foreign exchange teachers and visitors including alien scholars, trainees, professors,

teachers, research assistants, and specialists in their field of specialized knowledge or skill are all excluded from coverage.

(21) Members of any other retirement system in Iowa maintained in whole or part by public funds are excluded.

(22) Members of the federal civil service retirement system in Iowa maintained in whole or part by public funds are excluded.

(23) Employees of credit unions without capitol stock organized and operated for mutual purposes without profit are excluded.

(24) Members of the ministry, rabbinate or other religious order who perform full- or part- "..) time religious service for Iowa or its political subdivisions and earn three hundred dollars ($300)

lAC 5/6/87 Personnel[581 1 Ch 21, p.5

'-..,~ or more in a calendar quarter are included; but members of the ministry, rabbinate or other religious order who have taken the vow of poverty are excluded, unless within one (1) year of commencing employment or no later than July 1, 1985, for individuals who are members of the system on July 1, 1984, a member makes an application to the department to be covered under this chapter.

(25) Any physician, surgeon, dentist or member of other professional groups employed full-time by Iowa or its political subdivisions is included; but any member of a professional group who performs part-time service for any public agency but whose private practice provides the major source of income is excluded, except for city attorneys and health officials.

(26) Interns and resident doctors in the employ of a state or local hospital, school or institution are excluded.

~ (27) Professional personnel who acquire the status of an officer of the state of Iowa or a political subdivision thereof, even though they engage in private practice and render government service only on a part-time basis are included.

(28) Volunteer fire fighters are included when wages are substantial and intended as compensation for work performed; they are excluded if wages are nominal and intended as reimbursement for expenses incurred in the performance of volunteer service.

(29) Residents or inmates of county homes are excluded. (30) Temporary employees are excluded until the employee works in excess of one thou

sand and forty (1040) hours in a fiscal year. (31) Members of the state transportation commission, the board of parole, and the state

health facilities council are excluded unless they elect coverage by filing applications with the department to be covered.

(32) Employees of an interstate agency established under Iowa Code chapter 28E, and similar '-..;) enabling legislation in an adjoining state if the city had made contributions to the system for

employees performing functions which are transferred to the interstate agency shall be considered employees of the city for the sole purpose of membership in IPERS, although the employer contributions for those employees are made by the interstate agency.

(33) Persons employed as city managers, or as city administrators performing the duties of city managers, under a form of city government listed in Iowa Code chapter 372 or 420 are excluded unless employees make application to the department to be covered under the provisions of this chapter.

b. Each employer shall ascertain the federal social security account number of each worker subject to the Iowa public employees' retirement system.

c. For the purposes of Iowa Code chapter 97B, substitute teachers are deemed to begin a new period of temporary employment of six (6) months or less each time they are called to substitute, unless the period of substitution is expected to be longer than six (6) months.

\..,) d. Part-time employees of covered employers who work on a continuous basis for more than six (6) months are included in IPERS. Service credit will be granted to part-time employees for each calendar quarter in which they earn an amount equal to or greater than the qualifying wage requirement.

21.5(2) The employer shall report the worker's federal social security account number in making any report required by the Iowa public employees' retirement system with respect to the worker.

21.5(3) If any employer hires a worker who does not have an account number, the employer shall request the worker to show the employer a receipt issued by an officer of the social security office acknowledging that the worker has filed an application for an account number. The receipt shall be retained by the worker. In making any report required by the Iowa public employees' retirement system with respect to a worker, the employer shall report the date of issue of the receipt, its termination date, the address of the issuing office, and the name and

"-..) address of the worker exactly as shown on the receipt.


21.5(4) If a worker fails to report to the employer a correct federal social security number or fails to show the employer a receipt issued by an officer of the social security office acknowledging that the worker has filed an application for an account number, the employer shall inform the worker that Regulation 106 of the Bureau of Internal Revenue, United States Treasury Department, under the Federal Insurance Contribution Act provides that:

a. Each worker shall report to every employer for whom the worker engages in employment, the worker's federal social security account number and name exactly as shown on the account number issued to the worker by the social security office.

b. Each worker who has not secured an account number shall file an application for a federal social security account number on Form SS-5 of the Treasury Department, Bureau of Internal Revenue. The application shall be filed on or before the seventh day after the date on which the worker first performs employment for wages, except that the application shall be filed on or before the date the worker leaves the employ of the employer if the date precedes the seventh day. Copies of Form SS-5, application for a social security account number, can be secured at the field office of the Social Security Administration nearest the worker's place of employment or the local post office.

c. If, within fourteen (14) days after the date on which the worker first performs employment for wages for the employer, or on the day on which the worker leaves the employ of the employer, whichever is the earlier, the worker does not have a federal social security account number, and has not shown the employer a receipt issued to the worker by an officer of the social security office acknowledging that the worker has filed an application for an account number, the worker shall furnish the employer an application on Form SS-5, completely filled in and signed by the worker. If a copy of Form SS-5 is not available, the worker shall furnish the employer a written statement, the worker's full name, present address, date and place of birth, father's full name, mother's full name before marriage, worker's sex, and a statement as to whether the worker had previously filed an application Form SS-5, and if so the date and place of the filing. Furnishing the employer with an executed Form SS-5, or statement in lieu thereof, does not relieve the worker of the obligation to make an application on Form SS-5 as required in subrule 21.5(4), paragraph "b."

21.5(5) The employer shall inform the worker, in instances in which the information is pertinent, that in accordance with the Regulation 106 of the Bureau of Internal Revenue, United States Treasury Department:

a. Any worker who has lost the federal social security account number card may secure a duplicate card by applying at the field office of the Social Security Administration nearest the worker's place of employment.

b. Any worker whose name is changed by marriage or otherwise, or who has stated incorrect information on Form SS-5, should report the change or correction to a field office of the Social Security Administration. Copies of the Form OAAN-7003, employee's request for change in records, for making the reports may be obtained from any field office of the Social Security Administration.

c. Any worker who has more than one social security account number shall report all numbers to the field office of the Social Security Administration nearest the worker's place of employment.

21.5(6) If the worker fails to comply with the requirements enumerated in subrule 21.5(4), the employer shall execute a Form SS-5, application for a social security account number, or statement, signed by the employer, setting forth as fully and as clearly as practicable the worker's full name, present or last-known address, date and place of birth, father's full name, mothees full name before marriage, the worker's sex, and a statement as to whether an application for an account number has previously been filed by the worker, and if so, the date and place of the filing. This statement, or the executed Form SS-5 signed by the employer, shall be attached to any report required by the Iowa public employees' retirement system with respect to the worker.

This rule is intended to implement Iowa Code sections 97B.41(1)"a," as amended by 1984 Iowa Acts, House File 2528, 97B.4l(l)"b"(5) and 97B.41(3).


581-21.6(978) Wage reports and contributions by employers. ~ 21.6(1) Any public employing unit whose combined employee-employer IPERS contribu

tion tax equals or exceeds one hundred dollars ($100) per month is required to pay the tax on a monthly basis. All other employing units are required to file wage reports and pay the contribution tax on a quarterly basis. An employing unit who meets the monthly requirement but does not now pay the contribution tax on a monthly basis should contact the IPERS office by letter or telephone. When notified, the IPERS office will send to the reporting official a supply of Form IPERS 581, monthly remittance form.

21.6(2) Each quarterly or monthly wage report must include all employees who earned taxable wages or wage equivalents under IPERS. Individuals who did not earn a taxable wage should not be listed, and employees who earn less than three hundred dollars ($300) in a calendar quarter do not have taxable wages. However, if an employee earns an amount equal to or greater than three hundred dollars ($300) in a calendar quarter but an amount of less than

'-.,/three hundred (300) is necessary to increase the employee's taxable wages to the maximum amount for the calendar year, those wages shall be reported and taxable up to the annual covered wage maximum.

21.6(3) All checks received in payment of the employer-employee contribution tax shall be made payable to the Iowa Public Employees' Retirement System and mailed, along with the completed wage report form, to the IPERS office, 600 East Court Avenue, P .0. Box 9117, Des Moines, Iowa 50306.

21.6(4) For employers filing quarterly wage reports, contributions shall become due and be payable on or before the fifteenth day of the month following the close of the calendar quarter in which the wages were paid.

For employers filing monthly wage reports, contributions shall become due and payable on or before the fifteenth day of the month following the close of the month in which wages were paid.

'-..J Any employer filing reports for two or more entities shall attach to each report, quarterly or monthly, the checks covering the contributions due on that report. The combining of contributions due for payment into one check or multiple checks will not be accepted. Improperly paid contributions are considered as unpaid. Upon the request of the employer, the department may grant a waiver of the requirement which prohibits the combining of contributions.

21.6(5) A request for an extension of time to pay a contribution may be granted by the IPERS office for good cause if presented before the due date, but no extension shall exceed thirty (30) days after the end of the calendar quarter. If an employer who has been granted an extension fails to pay the contribution on or before the end of the extension period, interest shall be charged and paid from the original due date as if no extension had been granted.

21.6(6) When an employer has no taxable wages or no wages to report during the applicable reporting period, the employer's wage report form, IPERS 552 or 581, should be marked "no taxable wages" or "no wages" and returned to IPERS. When no employer's

~wage report is made, the employing unit's account is considered delinquent for the reporting period until the report is filed.

21.6(7) Substitute forms may be used if they meet all the IPERS reporting requirements and the employing unit receives advance approval from the IPERS office.

21.6(8) Magnetic tape reporting may be used by an employer after submitting a written request to the IPERS office. When the request is received, the IPERS office will send the employer a copy of the specifications for this type of reporting.

21.6(9) Contribution rates. The contribution rate schedule, payable on the covered wage of the member, is determined by the position classification of the member.

a. All covered members, except those identified in "b," uc," "d," and ue" below. (1) Member's rate- 3.7% · (2) Employer's rate- 5.75o/o

Ch 21, p.S Personnel[581] lAC 5/6/87

b. Conservation peace officers. l. 1

(1) Member's rate - 3.840Jo ~ (2) Employer's rate- 5.750Jo (3) Additional conservation trust fund contribution - 6.99% c. Sheriffs and deputy sheriffs. (1) Member's rate - 5.41 OJo (2) Employer's rate - 8.41 OJo d. Marshal or police officer (in a city not covered under Iowa Code chapter 400). (1) Member's rate - 5.47o/o (2) Employer's rate- 8.48% e. Correctional officers. (1) Member's rate - 3. 7% (2) Employer's rate - 5. 75% (3) Additional employer's rate - 1. 71 OJo '\,J f. Des Moines airport fire fighters. (1) Member's rate - 4.40% (2) Employer's rate - 6.80% This rule is intended to implement Iowa Code sections 97B.ll, 97B.14, 97B.49, subsections

7, 8 and 10.

581-21.7(978) Accrual of interest. Interest as provided under Iowa Code section 97B.9 shall accrue on any contributions not paid by the due date, except that interest may be waived by the IPERS office upon request prior to the due date by the employing unit, if due to circumstances beyond the control of the employing unit.

This rule is intended to implement Iowa Code section 97B.9.

581-21.8(978) Refunds. \_.I 21.8(1) Termination of employment and refund of contributions. a. Thirty (30) days after termination of public employment, any member is eligible for a

refund of accumulated contributions. The department shall pay to the terminated member the amount of the member's contributions currently reported and processed by the department, as of the date of the refund. Upon receipt of the final contributions from the member's employer, a supplemental refund will be paid to the terminated member.

b. To obtain a refund a member must file a claim on Form IPERS 56, refund claim form, available at the administrative office of the Iowa public employees retirement system.

c. Employers who report wages erroneously may secure a refund by filing refund claim Form IPERS 58, available on request from the IPERS office. A warrant will be issued to the employer for both the employee's and employer's share of any overpayment. The employer is responsible for returning the employee's share. Under no circumstances can the employer take credit on a future wage report for an erroneous or excess payment on a previous ~ report.

d. Employees who overpay contributions because of working for two or more public employers should file for a refund on refund claim form, IPERS 57, available from the employer or IPERS office. If the employee's claim is allowed, a refund check for the employer's share of any tax overpayment will be sent to the employer. The IPERS office shall determine which employing unit will receive the refund.

(1) Where the member has two or more primary employers during the year, at different intervals, and as a result pays contributions on wages in excess of the maximum annual covered wage limit, the last employer who paid contributions on wages earned by a member after the maximum had been paid will be entitled to a refund of contributions paid on behalf of a member not in excess of the amount of an employer's contributions.

(2) Where a member has a primary employer and a secondary employer and as a result pays contributions on wages in excess of the annual covered wage maximum, the secondary employer ~ shall be entitled to a refund of contributions paid on behalf of a member not in excess of the amount of an employer's contributions. ·


(3) Where a member has simultaneous employment with two or more primary employers and as a result pays contributions on wages in excess of the annual covered wage maximum, each employer shall be entitled to a refund made in proportion to the amount of contributions paid by an employer.

21.8(2) Employee transfer to another retirement system. Any IPERS member who transfers to another retirement system supported in whole or in part by public funds may file a refund claim form, IPERS 56, to withdraw the member's contributions, provided the member had established membership in IPERS and decides to participate in another retirement system. The member shall complete the refund form and send it to the Refund Section, Iowa Public Employees' Retirement System, 600 East Court Avenue, P.O. Box 9117, Des Moines, Iowa 50306.

21.8(3) If an employee hired for permanent employment resigns within six (6) months of the date of employment, the employer may file a claim for a refund of employee-employer contributions. It is the responsibility of the employer to forward the employee's share.

21.8(4) A refund of accumulated contributions shall be made to a member in or after the month of the member's seventieth birthday, upon application only. The member may apply for the refund or for monthly benefits even though still working in covered employment.

21.8(5) Refund of contributions-after reemployment. A retired member who returns to permanent covered employment, but who resigns within six (6) months of the date the reemployment began, is eligible to have the contributions for this period refunded. The contributions made by the employer will also be refunded. Upon determination of the department that the reemployment cannot be included in a recomputation of the retired member's benefits, the department will initiate action to refund the employee's and the employer's contributions.

This rule is intended to implement Iowa Code sections 978.10, 978.46 and 978.53.

581-21.9(978) Appeals. 21.9(1) Procedures. a. A party appealing from a decision of a deputy, shall within thirty (30) days after notifi

cation was mailed to the party's last known address, file with the Iowa public employees' retirement system at the administrative office in Des Moines a notice of appeal in writing setting forth:

(1) The name, address and social security number of applicant; (2) A reference to the decision from which the appeal is being taken; (3) The fact that an appeal from the decision is being made; (4) The grounds upon which the appeal is based.

Upon receipt of the appeal, the administration shall inform the department of inspections and appeals of the filing of the appeal and of relevant information pertaining to the case in question. The department of inspections and appeals shall hold a hearing on the case and shall affirm, modify or reverse the decision of the deputy.

b. Upon the scheduling of a hearing on an appeal, notice of hearings shall be mailed to the applicant at least seven (7) days before the date of hearing, specifying the place and time of hearing.

21.9(2) The determination of appeals. Following the conclusion of a hearing of an appeal, the hearing officer within the department of inspections and appeals shall announce the findings of fact. The decision shall be in writing, signed by the hearing officer, and filed with the department and a copy mailed to the applicant. Such decision shall be deemed the final decision of the department unless, within thirty (30) days after the date of notification or mailing of such decision, further appeal is initiated pursuant to Iowa Code section 978.27.

21.9(3) Appeal board. A party appealing from a decision of a hearing officer shall file a notice with the employment appeal board of the Iowa department of inspections and appeals, petitioning the appeal board for review of the hearing officer's decision.

21.9(4) Judicial review. The appeal board's decision shall be final and without further review thirty (30) days after the decision is mailed to all interested parties of record unless

Ch 21, p.lO Personnel[581] lAC 5/6/87

within that thirty (30) days a petition for rehearing is filed with the appeal board or a petition for judicial review is filed in the appropriate district court.

This rule is intended to implement Iowa Code section 97B.l6.

581-21.10(97B) Beneficiaries. 21.10(1) Designation of beneficiaries. To designate a beneficiary the member must com

plete Form IPERS 503, designation of beneficiary, and file the form with the Iowa public employees' retirement system. To be valid, the beneficiary designation form must be recorded before the death of the IPERS member. The designation of a beneficiary by a retiring member on either Form IPERS 502, application for monthly benefits, or on IPERS 722, application follow-up form, is accepted by the department in lieu of a completed IPERS 503.

21.10(2) Change of beneficiary. The beneficiary may be changed by the member by filing a new designation of beneficiary form, IPERS 503, with the department. The latest dated designation of beneficiary form on file shall determine the identity of the beneficiary. Payment of a refund to a terminated member cancels the designation of beneficiary on file with the department.

21.10(3) Payments to a beneficiary. Before payments can be made to a beneficiary under an option after the death of the member, the beneficiary must submit a copy of the member's death certificate, together with information identifying the beneficiary as the person designated to receive whatever payments are due. The beneficiary must complete Form IPERS 504, application for refund, based on the deceased member's account.

21.10(4) Where the designated beneficiary is an estate, trust, church, charity or other like organization, payment of benefits shall be made in a lump sum only.

21.10(5) Where the monthly benefit option chosen by the member pursuant to Iowa Code section 97B.51 conflicts with the payment form specified on Form IPERS 503, designation of beneficiary, the choice of the monthly benefit option shall control.

21.10(6) Where multiple beneficiaries have been designated by the member, payment shall be made in a lump sum only. The lump sum payment shall be paid to the multiple beneficiaries in equal shares unless a different proportion is stipulated.

21.10(7) Payment of the death benefit when no designation of beneficiary card is on file at the IPERS office shall be made in one of the following ways:

a. Where the estate is open, payment shall be made to the administrator (administratrix) or executor (executrix).

b. Where there is a will and the estate is closed prior to the beneficiary's application for death benefits, payment will be made to the executor (executrix) or administrator (administratrix) as agent for the estate. The following documents shall be presented as supporting evidence:

(1) Copy of the will. (2) Copy of any letters of appointment. (3) Copy of the court order closing the estate and discharging the executor (executrix) or

administrator (administratrix). c. Where no estate is probated, payment will be made to the heirs-at-law as determined

by the intestacy laws of the state of Iowa. 21.10(8) Where the member was active or vested at the time of death, the refund of

accumulated contributions made to the beneficiary shall include the accumulated contributions of the member at the date of death plus the product of an amount equal to the highest year of covered wages of the deceased member and the number of years of membership service divided by thirty (30). The amount payable shall not be less than the amount that would have been payable on the death of the member on June 30, 1984. The calculation of the highest year of covered wages shall use the highest calendar year of covered wages reported to the department as of the date of death.

Where the member was neither active nor vested at the time of death, the refund of accumulated contributions made to the beneficiary shall include the employee's share only.

lAC 5/6/87 Personnel[581] Ch 21, p.ll

21.10(9) Waiver of beneficiary rights. A named beneficiary of a deceased member may \..,) waive current and future rights to payments to which the beneficiary would have been entitled.

The waiver of the rights shall occur prior to the receipt of a payment from the department to the beneficiary. The waiver of rights shall be binding and will be executed on a form provided by the department.

This rule is intended to implement Iowa Code sections 978.41(3), (17), 978.44 and 978.52.

581-21.11(978) Application for benefits. 21.11(1) Form used. Form IPERS 502, application for monthly benefits, is obtainable

from the Iowa Public Employees' Retirement System, 600 East Court Avenue, P.O. Box 9117, Des Moines, Iowa 50306, the printed application form shall be completed by each person applying for benefits and shall be mailed or brought in person to the IPERS address above. Option choice and date of retirement shall be clearly stated on the application and all ques-

\....,.1 tions shall be answered in full. It is the responsibility of the member to notify the IPERS office of the intentions to retire. This should be done sixty (60) days before the expected retirement date. If an optional allowance is chosen by the member in accordance with Iowa Code section 978.51, the election becomes binding when the retiring member cashes a monthly allowance check.

21.11(2) Proofs required in connection with application. Proof of date of birth to be submitted with an application for benefits shall be in the form of a birth certificate or an infant baptismal certificate. If these records do not exist, the applicant shall submit two (2) other documents or records ten (10) or more years old, or certification from the custodians of these records, which will verify the day, month and year of birth. The following records or documents are among those deemed acceptable to the department as proof of date of birth:

a. United States census record. b. Military record.

\....~ c. Naturalization record. d. A marriage license showing age of applicant in years, months and days on date of

issuance. e. A life insurance policy. f. Records in a school's administrative office. g. A family bible record. A photostatic copy will be accepted with certification by a

notary that the record appears to be genuine. 21.11(3) A member shall be eligible for full monthly retirement benefits effective with the

first of the month, in which the member becomes sixty-five (65); if otherwise eligible. A member shall be eligible for full monthly retirement benefits effective with the first of

the month in which the member becomes sixty-two (62), if the member has thirty (30) full years of service and is otherwise eligible.

21.11(4) A member shall be eligible to receive full monthly retirement benefits effective \...,) with the first day of the month, in which the member becomes seventy (70), even though the

member continues to be employed. 21.11(5) A member shall be eligible to receive benefits for early retirement effective with

the first of the month in which the member attains the age of fifty-five (55) or the first of any month after attaining the age of fifty-five (55) before the member's normal retirement date, provided the date is after the last day of service.

21.11(6) A member retiring on or after the early retirement or normal retirement date shall submit a written notice to the IPERS division setting forth the retirement date, provided the date is after the member's last day of service and not before the first day of the sixth calendar month preceding the month in which the notice is filed.

21.11(7) Retirement benefits to a member shall terminate with the month preceding the month of death.

\. 1

21.11(8) Upon the death of the retired member, the department will reconcile the dece...., dent's account to determine if an overpayment was made to the retiree and if a further


payment(s) is due to the retired member's named beneficiary, contingent annuitant, heirs at '..I law or estate. If an overpayment has been made to the retired member, the department will determine if steps should be taken to seek collection of the overpayment from the named beneficiary, contingent annuitant, estate, heirs at law, or other interested parties.

The waiver of the necessary steps to effect collection may occur in cases where recovery of the moneys is not probable and where that action is not deemed prudent administration or cost effective utilization of the funds of the system.

This rule is intended to implement Iowa Code sections 978.5, 978.15, 978.49(5), 978.50(1) and 978.52(3).

581-21.12(978) Definition of year of membership service. An employee working in a position for a school district, or other institution which operates on a nine (9)-month basis shall be credited with a year of service for each year in which three (3) quarters of coverage are recorded and an individual employed on a fiscal- or calendar-year basis shall be credited with a year \.....~ of service for each year in which four (4) quarters of coverage are recorded. Earnings of two hundred dollars ($200) or more would constitute a quarter of coverage before July 1965 and earnings of three hundred dollars ($300) or more after July 1965 would count as a quarter of coverage.

21.12(1) Prior service. a. A member shall receive prior service credit if the member was a public employee on July

4, 1953, made contributions under the abolished Iowa Old-Age and Survivorship Insurance System (IOASI), has not qualified for IOASI benefits and has made an election in writing prior to October 1, 1953, authorizing the department to transfer such member's IOASI balance to the IPERS retirement fund for prior service credit rather than apply for a refund based upon IOASI contributions.

b. Public employment must have been for the state of Iowa, or a county, city, town-ship, or school district of the state of Iowa, or a political subdivision provided the employ- 1.....,1 ment was not in an elective position, and provided further that the employee is not covered by another retirement plan funded in whole or in part by the state of Iowa or a political subdivision.

c. For the purposes of this rule, public school teachers are considered to have been in service on July 4, 1953, if they were under contract at the end of the school year 1952-1953 or if they signed a contract for the 1953-1954 school year on or before July 4, 1953.

21.12(2) Prior service credit for vacation or leave of absence. a. Prior service credit shall be given for a period of vacation or leave of absence authorized

by the employer not to exceed twelve (12) months. If a period of vacation or leave of absence exceeds twelve (12) months, prior service credit shall be given for the first twelve (12) months only. However, if a period of vacation or leave of absence was granted for twelve (12) months or less, and renewed for twelve (12) months or less, all periods of vacation or leave of absence shall be included as prior service, even though all periods added together exceed twelve (12) '-..1 months.

b. Reentry into public employment by an employee on leave of absence can be achieved by the employee by accepting employment with any public employer, provided there is no interruption between the end of the period of the leave of absence and reentry into public employment.

c. Verification. The employer must verify the inclusive dates of the period of vacation or leave of absence before prior service can be given.

21.12(3) Prior service credit for military service. a. Prior service credit shall be given for the entire period of military service during a war

or national emergency, provided the employee was employed by the employer immediately prior to entry into military service and the employee returned to work for the same employer within ninety (90) days after release from service. ~


b. Verification. The employer must verify the inclusive dates of the period of absence from work. A copy of the enlistment and discharge record must also be provided to the IPERS office to verify enlistment and discharge dates.

21.12(4) Prior service credit for interruption in service. Prior service credit shall be given for periods of temporary or seasonal interruption in service where the temporary suspension of service does not terminate the period of employment of the employee. Verification from the employer is needed stating the dates of employment, periods of interruption and that employment was not terminated during those periods.

21.12(5) Prior service credit for part-time employment. Prior service credit for part-time employment shall be granted on the basis of actual time worked. A ratio determined either by dividing the actual average time worked per day by the normal full-time day or by some other reasonable method shall be used to calculate the actual time worked.

21.12(6) Prior service credit for position of set period of time. Full prior service credit shall be given for periods of employment which required the employee to be available for as much work as required, even though the employee may not have actually worked full time. This includes the employment of town clerks, secretaries of school districts, school bus drivers, and school lunch employees.

21.12(7) Prior service credit for school year. A public school teacher who worked full time the entire school year shall be given a full year of prior service credit.

a. Where a regular school year is twelve (12) months, such as for university, college or state institution teachers, twelve (12) months of employment are required to count as one (1) year of prior service credit.

b. For public school teachers who worked less than a full-time school year, prior service credit shall be given by counting each full term worked during the school year and dividing this sum by the total number of terms in the full school year, or by computing the actual time worked as in subrule 21.12(5), whichever fraction is greater counting as a fractional year of prior service credit for the public school teacher. For temporary and substitute public school teachers, prior service credit shall be given on the basis of actual time worked, using one hundred eighty (180) school days as a full school year.

21.12(8) Proof of prior service. a. A statement showing the inclusive dates of employment and the position(s) the member

held shall be signed by the present custodian of those employment records. Form IPERS 507 or a statement containing similar information may be used for this purpose. This statement does not require notarization.

b. If an employment record is not available for any reason, notarized affidavits of two individuals having knowledge of the employment for which prior service credit is sought shall be submitted. Form IPERS 507-A or an affidavit containing similar information may be used.

c. Proof of prior service will be scrutinized to ensure that: (1) It refers to covered employment in Iowa. (2) It is signed by the proper authority. (3) It refers to the member in question. (4) The position held is one for which prior service credit can be given. (5) Any corrections, deletions, or additions in dates of service are initialed by the signer

of the document. (6) Anything on the reverse side of the form is taken into consideration. (7) Certification showing the highest gross wage earned in any twelve (12) consecutive month

period before July 4, 1953, refers to a period ending before that date. IOASI records may be used for verification of wages, if necessary, and this information noted on the face of IPERS 502, application for monthly retirement allowance.

d. The amount of prior service credit due on each proof of service will be computed in years, months and days.

21.12(9) Prior service credit for service before January 1, 1946. An active, vested, or retired member who was employed prior to January 1, 1946, by an employer may file written verifi-


cation of the member's dates of employment with the Iowa Public Employees' Retirement System and receive credit for years of prior service for the period of employment. However, a member who is eligible for or receiving a pension or annuity from a local school district for service prior to January 1, 1946, is not eligible to receive credit for the period of service upon which the pension or annuity is based. The member is responsible to obtain sufficient proof of their service prior to January 1, 1946, as the department may require.

This rule is intended to implement Iowa Code section 97B.75 and chapter 97B.

581-21.13(978) Formula benefits for monthly payment of allowance. 21.13(1) If a member has four (4) or more complete years of service credit in IPERS, a

monthly payment allowance will be paid beginning with the first full month from the effective date of retirement. This allowance will be paid in accordance with the applicable paragraph of this rule and any option the member may elect pursuant to Iowa Code section 97B.51. If a member has less than four (4) complete years of service credit, the benefit receivable will be computed on a money purchase basis, with reference to annuity tables used by the department in accordance with the member's age. Benefits are not payable before age fifty-five (55).

21.13(2) a. If a member is less than sixty-two (62) years of age in the month of the member's retire

ment date and has less than thirty (30) years of service, the benefit payment formula will be reduced by one-half of one percent for each month that the early retirement date precedes the normal retirement date, as defined in Iowa Code section 97B.45.

b. For a member who is at least sixty-two (62) years of age and less than sixty-five (65) years of age and has less than thirty (30) years of service, the benefit formula will be reduced by one-fourth of one percent for each month that the early retirement date precedes the normal retirement date as defined in Iowa Code section 97B.45.

c. Effective July 1, 1986, a member who is at least age sixty-two (62) and has at least thirty (30) years of service, may retire without application of an early retirement penalty.

d. Effective July 1, 1986, for a member who is at least fifty-nine (59) years of age and less than sixty-two (62) years of age and who has thirty (30) years of service, the benefit formula will be reduced by one-quarter of one percent for each month that the early retirement date precedes the normal retirement date as defined in Iowa Code section 97B.45.

e. Effective July 1, 1986, for a member who is at least fifty-five (55) years of age and less than fifty-nine (59) years of age and who has thirty (30) years of service, the benefit formula will be reduced by one-half of one percent for each month that the early retirement date precedes the normal retirement date as defined in Iowa Code section 97B.45.

21.13(3) A member's early retirement date shall be the first day of the month of the fiftyfifth birthday or any following month before normal retirement date, provided that date is after the last day of service.

21.13(4) Members employed before January 1, 1976, and retiring after January 1, 1976, with four (4) or more complete years of membership service shall be eligible to receive the larger of a monthly formula benefit equal to the member's total covered wages multiplied by one-twelfth of one and fifty-seven hundredths percent, multiplied by the percentage calculated in subrule 21.13(2), if applicable, or a benefit as calculated in subrule 21.13(6). See Iowa Code section 97B.49(1).

21.13(5) Members employed before January 1, 1976, who qualified for prior service credit shall be eligible to receive a monthly formula benefit of eight-tenths of one percent multiplied by each year of prior service multiplied by the monthly rate of the member's total remuneration during the twelve (12) consecutive months of prior service for which the total remuneration was the highest, disregarding any monthly rate amount in excess of two hundred fifty dollars ($250), plus three-tenths of one percent of the monthly rate amount not in excess of two hundred fifty dollars ($250) for each year in which accrued liability for benefit payments created by the abolished system is funded.


21.13(6) a. For each active member retiring on or after July 1, 1982, with four (4) or more complete

years of service, the monthly benefit will be equal to one-twelfth of an amount equal to fifty percent of the five (5)-year average covered wage multiplied by a fraction of years of service. For each active member retiring on or after July 1, 1986, with four (4) or more complete years of service, the monthly benefit will be equal to one-twelfth of an amount equal to fifty percent of the three (3)-year average covered wage multiplied by a fraction of years of service.

b. For an inactive vested member the monthly retirement allowance shall be determined on the basis of the formula in effect on the date of the member's retirement. If early retirement, the benefit shall be adjusted as provided in subrule 21.13(2).

21.13(7) a. "Five-year average covered wage" means a member's covered wage averaged for the

highest five (5) years of the member's service. If the member has less than five (5) years of service, then the average shall be computed using the actual number of years as a member. The highest five (5) years of a member's covered wages shall be determined using calendar years. However, if a member's final quarter of a year of employment does not occur at the end of a calendar year, the department may determine the wages for the fifth year by combining the wages from the highest quarter or quarters not being used in the selection of the four (4) highest years with the final quarter or quarters of the member's service to create a full year. If the five (5)-year average covered wage of a member exceeds the highest maximum covered wages in effect for a calendar year during the member's period of service, the five (5)-year average covered wage of the number shall be reduced to the highest maximum covered wages in effect during the member's period of service. Effective July 1, 1986, the five (5)-year average covered wage is replaced by the three (3)-year average covered wage.

b. "Three (3)-year average covered wage" means a member's covered wages averaged for the highest three (3) years of the member's service. The highest three (3) years of a member's covered wages shall be determined using calendar years. However, if a member's final quarter of a year of employment does not occur at the end of a calendar year, the department may determine the wages for the third year by combining the wages from the highest quarter or quarters not being used in the selection of the three (3) highest years with the final quarter or quarters of the member's service to create a full year. If the three (3)-year average covered wage of a member exceeds the highest maximum covered wages in effect for a calendar year during the member's period of service, the three (3)-year average covered wage of the member shall be reduced to the highest maximum covered wages in effect during the member's period of service.

21.13(8) Initial benefit determination. a. The initial monthly benefit for the retiree will be calculated utilizing the highest three

(3) calendar years of wages that have been reported as of the member's retirement. When the final quarter(s) of wages are reported for the retired member, a recalculation of benefits will be performed by the department to determine if the "computed year" as described in Iowa Code section 97B.41, subsection 20, is to be used in lieu of the lowest of the three calendar years initially selected. If the final reported quarter(s) wages create a full calendar year, it will be compared to the high three (3) calendar years previously selected to determine if it should be included in the benefit calculation. In cases where the recalculation determines that the benefit will be changed, the adjustment in benefits will be made retroactive to the first month of entitlement. The wages for the "computed year" shall not exceed the highest covered wage ceiling in effect during the member's period of employment.

b. In cases where the member's final quarter's wages have been reported to the department prior to their retirement, the original benefit will be calculated utilizing all available wages.

21.13(9) Rescinded, effective March 6, 1985. 21.13(10) Option one- Designation of lump-sum payment. At retirement, a member

may designate that, upon the member's death, a specified amount of money shall be paid to a named beneficiary. The following conditions apply to this retirement option:


a. The member's retirement allowance shall be reduced by an actuarially determined amount to provide for the lump-sum payment.

b. The amount designated by the member must be in thousand dollar increments. c. The amount designated by the member shall not lower the monthly allowance of the

member by more than one half the amount payable under Iowa Code section 978.49(1) or (5). The amount designated shall not exceed the accumulated contributions of the member available to the department at retirement.

This rule is intended to implement Iowa Code sections 978.41(20), 978.47, 978.49,978.50 and 978.51.

581-21.14(978) Interest on accumulated contributions. 21.14(1) The term interest as used in this rule means statutory interest plus the interest

dividend. Statutory interest is a credit to the accumulated contributions of active members and inactive vested members at a rate of two per cent per annum. The interest dividend is a credit to the accumulated contributions of active members and inactive vested members which equals the excess of the average rate of interest earned on the retirement fund through investment during a calendar year over the statutory interest plus twenty-five hundredths of one per cent.

21.14(2) Interest shall be credited to a vested or active member's account from the date the member terminated employment until the member's first month of entitlement to benefits, or in the case of a refund of accumulated contributions, interest will be credited until the date of refund payment, and in case of death, to the date of death.

21.14(3) When there is a refund of accumulated contributions to a nonvested member, interest shall be credited to the nonvested member's account until the last day of the month which precedes the month in which the member terminates employment.

21.14(4) No interest shall be credited to any member's account beyond the last day of the year in which a member's death occurs, and only then if the member made contributions during the year and had not received or applied for a refund of accumulated contributions before the last calendar day of the year.


581-21.15(978) Forgery procedure. Where a forgery of a warrant issued in payment of an IPERS refund or benefit is alleged, the payee must complete and sign an affidavit that the endorsement is a forgery and attach the claimant's supplementary statement to forgery affidavit, setting forth the details and circumstances of the alleged forgery. An affidavit claiming forged endorsement shall be signed before a notary public who shall sign and affix a notary seal to the affidavit.


581-21.16(978) Authorized leave period. 21.16(1) A member's service is not deemed interrupted while a member is on military leave

or during an authorized leave of absence not exceeding twelve (12) months. 21.16(2) A reentry into public employment by an employee on leave of absence or military

leave can be achieved if the individual accepts employment either with the same political subdivision the individual left when such leave began or a different political subdivision with which the individual has no previous connection, provided that:

a. In the case of a leave of absence, reemployment begins immediately after the authorized leave period ends.

b. In the case of a military leave, reemployment begins within ninety (90) days of the individual's discharge from military service.

Upon a reentry achieved in accordance with this rule, the member shall retain the service credits earned prior to the authorized leave period.

This rule is intended to implement Iowa Code section 978.41, subsections 3 and 14.

lAC 5/6/87 Personnel[581] Ch 21, p.l7

581-21.17(978) Membership status. 21.17(1) The vested status of a member shall be determined when the member's con

tribution payments cease. At that time a comparison of the membership date and termination date will be made. If service sufficient to indicate vested status is present, after any periods of interruption in service have been taken into consideration, the member shall receive all the rights and benefits of a vested member in IPERS until or unless the member files for a refund of accumulated contributions. See Iowa Code section 97B.41(11).

21.17(1) For the purposes of this rule, four (4) quarters of coverage shall constitute a year of membership service for a member employed on a fiscal or calendar year basis. A member working for a school district or other institution which operates on a nine (9)-month basis shall be granted a year of membership service for each year in which the member has three (3) or more quarters of coverage, provided that only one (1) year of membership service credit shall be granted for any twelve (12)-month period.

21.17(3) An employee who makes no contributions to the IPERS fund because the employee earned less than the qualifying wage limit in any calendar quarter is an inactive member, unless and until the member either earns an amount equal to or greater than the qualifying wage limit in a succeeding calendar quarter or applies for a refund of accumulated contributions.

This rule is intended to implement Iowa Code section 97B.41, subsections 3, 11, and 18.

581-21.18(978) Retirement dates. 21.18(1) The first month of entitlement of a member who qualifies for retirement benefits

is the first month following the member's last day of service or last day of leave, with or without pay, whichever is later.

21.18(2) The first month of entitlement of a teacher who qualifies for retirement benefits shall be the first month after the teacher's termination date. The fact that the teacher may have one or two months' salary payable after the date of termination does not affect the retirement date.·

21.18(3) To be eligible for a monthly retirement benefit, the member must survive throughout the designated first month of entitlement. If the member dies prior to the beginning of the month following the first month of entitlement, the member's application for monthly benefits is canceled and the distribution of the member's account is made pursuant to Iowa Code section 97B.52.

This rule is intended to implement Iowa Code sections 97B.45, 97B.47 and 97B.48, subsections 1 and 2.

581-21.19(978) Wage-earning disqualifications for retired members. 21.19(1) Monthly benefit payments for retired members under age sixty-five (65) years shall

cease in the month the member earns an amount in covered employment sufficient to increase the member's calendar year earnings up to or greater than two thousand one hundred dollars ($2,100). Amounts earned outside of covered employment are disregarded for the purpose of this rule.

21.19(2) Monthly benefit payments shall resume for any month in which a member, previously disqualified pursuant to subrule 21.19(1), earns no covered wages.

21.19(3) Monthly benefit payments to the member shall resume for the first month of a new calendar year regardless of the member's covered earnings in any previous calendar year, unless the member is disqualified pursuant to subrule 21.19(1).

21.19(4) A member over the age of sixty-five (65) who has completed at least one calendar month of bona fide retirement and is later reemployed in covered employment shall not be subject to any wage earning disqualification.

21.19(5) To receive retirement benefits, a member must officially leave employment covered by IPERS and give up all rights as an employee, and complete a period of "bona fide'' retirement. A period of ''bona fide'' retirement means one of more calendar months for which the member qualifies for monthly retirement benefit payment. A member will not be considered to have a "bona fide" retirement if the member is a school or university employee

Ch 21, p.l8 Personnel[581] lAC 5/6/87

and returns to work with the employer after the normal summer vacation. In other positions, temporary or seasonal interruption of service which does not terminate the period of employment does not constitute a "bona fide" retirement.

21.19(6) A member who is reemployed in covered employment after retirement may, after again retiring from employment, request a recomputation of benefits. The recomputation of the retired member's benefit will be based upon the addition of credit for the years of membership service of the employee after reemployment. A maximum of thirty (30) years of service is creditable to an individual retiree. In calculating the recomputed benefit, the department will apply the percentage formula and applicable elements utilized to calculate the initial retirement benefit. However, the age factor utilized in the recomputation will be determined by the member's age as of the second retirement. The second retirement benefit will be treated as a separate annuity by the department.

This rule is intended to implement Iowa Code sections 97B.45 to 97B.47, 97B.48(3), 97B.49 and 97B.50.

581-21.20(978) Identification of agents. 21.20(1) Recognition of agents. When a claimant before the department desires to be

represented by an agent in the presentation of the case, the claimant shall designate in writing the name of a representative and the nature of the business the representative is authorized to transact. Such designation on the part of the claimant shall constitute for the department, sufficient proof of the acceptability of the individual to serve as the claimant's agent. An attorney in good standing may be so designated by the claimant.

21.20(2) Payment to incompetents. When it appears that the interest of a claimant or retiree would be served, the department may recognize an agent to represent the individual in the transaction of the affairs with the department. Recognition may be obtained through the completion and filing of an lOA C-310, certificate of individual filing on behalf of child or adult beneficiary, by the agent or the filing of a copy of the guardianship, trusteeship, power of attorney, or conservatorship papers by the individual so designated.

21.20(3) An individual serving in the capacity of an agent establishes an agreement with the department to transact all business with the department in such a manner that the interests of the retiree or claimant are best served. Payments made to the agent on behalf of the individual will be used for the direct benefit of the retiree or claimant. Failure to adhere to the agreement will cause discontinuance of the agent relationship and may serve as the basis for legal action by the department.

This rule is intended to implement Iowa Code sections 97B.34 and 97B.37.

581-21.21(97B) Verification of retired member's signature. The department conducts a program to verify each retiree's signature in an effort to assure that the retirees are receiving their benefits and to protect against fraud and misappropriation of benefits.

21.21(1) Periodically, each retired member is required to complete and return to the department a signature verification card (IPERS 586). The distribution of these cards is made with the payroll of the department to a predetermined number of retirees each month. The department will provide that each retiree will receive and return a card at least once in each twentyfour (24)-month period.

21.21(2) If an individual retiree or agent fails to return the IPERS 586, a follow-up is made by the department using form letter IPERS 643 and a second IPERS 586. This follow-up informs the retiree or agent that failure to complete and return the signature verification card will serve as cause to have their monthly benefit suspended. The IPERS 643 will be mailed prior to the date that the checks are mailed for the month following the initial month.

21.21(3) Prior to the twentieth of the month following the sending of the IPERS 643, a second follow-up letter will be sent (IPERS 646) if no response has been received to the first two contacts. The IPERS 646 notifies the retiree or agent that their benefit is being suspended until the completed signature card is received.


21.21(4) Upon receipt of a completed IPERS 586 for a retired member whose benefit was suspended, the benefit will be activated and a retroactive payment made for the month(s) for which the benefit was not paid.


581-21.22(978) Disability. 21.22(1) Pursuant to Iowa Code section 978.50, subsection 3, the following standards

apply to the establishment of a special disability under the provisions of the IPERS program. a. The member must inform the department at retirement that the retirement is due to an

illness, injury or similar condition that prevents them from continuing in their covered employment. The member must also initiate an application for U.S. Social Security disability benefits.

b. To qualify for the IPERS disability provision, the member must be awarded U. S. Social Security benefits due to the disability which existed at the time of termination of employment.

21.22(2) A member who has completed thirty (30) years of service, who is at least fiftyfive (55) years of age, and has established a disability under the U.S. Social Security program, may retire from the system without penalty for early retirement.

21.22(3) A member who has not completed thirty (30) years of service, who is at least fiftyfive (55) years of age but not sixty-two (62) and has established a disability under the U.S. Social Security program, may retire from the system with a reduced penalty for early retirement. The member's retirement benefit shall be reduced by twenty-five hundredths of one percent per month for each month of early retirement.


581-21.23(798) Confidentiality of records. 21.23(1) Records established and maintained by the department contain personal infor

mation and constitute personnel records of a public body under Iowa Code section 22.7(11). 21.23(2) Summary information concerning the demographics of the IPERS membership

and general statistical information concerning the system and its activities is made available in accordance with Iowa Code sections 22.1 and 22.2.

This rule is intended to implement Iowa Code sections 978.17, 978.15, 22.1, 22.2 and :Z2. 7. [Filed 10/28/75, Notice 9/22/75--published 11/17/75, effective 12/23/75]

[Filed 9/1/77, Notices 7/27/77, Amended Notice 8/10/77-published 9/21/77, effective 10/26/77]*

[Filed 3/15178, Notice 2/8/78-published 4/5/78, effective 5/10/78] [Filed 7/19/79, Notice 6/13/79-published 8/8/79, effective 9/12179]

[Filed 11/19/80, No~ice 9/3/80-published 12/10/80, effective 1/14/81] [Filed 10/8/82, Noti_ce 9/1/82-published 10/27/82, effective 12/2/82] [Filed 8/9/83, Notice 3/30/83-published 8/31183, effective 10/5/83]

[Filed 8/24/84, Notice 7/4/84-published 9/12/84, effective 10/17/84] [Filed 1/11/85, Notice 9/26/84-published 1/30/85, effective 3/6/85] [Filed 8/30/85, Notice 7/3/85-published 9/25/85, effective 10/30/85] [Filed 4/17/87, Notice 3/11/87-published 5/6/87, effective 6/10/87]

•Effective date of subrule 8.5(1) delayed by the Administrative Rules Review Committee seventy days from 10/26177.

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lAC 5/6/87

22.1 Reserved.

Personnel[581]

CHAPTER 22 FEDERAL SOCIAL SECURITY

(Prior to S/6181, Employment Security[370). Ch 9)

Ch 22, p.l

581-22.2(97C) Records to be kept by the employer. Each employing unit shall maintain records to show the information hereinafter indicated. Records shall be kept in a form and manner that it will be possible from an inspection to obtain the facts necessary to determine the eligibility of each employee to coverage. Records shall be open to inspection and may be copied by an authorized representative of the Iowa department of personnel at any reasonable time. Records shall be kept for a period of five (5) years after the calendar year in which the remuneration to which they relate was paid, or if not paid was due.

'-..) This rule is intended to implement Iowa Code section 97C.18.

581-22.3(97C) Contents of records. Records shall show with respect to each employee: 1. The employee's name, address and social security account number. 2. Each date the employee was paid wages or other wage equivalent (room, board, etc.). 3. The total amount of wages paid on each date including noncash wage equivalent. 4. The total amount of wages including wage equivalent from which social security contri-

butions are payable. . 5. The amount withheld from wages or wage equivalent for the employee's share of social

security contributions. This rule is intended to implement Iowa Code section 97C.

581-22.4(97C) Reports. 22.4(1) Each employing unit shall make reports at times the IPERS office may require,

and shall comply with the instructions printed upon any report form or in the handbook issued by the IPERS office pertaining to the preparation and return of the report.

22.4(2) Any employing unit, not already reporting to the IPERS office which fulfills the conditions for becoming an employer, shall immediately give notice to the IPERS office. The notice shall set forth the employer's name and address and the name and address of the employing unit.

22.4(3) Any employing unit which has a change of name or other identifying information shall give notice in writing. The notice shall set forth the former name and address and the new name and address of the employing unit, and the reason for the change if other than change of reporting official.

22.4(4) Any employing unit which terminates for any reason shall provide the IPERS office with the following:

a. Complete name and address of the dissolved entity. b. Assigned social security account number. c. Last date on which wages were paid. d. Date on which the entity dissolved. e. Reason for the dissolution. f. Whether or not the entity expects to pay wages in the future. g. Name and address of absorbing employing unit if applicable. This rule is intended to implement Iowa Code section 97C.l8.

581-22.5(97C) Definition of wages for employment during the calendar quarter. Unless the context otherwise requires, terms used in rules, regulations, interpretations, forms, and other official pronouncements issued by the IPERS office shall have the following meaning:

22.5(1) Wages mean all compensation earned by employees, including the cash value of wage equivalents such as room, board, etc. Salaries, fees, bonuses and wage equivalents are all ~ages if they are paid as compensation for employment. Wage equivalents may or may not


be taxable under social security. Wages paid in any form other than money are measured by the fair market value of the room, meals or other wage equivalents.

22.5(2) Wages are taxable in the period in which they are actually paid to the employee. 22.5(3) Effective January 1, 1981, wages will be reported on an annual basis using forms

prescribed by the IPERS office. Reports shall show all covered wages paid during the calendar year up to the maximum established by Social Security Administration for that year. Reports are to be filed by the twenty-eighth day of February to be considered timely and free from interest.

This rule is intended to implement Iowa Code section 97C.2.

581-22.6(97C) Identification of workers covered by federal social security law. 22.6(1) Each employer shall obtain the federal social security account number of each worker

employed by that employer in employment subject to the Social Security Act. 22.6(2) The employer shall report the worker's federal social security account number in

making any report required by the Iowa department of personnel concerning the worker. 22.6(3) If any employer has an employee who does not have an account number, the

employer shall request the worker to show a receipt issued by an officer of the Social Security Administration acknowledging that the worker has filed an application for an account number. The receipt shall be retained by the worker. In preparing any report required by the Iowa department of personnel regarding a worker, the employer shall report the date of issue of the receipt, its termination date, the address of the issuing office, and the name and address of the worker exactly as shown on the receipt.

22.6(4) If a worker fails to report to the employer a correct federal social security account number or fails to show the employer a receipt issued by an office of the Social Security Administration acknowledging that an application has been filed for an account number, the employer shall inform the worker that Regulation 106 of the Bureau of Internal Revenue, United States Treasury Department, under the Federal Insurance Contribution Act provides that:

a. Each worker shall report to every employer by whom employed the federal social security account number and name exactly as shown on the account number issued by the Social Security Administration.

b. Each worker who has not obtained an account number shall file an application for a federal social security account number on Form SS-5 of the Treasury Department, Bureau of Internal Revenue. The application shall be filed on or before the seventh day after the date on which the worker first performs employment for wages, except that the application shall be filed on or before the date the worker leaves the employ of the employer if the date precedes the seventh day. Copies of Form SS-5, application for a social security account number may be obtained at the field office of the Social Security Administration nearest the worker's place of employment or the local post office.

c. If, within fourteen (14) days after the date on which the worker first performs employment for wages for the employer, or on the day on which the worker leaves the employ of the employer, whichever is the earlier, the worker does not have a federal social security account number, and has not shown the employer a receipt issued to the worker by an office of the Social Security Administration acknowledging that an application has been filed for an account number, the worker shall furnish the employer an application on Form SS-5, completely filled in and signed by the worker. If a copy of Form SS-5 is not available, the worker shall furnish the employer a written statement, the worker's full name, present address, date and place of birth, father's full name, mother's full name before marriage, worker's sex, and a statement as to whether the employee had previously filed an application on Form SS-5 and, if so, the date and place of such filing. Furnishing the employer with an executed Form SS-5, or statement in lieu thereof, does not relieve the worker of the obligation to make an application· on Form SS-5 as required in subrule 22.6(4).

22.6(5) The employer shall inform the worker, in instances in which the information is pertinent, that in accordance with Regulation 106 of the Bureau of Internal Revenue, United States Treasury Department:

lAC 516187 Personnel[581 1 Ch 22, p.3

a. Any worker who has lost a federal social security account number card may obtain a duplicate card by applying at the field office of the Social Security Administration nearest the worker's place of employment.

b. Any worker may have an account number changed at any time by applying to a field office of the Social Security Administration and showing good reason for a change. Any worker whose name is changed by marriage or otherwise, or who has stated incorrect information on Form SS-5, should report the change or correction to a field office of the Social Security Administration.

c. Any worker who has more than one (1) social security account number shall report all numbers to the field office of the Social Security Administration nearest the worker's place of employment.

This rule is intended to implement Iowa Code sections 97C.18 and 97C.2.

581-22. 7(97C) Contributions by employers. 22. 7(1) Contributions shall become due and be payable on a semimonthly basis as follows: a. Contributions due on any wages paid to employees during the first fifteen (15) days of

each calendar month shall be due on the twentieth day of that calendar month. b. Contributions due on any wages paid to employees for the period beginning with the

sixteenth day of the calendar month and ending with the last day of the calendar month shall be due on the fifth day of the following calendar month.

22. 7(2) Upon requests filed with the IPERS office before the due date of any contribution, the IPERS office may, for good cause, grant an extension of time for payment of a contribution and the due date. If an employer who has been granted an extension fails to pay the contribution on or before the end of the period of the extension, interest shall be payable from the original due date as if no extension had been granted.

22. 7(3) Any employing unit who pays wages must forward the social security contributions deducted from those wages plus the employer's share of contributions as follows:

a. For any wages paid during the first fifteen (15) days of each calendar month remittance in full is due on or before the twentieth day of that calendar month.

b. For any wages paid during the period beginning with the sixteenth day of the calendar month and ending with the last day of such calendar month, remittance in full is due on or before the fifth day of the following calendar month.

c. Balance of the contributions due for the calendar year must be remitted on or before the final due date for the calendar year or January 5 of the following calendar year.

d. Any employer filing reports for two or more entities shall attach to each deposit form being submitted the checks covering the contributions due on that form. The combining of contributions due for payment into one check or multiple checks will not be accepted. Improperly paid contributions are considered as unpaid. Upon the request of the employer, the department may grant a waiver of the requirements which prohibits the combining of contributions.

This rule is intended to implement Public Law 98-21 and Iowa Code sections 97C.S, 97C.6 and 97C.ll.

581-22.8(97C) Accrual of interest. Interest as provided under Iowa Code chapter 97 shall accrue on any contributions not paid by the due date. There shall be assessed a penalty at the same percentage rate charged by the Social Security Administration from the due date until payment is received by IPERS.

This rule is intended to implement Iowa Code section 97C.l8. [Filed 10128/75, Notice 9/22175-published 11117175, effective 12/23/75]

[Filed 7119179, Notice 6113/79-published 818/79, effective 9112179] [Filed 11119180, Notice 913180-published 12110180, effective 1/14181] [Filed 9/24/82, Notice 8/18/82-published 10113/82, effective 11117182] [Filed 11 I 18/83, Notice 10/ 12/83-published 1217/83, effective 1 I 11 184]

[Filed 4117/87, Notice 3/11/87-published 516187, effective 6/10187]

n· . : ..

~ -·

lAC 4/22/87, 5/6/87 Revenue and Finance[70 1]

CHAPTER 7 PRACTICE AND PROCEDURE BEFORE THE

DEPARTMENT OF REVENUE AND FINANCE [Prior to 12117/86, Revenue Departmenl(730))

Ch 7, p.1

701-7.1(17A) Definitions. As used in the rules contained herein the following definitions apply, unless the context otherwise requires:

"Act'' means the Iowa administrative procedure Act. "Agency" means each board, commission, department, officer, or other administrative office

or unit of the state. "Contested case'' means a proceeding, including licensing, in which the legal rights, duties

or privileges of a party are required by constitution or statute to be determined by an agency after an opportunity for an evidentiary hearing.

"Department" means the Iowa department of revenue and finance. "Director" means the director of the department or the director's authorized representative. "Hearing officer'' means the person assigned to preside over a proceeding whether that be

the director or an administrative hearing officer appointed according to Iowa Code chapter 17 A. "License" means the whole or a part of any permit, certificate, approval, registration, charter,

or similar form of permission required by statute. "Licensing" means the agency process respecting the grant, denial, renewal, revocation,

suspension, annulment, withdrawal, or amendment of a license. "Motion" has the same meaning as the term is defined in rule 109 of the Rules of Civil

Procedure. "Party" means each person or agency named or admitted as a party, or properly seeking

and entitled as of right to be admitted as a party, including intervenors. "Person" means any individual, estate, trust, fiduciary, partnership, corporation, associa

tion, governmental subdivision, or public or private organization of any character or any other person covered by the Act other than an agency.

"Petition" means application for declaratory ruling, initiation of rule-making proceedings or document filed in licensing.

"Pleadings" means protest, answer, reply or other similar document filed in a contested case proceeding.

"Proceeding" means licensing, rule making, declaratory rulings, contested cases, informal procedures.

"Protester" means any person entitled to file a protest which can culminate in a contested case proceeding.

Unless otherwise specifically stated, the terms used in these rules promulgated by the department shall have the meaning defined by the Act.

701-7.2(17A) Scope of rules. The rules contained in this chapter pertaining to practice and procedure are designed to implement the requirements of the Act and aid in the effective and efficient administration and enforcement of the tax laws of this state. These rules shall govern the practice, procedure and conduct of informal proceedings, contested case proceedings, licensing, rule making, and declaratory rulings involving:

1. Sales tax-Iowa code sections 422.42 to 422.59. 2. Use tax-chapter 423. 3. Individual income tax-sections 422.4 to 422.31 and 422.110 to 422.112. 4. Franchise tax-sections 422.60 to 422.66. 5. Corporate income tax-sections 422.32 to 422.41 and 422.110 to 422.112. 6. Withholding tax-sections 422.16 and 422.17. 7. Estimated tax-sections 422.16, 422.17 and 422.85 to 422.92. 8. Motor fuel tax-chapter 324. 9. Property tax-chapters 421, 425, 426A, 427, 427A, 428, 428A and 433 to 441.

10. Cigarette and tobacco tax-chapters 551A and 98.

Ch 7, p.2 Revenue and Finance[701] lAC 4/22/87

11. Inheritance tax-chapters 450 and 451. 12. Local option taxes-chapter 422B. 13. Hotel and motel tax-chapter 422A. As the design of these rules is to facilitate business and advance justice, any rule

contained herein, unless otherwise provided by law, may be suspended or waived by the department to prevent undue hardship in any particular instance or to prevent surprise or injustice.

This rule is intended to implement Iowa Code chapter 17 A.

701-7.3(17A) Business hours. The principal office of the department in the Hoover State Office Building in Des Moines, Iowa shall be open between the hours of 8 a.m. to 4:30 p.m. each weekday except Saturdays, Sundays and legal holidays as prescribed in section 4.1 (22), for the purpose of receiving protests, pleadings, petitions, motions, requests for public information, copies of official documents, or for the opportunity to inspect public records.

All documents or papers required to be filed with the department by these rules shall be filed with the hearing officer in the principal office of the department in the Hoover State Office Building, Des Moines, Iowa 50319. Requests for public information or copies of official documents or the opportunity to inspect public records shall be made in the director's office at the department's principal office.

701-7 .4(17 A) Computation of time, filing of documents. In computing any period of time prescribed or allowed by these rules or by an applicable statute, the day of the act, event or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, Sunday or legal holiday, in which event the period runs until the end of the next day which is not a Saturday, Sunday or legal holiday. Legal holidays are prescribed in section 4.1(22).

All documents or papers required to be filed· with the department shall be considered as timely filed if they are either received by the department's principal office or are postmarked for delivery to the department's principal office within time limits as prescribed by law or by rules or orders of the department.

In all cases where the time for the filing of a protest or the performance of any other act shall be fixed by law, the time so fixed by law shall prevail over the time fixed in these rules.

701-7 .5(17 A) Form and style of papers. All pleadings, petitions, briefs and motions or other documents filed with the department shall be typewritten, shall have a proper caption, and a signature and copies as herein provided or as specified in some other rule.

7 .5(1) Pap~ shall be typed on only one side of plain white paper. Pleadings, petitions, motions, orders and any other papers allowed or required to be filed by these rules may be on any size paper. Citations should be underscored.

7 .5(2) The proper caption shall be placed in full upon the first paper filed. 7 .5(3) The signature of the petitioner, party, or authorized representative, shall be

subscribed in writing to the original of all pleadings, petitions, briefs or motions and shall be an individual and not a firm name except that the signature of a corporation shall be the name of the corporation by one of its active officers. The name and mailing address of the party or the party's representative actually signing shall be typed or printed immediately beneath the written signature. The signature shall constitute a certification that the signer has read the document; that to the best of the signer's knowledge, information and belief every statement contained in the document is true and no such statement is misleading; and that it is not interposed for delay.

7.5(4) Every pleading (other than protest) or motion or brief shall bear proof of service upon the opposing party as provided by the Iowa rules of civil procedure.

--·-,

lAC 5/6/87 Index

~ LABELS AND MARKS Agricultural/vegetable seeds 30-5.3, 5. 7, 5. 9 - 5.13 Animal waste products 30-6.18 Beer/liquor/wine 185-6.1(2)c, 6.1(4)g, 6.1(5)a,b, 6.1(6)b, 8.2(3,4), 14.2:

567-107.1, 107.3, 107.6, 107.8(4) Bread 30-33.1, 33.2 Bulk foods 30-36.3, 36.5(2) Carriers, equipment marking 567-132.1: 820-[07,F] 3.3, 4.4, 13.3 Chemicals, hazardous, exemptions 347-110.1(7) Commercial feeds 30-6.2 - 6. 7 Cosmetics, exemptions 34 7-11 0.1(7) Drugs/prescriptions, see Pharmacies below; Radioactive Materials below

~ Fertilizers/agricultural lime 30-8.1- 8.5, 8.21(2) Food, exemptions 347-110.1(7) Gasoline/oil meters 30-55.40 - 55.42 Marks

See also TRADE-MARKS, TRADE NAMES Carriers, equipment 820-[07,F] 3.3, 4.4, 13.3 Meat

Inedible 30-43.9 Inspections 30-43.6

Registration/protection 750-2.6 Milk/dairy products 30-30.9, 34.5 Nursery stock 30-26.1

LABE

Pesticides 21-9.9(2), 9.11; 30-10.4, 10.6- 10.14, 10.17, 10.18, 10.24, 10.31: '-....! 347-110.1(7)

Pet food 30-ch 7 Pharmacies

Controlled substance 620-8.13(7 ,11) Nuclear 620-6.9(2)g Packaging

Bulk 620-6.4 Exemptions 347-110.1(7) Med paks 620-6.15(3) Prepackaging 620-6.3 Unit dose 620-6.11

Prescription information 620-2.5 Poultry 30-11.1(3), 11.3(3)

\.._.) Radioactive materials Caution symbols 470-39.23(5), 39.25(4), 39.36(1)c, 40.9, 40.10, 41.1(4),

41.4(8)e, 41.5(3)d; 567-132.1 Clinical/laboratory use 470-39.25(4,5), 39.40 Drugs/pharmaceuticals 470-39.24, 39.39, 39.42, 39.43; 620-6.9(2)g Licensure requirements 470-ch 39 Measuring/gauging devices 4 70-39.20 Medical devices 470-39.39, 39.43, 39.44 Plutonium/americium-241 470-39.23 Waste 470-40.17, 40.19(4,6); 567-132.1 X-ray systems 470-41.1(4), 41.5(3)d

Salad dressings 30-34.4 Sales tax exemption 701-18.7

\.-)Sodium benzoate 30-33.3 Trade-marks 261-55.1, see also Marks above

LABO fud~

LABOR Child 345-7.6; 347-ch 32 Disputes 345-4.33, 4.34 Migratory camps 470-ch 81 Public employment bargaining 660-chs 1- 10 Surplus area set-aside awards 345-7.8

LABORATORIES Blood tests

Infants 470-4.5 Prenatal 470-3.1, 4.6 Reports

Birth defects institute requirements 470-4.5 Health department notification 470-1.4, 3.2 Venereal disease 470-1.4

Criminalistics 680-ch 12 Dental, tax collection 701-16.40 Hospitals 470-51. 7(19), 51.27, 51.29(3) Independent, medical assistance providers 441-77.20, 78.20 Locations 470-3.1 Medical assistance 441-78.1(10), 78.18(2), 79.1(2), 80.2(2)j Research, chemical exposure risks 347-110.1 State hygienic 567 -ch 42; 720-ch 5 Tax, sales 701-16.40, 16.41, 26.2(7), 26.44 Water tests 567-ch 42

LABOR SERVICES DIVISION Address 347-1.3, 8.1, 35.2 Administration/enforcement 34 7 -ch 1, 2.1, 2.2, ch 3 Agriculture, federal standards 34 7 -ch 28 Amusement parks 34 7 -cbs 61, 62, see also AMUSEMENTS AND

AMUSEMENT PARKS Appeals, employment board 347-9.10, 78.10; 610-ch 1 Asbestos, removal/encapsulation

Certification, worker 34 7-82.10 Definitions 34 7-81.1 Examinations, medical 34 7-82.7 Exposure 347-10.19, 81.3, 82.6 Inspections 347-81.3(9)d License requirements 347-82.2, 82.3 Records 347-81.3(3)i, 81.3(9)/, 82.5, 82.6, 82. 7(6) Schools 347-82.4 Standards 347-10.19, 81.2, 81.3, 82.3(4), 82.6, 82. 7(6), 82.9 Training 347-82.9 Wastes 347-81.3(6)

Boilers/pressure vessels 347-chs 41, 43- 49, see also BOILERS Boxing 347-chs 97-99

2

lAC 5/6/87

lAC 5/6/87

\.,~ LABOR SERVICES DIVISION(cont'd)

Child labor 34 7 -ch 32 Commissioner

Generally 347-1.3

Index

Amusement rides/concessions, inspections 347-ch 61, 62.18(4) Claims, wage 34 7 -ch 35 Complaints, discrimination 347-9.3, 9.15, 9.18, ch 36 Declaratory rulings 347-1.5 Elevators

Construction standards, partial 34 7-76.7 Hearings/appeals 347-ch 78; 610-1.36

~ Inspections 347-ch 71 Permits, temporary 347-76.6 Variances 347-ch 77

Employment agency licensing 347-1.3, ch 38 Hearings 347-5.13, 5.14, 5.16, 5.17, ch 78 Inspections, citations/abatement 347-3.12, 3.13; 610-1.34 Review commission, restrictions 610-1.104, 1.106 Rules/orders, modification 347-5.10(2), 5.11 Statistics, occupational safety/health 347-4.13 Variances 347-5.4, ch 77

Complaints, employee 347-3.7, 3.13, 9.9, 9.15-9.18 Compliance officers 34 7 -ch 3, 8.5(3) Confidentiality 347-3.8, 8.4(7), 8.5(1)

...._,) Construction standards 347-10.12, ch 26 Consultative/education services

Generally 34 7 -chs 2, 8 Employer responsibility 347-8.3(1), 8.4(4), 8.5(3) Private 347-2.1, 2.4, ch 8 Programs 347-2.6 Public 347-2.1, 2.5, ch 8 Visitation 347-8.3- 8.5

Contaminants, federal standards 347-10.19, 10.20 Contested cases 34 7-1.7 Declaratory rulings 34 7-1.5

LABO

Definitions 347-1.1, 3.1(2), 3.14, 4.18, 5.2, 8.2, 10.1, 10.12, 27.1, ch 32, 35.1, 36.1, 41.12, 52.1, 61.1, 62.1, 71.1, 72.2, 78.2

\...,) Discipline, employee 347-9.6, 9.12(2), 9.22 Discrimination 34 7 -chs 9, 36 Elevators 347-32.8(6-8), chs 71- 78, see also ELEVATORS Employment agency licensing 34 7 -ch 38 Employment appeal board 610-ch 1, see also EMPLOYMENT APPEAL BOARD Employment services authority 341-1.1( 4) Firefighters, standards 34 7 -ch 27 Forms 347-1.30, 3.13(2)e, 3.15, 4.2(1), 4.5(1), 4.9, 4.16, 4.17, 5.6, 9.15(1),

35.2, 61.2(2,3), 77.4 Hazardous chemical risks, right to know

Community/worker Generally 347-chs 110, 120, 130 Compliance, employers 347-120.12

'-.-! Definitions 347-110.2

3

LABO Index lAC 5/6/87

LABOR SERVICES DIVISION(cont'd) '--" Hazardous chemical risks, right to know(cont'd)

Community/worker(cont'd)

Employees Complaints 347-120.8 Information/training 347-ch 110, 120.3, 120.6

Employers exempt Generally 347-110.1 Agricultural activities/pesticide applicators 347-110.1(5) Laboratories, research 347-110.1(3,4) Transportation 34 7-110.1 ( 6)

Hazard determination 347-110.3, 120.2 Inspections 347-120.9, 130.9 Labels/warnings

Generally 347-110.4, 110.5, 120.3, 120.4 Exemptions 347-110.1(7), 110.4(4), 120.4

Manufacturers/importers/employers, responsibilities 347-110.1(1,2), 110.3- 110.6, 120.1, 130.1

Records, employer Exemption applications 347-130.3 Information requests

Application 347-130.6, 130.7 Complaints/hearings 347-130.8- 130.10

Material safety data sheets 347-110.5, 110.6, 120.5, 120.6, 120.9, 130.2 Trade secrets, confidentiality 347-110.6, 120.1, 120.9, 120.10, 130.2(1),

130.3 - 130.5 Violations 347-120.8, 120.11

Public safety/emergency response, right to know Fire department/employer collaboration 347-140.5- 140.8 Hearings 347-140.8(1-3) Noncompliance 347-140.1, 140.7, 140.8 Sign posting

Categories 347-140.1(3) Chemical amounts/classifications 347-140.1, 140.4 Size/location 347-140.1(1,2) Variances/exemptions 347-140.2, 140.3

Hearings 347-chs 1, 5, 78 Informal settlements 347-1.6 ~ Injury/illness 347-ch 4, 41.9, 61.2(6), 71.3 Inspections 347-3.2- 3.10, 3.14(5), 8.5(2), 9.21, 41.2- 41.8, 41.10, 41.11,

41.12(9), 48.1, 48.2(3,5), 49.14, ch 61, 62.1(8), 62.2(11,12), 62.18(6), 71.2, 71.5, 72.11, 75.3, 77.3(2)

Notices 347-1.7, 3.1, 3.4, 5.5, 5.11, 5.14, 5.20(4) Occupational safety and health bureau 347-ch 2 Occupational safety and health review commission 347-78.10; 610-ch 1, see also

OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION Organization 347-1.2, 1.3 Railroad employees, sanitation/shelter 34 7 -ch 52, see also RAILROADS Records, employer 34 7 -3.5, ch 4

4

lAC 5/6/87 Index

LABOR SERVICES DIVISION(cont'd)

Reports Amusement rides, incidents 3 4 7-61. 2( 6, 7) Boilers

Explosions 34 7-41.9 Inspections 34 7-41.2

Consultants 347-8.4(6), 8.5(3) Elevators

Accidents 347-71.3 Inspections 347-71.5(6)

Railroad companies 347-52. 7(2)j Research/statistics 347-2.1, 2.3, 4.13, 4.17 Rule making 347-1.4 Safety, compliance violation 347-9.22 Standard Industrial Classification Codes (SIC) 347-4.18(8), 4.19

LAKE

Standards 347-chs 10, 26- 28, see also Asbestos, Removal/Encapsulation above,· Boilers/Pressure Vessels above; Elevators above

Variances/exemptions 347-4.12, 4.16, chs 5, 77 Violations

Citations/abatement 34 7-3.11 - 3.13, 120.11 Consultations 347-3.5(5), 3.7, 3.10 Discrimination 347-ch 9

Wage collection 347-ch 35 Wrestling 347-ch 96

LAGOONS Anaerobic

Generally 567-22.1 - 22.3 Animal feeding operations 567-23.5

LAKES Boating 571-chs 36, 40, see also BOATS AND BOATING Docks 571-16.6, 16.8

~ Fishing 571-81.2, ch 82, 83.2, see also FISH AND FISHING Hunting 571-chs 52, 53, 91.4(3), see also HUNTING Lakebed land, rental/lease 571-ch 18 Swimming 571-ch 40 Watersheds

Establishment 571-ch 31 Soil conservation appropriation 780-5.41(2), 5.60(5)

Wildlife refuges 571-ch 52

4a

LAND Index

LAND See also SOIL CONSERVATION DEPARTMENT Acquisition, water access 571-ch 30 Agricultural

Assessment/equalization 701-ch 71 Leasing, wildlife habitats 571-ch 21 Owners/lessees, annual report 750-12.1 Pipeline construction, land restoration 199-ch 9

Grants, land and water conservation fund 571-ch 27 Preservation and use, counties 780-ch 7 Preservation policy commission 535-ch 1 Private

Spear fishing 571-83.2(2) Wildlife habitats, establishment 571-ch 22

Reclamation, abandoned mined 780-ch 27 Sales, subdivided out-of-state 700-2.5 State-owned

Leasing, wildlife habitats 571-ch 21 Licenses 561-1.2(9) Permit/use fees 571-ch 18 Records, land office 750-6.5

Surveyors 390-chs 1 - 4

LANDFILLS See SANITARY LANDFILLS

LAND OFFICE Records, state-owned lands 750-6.5

4b

lAC 5/6/87

lAC 5/6/87 Index

LANDSCAPE ARCHITECTS Certification 181-1.4(9); 540-1.7, ch 2 Continuing education 540-ch 3 Council of landscape architectural registration boards (CLARB) Examination 540-2.4- 2.6, 2.10 Examiners board

Address 540-1.3 Discipline 540-ch 4 Hearings 540-3.6, 4. 7 Meetings 540-1.4, 1.5 Members 540-1.2 Records 540-1.6

Reciprocity 540-2.6 Registration 540-2.7-2.10

LAW

540-2.1, 2.5, 2.6

Enforcement administrator's telecommunications advisory committee 680-ch 15 Library 560-1.20- 1.22 Uniform state laws commission 840-ch 1

\,.,;) LAW ENFORCEMENT ACADEMY Contested cases 501-6.4 Council 50 1-ch 1 Definitions 501-1.1 Director 501-1.7- 1.10, 3. 7 Hearings 501-6.3, 6.4 Officers

Certification Curriculum 501-ch 3 Revocation 501-ch 6

Standards 501-ch 2 Training facilities

Approval 501-ch 5 '-...,~ Instructors 501-ch 4

LEATAC Law enforcement administrator's telecommunications advisory committee 680-ch 15

LEGISLATION Enrolled bills/session laws depository 750-6.7 Lobbyists, taxation 701-18.43, 26.70

5

LEGI

LIBR Index

LIBRARY Archaeological document collection 70-ch 8 Area schools 670-5.5, 5.9(10) Barber schools 470-152.8 Beauty schools 4 70-149.4 Community colleges 670-4.28 Department, generally 560-ch 1 Depository library center 560-1.12- 1.15 Energy conservation measures, grants 565-chs 7, 8 Historical 490-1.3, 5.1-5.16 Law 560-1.20- 1.22 Learning resource center 281-74.7, 74.9(4); Media specialist 281-74. 7(2), 74.9(5) Medical 560-1.36 - 1.39 State 560-1.6 - 1.9

LICENSES Accountants 10-1.1(5), cbs 4- 6

670-5.5

lAC 5/6/87

Agriculturedepartment, generally 30-ch 1, 8.5, 8.7, 10.19, 10.22, 10.29, 11.2, 12.1, 12.4 - 12.7

Asbestos, removal/encapsulation 34 7 -ch 82 Audiologists 470-155.3- 155.7 Banks, regulated loans 187-15.1, 15.2 Barbers

Assistants 470-152.214(11,12), ch 154 Fees 470-152.214 Schools 470-152.214(4-6) Shops 470-152.214(8-10), 153.2

Beer/liquor establishments 185-chs 4, 5, see also BEER AND LIQUOR Bingo, qualified organizations 195-23.2, 23.10 Boarding houses 481-23.6 Broker-dealers 191-50.2, 50.11 Building approval by fire marshal for functions 680-5.5 Care facilities

See also HEALTH CARE F ACILIT/ES Construction 470-60.3(8), 61.1(3,9,13) Day care centers, see Child Care Centers below Fire safety standards 680-5.550, 5.552, 5.600 - 5.602 Foster care, see Foster Care Facilities below Intermediate 470-58.1(10), 58.3- 58.5, 58.7, 58.12(1)j, 58.35(6), 64.1(6),

64.3- 64.5, 64.7' 64.39(3) Nursing, skilled 4 70-59.1(10), .59.3- 59.7, 59.14(1)j, 59.40(6) Residential

Generally 470-57.1(9), 57.3- 57.6, 57.8, 57.13(1)j, 57.30(7) Children 441-chs 115, 116; 470-57.13(1)j, 63.13(1)j Mentally retarded 441-ch 116; 470-63.1(9), 63.3, 63.4, 63.5(6), 63.7,

63.13(1)j, 63.28(7)

6

Iowa Administrative Code Supplement

Documents