~tatr ~Jn{un Iowa Administrative Code Supplement · 2016-12-10 · ~tatr of ~Jn{un Iowa Administrative / -~ Code Supplement Biweekly November 26, 1980 WAYNE A. FAUPEL CoDE EDITOR

~tatr of ~Jn{un

Iowa Administrative

/ -

~ Code

\..._~

Supplement Biweekly

November 26, 1980

WAYNE A. FAUPEL CoDE EDITOR

PHYLLIS BARRY DEPUTY CODE EDITOR

Laveme Swanson Administrative Code Assistant

PuBLISHED BY THE

STATE OF IOWA UNDER AUTHORITY OFSECfiON 17A.6, CODE 1979

IACSupp. PREFACE IAC4/16/80

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 publications.

The Supplement contains replacement pages to be inserted in the loose-leaf lAC according to instructions in the respective Supplement. Replacement pages incorporate amendments to existing rules or entirely new rules or emergency or temporary rules which have been adopted by the agency and filed with administrative rules co-ordinator as provided in sections 17.7, 17A.4 to 17A.6. [It may be necessary to refer to the Iowa Administrative Bulletin* to determine the specific change.] The Supplement may also contain new or replacement pages for "General Information" and a cumulative index for the Supplement.

When objections are filed to rules by the Administrative Rules Review Committee, Gover-nor or the Attorney General, the context will be published with the rule to which the objection . applies. ~

~ . Any delay by t~e Ad~inistrative Rules Review Committee of the effective date of filed rules ~~}. yi0.,~~. 111 also be pubhshed m the Supplement. !;ri'Xhif~ Jfl Each page in the Supplement contains a line at the top similar to the following: 'O;;;l(;.>;i~'

~Rii'ir~'}\C 12/29/75 Agriculture[30] Ch 1, p.l

• -----~-*Section 17A.6 has mandated that the "Iowa Administrative Bulletin, be published in pamphlet form i )'

which will contain material formerly published in Part I of the lAC Supplement. The Bulletin will contain ....,. Notices of Intended Action, Filed Rules, effective date delays, and the context of objections to rules filed by the Committee, Governor, or the Attorney General.

In addition, the Bulletin shall contain all proclamations and executive orders of the Governor which are general and permanent in nature, as well as other materials which are deemed fitting and proper by the Committee.

v

v·

lAC Supp. 11/26/80 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 replace-ment pages in this supplement are listed in the column headed "Insert New Pages". It is important to follow instructions in both columns.

UPDATING INSTRUCI'IONS November 26, 1980 Biweekly Supplement

Commerce Commission (250]

\.....! Conservation Commission (290]

Environmental Quality (400]

Health Department [470]

Labor, Bureau of [530]

IOWA ADMINISJ'RATIVE CODE

Remove Old Pages* Analysis, p.2-Ch 1, p.l Ch 26, p.3

Insert New Pages Analysis, p.2-Ch 1, p.1 Ch 26, p.3-Ch 27, p.29

Analysis, p.2, 2a Analysis, p.2, 2a Ch 50, p.1 Ch 49, p.1-Ch 50, p.1 Ch 111, p.1-Ch 111, p.4 Ch 111, p.1-Ch 111, p.3

Ch 19, p.2b, 2c Ch 19, p.12, 13 Ch 41, p.l-Ch 45, p.2

Ch 45, p.l, 2 Ch 45, p.7, 8 Ch 152, p.1, 2 Ch 152, p.9, 10 Ch 203, p.1, 2 Ch 203, p.l7, 18

Ch 76, p.1, 2

Ch 19, p.2b, 2c Ch 19, p.12, 13 Ch 41, p.l-Ch 45, p.2

Ch 45, p.1, 2 Ch 45, p.7, 8 Ch 152, p.1, 2 Ch 152, p.9, 10 Ch 203, p.l, 2 Ch 203, p.17, 18

Ch 75, p.1-Ch 76, p.2

Merit Employment Department (570] Analysis, p.1, 2 Analysis, p.1, 2 Ch 1, p.1-Ch 3, p.3 Ch 4, p.2, 3 Ch 4, p.6, 7 Ch 5, p.1, 2 Ch 7, p.3-Ch 9, p.1 Ch 19, p.1, 2

Ch 1, p.1-Ch 3, p.3 Ch 4, p.2, 3 Ch 4, p.6, 7 Ch 5, p.l, 2 Ch 7, p.3-Ch 9, p.l Ch 19, p.l, 2

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

Page2 Instructions lAC Supp. 11/26/80

IOWA ADMINISTRATIVE CODE \.,~

Remove Old Pages* Insert New Pages

Natura) Resources Council [580] Analysis, p.l, 2 Analysis, p.l, 2 Ch 3, p.2, 3 Ch 3, p.2, 3 Ch 3, p.6-Ch 4, p.2 Ch 3, p.6-Ch 4, p.2 Ch 5, p.6, 7 Ch 5, p.6, 7 Ch 5, p.16, 17 Ch 5, p.l6, 17

Professions) Teaching Practices Ch 5, p.1-Ch 6, p.3 Ch 5, p.1-Ch 6, p.3 Commission [640]

Public Employment Relations Analysis, p.l-Ch 10, p.l Analysis, p.l-Ch 10, p.1 \..I Board [660]

Revenue Department [730] Ch 122, p.l-Ch 123, p.3 Ch 122, p.1-Ch 124, p.la Ch 124, p.6, 7 Ch 124, p.6, 7

Substance Abuse, Department Ch 3, p.13, 14 Ch 3, p.13, 14 of[805] Ch 3, p.17, 18 Ch 3, p.17, 18

Ch 3, p.23, 24 Ch 3, p.23, 24

Transportation, Department of 1820] Analysis, p.9, 9a Analysis, p.9, 9a [07,F] Ch 7, p.10- [07,F] Ch 7, p.lO-

[07,F] Ch 11, p.2 [07,F] Ch 11, p.2

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

IAC9/17/80 Commerce[250] Analysis, p.2

~ CHAPTER11 ELECTRIC LINE FRANCHISING

11.1(478) General information 11.2(478) Reserved 11.3(478) Petitions 11.4(478) Informational meetings 11.5(478) Notices 11.6(478) Common and joint use

CHAPTER 12 . BONDED WAREHOUSES

12.1(543) \.,.,) 12.2(543)

12.3(543) 12.4(543) 12.5(543)

12.6(543)

Application of rules Types of products to be ware-

housed Application for license Warehouse license Posting of license and fee re­

ceipts Reinstatement of warehouse li-

cense 12.7(543) Financial statements 12.8(543) Bonds 12.9(543) Insurance 12.10(543) Notice to commission 12.11(543) Issuance of warehouse receipts 12.12(543) Cancellation of warehouse re-

ceipts 12.13(543) Lost or destroyed receipt 12.14(543) Form of warehouse receipt 12.15(543) Settlement of obligation 12.16(543) Warehouseman's obligation

and storage 12.17(543) Storing of products 12.18(543) Suitable storage 12.19(543) Records 12.20(543) Adjustment of records 12.21(513) Scale weight ticket and set-

tlement sheets 12.22(543} Monthly statements 12.23(543) Tariffs 12.24(543) Rates 12.25(543} Identification of licensed stor­

age units 12.26(543) Maintenance of storage facili­

ties 12.27(543) Temporary storage facilities

CHAPTER 13 LICENSED GRAIN DEALERS AND

BARGAINING AGENTS 13.1(542) Application of rules 13.2(542) Application for license

13.3(542) Grain dealer license not trans­ferable

13.4(542) Posting of license and fee re­ceipts

13.5(542) Posting of vehicle registration plate

13.6(542) Surrender of license and regis­tration

13. 7(542) Renewal, termination and rein ... statement of license

13.8(542) Financial statements 13.9(542) Filing of bond 13.10(542) Payment 13.11(542) Books and records 13.12(542) Filing of monthly statement

and reports 13.13(542) Notice to commission 13 .14(542A) Application for bargaining

agent permit 13.15(542A) Bargaining agent not trans­

ferable 13.16(542A) Bonds 13.17(542A) Information on proceeds of

sale 13.18(542A) Inspection of agent's books

UTILITIES AND TRANSPORTATION DIVISIONS

CHAPTER 14 (Repealed, see 10/20175 Supp.)

Reserved

CHAPTER 15 [Ch IS. renumbered as ch 7)

CHAPTER 16 ACCOUNTING

16.1(476) Accounting-general informa­tion

16.2(476) Uniform systems of accounts­electric

16.3(476) Uniform systems of accounts­gas

16.4(476) Uniform systems of accounts­water

16.5(476) Uniform systems of accounts­telephone

16.6(476) Uniform systems of accounts­telegraph

16. 7(476) Filing of present promotional practices

16.8(476) Compiling advertisements and expenses

Analysis, p.2a Commerce[250] lAC 11/15/78

CHAPTER 17 ASSESSMENTS

17.1 (490A) Definition of "direct assess­ment"

17. 2(490A) Definition of "remainder as­sessment"

17.3(490A) Notice of investigation and of intention to assess costs

17.4(490A) Expenses to be included in direct assessments

17.5(490A) Definition of "gross operating revenues derived from intra­state public utility opera­tions"

17.6(490A) Reporting of operating reve­nues

17. 7(490A) CompiJation of assessment

CHAPTER 18 UTILITY RECORDS

18.1(476) Definitions 18.2(476) Location of records 18.3(476( Availability of records 18.4(476) Electric utilities 18.5(476) Rural electric co-operatives 18.6(476) Gas utilities 18. 7(476) Water utilities 18.8(476) Telephone utilities

CHAPTER 19 SERVICE SUPPLIED BY

GAS UTILITIES 19.1(476) General information 19.2(476) Records and reports 19.3(476) General service requirements 19.4(476) Customer relations 19.5(476) Engineering practice 19.6(476) Inspections and meter tests 19. 7(476) Standards of quality of service 19.8(476) Safety

CHAPTER 20 SERVICE SUPPLIED BY ELECTRIC

UTILITIES 20.1 (476) General information 20.2(476) Records and reports 20.3(476) General service requirements 20.4(476) Customer relations 20.5(476) Engineering practice 20.6(476) Meter tests 20. 7(476) Standards of quality of service 20.8(476) Safety 20. 9(476) Electric energy sliding scale or

automatic adjustment

lAC 11/26/80 Commerce [250] Ch 27, p.6

a. Manufacturer's measures warranty means the written warranty by the manufacturer of a residential energy conservation measure or renewable resource measure that the eligible customer for whom the measure is installed, the installation contractor who installs the measure, and the supplier of the measure shall, for those measures found within one year from the date of installation to be defective due to materials or design, be entitled to obtain within a reasonable period of time and at no charge, appropriate replacement parts or materials;

b. Supplier's measure warranty means the written warranty by the supplier of a residential energy conservation or renewable resource measure offered under a utility program, provided, to any person who purchases the measure from such supplier a warranty equivalent to that re­quired under paragraph "a", and

c. Contractor's measure warranty means the written warranty by the contractor for the in­stallation of any residential energy conservation or renewable source measures. Such warranty shall provide that any defect in materials, manufacture, design, or installation found within one year from the date of installation shall be remedied without charge and within a reasonable period of time.

27 .2(19) Program announcement. The term "program announcement" means residential conservation service program information and offer of services that are required to be mailed or delivered by a covered utility to each eligible customer by rule 27 .6(476).

27.2(20) Residential building. The term "residential building" means any building used for residential occupancy which:

a. Is not a new building, b. Has a system for heating, cooling, or both heating and cooling, living spaces, and c. Contains at least one, but not more than four, dwelling units. Townhouses and

rowhouses in rows of more than four separate houses are included in this definition, but garden apartment complexes which contain clusters of four apartment units or less are not.

27.2(21) Substantial interest. The term "substantial interest" means a direct or indirect ownership interest of ten percent or more of a company selling or installing or manufacturing a program measure.

27 .2(22) Program activity. The term "program activity" means any conservation program which a covered utility provides to its customers.

250-27.3(476) Temporary programs. None of the listed utilities have applied for a tem­porary program. Applications for temporary program status must conform to the re­quirements in 10 CFR 456.407.

250-27 .4(476) Procedures for program monitoring and enforcing compliance with the state plan. Every covered utility within Iowa is required to comply with the I-SAVE conservation plan. The Iowa state commerce commission, pursuant to its authority prescribed in section 476.1, The Code, and in accordance with rules promulgated in 250, (Commerce Commission) chapter 27, will monitor and enforce compliance of covered utilities with the I-SAVE con­servation plan.

27 .4(1) Monitoring. The ISCC will be responsible for ensuring that all utilities: a. Distribute program announcements to all eligible customers in accordance with provi­

sions in the state plan. All covered utilities will inform the ISCC of their schedule for distribu­tion of announcements and will notify the ISCC when actual distribution occurs. ISCC will determine utility compliance with the time schedule for distribution of the program announce­ment.

b. Follow all calculating and auditing procedures established by the ISCC to provide customers with accurate audit information. As directed by the ISCC, covered utilities and par­ticipating home heating suppliers will submit data and calculations on a randomly selected audit for verification of accuracy. The ISCC may supplement the review with random spot checking of auditors by a state designated auditor.

c. Perform the arranging of functions in accordance with the I-SAVE conservation plan. These functions shall be monitored by a periodic review of completed installations, consumer complaints, and the utilities annual I-SAVE program results report.

Ch 27, p.7 Commerce [250] lAC 11/26/80

d. Perform the post installation inspection in accordance with the I-SAVE plan re-~ quirements. The ISCC will periodically review inspections that have resulted from audits and arrangement of services to ensure that all program requirements are being satisfied.

e. Comply with the reporting and recordkeeping requirements established in the I-SAVE conservation plan. The submittal to the ISCC of the annual I-SAVE program results report, and subsequent review, will determine utility compliance in this area.

f. Comply with the accounting procedures and payment of costs as directed by the ISCC. The review of the annual results report submitted by each utility will determine compliance. In accordance with existing state law, the ISCC may institute formal investigations of accounting and auditing procedures.

27 .4(2) Enforcement. a. Covered utilities. (1) The ISCC will be responsible for enforcing compliance with the I-SAVE conservation

plan for covered-regulated and nonregulated utilities. The attorney general will be responsible \..,.) for enforcing compliance of participating home heating suppliers pursuant to the consumer credit code, (chapter 537, The Code).

(2) Upon determination of noncompliance of a covered-regulated utility, the ISCC will direct the utility to comply within thirty days.

(3) If the ISCC determines that the covered utility remains in noncompliance at the conclu­sion of the thirty-day period, or if the utility contests the basis on which the directive was issued, the ISCC will convene a hearing for a determination of the issues.

b. Home heating suppliers. When a violation is found to exist, the ISCC will notify the at­torney general's office for action.

c. Conflicts of laws. (1) Each covered utility shall petition the assistant secretary, in accordance with 10 CPR

section 456.102, when: '\,.,) The utility believes it is prohibited by Iowa state or local law or regulation from taking any

action under the National Energy Conservation Policy Act (NECP A) or any rule or state plan promulgated pursuant to NECP A; or

The utility believes it is required or permitted by Iowa state or local law or regulation to take any action prohibited by NECP A or any rule or state plan promulgated pursuant to NECP A.

(2) The petition should be filed with: Assistant Secretary for Conservation & Solar Energy U.S. Department of Energy Forrestal Building, Room GH-068 1000 Independence Avenue, S.W. Washington, D.C. 20585

(3) The petition must contain: A description of the action that the utility believes it is pro­hibited from taking, or the action that the utility believes it is required to take under state or '..,) local law or regulation.

(4) Three copies of the petition must be sent to: Executive Secretary Iowa State Commerce Commission State Capitol Des Moines, Iowa 50319

27 .4(3) Exemptions and waivers for utility supply, installation and financing. a. Each covered utility that supplies, installs or finances any energy conservation or

renewable resource measure must notify the assistant secretary when such program becomes effective.

b. Each covered utility and participating home heating supplier which supplies, installs or finances any energy conservation or renewable resource measure shall be listed as a supplier, installer, a lender, as appropriated pursuant to rule 27 .9(476) (listing) of the plan, in the same V manner and subject to the same requirements as any other supplier, installer or lender.

lAC 11/26/80 Commerce [250] Ch 27, p.S

c. Supplying and installing activities. (1) The prohibition against utility supply and installation shall not apply to any residential

energy conservation or renewable resource measure supplied or installed by covered utility through contracts between such utility and independent suppliers or contractors where the customer requests such supply and installation and each supplier or contractor:

1. Is on the list of suppliers and contractors referred to in rule 27 .9(476) (listing) of this plan;

2. Is not subject to the control of the public utility, except as to the performance of such contract and is not an affiliate or subsidiary of such utility, and

3. If selected by the utility, is selected in a manner consistent with subparagraph (2) below of this plan.

(2) Activities of a public utility under subparagraph (1) above of this plan: 1. May not involve unfair methods of competition; 2. May not have a substantial adverse effect on competition in the area where such activities

are undertaken, nor result in providing to any supplier or contractor an unreasonably large share of contracts for the supply or installation of energy conservation or renewable resource measures;

3. Shall be undertaken in a manner that provides, subject to reasonable conditions the utili­ty may establish to ensure the quality of supply and installation of residential energy conserva­tion and renewable resource measures, that any financing by the utility of such measures shall be available for the supply or installation by any contractor on the lists (10 CFR 456.312) referred to in rule 27 .9(476) Oisting) of this plan or for the purchase of such measures to be in­stalled by the customer;

4. Shall be undertaken, to the extent practicable and consistent with 27 .4(3Y~c"(2)" 1.", "2.", and "3." abve in manner that minimizes the cost of residential energy conservation and renewable resource measures to such customers; and

5. Shall include making available upon request a current estimate of the average price of supply and installation of energy conservation and renewable resource measures subject to the contracts entered into by the covered utility under 27.4(3)uc"(l) of this plan.

d. Until such time as adequate monitoring procedures can be developed, the contracting ar­rangements outlined in 27 .4(3)"c" shall be prohibited.

e. Whenever any covered utility undertakes to finance its lending program for energy con­servation or renewable resource measures through financial institutions, the utility shall (to the extent the utility determines feasible, consistent with good practice, and not disadvan­tageous to its customers) seek such funds for such financing from financing institutions located throughout the area covered by the lending program.

f. Utility exemptions. Five covered utilities have applied for an exemption from the pro­hibition on utility supply installations and financing of measures. These programs were either operational as of November 9, 1978, or substantial planning and preparation for the programs had taken place as of that date.

17 .4(4) Procedure to ensure nondiscrimination. a. Each covered utility that supplies, instatls or finances energy conservation and renewable

resource measures shall submit a report on each program which an exemption or waiver was obtained. Such report shall be in addition to the program results report described in subrule 27 .16(3) (reporting) and shall contain:

(1) Measures supplied, installed or fmanced, (2) Prices and interest rates charged for supply, installation and financing of measures, (3) A list of all suppliers and contractors who supply or install in conjunction with the utili-

ty, and (4) A description of the criteria for eligible customers and criteria for participating in utility

supply, installation or financing activities. b. The ISCC shall monitor and evaluate this information in light of current prices for

materials and installation and interest rates in the area to ensure compliance of rule 27.4(3)uc".

Ch 27, p.9 Commerce [250] lAC 11/26/80

250-27.5(476) Scope of benefits. 27.5(1) Eligibility. Customers' eligibility for program benefits under the I-SAVE conser­

vation plan will be determined by the degree of participation in the plan by the individual customer. In order to obtain program benefits, the customer must, at a minimum, utilize at least one of the following services:

a. Utility arranges installation for an eligible customer according to the procedures contain­ed in rule 27.10(476) (arranging installation) of the I-SAVE program;

b. Utility arranges financing for an eligible customer according to the procedures contained in rule 27.11(476) (arranging financing) of the I-SAVE program; or

c. A customer purchases a program measure from an I-SAVE listed supplier who verifies in writing to the customer that the measure meets applicable program material standards and is covered by the program measures warranty.

27 .5(2) Program benefits. A customer who utilizes the installation arranging service according to procedures outlined in rule 27.10(476) (arranging installation), is entitled to the following benefits:

a. Measures warranties as defined in 27.2(18) uau, ub", uc", for each program measure installed, except caulking and weatherstripping;

b. Installation of program measures that meet all applicable RCS material standards; c. Installation of program measures that meet all applicable RCS installation standards; d. A mandatory post-installation inspection, if applicable, or inclusion in the pool of

customers from which random inspections will be made according to procedures outlined in rule 27 .12(476) (post installation inspections) of the I-SAVE plan;

e. Access to customers' complaint proceedings, according to procedures in rule 27.13(476) (consumer grievance procedure) of the I-SAVE plan; and

f. For listed suppliers, contractors or lenders, adherence to the listing requirements as outlined in rule 27.9(476) (listing requirements) of the I-SAVE plan.

27 .5(3) A customer who arranges financing of program measures through the utility ac­cording to procedures in rule 27 .11(476) (arranging financing) of the I-SAVE plan, is entitled to benefits 27 .5(2) ueu and ~1'' above. In addition, the customer may be eligible for the utility billing and repayment loans benefit as outlined in 24.14(476) (customer billing, repayment of loans, termination of service).

27.5(4) A customer who purchases program measures from a listed supplier is eligible for benefits 27 .5(2)"a", "e" and "f' above.

27 .5(5) When requesting benefits from the utility, customers who purchase their own measures from a listed supplier must provide a copy of the supplier's document which iden­tifies the program measures purchased.

250-27 .6(476) Program announcements. 27 .6(1) Each covered utility and participating home heating supplier shall send to each

eligible customer a program announcement within six months after approval of the state plan by the department of energy.

27.6(2) This program announcement shall be sent out every two years after the initial distribution of the conditional announcements until January 1, 1985.

27 .6(3) Each new customer, a person who becomes an eligible customer after the initial distribution of the program announcement, shall receive a program announcement within sixty days of becoming a new customer, and every two years thereafter until January 1, 1985.

27.6(4) The content of the program announcement shall contain the following elements, as a minimum:

a. A list of all program and state measures with an estimate of savings in energy costs, which are likely to be produced in one year, expressed in ranges of dollars or percentages, and a statement to the effect that the total energy savings may be less than the sum of the cost sav­ings projected for the individual measures;

b. A list of all energy conserving practices, a statement that they are of low or no cost, and an estimate of savings in energy costs, which are likely to be produced in one year expressed in ranges of dollars or percentages.

\..,.)

~

\..,1

\...,'

~

lAC 11/26/80 Commerce [250] Ch 27, p.10

c. An offer and description of the program audit; installation arrangement service; financ­ing arrangement service; and contractor, lender and supplier lists.

The description of each service shall include information on how a customer may obtain each service, the direct cost, if any, and the scope of benefits included in that service. The direct cost to the requesting consumer for the program audit and related services shall not ex­ceed $15.00.

d. Inclusion of the following disclosure or its equivalent: "Energy savings depend on many factors. The estimates contained in the announcement are based on estimates for typical houses. Your costs and savings will be different if your house is a different size or type, if your family is a different size or if your energy using habits are different from those we assumed. The energy audit which we offer will provide more specific estimates for your house."

e. A brief explanation of the benefits of the federal and state energy credits; and f. A brief description of the benefits of the weatherization assistance program for low in­

come persons, 10 CFR Part 440, and a brief description of who is eligible for such assistance. 17.6(5) No advertising for sale, installation, or financing by any supplier, contractor or

lender of any energy conservation measure, renewable resource measure, state measure or energy conserving practice may be included in the program announcement. If a covered utility finances the sale or installation of such measures or practices, the program announcement may so state.

17 .6(6) No information regarding any product which is not an energy conservation measure, a renewable resource measure, state measure or any energy conservation practice may be included in the program announcement.

17 .6(7) All program announcements must be submitted for approval to the Iowa state commerce commission prior to distribution.

17 .6(8) The energy audits may be offered to customers on a conditional non­discriminatory basis. All customers who receive a conditional offer of any audit must receive an unconditional offer of an audit within two years. The utilities will submit their plans for distributing the unconditional announcements and scheduling the audits to the Iowa state commerce commission prior to implementation.

17 .6(9) The calculation procedures for the cost and savings estimates for all program measures and practices contained in the program announcement will be approved by the Iowa state commerce commission. This will assure that all program announcements in the state will be consistent. (see appendix*)

17 .6(10) All estimates in the program announcement will be based on recent prices and ap­propriate climatological data for the state.

17.6(11) The announcement may contain a statement similar to the following: "This offer to perform an energy audit and to provide related benefits is in compliance with the residential conservation service program pursuant to Part 1 of Title II of the National Energy Conserva­tion Policy Act. Every 'covered utility' and 'participating home heating supplier' is required to provide each customer with a program announcement. If you receive service from more than one covered utility, you will receive more than one announcement, you may request an audit from either utility. A request for a second audit will be performed at actual cost."

150-17.7(476) Program audits. 17. 7(1) Timing and preconditions. a. Each covered utility and participating home heating supplier shall provide a program

audit to an eligible customer within thirty days of the request of unconditional offer of an audit. Requests for extensions of time within which to perform audits will be considered when audit requests substantially exceed the utilities capability to perform the audits in the required time, but in any event shall not exceed sixty days.

b. Each covered utility and participating home heating supplier shall inform and provide to each new customer, upon request, a copy of the last program audit performed on the cus­tomer's residence. If the new customer requests an additional audit and the previous audit had

•Available at the office or Commerce Commission or Administrative Rules Coordinator.

Ch 27, p.ll Commerce [250] lAC 11/26/80

been performed within the previous two-year period, such audit will be performed at actual cost to the new customer.

c. Covered utilities and participating home heating suppliers are prohibited from precondi­tioning a program audit in any manner.

d. Covered utilities and participating home heating suppliers shall not discriminate unfairly among eligible customers in providing program audits.

27. 7(2) Content of program audit. a. General. Each covered utility and a participating home heating supplier shall, at a

minimum, provide to each eligible customer a comprehensive program audit which addresses all energy conserving practices, energy conservation measures and renewable resource measures upon request by an eligible customer. In each program audit, the auditor shall deter­mine which of the energy conserving practices would save energy in the residence, explain and emphasize the importance of such practices and recommend that they be performed before the installation of any measure. The auditor shall then determine the applicability of each pro­gram measure in that residence. If a program measure is not applicable, then the requirements of this section to provide estimates of the cost and savings of installation in such residence do not apply.

b. Energy conserving practices. The following are defined as energy conserving practices for the purpose of this plan:

(I) Furnace efficiency maintenance and adjustments; (2) Nighttime temperature setback; (3) Reducing winter thermostat setting; (4) Raising summer thermostat setting; (5) Water flow reduction in showers/faucets; (6) Reducing hot water temperatures; (7) Reducing energy use when a home is unoccupied; (8) Plugging leaks in attics, basements, crawl spaces, fireplaces, switch plates and wall

plates; (9) Sealing leaks in pipes and ducts; and (IO) Efficient use of shading. c. Applicability of program measures. (I) A program measure is applicable if the measure is not present in the home and the in­

stallation of the measure is not in violation of federal, state or local laws and ordinances. (2) Specific program measures listed below are applicable if the corresponding condition is

met:

Measure

Replacement furnaces or boilers

Vent opening modification

Replacement central air con­ditioner

Ceiling insulation

Applicability Criteria

The furnace is five years or older.

The furnace combustion air is taken from a conditioned space.

The building has a central air conditioner that is five years or older.

The difference between R existing and R program = eleven or more, and the building is not a mobile home.

~

'.,.)

\,)

'..I

~

lAC 11/26/80 Commerce [250] Ch 27, p.12

'.,) Wall insulation There is no insulation in a substantial portion of the exterior walls and the building is not a mobile home.

Floor insulation There is no insluation in the floor over an unconditioned space.

Rim joist insulation The rim joist is accessible.

Foundation insulation There is no insulation on the

\._,) foundation walls above grade.

Water heater insulation The remaining useful life of the heater appears to be three years or greater and space is available around the water heater to install insulation.

Thermal windows The auditor judges that the prime window needs replacement.

Storm windows Always applicable. ·...._,;

Heat-reflective and heat-ab- The residence has an existing sorbing window or door material room or central air conditioner.

Electric load management Such systems are available devices through the electric utility.

Clock thermostat The residence has a thermo-stat or the existing furnace or central air conditioner is compatible with a clock thermostat.

\.,..) Active domestic hot water A site exists on or near the systems. residence which is free of major

obstruction to solar radiation.

Replacement solar swimming Existing heated swimming p'ool and pool heaters a site exists near the part which

is free of major obstruction to solar radiation.

Passive solar space heating The living space ofthe and cooling systems: residence has either a (i) Passive solar direct or south-facing(+ or -45°F. of

\._) indirect gain glazing systems true south) wall or an

integral south-facing ( + or - 45 op. of true south) roof which is free of major obstruction to solar radiation.

Ch27, p.l3

(ii) Passive solar solaria/ sunspace systems

(iii) Passive solar window heat gain retardants

Wind energy systems

Caulking & weatherstripping

Duct and pipe insulation

Electrical or mechanical gas ignition system.

Oil furnace replacement burner

Commerce[250]

The living space of the residence has a south­facing ground level wall, which is free of major obstruction to solar radiation.

The living space of the residence has a south­facing(+ or -45°F. oftrue

lAC 11126/80

south) window that is not shaded from sum­mer sunshine.

The lot is larger than . 75 acres, there are no major wind obstructions and a tower can be sited at least fifty feet from a property line or right-of­way for electrical trans­mission or distribution lines.

Always applicable.

If ducts and pipes are located in an unconditioned area.

Always applicable.

Always applicable.

d. Cost estimates. Estimates of energy cost savings and of installation costs provided as a result of a program audit shall be performed in the following manner:

(I) Actual measurements or inspections of the building shell and of the space heating, space cooling, and water heating equipment, shall be performed onsite by the auditor;

(2) Economic calculations shall be based on typical recent local electric rates, typical recent local fuel prices, typical recent local prices for materials and installation of program measures and typical recent local climate data for the eligible customer's location;

(3) A solar domestic hot water system's cost shall be based on the calculation procedures contained in the current HUD intermediate minimum property standards supplement, solar heating and domestic hot water systems 4930.2, 1977 edition, U.S. Department of Housing and Urban Development or equivalent procedure approved by the state, the assistant secretary; and

(4) Any cost and savings estimate for any applicable furnace efficiency modification to a gas or oil furnace or boiler shall be based on an evaluation of the seasonal efficiency of such furnace or boiler. This seasonal efficiency shall be based on an estimated peak (tuned-up) steady state efficiency corrected for cycling losses. Steady state efficiency shall be derived either from manufacturer's design data and observation of furnace components or by calcula­tion of the combustion efficiency of the furnace or boiler. Where visual observation by the auditor shows poor operation, calculation of combustion efficiency shall be made.

e. Procedure to assure the validity of the program audit. The state shall approve all pro­cedures of a covered utility anc;l participating home heating suppliers governing the measurements or inspections that an auditor must make in an eligible customer's residence

~

\_,)

'-.,./

\.._!

\.,.)

lAC 11/26/80 Commerce[250] Ch27, p.14

and the calculations which must be performed in making energy cost savings estimates. Such procedures shall be submitted to the state at least sixty days prior to initial distribution of pro­gram announcements. The state shall approve or disapprove such procedures within sixty days of submittal. The model calculation procedure contained in the I-SAVE plan may be used by the utilities without further validation. Should a utility desire to use procedures different from those specified, such procedures must be submitted to the state for validation. Factors which will be considered by the state in validating an alternative methodology include completeness of procedure (all measures addressed) accuracy and consistency of methodology and pro­cedures based on accepted engineering practices.

Each covered utility and participating home heating supplier shall provide the state a quarterly update of typical recent local electricity rates, typical recent local fuel prices, typical recent local prices for materials and installation of program measures and typical recent local climate data. Such information shall be obtained from existing utility records and a periodic survey of participating contractors. Such information will be used by the ISCC to update and modify the calculation procedures.

f. Results of program audit. Upon completion of a program audit, the auditor shall pro­vide in writing the following information onsite, in person to each eligible customer who receives a program audit;

(1) An estimate of the total cost (materials and labor), expressed in dollars or a range of dollars of installation by a contractor of each applicable program measure addressed in the program audit;

(2) An estimate of the total cost, expressed in dollars or a range of dollars, of installation by the customer of each applicable program measure, other than replacement central air condi­tioners and wall insulation, addressed in the program audit. A covered utility or participating home heating supplier shall not provide any estimate to any eligible customer of the cost to purchase furnace efficiency modifications, devices associated with load management techni­ques, or wind energy devices for installation by the eligible customer;

(3) An estimate of the savings in energy costs, expressed in dollars or a range of dollars, which would occur during the first year from installation of each applicable program ad­dressed by the program audit. In addition, a separate estimate which reflects a discounted payback (breakeven) analysis of each recommended measure will be presented. The methodology for calculating payback periods is outlined in the appendix and has been approved for use by the ISCC. Alternative methodologies must be submitted to the ISCC for approval.

(4) A clear indication to the eligible customer, through sample calculation or disclosure, that the total energy cost savings from the installation of more than one program measure may be less than the sum of energy cost savings of each measure installed individually;

(5) The following disclosure: "The procedure used to make these estimates has been evaluated by the ISCC for accuracy. However, the actual installation costs you incur and energy savings you realize from installing these measures may be different from the estimates contained in this audit report. Although the estimates are based on observations or measurements of your house, they are also based on assumptions which may not be totally correct for your household.";

(6) An estimate of the annual normal maintenance costs, if any, of each applicable program measure;

(7) The possible economic benefits to the eligible customer of existing federal and state tax incentives with, at a minimum, one sample of the effect of the tax benefit on the cost to the customer of installing one applicable energy conservation program measure and one ap­plicable renewable resource program measure;

(8) A program audit addressing an applicable solar domestic hot water system shall include a description of the solar system assumed by the auditor in preparing energy savings estimates and shall include the following information:

1. The square feet of the collector; 2. The collector characteristics, including glazing materials and other collector materials;

Ch27, p.15 Commerce[250] lAC 11/26/80

3. Any storage system needed, including the capacity of storage; 4. Any freeze protection needed; 5. The estimated percent of the water heating load to be met by solar energy; 6. Any physical connections needed with existing heating systems; 7. Any site preparation needed; and 8. If the results are based on a simulation, the following disclosure or its equivalent: "The energy cost savings estimates you receive are based on systems which may be different

from the ones you purchase. Also, these estimates were not determined using actual condi­tions but using simulated measurements. Therefore, the cost savings we have estimated may be different from the savings which actually occur.''

(9) A program audit addressing an applicable passive solar space heating and cooling system shall include:

1. The generic description and a pictorial description of the particular system considered by the auditor;

2. The estimated percent the heating load of the residence to be met by such a system; 3. The approximate dimensions of the system; 4. The characteristics of storage, including the recommended heat capacity; and 5. The disclosure provided in 27. 7(2) ~},(8)"8.,. (10) A program audit addressing an applicable wind energy device shall include: 1. Installation cost estimates, based on the kilowatt rating of a commercially available wind

device appropriate to the level of electricity consumed in the customer's residence; 2. Estimates of energy cost savings, based on average yearly wind speeds and the specifica­

tion of the selected wind device; 3. The auditor's best estimate of the average wind speed at the residence based on data

available at the nearest wind measurement station; and 4. The specifications of the wind device under consideration. If an eligible customer is not present or otherwise declines in-person presentation, the

auditor is relieved of any obligation to deliver the results in person. g. Program audit of furnaces. An eligible customer must sign a release form provided by

the auditor to allow an auditor of a covered utility or participating home heating supplier to provide costs and savings estimates for furnace efficiency modifications on a furnace which uses as its primary source of energy any fuel or source of energy other than the fuel source sold by that covered utility or partcipating home heating suppliers. The release shall include the following statement:

"If your home is heated by a source of fuel other than (identify the type of fuel supplied by the covered utility or participating home heating supplier), only the supplier of the other fuel may audit your furnace unless you specifically request us to audit your furnace. If you want us to audit your furnace (although we do not supply the fuel for it) please sign below in ink.,

Any recommendation related to fuel-switching is prohibited. h. Additional information to be provided during an audit. The auditor shall present the

following information as a minimum to the eligible customer during, or upon completion of, the program audit:

(1) An explanation of the benefits and services listed in the state plan and a brief descrip­tion of how the eligible customer can qualify for such benefits and services.

(2) The lists of contractors, suppliers and lenders developed pursuant to the state plan for the applicable program measures.

(3) An explanation of the benefits of the weatherization assistance program for low income person, 10 CFR Part 440, and a brief description of who is eligible for such assistance.

i. Prohibitions and disclosure required for program audits. The auditor shall comply with the following:

(1) The auditor is prohibited from estimating, as part of any program audit provided pur­suant to the state plan, the costs or energy cost savings of installing any product which is not an energy conserving practice or a program measure.

\.....,)

v

'.,/

~

'..)

lAC 11/26/80 Commerce[250] Ch 27, p.16 ·

....._,; (2) The auditor is prohibited from recommending any supplier, contractor or lender who supplies, installs, or finances the sale or installation of any program measure, if such recom­mendation would unfairly discriminate among such suppliers, contractors or lenders. If a covered utility or participating home heating supplier, which arranged the audit, supplies, in­stalls or finances the sale or installation of program measures, the auditor may so state.

(3) Any unfair discrimination among program measures is prohibited. (4) Each energy auditor shall provide the eligible customer with a written statement of any

substantial interest which the person or the person's employer has, directly or indirectly, in the sale or installation of any program measure.

j. Preaudit informational questionnaire. A covered utility or a participating home heating supplier may request an eligible customer who has requested a program audit to submit infor­mation in the form of a questionnaire provided such questionnaire is not a precondition of a program audit and the questionnaire is approved by the state. Such information may be ob-

'..)tained by mail or telephone. k. Class B audits. A covered utility or a participating home heating supplier may offer Class

B audits in conjunction with the RCS program provided that: (1) Class B energy audits address all energy conserving practices and all program measures; (2) Class B energy audits explain the energy conserving practices, emphasize the importance

of these practices, and recommend that they be performed before installation of any measure; (3) Class B energy audits meet the requirements for program audits contained elsewhere in

this plan and contain procedures to assure the validity of the audit as provided for elsewhere in this plan with respect to program audits. However, all references to measurements and inspec­tions by the auditor shall be treated as references to measurements and inspections by the customer;

(4) The Class B audit provides to the eligible customer the same information required as part of a program audit described elsewhere in this plan;

\..,) (5) The Class B audit provides to the eligible customer the additional information required as part of a program audit described elsewhere in this plan;

(6) The Class B audit offers the lists of contractors, suppliers and lenders developed pur­suant to the plan;

(7) The Class B audit contains the same prohibitions required elsewhere in this plan, except that references to the program audit shall be deemed to refer to the Class B audit and references to the auditor shall refer to the entity providing the Class B audit; and

(8) The utility or participating home heating supplier providing the Class B audit attempts to contact the eligible customer by telephone or otherwise, if the information sent by such customer is incomplete or internally inconsistent in order to attempt to correct or make com­plete the information.

\..,.) 250-27 .8(476) Program auditors, Installers and inspectors. 27 .8(1) Qualification of auditors. Each person who performs a program audit pursuant

to this plan shall: a. Be qualified according to the applicable procedures in 27.8(2) (minimum auditor

qualification requirements) of the state plan. b. Be under contract or subcontract to, be an employee of, or be an employee of a contrac­

tor or subcontractor to, a covered utility or participating home heating supplier. 27 .8(2) Minimum auditor qualification reqiurements. In order to be a qualified program

auditor under this plan, an individual shall meet the following requirements: a. Complete a state-approved training course that provides the following: (1) General understanding of the three types of heat transfer and the effects of temperature

and humidity on heat transfer. (2) General understanding of residential construction terminology and components.

~ (3) General knowledge of the operation of the heating and cooling systems used in the residential building.

Ch27,p.17 Commerce[250] lAC 11/26/80

(4) General knowledge of the different types of each applicable program measure; of the ~ advantages, disadvantages, and applications of each; and of any installation standards pre­scribed for the RCS program.

(5) Capacity to conduct the audit according to the procedures described in rule 27. 7(476) (program audits) including: Familiarity with energy conserving practices prescribed in the state plan; capability of determining applicable program measures, and proficiency in audit procedures for each applicable program measure.

(6) Where a furnace efficiency modification is an applicable program measure, and the source of fuel for the existing furnace or boiler is either gas or oil, a working ability to calculate the steady state efficiency of the furnace or boiler as required by 27.7(2).,d"(4) (cost estimate).

(7) Where a renewable resource measure, other than wind energy devices, is an applicable program measure, an understanding of the nature of solar energy and its residential applica-tions, including: Insolation, shading, heat capture and transport, heat transfer for hot water. ~

(8) Where a wind energy device is an applicable program measure, an understanding of the nature of wind energy and its residential applications, including: Wind availability, effects of obstructions, wind capture, power generation, interfaces with residential and utility power lines.

b. Successfully demonstrate his/her qualifications in appropriate written or practical ex­aminations to be administered by the training organization selected by each covered utility and participating home heating supplier and approved by the state.

Upon successful completion of the training and examination requirements, the candidate shall be provided with a certificate of qualification by the state which shall be valid for two years.

The state shall approve or conduct the training and testing programs for auditors and in­spectors. Covered utilities and participating home heating suppliers shall submit proposed \._,) programs within thirty days after adoption of the state plan. The state shall review and ap-prove or disapprove the proposed program within thirty days after submission. If the program is disapproved, the utilities and participating home heating suppliers will have thirty days within which to amend and resubmit the proposed program.

The state shall, upon adoption of the state plan, place a notice in newspapers of general cir­culation outlining the state's qualification procedures and application procedures.

The state shall regularly publish announcements regarding the state training courses and ex­aminations. The state shall publish a schedule within forty-five days of plan adoption.

Auditor training and testing program shall be initiated sixty days prior to the issuance of the program announcement and the first offer of an unconditional audit.

27 .8(3) Recertification. Individuals who desire recertification must submit their applica­tion to the state no later than sixty days prior to the expiration date of their current certificate. Such application shall detail the applicant's professional experience as an energy auditor or in- ~..,.,/ spector for, at a minimum, the preceding two-year period. Upon review of the application by the state, the applicant shall be notified as to the time, date and place of the written or prac-tical examinations necessary for recertification.

27 .8(4) Qualifications of inspectors and installers. a. Individuals who perform quality control inspections under the I-SAVE program shall be

energy auditors certified according to 27.8(5).,a'', .,b,, .,c,, and .,d", (assuring individual qualifications) and shall be knowledgeable of all state and federal installation and material standards applicable to the program measures installed.

b. Individuals who install program measures shall be knowledgeable of all applicable state and federal installation and materials standards.

c. Qualifications of installers of vent dampers and liD's. (Reserved) 27 .8(5) Assuring individual qualifications. The state shall approve or conduct: a. Training designed to instruct the auditors and inspectors in the proper performance of \..,.,)

their function(s).

lAC 11126/80 Commerce[250] Ch 27, p.18

~ b. Test designed to assess and certify the individuals' qualifications to perform their func­tions. Such tests may include either written or practical tests as determined necessary to meet the requirements of this section.

c. The state may certify utility auditors without additional training or testing if the utility's existing training procedure adequately satisfies the requirements of this section.

d. The state may certify the content of energy auditor training course provided by private industry as meeting the requirement for training auditors.

17 .8(6) Additional requirements with respect to qualifying procedures. In order to par­ticipate in a state training program or testing procedure, a candidate shall be required to register at least two weeks prior to the offering of a class or test. Late registrants will be ac­cepted into the class subject to space availability.

a. Covered utilities, given their role as program manager, shall have priority for admission , to the training sessions. A specified number of seats will, however, be made available to the

'-.,./ general public on a non-discriminatory basis. Selection of applicants will be on a first come, first served basis.

b. Each covered utility and participating home heating supplier shall provide a schedule of training programs and testing to the state for approval forty-five days after plan adoption, demonstrating that there will be a sufficient number of trained auditors for initiation and completion of the I-SAVE program.

17 .8(7) Reciprocity of auditors. Auditors certified in states with a DOE-approved state plan may be authorized to conduct program audits in Iowa provided the auditor has a cer­tificate from the auditor's home state. Such a certificate shall be issued if the candidate suc­cessfully demonstrates his/her qualifications in appropriate written or practical examinations administered by the state.

150-17 .9(476) Listing requirements. \..,I 27 .9(1) Responsibility for listing. The Iowa State commerce commission is the listing

agency and shall be responsible for the preparation of maintenance of the master record. Utilities, home heating suppliers and other state agencies shall be used for obtaining informa­tion used to prepare complete lists. No person who serves as a supplier, contractor or lender shall be assigned duties incident to the compilation of the master records.

a. Public notice. The listing agency shall use the following methods of public notice to pro­vide interested suppliers, contractors and lenders the opportunity to apply for inclusion in the master record.

(1) Publication in newspapers of general circulation in the state; and (2) Direct notification of appropriate trade organizations with a request for active par­

ticipation in distributing information and application forms. b. Criteria for inclusion. The listing agency assures that all persons who agree to comply

· .,...,._/ with the following requirements (unless the governor (or his designee) determines that such person's agreement is not adequate assurance of compliance with the requirement section) and only such persons are included in the initial master record, and thereafter in the existing master record within a reasonable time after applying for inclusion.

All installation contractors included in the master record shall: (1) Comply with any materials and installation standards as contained in 10 CFR 456, sub­

parts .. g ", "h ", and "i", and any applicable federal, state or local standards pertaining to the program measure installed;

(2) Install only measures which carries the measure warranties described in 27.2(18)"a", "b", and "c". (No measures warranty is necessary for caulking and weatherstripping);

(3) Furnish the customer with a written contract detailing the job to be performed and its cost and certifying that any applicable requirements for installation and material standards will be complied with;

'\,./ (4) Assure that all individuals who are employed or otherwise retained by the contractor to install flue opening modifications, electrical or mechanical ignition systems, or wind energy devices have been qualified pursuant to subrule 27 .8(4) (qualifications of inspectors and in­stallers);

Ch 27, p.19 Commerce[250) lAC 11/26/80

(5) Include in every contract a guarantee that the contractor will correct any violation of\../ any installation standard without cost to the customer;

(6) Provide public liability and property damage coverage. The applicant must provide proof of such coverage which includes at a minimum:

Bodily injury-$100,000 per person $300,000 per occurrence

Property damage-$1 00,000 per occurrence (7) Include in every contract for installation of a flue opening modification, electrical or

mechanical ignition devices, or wind energy devices a guarantee to correct any violation of the standards in CFR 456 subparts G-1 without cost to the customer, as soon as possible after notification of any such violation by an inspector.

(8) Comply with all applicable federal, state and local laws and regulations; (9) Agree to participate in good faith in the conciliation proceedings when there is a com- \

1 plaint by an eligible customer against such person; and ..__., ( 1 0) Notify the covered utility which arranged the installation when the job is complete. c. All suppliers included in the master record shall: (1) Supply program measures that carry the measures warranty as defined in 27.2(18Y"a,

and "'b,. (2) Supply program measures that are labeled as complying with DOE standards; (3) Comply with all applicable federal, state and local laws and regulations; (4) Have a method for informing customers of those products supplied that are program

measures and that have a measures warranty (except for caulking and weatherstripping) and that meet any applicable RCS standards; and

(5) Agree to participate in good faith in the conciliation proceedings when there is a com­plaint by an eligible customer against such person.

d. All lenders included in the master record shall: l 1 (1) Not take security in real property that is used as a principal residence of the eligible ...._.,

customer, unless the eligible customer acknowledges in writing that he or she is aware of the consequences of default on the loan;

(2) Permit a rebate of unearned finance charges if an eligible customer prepays a loan (either voluntarily or as a result of default). Where prepayment is the result of default, the rebate shall be computed from the day of acceleration;

(3) Comply with all applicable federal, state and local laws and regulations; and (4) Agree to participate in good faith in the conciliation proceedings when there is a com­

plaint by an eligible customer against such person. e. Criteria for removal from master record of suppliers, contractors and lenders. The listing agency shall ensure that all persons in the master record who fail to comply with

the requirements for inclusion are removed from the master record. Removal procedures shall ensurethat: ~

(1) Each person proposed for such removal shall have: 1. Written notice of the proposed removal and the grounds for such removal at least thirty

days before the actual removal; 2. Thirty days to respond in writing to the allegations; and 3. With respect to installers, access to the records of the listing agency regarding the inspec­

tions of the work of such installer. (2) Each person removed from the master record shall have an opportunity to file a com­

plaint through and participate in redress proceedings and civil action for the purpose of con­testing such removal.

(3) Any person(s) included on the master record may be removed for the following reasons: 1. Any supplier, contractor or lender accepted for inclusion on the master record may be

removed for violations of any provision cited in 27 .9(1) ..,.b, (criteria for inclusion); 2. A customer complaint through the conciliation process may lead to removal from the '~...,.,/

master record. The supplier, contractor or lender shall have thirty days to correct the violation as determined at the end of the conciliation process. If the violation is not corrected during the thirty-day period, delisting shall be automatic;

lAC 11/26/80 Commerce[250] Ch27, p.20

\,.,/ 3. A post-installation inspection which reveals a violation may lead to removal from the master record. The contractor shall have thirty days after written notification to correct the violation the inspector reports. If no response is made during the thirty days, delisting shall be automatic; and

4. Any violation which results in a hazard to health shall be corrected within three days of notification to the contractor. If no correction is made in that time period, delisting shall be automatic.

f. Criteria for reinstatement on master record of suppliers, contractors and lenders. Any person(s) removed from the master record shall have the opportunity to be reinstated, if the following conditions are fulfilled:

(1) Violation(s) leading to removal from the master record satisfactorily corrected; and (2) All conditions of the conciliation process and the decision reached through that process

have been met. ~ 17 .9(1) Contents of lists. The master record and lists produced from that record shall con­

tain the following information in a fair, open and nondiscriminatory manner: a. The name and address of each supplier, contractor and lender; b. An indication of which program measures each supplier, contractor or lender will sup­

ply, install or finance. The inclusion of brand names will not be permitted. If lists include in­formation regarding types of program measures for one type of a program measure, then it shall include such information for all types of such measures;

c. A statement that the persons listed have agreed to comply with any applicable DOE stan­dards and state plan procedures for the sale, installation or financing of program measures;

d. A description of the circumstance under which such standards shall be met and such pro­cedures shall be followed.

e. A description of the complaint processing procedures, including an explanation of who ~ may have access to such procedures and how to gain access to such procedures;

f. An invitation to all suppliers, contractors and lenders not included on the lists to apply for inclusion; and

g. A notation informing eligible customers that financial assistance under the Solar Energy and Energy Conservation Bank Act may be available from listed lenders.

17 .9(3) Distribution of lists. The state plan requires that every covered utility and par­ticipating home heating supplier provide, upon request to every eligible customer, lists of all suppliers, contractors and lenders included in the master record who sell, install or finance program measures in their service area or such other reasonable area approved by the ISCC.

27 .9(4) Procedures for updating lists. The updating of the master record shall be the responsibility of the Iowa state commerce commission. Utilities and home heating suppliers shall provide such information as necessary concerning their respective service areas. Addi­tions and deletions to the master record shall be issued by the ISCC to the covered utilities

\.,.) every thirty days with new lists to be published every six months.

\_,I

50-27 .10( 476) Arranging installation. 27 .10(1) Each covered utility will arrange installation of any program measure upon re­

quest by any eligible customer. 27 .10(2) These arrangement services will be as follows: a. Distribute lists of contractors and suppliers from the master record to all customers re­

questing it; b. Assist the customer in obtaining answers to questions regarding installation; c. Advise low income, elderly, and handicapped customers of existing special programs

available to meet their needs in the area of installation of program measures; d. Upon request provide materials and program measures specifications sheet for those

recommended program measures as determined by the auditor. The specification sheet will serve as a bid specification stating the exact need and the applicable standards to facilitate comparative bids; and

Ch 27, p.21 Commerce[250) lAC 11/26/80

e. Offer to obtain bids from listed contractors. The eligible customer wiii select three listed ~ contractors, and the covered utility or participating home heating supplier will solicit bids from those contractors.

27 .10(3) A covered utility will provide such arrangement service within thirty days from receipt of a request for such service.

27.10(4) A covered utility or participating home energy supplier, when arranging installa­tion of program measures, shall not recommend, select or provide information regarding any supplier or contractor if such recommendation, selection or information would unfairly discriminate among suppliers and contractors of program measures. Covered utilities that supply or install program measures may so inform the customers.

27.10(5) A covered utility or participating home heating supplier, when arranging in­stallation of program measures, is prohibited from discriminating unfairly among eligible customers, among suppliers, among contractors or among suggested measures. l 1

27.10(6) A covered utility or participating home heating supplier shall not arrange installa- ....__., tion with any person not on the master record.

27.10(7) A covered utility or participating home heating supplier shall not arrange, in con­junction with the I-SAVE program, the installation of any measure that is not a program measure.

250---27 .11(476) Arranging financing. 27 .11(1) A covered utility or participating home energy supplier wiii arrange financing for

the supply or installation of any applicable program measure upon request by any eligible customer.

27.11(2) These arrangement services will be as follows: a. Distribute lists oflenders from the master record to all eligible customers requesting it; b. Upon request assist the eligible customer in obtaining answers to his questions regarding

financing; c. Advise low income, elderly and handicapped eligible customers of existing special pro­

grams available to meet their needs in the area of financing of program measures; and d. Provide common credit application form and assist in preparation of said form when re­

quested. (see appendix*) 27.11(3) A covered utility or participating home heating supplier will provide such ar­

rangement service thirty days from receipt of a request for such service. 27.11(4) A covered utility or participating home heating supplier when arranging financ­

ing for the purchase or installation of program measures, will not recommend, select or pro­vide information regarding any lender if such recommendation, selection or information would unfairly discriminate among those that finance the purchase or installation of program measures. Covered utilities and participating home heating suppliers that finance program measures may so inform the customers.

27 .11(5) A covered utility or participating home heating supplier when arranging financ­ing of program measures, is prohibited from discriminating unfairly among eligible customers, among suppliers, among contractors or among program measures.

27.11(6) A covered utility or participating home heating supplier shall not arrange financ­ing for supply or installation of program measures with any lenders not in the master record.

27 .11(7) A covered utility or participating home heating supplier shall not arrange financ­ing, in conjunction with the I-SAVE plan for the supply or installation of any measure that is not a program measure.

250---27 .12(476) Post-installation inspection. 27.12(1) Assignment of responsibility. The ISCC, as lead agency, will monitor the

performance of post-installation inspections. The utility that performs the energy audit has primary responsibility for ensuring that post-installation inspection requirements are met. The utility shall conduct the post-installation inspections, directly or through subcontracts, or shall

• Available at the Commerce Commission office and Administrative Rules coordinator.

\..I

'..,.)

v

lAC 11/26/80 Commerce[250] Ch27, p.22

~ assure that they are conducted. In this regard, the utilities must utilize I-SAVE certified in­spectors. These inspectors may be utility employees, independent inspectors under contract, or governmental building code inspectors.

27.12(2) Presentation of post-installation results/mandatory and random inspections. a. A certificate of inspection will be sent to: (1) The customer, within ten working days of the inspection; (2) The installer, within ten days of the inspection; (3) The lead agency, within ten working days of the inspection; and (4) The covered utility or participating home heating supplier, within ten working days of

the inspection. b. A "certificate of inspection" will be filled out by the inspector indicating all required in­

formation. A standard certificate shall be developed by the entity responsible for administer­ing the post-installation inspection.

\...,) c. Any violations will be immediately reported to those entities designated in 27 .12(2) ua"(l), (2), (3), and (4).

d. The certificate of inspection will certify that the inspected measures conform to ap­plicable department of energy RCS material standards and installation standards. However, the certificate of inspection does not address nor ensure against consequences of the use of materials or their installation. Such consequences remain the responsibility of the manufac­turer or installer.

27 .12(3) Mandatory inspections. All flue opening modifications, electrical or mechanical ignition systems and wind energy devices arranged by the utility and installed by a RCS listed installer will be subject to a mandatory post-installation inspection to determine compliance with applicable installation standards. At a minimum, each installation will be inspected:

a. Within seven working days of receipt of verification of completion; and b. By a qualified inspector who meets the applicable qualifications and has no financial in­

"--1 terest in the installer of the measure unless such installer is a covered utility. 27.12(4) Random inspections. a. Within a reasonable time after receipt of written verification of completion, random in­

spections of program measures with installation standards which are arranged by the utility and installed by I-SAVE listed installers shall be conducted on:

(1) Four of the first ten installations by each installer of ceiling insulation, floor insulation, wall insulation and active solar water heating.

(2) Ten percent of all remaining installations by each installer of the above measures. The initial four inspections will be counted toward this ten percent as will inspections resulting from consumer complaints.

(3) Every installer with whom the utility arranges installation over the life of the program. Each utility will determine whether all listed installers have been inspected at least once. Each

\...,) utility will verify inspections on an annual basis. (4) Inspections conducted (if applicable) as a follow-up to consumer complaints will bear­

ranged by the customer complaints office and the inspector. The inspector will forward a copy of the inspection certificate to those entities listed in 27 .12(2) ua"(l), (2), (3) and (4).

b. At a minimum, the inspection will be conducted by a qualified inspector who will in­vestigate whether the installation was done in accordance with department of energy RCS materials and installation standards. The inspector shall have no financial interest in the con­tractor who installed the measures.

250-27 .13(476) Consumer grievance procedures. 27 .13(1) Conciliation conference. a. A conciliation conference shall be available for the purpose of resolving complaints by

eligible customers against persons who sell, install or finance the sale or installation of pro­\._) gram measures covered by this plan and shall also be available to address all other questions

and complaints resulting from the operation of the plan.

Ch27, p.23 Commerce[250) lAC 11/26/80

b. Conciliation conference procedures are available to all eligible customers and shall en-\..._) sure that:

(I) Participation is free of cost and easily accessible to the eligible customer making the complaints:

(2) Participation by the eligible customer is voluntary; and (3) Conciliation conference will be conducted by an impartial conciliator designated by the

Iowa state commerce commission. 27 .13(2) Conciliation conference process. a. Any eligible customer having a complaint against persons that sell, install or finance pro­

gram measures may contact the Iowa state commerce commission. A toll free number to the ISCC will be provided for this purpose.

b. Upon receipt of the complaint, the conciliator will have the authority to: (1) Arrange the conciliation conference; and (2) If deemed necessary at any time during the conciliation conference process, require the '...1

(covered utility or participating home heating supplier) to conduct a post-installation inspec-tion of the job in question.

c. The conciliator will determine the method of conducting the conciliation conference. Ac-ceptable methods include:

(1) In person; and (2) Telephone. d. Should a mutually acceptable resolution of the complaint not be reached through the

conciliation conference, the parties shall have access to the redress procedure as described in sub rule 27 .13(3) (redress procedure).

e. If a violation of materials or installation standards is confirmed through a post­installation inspection, 27.9(1)ueu (criteria for removal) shall apply.

27 .13(3) Redress procedures. "...._,) a. A redress proceeding shall be available to all persons alleging injury arising from an ac-

tivity carried out under the I-SAVE program. (I) The party alleging harm or injury shall be responsible for initiating a claim in: Small claims court, if the amount in controversy does not exceed $1,000.00 (chapter 602,

The Code); District court, if the amount in controversy exceeds $1 ,000.00 (chapter 602, The Code). (2) This procedure satisfies the criteria set out in 10 CFR 456.315. (3) Arbitration. Upon customer request, the complaint may be referred to the better

business bureau for resolution by arbitration. b. Reserved. 27.13(4) Civilaction. a. The party alleging harm or injury shall be responsible for initiating action in: l J

(1) Small claims court, if the amount in controversy does not exceed $1,000.00 (chapter ~ 602, The Code);

(2) District court, if the amount in controversy exceeds $1,000.00 (chapter 602, The Code). b. Reserved.

250-27.14(476) CustomerbUllng, repayment of loans, and termination of service. 27.14(1) When billing a customer for costs associated with I-SAVE program services, each

utility shall: a. Identify the charges and list them separately on the customers utility bill or other

periodic bill. b. Itemize the direct charges, if any, to a customer for the program audit, arrangement of

services or post installation inspection. c. Allow the customer to include all I-SAVE related costs in the payment for utility or fuel

service. All payments received shall first be charges to pay for the purchase of utility or fuel '\.,) service and only the excess shall be credited to charges for other costs or repayments, unless the customer requests an alternative distribution of payments.

lAC 11/26/80 Commerce[250] Ch27, p.24

......_; 27.14(2) In the case of any loan made by a covered utility or participating home heating supplier in the I-SAVE program, the covered utility or participating home heating supplier shall permit the eligible customer to include repayment of that loan in the payment of his periodic utility or fuel bill for a period of not less than three years, unless the customer chooses a shorter repayment period. A covered utility or participating home heating supplier shall not be required to provide for monthly payments ofless than five dollars.

In the case of any loan arranged by a public utility pursuant to 10 CFR 456.309, the utility, at the request of the lender, shall permit repayment of the loan as part of the periodic utility bill. The utility may recover from the lender the cost incurred by the utility in carrying out such manner of repayment.

27.14(3) A listed lending institution may require a lump sum payment of outstanding prin­cipal and interest upon default by the eligible customer.

27.14(4) No penalty shall be imposed by the lender for payment of all or any portion of '-.,.,) the outstanding loan amount prior to the date such payment would otherwise be due.

27.14(5) No covered utility or participating home heating supplier shall terminate or otherwise restrict utility or fuel service to any customer for any default by such customer for payments due for any services under the I-SAVE program.

250-27.15(476) Accounting. 27.15(1) General procedures. All costs and revenues directly attributable to the I-SAVE

program as implemented by the Iowa state commerce commission shall be accounted for on the books and records of a covered utility separately from all amounts attributable to activities other than the I-SA VB program. The utilities may account for other conservation efforts (i.e., efforts outside those specified in the I-SAVE program) separately but must, at a minimum, re­tain the ability to segregate the costs and revenues specifically attributable to the I-SAVE pro­gram.

27 .15(2) Uniform system of accounts. a. Covered utilities subject to the jurisdiction of the Federal Energy Regulatory Commis­

sion (FERC) shall utilize the uniform system of accounts as prescribed in Title 18, CFR Parts 101, 104,201 and204.

b. Covered rural electric cooperatives shall utilize the uniform system of accounts as prescribed by the rural electrification administration (REA) in Title 7, CFR Part 1701, Appen­dixA.

c. Other covered or participating utilities shall adopt accounts within their existing account­ing system with the attributes of the appropriate accounts prescribed herein.

27 .15(3) Program expenses. a. All amounts expended by a covered utility for the I-SAVE conservation program shall be

charged to the accounts specifically identified for such use by FERC or REA. If no such ac­count is so specified, the applicable expenses shall be charged to unique subaccounts within account 908, customer assistance expenses, or its successor.

b. Appropriate records shall be maintained under this account to permit ready identifica­tion of costs that are required to support the reporting requirements specified in rule 27 .16(476) (reporting). This will, at a minimum, allow ready identification of costs at­tributable to:

(1) Program information; and (2) Program audits (by type). c. Treatment of costs: (1) All amounts expended by a covered utility for the program announcement and all public

education and program promotion directly related to providing information about a utility's program shall be treated as a current operating expense of the utility chargeable to all ratepayers.

(2) All amounts expended by a covered utility for labor and materials in connection with the purchase or installation of any energy conservation or renewable resource measure shall be charged to the consumer for whom the work is performed. However, where such investments

Ch 27, p.25 Commerce[250] lAC 11126/80

can be shown to be cost beneficial to the utility alternative cost recovery methods may be adopted.

(3) All amounts expended by a covered utility to perform administrative and general duties directly related to the conservation program including those associated with program audits, list distribution, customer billing services and arranging services shall, consistent with section 215 ofNECPA as amended be treated as a current operating expense of the utility. These ad­ministrative costs may include any costs the utility incurs if it conducts post-installation in­spections required by rule 27 .12(476) (post-installation inspection) and conciliation con­ferences required by rule 27 .13( 476) (consumer grievance procedures); and

(4) All amounts expended by a utility to perform project manager duties directly related to the I-SAVE conservation program shall be treated as current operating expenses of the utility consistent with section 215 ofNECPA as amended.

27.15(4) Program revenues. a. All revenues or billed income, received by a covered utility, attributable to the I-SAVE

conservation program shall be charged to the accounts specifically identified by FERC or REA. If no such account is so specified, the applicable revenues shall be charged to unique subaccounts within account 456, other electric revenue (for electric utilities) or account 495, other gas revenues (for gas utilities) or their successors.

b. The revenues so collected shall support the reporting requirements specified in rule 27.16(476) (reporting). This will, at a minimum, allow ready identification of revenueS resulting from program audits and.the direct sale or installation of any energy conservation or renewable resource measure covered by this program.

250-27 .16(476) Reporting. 27.16(1) General reporting guidelines. The purpose of the reporting guidelines is to ensure

that sufficient information is collected and submitted to the Iowa state commerce commission to permit a full analysis of the conservation program. There shall be two separate reports, each filed annually. One report shall define the utility's conservation plan and include goals an4 targets for the various program efforts, defined in measurable terms for all noneduca­tional conservation activities. The second report shall define the results of the conservation program. The ISCC may require interim reporting on a quarterly basis.

27.16(2) Conservation program plan report. a. Each utility shall submit a conservation program plan annually. The date by which the

initial plan js to be submitted will be specified by the commission. The plan shall normally cover a calendar year.

b. Each utility shall identify the overall energy savings goals that are anticipated from the conservation program for the following year and over a five-year time frame.

c. The utility shall describe its plan to achieve these savings with the program activities described individually (where program activities are the different conservation efforts that compose the total program). Each program activity description shall include:

(1) Discussion of what the activity is, what residential end use it addresses, and what prac­tices, measures or techniques it promotes;

(2) Identification of the energy savings anticipated (if applicable) from noneducational con­servation activities.

(3) Discussion of the effect on peak demand and load shape. (4) Estimated penetration of the measure, practice or technique as a result of this effort (if

applicable); and (5) Estimated cost to the utility of implementing this effort. d. Discussion of the program activities shall include, but not be limited to, the promotion

of the specific program measures specified in the I-SAVE program. e. The Iowa state commerce commission is responsible for approving the utility I-SAVE

program. If a program is not approved, the Iowa state commerce commission will specifically identify those areas that are deficient.

\,.,)

'..)

\....,)

~

\..,)

lAC 11/26/80 Commerce[250] Ch27, p.26

\.._,} f. To the extent that a utility considers that these reporting guidelines cause an unreasonable hardship or expense, that utility may petition the Iowa state commerce commis­sion for approval of an alternative method with which it can reasonably comply. The specific information to be supplied under an alternative method should be identified. As much infor-mation as possible should be provided. ·

17 .16(3) Data collection and analysis. a. Data collection. In order to ensure a consistent reporting format, the commerce commis­

sion shall determine an appropriate method for identifying representative sample size for each utility from the total number of customers utilizing a particular conservation activity. The commission shall provide a standardized form for use by the utility in recording responses from customers in the sample group.

Each utility shall collect data relating to the effectiveness of their noneducational program activities. This data will identify the following:

'..._) (1) Identification of those customers in the sample size who installed or implemented a specific program measure, technique or practice promoted by the activity;

(2) Identification of the fuel used for spaceheating and the type of heating/cooling plant in the residence;

(3) The amount of fuel purchased (electricity and natural gas) each month for a twelve­month period before and after the audit; and

(4) The monthly post audit energy savings in BTUs. b. Data analysis. The utility shall submit the data outlined in 27.16(3)"a, (data collection)

as part of its conservation program results report to the commission. The commission shall utilize the data to determine for each utility:

(1) The relationship between the level of retrofit (number of measures, practices or tech­niques installed or implemented) and energy savings.

\.-1 (2) The relative effectiveness of specific conservation measures, practices or techniques and energy savings.

(3) The penetration (utilization) of practices, measures or techniques. ( 4) An estimate of the total savings resulting from the program activity. 17.16(4) Conservation program results report. a. Each utility shall submit annually a report documenting the results of its noneducational

conservation program activities for the previous year. Educational activities shall be included in the report but may be identified and described with respect to market penetration and over­all effectiveness only. This report shall be submitted annually on the date specified by the commission. The results report should cover the same time period that the program plan report covers and shall be considered a report on the achievements of the plan.

b. Each results report shall contain, at a minimum the following: (1) The data generated in 27.16(3)"a" (data collection) for each noneducational conserva­

\._,1 tion program activity; (2) Description of the utility's educational program activities, and a discussion of the over­

all effectiveness of each; (3) Identification of the cost to the utility to provide the program and each program activ­

ity; and (4) Identification of the costs incurred by the utility to provide a service under this program

that are passed on to the specific consumers requesting that service and the revenues resulting from those charges.

For those instances in which the utility is not the provider of the energy used for space con­ditioning or water heating and the provider of that energy has not supplied the utility with sav­ings estimates, the utility may, for those program activities pertaining to the reduction of space conditioning or water heating energy use, supply estimates of the numbers of residences effected in lieu of the actual savings estimates.

~ c. In a separate section, each utility shall identify the following, even if the topic has been discussed elsewhere in the report:

(1) A discussion of the degree to which the utility is engaged in supplying, installing, or

_ Ch27, p.27 Commerce[250] lAC 11126/80

financing energy conservation or renewable resource measures pursuant to subrule 27 .4(3) (ex­ceptions for existing supply, installation and financing) or which are engaged in supplying, or installing, of renewable resource measures pursuant to a waiver granted under rule 27 .4(476) (waivers), or which are petitioning for such a waiver. A brief description with respect to the nature of the exempted activity in which it is engaged should be included.

(2) The approximate number of eligible customers and, if available, the percentage of those customers for whom the utility is the primary heating fuel supplier.

(3) A copy of the program announcement distributed to eligible customers. (4) The number of eligible customers who have requested each service and the number of

requests the utility has fulfilled, including the number of program audits performed; the number of installations arranged by the utility; the number of loans arranged by the utility, the number of customers, if any, who are using the utility's billing service of repayment of

· loans; the number of installations, if any, of program measures which the utility supplied, installed, or financed.

(5) The number and function of people assigned to the utility's program, including part­time employees.

(6) The costs incurred by the utility or home heating supplier in providing each service under the residential conservation service program including separately those costs paid by in­dividual customers for services received and those costs paid by all ratepayers.

(7) The number and results of post-installation inspections conducted according to rule 27 .12(476) (post-installation inspection).

(8) Identification of problems in finding or training qualified auditors and potential reso­lutions to those problems.

d. The Iowa state commerce commission, in its role as the lead agency, shall be responsible for collecting the following information:

(1) The conservation program characteristics for each utility as described in 27.16(3) (data collection and analysis). The analysis of these program characteristics will be provided to the utilities in written form.

(2) A brief description of the status of activities carried out pursuant to subrule 27 .8(1) (qualification procedures for auditors, installers and inspectors) including whether sufficient, qualified personnel are available for program needs, the reasons for any shortages and the proposed resolution of any such shortage problem on a statewide basis.

(3) The number and nature of complaints by eligible customers against suppliers, con­tractors and lenders which have been handled through the conciliation conference established under subrule 27.13(2) (conciliation conference procedures).

(4) The number of persons seeking redress through the procedures described in subrule 27 .13(3) (redress procedures) and the nature of their allegations.

(5) The number of persons added to or removed from the master record established accord­ing to rule 27.9(476) Oisting) and the reasons for removal of persons.

(6) The number and function of state employees assigned to the residential conservation service program, including part-time employees.

(7) The cost to the state of developing and implementing the state plan. (8) A citation to and brief description of any state or local law or regulation relevant to the

state plan and the status of any proposed state or local legislation or regulation relevant to the state plan.

Further, the commission is responsible for filing of any DOE required reports in accordance with the requirements of rule 456.318(a) of the DOE regulations.

e. The Iowa state commerce commission may require interim reporting of program results on a quarterly or semiannual basis. These interim reports are intended to identify the level of activity in each program area and to highlight specific problem areas and are not to be con­sidered a complete reporting of results.

f. To the extent that a utility considers that these reporting guidelines cause an unreason­able hardship or expense, that utility may petition the Iowa state commerce commission for approval of an alternative method that accomplishes similar purposes, subject to the approval of the assistant secretary.

lAC 11/26/80 Commerce[250] Ch 27, p.28

150-17.17(476) Recordkeeplng. 17.17(1) Responsibility. Each utility shall be responsible for maintaining records sufficienC

to support the reporting requirements identified above or as otherwise approved by the Iowa state commerce commission. These records shall be made available to the assistant secretary upon request.

17.17(1) Other specific requirements. Further, the following records shall be maintained for the periods indicated. These records shall be made available to the Iowa state commerce commission or other designated personnel upon request:

a. The name and address of each eligible customer who receives a program audit, which shall be kept for five years from the date of such program audit.

b. A copy of the data collected during the audit, and a copy of the estimates of costs and savings presented to the customer, which shall be kept for five years from the date of such pro­gram audit.

c. A copy of all requests furnished by eligible customers for furnace audits pursuant to rule 27.7(2)"g" (furnace audits) which shall be kept for five years from the date of such request.

d. The name and address of each eligible customer for whom a utility arranged installation or financing of a program measure, which shall be kept for five years from the date of such arrangements.

e. The amount and cost of fuel purchased each month or other billing period for the twelve months prior to and the twelve months following each program audit for each eligible customer, which shall be kept two years from the date of such program audit.

f. The names of the individuals who have met the qualification criteria described in sub­rules 27.8(1) and 27.8(4) (qualification procedures for auditors, installers and inspectors). These records shall be:

(1) Updated within a reasonable period of time following each qualification process; and (2) Maintained separately for installers and inspectors of flue opening modifications, elec­

trical or mechanical ignition devices and wind energy devices. 17.17(3) Alternative recordkeeping guidelines. To the extent that a utility considers these

recordkeeping requirements cause an unreasonable hardship or expense, that utility may peti­tion the Iowa state commerce commission for approval of an alternative method with which it can reasonably comply. The specific information to be supplied under an alternative method should be identified. As much information as possible should be provided. Any alternative record keeping guidelines are subject to the approval of the assistant secretary.

150-17 .18(476) Co-ordination. 17 .18(1) Lead agency. In order to minimize duplication of statewide energy conservation

services and programs, the Iowa state commerce commission, as designated lead agency for development and implementation of the I-SAVE program will co-ordinate with the following programs:

a. Federal energy extension service. The state agency responsible for implementation of the Energy Extension Service (EES) program and the Iowa state commerce commission will ensure that where necessary, the following components of the EES plan are co-ordinated with the I-SAVE program:

(1) Home audit program; (2) Hot line data bank; and (3) Media spots-public issues. b. State energy conservation program. The following components of the basic SECP will be

co-ordinated with the I-SAVE program: (1) Community betterment projects; (2) Voluntary thermal upgrading of residence; and (3) Comprehensive solar plan. c. Supplemental state energy conservation plan. The following components of the supple­

mental state energy conservation plan will be co-ordinated with the I-SAVE plan: (1) Public education program-all phases; (2) Energy audit program/auditor training; and

Ch27, p.29 Commerce[250] lAC 11126/80

(3) Consumer protection program. d. Weatherization assistance program for low income consumers. The federal weather­

ization assistance program for Iowa is administered by the Iowa office for planning and pro­gramming. The ISCC will co-ordinate with OPP in the area of energy audits, which is a re­quirement under both programs. This co-ordination will ensure that adequate communication is maintained between the programs in order to identify those people who are eligible for weatherization assistance and to minimize the number of duplicate audits.

27.18(2) Energy suppliers. Co-ordination among energy suppliers is encouraged in all phases of the program. Those energy suppliers wishing to co-ordinate I-SAVE and related conservation program elements will submit a plan to the ISCC, detailing the objective, advan­tages and cost justification of joint operation of program responsibilities.

250-27.19(476) Home heating suppliers. 27 .19(1) I-SA VE suppliers. Home heating suppliers are included, by direction of the gov­

ernor, in the I-SAVE program. 27.19(2) Voluntary participation. Home heating suppliers are voluntary participants in the

I-SAVE program and upon completion of an application any home heating supplier may par­ticipate.

27.19(3) Petition for waiver of requirements. Upon application by the home heating sup­plier, the ISCC may waive, for the participating home heating supplier any requirement of the I-SAVE program except:

a. Enforcement and investigation procedures; b. The scope of benefit provisions for the consumer of home heating suppliers; c. The calculations procedures established for program announcements; d. The accuracy of the audit procedures (as outlined in section 317(a)4 of the DOE regula­

tions) for those measures which the home heating supplier addresses in a program audit; e. The qualification requirements for auditors; f. Any provision relating to anticompetitive activities or unfair discrimination provisions;

and g. Reporting and recordkeeping requirements except that accounting of costs may be

waived. 27.19(4) Withdrawal. Any participating home heating supplier who has been voluntarily

participating in the I-SAVE plan may withdraw subject to the following provisions: a. Submit a notice of withdrawal stating the date (current or future) withdrawal is effective; b. State that customers who have requested audits, and who have requested the arranging

services will continue to receive those accrued plan benefits, including conciliation; c. State that customers who have requested audits will be assured of receiving an audit from

a covered utility or another participating home heating supplier; and d. State that notification of withdrawal from I-SAVE will be provided to the home heating

suppliers customers.

250-27.20(476) State measures. Heat pump water heater systems shall be included in the I-SAVE program for all categories of residential buildings and all HUD/MPS regions in the state of Iowa. For purposes of the program announcement, lists, measures warranties and post-installation inspection requirements, heat pump water heater systems will be subject to the same criteria as program measures.

These rules are intended to implement section 476.8, The Code. [Filed 11/7/80, Notice 4/2/80---published 11126/80, effective 12/31180]

v

'..I

~

'..,.)

\.,..;

lAC 10/29/80 Conservation [290] Analysis, p.2

CHAPTER 30 SPEED AND DISTANCE-ZONING

3Q.1(106) Rathbun Lake, Appanoose county-watercraft use

30.2 to 30.5 Reserved 30.6(106) Rathbun Lake, Appanoose

30.7(106)

30.8(106)

30.9(106)

\.,_/ 30.10 30.11 (106)

county-zoned areas Red Rock Lake, Marion

county-zoned areas Coralville Lake, Johnson

county-zoned areas Saylorville Lake, Polk

county-zoned areas Reserved Lake Odessa in Louisa county

30.12 to 30.15 Reserved 30.16(106) Mississippi River lock

and dam safety zone 30.17 to 30.20 Reserved 30.21 (106) Joyce Slough Area 30.22(106) Swan Slough, Comanche,

Iowa 30.23 to 30.25 Reserved 30.26(106) Massey Slough 30.27 to 30.29 Reserved 30.30(106) Black Hawk county waters 30.31(106) Mitchell county waters 30.32 to 30.36 Reserved 30.37(106) Maquoketa river 30.38 to 30.42 Reserved 30.43(106) Zoning of off-channel wa-

ters of the Wapsipinicon river in Pinicon Ridge Park in Linn county

30.44 to 30.47 Reserved 30.48(106) Speed restrictions on Lake

Manawa 30.49 to 30.53 Reserved 30.54(106) Zoning of Little Wall Lake 30.55 to 30.58 Reserved 30.59(106) Lake lcaria, Adams County

30.60(106)

31.1(106) 31.2(106) 31.3(106)

~ 31.4(106)

-watercraft use Zoning of the Des Moines

River

CHAPTER 31 NAVIGATION AIDS

Definitions Waterway markers Authority to place markers Maintenance of waterway markers

31.5 and 31.6 Reserved 31. 7(106) Display of waterway mark-

ers 31.8(106) Specifications for waterwa)

markers 31.9(106) Waterway marking devices 31.10(106) The diver's flag

CHAPTER 32 REPORTING OF BOATING

ACCIDENTS 32.1 (106) Accident report 32.2(106) Procedure 32.3(106) Contents

CHAPTER 33 DOCKS

33.1(111) General 33.2(111) Application-content 33.3(111) Private docks-construction 33.4(111) Commercial and public docks

CHAPTER 34 DOCK MANAGEMENT AREAS

34.1 (Ill) Areas 34.2( Ill) Fee establishment 34.3 (111) Dock sites 34.4(111) Electrical standards 34.5(111) Land use restrictions 34.6(111) Dock permit fees and term 34.7(111) Public access

CHAPTER 35 Reserved

CHAPTER 36 MOTORBOAT NOISE

36.1 (1 06) Definitions 36.2(106) Sound level limitation 36.3(106) Serviceability

CHAPTERS 37 and 38 Reserved

CHAPTER 39 MANUFACTURER'S CERTIFICATE

OF ORIGIN 39.1(106) Defmitions 39.2(106) Applicability 39.3(106) Certificate of origin-content 39.4(106) Procedure-manufacturer 39.5(106) Procedure-dealer 39.6(106) Procedure-purchaser 39. 7( 106) Procedure-county recorder 39.8(106) Certification by commission of-

ficers

Analysis, p.2a Conservation [290] lAC 11126/80

CHAPTERS 40 to 43 Reserved

CHAPTER 44 FISHING SHELTERS

44.1(111) When regulated CHAPTER 45

STATE PARKS AND PRESERVES 45.1(111) Opening time 45.2(111) Reduced ca.mping fees for the

aged, handicapped and blind

CHAPTER 46 STATE PARK AND PRESERVE

WILDLIFE REFUGES 46.1 (109) Established

CHAPTER 47 SPECIAL REGULATIONS PERTAINING TO THE REMOVAL OF PLANT LIFE,

FRUIT. AND MUSHROOMS FROM LANDS UNDER THE JURISDICTION

OF THE COMMISSION 47.1(111) Mushrooms 47.2(111) Fruit

CHAPTER 48 SALE OF NURSERY STOCK

TO THE PUBLIC 48.1(107,111) Purpose 48.2(107, 111) Procedure 48.3(107.111) Nursery stock prices

CHAPTER49 TIMBER BUYERS

49.1 (1 07) Definitions 49.2(107) Applicability of rules 49.3(107) Forms

CHAPTER 50 SNOWMOBILES

50.1 (321 G) Accident report 50.2(321 G) Snowmobile operation 50.3 and 50.4 Reserved 50.5(321G) Registration applied for caro.

and proof of purchase 50.6 to 50.8 Reserved 50.9(321G) Procedure for placement of

validation and expiration , decal CHAPTER 51

Reserved

CHAPTER 52 SNOWMOBILE REGISTRATION

REVENUE COST-SHARING WITH PUBLIC AGENCIES

52.1(107) Purpose and intent 52.2(107) Availability of funds 52.3(107) Guidelines review and selection 52.4(107) Use of cost-shared items 52.5(1 07) Disposal of equipment 52.6(107) Applications for cost-sharing 52. 7(107) Procedures 52.8(1 07) Reimbursements 52.9(107) Recordkeeping

CHAPTERS 53 and 54 Reserved

lAC 11/26/80 Conservation[290] Ch 49, p.1

\,, d. All purchasers shall be required as a part of the plant order, to certify that the plants purchased will not be sold with roots attached.

\...,_)

290-48.3(107 ,111) Nursery stock prices. 48.3(1) Prices shall be set annually by the conservation commission. 48.3(2) Prices shall be established at a level to give maximum encouragement for tree

and shrub establishment consistent with budget constraints and the purposes stated herein. These rules are intended to implement sections 107.20 and 111.2, The Code.

[Filed 6/6/79, Notice 4/4/79-published 6/27/79, effective 8/1179]

190-49.1(107) Definitions.

CHAPTER49 TIMBER BUYERS

49.1(1) ucommission" means state conservation commission. 49.1(2) uDirector" means director of state conservation commission or the state forester

who has been designated to act for the director. 49.1(3) urhe Act" means Acts of the Sixty-eighth General Assembly, 1980 Session,

Chapter 1032. 49.1(4) ucorporate surety bond" means a bond signed by the timber buyer as principal

and a corporate surety authorized to engage in the business of executing surety bonds within Iowa.

49.1(5) ucollateral bond" means a bond signed by the timber buyer as principal and ac­companied by a bank certificate of deposit.

49.1(6) uTimber buyer surety bond'' means a bond signed by the timber buyer as prin­\w,/ cipal, bonding himself or herself to the commission for the performance under the Act.

49.1(7) uProot of ownership" means a timber sale contract; bill of sale or bill of lading showing owners name, address, and phone number, point of origin, and destination.

290--49.1(107) AppHcabUlty of roles. 49.1(1) Duty to file. a. General. On and after January 1, 1981, no person shall engage in the business of timber

buying in the state of Iowa unless the timber buyer shall have on file with the commission a bond and application for bond approval in compliance with these rules.

b. All persons engaged in the business of timber buying on or after January 1, 1981, shall file prior to December 31, 1980, or prior to engaging in business as a timber buyer, a bond complying with these rules and an application for bond approval as specified in rules 49.2(107) and 49 .3(1 07) of this chapter. Should the commission determine that the bond or application, although in substantial compliance, is insufficient to comply with the law, it shall provide notice by certified mail, return receipt requested. The timber buyer will be given twenty days to correct the insufficiency. If not corrected within that time period, or within an additional time period approved by the director, the timber buyer shall be deemed to be in violation of the Act and of these rules. If the commission determines that the bond or application does not substantially comply with the Act or these rules, it shall immediately notify the timber buyer that their filing does not satisfy the statutory requirements for filing a bond or surety and that they may not lawfully engage in the business of timber buying until a bond has been approved by the commission.

c. Date of filing. For purposes of this section, the date of filing shall be the date on which the materials are received by the commission or the date postmarked, if mailed.

Ch49, p.2 Conservation [290] lAC 11/26/80

49.2(2) Filing of required forms. a. Application for Bond Approval, Form SCC49-1. (1) Form SCC49-1 shall be filed as a single copy with the State Forester, State Conservation

Commission, Wallace State Office Building, Des Moines, Iowa 50319. (2) Form SCC49-1 shall be filed prior to buying timber from timber growers in Iowa. (3) Form SCC49-1 shall be filed twelve months after the first filing and after each twelve

month period thereafter during the time the timber buyer is buying timber from timber growers in Iowa.

( 4) The timber buyer shall report the amount of dollars paid to timber growers in one of the following ways; (I) for the timber buyer's most recently completed fiscal or business year, or (2) for the twelve months preceding the filing of the application for bond approval and bond.

(5) The timber buyer may state the total dollars paid for timber as "over $100,000.00" if that be the case, rather than the exact amount.

(6) Forms are available from the commission. b. Corporate Surety Bond, Form SCC49-2. (1) Form SCC49-2 shall be filed as a single copy with the State Forester, State Conservation

Commission, Wallace State Office Building, Des Moines, Iowa 50319, at the same time as the application for bond approval, unless a collateral bond and bank certificate of deposit are submitted.

(2) Form SCC49-2 shall be filed prior to buying timber from timber growers in Iowa. (3) Form SCC49-2 shall be in the amount determined by the timber buyer and reported to

the commission by the timber buyer on Form SCC49-1, Application for Bond Approval. (4) Forms are available from the commission. c. Timber Buyer Surety Bond, Form SCC49-3. (1) Form SCC49-3 shall be filed as a single copy at the same time as the collateral assign­

ment of certificate of deposit, Form SCC49-4, and the bank certificate of deposit, with the State Forester, State Conservation Commission, Wallace State Office Building, Des Moines, Iowa 50319.

(2) Form SCC49-3 shall be filed prior to buying timber from timber growers in Iowa. (3) Forms are available from the commission. d. Collateral Assignment of Certificate of Deposit, Form SCC49-4. (1) Form SCC49-4 shall be filed as a single copy with the State Forester, State Conservation

Commission, Wallace State Office Building, Des Moines, Iowa 50319, unless a surety bond is submitted.

(2) Form SCC49-4 shall be filed prior to buying timber from timber growers in Iowa. (3) Form SCC49-4 shall be accompanied by a bank certificate of deposit in the amount

determined by the timber buyer and reported to the commission by the timber buyer on the Application for Bond Approval, Form SCC49-l, and by Timber Buyer Surety Bond, Form SCC49-3.

(4) Forms are available from the commission. e. Verified Application for Release of Bond and Certificate of Deposit, Form SCC49-5. (I) Form SCC49-5 shall be filed with the State Forester, State Conservation Commission,

Wallace State Office Building, Des Moines, Iowa 50319, by timber buyers who wish the release of their certificate of deposit being held by the commission in lieu of a surety bond because that person wishes to replace it with a surety bond or because that person no longer wishes to stay in the timber buying business in Iowa.

(2) Forms are available from the commission. f. All filings must be on approved commission forms. The terms, conditions, and re­

quirements imposed by the forms are hereby incorporated as a part of these rules and other means of filing will not be considered in compliance with the statutory requirements.

49.2(3) Terms and conditions of bank certificate of deposit and collateral bond. Collateral bonds shall be subject to the following conditions:

\..,!

~

\...I

~

~

lAC 11/26/80 Conservation[290] Ch49, p.3

a. The commission shall obtain possession of and keep in custody all collateral deposited by the timber buyer, until released or replaced.

b. Certificates of deposit shall be assigned to the commission, in writing, and upon the books of the bank issuing such certificates.

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

d. Certificates of deposit shall be automatically renewed unless the director approves release of the funds in writing.

e. The funds shall be made payable upon demand to the director, subject to the provisions of the Act, for the use and benefit of the people of the state and for the use and benefit of a timber grower whose timber has been cut by the timber buyer or the timber buyer's agents, and who has not been paid.

f. The timber buyer may, upon sixty days written notice to the commission, provide a sure­ty bond in lieu of the certificate of deposit and collateral bond.

g. The certificate of deposit and collateral bond will be kept in custody by the commission for one year beyond the date of presentation by the timber buyer of a surety bond in lieu of certificate of deposit and collateral bond or upon written notice to the commission of termina­tion of the business of buying timber in Iowa.

49.2(4) Determination of the bond amount. a. The standard applied by the commission in determining the amount of the bond shall be: (1) The bond shall be in the principal amount of five hundred dollars for a timber buyer

who paid timber growers five thousand dollars or less for timber during the preceding year, and an additional one hundred dollars for each additional one thousand dollars or fraction thereof paid to timber growers for timber purchased during the preceding year, but shall not be more than ten thousand dollars.

(2) In the case of a timber buyer not previously engaged in business as a timber buyer, the amount of the bond shall be based on the estimated dollar amount to be paid by the timber buyer to timber growers for timber purchased during the next succeeding year.

(3) In determining the amount of the bond, the commission shall consider only amounts paid or estimated to be paid, to Iowa timber growers.

b. The timber buyer is responsible for maintaining the proper amount of bond to comply with the Act.

c. Change in bond amount. If the amount of the bond, as determined under this section, has changed from that of the existing bond on file, the timber buyer shall enclose a rider to the bond or an additional certificate of deposit as necessary to increase the amount of bonding to meet the required amount for the new year or may request approval of a substituted bond or certificate of deposit if the amount required for future bonding is reduced.

49.2(5) Release of collateral bond and certificate of deposit. The timber buyer or any person authorized to act on his or her behalf, may file Form

SCC49-5, Verified Application for Release of Bond and Certificate of Deposit with the com­mission for release of the security and the commission will respond as follows:

a. If the timber buyer replaces the certificate of deposit and collateral assignment with a surety bond, the commission will release the certificate of deposit and collateral assignment to the timber buyer or their authorized representative one year after the timber buyer files a sure­ty bond, if no known claims on the collateral bond exist.

b. If the timber buyer no longer wishes to stay in the timber buying business in Iowa, the commission will hold the verified application for twelve months from the date of receipt and after that time release the certificate of deposit and collateral bond to the timber buyer or their authorized representative by certified mail or in person, if no known claims on the collateral bond exist.

c. Should any person be adversely affected by the release of the collateral bond, that person may file a written request with the commission to obtain notice of any application by the

Ch49, p.4 Conservation[290] lAC 11/26/80

timber buyer for release of collateral bond. The request shall give name, mailing address, and \,..,) the reason why that party would be affected.

49.2(6) Use of bond proceeds when the bond is forfeited. If the commission realizes more than the amount of the liability from the security, ~fter deducting expenses including all costs and expenses of the state in forfeiture proceedings and incurred by the state in converting the security into money, the commission shall pay the excess as follows:

a. Certificate of deposit excess will be paid to the timber buyer who furnished the security. b. Surety bond excess will be paid to the corporate surety. 49.2(7) Requests for confidential treatment. If any person filing a document with the

director for use in carrying out the responsibilities under the Act relating to timber buyer bonding claims that some or all the information contained in the document is exempted from disclosure by chapter 68A, The Code, or is otherwise exempt by law from public disclosure, and if he or she requests the director not to disclose this information, the person shall file \...) together with the document a second copy of the document from which has been deleted the information for which confidential treatment is claimed. The person shall conspicuously in­dicate on the face of the original document that it is confidential information and shall file a statement specifying the justification of nondisclosure of the information for which confiden-tial treatment is claimed. If the person filing a document does not submit a second copy of the document with the confidential information deleted, the director may assume that there is no objection to public disclosure of the document in its entirety.

The director retains the right to make his or her own determination with regard to any claim of confidentiality. Notice of the decision by the director to deny a claim, in whole or in part, and an opportunity to respond shall be given to a person claiming confidentiality of in­formation no less than five days if possible prior to its public disclosure, or placement in files open to the public.

290-49.3(107) Forms. 49.3(1) Required forms. The following forms or facsimilies thereof shall be used by timber

buyers in fulfilling their obligation under the Act. Copies of forms may be obtained by writing State Forester, State Conservation Commission, Wallace State Office Building, Des Moines, Iowa 50319; or by calling (515) 281-5629.

Form SCC49-l

STATE CONSERVATION COMMISSION

New Application

Renewal

Date --------------------------------

APPLICATION !OR BOND APPROVAL

(A) (I) (\ole) doing business as:

(Enter name of person, partnership, or corporation to

be bonded.)

'....,!

lAC 11/26/80 Conservation [290] Ch49, p.S

With principal office located at:

Street

County City State Zip

Telephone Number

(B) If application is by a partnership, list partners or if

application is by corporation, list principal officers and

managing officers for Iowa.

(C)

(D)

NAME

NAME

NAME

ADDRESS

ADDRESS

ADDRESS

If the corporation is owned or controlled by another, give

name and address:

NAME ADDRESS

If the bond will cover one or more agents for the company,

list those agents• names and addresses.

NAME ADDRESS

NAME ADDRESS

NAJ>lE ADDRESS

Give the total dollars paid for timber (stumpage, logs,

Ch49, p.6 Conservation[290] lAC 11126/80

pulpwood, piling, veneer, etc.) bought from Iowa timber V growers (governmental and private) during your last completed

fiscal year or the last 12 months prior to this application

(if over $100,000 was paid, buyer may state "over $100,000 in

lieu of the total amount): $ *

* New buyers should estimate total dollar value to be

paid for timber during the next 12 months.

(E) CHECK ONE BELOW:

(I) (We) am/are submitting a surety bond or certificate of

deposit with this application in the required amount.

(My) (Our) surety bond or certificate of deposit is on file

with your office in the proper amount.

-- (I) (We) am/are submitting a 11rider11 to my bond or an

additional certificate of deposit to increase the amount of bonding

to meet the required amount for the new year.

(F) (I) (We) understand that false statements willfully made in

completing this form constitute a violation of chapter 1032,

Acts of the 68th General Assembly, 1980 Session, or State

conservation Commission rules and are subject to the penalties

therein.

Signature of Applicant, Partner, or

Company Official

Title Date

~

~

~

\.,J

lAC 11/26/80 Conservation[290] Ch49,p.7

BOND APPROVAL

Your surety bond or collateral bond has been received and is

adequate to cover the above stated dollar amount of business.

Director __________________ _

signature

Date

Form SCC49-2

CORPORATE SURETY BOND

COVERING~ THE PURCHASING OF TIMBER FROM "TIMBER GROWERS"

BY A TIMBER BUYER OR HIS AGENTS

KNOW ALL MEN BY THESE PRESENTS:

~ That we,~----------------------------------of the City of

-------------------' County of --------------' state of

--------------------- as Principal, and ---------------as surety are held and firmly bound unto the State Conservation

Commission in the sum of dollars ($ ),

to the payment whereof the principal and surety bind themselves,

their heirs, executors, administrators, successors, and assigns

\..,) jointly and severally. The sum shall be for the use or benefit of

any timber grower from whom the principal above named may purchase

or cut timber, and who is not paid by the principal therefore.

.\.,..,)

WHEREAS, THE PROVISIONS OF THIS OBLIGATION ARE SUCH that the

principle herein shall:

(a)

(b)

pay as agreed, for timber purchased.

cut or cause to be cut or appropriate only timber which is

lawfully purchased.

Ch49, p.8 Conservation[290] lAC 11/26/80

(c) not willfully make a false statement in connection with the '--J bond or other information required to be given to the

conunission or a timber gro\o.·er.

(d) honestly account to the timber grower or the commission for

timber purchased or cut if the buyer is under a duty to do so.

(e) refrain from committing any fraudulent act in connection with

the purchase or cutting of timber.

(f) transport timber only with written proof of ownership or the ~

written consent of the owner.

(g) comply with commission rules promulgated as necessary to carry

out the provisions of chapter 1032, Acts of the 68th General

Assembly, 1980 Session.

The surety's obligation may be terminated by the surety giving

sixty (60) days prior written notice to the state of Iowa, State

Conservation Commission, and to the principal. This notice shall

terminate the surety's future liability only commencing sixty (60)

days from the date of mailing or delivering of the notice.

otherwise, this obligation shall remain in full force and effect.

IN WITNESS WHEREOF, we have hereunto set our hands and

affixed our seals this day of ______________________ __

19_. ___________________ (SEAL)

___________________ (SEAL)

(When principal or surety executes this bond by agent, power of

attorney or other evidence of authority must accompany the bond).

INDIVIDUAL ACKNOWLEDGEMENT

Before me, the undersigned authority, this day personally

\..,~

'-....~

\_,J

lAC 11126/80 Conservation[290] Ch49, p.9

~ appeared ------------------------------------------------

~

·.....,;

\.,.)

principal who acknowledged executing the foregoing bond !or

the uses and purposes therein set forth.

Subscribed and sworn to before me this day of

------------------------' 19 __ _

Notary Public for County, State of Iowa.

My Commission Expires ________________ _

CORPORATE ACKNOWLEDGEMENT

Before me, the undersigned authority, this day personally

appeared~-------------------------------------------------·

President and~------------------------------------------Secretary of , a corporation, principal,

each of whom acknowledge the execution of the foregoing Bond

for this corporation, for the uses and purposes therein set

forth.

Notary Public for county, State of Iowa.

My Commission Expires ________________ _

ACKNOWLEDGEMENT BY ATTORNEY IN FACT

STATE OF IOWA

SS: COUNTY OF __________________________ ___

Before me, the undersigned authority, this day personally

appeared·--------------------~--------------------------------(Attorney in Fact)

~, of and acknowledged that he/she (Principal)

Ch49, p.lO Conservation[290] lAC 11126/80

executed the same as the act and deed of __________________ __

____________________ for the uses and purposes therein set forth.

Notary Public for ____________________ county, State of Iowa.

My Commission Expires ________________ _

Form SCC49-3

TIMBER BUYER SURETY BOND

GOVERNING THE PURCHASING OF TIMBER FROM TIMBER GROWERS BY

A TIMBER BUYER OR HIS AGENTS.

KNOW ALL MEN BY THESE PRESENTS:

That (I), (We) __________ _ of the City of ----------

County of , State of as

Principal, (am), (are) firmly bound unto the State Conservation Com-

mission in the sum of __ dollars ($ ), to the

~

'--"

~...,_,)

payment whereof the principal binds himself, his heirs, executors,

administrators, successors, and assigns jointly and severally. The '...! sum shall be for the use or benefit of any timber grower from whom

the principal above named may purchase or cut timber, and who is

not paid by the principal therefore.

WHEREAS, THE PROVISIONS OF THIS OBLIGATION ARE SUCH, that the

Principal herein shall:

(a) pay as agreed, for timber purchased.

(b) cut or cause to be cut or appropriate only timber which is

lawfully purchased.

~

lAC 11126/80 Conservation[290] Ch 49, p.ll

·\,.,) (c) not willfully make a false statement in connection with the

bond or other information required to be given to the

commission or a timber grower.

(d) honestly account to the timber grower or the commission for

timber purchased or cut if the buyer is under a duty to do so.

(e) refrain from committing any fraudulent act in connection with

the purchase or cutting of timber.

-.......,; (f) transport timber with written proof of ownership or the

written consent of the owner.

\..._)

·....._,;

\_.I

(g) comply with commission rules promulgated as necessary to carry

out the provisions of chapter 1032, Acts of the 68th General

Assembly, 1980 Session.

This bond is partially secured by the assignment of a certificate

of deposit payable to the director, State Conservation Commission.

The principal agrees that commission release of the certificate of

deposit as security in no way affects the liability of the

principal for actions covered by this bond.

IN WITNESS WHEREOF, I have hereunto set my hand this

___________ day of , 19 ___ .

Signature

INDIVIDUAL ACKNOWLEDGEMENT

Subscribed and sworn to before me this day of

-----------------------' 19 ___ .

Ch49, p.l2 Conservation[290] lAC 11/26/80

Notary Public for __________ county, State of Iowa. \,~

My Commission Expires _______ _

Form SCC49-4

COLLATERAL ASSIGNMENT OF CERTIFICATE OF DEPOSIT

TO: State Conservation Commission

Wallace State Office Building

Des Moines, Iowa 50319

Gentlemen:

This is to advise you that the undersigned, pursuant to obligations

set forth in chapter 1032, Acts of the 68th General Assembly, 1980

Session, and in departmental rules does hereby assign, transfer to, ~

and pledge with the director of the State Conservation Commission

all right, title and interest of the undersign~d in and to the

certificate of deposit issued by or carried with

and identified as certificate of deposit # _______ , in the

face amount of $ ____________ , except that all interest accrued or

accruing hereafter on the certificate is to remain the property of

the assignor.

This assignment is made as, and shall constitute, collateral

lAC 11/26/80 Conservation [290] Ch49, p.13

\.-1 security for performance of the assignor's obligations under

chapter 1032, Acts of the 68th General Assembly, 1980 Session and

for the payment of all expenses incurred in converting the security

into money including all costs of bond forfeiture.

..,

~

The undersigned hereby constitutes and appoints the director of the

State Conservation Commission as the true and lawful attorney of

the undersigned to demand, collect, and receive all amounts,

~xcluding interest, which shall become due under the certificate of

deposit and to endorse the certificate of deposit for payment or

negotiation and to endorse any commercial paper given in payment of

the certificate of deposit. The certificate of deposit shall be

automatically renewed unless the director approves release of the

funds in writing.

The undersigned presents and warrants that the certificate of

deposit is contemporaneously with the execution hereof being

delivered to the director of the State Conservation Commission:

that the certificate of deposit is genuine and is in all respects

what it purports to be; that the undersigned is the owner thereof

free and clear of all liens and encumbrances of any nature

whatsoever; and that the undersigned has full power, right and

~ authority to execute and deliver this assignment.

Dated: ______________________ __

Signature(s): __________________ ___

(If Corporation, Title)

~ (If Corporation, Title)

Ch 49, p.l4 Conservation [290]

SIGNATURE GUARANTEE AND UNDERTAKING

BY THE FINANCIAL INSTITUTION

lAC 11126/80

The signature ( s) of the assignor ( s) appearing above (was) (were)

made in the presence of the undersigned officer of the financial

institution in the above collateral assignment and (is) (are)

guaranteed by it.

This institution undertakes to save and hold harmless the State

Conservation Conunission and the state of Iowa from all loss,

claims, and litigation which it may suffer in consequence of its

acting in reliance upon and pursuant to the above assignment.

This institution certifies that the assignment of the certificate

of deposit to the state of Iowa appears upon the books of this bank

and by its signature here does waive all rights of setoffs or liens

which it has or might have against those certificates. Institution

also certifies that the certificate of deposit will be

automatically renewed until the funds are released pursuant to

written authorization of the director, State Conservation

Commission, State of Iowa.

Financial Institution

By

Title

Date

'..)

'..I

'-'~

~

\._,I

lAC 11/26/80 Conservation[290) Ch49, p.lS

\..,I The director of the State conservation Commission acknowledges

receipt of the above assignment and agrees to Act thereunder.

Form SCC49-5

Director

State Conservation Commission

Date

VERIFIED APPLICATION FOR RELEASE

OF BOND AND CERTIFICATE OF DEPOSIT

Comes now ____________________________________________ _ of

~ a duly bonded timber buyer and, first being duly sworn upon oath,

makes this verified application to the State Conservation

Commission, for release of bond and certificate of deposit; and, in

support of this application deposes and says:

1. That the timber buyer submitted to the Conservation

Commission on or about day of , 19 ___ ,

an approved bond and bank certificate of deposit, in the

amount of ---------------------------------------------------($ ) dollars, held at a bank known as

of

and made payable upon demand

to the director, State Conservation Commission, pursuant to

chapter 1032, Acts of the 68th General Assembly, 1980 Session.

2. That timber buyer has ceased to operate or otherwise engage in

activities of a timber buyer and now desires to have the said bond

and certificate released.

Ch49, p.16 Conservation[290] lAC 11126/80

3. That timber buyer is not in violation of the Timber Buyer 1 s

Bonding Act as found in chapter 1032, Acts of the 68th General

Assembly, 1980 Session, and is not in default to any citizen of the

~tate of h"''-'cl for mcmey due under the la"·.

4. That the statements and representations are true and correct

to the best of the knowledge of the undersigned, under the

penalties of perjury.

In witness whereof the timber buyer set his/her hand this

day of , 19 __ •

Signature:

Printed Name:

Timber Buyer

Subscribed and sworn be before me this -------------- day of

I 19

Notary Public for County, State of Iowa.

My Commission Expires

(b) Additional forms may be required to effectively and fairly

administer chapter 1032, Acts of the 68th General Assembly, 1980

Session, which cannot be anticipated. The commission proposes

to develop these as needed through the administrative rules

process.

49.3(2) Reserved. This rule is intended to implement section 107.24, The Code, and Acts of the Sixty-eighth

\.,.;

\..,)

~

~

General Assembly, 1980 Session, chapter 1032. \...,I [Filed 11/7/80, Notice 9/17/80-published 11126/80, effective 1/1/81]

lAC 10/1/80 Conservation [290] Ch 50, p.1

\..,) CHAPTER SO SNOWMOBILES

290-50.1(321G) Accident report. Whenever any snowmobile is involved in an accident resulting in injury or death to anyone or property damage amounting to fifty dollars or more, the operator shall ftle a report of the accident with the commission within forty-eight hours. Said report shall be on forms provided by the commission, completed and submitted in duplicate, including the following information:

1. Registration numbers of snowmobiles involved. 2. The locality where the accident occurred. 3. Date and time of accident. 4. Weather and visibility conditions. 5. Name, address, age and snowmobile operating experience of the reporting snowmobile

·.....,_;operator. 6. Name(s) and address(es) of owner(s) of snowmobile(s) involved, and any other

witness(es). 7. Name(s) and address(es) of operator(s) of other vehic1e(s) involved. 8. Safety equipment being worn by operator and passenger(s). 9. Name(s) and address(es) of any person(s) injured or killed. 10. The nature and extent of injury to any person(s). 11. Description of damage to any property (including snowmobiles) and estimated cost of

repair. 12. Description of the accident (including opinions as to the causes). 13. Horsepower, make and year of each snowmobile involved. 14. Estimated speed of vehicles involved. 15. Whether alcohol was a contributing factor .

.....,_,; 16. Whether snowmobile was rented or privately owned.

\.,.)

·-......,;

This rule is intended to implement section 3210.10, The Code.

190-50.2(311G) Snowmobile operation. 50.2(1) A snowmobile shall not be operated on the public land of this state under the juris­

diction of the conservation commission without measurable snow cover on the land. Measurable snow cover shall be one-tenth of one inch on commission lands.

50.2(1) The current registration certificate of a snowmobile shall be the permit required by section 106.33, The Code, for operation on the surface of the ice.

This rule is intended to implement sections 3210.2 and 106.33, The Code. 50.3 and 50.4 Reserved.

:,

-.:: •', I

. . ;

~· ...

• .• >!

\.,_)

lAC 11/26/80 Conservation[290] Ch 111, p.1

CHAPTER 111 1981 WILD TURKEY HUNTING REGULATIONS

290-111.1(109) General. Wild turkey may be taken during the 1981 season subject to the following regulations:

111.1(1) License. All hunters must have in possession a 1981 wild turkey license when hunting wild turkey. Licenses will be issued by zone and period and will be valid in the designated zone and for the designated period only. Except as provided in rule 111.4(109) of these rules, no person shall obtain more than one license per year.

111.1(2) Daily and possession limits. Daily bag limit, one bearded (or male) wild turkey. Possession limit, one bearded (or male) wild turkey per license. Season limit, one bearded (or male) wild turkey per license.

111.1(3) Shooting hours. Shooting hours shall be from one-half hour before sunrise to \.,.,) 12:00 noon, central standard time, each day.

This rule·is intended to implement sections 109.38, 109,39, and 109.48, The Code.

290-111.2(109) Method of take. 111.2(1) Shotgun and bow and arrow. Wild turkey may be taken by shotgun, muzzleload­

ing shotgun, and bow and arrow in nine zones from April 14, 1981, through May 10, 1981. 111.2(2) Zones. Wild turkey, in accordance with the tenure and zone designated on the

license issued, may be taken in one of nine zones described as follows: a. Zone one. Zone one is the Lucas and White Breast Units only of the Stephens State

Forest in Lucas and Clarke Counties. b. Zone two. Zone two is an area bounded as follows: Beginning at the point where U.S.

Highway 275 crosses the Iowa-Missouri state line; thence north along U.S. Highway 275 to U.S. Highway 34; thence east along U.S. Highway 34 to State Highway 242; thence north

'-I along State Highway 242 to Silver City; thence north along Mills and Pottawattamie County Roads L55 to State Highway 92; thence west along State Highway 92 to the Iowa-Nebraska state line; thence south along the Iowa-Nebraska state line to the Iowa-Missouri state line; thence east along the Iowa-Missouri state line to the point of beginning, and also includes an area bounded as follows: Beginning at the intersection of U.S. Highway 30 and State Highway 183; thence north along State Highway 183 to Harrison County Road F20; thence westerly along Harrison County Road F20 to State Highway 301; thence west along State Highway 301 to Interstate Highway 29; thence north along Interstate Highway 29 to U.S. Highway 20; thence east along U.S. Highway 20 to Woodbury County Road K64; thence south along Woodbury County Road K64 to Woodbury County Road D38; thence east along Woodbury County Road D38 to Woodbury County Road L37; thence north along Woodbury County Road L37 to U.S. Highway 20; thence east along U.S. Highway 20 to U.S. Highway 59;

\..,) thence south along U.S. Highway 59 to U.S. Highway 30; thence southwesterly along U.S. Highway 30 to the point of beginning.

c. Zone three. Zone three is an area bounded as follows: Beginning at the point where U.S. Highway 20 and U.S. Highway 169 intersect; then east along U.S. Highway 20 to State Highway 17; thence south along State Highway 17 to State Highway 141, thence westerly along State Highway 141 to Dallas County Road F31; thence west along Dallas County Road F31 to U.S. Highway 169; thence north along U.S. Highway 16.9 to the point of beginning, and also includes an area bounded as follows: Beginning at the point where State Highways 25 and 44 intersect; thence south along State Highway 25 to U.S. Highway 6; thence east and north along U.S. Highway 6 to Redfield, Iowa; thence north along Dallas County Road P46 to State Highway 44; thence west along State Highway 44 to the point of beginning.

d. Zone four. Zone four is an area bounded as follows: Beginning at the point where U.S. Highway 169 crosses the Iowa-Missouri state line; thence north on U.S. Highway 169 to State

..,._; Highway 92; thence east on State Highway 92 to U.S. Highway 218; thence south on U.S. Highway 218 to State Highway 78; thence east on State Highway 78 to U.S. Highway 61;

Ch 111, p.2 Conservation[290] lAC 11/26/SO

thence east on Louisa County Road H22 to State Highway 99; thence south on State Highway~ 99 to Burlington; thence south along the Iowa-Illinois state line to the Iowa-Missouri state line; thence west along the Iowa-Missouri state line to the point of beginning; with the excep-tion that the previously described Zone one is excluded from this zone as is an area described as follows: Beginning at the intersection of U.S. Highway 34 and U.S. Highway 2IS at Mount Pleasant; thence south on U.S. Highway 2IS to State Highway 16; thence west on State Highway 16 to the west line of Henry County; thence north along the county line to U.S. Highway 34; thence east along U.S. Highway 34 to the point of beginning.

e. Zone jive. Zone five is an area bounded as follows: Beginning at the intersection of In­terstate Highways SO and 3SO; thence north along Interstate Highway 380 to U.S. Highway 30; thence west along U.S. Highway 30 to Tama County Road VIS; thence south along Tama and Poweshiek County Roads VIS to Interstate Highway SO; thence east along Interstate Highway SO to the point of beginning. \..._,)

f. Zone six. Zone six is an area bounded as follows: Beginning at the Iowa-Wisconsin state line at Lansing, Iowa; thence north along the Iowa-Wisconsin state line to the Iowa­Minnesota state line; thence west along the Iowa-Minnesota state line to U.S. Highway 52; thence south along U.S. Highway 52 to State Highway 9; thence east on State Highway 9 to the point of beginning.

g. Zone seven. Zone seven is the Yell ow River State Forest in Allamakee and Clayton Counties and the Volga State Recreation Area in Fayette County only.

h. Zone eight. Zone eight is an area bounded as follows: Beginning at Lansing, Iowa; thence west along State Highway 9 to State Highway 51; thence south along State Highway 51 to U.S. Highway 52; thence east and south along U.S. Highway 52 to State Highway 13; thence south on State Highway 13 to State Highway 56; thence west on State Highway 56 to State Highway 150; thence south on State Highway 150 to State Highway 154; thence south on State Highway 154 to State Highway 3; thence east on State Highway 3 to Dubuque; thence \...1 north along the Iowa-Wisconsin state line to the point of beginning; with the exception that the previously described Zone seven is excluded from this zone.

i. Zone nine. Zone nine is an area bounded as follows: Beginning at the intersection of State Highway 13 and U.S. Highway 20; thence east along U.S. Highway 20 to State Highway 136; thence north along State Highway 136 to U.S. Highway 52; thence east and south along U.S. Highway 52 to U.S. Highway 151; thence south and west along U.S. Highway 151 to State Highway 136; thence south and east along State Highway 136 to Lost Nation, Iowa; thence along Clinton County Roads Y34, E63, and Y 44 to Calamus, Iowa; thence east along U.S. Highway 30 to Clinton County Road Y52; thence south along Clinton and Scott County Roads Y52 to Scott County Road Y4E; thence west and north along Scott and Clinton County Roads Y4E to U.S. Highway 30; thence west along U.S. Highway 30 to State Highway 13; thence north along State Highway 13 to the point of beginning.

This rule is intended to implement sections 109.3S, 109.39, and 109.4S, The Code. 1.....1

290-111.3(109) Permitted and prohibited weapons and devices. 111.3(1) Permitted weapons. Shotguns and muzzleloading shotguns not smaller than 20

gauge and shooting shot only, and long bows with broadhead arrows only will be permitted in taking wild turkey.

111.3(2) Prohibited devices. The use of decoys, dogs, horses, motorized vehicles, aircraft, bait, and the use or aid of recorded or electrically amplified bird calls or sounds, or recorded or electronically amplified imitations of bird calls or sounds is prohibited.

This rule is intended to implement sections 109.3S, 109.39, and 109.48, The Code.

290-111.4(109) Application procedure. All applications for wild turkey hunting licenses for the 19S1 wild turkey hunting season must be made on forms provided by the state conserva- \.._I tion commission and returned to the state conservation commission office in Des Moines, Iowa, with a remittance of fifteen dollars. Individual applications only will be accepted.

lAC 11/26/80 Conservation[290] Ch 111, p.3

\.,_) 111.4(1) Application periods. Applications for wild turkey hunting licenses shall be re­ceived and accepted from January 19 through February 17, 1981, or if the application form bears a valid and legible U.S. Postal Service postmark during the same period. No person shall submit more than one application. At the end of such period, if applications have been re­ceived in excess of the license quota for any hunting zone or period the commission shall con­duct a drawing to determine which applicants shall receive licenses. Incomplete or improperly completed applications, applications not meeting the above conditions, or applications re­ceived prior to or after the application period shall not be considered valid applications for the drawing. If the quota for any hunting period or zone has not been filled by applications re­ceived during the application period, licenses shall then be issued in the order in which applica­tions are received thereafter and shall continue to be issued until the quota has been met or until March 29, 1981, whichever first occurs. If licenses are still available after March 24,

\.._,11981, applicants who have already received one license may apply for one additional license, and applications shall be handled in the same manner as other applications received during that period of March 25, 1981, through March 29, 1981.

111.4(2) License quotas. A limited number of wild turkey hunting licenses will be issued for each zone for each of three hunting periods. The hunting periods are April 14, 1981, through April20, 1981; Apri121, 1981, through April28, 1981; and April29, 1981, through May 10, 1981. The maximum number of licenses which will be issued in each zone for each hunting period is as follows:

a. Zone one. Sixty-five. b. Zone two. One hundred. c. Zone three. Sixty. d. Zone four. Nine hundred. e. Zone five. Fifty. f. Zone six. One hundred twenty-five. g. Zone seven. One hundred forty. h. Zone eight. One hundred seventy-five. i. Zone nine. Seventy. This rule is intended to implement sections 109.38, 109.39, and 109.48, The Code.

290--111.5(109) Transportation tag. A transportation tag bearing license number of licensee, year of issuance, and date of kill properly shown shall be visibly attached to the car­cass of each wild turkey before carcass can be transported. Said tag shall be proof of posses­sion of the carcass by above-mentioned licensee.

This rule is intended to implement sections 109.38, 109.39, and 109.48, The Code.

[Temporary, tiled 11/7/75-published 12/1/75, effective 11/7/75} [Filed emergency 11/18/76--published 12115/76, effective 11/18/76]

[Filed 12/9/77, Notice 11/2/77-published 12/28/77, effective 2/1178] !Filed 12/7/78, Notice 10/18/78-published 12/27/78, effective 1/31/79] [Filed 12/5/79, Notice 10/31/79-published 12/26/79, effective 1/30/80]

[Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 1/1/81]

·•; .. · i·

... ~ •. •, ~ . . ---: •···

.\

' ~- •. ' .

•• '1 :.,.....,,

~1·'·.· . ./ ...

.~· I·.' (-·:·

_:~ .. ' . ~. :

I ..

,·.

lAC 11/26/80 Environmental Quality[400] Ch 19, p.2b

\...,) (2) BOD5 limitations have been exceeded at least once per month for more than four months witfiin the last twelve months when discharge occurred;

If the applicant can show that the influent dry weather flow and influent dry weather BOD do not exceed the plant design capacity and the system is operating under a comp~ance schedule which is being adhered to or the applicant can demonstrate that the problem has been identified, the planning completed, and corrective measures initiated, con­struction permits may be granted to increase the total load to not more than the design organic and dry weather hydraulic capacity of the treatment works.

d. A sanitary sewer extension construction permit for any public treatment system will be denied if bypassing has occurred at the treatment plant, except when any of the following conditions are being met:

(1) The bypassing is due to a combined sewer system. (2) The bypassing occurs as a result of a storm with an intensity or duration greater than

\.,Ahat of a storm with a return period of five years. (See App. A)* (3) The department determines that timely actions are being taken to correct the

bypassing. e. A sanitary sewer extension construction permit for any private treatment system will

be denied if the effluent quality does not comply with chapter 17, unless the owner of the system agrees to a schedule which requires the treatment facility to be upgraded so that the effluent quality limitations will be met by the time the proposed sewer extension is con­nected.

f. A sanitary sewer extension construction permit will be denied if an existing down­stream sewer is or will be overloaded or surcharged, resulting in bypassing, flooded base­ments, or overflowing manholes, unless:

(1) The bypassing or flooding is the result of a precipitation event with an intensity or duration greater than that of a storm with a return period of two years. (See App. A*); or

\..,I (2) The system is under full-scale facility planning (Ill and SSES) or the applicant provides an acceptable schedule for rehabilitating the system to the extent necessary to handle the additional loadings.

g. Potential loads-Construction permits may be granted for sanitary sewer extensions that are sized to serve future loads that would exceed the capacity of the existing treatment works. However, initial connections shall be limited to the load that can be handled by the existing treatment works. The department will determine this load and advise the applicant of the limit. This limitation will be in effect until additional treatment capacity has been constructed.

19.2(11) Certification of completion. Within thirty days after completion of con­struction, installation or modification of any wastewater disposal system or part thereof or extension or addition thereto, the permit holder shall submit a certification by a registered

~professional engineer that the project was completed in accordance with the approved plans and specifications.

19.2(12) Federal and state financial assistance for construction of municipal sewage works may be available pursuant to the Clean Water Act of 1977, Title II (33 U.S.C. §§1281-1297) and part 3 of division III of chapter 4558, The Code, subject to the following:

a. Application procedures and award of federal grants are governed by federal regulations, 40 CFR, Parts 30, 33, and 35, subparts C and E, as amended through July 1, 1980.

b. For the period October 1, 1980, through September 30, 1981, the department endorse­ment of federal grants shall be in accordance with the document entitled "State of Iowa-Fiscal Year 1981 Priority System for Administration of Federal Wastewater Treatment Works Construction Grants Under the Authority ofthe Clean Water Act of 1977". ••

•See end of chapter for Appendix A. ••(Copy on file with the Administrative Rules Co-ordinator and available upon request to the Department of Environmental Quality, Chemicals and

Water Quality Division, Henry A. Wallace Building, 900EastGrandAvc:nue, Des Moines, IowaS0319.)

Ch 19, p.2c Environmental Quality[400] lAC 11/26/80

•••c. State grants shall be awarded at the time federal Step 3 grants are awarded. The state 1..._1 grant will be based upon facility costs which include eligible Step I and Step 2 work directly related to the facility and which have not previously been awarded state grant assistance.

••• d. State grants may be awarded for Step I work following award of a federal Step I grant. the state may enter into contracts for eligible Step I expenditure upon request of the grantee subject to either of the following conditions:

I. The Step I facility plan has been approved by DEQ; or 2. A substantial portion of the approved Step 1 scope work has been completed and the ex­

ecutive director determines that additional work is not appropriate based on the facilities priority on the State Project Priority List developed in accordance with paragraph "b."

•••e. Only state grant awards and adjustments amounting to sums of $500 or more will be processed unless an eligible applicant provides a request including a reasonable statement of financial need, or until the final grant award or adjustment for a project step. State grant pro-gress payments only in amounts of $100 or more will be processed upon evidence of federal ~ grant progress payments unless a similar request is provided. Documentation of incurred costs is required for all state grant payment.

This rule is intended to implement section 4558.32, The Code.

400-19.3(455B) Permit to operate. 19.3(1) Except as provided otherwise in this sub rule and in chapter 20, no person shall

operate any wastewater disposal system or part thereof without, or contrary to any condition of, an operation permit issued by the executive director; nor shall the permittee of a system to which a sewer extension has been made under a construction permit limited pursuant to 19.2(10), paragraph "a", "b" or ''f', allow a connection to such sewer extension in

•••These provisions will become effective July I, 1981.

v

\.-1

\.,..)

lAC 8/24/77 Environmental Quality[400] Ch 19, p.12

the executive director shall revise or modify the permit in accordance with the toxic effluent standard or prohibition and so notify the permittee.

h. If an applicant for an NPDES permit proposes to dispose of pollutants into wells as part of a program to meet the proposed terms and conditions of an NPDES permit, the executive director shall specify additional terms and conditions in the issued NPDES permit which shall prohibit the proposed disposal or control the proposed disposal in order to prevent pollution of ground and surface water resources and to protect the public health and welfare.

400-19.7(4SSB) Relssuance of NPDES permits. 19.7(1) Any state NPDES permittee who wishes to continue to discharge after the

expiration date of the permit shall file an application for reissuance of the permit at least one hundred eighty days prior to the expiration of the permit. The application may be a simple written request. However, the applicant for reissuance must submit or have submit­ted information to show:

a. That the permittee is in compliance or has substantially complied with all the terms, conditions, requirements and schedules of compliance of the expiring NPDES permit.

b. Up-to-date information on the permittee's production levels, permittee's waste treatment practices, nature, contents, and frequency of permittee's discharge.

c. That the discharge is consistent with applicable effluent standards and limitations, water quality standards and other legally applicable requirements listed in 19.6(2), including any additions to, or revision or modifications of such effluent standards and limitations, water quality standards, or other legally applicable requirements during the term of the permit.

19.7(2) The executive director shall follow the notice and public participation procedures specified in 19.5(455B) in connection with each request for reissuance of an NPDES permit.

19.7(3) Notwithstanding any other provision in these rules, any new point source the construction of which is commenced after the date of enactment of the Federal Water Pollution Control Act Amendments of 1972 (October 18, 1972) and which is so constructed as to meet all applicable standards of performance for new sources shall not be subject to any more stringent standard of performance during a ten-year period beginning on the date of completion of such construction or during the period of depreciation or amortization of such facility for the purposes of section 167 or 169 (or both) of the Internal Revenue Code of 1954, as amended through December 31, 1976, whichever period ends first.

400-19.8(4SSB) Monitoring, recordkeeplng and reporting by operation permit holders. Operation permit holders are subject to any applicable requirements specified in chapter 18 of these rules.

400-19.9(4SSB) SUvlcultural activities. The following is adopted by reference: 40 CFR §124.85 as promulgated June 18, 1976 (41 FR 24711).

400-19.10(45SB) Agricultural activities. The following is adopted by reference: 40 CFR §124.84 as promulgated July 12, 1976 (41 FR 28493).

400-19.11(45SB) Disposal of pollutants Into weDs. The following is adopted by reference: 40 CFR §124.81 as promulgated March 18, 1976 (41 FR 11458).

400-19.12(4SSB) Separate storm sewers. The following is adopted by reference: 40 CFR §124.83 as promulgated March 18, 1976 (41 FR 11458).

400-19.13(4SSB)* Transfer of title. If title to any disposal system or part thereof for which a permit has been issued under 19.2(455B) or 19.3(4558) is transferred, the new owners shall be subject to all terms and conditions of said permit. Whenever title to a disposal •Emergency, pursuant to § 17 A.S(2) "b" of the Code.

Ch 19, p.13 Environmental Quality[400] lAC 11/26/80

system or part thereof is changed, the department shall be notified of such change within \...,~ thirty days.

Rules 19.3 to 19.13 are intended to implement section 4558.32 of the Code.

400-19.14(4SSB) Validity of rules. If any section, paragraph, sentence, clause, phrase or word of these rules, or any part thereof, be declared unconstitutional or invalid for any reason, the remainder of said rules shall not be affected thereby and shall remain in full force and effect.

400-19.15(45SB)* Applicablllty. This chapter shall apply to all waste disposal systems treating or intending to treat sewage, industrial waste, or other waste except waste resulting from livestock or poultry operations. All livestock and poultry operations constituting animal feeding operations as defined in chapter 20 of these rules shall be governed by the requirements contained in chapter 20. However, if an animal feeding operation is required to apply for and obtain an NPDES permit, the provisions of this chapter relating to notice and public participation, to the terms and conditions of the permit, to the reissuance of the permit and to monitoring, reporting and recordkeeping activities shall apply.

This rule is intended to implement section 4558.32 of the Code. [Filed August 21, 1973]

[Filed 6/28/76, Notice 5/3/76-published 7/12/76, effective 8/16/76] [Filed 7/1177, Notice 3/23/77-published 7/27/77, effective 8/31/77]

[Filed emergency 7 /28/77-published 8/24/77, effective 8/31/77] [Filed emergency 2/3/78-published 2/22/78, effective 3/1/78]

(Filed 10/13/78, Notice 5/3/78-published 11/1/78, effective 12/6/78] [Filed 3/30/79, Notice 2/7/79.:_published 4/18/79, effective 5/23/79] [Filed 5/11/79, Notice 2/7/79-published 5/30/79, effective 7/5/79] [Filed 8/3179, Notice 5/2/79-published 8/22/79, effective 9/26/79]

[Filed 8/31/79, Notice 4/4/79-published 9/19/79, effective 10/24/79] [Filed 4/10/80, Notice 12/26/79-published 4/30/80, effective 6/4/80]

[Filed 11/3/80, Notices 6/25/80, 8/20/80-published 11/26/80, effective 12/31/80, **7/1/81]

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

.. Subrule 19 .2{12) paragraphs "c, " "d, "and "e, "effective 7 I I /81.

\,)

~

~

'...._,;

lAC 2/22/78 Environmental Quality[400]

CHAPTER 38 PESTS

Ch 41, p.l

400-38.1 (4558) Definitions. For purposes of this chapter. the following terms shall have the meaning indicated in this rule.

38.1 (1) "Fungus" means any nonchlorophyll-bearing thallophyte (that is. any non­chlorophyll-bearing plant of a lower order than mosses and liverworts). as for example. rust. smut, mildew. mold, yeast. and bacteria, except those on or in living man or other animals and those on or in processed food. beverages, or pharmaceuticals.

38.1(2) "Insect" means any of the numerous small invertebrate animals generally having the body more or less obviously segmented. lor the most part belonging to the class Insecta. comprising six- legged, usually winged forms. as for example. beetles, bugs. bees. flies, and to other allied classes of arthropods whose members arc wingless and usually have more than six legs. as for example. spiders. mites. ticks. and centipedes.

38.1(3) "Nematode" means invertebrate an imals of the phylum nemathelminthcs and class nematoda, that is, unsegmented round worms with elongated, fusiform or saclike bodies covered with cut icle. and inhabiting soil. water, plants. or plant parts; may a lso be called ncmas or eclworms.

38.1 (4) "Rodent" means any member of the order rodcntia of relatively small gnawing mammals having a single pair of upper incisors with a chisel-shaped edge; a lso any member of the order lagomorpha including rabbits, hares. or other small mammals having two pair of upper incisors, one behind the other.

38.1(5) "Weed" means any plant wh ich grows where not wanted, including noxious weeds as declared under chapter 317 of the Code.

400--38.2(4558) Declaration of pests. The commission, in conjunction with the executi\'e director, declares the following to be pests: Any insect, rodent, nematode, fungus, weed, or any form of plant and an imal life, virus, or other microorganism, except viruses or other microorganisms on or in living man or other living animals, which exists under circum­stances that make it unduly injurious to plants, man, desirable vertebrates and inverte­brates. or other articles or substances.

[Filed 11 / 24/76, Notice 8/ 9/76-published 12/ 15/76. effective 1/ 19/77]

CHAPTERS 39 and 40 Reserved

CHAPTER 41 NOTIFICATION OF HAZARDOUS CONDITIONS

400-41.1(4558) Defrnitions. For purposes of this chapter: 41.1(1) "Hazardous substance" means any substance or mixture of substances that

presents a danger to the public health or safety and includes, but is not limited to, a substance that is toxic, corrosive, or flammable, or that is an irritant or that, in con­finement, generates pressure through decomposition, heat, or other means. The following are examples of substances which, in sufficient quantity, may be hazardous: Acids; alkalis; explosives; fertilizers; heavy metals such as chromium, arsen ic, mercury, lead and cadmium; industrial chemicals; paint thinners; paints; pesticides; petroleum products; poisons; radioactive materials; sludges; and organic solvents. "Hazardous substances" may include any hazardous waste identified or listed by the administrator of the United States environmental protection agency under the Solid Waste Disposal Act as amended by the Resource Conservation and Recovery Act of 1976, or any toxic pollutant listed under section 307 of the federal Water Pollution Control Act as amended to January 1, 1977, or any hazardous substance designated under section 311 of the federal Water Pollution Control Act as amended to January I, 1977, or any hazardous material designated by the secretary of transportation under the Hazardous Materials Transportation Act (49 CFR §172.101).

Ch 41, p.2 Environmental Quality£400) lAC 11/26/80

41.1(2) "Hazardous condition" means any situation involving the actual, imminent or probable spillage, leakage, or release of a hazardous substance onto the land, into a water of the state or into the atmosphere which, because of the quantity, strength and toxicity of the hazardous substance, its mobility in the environment and its persistence, creates an immediate or potential danger to the public health or safety. Hazardous condition includes any accident involving hazardous materials required to be reported under section 321.266(4) of the Code.

41.1(3) "Toxic" means causing or producing a dangerous physiological, anatomic or biochemical change in a biological system.

41.1(4) "Co"osive" means causing or producing visible destruction or irreversible alter­ations in human skin tissue at the site of contact, or in the case of Jeakage of a hazardous substance from its packaging, causing or producing a severe destruction or erosion of other materials through chemical processes.

41.1(5) "Irritant" means a substance causing or producing dangerous or intensely irri­tating fumes upon contact with fire or when exposed to air.

41.1(6) "Department" means the department of environmental quality.

400-41.2(4558)* Report of hazardous conditions. Any person manufacturing, storing handling, transporting, or disposing of a hazardous substance shall notify the department (at 515/281-8694), the office of disaster services (at 515/281-3231), the local police department or the office of the sheriff of the affected county of the occurrence of a hazardous condition as soon as possible but not later than six hours after the onset of the hazardous condition or discovery of the hazardous condition. A sheriff or police chief or peace officer or the director of the office of disaster services who has been notified of a hazardous condition shall im­mediately notify the department. Notification by a sheriff or police chief or peace officer or the office of disaster services shall be considered to be notification of the department for pur­poses of this rule. Reports made pursuant to this rule should be confirmed in writing as pro­vided in 41.2(2).

A carrier transporting hazardous materials by rail, air, water or upon a public highway who gives the notice required by section 321.266(4) of the Code, by notifying the office of disaster services shall be deemed to have complied with this rule.

41.2(1) Verbal report. The verbal report of such a hazardous condition should provide information on as many items listed in 41.2(2) as available data allow.

41.2(2) Written report. The written report of such a hazardous condition should be sub-mitted to the department within five days and contain the following information:

a. The exact location of the hazardous condition. b. The time and date of onset or discovery of the hazardous condition. c. The name of the material, the manufacturer's name and the volume of each material

involved in the hazardous condition in addition to contaminants within the material if they by themselves could cause a hazardous condition.

d. The medium (land, water or air) in which the hazardous condition occurred or exists. e. The name, address and telephone number of the party responsible for the hazardous

condition. f. The time and date of the verbal report to the department of the hazardous condition. g. The weather conditions at the time of the hazardous condition onset or discovery. h. The name, mailing address and telephone number of the person reporting the

hazardous condition. i. The name and telephone number of the person closest to the scene of the hazardous

condition who can be contacted for further information and action. j. Any other information, such as the circumstances leading to the hazardous condition,

visible effects and containment measures taken that may assist in proper evaluation by the department.

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

lAC 11/26/80 Environmental Quality[400] Ch 45, p.1

41.2(3) Reporting of subsequent findings. All subsequent finding and laboratory results should be reported and submitted in writing to the department as soon as they become available.

These rules are intended to implement section 455B.115, The Code. [Filed 2/3178, Notice 10/5/77-published 2/22/78, effective 3/29/78]

[Filed emergency 10/31 /SO-published 11/26/80, effective 10/31 /80]

CHAPTER42 TRANSPORTATION OF RADIOACTIVE MATERIALS IN IOWA

400-42.1(45SB) Transportation of radioactive materials. All carriers of radioactive materials which are transported across the state of Iowa by highway and which are required to be labeled "Radioactive Yellow III" by the United States Department of Transportation in 49 CFR 172.403(d) must notify the state of Iowa prior to movement in Iowa in accordance with the rules of the Iowa Department of Transportation.

(Note: The Department of Transportation has not yet adopted those rules (on this subject]; so the notification requirement will not be effective until the Iowa Department of Transporta­tion's rules are effective.).

This rule is intended to implement sections 455B.86 and 455B.87, The Code. [Filed 9/26/80, Notice 4/16/80-published 10115/80, effective 11/19/80]

CHAPTERS 43 and 44 Reserved

CHAPTER45 HAZARDOUS WASTE

400-45.1(68GA,ch111) Hazardous waste management system: General. 45.1(1) The following is adopted by reference: 40 C.F .R. part 260 as promulgated May 19,

1980 (45 FR 33073-33082). Provided that the terms "existing hazardous waste facility" and "new hazardous waste

facility" shall be distinguished by reference to the effective date of this commission's rule listing the waste rather than by reference to October 21, 1976.

45.1(2) Unless otherwise provided in this chapter, or unless the context would require otherwise, references in 40 C.F.R. parts 260 through 265 to "EPA," the "EPA Adminis­trator," or the "EPA Regional Administrator" shall be deemed to be reference to the "Iowa Department of Environmental Quality" or to the "Executive Director" of the Department.

400-45.2(68GA,ch111) Identification and listing of hazardous waste. The following is adopted by reference: 40 C.F.R. part 261 as promulgated May 19, 1980 (45 FR 33119-33133).

Provided that, in accordance with Acts of the Sixty-eighth General Assembly, Chapter 111, section 2, subsection 3, paragraph "b", subparagraph (2), sewage sludge from a publicly owned treatment works shall not be considered a hazardous waste subject to this chapter.

Provided further that the commission finds 40 C.F.R. §261.4(b)(2) to be a reasonable inter­pretation of the Acts of the Sixty-eighth General Assembly, chapter 111, section 2, subsection 3, paragraph "b", subparagraph (1), which section excludes agricultural wastes, including manures and crop residues, that are returned to the soil as fertilizers or soil conditioners from the definition of hazardous waste.

400-45.3(68GA,ch111) Standards applicable to generators of hazardous waste. The follow­ing is adopted by reference: 40 C.F.R. part 262 as promulgated May 19, 1980 (45 FR 33142-33148).

Ch 45, p.2 Environmental Quality[400 lAC 10/15/80 11/26/80

Provided that the commission finds 40 C.F.R. §262.51 to be a reasonable interpretation of '-....,/ Acts of the Sixty-eighth General Assembly, chapter 111, section 10, as applied to a farmer who uses pesticides on the farmer's own land. Other persons who use federally approved agricultural chemicals would not be in violation of the Acts of the Sixty-eighth General Assembly, chapter 111, or of this chapter if they comply with the requirements of Acts of the Sixty-eighth General Assembly, chapter 111, section 10.

Provided further that the advance notification of international shipment required by 40 C.F.R. §262.50(b) should be provided to the EPA administrator rather than to the executive director.

Provided further that if an exception report is required by 40 C.F.R. §262.42, the generator must send a copy of the exception report, in addition to the executive director, to: The state agency administering the hazardous waste program (or to the EPA regional administrator in an unauthorized state) where the facility designated on the manifest is located; and to the state ~ ; agency administering the hazardous waste program (or the EPA regional administrator in an .._.., unauthorized state) for the facility to which the shipment may have been delivered. (A list of authorized state programs and EPA regional administrators is available from the executive director.)

400-45.4(68GA,chlll) Standards applicable to transporters of hazardous waste. The following is adopted by reference: 40 C.F.R. part 263 as promulgated May 19, 1980 (45 FR 33151-33152).

Provided that if a hazardous waste in transit is discharged in Iowa, the transporter shall notify local and state officials as required in chapter 41 of these rules.

400-45.5(68GA,chlll) Standards for owners and operators of hazardous waste treatment, storage and disposal facilities. The following is adopted by reference: 40 C.F.R. part 264 as promulgated May 19, 1980 (45 FR 33221-33232).

400-45.6(68GA,chlll) Interim status standards for owners and operators of hazardous waste treatment, storage and disposal facilities. The following is adopted by reference: 40 C.F.R. part 265 as promulgated May 19, 1980 (45 FR 33232-33258).

45.7 Reserved.

400-45.8(68GA,chlll) Notification. Acts of the Sixty-eighth General Assembly, chapter 111, section 5, subsection 1, requires that a person who, on the effective date of a rule listing a hazardous waste, is generating or transporting a listed hazardous waste or who owns or is operating a facility that treats, stores or disposes of the listed hazardous waste shall file with the executive director within ninety days a notification stating the waste handled by the person

~

and the location and a description of the activity involving the waste. Acts of the Sixty-eighth ~ General Assembly, chapter 111, section 5, subsection 2, requires that anyone who plans to commence generating or transporting a hazardous waste on or after the effective date of such a rule must file a notifiation prior to commencing that activity. Since the commission's rules listing hazardous waste simply adopt by reference the federal listing, the commission finds it appropriate to utilize federal notification requirements. Therefore, anyone who has filed a satisfactory notification with EPA will be deemed to have complied with the notification re­quirement of Iowa law. Anyone who intends to file the notification with the department of en­vironmental quality may do so by using the federal form (EPA form 8700-12 (2-80), see 45 Federal Register 12750-12754 February 26, 1980) or by filing the same information on 8Yl x 11 typed pages.

Acts of the Sixty-eighth General Assembly, chapter 111, section 5, subsection 3, provides that effective July 1, 1981 a person who generates not more than 220 pounds of hazardous waste in any one-month period shall be exempt from notification requirements. Acts of the \...,.) Sixty-eighth General Assembly, chapter Ill, section 5, subsection 3, would prevail over 40 C.F.R. §261.5(b), 261.5(c) and 261.5(d).

Therefore on and after July 1, 1981, any person who generates not more than 220 pounds of hazardous waste in any one-month period would not have to provide notification even if it

\..,1

\_,)

\...,)

\..,)

\._..I

lAC 6/11/80, 11126/80

470-45.1(135) Definitions.

Health[470]

TITLES V and VI

CHAPTERS 42 to 44 Reserved

TITLE VII

NONPUBLIC WATER WELLS

CHAPTER 45* . NONPUBLIC WATER WELLS

Ch 45, p.1

45.1(1) "Abandoned well" means a well whose use has been permanently discontinued. A well shall be considered abandoned when its condition is such that continued use is impractical or no longer desired.

45.1(1) "Administrative authority" means local boards of health or the Iowa state depart­ment of health.

45.1(3) "Annular space" means the open space between the well hole excavation and the well casing.

45.1(4) "Established grade" means the permanent point of contact of the ground to artifi­cial surface with the casing or curbing of the well.

45.1(5) "Grout" means a material used to seal the annular space between the casing and the bore hole and shall consist of neat cement, concrete, heavy drilling mud or heavy bentonite water slurry. Heavy drilling mud or heavy bentonite water slurry when used as grout shall be of sufficient viscosity to require a time of at least seventy seconds to discharge one quart of the material through an API (American Petroleum Institute) marsh funnel viscometer.

45.1(6) "Major rehabilitation or reconstruction" means repairs greater than the simple re­placement of a pump or the surging or acid treatment of a well to restore its yield.

45.1(7) "Nonpublic water supply" means a water system that has fewer than fifteen ser­vice connections or serves less than twenty-five people, or one that has more than fifteen ser­vice connections or services more than twenty-five people for less than sixty days a year.

45.1(8) "Pitless adaptor'' means an assembly designed for attachment to a well casing which permits below-frost discharge from the well and allows vertical access to the interior of ·the well for the installation or removal of the pump or its appurtenances thereby eliminating the need for frost pits.

45.1(9) "Polluted or contaminated" means alteration of the physical, chemical, or bio­logical quality of the water so that it is harmful or potentially injurious to the health of the user or for the intended use of the water.

45.1(10) "Pumps and pumping equipment'' means any equipment or materials utilized or intended for use in withdrawing or obtaining water for any use, including seals and tanks, together with fittings and controls.

45.1(11) "Stuffing box" means an approved receptacle in which packing may be com­pressed to form a watertight or airtight junction between two objects.

45.1(11) "Vertical zone o.f contamination" means that depth of geological formation, generally near the ground surface, containing connecting pore spaces, crevices or similar open-·ings, including artificial channels, such as unprotected wells, through which contaminated water may gain access to a well or to a ground water source.

45.1(13) "Well" means any excavation that is drilled, driven, dug, bored, augered, jetted, washed or is otherwise constructed for the purpose of withdrawing water.

45.1(14) "Well seal" means a device used to cap or seal a well that establishes or maintains a junction between the casing of the well and the piping, electric conduit or equipment in­stalled therein, so as to prevent water or other foreign material from entering the well at the uppermost terminal.

•Effective date of chapter 45 delayed seventy days by the administrative rules review committee. [Published 10/1/80).

Effective date of chapter 45 delayed by the administrative rules review committee forty-five days after convening of the next General

Assembly pursuant to §17A.8(9). [Published 11/26/80)

Ch4S, p.2 Health[470] IAC6/ll/80

a. uwe/1 cap, means a snug-fitting, nonwatertight device used above flood level that ex- \....,/ eludes dust and vermin and allows for venting.

b. usanitary seal, means a watertight fitting used on wells that terminate in a frost pit. or well house. ·

45.1(15) "Cesspool', means a covered excavation, lined or unlined, into which wastes from toilets or urinals are discharged for disposal. Cesspools are not an approved method of sewage disposal.

470-45.2(135) Applicability. The provisions contained herein apply to all nonpublic water wells constructed after the effective date of these rules and include existing water wells under­going major rehabilitation or reconstruction.

470-45.3(135) General. The administrative authority shall have the authority to visit such \ , well sites during any phase of the work in progress without prior notice. The administrative ......,.. authority may also by rule require the issuance of permits, the posting of performance bonds, the submission of water well logs, and other data as necessary.

470-45.4(135) Variances. Variances to these rules may be granted by the state department of health or local boards of health provided sufficient and proposed alternative information is afforded to substantiate the need and propriety for such action. Variances and reasoning shall be in writing and copies filed with the health engineering section, Iowa state department of health.

470-45.5(135) Location of wells. Wells shall be located with due consideration given to the lot size, contour, porosity and absorbency of the soil, local ground water conditions, and other factors necessary to implement the basic rules contained herein. The lack of specific ~ distances to other possible sources of contamination such as refuse disposal sites, buried oil and gasoline storage tanks, etc., does not minimize their potential hazard. These must be evaluated in each particular situation and a distance arrived at that is based on pertinent facts. The administrative authority should be called upon for assistance in determining a proper distance in these cases.

45.5(1) Minimum distances. The following minimum lateral distances shall apply for the common sources of contamination listed in table 45.5(2).

45.5(2) Lateral. Table 45.5(2) Minimum lateral distances

Sources of Contamination Lagoons or waste treatment facilities

Cesspools Preparation or storage area for spray materials, commercial fertilizers or chemicals that may result in ground water con­tamination Drainage or improperly abandoned wells

Soil absorption field, pit privy or similar disposal unit Confined feeding operations Septic tank, concrete vault privy, sewer or tightly joined tile or equivalent material, sewer-connected foundation drain, or sewers under pressu~e

Ditches, streams or lakes

Sewer of cast iron with leaded or mechanical joints, indepen­dent clear water drains, or cisterns Pumphouse floor drain draining to ground surface (Drains must not be connected to any sewer or drainage system.)

Minimum Lateral Distance

1 ,000 feet

150 feet

150 feet

100 feet

100 feet

100 feet

50 feet

25 feet

10 feet

5 feet

~

\...,)

IAC6/ll/80 Health[470] Ch45, p.7

'-"' c. Heavy drilling fluid. When this material is used as grout in a rotary drilled well, it shall contain a high percentage of clay or bentonite to minimize shrinkage of the slurry within the annular space. Heavy bentonite water slurry is a mixture of ten percent by weight of bentonite added to clean water or approximately five percent bentonite added to drilling mud. Bentonite shall contain eighty-five percent of the mineral montmorillonite and shall meet API Standard 13A, March 1966. Saline, acid or alkaline substances or other additives to cause a temporary increase in viscosity of the bentonite slurry are not permitted as a component of grouting material.

d. Application. Grouting shall be performed by adding the mixture from the bottom of the annular space upward in one continuous operation until the annular space is filled or to the point of the pitless adaptor attachment. The only exception to this method of application is in situations such as the construction of bored or augered wells where the annular space is six

\. J inches or greater to depths of not more than twenty feet. In this situation, the grout may be ......,. applied from the surface providing care is taken to ensure an even flow to all sides of the casing

for the entire pour, which shall be continuous until the annular space is completely grouted. 45.8(4) Pitless adaptor units. Pitless adaptor units conforming to Pitless Adaptor Stan­

dard No. 1 (PAS-t) as promulgated by the water systems council are considered as complying with these regulations. This standard is available for inspection at the Des Moines office of the state department of health or may be obtained for personal use from the Pitless Adaptor Divi­sion, Water Systems Council, 212 North La Salle Street, Chicago, lllinois 60601.

476-45.9(135) Pump installation. 45.9(1) Pump house appurtenances. When pump houses are utilized, they shall be con­

structed above established grade permitting access to the well and pump for maintenance and repair. The pump room shall be provided with an independent floor drain that discharges to ground surface. The outside opening of this drain line shall be fitted with a brass, bronze or copper 16-mesh screen to exclude the entrance of pests.

45.9(2) Pump house floors. The top of the well casing shall terminate at least twelve inches above the pump house floor. The pump house floor shall be· constructed of concrete that is not less than four inches in thickness and is sloped away from the casing. A watertight seal of asphalt or similar material, to provide resiliency, shall be provided between the casing and the pump house floor.

45.9(3) Pumps and pumping equipment. All pumps shall be designed, installed and main­tained so that priming is not required for ordinary use. Pumps that have unprotected openings into the interior of the pump or casing shall not be used.

a. Submersible pumps. Submersible pump discharge lines shall leave the well through a properly installed pitless adaptor or through a sanitary seal.

b. Other power pumps. Other power pumps located over the well shall be mechanically joined to the casing or on a pump foundation or stand in such a manner as to effectively seal the top of the well. A sanitary seal shall be used where the pump is not located over the well, and the pump delivery or suction pipe emerges from the top thereof. If these units are located in a basement, all suction lines shall be elevated at least twelve inches above the floor and shall be encased in a protective galvanized steel pipe.

c. Hand pumps or similar devices. Pumps of this type shall be fitted with a gasket and bolted securely to the platform to provide a watertight seal, have a closed spout, directed downward, and a pump rod that operates through a stuffing box.

476-45.10(135) Well disinfection. All new, repaired or reconditioned wells or pump instal­lations shall be thoroughly pumped to waste until all dirt and foreign materials are removed and the water is reasonably clear. Superchlorination, with calcium or sodium hypochlorite compounds with a concentration of at least 100 parts per million (ppm), shall then be ac­complished simultaneously throughout the water well distribution system.

Ch45, p.8 Health[470] lAC 6/11/80, 11/26/80

470-45.11(135) Water analysis. All new, repaired or reconditioned well or pump installa- \.,...,) tions, upon being properly disinfected as outlined in rule 45.10(135), shall submit a water spec-imen to the university hygienic laboratory at Iowa City (previously known as the state hygienic laboratory) or to another approved laboratory for bacterial and nitrate analysis. Information regarding the procurement of water specimen, bottles, fees, etc., can be obtained from local boards of health, the state department of health or the university hygienic laboratory. 470-45.12(135) Hydropneumatic (pressure) tanks, filters, and miscellaneous water treat-ment equipment. Properly sized tanks, filters, and other treatment equipment shall be in­stalled in accordance with the manufacturer's directions and shall maintain a pressure of fif-teen pounds at highest point usage. Where applicable, A WW A Standards for Steel Tanks, Standpipes, Reservoirs, and Elevated Tanks Storage (DI00-59) shall be followed.

470-45.13(135) Abandonment of wells. Abandoned wells are a hazard to the water-bearing formation as well as to the physical well-being of people. In addition to providing easy access \,.,) to pollution entering formations supplying water to other wells in the vicinity, numerous cases of injury and death have resulted from persons or animals falling into unprotected, improp-erly abandoned wells.

Wells no longer used shall be properly abandoned as outlined in Public Information Circu­lar No. I I entitled "Plugging Procedures for Domestic Wells" as provided by the Iowa geo­logical survey. A copy of this circular is available for inspection at the Des Moines office of the state department of health. Personal copies may be obtained from the Iowa Geological Survey, 123 North Capitol Street, Iowa City, Iowa 52242.

Under no circumstances shall abandoned wells be used for the disposal of garbage, septic tank sludge or effluents, as a receptacle for field tile drainage, or for any other type of unau­thorized disposal of waste materials.

These rules are intended to implement section 135.11(1), The Code. ~ [Filed 5/20/80, Notice I 1114/79-published 6/11180, effective 10/1/80*]

TITLE VIII

Reserved

CHAPTERS 46 to SO Reserved

TITLE IX

HOSPITALS AND RELATED INSTITUTIONS

CHAPTER 51 HOSPITALS

470-51.1 (135B) Deftnltions. 51.1(1) Hospital. A hospital shall mean a place which is devoted primarily to the

maintenance and operation of facilities for the diagnosis, treatment or care over a period of exceeding twenty-four hours of two or more nonrelated individuals suffering from illness, injury or deformity, or a place which is devoted primarily to the rendering over a period exceeding twenty-four hours of obstetrical or other medical or nursing care for two or more nonrelated individuals, or any institution, place, building or agency in which any accommodation is primarily maintained, furnished or offered for the care over a period exceeding twenty-four hours of two or more nonrelated aged or infirm persons requiring or receiving chronic or convalescent care and shall include sanatoriums, rest homes, nursing homes, boarding homes or other related institutions within the meaning of this Act. Provided, however, nothing in this Act shall apply to hotels or other similar places that furnish only food and lodging or either to their guests. "Hospital" shall include, in any '\..._,)

•Effective date of chapter 4S delayed seventy days by the administrative rules review committee. (Published 10/1/80).

Effective date of chapter 4S delayed by the administrative rules review committee forty-five days after convening of the next General

Assembly pursuant to §17A.8(9). (Published 11/26/80)

lAC 7/12/78 Health[470]

CHAPTER 152 BARBER EXAMINERS

Ch 152, p.l

470-152.1(158) Course of study. Each Iowa school of bar bering licensed by the Iowa board of barber examiners shall conduct a course of study of at least 2,100 hours to be equally divided over a period of not less than ten months. Such course of study shall include the following:

152.1(1) Supervised practical instruction 1 ,675 hours The following shall be included:

Scalp care and shampooing Honing and stropping Shaving Facials, massage and packs Science of hair structure Haircutting Hair tonics and singeing Hair relaxing Hair coloring and hair body processing Hair styling 152.1(2) Demonstration and lectures 380 hours

The following shall be included: Law, ethics, economics, equipment, shop management and history of

barbering Sanitation, sterilization, personal hygiene and first aid Bacteriology Anatomy

Skin, scalp, hair and their common disorders Electricity, as applied to barbering Chemistry and pharmacology Scalp care Honing and stropping Shaving Facials, massage and packs Hair relaxing · Science of hair structure Haircutting Hair tonics and singeing Instruments, soaps, shampoos, creams, lotions and tonics 152.1(3) Special lectures 45 hours

The course of study shall include lectures by a qualified person in the following areas:

Tax consultant, advertising, insurance, business management, salesmanship and licensed barbers.

Every student shall have at least 45 hours. Total 2,100 hours

This rule is intended to implement sections 147.29, 147.36 and 147.90 of the Code.

Ch 152, p.2 Health[470] lAC 11/26/80

470-152.2(158) Qualifications of managers and instructors. '-" 152.2(1) An instructor in a school of barbering shall be licensed by the state department of

health as an instructor in barbering. A person is qualified to receive a license as an instructor who has met all the requirements of section 158.3, The Code, as a barber, has practiced as a licensed barber for not less than two years, has graduated from an accredited high school or has an equivalent education as determined by the board, and has passed an examination ad­ministered by the board to determine his or her fitness to practice as an instructor. If after making application for the barber instructor's examination and paying the required fee, per­mission is requested by the applicant in writing from the board to instruct until the date of the next examination, the board may grant such special permission not to exceed six months. If the applicant fails such examination the second time, the board will not renew the special per­mission to instruct. The applicant is eligible to take the examination again only after com-pleting a special institute approved by the board. "..,)

152.2(2) Number of instructors required. In each school or college of barbering, there shall be at least two licensed instructors for every thirty students or fraction thereof, and one additional instructor for each additional fifteen students or fraction thereof.

152.2(3) A school shall not permit its instructors to work on its patrons, except when instructing or otherwise assisting students in said school.

This rule is intended to implement sections 147.29, 147.36, 147.90 and 158.7, The Code.

470-152.3(158) AppUcation for licensing. An application for licensing of a proposed school shall be in writing and made to the board of barber examiners at its office in Des Moines, Iowa, for a hearing. Notice of the time and place ftxed for a hearing shall be given to the applicant, who at that time shall appear in person before the board. At the hearing the applicant shall submit to the board the following information in typed or printed form:

152.3(1) The exact location of the proposed school. \.,.) 152.3(2) A statement of the maximum number of students proposed to be trained at any

time as determined by the physical facilities. 152.3(3) Photostatic copy of the essential parts of all leases, with the lease of at least one

year, or other documents, giving the owner of the school the right to possession of the premises.

152.3(4) Evidence that the applicant has sufficient finances to acquire the facilities and equipment required by the board and that finances are available to provide for operation of the proposed school for a minimum period of twelve months. Such evidence shall be presented by sworn affidavit of applicant and financial statement duly signed in affidavit form as to its veracity.

152.3(5) A complete plan of the physical facilities to be utilized and as applied to sections relative to classroom and minimum equipment required. ~

152.3(6) No student shall be accepted until the above requirements are met. This rule is intended to implement sections 147.29, 147.36, 147.90 and 158.7, The Code.

470-152.4(147) Minimum equipment of school of barbering. Each school of barbering shall have the following minimum equipment:

152.4(1) One chair, lavatory and backstand, providing proper cabinet for immediate linen

\....,)

IAC217/79 Health[470]

\..,.) 152.212(4) Practicing the profession while the license is suspended. 152.212(5) Suspension or revocation of license by another state.

Ch 152, p.9

152.212(6) Negligence by the licensee in the practice of the profession, which is a fail­ure to exercise due care including negligent delegation to or supervision of employees or other individuals, whether or not injury results; or any conduct, practice or conditions which impair the ability to safely and skillfully practice the profession.

152.212(7) Prohibited acts consisting of the following: c1. Permitting an unlicensed employee or person under the licensee's control to perform

activities requiring a license. b. Permitting another person to use licensee's license for any purpose. c. Practice outside the scope of a license. d. Obtaining, possessing, or attempting to obtain or possess a controlled substance

~, 1without lawful authority; or selling, prescribing, giving away, or administering controlled "-""substances.

e. Verbally or physically abusing clients. 152.212(8) Unethical business practices, consisting of any of the following: a . .False or misleadmg adverttsmg. b. Betrayal of a professional confidence. c. Falsifying clients' records. 152.212(9) Failure to report a change of name or address within thirty days after it

occurs. 152.212(10) Submission of a false report of continuing education or failure to submit

the annual report of continuing education. 152.212(11} Failure to notify the board within thirty days after occurrence of any

judgment or settlement of a malpractice claim or action. \..,) 152.212(12) Failure to comply with a subpoena issued by the board.

152.212(13) Failure to report to the board as provided in rule 470-152.201(258A) any violation by another licensee of the reasons for disciplinary action as listed in this rule.

470-152.213(258A) Peer review committees. 152.213(1) Each peer review committee for the profession, if established, may register

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

152.213(2) Each peer review committee shall report in writing within thirty days of the action, any disciplinary action taken against a licensee by a peer review committee.

152.213(3) The board may appoint peer review committees as needed consisting of . not more than five persons who are licensed to practice barbering to advise the board on

\..,1 standards of practice and other matters relating to specific complaints as requested by the board. The members of the peer review committees shall serve at the pleasure of the board. The peer review committees shall observe the requirements of confidentiality pro­vided in chapter 258A of the Code.

Rules 152.200(258A) to 152.213(258A) are intended to implement sections 258A.4, 258A.S and 258A.6 of the Code.

152.214 to 152.299 Reserved.

PROCEDURES FOR USE OF CAMERAS AND RECORDING DEVICES

AT OPEN MEETINGS

470-152.300(28A) Conduct of persons attending meetings. '--'! 152.300(1) The person presiding at a meeting of the board may exclude a person

from an open meeting for behavior that obstructs the meeting. 152.300(2) Cameras and recording devices may be used at open meetings provided

they do not obstruct the meeting. If the user of a camera or recording device obstructs the

Ch 152, p.10 Health(470] lAC 11126/80

meeting by the use of such device, the person presiding may request the person to dis­continue use of the camera or device. If the person persists in use of the device or camera, that person shall be ordered excluded from the meeting by order of the board person presiding at the meeting.

This rule is intended to implement section 28A. 7 of the Code. [Filed 7 I II /67]

[Filed 8/5/77, Notice 6/1177 -published 8/24/77, effective 10/ 1177] [Filed, 4/28/78, Notice 11/30/77-published 5/17/78, effective 6/21/78] (Filed 1/18/79, Notice 10/18/78-pubished 2/7/79, effective 4/1 /79j rFiled 4/24/79. Notice 3/7 /79-oublished 5/16/79, effective 7/1/791

[Filed 5/5/80, Notice 2/20/80-published 5/28/80, effe~tive 7/7 /80] [Filed 11/4/80, Notice9/3/80-published 11/26/80, effective 1/1/81]

CHAPTER 153 SANITARY CONDITIONS FOR BARBERSHOPS

AND BARBER SCHOOLS

470-153.1 (158) Rules posted. The manager of each barbershop shall keep a copy of these rules posted in a conspicuous place in the shop.

470-153.2(158) License. Barbers shall display at their work cabinet the original license, with the annual renewal certifying the practitioner is a licensed barber. Barbershop licenses shall be in the name of the licensed operator and posted therein. All temporary permits shall be posted.

~

~

470-153.3(158) Sanitation. Every barbershop shall be well lighted, properly ventilated ~ and kept in clean, sanitary and orderly condition. All shops or schools shall have handwashing and toilet facilities accessible within the building.

470-153.4(158) Quarters. Barbering shall not be practiced in a residence unless the shop is completely separated from living quarters by a solid permanent partition. A solid door leading to residence shall be permitted providing it remains closed during business hours except during ingress and egress. An outside entrance shall be provided.

470-153.5(158) Quarters adjacent to other business. A barbershop located in a room adjacent to a food service establishment, tavern or grocery shall be in a completely separate room. Doors between the barbershop and the aforesaid shall be rendered unusable except for emergencies. A barbershop may be operated in conjunction with a cosmetological estab-lishment provided it meets all the requirements of the law pertaining to barbering. \..! 470-153.6(158) Plumbing. Barbershops shall have an adequate supply of potable hot and cold water under pressure.

470-153.7(158) Equipment. 153.7(1) A barbershop owner shall provide each chair in the shop equipment for steril-

\...,)

lAC 11/26/80 Health[470]

CHAPTER 203 STANDARDS FOR CERTIFICATE OF NEED REVIEW

470-203.1(135) Acute care bed need. 203.1(1) Purpose and scope.

Ch 203, p.l

a. The methodology described in this section provides the basis for estimating the an­ticipated number of patient-days of acute care hospital service that Iowa citizens will need in the future. The methodology embodies predictive indicators of acute care usage, population and demographic adjustments, and "target" usage rates. The "target" rates express the intent to reduce the levels of acute care usage in areas of the state where that usage is excessive, and not otherwise attributable to the presence of high-usage population groups.

b. The number of acute care beds which will be needed by each of the state's hospitals in the future is a function of the number of patient-days of acute care that will be needed by Iowa

~ citizens, with allowance for the needs of specific population groups and for the travel distance to-and location of the state's hospitals.

c. Certificate of Need project applications are to be evaluated against the projected bed need determination for those hospitals seeking permission to:

1. Construct new acute care beds; 2. • Modernize or renovate acute care beds/patient nursing units; 3. Convert acute care beds from one service use to another; 4. Add to the square footage space of the hospital, where it might be architecturally feasi­

ble and cost effective to convert excess bed space. d. The methodology responds to the following criteria for evaluation of certificater of need

applications: 1. The need of the population for the health services;

~ 2. Availability of alternative, less costly or more effective methods of providing the pro-posed services;

3. Relationships of the proposed service to the existing health care system of the area; 4. Consideration of the capacity to provide services and consideration of alternatives such

as sharing or co-operating arrangements; 5. Other existing facilities providing similar services to those proposed are being used in an

appropriate and efficient manner. 203.1(2) Definitions. a. uEstimated patient-day use rate" means the number of days of hospital care provided

per year, per thousand residents of a county (or the state). The rate is calculated by adding together all of the patient-days per year for residents of a county (or state), obtained from the records of hospitals where those residents received services. The total patient-days is then divided by the number of residents in the county (or the state), and the answer is expressed as

\...,) "X patient-days per 1,000 persons". A patient-day use rate can be calculated for any specific age group by identifying the number of patient-days of use by residents in that age group and dividing by the number of residents in that age group.

b. uTarget use rate" for a county means the patient-day use rate that establishes a pro­jected need level for the county at a future point in time. A target use rate can be determined for a specific age group, using the method described above. In this methodology, target use rates will be determined for four age groups: 0-14, 15-44, 45-64, and 65 and older. Therefore, each county will have four target use rates. For each county, the target use rate for each age group shall be the lowest of (1) The estimated patient-day use rate for the county during the survey period or (2) The state average estimated patient-day use rate during the survey period. The rates in effect at the time that an application is declared complete by the State are the rates employed in reviewing that application.

c. uPatient destination patterns" means the distribution, by hospital, of the total patient­\,/ days of each county. The patterns show where patients were referred for hospital service.

d. uPatient destination proportion" means the percentage of a given county's patient-days that occurred in any given hospital. •Emergency pursuant to §17A.S(2)"b"(2}, The Code.

Ch 203, p.2 Health[470] IAC2/20/80

e. uTarget occupancy rate, means the desired average annual percent of a given hospital's ~...,.) usable beds that will be occupied. An occupancy rate is determined by dividing a hospital's average daily census (ADC) of patients by the facility's number of usable beds. A "target" oc­cupancy establishes desired levels of efficiency.

f. uAcute care beds, means short-stay hospital beds including general medical/surgical, pediatric, obstetric, psychiatric and other short-stay specialized beds.

203.1(3) Data requirements. a. Patient destination patterns, patient destination proportions, and the patient-use of

acute care services shall be determined from the most recent statewide patient origin and destination study. Such a study shall be conducted at intervals not to exceed three years and shall be the responsibility of the department of health. The initial study conducted in 1977 produced target utilization rates. Those target rates produced by subsequent studies shall be reviewed as to their continued appropriateness at the time each three year study is analyzed. If better data is submitted in the interim between studies such shall be considered in readjusting ~ the target use rates. As revised target use rates are determined by study, the Statewide Health Co-ordinating Council (SHCC) shall review the new target use rates to determine their ap­propriateness. All Iowa hospitals shall participate in the survey and shall co-operate with the department in providing the most accurate information available. Out-of-state hospitals will also be surveyed in order to obtain information on Iowa residents receiving hospital care out of the state.

b. Population estimates and ,projections shall be obtained from the most recent Official Iowa Population Projections, published by the Office for Planning and Programming. The projecting horizon used in this methodology shall be ten years in the future. Using the year of the most recent patient origin and destination study as "year one", projected patient-day use rates will be applied to the projected populations in "year ten" (example: from the informa-tion in the 1977 patient origin and destination study, projections will be made for 1987). ~

c. Data pertaining to bed capacity and annual patient-days shall be obtained from the most recent Annual Report for Hospital and Related Health Facilities submitted by hospitals to the Department of Health.

203.1(4) Methodology. a. Annual "estimated patient-day use rate" by county: (1). Annually adjust the patient-day information obtained from the one month patient

origin and destination study by multiplying the patient-days of each hospital by the ratio of annual patient-days (obtained from the Annual Report) to sample month patient-days (ob­tained from the patient origin and destination study).

(2). To determine estimated annual county patient-days for each of the age groups (0-14, 15-44, 45-64 and 65 and older) for any given county do the following: first, annually adjust all patient-days identified in the one month survey as described in (1) above; second, for each hospital identify the residence of origin of their annually adjusted patient days by each specific ~ county; third, for each county identify the annually adjusted patient-days for that county's residents from all of those hospitals which served the residents of the county during the patient origin study period. Follow the same procedure for each age group.

(3). To determine the county patient-day use rate for each age group divide the number of patient-days for that age group (identified in (2). above) by the population of the county in that age group. Express the results as "X number of patient-days per 1,000 residents in Y age group."

b. Annual "estimated patient-day use rate" by state. For each age group add together the estimated annual county patient-day for that age group in all counties and divide by the state population in that age group.

c. To determine target use rates-each county will have four target use rates; one for each of the age groups 0-14, 15-44, 45-64, and 65 and older. The target use rate for any age group l )

for a county will be the lowest of: .._.., (1). Estimated annual patient-day use rate for the age group in that county; (2) Estimated annual patient-day use rate for the age group in the state.

'\.w.)

\._)

\_,)

\..,)

\..,)

lAC 10/1/80 Health [470] Ch203, p.17

be no greater than 110 percent of the state average for hospitals of similar size. Categories of hospitals of similar size are:

Beds 6-24

25-49 5Q-99

100-199 200-299 300-399 400-499 500+

Adjusted patient day as used here is defined in Hospital Statistics, AHA, 1978. Nursing homes shall meet regulations for licensure personnel requirements. (4) Prior to initiation of a project, the cost per patient day of a hospital should be within 10

percent of the state average for hospitals within that size category. (See standard 203.8(3)"d,(3) for size categories.) An applicant's costs, which are incurred as a result of shared service contracts with other entities, and which are not charged to patients within the applicant's facility should not be included in the estimation of costs per patient day.

203.8(4) Economic feasibility. a. The project as proposed shall be cost effective. (1) The applicant should demonstrate that the project represents the most cost effective

alternative. Such alternatives include, among others, new construction versus renovation and new service versus shared or contracted services.

(2) The .applicant should demonstrate that of the financing methods available, financing method chosen is the least costly alternative.

(3) Applicants shall demonstrate that construction or renovation costs are reasonable when compared to similar projects of the most recent year.

(4) The net operating margin should not exceed a percentage sufficient to provide for the organization's financial requirements, as defined in "Financial Requirements of Health Care Institutions and Services" (American Hospital Association, S031, February 1979), and limited by existing reimbursement payors.

(5) Facilities should show evidence that they have considered alternate energy sources within their institutions; and energy efficiency in project construction design.

This rule is intended to implement section 135.74, The Code. 203.9 Reserved.

470-203.10(135) Designated pediatric units standards. 203. 10(1) Purpose and scope. a. These standards are measures of some of those criteria 1 *(a to q) found in section

135.64, The Code. Criteria 1 *(a to q) which are measured by a standard are cited in paren­theses, following each standard.

b. Certificate of need applications for new institutional or changed institutional health serv­ices, which are to be evaluated by the standards in this rule, are those applications to:

(1) Construct, develop, offer new, modernize, replace, renovate or relocate designated pediatric units, services and equipment;

(2) Expand bed capacity in designated pediatric units. 203.10(1) Definitions. a. Designated pediatric units. A designated set of hospital facilities with equipment and

personnel planned for the care of infants (other than newborn) and children (usually less than 16 years of age). According to chapter 470-51 of the Iowa Administrative Code, pediatric units constructed after 1976 have in addition to patient rooms, nurseries, nursery workrooms, examination and treatment room for nurseries; multipurpose rooms for dining, education and play; space for preparation and storage of infant formula; patient toilet room(s) convenient to multipurpose room equipment; and storage space for replacement of youth and adult beds to provide for swing capacity. Nurse staffing for pediatric units should have special training in •Section 135.64(1), The Code.

Ch203,p.18 Health [470] lAC 11/26/80

pediatrics. While usable bed capacity in a section of a facility may be a designated pediatric unit, beds in that unit may be swung when peak patient cen·sus demands such.

b. Swing bed. Acute care beds which may serve adult medical/surgical patients, and pediatric patients, depending upon the patient census.

203.10(3) Availability. a. Minimum utilization (section 135.64(1) "c", "g", "h"). (1) All designated pediatric units should operate at least at the following minimum

occupancy rates: Beds OJo Occupancy Beds %Occupancy < 10 . . . . . . . . . . . . . . . . . . . . . 600Jo 32-35 . . . . . . . . . . . . . . . . . . . . . . . 680Jo 11-13 ..................... 61% 36-39 ....................... 69% 14-15 ..................... 62% 40-47 ....................... 70% 16-17 ..................... 63% 48-55 ....................... 71% 18-19 ..................... 64% 56-63 ....................... 72% 20-23 ..................... 65% 64-71 ....................... 73% 24-27 . . . . . . . . .. . . . . .. . . . . . 66% 72-79 . . . . . . . . .. . . . . . . . . . . . . . 74% 28-31 . . . . . . . . . . . . . . . . . . . . . 670Jo 80 + . . . . . . . . . . . . . . . . . . . . . 750Jo

Facilities which cannot justify a designated pediatrics unit based on the above minimum oc­cupancy rates are encouraged to care for pediatric patients in medical surgical beds.

b. Expansions (section 135.64(1) "c", "d", "e", "g", "h"). (1) Designated pediatric units in a multihospital community should be operating at least at

the minimum occupancy levels of 203.10(3)"a"(l) before additional beds are approved. Ex­pansion of designated pediatric units in a multihospital community which has units running at less than the minimum occupancy rates of 203.10(3)"a"(1) and expansion of designated pedi­atric units which would likely cause other units in the community to operate at less than the minimum occupancy rates should be approved only if such expansions reflect the outcome of a community planning effort which includes recommendations to adopt the least long run cost method of providing designated pediatric services in the community.

203.10(4) Costs. See financial and economic feasibility standards, 470-203.8. 203.10(5) Accessibility (section 135.64(1) "c", "d"). a. Surface travel time to a designated pediatric unit in a service area should not exceed 60

minutes for 80 percent of Iowa's population. b. Services should be provided regardless of ability to pay, in consideration of those pro­

grams available in the state which serve the medically indigent. 203.10(6) Quality (section 135.64(1) "i", "k"). The proposal should meet all applicable

licensure regulations. 203.10(7) Continuity(section 135.64(1) "g", "h", "i", "k"). a. The applicant should provide documentation that physician's services are available

twenty-four hours a day, and that registered nursing services are available on-site twenty-four hours a day.

b. Facilities with designated pediatric units should include mechanisms for comprehensive medical follow-up, including medical records exchange.

203.10(8) Acceptability (section 135.64(1) "c"). Facilities with pediatric services shall doc­ument a willingness to observe and respect the rights of patients as stated in the "Patient's Bill of Rights" adopted by the American Hospital Association, February 6, 1973 and reprinted in 1975.

Rules 203.8 to 203.10 are intended to implement sections 135.61 to 135.83, The Code. [Filed emergency 7 /26/78-published 8/23/78, effective 7 /26/78]

[Filed 2/1180, Notice 8/8/79-published 2/20/80, effective 3/26/80] [Filed 6/6/80, Notice 2/6/80-published 6/25/80, effective 7 /30/80]

[Filed emergency 9/10/80-published 10/1180, effective 9/10/80] [Filed emergency 11/7 /SO-published 11/26/80, effective 11/7 /80]

\._1

'.,J

\..I

1..._,1

\w,l

lAC 11/26/80 Labor[530] Ch 75, p.1

-......,; 74.2(10) All balustrades shall be smooth and free of rough surfaces. All screws shall be

~

\..,I

\..._)

\..,)

flush or oval head. Screwheads shall be smooth and free of burrs. 74.2(11) On pallet type treadways adjacent ends of the pallets shall not vary in elevation

more than one-sixteenth inch. The distance between pallets shall not exceed five thirty-seconds inch.

74.2(12) All repairs and alterations shall comply with ANSI A 17.1, 1971.

530---74.3(104) Dumbwaiters. All dumbwaiters whether electric or hand powered shall con­form to ANSI A17.1, 1971, section 700. Exceptions: Required rules for hoistway construction as set forth in ANSI A17.1, 1971, shall not apply to existing installations.

These rules are intended to implement chapter 104, The Code. [Filed emergency 12/15/75, Notice 10/6175-published 12/29/75, effective 12/15/75]

530-75.1(104) New installations.

CHAPTER 75 FEES

75.1(1) Installation permit fees for elevators, escalators and moving walks shall be: Up to and including forty thousand dollars of valuation-sixty-five dollars; over forty thousand dollars of valuation-sixty-five dollars plus one dollar for each one thousand dollars or frac­tion thereof over forty thousand dollars of valuation. This fee includes initial inspection and first year operating permit. If installation has to be reinspected through no fault of the bureau of labor, there shall be a reinspect ion fee of sixty dollars for each additional inspection. Fees shall be remitted to the bureau of labor when the application for installation permit is filed.

75.1(2) Installation permit fee for dumbwaiters shall be: Up to and including thirty thou­sand dollars of valuation-thirty-five dollars; over thirty thousand dollars of valuation­thirty-five dollars plus one dollar for each one thousand dollars or any fraction thereof over thirty thousand dollars of valuation. This fee includes initial inspection and first year permit. If installation has to be reinspected through no fault of the bureau of labor, there shall be a reinspection fee of thirty-five dollars for each additional inspection. Fees shall be remitted to the bureau of labor when the application for the installation permit is filed. Acceptance in­spection fee shall be ten dollars.

530-75.2(104) Major alterations. Major alteration permit fees shall be: Up to and including twenty thousand dollars of valuation-thirty-five dollars; over twenty thousand dollars of val­uation-thirty-five dollars plus one dollar for each one thousand dollars or fraction thereof over twenty thousand dollars of valuation. This fee includes initial inspection and the major alteration permit fee. If the installation has to be reinspected, through no fault of the bureau of labor, there shall be a reinspection fee of thirty dollars for each additional inspection. Fees shall be remitted to the bureau of labor when the application for alteration permit is filed.

530---75.3(104) Annual inspections. The annual inspection fee for elevators, escalators, moving walks and dumbwaiters shall be: For each elevator, escalator, and moving walk­thirty dollars plus two dollars for every elevator landing; for each dumbwaiter-fifteen dol­lars; for each hand powered elevator-twenty dollars. This fee includes only the inspection. If the installation has to be reinspected through no fault of the bureau of labor, there shall be a reinspection fee of: For each elevator, escalator, and moving walk~twenty dollars; for each dumbwaiter-ten dollars; for each hand powered elevator-ten dollars. Fees shall be remitted to the bureau of labor when the application for the annual inspection permit is filed.

530---75.4(104) Operating permits. Annual operating permit fees shall be: For each facility -ten dollars.

.:··

;.

r·.

~ -/

. ; : .~ ..:

lAC 11/26/80 Labor[530] Ch 76, p.1

~ 530-75.5(104) Temporary operating permits. Temporary operating permit fee shall be: For each facility-ten dollars.

\._.)

\.._,)

....,_,;

-...,.;

These rules are intended to implement sections 104.3 and 104.13, The Code. [Filed emergency 12/15/75, Notice 10/6/75-published 12/29/75, effective 12/15/75]

[Filed 11/7/80, Notice 10/1/80-published 11/26/80, effective 12/31/80]

CHAPTER 76 PERMITS

530-76.1(104) Owner's responsibility. The procuring of new installation, major alteration and operating permits shall be the responsibility of the owner. No installation or alteration shall begin until approved and the permit has been issued.

Ch 76, p.2 Labor[SJO] lAC 12/29/75

530-76.2(104) Information to be submitted. When application is made to the bureau of labor for a new installation permit, the elevator safety division shall require the following information to be submitted in writing:

76.2(1) Sectional plan of car and hoistway. 76.2(2) Sectional plan of machine room. 76.2(3) Sectional elevation of hoistway and machine room including the pit, bottom and

top clearance of car and counterweights. 76.2(4) Size and weight of rails and guide rail bracket spacing. 76.2(5) The estimated maximum vertical forces on the guide rails on application of the

safety device. 76.2(6) In the case of freight elevators for class B or C loading, the horizontal forces on

the guide rail faces during loading and unloading, and the estimated maximum horizontal forces in a post-wise direction on the guide rail faces on the application of the safety device.

76.2(7) The size and weight per foot of any rail reinforcements where provided. 76.2(8) Job specifications.

530-76.3(104) Drawings and specifications. When application is made for an alteration permit, this division shall require drawings and specifications of all changes to be made.

530-76.4(104) Placement of operating permits. 76.4(1) All operating permits shall be displayed in the elevator car enclosure. 76.4(2) When it is impractical to display the operating permit in the car enclosure it

may be displayed adjacent to the main floor entrance. 76.4(3) Escalator and moving walk permits shall be displayed on or near the unit for

~

~

which they are issued. \,/ 76.4(4) Operating permits for dumbwaiters shall be displayed on the hoistway adjacent

to the main floor door.

530-76.5(104) Posting of installation or major alteration permit. 76.5(1) All installation or major alteration permits shall be conspicuously posted. 76.5(2) Permits for all elevator or dumbwaiter installations shall be posted on or near

main floor entrances of hoistway. 76.5(3) The installation permit for all escalator or moving walk installations shall be

posted at the unit nearest to the main floor entrance or on the unit itself.

530-76.6(104) Temporary permits. 76.6(1) The commissioner of labor may permit the temporary use of any elevator,

dumbwaiter, escalator or moving walk for passenger or freight service during installation or '....,I alteration, by issuing a temporary permit for each class of service upon the application of the owner.

76.6(2) In the case of elevators, such temporary permit shall not be issued until the elevator has been tested under rated load, and the car safety and terminal stopping equip­ment have been tested, in order to determine the safety of the equipment for construction purposes, and until permanent or temporary guards or enclosures are placed on the car and around the hoistway at the landing entrance on each floor.

76.6(3) Landing entrance guards shall be provided with locks which can be released from the hoistway side only.

76.6(4) Automatic or continuous pressure elevators shall not be placed in temporary operation from the landing push buttons unless door locking devices or interlocks required by ANSI A17.1. 1971, are installed and operative. ~

76.6(5) Where a temporary permit is issued, a notice bearing the information that the equipment has not been finally approved shall be conspicuously posted on, near, or visible from each entrance to such elevator, dumbwaiter, escalator or moving walk.

lAC 11/26/80 Merit Employment[570] Analysis, p.l

MERIT EMPLOYMENT DEPARTMENT[S70]

CHAPTER 1 DEFINITIONS

1.1(19A) Definitions CHAPTER 2

STATE SERVICE AND ITS DIVISIONS 2.1 (19A) Exempt service 2.2(19A) Classified service 2.3(19A) Nonstate employment

~ 2.4(19A) Confidential classified employees

CHAPTER 3 CLASSIFICATION PLAN

3.1(19A) Preparation, adoption and maintenance of the classifica­tion plan for the classified service

3.2(19A) Creation and allocation of new positions

3.3(19A) Position reallocation 3.4(19A) Status of incumbents when po­

sitions are reallocated ~ 3.5(19A) Class specifications

3.6(19A) Position descriptions and notifi­cation of change in position content

3. 7(19A) Assignment of lead-worker du­ties

3.8(19A) Position numbering system CHAPTER4 PAY PLAN

4.1(19A) Preparation and adoption of the pay plan

" , 4.2(19A) Pay plan review and amend-..._.... ment

4.3(19A) Content of the pay plan 4.4(19A) Pay of employees 4.5(19A) Administration of the pay plan 4.6(19A) Overtime 4.7(19A) Extraordinary duty 4.8(19A) Shift differential 4.9(19A) Transfers from Pay Schedule I

classes to Pay Schedule II classes or from Pay Schedule II classes to Pay Schedule I classes

" 1

4.10(19A) Pay upon re-employment from ....., a reduction in force layoff

4.11(19A) Call back pay 4.12(19A) Reporting pay 4.13(19A) Standby pay 4.14(19A) Inclement weather pay

4.15(19A) Benefits CHAPTER 5

RECRUITMENT AND EXAMINATION 5.1{19A) Scheduling of open competitive

and promotional examinations 5.2(19A) Announcement of examinations 5.3(19A) Eligibility to compete in exami-

nations 5.4(19A) Application and admission 5.5(19A) Disqualification of applicants 5.6(19A) Postponement or cancellation of

examinations 5. 7(19A) Character of examinations 5.8(19A) Development and administra-

tion of examinations 5. 9(19A) Rating examinations 5.10 Reserved 5.11 (19A) Notice of examination results 5.12(19A) Review of ratings

6.1(19A) 6.2 6.3(19A) 6.4(19A)

CHAPTER 6 ELIGIBLE LISTS

Establishment of eligible lists Reserved Ranking of eligibles Compilation of eligible lists in

absence of appropriate eligi­ble lists

6.5(19A) Consolidation and amendment of lists

6.6(19A) Removal of names from eligible lists

6.7(19A) Restoration of names to eligible lists

6.8(19A) Statement of availability CHAPTER 7

CERTIFICATION AND SELECTION 7.1(19A) Method of filling vacancies 7.2(19A) Request for certification 7 .3(19A) Methods of certification 7 .4(19A) Types of certification 7 .5(19A) Administrative certificates 7 .6(19A) Number of names certified 7.7(19A) Method of selection 7.8(19A) Life of a certificate 7 .9(19A) Omission of the name of an eli­

gible after three valid consid­erations

7.10(19A) Certification from related eligi­ble lists

7.11 (19A) Incomplete certification 7 .12(19A) Nonconcurrent certification

Analysis, p.2 Merit Employment[570] IACJ/19/80

7.13(19A) Waiver of certification after ap­apointment

7.14(19A) Adjustment of errors

CHAPTER 8 APPOINTMENTS

8.1(19A) Appointments 8.2(19A) Probationary appointment 8.3(19A) Project appointment 8.4(19A) Provisional appointment 8.5(19A) Intermittent appointment 8.6(19A) Career development appoint-

ment 8. 7(19A) Reinstatement 8.8(19A) Emergency appointment 8.9(19A) Work-test appointment 8.10(19A) Trainee appointments 8.11 to 8.13 Reserved

CHAPTER 9 PROBATIONARY PERIOD

9.1(19A) Nature, duration and purpose 9.2(19A) During probationary period 9.3(19A) Demotion during the probation-

ary period 9.4(19A) Promotion during the proba­

tionary period 9.5(19A) Transfer during the probation­

ary period 9.6(19A) Leave of absence during the pro­

bationary period 9.7(19A) Vacation and sick leave during

probationary period 9.8(19A) Probationary period for pro­

moted permanent classified employees

9.9(19A) Completion of the original pro­bationary period

9 .10(19A) Reassignment during the pro­bationary period

CHAPTER10 PROMOTIONS, REASSIGNMENTS,

TRANSFERS AND DEMOTIONS 10.1 (19A) Promotions 10.2(19A) Reassignments 10.3(19A) Detail to special duty 10.4(19A) Transfers 10.5(19A) Voluntary demotion 10.6(19A) Effective date of actions

CHAPTER 11 SEPARATION AND DISCIPLINARY

ACTION 11.1 ( 19A) Separations 11.2(19A) Disciplinary action

CHAPTER 12 APPEALS

12.1(19A) Appeals of allocation or real­location

12.2(19A) Appeal from examination re­jection

12.3(19A) Review of examination ratings 12.4(19A) Appeal for removal from eli­

gible lists 12.5(19A) Appeal for veteran's prefer-

ence 12.6(19A) Appeal from discrimination 12. 7(19A) Retirement 12.8(19A) Resignation 12. 9(19A) Appeals from dismissal, sus­

pension or demotion 12.10(19A) Conduct of the appeal hearing

by the commission I 2.11 ( 19A) Proposed decision

CHAPTER 13 SERVICE RECORDS

(PERFORMANCE EVALUATION) 13.1(19A) Establishing system of service

records 13.2(19A) Preparation and use 13.3(19A) Discussion with employee 13.4(19A) Copies of records 13.5(19A) Performance evaluation

CHAPTER 14 VACATION AND LEAVE

14.1( 19A) Attendance 14.2(19A) Vacation allowance 14.3(19A) Sick leave 14.4(19A) Enforced leave 14.5(19A) Sick leave without pay 14.6(19A) Leave of absence without pay 14. 7(19A) Education leave J4.8(19A) Rights upon return from sick

leave without pay, leave without pay or educational leave with or without pay

14.9(19A) Compensatory leave 14.10(19A) Holidays 14.11(19A) Military leave 14.12(19A) Maternity leave 14.13(19A) Election leave

lAC 11126/80 Merit Employment[570] Ch 1, p.1

~15.6(19A) Failure to comply with time limitations

17 .3(19A) Reports of personnel transac­tions in the classified service

17 .4(19A) Records of the merit employ­ment department

15. 7(19A) Singular employee 15.8(19A) Form and content of written

appeal notification 15. 9(19A) The hearing 15.10(19A) Notification of hearing 15.11(19A) Time off for hearing 15.12(19A) Coercing employee to stop pro-

CHAPTER 18 CONDUCT OF CLASSIFIED

EMPLOYEES 18.1(19A) General 18.2(19A) Other employment, activity or

enterprise 18.3(19A) Determination of improper ac­

tivities

ceedings 15.13(19A) Third party

CHAPTER 16 POLITICAL ACTIVITY

.....,_., 16.1 (19A) Restrictions on political activity of employees

18.4(19A) Performance of duty CHAPTER 19

GENERAL 19.1(19A) Personnel administration 19.2(19A) Application forms

\.,.!

\,.,)

~

16.2(19A) Application of Hatch Act 16.3(19A) Provisions for beer and liquor

control department employees CHAPTER17

RECORDS AND REPORTS 17 .1(19A) Agency attendance records 17 .2(19A) Roster

19.3(19A) Declaratory rulings by the merit employment department

19.4(19A) Petition for promulgation, amendment, revision or repeal of a rule

19.5(19A) Taking merit examinations and interviewing for merit promo­tions

CHAPTER 1 DEFINITIONS

570-1.1(19A) DeOnltlons. 1.1(1) "Absence without leave" means any absence of a classified employee from duty

without specific authorization, either before or after such absence. 1.1(2) "Act" or "merit employment Act" means the law creating the merit system of

personnel administration and any amendments thereto*. - 1.1(3) ·~gency" means any legally constituted board, commission, office, authority, agency, department or other branch of state government in which all positions are under the same appointing authority.

1.1(4) ·~gency promotional list" means an eligible list of permanent employees of the agency, or duly established organizational unit thereof, established by examination from which promotions are made. ·

1.1(5) ·~llocation" means the original assignment of a position to an appropriate class on the basis of duties and responsibilities assigned and performed.

1.1(6) "Appointing authority" means the officer, board, commission, person or group of persons having the power by virtue of a statute, or lawfully delegated authority, to make appointments to, or remove from employment in the state classified service.

1.1(7) "Certification" means the act of submitting the required number of available names on an appropriate eligible list to an appointing authority for the purpose of his making a selection in accordance with these rules.

1.1 (8) "Class·· or "class of position" means one or more positions, which are sufficiently similar in duties and responsibilities, that each position in the group can be given the same job title, require the same minimum qualifications as to education and experience, can be filled by substantially the same test of ability or fitness, and that the same schedule of pay can be applied with equity to all positions in the class under the same or substantially the same employment conditions.

1.1 (9) "Class specification" means a descriptive and explanatory guide reflecting distinct characteristics of duties and responsibilities normally assigned to positions allocated to the class and the minimum qualifications requisite thereto.

1.1(10) "Classification plan" means the orderly arrangement of positions within the

Ch 1, p.2 Merit Employment[570] IACJ/19/80

classified service into separate and distinct classes, so that each will contain those positions ~ which involve substantiaiiy similar or comparable skills, duties and responsibilities.

1.1(11) "Classified employee" means an employee occupying a position in the classified service or an employee currently on leave in accordance with established leave regulations.

1.1(12) "Commission" means the Iowa merit employment commission. 1.1 (13) "Demotion" means a chan_ge of a classified employee from a position in a given

classification to a position in a lower classification having assigned duties and responsibilities of a lesser level of performance standards, skills and knowledge requirements with a lower maximum rate of pay or a lower pay grade. Demotion may be voluntary, involuntary or result from a reallocation of a position.

1.1(14) "Department" means the Iowa merit employment department. 1.1(15) "Detail to special duty" means the temporary assignment of a classified

employee to perform the duties and responsibilities of a position other than the ones to I. , which he is regularly assigned without prejudice to his rights in and to his regularly ~ allocated position.

1.1(16) "Director" means the director of the Iowa merit employment department. 1.1(17) "Eligible list" means an officially promulgated list of eligibles for a class of

position in the order of their final rating in an examination as provided herein. 1.1(18) "Established position" means a position duly approved by statute or the

executive council which is funded and allocated to an appropriate class. 1.1 (19) "Examination" means ail the tests of fitness that are applied to determine

eligibility of applicants for positions in any class in the classified service. 1.1(20) Rescinded, effective 4/23/80. 1.1{21) "Grievance" means any expressed difference, dispute or controversy between an

employee and the appointing authority or his representative with respect to circumstances and conditions which concern their working relationship in the agency. '..~

1.1(22) "Minimum qualifications" means the requirements of training and experience and other qualifications, including those to be measured by an appropriate examination, as prescribed in the job specification for the class of position.

1.1(23) "New position" means a position not previously existing. 1.1(24) "Open-competitive examination" means an examination which permits the

competition of persons who meet the minimum requirements of the official announcement for the class of position, and is not restricted to persons currently employed in the classified service.

1.1(25) "Part-time position" means a position requiring the services of an employee for less than a standard or nonstandard work week on a continuing basis.

1.1(26) "Pay plan" means a schedule of salaries or hourly wages established for the several classes recognized in the state classification plan.

1.1(27) "Permanent employee" means an employee who has completed the required ~ probationary period or who has acquired permanent status in conformity with the merit employment Act.

1.1(28) "Position" means a group of specific duties, tasks and responsibilities assigned by the appointing authority to be performed by one employee; a position may be part time or full time, temporary or permanent, occupied or vacant.

1.1(29) "Probationary employee" means a person certified from a list of eligibles or employed through a work test appointment and serving a probationary period.

1.1 (30) "Probationary period" means a working test period and is a part of the examination process following an original appointment, during which the employee is required to demonstrate his fitness for the position to which he is appointed by the satisfactory performance of the duties and responsibilities of the position to which appointed.

1.1(31) "Promotion" means a change of a permanent classified employee from ~

lAC 8/23/78, 12127/78 Merit Employment[S70] Ch 1, p.3

\...,..a position in a lower classification to a position in a higher classification having assigned duties and responsibilities of a higher level of performance standards, skills and knowledge requirements with a higher entrance salary, a higher maximum rate of pay or a higher pay grade.

1.1 (32) "Reallocation" means the reassignment or change in the allocation of a position by raising it to a higher, reducing it to a lower, or moving it to another class of the same level on the basis of significant changes in the kind or difficulty of the tasks, duties and responsibilities in such position, or because of an amendment to the classification plan, and officially assigning to that position the class title for such appropriate class of position.

1.1(33) "Reinstatement" means the re-employment of a permanent employee as provided in these rules, or the placing of a probationary or permanent employee's name back on a list of eligibles as provided herein.

1.1 (34) "Statel\'ide list" means a list of eligibles for a class of position, who have indicated \....,) their willingness to accept employment wherever a particular vacancy exists, ranked in the

order of their examination scores. 1.1(35) ''Transfer·· means the change of a permanent classified employee from a posi­

tion in a given class to a different position in the same class in the same or different agency, board or commission; from one geographic location in the same agency, board or commission to another position in same class; or, from one position to the same or a comparable class of equal rank, intra or inter-agency, having the same entrance salary, the same maximum salary or the same pay grade.

1.1(36) "Base salary'' means the rate of pay per period of time for a position, exclusive of shift differential, overtime or other incentive premium pay.

1.1(37) "Call back pay" means pay guaranteed to eligible classified employees who are called to come to work or to work after completing their regular assigned working hours,

\. 1

but work may not be contiguous to the beginning or the end of their scheduled work hours . ..._,... 1.1 (38) "Covered classified position" means a position within a class included and

administratively determined to be eligible for overtime payments or credit which is accorded enumerated treatment as specifically set forth in these rules.

1.1 (39) "Exempt classified position·· means a position within a class excluded and administratively determined as not eligible for overtime payment or credit based on the salary paid to the class and the duties and responsibilities involved in the class.

1.1(40) "Overtime" means time that an eligible classified employee works in excess of forty hours per work period.

1.1(41) "Overtime pay" means premium wages paid to an eligible classified employee for work time in excess of a standard work period of forty hours.

1.1(42) "Premium pay" means additional pay over the base salary for work time beyond the standard work period of forty hours, shift work and other special areas as set forth in

\..,/ these rules. 1.1(43) "Reporting pay" means pay guaranteed to an eligible classified employee who

reports or shows up ready for work at his/her usual or assigned time and place and finds no work is available.

1.1 (44) "Shift" means a work period in the work schedule of an appointing authority that includes one or more groups of classified employees working at more than one scheduled work period (day, afternoon, night shift).

1.1 (45) "Shift differential" means extra pay allowance made to eligible classified employees who work shifts other than the regular day shift.

1.1 (46) "Standby" means when eligible classified employees are required by the appointing authority to restrtct their off duty hours to engage in their own interest/pursuits so as to be immediately available for duty assignment as prescribed by the appointing authority and is other than just to leave word* of their whereabouts in case of possible need.

~ 1.1(47) "Work period" means a regularly reoccurring period within 168 hours in seven consecutive twenty-four hour periods. •Printer's error corrected.

Ch 1, p.4 Merit Employment[570] lAC 11/26/80

1.1(48) "Work time" consists of all hours actually spent in performing the duties of anV assigned job: Travel between job sites during or after the employee's regular work period (where no overnight expenses are involved); rest periods allowed during the employee's regular work period; meal periods of less than thirty minutes when the employee is not relieved from his/her post, station or duty.

1.1(49) "Docked, means and refers to those periods during which a classified employee misses work during a regularly assigned work period and cannot be, or is not authorized to be paid leave for the time missed.

1.1(50) "Immediate family, means and is limited to the classified employee's wife, hus­band, children, parents, grandparents, grandchildren, foster children, brothers, brothers­in-law, sisters, sisters-in-law, aunts, uncles or corresponding relatives of the classified employee's spouse or other relatives of the classified employee or his/her spouse residing in the classified employee's immediate household.

1.1(51) Long-term disability-a condition or state of a classified employee who is unable \.._,! to work because of illness or accident, and who has made application for benefits under the long-term disability program provided by the state of Iowa.

1.1(52) Nonpay status-that period of time when a classified employee is not paid or docked due to insufficient sick leave, vacation leave, earned compensatory leave, other authorized leave to cover a work absence or while drawing only worker's compensation payments.

1.1(53) Confidential employee-means a classified employee whose position, within a class covered by a collective bargaining agreement, has been determined to be confidential under the provisions of chapter 20, The Code.

[Filed 6/9/70; amended 1/15/75, amended lAC Supp. 7/28/75-published 9/22/75, effective 10/27 /75]

[Filed 8/2/78, Notice 6/28/78-published 8/23/78, effective 9/27 /78] [Filed 10/12/79, Notice8/22/79-published 10/31179, effective 12/5/79) (Filed 2/28/80, Notice 12/26/79-published 3/19/80, effective 4/23/80]

[Filed 1117/80, Notice 6/25/80-published 11126/80, effective 12/31180]

CHAPTER 2 STATE SERVICE AND ITS DIVISIONS

570-2.1(19A) Exempt senlce. The exempt service shall include those positions as determined by the commission in accordance with the provisions of section 19A.3 of the Code. The director may, upon request, assist and advise appointing authorities concerning salary rates appropriate for positions in the exempt service.

~

570-2.2(19A) Classmed senlce. The classified service shall consist of all positions now ~ existing or hereafter created and not included in the exempt service. There shall be in the classified service three divisions, to be known as Division "A", Division "B", and Division "C".

2.2(1) Division "A , shall include only those positions and employments for which it is practicable to determine the merit and fitness of applicants by assembled examination.

2.2(2) Division "B" shall consist of all positions requiring peculiar and exceptional qualifications of a scientific, managerial, professional, or educational character and for which an unassembled examination may be used.

2.2(3) Division "C" shall include positions involving unskilled, semiskilled, domestic, attendant or custodial work.

The director shall assign each class in the position classification plan to Division "A", "B", or "C".

2.2(4) Incumbents. Incumbents of classified positions placed in the exempt service shall ~ retain classified status in that position or a similar class. The incumbent shall be placed on leave without pay upon assignment to a position in the exempt service. The status shall be singular to the incumbent. Status right shall be exercised within two years of the incumbent's separation from the exempt position to which assigned or for that period of the incumbent's continuous classified service, if less than two years.

lAC 11/26/80 Merit Employment[S70] Ch 3, p.1

~0-2.3(19A) Nonstate employment. Specialized personal services rendered by an individual to the state under contract as an independent contractor and as a part of, or incidental to, the individual's regular profession or occupation and not as a state employee shall be designated as nonstate employment and shall not be subject to the provisions of these rules. The appointing authority shall report each such employment contract to the director in such form and in such detail as the director may require prior to making the employment contract. Failure to report such employment contract and to have the employ­ment contract properly approved shall not relieve the appointing authority of any conse­quences of the improper action. If, after such investigation as she/he deems necessary, the director determines that the proposed employment contract is of such a nature as to constitute state employment, he/she shall so notify the appointing authority and the state comptroller and that notice shall constitute knowledge that such employment contract is not in conformance

"'-""with the provisions of chapter 19A and is invalid and void. In evaluating contracts for personal services, the following guidelines shall be used: 2.3(1) Whether the contract is with a recognized existing organization rather than with

an individual, and the organization has the facilities and expertise to fulfill the contract. However, a contract with an individual may be appropriate if he is an independent "entrepreneur".

2.3(2) Whether the contract clearly indicates the "independent contractor" concept with the agency having no direct administrative or supervisory responsibility of the day-to-day carrying out of the contract. So long as the agency has the right to control both the method and result of the services, the individuals involved cannot be considered as independent contractors.

2.3(3) Whether the contract includes a terminal date with the end product (report, service to be accomplished, etc.) clearly set forth .

......_; 2.3(4) Whether the agency is withholding various taxes from the individual's salary. If the individual is on the agency payroll and income taxes are withheld, it is obvious that the agency is the employer and the individual is not working for or as an independent contractor.

~

~

570-2.4(19A) Confidential classified employees. A classified employee whose position, within a class covered by a collective bargaining agreement, is determined to be confidential shall be exempt from the collective bargaining agreement covering the class. The confidential employee shall be paid within the same salary grade range as is provided by the collective bargaining agreement covering the class, but for all other purposes shall be governed by the applicable merit rules for covered noncontract employees.

[Filed 4/11/69; amended 12/1172] [Filed 8/2/78, Notice 6/28178--Published 8/23/78, effective 9/27 /78]

[Filed 2/28/80, Notice 12/26/79-published 3/19/80, effective 4/23/80] [Filed 11/7/80, Notice 9/3/80--published 11/26/80, effective 12/31180]

CHAPTER3 CLASSIFICATION PLAN

570-3.1(19A) Preparadon, adopdon and maintenance of the classlftcadon plan for the classified service.

3.1 (1) The commission shall review agency recommendations, hear suggestions, ascertain the actual duties, tasks and responsibilities of all classified positions and adopt a uniform classification plan.

Ch 3, p.la Merit Employment[570J lAC 8/23/78, 12/27/78

3.1 (2) The classification plan shall set forth for each class of position a class title, 1..,_1 definition, examples of work performed, knowledges, abilities, skills, personal character­istics, minimum qualifications and special requirements that are necessary for satisfactory performance in the class.

3.1 (3) The classification plan shall be so developed and maintained that all positions which are substantially similar and comparable with respect to kind, difficulty and responsibility of work are included in the same class; that the same means of recruitment and appropriate examination method may be used in filling all positions within a class; and, that the same schedule of pay may be applied with equity to all positions in a class in the same geographical area.

3.1 (4) The commission through co-ordination with, and the co-operation of, the agencies shall from time to time review the classification plan and may add, combine, divide or abolish classes as the needs of the classified service so indicate. All of the afore- \

1

mentioned shall be submitted to the state comptroller, the governor and the Iowa executive ~ council and be approved by the Iowa executive council before they become effective. The director shall submit a schedule of classes reflecting the types of employment in each agency to the governor annually.

3.1 (5) Each position in the state classified service may be reviewed at periodic intervals to determine if the position is properly allocated. Requests for individual position reviews may be initiated by the appointing authority or by a permanent classified employee(s). Agency or employee(s) position review requests shall be evaluated within ninety working days after the request is received by the merit employment department. Both the appointing authority and the permanent classified employee(s) shall be notified of the tentative classi­fication determination of the merit employment department. This tentative classification determination of the merit employment department shall be reduced to writing whenever the tentative classification determination is not in agreement with the recommendation of ~ the appointing authority or the permanent classified employee(s). Either the appointing authority or the permanent classified employee(s) may file, on forms prescribed and furn-ished by the merit employment department, a request for reconsideration of the tentative classification determination stating the specific reason(s) and rationale which would support the request for re~onsideration. Information so provided will be evaluated and a final classi­fication shall be rendered within thirty working days after receipt of the reconsideration request by the director. In the event the second evaluation of the position(s) and the subse-quent final classification determination(s) of the director is not acceptable to the appointing authority or the permanent classified employee(s), that determination may be appealed to a classification review board. The appeal request to a classification review board must be made and received by the director within thirty working days following the receipt of the final classificaton determination of the director. Classification review board appeal hearings \

1 shall be scheduled at periodic intervals as the need determines and at locations and times ~ that shall provide sufficient advance notice that all concerned parties may make suitable ar-rangements. All classification review board appeal hearings shall be scheduled during regular working hours. Travel and related costs shall be borne by the appellant(s). Decisions of the classification review board shall be final and binding upon the appointing authority, the permanent classified employee(s) and the merit employment department for a period of one year from the date of the classification review board's decision. The classi­fication review board's decision shall not be subject to further internal review until such time as significant changes in duties and responsibilities can be shown. Judicial review of the classification review board's decision shall be provided under chapter 17 A of the Iowa Code.

~

lAC 11126/80 Merit Employment[570] Ch3, p.2

~ 3.1(6) Allocations and reallocations approved by the merit employment department or a classification review board shall become effective no sooner than the beginning of the next regular pay period after the position(s) change form has been approved by the state comp­troller's office indicating that funds are available for the allocation change. If funds are deter­mined not to be available, the original allocation shall be maintained until the approved posi­tion change can be funded and shall not be retroactive.

3.1(7) The commission may delegate to the director such of their duties as imposed under 3.1(19A) and subdivisions as they deem necessary or expedient for the needs of the classified service.

570-3.2(19A) Creation and allocation of new positions. When a new position, or positions, as approved by the executive council, are to be established, the appointing authority shall notify the director in writing and furnish job descriptions. The director shall

~ study the duties and responsibilities of the new position, or positions, and determine the proper classification. If an appropriate classification does not already exist, he shall prepare a new class specification to cover the position or positions, and they shall be allocated and approved as set forth in 3.1(19A) of this chapter.

570-3.3(19A) Position reallocation. Whenever reorganization of an agency or action of the lowa executive council cause the duties of a position to change or a position appears to have been incorrectly allocated, the director shall upon his/her own initiative, at the request of the appointing authority or a permanent classified employee(s) affected by the proposed reallocation, investigate the duties of the position(s) involved. After conferring with the appointing authority, the permanent classified employee(s) affected, reviewing recommendations and suggestions, the director shall reallocate the position(s) to the appro­priate class or classes in accordance with provisions of merit rule 3.1(19A). The position reallocation process shall not be used to avoid or circumvent the provisions of chapter 19A or these rules dealing with layoffs, voluntary or involuntary demotions, noncompetitive pro­motions or dismissals. Actions subsequently found to be in noncompliance with the intent of this rule shall be subject to cancellation.

S70-3.4(19A) Status of incumbents when positions are reallocated. In all cases of reallo­cation, the probationary or permanent classified employee(s) in the position(s) when it is reallocated shall be entitled to serve therein with the classified status that he/ she had in the position(s) before its reallocation, provided she/he meets the minimum qualifications for the class to which his/her position(s) is reallocated or if the duties and responsibilities of the position have not appreciably changed. If ineligible for appointment to the position(s) as reallocated, he/she shall be transferred, promoted or demoted by appropriate action in accordance with the provisions of these rules. A probationary or permanent classified employee shall not be required to meet the minimum qualifications, if her/his position is reallocated to a lower or comparable class. In any case in which the incumbent is ineligible to continue in the position, and he/she is not transferred, promoted or demoted, the provisions of these rules regarding separation or reduction in force shall apply.

570-3.5(19A) Class specifications. The class specification, along with classification standards and desk audits, shall be considered in allocating positions and specifications shall be interpreted as follows:

3.5(1) Class specifications are descriptive only and are not restrictive. The use of a particular expression of duties, qualifications, requirements or other attributes shall not be held to exclude others not mentioned but germane to the class concept.

3.5(2) In determining the class to which any position shall be allocated, the specification for each class shall be considered as a whole. Consideration shall be given to the general duties, specific tasks, responsibilities required and relationship to other classes as affording together a picture of the positions that the class intended to include.

Ch 3, p.3 Merit Employment[S70] lAC 11/26/80

3.5(3) A class specification shall be construed as a general description of the kinds of"-"' work characteristic of positions properly allocated to that class and not as prescribing what the duties of any position shall be, nor as limiting the expressed or implied authority of the agency, now or hereafter vested with the right to prescribe or alter the duties of any position.

3.5(4) The fact that all of the actual tasks and duties performed by the incumbent of a position do not appear in the specification of a class to which the position has been allocated shall not be taken to mean that the position is necessarily excluded from the class, nor shall any one example of a typical task taken without relation to other parts of the specification be construed as determining that a position should be allocated to the class.

3.5(5) Changes in minimum qualifications requirements shall have no effect on the status of incumbent* employees. except for licensure where required by appropriate statute.

570-3.6(19A) Position descriptions and notfftcatlon of change in position content. Position descriptions shall be supplied and kept current by the appointing authority for each position under its jurisdiction on forms prescribed by the commission. Agencies shall give written notice to the director of material changes in the duties and responsibilities of any position before any change or review will be undertaken by the merit employment department.

570-3.7(19A) Assignment of leadworker duties. Whenever a permanent classified employee, who is performing the same duties as other employees in his/her class, is assigned limited supervisory duties such as distribution of work assignments, maintaining a balanced work load among a group, keeping records of work, production or attendance and

~

which duties do not justify reallocation to a supervisory class, the appointing authority may 1.. l

request the director to approve the person as a "leadworker". ,._.., This request must provide relative facts as to why the limited supervisory duties

enumerated are necessary and cannot be provided through supervisory personnel. "Leadworker" designation shall be considered and authorized only upon certification by the state comptroller's office that funds are available to pay such designation. "Leadworker" designation and pay shall not be considered or authorized for any classified employee within a collective bargaining unit unless prior determination had been made by the state employ­ment relations director that such designation and pay is not prohibited under the terms of that collective bargaining agreement.

570-3.8(19A) Position numbering system. The director in co-ordination with the office of the state comptroller shall develop a position numbering system that will uniformly identify the agency and position location, the class code number and the position number of each \.-1 established position in the classified service.

[Filed 9/18/70] [Filed 8/2/78, Notice 6/28/78-published 8/23/78, effective 9/27 /78]

[Filed 11/7/80, Notice 9/3/80-published 11/26/80, effective 12/31 /80]

CHAPTER4 PAY PLAN

570-4.1(19A) Preparation and adoption of the pay plan. The director, after consultation with appointing authorities, shall prepare and recommend to the commission a pay plan for all classes of positions in the classified service.

4.1(1) Factors to be considered in preparing the pay plan. Pay grades shall be related directly to the position classification plan for the classified service and shall be determined ~ with due consideration to pay grades for other classes, the relative difficulty and responsibility of work in the several classes, the recruiting experience of the state, the

lAC 11/26/80 Merit Employment[570] Ch 4, p.2

\..,I 570-4.4(19A) Pay of employees. 4.4(1) Employees to be paid at one of the steps in the pay plan. Each classified

employee shall be paid at one of the steps in a pay grade set forth in the pay plan for the class to which the position he/she occupies is allocated, except as provided in these rules or when otherwise authorized by the commission.

4.4(2) Total remuneration. No classified employee shall receive any pay other than that specifically authorized for the discharge of the duties of her/his position or additional duties which may be assigned or which he/ she may undertake or volunteer to perform as a state employee.

In any case in which part of the compensation for services in a classified position, exclusive of military training leave, is paid by another department, division or an outside agency such as the city, county, or federal government or from a different fund or account,

\_,1 any such payments shall be deducted from the compensation of the classified employee con­cerned to the end that the total compensation paid to any classified employee from all sources combined for any period shall not exceed the amount payable at a rate prescribed for the class to which the classified employee is certified and appointed.

'-..'

~

\._.!

4.4(3) Reserved.

S70-4.S(19A) Administration of the pay plan. 4.5(1) Entrance rate of pay. The entrance salary for any classified position shall be at

the minimum salary for the class of position to which appointed, except: a. Appointment based on scarcity of qualified applicants. When an appointing authority

submits a written request setting forth the economic or employment conditions which make employment of eligibles at the minimum rate for a class improbable or impossible, the director may authorize appointment of qualified eligibles at a higher entrance rate within the pay grade for the class in a specific geographical area or for the class as a whole not to exceed the third step of the pay grade. The higher entrance rate shall remain in effect until the director orders such rate rescinded. All incumbent classified employees in the same class and under the same conditions necessitating the higher entrance rate, who are earning less than the higher authorized entrance rate, shall be increased to the approved entrance rate and a new review date shall be established. Thereafter all new classified employees or promoted employees subject to the same conditions shall be treated in a like manner. Requests for entrance appointment above the third step of the pay grade for a class shall be submitted to and approved by the commission.

b. Appointment based on overqualification or exceptional qualifications. An appointing authority may, with the prior approval of the director, offer appointment above the entrance rate of a pay grade for a class to certified eligibles who have been determined to possess significant, pertinent qualifications which exceed the minimum qualifications for a class or who possess outstanding and unusually applicable experience for the position depending upon the particular demonstrated needs of the appointing authority. All other incumbent classified employees possessing equivalent qualifications in the same class under the same appointing authority shall be adjusted in pay to the step in the pay grade approved. A new review date shall be established for all incumbent classified employees so adjusted. All eligibles certified for the same vacancy possessing like overqualifications shall be offered the same special entrance rate and the appointing authority shall certify such has been done before appointment will be approved. Requests for appointment above the third step of the pay grade shall be submitted to and approved by the commission.

Ch 4, p.J Merit Employment[570] lAC 10/31/79

c. Appointment by reinstatement. A permanent classified employee who has been \.__,) reinstated to his or her former class may, at the discretion of the appointing authority, be paid at any step within the pay grade for the class to which appointed which does not exceed-the step in the pay grade for the class to which allocated upon separation from the classified service, except if the employee's pay rate was "red-circled" the maximum step in the pay grade shall be controlling. If a permanent classified employee is reinstated to a lower class, the merit rule for fixing pay upon demotion shall apply. Salary increases shall be in accordance with the rule provisions as to probationary and permanent classified employees. A new review date shall be established upon reinstatement.

(l) Classified employees who have been terminated due to long-term disability shall have their eligibility period for reinstatement postponed until long-term disability benefits cease.

(2) Classified employees who have been reinstated, after having made application or are currently receiving long-term disability benefits, shall be given prior continuous service credit ~ for vacation entitlement and pay increase eligibility purposes. This rule shall have a retroactive effect for a period of one year to ensure equal treatment for all persons. Classified employees within a collective bargaining contract shall be governed by their particular contract.

d. Military and educational leave. Any probationary or permanent classified employee who returns from authorized military leave or educational leave shall be paid at the step in the pay grade for his/her class to reflect changes in the pay grade for the class, reallocation or reclassification of a position within the class, cost of living increase or other adjustment for which she/he would have been eligible if he/she had not gone on such authorized leave. The review date shall be adjusted upon return fton1 military or educational leave crediting the period of service on step before the leave, except when educational leave was required by the appointing authority. In such cases, time spent on required educational leave shall be fully credited toward the review date.

e. Reappointment from prefen-ed employment lists. The appointing authority shall ~ re-employ a former classified employee from the preferred employment list in accordance with these rules at the same step in the pay grade for the class from which he/she was laid off.

f. Appointment below the minimum step of the pay grade. The director may authorize appointment below the minimum step of the pay grade for a class as follows:

(1) Career development appointment. When a career development appointment is made in accordance with these rules, the rate of pay shall be set one step below the minimum step for the class for each six months experience the appointee lacks in meeting the mini-mum experience requirements for the class to which the career development appointment is made to a maximum of one year. If the appointee is a permanent classified employee, and his/her rate of pay equals or exceed.s the rate provided herein, she/he shall be permitted to accrue pay rights in the class from which he/she is appointed until such time as her/his ~ eligibility for pay increase exceeds the rate to which he/ she is entitled in her /his former class.

(2) Co-operative training and trainee appointments. When co-operative training and trainee appointments are made in accordance with these rules, the rate of pay shall be set one step below the minimum step for the class for each semester of training the appointee lacks in meeting the minimum training requirements for the class to which the co-operative training and the trainee appointment is made.

~

lAC 11/26/80 Merit Emp1oyment[570] Ch 4, p.6

\..,I duties, the employee's pay shall be reduced one step to her/his regular authorized step in the pay grade for his/her class.

4.5(6) Pay upon assignment to special duty. When an employee is assigned to special duty in another position, as provided in these rules his pay may be increased to the mini­mum step he could receive upon promotion to such position, provided that:

a. Any such temporary increase granted shall not affect the employee's eligibility for pay increases in his regular position.

b. At the expiration of the assignment to special duty, his pay shall revert to his authorized rate in his regular position.

4.5(7) Pay on demotion. a. An employee who is demoted shall have his/her rate of pay fixed by the appointing

authority on any step within the pay grade for the class to which she/he has been demoted, which does not exceed his/her last rate of pay in the pay grade for the class from which

\._,! demoted. If the employee's rate of pay was "red-circled" before demotion, the maximum step of that pay grade shall be controlling. The review date shall not change upon demo­tion, except in instances where a shorter number of months would be required for pay increase eligibility in the new pay range and subject to the certification of the state comptroller's office of the availability of funds.

b. Any classified employee who has been demoted, voluntarily or involuntarily, shall not be eligible for a promotional pay increase until six months after the effective date of the demotion.

c. When a classified employee is demoted from a non contractual pay grade to a con­tractual pay grade or the converse or to different contract pay grades, he/she shall have her/his pay rate adjusted to the closest corresponding pay step in the new pay grade in accordance with paragraph "a" of this rule.

d. When a permanent classified employee is demoted as a result of reclassification, agency reorganization or reduction in force, and his/her salary exceeds the maximum salary step for the lower graded class, "no fault red-circling" shall be permitted for a maximum period of two years. In the event the "red-circled" employee remains in the lower graded class beyond this maximum two-year period above the maximum salary step, her/his salary shall then be reduced to the maximum salary step in the lower graded class. No permanent classified employee, who is "red-circled" under this rule, shall receive a cost of living or economic adjustment unless such increase is specifically authorized by legislative action.

4.5(8) Pay adjustments incident to pay grade reassignments. - -a. In the event a class is assigned to a higher pay grade when a general salary matrix

schedule adjustment is made or the annual salary/classification schedule is approved by the Iowa executive council, all employees in positions in that class shall be adjusted to a cor­responding step in the new pay range as they held in the old pay range. If an employee has not been adiusted oreviouslv. as orovided in 4.5(9)"c". adiustment shall be made orior to grade adjustment. In all other class pay grade upward adjustments, the classified employees' rate of pay shall be maintained at their former rate of pay by adjustment to a step in the new pay grade corresponding to their individual rates of pay in their old class pay grade. Employees whose rates of pay exceed the maximum step in the class pay grade shall be "red­circled" with a maximum duration in accordance with 4.5(7"d". The review date shall not change upon reassignment to a new class pay grade. Subrule 4.5(2)"b" shall apply to increase eligibility as of the effective date of adjustment.

b. In the event a class is assigned to a lower pay grade, the employees' rates of pay shall be maintained at their former rates of pay by adjusting to a step in the new lower pay grade cor­responding to the rates of pay in the old pay grade. Employees in that class whose rates of pay exceed the maximum step in the new lower pay grade shall be "red-circled" at their former rates of pay in tthe old pay range. ·Maximum duration of "red-circled" rates shall be in accor­dance with 4.5(7"d".

Ch 4, p.7 Merit Employment[S70j lAC 3/7/79

4.5(9) Salary adjustments for probationary and permanent classified incumbents. '--"' Notwithstanding eligibility time limitations provided elsewhere in this chapter and providing the comptroller certifies that funds are available:

a. Where the rate of pay of an incumbent is lower than the minimum of the pay grade for his/her class, the appointing authority shall increase the rate of pay of the incumbent to the minimum step of the pay grade for the class and a new review date shall be established.

b. Where the rate of pay of an incumbent is higher than the maximum salary step of the pay grade for his/her class, the "red-circled" pay rate may remain the same, for the period provided in these rules, as long as the "red-circled" incumbent retains her/his present class allocation, but no further salary increases or adjustments shall be approved unless specifically authorized by legislative action.

c. Where the rate of pay of an incumbent is between the minimum and maximum rates of the pay range for a class of position, but not coinciding with any intermediate step of such pay range, the appointing authority shall adjust the incumbent to the next higher step ~ of the pay range for the class.

4.5(10) Pay upon reassignment. An employee who is reassigned from a position in one class to a different position in the same class in the same agency shall not be eligible tor a merit pay increase because of the reassignment nor shall such reassignment have any effect on his or her merit pay review date.

4.5(11) Pay upon transfer. a. When a permanent classified employee is transferred from a position in one agency to

a position in the same class in another agency or to another class having the same pay grade number in another agency or in the same agency, his/her rate of pay shall be no higher than the rate of pay he/ she was receiving prior to the transfer, and his/her review date shall not be affected. Where a new assignment, within the same agency, requires a change of residence and duty station beyond twenty-five miles for the employee to perform ~ the dutes of the new position, the director may approve a one-step pay increase and a new review date shall be established. Transfer from one pay grade schedule to another pay grade schedule shall be governed by the rules pertaining thereto.

b. When a permanent classified employee is transferred from a class in an agency to a class having a higher or lower pay grade number in the same or in another agency, the rate of pay shall be fixed by the rules governing promotions or demotions, whichever is applic­able.

c. When a permanent classified employee is transferred from a noncontractual pay grade to a contractual pay grade having a different pay step structural for the same pay grade number or the converse or between different contract pay grade, he/she shall have her/his pay rate adjusted to the closest corresponding pay step in the pay grade.

4.5(12) Pay upon reallocation of position. When a position is reallocated, the incumbent's pay shall be fixed in accordance with these rules governing pay upon ~ promotion, demotion or transfer, whichever is applicable. A promotional pay increase given an incumbent as a result of a reallocation shall not change the review date except in those instances where a shorter number of months would be required for pay increase eligibility in the new pay grade and subject to the certification of the state comptroller of the availability of funds.

4.5(13) Pay for part-time employment. Pay for part-time employment in a position shall be proportionate to the rate of pay for full-time employment.

4.5(14) Effective date of pay changes. All pay changes shall be made effective on the first day of the pay period following the approval unless another date is specified in the approval. Correction of payroll caused through administrative oversight will be handled in accordance with the procedure and policy established by the state comptroller's office and the merit employment department. Original appointments, re-employments, and reinstate- \. j

ments shall be effective on the first day the appointee reports for duty. .._,... 4.5(15) Pay for overlap in position. In cases where it is deemed necessary by the

appointing authority to flll a position on an overlap basis pending the separation of an incumbent employee, an appointment of a new employee may be made in accordance with the rules for a period not to exceed one month. Any overlap for a longer period must be approved by the director.

lAC 11/26/SO Merit Employment[570] Ch 5, p.1

\.,I 4. In exercising their options provided in 2 or 3 of this rule, the employee(s) must make their determinations known to their supervisor during the employee(s) next regularly scheduled work day or the option of choice will then be made by the appointing authority.

Classified employees within a collective bargaining unit shall be governed by their

~

~

'..._)

~

particular contract.

570-4.15(19A) Benefits. Except for lead worker pay, extraordinary duty pay and approved "red-circled" rates, no classified employee may be granted a pay increase above the maximum step for the pay grade to which he/she is allocated.

These rules are intended to implement section 19A.9 of the Code, and Acts of the Sixty­eighth General Assembly, S.F. 499.

[Filed 7 /14/69; amended 6/9/70, 9/18/70, 11/10/70, 4/14/71, 1118/72, 2/11/72, 8/16/73, 3/28/74, 7/26/74, 1/15/75]

[Amendment tiled 9/4/75, Notice 7 /28/75-published 9/22/75, effective 10/27 /75; emergency amendment filed and effective 10/20/75-published 11/3/75] [Emergency amendment filed and effective 11/4/75-published 11/17 /75]

[Filed emergency 8/16/76-published 9/8/76, effective 8/16/76] [Filed 8/17/77, Notice 7/13/77-published 9/7/77, effective 10/12/77]

[Filed 8/2/78-published 8/23/78, effective 9/27 /78] [Filed 8/2/78, Notice 6/28/78-published 8/23/78, effective 9/27 /78]

[Filed emergency 10/9/78-published 11/1/78, effective 10/9/78] [Filed emergency 10/16178-published 11/1178, effective 10/16/78]

[Filed 2/14/79, Notice 12/14/78-published 3/7/79, effective 4/11/791 [Filed emergency 6/22/79-published 7/11/79, effective 6/22/79] [Filed 8/30179, Notice 7 /11/79---published 9/19/79, effective 10/24179]

(Filed 10/12179, Notice 8/22/79-published 10/31/79, effective 12/5/791 [Filed emergency 10/26179-published 11114/79, effective 10/26/79] [Filed 4/30/80, Notice 12/12/80-published 5/28/80, effective 7 /2/80]

[Filed 11/7/80, Notice 9/3/80-published 11/26/80, effective 12/31180] Filed objection to 4.5(2) overcome, see attorney general opinion 1121/76.

CHAPTER 5 RECRUITMENT AND EXAMINATION

570-5.1(19A) Scheduling of open competitive and promotional examinations. The director shall from time to time conduct such open competitive examinations as necessary for the purpose of establishing and maintaining registers of eligibles and promotional registers. The examinations shall be of such character as to determine the relative qualifications, fitness and ability of the persons tested to perform the duties of the class for which a register is to be established. 570-5.2(19A) Announcement of examinations.

5.2(1) Open competitive examinations. Examinations for entrance to· the classified service shall be conducted on an open competitive basis. The director shall give public notice of all entrance examinations at least fifteen calendar days in advance of the closing date for receiving applications and shall make every reasonable effort to attract qualified persons to compete in the examinations.

Notice of open competitive examinations shall be published by posting throughout the state and copies sent to newspapers, radio stations, eduaational institutions, Job service of Iowa offices, state agencies, professional and vocational societies and associations, public officials and such other organizations and individuals as the commission may deem expe­dient.

5.2(2) Promotional examinations. Promotional examination announcements shall be posted on bulletin boards or in other conspicuous places of the department or agency concerned and necessary steps shall be taken to bring such announcements to the attention of eligible employees within the agency.

5.2(3) Content of announcements. Examination announcements shall specify class title

Ch 5, p.2 Merit Employment[570] lAC 5/2/79

and salary range of the class for which the examination is announced; the nature of the ~ work to be performed; the minimum qualifications required for the performance of the wOZ'k of the class; the time, place and manner of making application; the closing date for receiving applications; and other pertinent information. For those classes for which there is to be continuous recruitment, a statement shall be included in the announcement to the effect that applications will be received until further notice.

570-5.3(19A) EligfbUity to compete In examinations. 5.3(1) Open competitive examinations. Competitive examinations for original appoint­

ment to a class of position in the classified service shall be open to all applicants who meet the minimum training and experience requirements, and the necessary special require­ments, if any. prescribed in the class specification for the class.

5.3(2) Promotional examinations. Promotional examinations shall be open to all permanent and probationary classified employees who meet the requirements and the \.._,/ necessary special qualifications, if any, prescribed for the class.

570-5.4(19A) Application and admission. An application for examination shall be made on a form prescribed by the commission and shall constitute an integral part of the examination. Applications must be filed with the department on or prior to the closing date specified in the announcement or postmarked before midnight on that date; except, the director, in cases where sufficient cause is presented and approved, may order the acceptance of any application or information supplementary thereto received after the close of such period and prior to the administration of the first phase of the examination. For those classes of positions in which satisfactory evidence of frequent turnover or nearly constant employment activity may be presented, the director may establish a procedure involving continuous receipt of applications and frequent examinations. ~

5.4(1) The application form shall require information as to education, training and experience of the applicant and such other information as the commission may deem pertinent. The director may require any applicant for any examination to submit documented proof of the possession of any license, certificate, degree or other evidence of eligibility or qualification claimed or required by state law, these rules or the specification and may refuse credit for such claimed or required qualification in the absence of such proof.

5.4(2) An applicant, currently enrolled in an educational institution, who does not meet the minimum education or training requirements may be admitted to examinations, provided the applicant will meet the requirements within eight months. The applicant so admitted, who attains a qualifying rating, shall have his/her name placed on the proper eligible list. The applicant may be certified subject to his/her completing the education or . training requirements necessary for admission to the class, but the applicant may not be ~ appointed until all requirements are met.

570-5.5(19A) Disqualification of applicants. The director may refuse to examine an applicant or after examination, may disqualify such applicant or remove the applicant from the eligible list or refuse to certify any eligible on a list or may remove such person already appointed if:

5.5(1) It is found the applicant does not meet the minimum qualification requirements established for the class for which the examination is being conducted.

5.5(2) The applicant is shown to be so handicapped that he/she cannot successfully perform the required duties of the position to which certified. Competent medical or other suitable proof shall be required of the stated handicap and showing that alternative job modifications cannot be feasibly made.

5.5(3) The applicant has knowingly made a false statement of material qualifying fact(s) ~ in his/her application.

5.5(4) The applicant has used or attempted to use proven political pressure or bribery to

lAC 11/14/79 Merit Employment[570] Ch7, p.3

\.,_) 570-7.14(19A) Adjustment of errors. A manifest error in the compilation and issuance of a certificate, if called to the attention of the director prior to the expiration date of that cer­tificate, shall be corrected. The correction, however, shall not result in the removal of any eligible currently and properly certified; preclude the addition of an eligible omitted through error; nor, invalidate any appointment already made.

\..,)

\.._,)

~-

~

These rules are intended to implement section 19A.9 of the Code. [Filed 5/1/69; amended 11/10/70, 7/26174]

[Filed 10/26/79, Notice 9/19179-published 11/14/79, effective 12/20/79]

Ch 8, p.l Merit Employment[570]

CHAPTER 8 APPOINTMENTS

lAC 11/26/80

570-8.1(19A) Appointments. All vacancies in classified positions shall be filled as provided by chapter 19A of the Code and these rules. No appointment shall be made without prior authorization of the director. Appointments shall be made at the minimum salary for the class, unless otherwise provided in these rules. No appointment may be made to any classified position until the position has been classified in accordance with chapter 19A of the Code and these rules and, the comptroller has certified that funds are available.

570-8.2(19A) Probationary appointment. Probationary appointment shall be made to a classified position in accordance with chapter 7 of these rules. App!>intments may be made on-

'---'

ly to authorized and established classified positions. Such appointments shall be subject to the successful completion of a six-month probationary period and shall not confer upon the ap­pointee any privilege or right of promotion, transfer, re-employment, reinstatement or demo- ~ tion to any position in the classified service, except as otherwise provided under these rules. Nor does it confer any right of appeal, except in cases of alleged discrimination.

570-8.3(19A) Project appointment. Where a particular job, project, grant or contract re­quires the services of an individual(s) for a limited duration and funding, a project appoint­ment may be made. Provided the commission approves the project determination and the comptroller certifies that funds are available. Appointments shall be made in accordance with chapter 7 of these rules. Such appointments shall not confer any right of position, transfer, demotion, promotion or appeal, but incumbents shall be eligible for vacation and sick leave and other classified employee benefits. Appointments may be approved for no more than one year. Except the director, on the basis of limited specific need that could not otherwise be effi­ciently and effectively filled, may extend the appointment for a reasonable period not to ex-ceed six months. Successive project appointments will not be allowed. ~

570-8.4(19A) Provisional appointment. If the director is unable to certify a sufficient number of names from an eligible list for a class or from an appropriate eliJdble list. an appointing authority may submit the name(s) of person(s) to fill the position(s) pending ex­amination and the establishment of an adequate eligible list. If such person(s) meet(s) the minimum qualifications for the class, such person(s) may be provisionally appointed to fill the existing vacancy or vacancies until an adequate eligible list is established and appointment made therefrom. Permanent or probationary classified employees are not eligible for provi­sional appointment.

No provisional appointment shall be continued for more than thirty calendar days after an adequate list has been established; nor for more than a total of one hundred and eighty calendar days from the date of appointment. Successive provisional appointments shall not be \w) permitted. Appointment shall not confer any privilege, right of appeal, position, transfer, demotion, promotion, re-employment or reinstatement to any classified position, but in­cumbents shall be eligible for vacation and sick leave and other classified employee benefits.

A period of provisional service shall not constitute a part of the required probationary period, except where such provisional service immediately precedes probationary appointment to the same class by the agency in which the provisional time was worked. In that case, the actual amount of provisional time worked shall constitute a part of the required probationary period and shall be credited up to a maximum of six months.

570-8.5(19A) Intermittent appointment. Where the scheduling of work by an appointing authority requires the services of person(s) on an intermittent basis, selection of such person(s) shall be made in accordance with chapter 7 of these rules. Intermittent appointment shall not exceed nine hundred and sixty hours in any calendar year. Appointees may be returned to duty ~..._,; the following calendar year in the same class, by the same appointing authority without fur-ther certification. Failure to submit such request at the time of re-employment will require recertification. A period of intermittent service shall not constitute a part of the probationary period, except where such intermittent service immediately preceded probationary appoint-ment to the same class within the same agency in which the intermittent service was per­formed. In that case the current intermittent service shall constitute a part of the probationary

11/26/80 Merit Employment[570] CbS, p.2

~ period and shall be credited up to a maximum of one hundred twenty calendar days. Vacation and sick leave credit shall be awarded retroactively for the period of intermittent service upon probationary appointment.

The acceptance or refusal of an intermittent appointment shall not affect an individual's standing on an eligible list nor eligibility for probationary appointment. An intermittent ap­pointment shall not confer any privilege, right of appeal, position, transfer, demotion, pro­motion or other right to position, nor to annual or sick leave under these rules.

570-8.6(19A) Rescinded effective 12/20/79.

570-8.7(19A) Reinstatement. A permanent classified employee, who has resigned while in good standing or who has been separated for other than good cause, shall be eligible for reinstatement to the former class, a comparable class or to a lower class within a period

~· equivalent to the period of continuous classified service, not to exceed two years from the date of separation. For reinstatement the person must be certified by the director as meeting the current minimum qualifications for the class to which reinstatement is requested.

570-8.8(19A) Emergency appointment. When an emergency exists, the appointing author­ity may appoint a person(s) to a class without regard to other provisions governing appoint­ments. In no case shall the same person be appointed under this section for more than a total of sixty calendar days to any or all state agencies during a twelve-month period from the date of original emergency appointment. Employment for any part of a day shall be considered as a full day. Emergency appointment shall not confer any privilege, right of appeal, position, transfer, promotion, demotion, re-employment, reinstatement or other right of position; nor shall an emergency employee be entitled to vacation or sick leave under these rules.

570-8.9(19A) Work-test appointment. The appointing authority may, in accordance with 5.7(4) of these rules, appoint a person(s) to positions in a designated class to serve the proba­tionary period based upon actual work performance. An appointee shall acquire permanent classified status and be subject to the same rules, conditions and acquire the same benefits as other classified employees.

570-8.10(19A) Trainee appointment. The director may authorize an appointing authority to make a trainee appointment to a permanent position of a person who does not meet the minimum qualifications of the class. Trainee appointees must be bona fide students in an ac­credited educational institution; or, enrollees in a state training program approved by the commission and have successfully completed at least one semester, or its equivalent, of in­struction. Appointees must be at least fourteen years of age and possess working permits if re­quired. Appointment may be continued up to three semesters, or its equivalent, in a two-year period. Appointment shall not confer any privilege, right of appeal, position, promotion, demotion, transfer, re-employment or reinstatement; nor entitlement to vacation or sick leave under these rules.

8.11 Rescinded, effective 12/20/79. 8.12 Rescinded, effective 12/20/79. 8.13 Rescinded, effective October 27, 1975.

[Filed July 14, 1969; amended November 11, 1970, March 9, 1971, January 17, 1972, March 28, 1974, July 26, 1974, May 13, 1975, amended lAC Supp. July 28, 1975-­

published September 22, 1975, effective October 27, 1975i [Filed 9/16/76, Notice 8/9/76-published 10/6/76, effective 11/10176] [Filed 8/2/78, Notice 6/28/78-published 8/23/78, effective 9/27 /78]

[Filed 10/26/79, Notice 10/19/79-published 11/14/79, effective 12/20/79] [Filed 3/14/80, Notice 2/6/80-published 4/2/80, effective 5/7/80]

[Filed 11/17/80, Notice 9/3/80-published 11/26/80, effective 12/31/80] [Filed 11/7/80, Notice 9/3/80-published 11/26/80, effective 12/31180]

Ch 9, p.l Merit Employment[S70]

CHAPTER 9 PROBATIONARY PERIOD

IAC3/19/80

S70-9.1(19A) Nature, duration and purpose. All original appointments to permanent posi­tions shall be made as provided in these rules for a probationary period of six months. Any statutory probationary period for a class in excess of six months shall be followed. The proba­tionary period shall be considered to be an essential part of the final examination process; shall be utilized for the most effective orientation, training and evaluation of a new employee; or, for the termination of any employee whose performance does not satisfactorily meet the required work standards.

S70-9.2(19A) Termination during the probationary period. At any time during the proba­tionary period, a probationary employee may be terminated by the appointing authority

~

without right of appeal to the commission except as provided under 12.6(19A). ~

S70-9.3(19A) Demotion during the probationary period. At any time during the proba­tionary period, a probationary employee may be demoted by the appointing authority to a lower class, provided the director certifies the employee meets the minimum qualifications for that class and such demotion does not result in the separation of any other probationary employee with longer service in that class. The total required probationary period of a proba­tionary employee demoted to a lower class shall include the probationary service in the class from which demoted. Demotion during the original probationary period shall not give the right of appeal to the commission except as provided under 12.6(19A).

S70-9.4(19A) Promotion durin2 the probationary period. A probationary employee is not eligible for promotion during the initial probationary period except where the probationary employee can be certified in accordance with subrule 7.3(2). ~

The promoted probationary employee shall be credited with probationary time spent in the lower class toward the total required probationary period and pay shall be set in accordance with subrule 4.5(4).

S70-9.5(19A) Transfer during the probationary period. A probationary employee may not be transferred during the probationary period except where the probationary employee can be certified in accordance with subrule 7.1 (2). Prior probationary time shall be cumulative toward the total required probationary period upon such transfer.

S70-9.6(19A) Leave of absence during the probationary period. A probationary employee may be granted leave of absence at the appointing authority's discretion in accordance with these rules. The probationary period shall be extended by the amount of the leave granted.

S70-9.7(19A) Vacation and sick leave during probationary period. Probationary employees shall be granted vacation and sick leave in accordance with the provisions of these rules as with permanent classified employees.

S70-9.8(19A) Probationary period for promoted permanent classified employees. This rule may only apply to promotion within an appointing authority's jurisdiction.

A permanent classified employee may be required to serve a probationary period in the class to which promoted at the appointing authority's discretion before the promotion becomes permanent provided:

1. The required probationary period may not exceed three calendar months. 2. The employee is informed in writing at the time of the promotion of the required proba-

'...,I

tionary period and a copy of this notice is sent to the director. \...,_)

lAC 11/26/80 Merit Employment[570] Ch 19, p.l

'--"' employee for causes set forth in these rules or chapter 19A, or the separation of a classified employee because of lack of funds, curtailment of work or organization, when made in accordance with these rules and approved when required by the executive council of the state of Iowa.

~

[Filed September 17, 1970]

CHAPTER 19 GENERAL

570-19.1(19A) Personnel administration. The merit system of personnel administration is established and governed by chapter 19A, The Code, and rules promulgated hereunder. The operational unit is the merit employment department through the director. The merit employ­ment commission members are appointed by the governor subject to confirmation by the Senate. The commission is responsible for duties prescribed by statute and promulgated rules. The department is responsible for the administration, co-ordination and recommendation of personnel programs set forth in chapter 19A, and its operational structure is composed of divi­sions deemed necessary by the director to carry out the purposes of Act within the budget funds provided. Information requests, materials submissions or inquiry concerning any opera­tion or function of the department or the commission should be addressed to the Grimes State Office Building, State Capitol, Des Moines, Iowa 50319. Telephone inquiry to the depart­ment's units may be made through listings provided in the City of Des Moines telephone direc­tory of the Iowa Capitol Complex Telephone directory listings.

570-19.2(19A) Application forms. The department does not require special forms for any appeal or request for information, but all appeals must be in writing. Official application

\.,.I forms are provided by the department and are available from the department, state agencies and ACCESS centers of the job service of Iowa.

....._,;

'-r'

570-19.3(19A) Declaratory rulings. 19.3(1) Any person may make a written request for a declaratory ruling as to statutory

provisions of the Act, rule or other written statement of law, policy, decision or order of the commission or the department.

19.3(2) No special form or procedure is required, but the request must state specifically the statutory provision, rule, written statement of law, policy, decision or order concerned. Sufficient information must be presented in the posed question(s) for a complete and accurate response.

19.3(3) Response to a request will be made within fourteen working days of the date of receipt of the request by the department, unless necessary research requires an additional period of time. If delay is necessary, the petitioner will be notified of the expected date of response.

19.3(4) Declaratory rulings shall have the same status as a decision or order in a contested case.

Ch 19, p.2 Merit Employment[570] lAC 11/26/80

570-19.4(19A) Petition for promulgation, amendment, revision or repeal of a rule. \,.,1 19.4(1) Any person may petition the director requesting promulgation, amendment, revi-

sion or repeal of a department rule. 19.4(2) No special form is necessary, but the following is required: a. The petition shall be in writing. b. The proposed promulgation, amendment, revision or repeal petition shall be specific and

be set forth sufficiently so the proposal can be accurately understood. The petition shall be submitted in the department's rule form and general statements will not be entertained.

c. An explanatory statement of the reasons(s) for the proposed promulgation, amendment, revision or repeal shall accompany each petition.

d. More than one petition may be submitted at any given time, but each must comply with paragraphs "b" and "c".

19.4(3) Within sixty calendar days after the receipt of the petition at the department, the l 1

director shall: ~ a. Deny the petition in writing on the merits stating reasons for the denial, or; b. Initiate rule proceedings in accordance with section 17A.4, The Code.

570-19.5(19A) Taking merit examinations and interviewing for merit promotions. 19.5(1) With prior supervisory approval, classified employees may be granted time off

without pay to take merit examinations during their regularly scheduled work hours. Em­ployees may elect to use vacation or earned compensatory time.

19.5(2) With prior supervisory approval classified employees may be granted paid work time off for attending interviews during scheduled work hours for jobs within their depart­ment. For departments which have statewide operations, the appointing authority may restrict paid time to interviews within their central office complex, institution, county or district of­fice. A reasonable time limit for interviews may be designated by the appointing authority. For jobs outside the department, central office complex, institution, cc y or district office, if so determined and designated by the appointing authority, employee lY be granted time off without pay, vacation leave or earned compensatory leave during regularly scheduled work hours.

19.5(3) Employees shall not be granted vacation leave or compensatory leave for taking merit examinations or attending interviews outside their regularly scheduled work hours.

19.5(4) The use of state vehicles, mileage reimbursement or per diem is not authorized by this rule for taking merit examinations or for attending interviews.

19.5(5) Appointing authorities shall promulgate, publish and post their regulations for their employees in accordance with this rule.

[Filed May 13, 1975] [Filed 11/7/80, Notice 9/3/80-published 11/26/80, effective 12/31/80]

MINE INSPECTORS

[Rules Omitted-Duties Transferred to Soil Conservation]

'-...,_)

~

~

lAC 11/26/80 Natural Resources[S80] Analysis, p.l

\.,.,1 NATURAL RESOURCES COUNCIL[580] CHAPTER!

PUBLIC INFORMATION 1.1 (17 A,84, 109,4SSA,469) Description of

Iowa natural resources council

1.2(17 A,84, 109,4SSA,469) Organization 1.3(17A,84,4SSA,469) Forms

CHAPTER2 DEFINITIONS

'" 1 2.1 (455A) Definitions ...._,. CHAPTER3

PERMITS TO DIVERT, STORE, OR WITHDRAW WATER

3.1 (455A) When permit required 3.2(455A) Applications 3.3(455A) Amount of water authorized by

permit 3.4(455A) Conditions for withdrawals from

streams 3.5(455A) Conditions on withdrawals from

groundwater sources 3.6(455A) Water use reports 3. 7(455A) Well construction information,

geological information and yield tests

3.8(455A) Duration, renewal and modifi­cation of permits

3. 9(455A) Designated protected flows of streams

3.10(45SA) Modification, cancellation, and emergency suspension of per­mits

CHAPTER4 COUNCIL-ESTABLISHED FLOOD

PLAINS-ENCROACHMENT LIMITS

4.1 (455A) Regulations established 4.2(455A) Flooding characteristics 4.3(455A) Encroachment limits 4.4(455A) Flood plain and floodway de­

velopment 4.5(455A) Flood protection methods 4.6(455A) Assistance and cooperation

CHAPTERS FLOOD PLAIN OR FLOODWA Y

CONSTRUCTION DIVISION I

WHEN APPROVAL IS REQUIRED

5.1 (455A) Bridges, culverts, temporary stream crossings, and road embankments

5.2(455A) Channel changes

5.3(455A) Dams and impounding struc­tures

5.4(455A) Levees or dikes 5.5(455A) Waste or water treatment facil-

ities 5.6(455A) Sanitary landfills 5. 7(455A) Buildings or building complexes 5.8(455A) Pipeline crossings 5. 9(455A) Stream bank protective devices 5.10(455A) Boat docks 5.11 (455A) Excavations 5.12(455A) Miscellaneous structures, ob­

structions, or deposits not otherwise provided for in other rules

5.13 to 5.29 Reserved DIVISION II.

RULES OF PRACTICE FOR PROCESSING

FLOOD PLAIN CONSTRUCTION PERMITS

5.30(455A) Procedure for issuance of council orders

5.31(455A) Application requirements 5.32(455A) Callup of application by coun­

cil for consideration 5.33(455A) Appeal of the director's deci­

sion to the council 5.34 to 5.49 Reserved

DIVISION III

CRITERIA FOR APPROVAL

5.50(455A) Bridges and road embankments 5.51(455A) Channel changes 5.52(455A) Dams and impounding struc­

tures 5.53(455A) Levees or dikes 5.54(455A) Buildings and building com-

plexes 5. 55(455A) Waste water treatment facilities 5.56(455A) Sanitary landfills 5.57(455A) Water supply treatment facili­

ties 5.58(455A) Stream protective devices 5.59(455A) Pipeline river or stream cross­

ings 5.60(455A) Miscellaneous construction 5.61 to 5. 79 Reserved

DIVISION IV

GENERAL CRITERIA

5.80(455A) General conditions 5.81(455A) Variance 5.82 to 5.94 Reserved

DIVISION V

PROTECTED STREAM DESIGNATION PROCEDURE

5. 95(455A) Protected streams 5. 96(455A) Protected stream designation

procedure

Analysis, p.2 Natural Resources[580] lAC 11/29/78

5. 97(455A) Protected stream declassifica­tion procedure CHAPTER6

MILLDAMS AND RACES 6.1 (469) When permit required 6.2(469) Information required 6.3(469) Certification of plans 6.4(469) When a public hearing is required 6.5(469) Permit fee-annual inspection and

license fee 6.6(109) Injury to dams 6.7(455A,469) Performance bond

CHAPTER 7 LOWERING OF WATER LEVEL

BEHIND DAMS 7.1(109) When approval required 7.2(109) Temporary lowering 7.3(109) Permanent lowering 7 .4(109) Hearing 7.5(109) Considerations

CHAPTERS FEDERAL WATER RESOURCE

PROJECTS 8.1 (455A) Referral of federal project 8.2(455A) Solicitation of comments 8.3(455A) Hearing 8.4(455A) Formulation of comments 8.5(455A) Transmittal of comments 8.6(455A) Other coordination

CHAPTER9 COMPREHENSIVE PLANNING

9.1(455A) Purpose of a water plan 9.2(455A) Water plan 9.3(455A) State coordination 9.4(455A) Public meetings

CHAPTER10 HEARING PROCEDURE

10.1(84,109,455A,469) Hearings 10.2(84,109,455A,469) Notice 10.3(84,109,455A,469) Hearing officer 10.4(84, 109,455A,469) Authority of hear-

ing officer 10.5(84,109,455A,469) Hearing procedure 10.6(84, 109,455A,469) Reopening of hear­

ing 10. 7(84,109,455A,469) Notice of reopening

of hearing 10.8(17 A,84,109,455A,469) Rehearing

CHAPTERll INVESTIGATIONS, INSPECTIONS,

DECLARATORY RULINGS 11.1(109,455A,469) Investigation 11.2(109,455A,469) Inspection

11.3(109,455A,469) Report 11.4(109,45SA,469) Complaints of unau­

thorized activities 11.5(109,455A,469) Procedures for pro-

cessing unauthor-ized activities

11.6(109,45SA,469) Inspection after au­thorization

11.7(17A,84,109,45SA,469) Declaratory

CHAPTER12 OIL AND GAS

12.1(84) Definitions

ruling

12.2(84) Application and permit 12.3(84) Transfer of drilling permits 12.4(84) Organization reports 12.5(84) Bond 12.6(84) Drilling 12. 7(84) Identification of wells 12.8(84) Surface equipment 12. 9(84) Deviation 12.10(84) Vacuum pumps prohibited 12.11(84) Notification of fire, breaks,

leaks, or blow-outs 12.12(84) Producing from different pools

through the same casing string or multiple completion of wells

12.13(84) Commingling of production pro­hibited

12.14(84) Reports by producers, trans­porters or storers

12.15(84) Abandonment and plugging of wells

12.16(84) Well spacing

CHAPTER 13 EX PARTE COMMUNICATIONS

13.1(17A) Definitions 13.2(17 A) Proceedings subject to ex parte

rules 13.3(17 A) Admission of parties to con­

tested cases 13.4(17 A) Prohibition against ex parte

communications 13.5(17 A) Notice and participation rights

of parties 13.6(17 A) Sanctions for violation of ex

parte rules

lAC 10/4178 Natural Resources[S80] Ch 3, p.2

3.1(4) Underground storage or disposal. A permit for the diversion of water or any material from the surface directly into any underground watercourse or basin shall not be granted except upon proof provided by the applicant that the requested diversion is fully safe, will not contaminate the aquifer utilized and is approved by the Iowa water quality commission.

3.1(5) Drain tile lines. Water in drain tile lines shall be considered surface water. 3.1(6) Closed cooling systems. A permit shall not be granted for the withdrawal of

groundwater for use solely as a coolant in a closed system without returning such groundwater to the aquifer from which it came unless applicant demonstrates compelling reasons for not returning the water.

3.1(7) Miscellaneous uses. Unless otherwise provided herein, a permit shall be required for the use of more than five thousand gallons of water per day for any purpose.

a. Poultry, livestock, and domestic animals. Any use of water for these purposes which is an extraordinary use; a permit shall be required.

b. Drainage at construction sites. Withdrawals of water to lower the water table as necessary at a construction site shall be exempt from securing a permit except when such withdrawals cause or can reasonably be expected to cause material damage to public or private interests. After an investigation of those withdrawals allegedly causing material damage, the water com­missioner shall require prompt appropriate action for the alleviation of damages. Where agree­ment cannot be reached on the action necessary for the alleviation of damages, withdrawals of water shall cease immediately upon notification by the water commissioner and an application for a permit shall be submitted.

c. * Test pumping. The water commissioner may authorize test pumping of sources of water to determine adequacy of the source and effects of such withdrawals and may require appli­cant to acquire technical assistance of the Iowa geological survey or other appropriate sources of such assistance so as to maintain supervision of the testing as deemed necessary by the water commissioner. The water commissioner may authorize by registration test pumping of sources of water to determine adequacy of the source and effects of such withdrawals and may require applicant to acquire technical assistance of the Iowa Geological Survey or other appropriate sources of such assistance so as to maintain supervision of the testing as deemed necessary by the water commissioner. No such registration for test pumping shall be for a period of more than one year.

d. Rural water districts. A permit shall be required for withdrawals of water by any rural water district having its own source of water and such withdrawals shall be classified as a municipal-type use.

e. Nonrecurring minor uses. Any use of water which is a minor, nonrecurring use, including but not limited to highway construction and maintenance, charging of lagoons, drilling wells, and hydrostatic testing of pipelines, shall not require a permit but rather may be registered with the water commissioner on such forms as the water commis­sioner shall provide. Such registration shall be for up to one year and may be reregistered at the discretion of the water commissioner should the project require more than one year to complete. After an investigation of those registered withdrawals allegedly causing material damage, the water commissioner shall require prompt appropriate action for the alleviation of damages, withdrawals of water pursuant to registration shall cease immediately upon notification by the water commissioner and an application for a permit shall be submitted.

f. The withdrawal of water for research purposes by the Iowa Geological Survey (IGS) through its agents, employees, or contractees may be authorized by registration in aquifers approved by the council and under such conditions as the council may set. Such registration shall be for periods of up to one year and may be reregistered at the discretion of the water commissioner upon request by the IGS should the research require more than one year to complete.

•Emergency pursuant to 17A.S(2)"b"(3)

Ch 3, p.J Natural Resources[S80] lAC 11/26/80

The withdrawal of water pursuant to such registration shall be conducted under the direct supervision of the IGS and its employees and according to a schedule adopted by or approved by IGS. The IGS shall contract with each individual who is co-operating in the research. Such contract shall delineate the responsibilities of each party to the research. A copy of each such contract shall be filed by IGS with the water commissioner. The violation of any provision of said contract by any party thereto shall be grounds for the water com­missioner to revoke the registration of that contractee.

If withdrawal of water purusant to this registration results in serious adverse effects on the aquifer or on any other water user, the water commissioner shall revoke the registration as it applies to the particular research site causing such serious adverse effect.

580-3.2(455A) Applications. 3.2(1) Applications for a water permit shall be made on forms provided by the council and

shall be mailed or delivered to its office in Des Moines, Iowa, 50319. 3.2(2) The application must be verified and shall be submitted by or on behalf of, the

owner, lessee, or easement holder of the area where the water is to be stored, diverted, or withdrawn and used.

3.2(3) The application must include the statutory filing fee and a map generally portraying the points of storage, diversion, or withdrawal and use of water oriented as to section, town­ship, and range. One application normally will be adequate for all uses on contiguous tracts of land. Tracts of land involved in the same operation separated by roads or railroads shall be viewed as contiguous tracts.

a. Highway construction and maintenance. All sources of water shall be specifically named and located in the application and supporting material except streams or watercourses on the right of way of the road being constructed or of the roads within one mile of the road being con­structed. When water is secured from a municipal system no permit shall be required.

b. Additional information. The water commissioner may require the applicant to submit additional information and conduct field investigations as deemed necessary to evaluate the application so as to protect the health, safety, and welfare of the public and the water resources of Iowa. An applicant who requests a permit authorizing withdrawals of groundwater from a well or reservoir may be required to conduct an inventory of nearby wells by contacting owners and occupants of land lying within a designated radius of the proposed site before a hearing will be scheduled on the application. The water commissioner shall provide a map specifying the area within which the inventory shall be conducted and forms specifying the in­formation to be gathered in the inventory. The commissioner shall also provide to the appli­cant a description of regulated uses within the inventory area. The applicant shall make a good faith effort to obtain available information from landowners, occupants, and drilling contrac­tors or pump installers to whom the applicant is referred by a landowner or occupant respon­ding to the inventory.

580-3.3(455A) Amount of water authorized by permit. 3.3(1) Irrigation permits. a. For general farm crops, such as grain and hay (including alfalfa), the maximum

annual quantity of water withdrawn shall be equivalent to twelve acre-inches per acre. For specialty crops such as vegetables, fruits, and sod the maximum annual quantity of water withdrawn shall be equivalent to twenty-four acre-inches per acre.

b. The maximum monthly quantity of water which may be withdrawn for irrigation of general farm crops shall be six acre-inches per acre. The water commissioner may, upon a showing of adequate supply of irrigation water and urgent need by a permittee during a period of significant precipitation deficiency, authorize more than six acre-inches of water per acre per month to be withdrawn for irrigation of general farm crops. Said authorization shall be limited to a term not to exceed thirty-one days.

3.3(2) The amount of water authorized for industrial use shall be consistent with industry-wide usage for the same or similar purposes and shall provide for growth where need therefor is demonstrated by the applicant.

3.3(3) The amount of water authorized for municipal use shall not exceed two hundred

"--"

~

'..~

'-"'

\,/

lAC 11/26/80 Natural Resources[580] Ch 3, p.6

'-..!·draining fifty or more square miles shall be subject to the following conditions: a. Protected flow restriction. Withdrawals for consumptive uses at any point within

one-eighth (1/8) mile (660 feet) of a stream shall be considered withdrawals from the stream and shall cease when the stream is below the protected flow designated in rule 3.9(455A), except as provided in 3.5(2)"c" through 3.5(2)':1''.

b. Seven-day, one-in-ten year low flow restriction. Withdrawals for consumptive uses at any point located between one-eighth (1/8 mile (660 feet) and one-fourth (1/4) mile (1320 feet) of a stream, other than a stream bordering the state, shall cease when the stream flow is at or below the seven-day, one-in-ten year low flow (7Q10 flow), except as provided in 3.5(2)"c" through 3.5(2)':1''.

c. Border stream-interior stream confluence restriction. Withdrawals for consumptive uses from the alluvial aquifers below the floodplains of streams bordering the state at any

\.._/ point within one-eighth (118) mile (660 feet) of any interior stream, shall cease when the flow of such interior stream is at or below the seven-day, one-in-ten year (7Q10) low flow, except as provided in 3.5(2)"d".

d. Other conditions. Notwithstanding 3.5(2)"a" through 3.5(2)"c", other conditions may be imposed if they are necessary to ensure adequate protection of water supplies for ordinary household, livestock, and domestic uses, for fish and wildlife, for recreational use, for the preservation and enhancement of aesthetic values, and for other uses of a public nature.

e. Replacement water exemption. Subrules 3.5(2)"a" through 3.5(2)"c" shall not apply to withdrawals for consumptive uses from an unconsolidated aquifer, if the permittee discharges replacement water into such stream or tributary thereto at rates sufficient to offset the consumptive withdrawals and the water commissioner approves the method and location of discharge.

"'-" f. Exemptions from low flow restrictions. The restrictions of 3.5(2)"a" through 3.5(2)"d'' may be waived if the applicant or permittee can conclusively demonstrate by conducting appropriate tests that the withdrawal will not reduce the flow of the adjacent stream. With­drawals pursuant to a permit, which was in effect on July 5, 1978, and authorized with­drawals for a consumptive use without a condition as of July 5, 1978, for maintenance of the protected flow, and withdrawals pursuant to the renewals of such permit shall be exempt from subrules 3.5(2)"a" through 3.5(2)"d" under the conditions for exemption specified in 3.4(2)"c" and 3.4(2)"d''. Withdrawals eligible for the exemptions of 3.4(2)"c" and 3.4(2)"d", if shifted from a stream to an adjacent unconsolidated aquifer, shall not lose the exemptions granted under the conditions of 3.4(2)"c" and 3.4(2)"d''.

3.5(3) Withdrawals from the Jordan Sandstone Aquifer. Withdrawals of water from the Jordan Sandstone Aquifer including the Prairie Du Chien formation and the St. Lawrence formation, shall be subject to the following conditions:

"'-"' a. Two hundred gallon per minute restriction on irrigation use. New withdrawals of water for irrigation uses shall not be in excess of two hundred gallons per minute (200 gpm). Existing permits for irrigation uses that authorize withdrawal rates in excess of two hundred gallons per minute (200 gpm) shall not be renewed if serious impact on other water with­drawals or on groundwater piezometric levels occur or are forecasted to occur.

b. Two thousand gallon per minute restriction on industrial use. New withdrawals of water for industrial use at one plant location shall not exceed two thousand gallons per minute (2000 gpm).

c. Two hundred foot limit on the decline of groundwater piezometric levels. The maxi­mum collective long-term decline in groundwater piezometric levels in the Jordan Sandstone Aquifer in any high use area will not be permitted to exceed two hundred feet from the 1977 baseline as determined from available records of the Iowa Geological Survey.

d. Variances. Variances from the restrictions imposed by subrule 3.5(3) will be con-"--" sidered by the council through the provisions of sections 455A.19(3) and 455A.19(9) and

rules adonted thereunder. 3.5(4) Withdrawals from the Dakota formation of the Cretaceous system. The water

Ch 3, p.7 Natural Resources[580] lAC ll/26/80

commissioner may issue permits authorizing withdrawals of water from the Dakota formation ~ of the Cretaceous system for all beneficial uses under the following conditions:

a. Inventory of nearby wells by applicant. An applicant who requests authorization for withdrawals of water at a maximum rate in excess of 200 gallons per minute shall conduct and submit an inventory of nearby wells as described in 3.2(3)"b., of these rules.

b. Observation wells. In addition to the requirement in 3. 7(4) of these rules for construction of an access port to allow measurement of water levels in each production well, an applicant or permittee may also be required to construct, maintain, and monitor observation wells as a condition of obtaining or keeping a water permit if the water commissioner, after consultation with the Iowa Geological Survey, finds observation wells necessary to monitor the effects of the proposed or authorized withdrawals of water. Observation wells must be properly con­structed and developed to respond to water level fluctuations in the aquifer.

c. Prohibition of excessive water level declines. If the council, after consultation with the ~ 1

Iowa Geological Survey, determines that withdrawals of water from the Dakota formation of .....,.. the Cretaceous system within a designated geographical area are causing water level declines which constitute a significant threat to the public interest in the availability of water for sus-tained beneficial use of the aquifer, renewals of permits shall be denied, and permits shall be modified or canceled in accordance with procedures in section 455A.28, The Code, as necessary to protect the aquifer for sustained use.

d. Priorities in renewal, modification and cancellation of permits. If permit renewals must be denied or if permits must be modified or canceled to prevent or abate water level declines which constitute a significant threat to the public interest in the availability of water for sus­tained beneficial use of the aquifer, withdrawals of water for municipal and municipal-type water systems and for agricultural research shall have priority over withdrawals of water for other regulated uses.

This rule is intended to implement sections 455A.2, 455A.l8-455A.2l, 455A.28 and ~ 455A.29, The Code.

580--3.6(4SSA) Water use reports. Each permittee shall submit to the office of water commissioner reports of water used, diverted, or stored and any other information deemed necessary by the water commissioner.

~

~

lAC 11/26/80 Natural Resources[580] Ch 3, p.8

'-../ 580-3.7(455A) Well construction information, geological information and yield tests. 3. 7(1) Information required from water-permit applicants and permittees concerning con­

struction of new wells. The water commissioner shall require the submission of construction specifications, a driller's log, cutting samples obtained during drilling, and results of yield tests for each new well from which withdrawals are authorized. However, the commissioner may waive the requirement for submission of cutting samples in cases where the geological materials penetrated by regulated wells can be adquately evaluated from other available infor­mation.

3. 7(2) Notification before well construction. Before constructing a well for a regulated use an applicant or the drilling contractor should contact the water commissioner or Iowa Geological Survey to discuss requirements that a well log and summary of the well construc­tion specifications be properly prepared, and that geological cutting samples from the well bore hole be properly collected and preserved for analysis by the geological survey.

~ 3. 7(3) Failure to preserve well information. The water commissioner may require the ap-plicant or permittee to drill a test hole for collection of geological infOimation as a condition of obtaining or keeping a water permit if the applicant or permittee fails to make available a well log, summary of construction specifications, and properly collected and preserved geological cutting samples from a production well.

3.7(4) Requirement of access port for measurement of water levels in a regulated well. All new water permits which authorize withdrawals from wells shall require that each authorized production well be equipped with an access port having a minimum diameter of~ inch. The access port must be located to allow insertion of a steel tape or electric probe into the well cas­ing for measurement of water levels.

3.7(5) Yield and aquifer tests. a. An applicant shall be responsible for requesting a registration from the water commis­

sioner for any yield test of a production or test well. \..,) b. An applicant or permittee may be required to conduct a controlled aquifer test as a con-

dition of obtaining or keeping a water permit if the water commissioner, after consultation with the Iowa Geological Survey, finds an aquifer test to be necessary to determine the effects which the proposed or authorized withdrawals have on other water uses. The applicant may be required to construct, develop, and maintain adequate observation wells for use in an aquifer test and for subsequent water level measurements. An applicant shall be responsible for ob­taining a registration for an aquifer test as provided in 3 .I (7) "c" of these rules.

This rule is intended to implement sections 455A.2, 455A.l8, 455A.l9, and 455A.25, The Code.

580-3.8(455A) Duration, renewal and modification of permits. 3.8(1) Duration of permits. Water permits may be granted for a maximum period of ten

years subject to the following exceptions: a. Water storage permits. A permit for storage of water may be granted for the life of the

impounding structure. However, a permit authorizing storage of water in a proposed im­poundment shall include a condition that the permit will terminate if construction of the im­pounding structure has not been completed within the maximum time specified in the council order which approves construction, operation and maintenance of the impounding structure.

b. Certain irrigation permits. New irrigation permits granted after May 5, 1977, and renewals of such permits are limited to one year.

c. Permits for withdrawals of water from proposed wells or reservoirs. Authorization to withdraw water from a proposed well or reservoir shall be limited in order to require the per­mittee to construct the proposed well or reservoir within three years after the water commis­sioner has notified the permittee of the requirement. If a person whose permit has expired because of failure to construct a proposed well or reservoir· applies for a new permit for the same use, the water commissioner shall review the application on the basis of criteria in effect at the time the application is received but, in addition, the commissioner shall require that the proposed well or reservoir be constructed within one year after the filing of the determination.

._.:<·.-\

li:. . . .,. ;_ ..

,,.-

' ;,

~-

.... ···

.. · . ··!-'

' I • •

.. :

·~-

\..,I

'..I

lAC 11/26/80 Natural Resources[580] Ch 3, p.8a

3.8(2) Form of renewal or modification request. Request for renewal or modification of any water permit shall be in the form prescribed by the council which may be by letter or for­mal application form. Such requests shall be filed prior to the termination date of the permit, and shall be accompanied by the filing fee when required.

3.8(3) Modification of irrigation permits. Major modifications of irrigation permits are hereby limited to a duration of one year until such time as the Iowa natural resources council adopts a state-wide water plan.

a. A renewal or modification of a permit proposing a change in the rate, source or quantity of water withdrawn or the amount of land irrigated will constitute a major modification of a water permit and thus be subject to the one-year limit.

b. A renewal or modification of a permit proposing a change in the period of irrigation will not constitute a major modification and will not be subject to the one-year limit.

This rule is intended to implement sections 455A.2, 455A.18, 455A.20 and 455A.29, The Code.

580-3.9(45SA) Designated protected flows of streams. 3.9(1) Purpose. The protected flow is designed to protect and maintain adequate water

supplies for ordinary household and livestock use; for fish and wildlife use; for recreational use; for in-stream wasteload assimilation and pollution control; for beneficial water use needs in the watershed; for preservation of aesthetic values; and for other uses of a public nature.

3.9(2) Protected flow basis. The protected flow is based in part on statistical information contained in "Low-Flow Characteristics of Iowa Streams," (INRC Bulletin No.9 (1958)), and "Low-Flow Characteristics of Iowa Streams through 1966," (INRC Bulletin No. 10 (1970)).

3.9(3) Protected flow levels. a. At stream gaging stations. The protected flow, expressed in cubic feet per second (cfs) at

points on a stream with an official U.S. Geological Survey stream flow gage are listed in the table below.

The Protected Flow at U.S.G.S. Stream Gaging Locations

Protected Low River or Stream Gage Location Flow (CFS)

Beaver Creek New Hartford 18 Big Creek Mount Pleasant 2 Black Hawk Creek Hudson 4.5 Boone River Webster City 24 Boyer River Logan 41 Cedar River Conesville 1240 Cedar River Cedar Rapids 937 Cedar River Waterloo 710 Cedar River Janesville 185 Cedar River Charles City 100 Chariton River Rathbun 2.9 Des Moines River Keosauqua 350 Des Moines River Ottumwa 300 Des Moines River Tracy 300 Des Moines River Des Moines (14th St.) 300 Des Moines River Saylorville 200 Des Moines River Stratford 310 Des Moines River Fort Dodge 220

Ch 3, p.9 Natural Resources[580] lAC 10/4/78

Protected Low ~ River or Stream Gage Location Flow (CFS)

Des Moines River Estherville 22 East Branch Iowa River Klemme 6 East Fork Des Moines River Dakota City 42 East Nishnabotna River Red Oak 37 East Nishnabotna River Atlantic 18 Floyd River James 22 Iowa River Wapello 1390 Iowa River Lone Tree 150 Iowa River Iowa City 150 Iowa River Marengo 204 Iowa River Marshalltown 104 Iowa River Rowan 21 Little Cedar River Ionia 28 Little Sioux River Turin 200 Little Sioux River Correctionville 106 Little Sioux River Linn Grove 42 Lizard Creek Clare 4.2 Maple River Mapleton 50 Maquoketa River Maquoketa 372 Middle Raccoon River Panora 20 Middle River Indianola 14.6 Monona-Harrison Ditch Turin 27 Nishnabotna Hamburg 128 Nodaway Clarinda 15 North Raccoon River Jefferson 82 North Raccoon River Sac City 14 North River Norwalk 5.6 North Skunk River Sigourney 35 Raccoon River Van Meter 190 Rock River Rock Valley 26 Shell Rock River Shell Rock 147 Shell Rock River Northwood 23 Skunk River Augusta 287 Soldier River Pisgah 20 South Raccoon River Redfield 58 South River Ackworth 4.1 South Skunk River Oskaloosa 94 South Skunk River Ames (below Squaw Creek) 23 South Skunk River Ames 4.8 Tarkio River Stanton 0.3 Thompson River Davis City 13 Turkey River Garber 210 Upper Iowa River Decorah 80 Walnut Creek Hartwick 2 Wapsipinicon River DeWitt 150 Wapsipinicon River Independence 17 West Branch Floyd River Struble 0.85 West Fork Cedar River Finchford 66 West Fork Ditch Hornick 12 West Nishnabotna River Randolph 67 West Nishnabotna River Hancock 49 White Breast Creek Dallas 3.2 Winnebago River Mason City 39

lAC 11/26/80 Natural Resources[580] Ch 4, p.1

~ b. At stream locations other than gaging stations. The protected now for points on a stream, other than at a U.S. Geological Survey gaging station, shall be established, as the need arises, by comparison of available stream flow data and basin characteristics.

This rule is intended to implement sections 45SA.1-455A.2, and 4SSA.22 of the Code, as amended. 580-3.10(455A) Modification, cancellation, and emergency suspension of permits.

3.10(1) In general. Except as provided in subrule 3.10(2), after at least thirty days' written notice, mailed to the permittee's last known address by restricted certified mail or personal service, and an opportunity for the permittee to be heard in an evidentiary hearing conducted according to the contested case provisions of chapter 17 A of the Code, the water com­missioner may modify or cancel a water permit or any condition thereof, notwithstanding any other rule, upon finding any of the following:

a. Breach of permit condition or law. A condition of the permit has been breached or the \..,I law pertaining to the permit has been violated by the permittee or permittee's agent;

b. Nonuse. The permittee has ceased for three consecutive years to use the water, and the permittee has not filed a new water permit application or an extension thereof within sixty days of notification of nonuse by the water commissioner.

c. Public health and safety. Modification or cancellation is necessary to protect the public health and safety, to protect the public interests in lands and waters, or to prevent any manner of substantial injury to persons or property.

3.10(2) Emergency suspension. Notwithstanding any other rule or permit conditions, if the water commissioner finds that it is imperatively necessary in an emergency to protect from imminent danger of substantial injury either the public health, welfare, and safety or the public interest in lands or water, and these findings are incorporated into a written order to the permittee, then the water commissioner may immediately suspend operations under a permit and require the permittee to take measures necessary to prevent or remedy injury either to the

\..,.,) public health, welfare, and safety or to the public interests in lands and water. The order shall remain in effect for the shorter of thirty days, the date specified in the order, or until the per­mittee has had an opportunity to be heard after at least ten days prior notice thereof (unless the permittee waives the ten-day notice right) and a revised or new order has been issued.

This rule is intended to implement sections 455A.28, 455A.29, and 17 A.18(3) of the Code. [Filed 10/9/75, Notice 8/25175---published 10/20/75, effective 11124/75]

[Filed Emergency 6/24/77-published 7/13/77, effective 6/24/77] (Filed 7/5/77, Notice 6/1/77-published 7/27/77, effective 8/31/77]

[Filed5/10/78,Notice3/78/78;AmendedNotice4/5/78-publishedS/31178,effective7/S/78*] [Filed emergency 8/4/78-published 8/23/78, effective 8/4/78]

[Filed 9/14/78, Notice 7/12/78-published 10/4178, effective 11/8/78] [Filed 11/5/80, Notice 9/17/80-published 11/26/80, effective 12/31/80]

CHAPTER4 COUNCIL--ESTABLISHED FLOOD PLAINs-

ENCROACHMENT LIMITS

580-4.1(4SSA) Regulations established. Regulations established by the council and local units of governments for the orderly development and wise use of the flood plains of any river or stream shall:

4.1(1) Flood plain. Delineate the limits of the flood plain or flood hazard area. 4.1 (2) Floodway. Identify the area needed to convey the regulatory flood through establish­

ment of encroachment limits. 4.1(3) Minimum levels of flood protection. Establish minimum levels of flood protection

for any flood plain development or use having a maximum, high, or moderate damage '--" potential.

4.1(4) Nonconforming uses and structures. Provide for existing nonconforming uses and structures. •see Delays, lAB 6128178, p.l94.

Ch 4, p.2 Natural Resources[580] lAC 8/23/78

580-4.2(455A) Flooding characteristics. The Iowa natural resources council regional flood, \..._,) the regulatory flood, and various flood frequencies shall be considered as flooding character-istics of a stream or river.

4.2(1) Iowa natural resources council regional flood. In determining the magnitude of the Iowa natural resources council regional flood, consideration shall be given to the following flood flow determination methods:

a. Standard project flood as computed by the corps of engineers. b. Experienced Iowa floods as determined from experienced Iowa flood chart. c. ·Rainfall-runoff relationships. d. Other hydrologic information available to the council. 4.2(2) Other floods. In determining the regulatory flood and various flood frequencies the

council shall give consideration to the following: a. Log pearson type III flood frequency method. b. U. S. geological survey flood frequency studies. ~ c. Corps of engineers flood frequency studies. d. Other studies and reports including site experience which reasonably identify the flood

frequencies of a river or stream.

'.....,.~

~

\...,J

lAC 11/26/80 Natural Resources[S80] Ch 5, p.6

~within fifteen days of the date of mailing the council order. Copies of the notice of appeal and any accompanying documents shall also be mailed by the appellant to each party to the proceedings or whose rights are involved in the case. The notice of appeal shall contain the following:

a. An identification of the action or decision being appealed; b. A concise and complete statement of the facts and laws relied upon by the appellant; c. The remedy sought; d. Certification setting forth the names of the parties served the notice of appeal, their

addresses, and the date of mailing; e. Whether the appellant plans to submit briefs; and f. The signature of the appellant or a qualified representative of the appellant. 5.33(1)* Pleadings. Appellants may submit to the council exceptions and briefs on con­

tested issues. The appellant shall mail ten copies of such documents to the director for \..,I transmittal to the council within fifteen days of the date of mailing the notice of appeal. Other

parties of record, other than the director, shall have twenty days from the date of mailing the appellant's exceptions or briefs to mail to the council ten copies of any exceptions or briefs in response thereto. The director may file a response by the time set by the council. Additional or rebuttal responses may be filed only upon permission first obtained from the chairperson of the council. The council may waive or extend mailing and filing deadlines for pleadings and notices upon motion of any party for good cause or upon its own motion. All parties submit­ting exceptions or briefs to the council shall also mail such documents to all other parties of record and shall certify to the council the names and addresses of the parties served and the date of mailing.

5.33(3) Decisions on appeal. The council will review the record on an appeal and affirm, modify, revoke, or take such other action as the circumstances call for. The council may direct a hearing on the entire matter or specified portions thereof, may decide the

\.._,/ appeal forthwith upon the record already made, or make other disposition of the case. The council may also assign agency staff, other than staff assigned to the flood plain division, to assist the council in the appeal proceeding and such staff shall report directly to the council.

\...,)

'..._,!

5.33(4) Stay or director's decision. The council or director may, in its discretion and on such terms, if any, as it deems proper order a stay of any or all approved construction activity, pending disposition of the appeal of the director's decision.

This rule is intended to implement sections 17A.15 and 455A.33, The Code. 5.34 to 5.49 Reserved.

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

Ch 5, p.7 Natural Resources[580] lAC 11/29/78

DIVISION III \....-~ CRITERIA FOR APPROVAL

580-5.50(455A) Bridges and road embankments. The following criteria shall apply to the construction, operation, and maintenance of bridges and road embankments.

5.50(1) Bridges and road emhankmellls affecting low damage potential areas. For bridges and road embankments affecting floodway or flood plain areas having a low flood damage potential, the following criteria will apply:

a. Backwater QSO. The maximum allowable backwater for QSO and lesser floods is limited to 0. 75 foot.

h. Backwater QJOO. The maximum allowable backwater for QlOO is limited to 1.5 feet. c. Freeboard. The minimum freeboard for low superstructure horizontal bridge members

above QSO is three feet. 5.50(2) Bridges and road embankments affecting moderate damage potential areas. For ~

bridges and road embankments affecting floodway or flood plain areas occupied by buildings or building complexes having a moderate flood damage potential, the following criteria will apply:

a. The maximum allowable backwater for QlOO is limited to 1.0 foot. b. The criteria specified in 5.SO(l)"a" and "c". 5.50(3) Bridges and road embankments affecting high or maximum damage potential

development. For bridges and road embankments affecting floodway or flood plain areas occupied by buildings or building complexes having a high or maximum flood damage potential, the following criteria will apply:

a. Backwater effects are to be minimized for all stages which affect maximum or high flood damage potential buildings or building complexes or for all stages which would tend to reduce the level of protection of certain flood control works, unless acceptable remedial ~ , measures are provided or such buildings are removed or the uses relating to human ..._,. occupancy are prohibited.

b. In no case shall the criteria specified in 5.50(1)"a" and "c" and 5.50(2)"a" be exceeded.

5.50(4) Bridge and channel change. For bridges and culverts involving channel changes on the floodway of any stream draining at the location of the channel change between ten and one hundred square miles whereby either (i) more than a five hundred foot length of the existing channel is being altered or (ii) the length of existing channel being altered is reduced by more than twenty-five percent, the maximum allowable backwater shall corres­pond to the limits permitted in 5.50(1), 5.50(2), 5.50(3) or 5.50(5) depending upon the associated damage potential.

5.50(5) Culverts. The maximum allowable backwater at culvert inlets shall correspond to the limits permitted in 5.50(1), 5.50(2), or 5.50(3) depending upon the damage potential ~ associated with the affected area. In the case of replacement culverts the backwater shall not exceed that created by the culvert or waterway crossing being replaced or that specified in 5.50(1), 5.50(2), or 5.50(3) depending upon the associated damage potential, whichever is greater.

5.50(6) Road embankments. The criteria listed in 5.60(455A) of these rules for miscel­laneous flood plain construction projects shall apply to road embankments located on the flood plain but not crossing any stream or river channel.

5.50(7) Temporary channel obstructions. Temporary stream crossings, and other temporary obstructions usually constructed, operated, and maintained during the construction phase of another flood plain construction project shall meet the following criteria:

a. Low flow. Said structures will provide for the passage of the prevailing flow in the stream or river. "-""

b. Flood flow. Said structure shall be designed to fail or otherwise operate in the event of flooding so as to prevent premature overbank flow, or meet the backwater criteria indicated in 5.50(1), 5.50(2), or 5.50(3).

lAC 11/29178 Natural Resources[580] Ch 5, p.16

~580-5.96(455A) Protected stream designation procedure. 5.96(1) Eligible petitioners. Any state agency, governmental subdivision, association or

interested person may petition the council, according to the rules of this division, to designate a stream as a protected stream. However, if the stream had been the subject of a similar petition tiled within the past two years, the council shall not accept a petition except upon a majority vote.

5.96(2) Content of petition. The petition for protected stream designation shall contain the following: (a) Names, addresses, and the phone numbers of the petitioners; (b) location of the stream nominated for designation; (c) reasons why the stream is nominated, each reason being stated in a separate numbered paragraph; and (d) adequate evidence supporting the reasons for nomination. Eleven copies of the petition shall be filed with the director of the council.

5.96(3) Director review of petition. Upon receipt of a petition for designation of a -..._,1 stream as a protected stream, the director of the INRC shall make an initial determination

as to whether the petition complies with 5. 96(2) and whether the stream has a sufficient number of environmental amenities listed in 5. 96(7) that further investigation is warranted. If the director finds the petition not in compliance with 5.96(7) or that further investigation is not warranted, agency proceedings to designate the nominated stream as protected shall cease and the petitioner shall be notified of the reasons for refusing to accept and act upon the petition. A petitioner aggrieved by the director's decision may appeal the decision within thirty days to an executive committee of at least three council members.

5.96(4) Notice of initiation of protected stream designation proceedings. Upon director or council acceptance of a petition nominating a stream for protected stream designation, the director of the INRC shall do the following:

a. Notice of intended action. Publish a notice of intended action in the Iowa ~ Administrative Code biweekly supplement, the content of which identifies the nominated

stream and requests public input into the protected stream designation procedure. b. Council notification. Notify the council at the next meeting of the filing of a petition

for protected stream designation; c. Interested agency notification. Notify regional planning commissions, county board of

supervisors, city councils, soil conservation districts through which the nominated stream runs, the Iowa conservation commission, the department of environmental quality, the department of soil conservation, the department of agriculture and the Iowa geological survey;

d. County-wide notification. Publish notice of the filing of the petition in a newspaper of general circulation for two consecutive weeks in each county in which the nominated stream is located.

5.96(5) Director investigation report. Upon director or council acceptance of a petition '-../ nominating a stream for protected stream designation, the director of the INRC shall do the

following: a. Investigation. Supervise a field staff investigation of the stream nominated for

protected stream status for the purpose of assessing the effect that extending INRC flood plain regulation would have on the factors listed in 5.96(7);

b. Report. File a report with the council at a monthly council meeting held within one year after the notice of intended action was published; the report shall specifically state findings of fact or each reason alleged in the petition in support of a protected stream designation and convey a staff recommendation, including any minority recommendations and recommendations of other governmental bodies and interested persons on whether or not the stream should be regulated;

c. lflteragency co-ordination. Invite the Iowa conservation commission, the department of environmental quality, Iowa geological survey, and any other agency or governmental

'-.,/ subdivision expressing an interest in the proceeding to participate in the field investigation and preparation of the report, and request their assessment of whether extension of INRC jurisdiction over the nominated stream would have either an adverse or beneficial impact on

Ch S. p.17 Natural Resources[580J lAC 11126/80

their agency's water resource programs. '...J 5.96(6) Council determination. After receipt of the director's report and the public has

had an opportunity to submit written comments and make an oral presentation, the council shall make a determination in writing whether or not to designate the stream identified in the petition as a protected stream, except that the council may continue the proceeding as needed to collect or analyze additional data. The council's determination shall be based on the factors listed in 5.96(7), as applied to the nominated stream and its flood plain and, to other relevant streams and flood plains located in the same watershed as the nominated stream, as well as any underground water system hydrologically connected to the nominated stream.

5.96(7) Basis for protected stream designation. Council determination of whether or not to classify a stream as a protected stream shall be based on the balancing of the costs and benefits of possible flood plain development as it would affect the following factors: (a) Maintenance of stream fishery capacity; (b) water quality preservation; (c) wildlife habitat ~ preservation; (d) flood control; (e) flood plain management; (f) existing flood plain developments; (g) soil erosion control; (h) the needs of agriculture and industry; (i) the maintenance and enhancement of public recreational opportunities; G> the public's health, welfare and safety; (k) compatibility with the state water plan; (I) property and water rights of landowners; (m) other fdctors relevant to the control, development, protection, allocation, and utilization of the nominated stream and water hydrologically connected to it.

580-5.97 (455A) Protected stream declassification procedure. The procedure for removing a stream from the list of protected streams in 5. 95(2) of these rules shall be the same as the rules for designation of a stream as a protected stream, except that all notices, investigations and reports shall be addressed to the issue of declassification.

These rules are intended to implement sections 455A.1, 45SA.2, 455A.17, 455A.18 and ~ 455A.33 of the Code.

[Filed 10/9/75, Notice 8/25/75-published 10/20/75, effective 11/24/75] [Filed 5/5178, Notice 3/8/78; Amended Notice 4/ 19/78-published 5/31/78, effective 7 I 51781

[Filed 9/14/78, Notice 7 /12/78-published 10/4/78, effective 11/8/78) [Filed 11/13/78, Notice 9/20/78--published 11/29/78, effective 113/79]

[Filed emergency 1115/80-published 11/26/80, effective 11/5/80]

~

~

lAC 10/29/80, 11/26/80 Professional Teaching[640] ChS,p.l

~.13(272A) Penonal requirements. In assessing the mental or physical health of educators, no decision adverse to the educator shall be made by the commission except on the testimony of personnel competent to make such judgment by reason of training, licen­sure and experience in professions, a significant concern of which is the study, diagnosis and treatment of physical or mental health. However, each competent educator within the scope of delegated authority shall:

1. Be able to engage, except when temporarily disabled, in physical activity appropriate to the designated task. The term "temporarily disabled" covers physical and mental con­ditions. No adverse decision will be rendered by the commission against a temporarily disabled educator solely for that reason, and the issue as to the nature of an alleged disability shall be decided in the same manner as set forth in paragraph immediately above.

2. Be able to communicate effectively so as to accomplish the designated task. 3. Appropriately control emotions, the expression of which are likely to interfere with the

~designated task or be detrimental to the learning process and to otherwise compromise the educator's effectiveness.

4. Possess and demonstrate sufficient intellectual ability to perform designated tasks. These rules are intended to implement section 272A.6 of the Code.

[Filed 1117178, Notice 11/2/77-published 2/8/78, effective 3/15/78]

CHAPTER s• CONTRACT NONPERFORMANCE-RESIGNATIONS-COMPLAINT

PROCEEDINGS

640-5.1(271A) General. Section 279.13, The Code, establishes a procedure whereby a '-../ teacher or administrator can proffer a request for contractual release to be considered and

acted upon by the school board. The conditions and requirements to a release vary from district to district. A few refuse even to consider the merits of a section 279.13 request. In commission proceedings to determine professional responsibility for alleged contract nonper­formance equity and fair play require that comparably situated educators and school districts be uniformly treated by an agency of state government regardless of contract situs. A major purpose of the following criteria is to promote such uniformity by imposing conditions prece­dent to complaint proceedings. These rules are not intended to interfere with local authority as to substantive issues of contractual release under section 279.13; nor are they to be construed as otherwise affecting any existing contractual right, remedy, obligation or liability recognized by law or in equity. The rules merely define jurisdictional prerequisites and limitations to com­mission review applicable alike to all educators and school districts.

5.2 Reserved.

640-5.3(272A) Resignation and notice-release denied-mitigating factors. Except where excused or justified by operation of law, equity or public policy, the nonperformance of a teaching or administrative agreement under chapter 279, The Code, is unprofessional and in violation of commission criteria. Such noncompliance is a basis for commission proceedings, possibly resulting in certificate suspension, official reprimand or other agency action. The following criteria impose professional responsibilities and contain elements to be considered in agency complaint proceedings:

5.3(1) Notice. A teacher or administrator desiring a contractual release shall give at least thirty days' notice of such desire. Such notice is intended only as a professional responsibility under section 272A.6, The Code, and is not relevant to the issue of board release under section 279.13. The application shall clearly inform the school board that the document is a request to be released in accordance with the authority of section 279.13. The notice is to be in writing, addressed to the board, with the original served on its secretary and a copy furnished to its chief administrator. The educator and the chief administrator shall exercise reasonable efforts to the end that the request receive expeditious board consideration and disposition.

*Effective date of chapter S delayed seventy days by the administrative rules review committee.

Ch 5, p.2 Professional Teaching[640] lAC 10/29/80

5.3(2) Replacement: The notice shall advise the board that if it and its chief administrator wiJJ permit, the teacher or administrator wiJJ exercise reasonable efforts to Jearn of an available and suitable replacement. If permitted, such efforts should be expended. Whether the educator is released or departs in violation of the contract, there is a professional obliga­tion to take ail steps necessary to provide an unremarkable transition for students and replace­ment, including, where possible, subsequent consultation with and assistance as needed by the replacement.

5.3(3) Nonperformance-factors in mitigation: In commission complaint proceedings agency disposition as to unprofessional nonperformance will consider, as possibly mitigating the sanction, the foJlowing: Physical or psychogenic health factors; marital and family prob­lems related to nonperformance; assistance in securing, training, acclimating and otherwise aiding the replacement in an orderly transition; providing special assistance to the students necessary because of the transition; and, the expenditure of moneys as replacement costs. This list of factors is not exclusive and an item or two under certain circumstances could raise to the level of excused or justified nonperformance.

5.3(4) Nonperformance-certain motives-no excuse or justification: Commission deci­sions hold that contract nonperformance motivated by profit considerations, desire for new employment or expectations of professional enhancement do not constitute legal or equitable excuse or justification in complaint proceedings.

640-5.4(272A) Release denied-nonperformance-conditions to agency complaint proceedings. This rule is applicable to proceedings commenced after its effective date. Moreover, it is inapplicable where a teacher or administrator has resigned orally or in writing or by actions and has departed the district without efforts to obtain a section 279.13 board release. Complaint proceedings as the result of contract nonperformance may be commenced by the involved district or by its chief administrator. The commission limits the exercise of its jurisdiction to a cause of action the essential elements of which are as follows and which shaii be set forth in the complaint:

1. A valid chapter 279 contrac~ (copy attached). 2. A copy of the educator's application requesting board consideration under section

279.13 for mutual termination and release of contract. 3. A copy of board action or action by its chief administrator regarding efforts to procure

or the procurement of a suitable replacement for the teacher or administrator. 4. A copy of board action reflecting its disposition on the merits of the section 279.13 ap­

plication. S. A copy of board policy, written or unwritten, outlining the substance and procedure

governing resignations and the issue of release. 6. A statement showing the inception date of and facts as to nonperformahce of the con­

tract. 7. A statement, if applicable, showing the amount of money paid by the educator as

replacement costs. 8. A statement as to other relevant facts, including those showing exceptional aggravation

in the nonperformance situation. If known to the complaining party, the complaint should also contain information as to probable motive causing the educator's default, including mat­ters such as health problems, emotionally charged marital or family problems, need to follow spouse to new employment and the like.

640-5.5(272A) Defective complaint-procedure. Upon receipt of a complaint wherein one or more of the essential elements in rule 5.4(272A) is not shown the same shall be returned for amendment and correction. If the case is not or cannot be corrected to show a cause of action as defined, the proceedings will not be processed but dismissed on jurisdictional grounds.

I..-)

'..'

~

v

\.._,!

lAC 10/29/80, 11/26/80 Professional Teaching(640] Ch 6, p.1

\.,.) 640-5.6(272A) Nonperformance-excuse or justification. 5.6(1) This rule is intended as guidance in considering whether to commence complaint

proceedings for contractual nonperformance. Nonperformance of a chapter 279 agreement is held free of professional fault if the noncompliance is excused or justified either by operation of law or equity or by reasons of public policy. Under appropriate facts and circumstances the following are possible examples of such cases:

a. Serious physical or psychogenic health problems of the educator or involving members of the immediate family where medical advice or other compelling reasons make it imprac­ticable for the educator to perform.

b. Other serious family and personal problems that produce a level of stress and anxiety whereby the educator is unable to maintain a sufficient motive permitting adequate perform­ance of professional responsibilities.

c. Where an educator because of marriage contracted after signing the chapter 279 agree­\...,! ment, must follow the other spouse for purposes of marital unity. The same is true where an

educator follows his or her spouse as the result of an employment move by the latter. d. Where an educator reasonably believes it is necesary to flee the district because of actual

or threatened physical or psychological abuse perpetuated by spouse or others. e. Where an educator is frustrated in efforts to perform professional duties as the result of

intentional actions by school staff, administrators or board members where the actions are im­proper, unjustified and unprofessional. The same is true where the educator is assigned pro­fessional subject matter for which he or she is not approved or is not competent or qualified in law or in fact. Also, where an educator is required to assume responsibilities which were clear­ly not contemplated in the contract negotiations or included in the contract at issue.

f. Where an educator has been denied a section 279.13 release and such action appears discriminatory in light of prior district action uniformly granting releases in comparable cases.

g. Where in complaint proceedings it is clearly shown that the complaining district has ....,._; engaged in a practice of attempting to hire for a current contract year a particular educator

obligated to another Iowa school district in accordance with chapter 279, The Code.

'.....,)

\,.,'

5.6(2) Reserved.

640-5. 7(272A) Replacement. In agency complaint proceedings where a district contends an available replacement was not suitable, such determination will not be reviewed if made in good faith. Likewise, if the district has in fact hired a replacement, the agency will presume the district acted to retain a competent and suitable person and will not entertain a district conten­tion as to unsuitability.

Rules 5.1(272A) to 5.7(272A) are intended to implement section 272A.6, The Code. [Filed 10/8/80, Notice 4/30/80-published 10/29/80, effective 12/5/80*]

CHAPTER 6** STUDENT DISCIPLINE-CORPORAL PUNISHMENT AND CONFINEMENT

640-6.1(272A) General. As an exception to the general rule proscribing bodily restraint and the use of force against a nonconsenting person, the common law of our nation, the Supreme Court of the United States and the high Court of Iowa acknowledge a legal privilege of educators to corporally punish students for a specific purpose and in a limited manner. The privilege is strictly limited to its purpose and grants no license to abuse school children. Where the use of force in nonprivileged or if initially privileged becomes unreasonable, the educator is subject to both criminal and civil action. The use of nonprivileged physical force by an educator against a student is professionally impermissible and a violation of commission criteria. These rules are in addition to other agency criteria found in chapters 3 and 4 which govern educator-student relationships and which may also have applicability to discipline situations.

"Effective date of chapter S delayed seventy days by the administrative rules review committee . .. Effective date of chapter 6 delayed seventy days by the administrative rules review committee.

Ch 6, p.2 Professional Teaching[640] lAC 10/29/80

640-6.2(272A) Agency intent. The purpose of these rules is to define generally the profes- '­sionallimits as to the use of physical force or confinement by members of the teaching profes-sion. It is not the commission's intent to either condone or encourage corporal discipline or confinement and as to those educators and districts who refrain from its use these rules are not intended as authority for or encouragement to alter such policy.

640-6.3(272A) Legal privilege to defend or protect persons and property. In common with all persons, educators have a legal privilege to use reasonable and necessary force to restrain or subdue another for the purpose of protecting one's self, ot}lers or property. The following criteria concerning professional restrictions as to the use of corporal punishment are inap­plicable and not relevant to an issue of force used to protect or defend. In all such cases, however, the use of unnecesary, excessive or other unreasonable force is not privileged, is unlawful and is professionally impermissible.

640-6.4(272A) Persons privileged to punish. The privilege of corporal punishment presup­poses that the disciplinarian act in the context of an educator-student relationship, that is, he or she by reasons of employment within the school entity is invested with professional authori­ty, control and trust respecting the student. The privilege to punish further presupposes that the problem prevoking corporal discipline has a substantial and relevant nexus to a school function or activity wherein the educator-student tie is present. Where such relationship is lacking, as for example where a student is from an alien district or other jurisdiction, the privilege of corporal punishment is not applicable and if further consideration of discipline is warranted the child should be referred to the appropriate authorities, parents or police.

640-6.5(272A) Privilege to punish-purpose. Corporal punishment is privileged if, and only if, its purpose and goal is to seek discipline, reformation, training and education of the errant student. Physical force employed for other unrelated reasons (e.g., anger, malice, as a spontaneous reaction to physical contact, stress or the like), is not a purpose for which force is privileged.

640-6.6(272A) Corporal punishment-execution and procedure. Conceptually and as con­trasted to involuntary, spontaneous or immediate physical response, corporal punishment is an intentional, deliberate and objective process wherein a calm and informed decision is made to inflict pain upon a student for the reasons permitted by the privilege as noted in rule 6.5(272A) supra. The educator actually administering the punishment should abide by the following procedural steps: The student should be given a clear statement as to why he or she is being punished; provided a fair opportunity to state his or her side of the case; and permit­ted to offer any defense regarding the alleged transgression. Since pain once inflicted is ir­revocable, corporal punishment should not be administered if doubts remain as to its justifica­tion. In the absence of clear and convincing evidence as to a legitimate goal of education, cor­poral punishment is not to be administered in the presence of other students.

640-6. 7(272A) Nature of force privileged-reasonableness. 6. 7(1) Consistent with the purpose of corporal punishment and in conformity with the

above criteria, an educator is privileged to use reasonable and moderate physical force in those cases where corporal punishment of a student is indicated and justified by creditable facts of record. The issue as to reasonableness of force depends on the facts and circumstances of each case, some examples of which are:

a. Age, size, and weight. b. Health and physical condition of student, including psychological emotional or other

mental defects or disabilities. c. The nature and extent of the student transgression at issue.

\....,;

\..!

\...!

~

lAC 10/29/80, 11/26/80 Professional Teaching[640] Ch 6, p.3

~ 6. 7(2) Nature has provided posterior portions of the anatomy reasonably suited to cor­poral chastisement. Physical force and violence applied for reasons of discipline to certain portions of the body and in a given manner are highly questionable and probably unreasonable and non privileged per se. For example:

'-.,~.

a. Kicking any part of the student. b. Striking the student with closed fist or hand about the body. c. Slapping the student about the face and head with palm, back of hand or other objects. d. Pushing or throwing the student against solid objects such as walls, floors or the like. e. Seizing and applying painful pressure on bodily parts such as hair, ears, nose and the

like. f. Forcing the student's head into motion so as to cause contact with some object. g. Causing any intentional contact with and activity upon the external sexual organs, in­

cluding the breasts of a female student.

640-6.8(272A) Nonprivileged force-anger and the like. The use of physical force against a student by an educator acting from anger, malice, passion or other such emotional states is nonprivileged, unlawful and unprofessional. This rule applies only to an issue of corporal punishment. Whether the presence of anger or passion affects the privilege to protect or de­fend under rule 6.3(272A) supra depends on whether the emotional state produced excessive and unreasonable force.

640-6.9(272A) Serious or permanent injury. For the purpose of inflicting corporal punish­ment, an educator is not privileged to cause serious or permanent bodily or psychogenic injury or to aggravate and complicate any such pre-existing condition. The issue of intent or nonin­tent to injure is not relevant if the force used to punish is likely to or reasonably capable of causing injury. Corporal punishment privileged at its inception and inflicted in a reasonable and moderate manner does not lose its privileged status by reasons of an injury not reasonably foreseeable or reasonably guarded against. An example might be an injury suffered by a stu­dent in efforts to avoid the discipline.

640-6.10(272A) Physical confinement and restraint. If as a matter of discipline an educator intends to physically confine or restrain a student the following conditions must be observed: A room of reasonable dimensions with light and adequate ventilation is to be used. The area must also maintain a comfortable temperature and the student must not be confined there for an unreasonable period. There is no privilege to confine any student in a degrading or humiliating manner, as for example in locked closets, attic areas, crawl spac~s and the like.

Rules 6.1(272A) to 6.10(272A) are intended to implement section 272A.6, The Code. [Filed 10/8/80, Notice 4/30/80-published 10/29/80, effective 12/5/80•]

•Effective date or chapter 6 delayed seventy days by the administrative rules review committee.

... •'

··i . . ;;, .

.. t ~F

...

. ~ .:

f .•.

..... 'J,·-- .. ·.~

... .

~ . . . ...~ .. ·,..

.. ··;,

.··!, :.,_·_

lAC 11/26/80 PERB[660] Analysis, p.1

PUBLIC EMPLOYMENT RELATIONS BOARD[660]

CHAPTER 1 GENERAL PROVISIONS

1.1 (20) Construction and severability 1.2(20) General agency description 1.3(20) General course and method of

operation 1.4(20) Method of obtaining information

and making submissions or requests

1.5(20) Petition for adoption of rules 1.6(20) Definitions 1. 7(20) Computation of time

CHAPTER 2 GENERAL PRACTICE AND HEARING

PROCEDURES 2.1 (20) Hearing-time and place-hear-

ing officer 2.2(20) Notice of hearing-contents 2.3(20) Failure to appear 2.4(20) Intervention and additional parties 2.5(20) Continuance 2.6(20) Appearances and conduct of

parties 2. 7(20) Evidence-objections 2.8(20) Order of procedure 2. 9(20) Amendments 2.10(20) Briefs and arguments 2.11 (20) Sequestration of witnesses 2.12(20) Subpoenas 2.13(20) Form of documents 2.14(20) Captions 2.15(20) Service of pleadings and other

papers 2.16(20) Consolidation 2.17(20) Prohibition against testimony of

mediators, fact-finders, arbi­trators and board employees

2.18(20) Delivery of decisions and orders 2. 19(20) Stays of agency action 2.20(20) Ex parte communications 2.21(20) Transcripts of record

CHAPTER3 PROHIBITED PRACTICE

COMPLAINTS 3.1 (20) Filing of complaint 3.2(20) Contents of complaint 3.3(20) Oarification of complaint 3.4(20) Service of complaint 3.5(20) Answer to complaint

3.6(20) Withdrawal of complaint 3. 7(20) Amendment of complaint or

answer 3.8(20) Investigation of complaint 3. 9(20) Reserved 3.10(20) Informal disposition 3.11 (20) Evidence of settlement negotia­

tions

CHAPTER4 BARGAINING UNIT AND

BARGAINING REPRESENTATIVE DETERMINATION

4.1(20) General procedures 4.2(20) Unit determination 4.3(20) Bargaining representative deter-

mination (election petitions) 4.4(20) Concurrent (combined) petitions 4.5(20) Unit reconsideration 4.6(20) Amendment of unit or certification 4. 7(20) Unit clarification

CHAPTERS ELECTIONS

5.1(20) General procedures 5.2(20) Conduct of election 5.3(20) Election results-tally of ballots 5.4(20) Postelection procedures 5.5(20) Bars to an election 5.6(20) Decertification elections 5. 7(20) Destruction of ballots

CHAPTER6 NEGOTIATIONS AND

NEGOTIABILITY DISPUTES 6.1(20) Scope of negotiations 6.2(20) Consolidated negotiations 6.3(20) Negotiability disputes 6.4(20) Acceptance of proposed agreement 6.5(20) Ne~otiations report-filing of

agreement

CHAPTER 7 IMPASSE PROCEDURES

7.1 (20) General 7.2(20) Fees of neutrals 7 .3(20) Mediation 7 .4(20) Fact-finding 7.5(20) Binding arbitration 7 .6(20) Impasse procedures after budget

certification 7. 7(20) Impasse procedure for state em­

ployees

Analysis, p.2 PERB[660]

CHAPTER 8 INTERNAL CONDUCT OF EMPLOYEE

ORGANIZATIONS 8.1(20) Registration report 8.2(20) Annual report 8.3(20) Bonding requirements 8.4(20) Trusteeships 8.5(20) Reports as public information

CHAPTER 9 ADMINISTRATIVE REMEDIES

9.1 (20) Final decisions 9.2(20) Appeals to board 9.3(20) Appeals to district court

CHAPTER 10 DECLARATORY RULINGS

10.1(17A,20) Who may petition 10.2(20) Contents of petition 1 0.3(17 A,20) Clarifications 10.4(17 A,20) Caption 10.5(17 A,20) Service 10.6(17A,20) Intervention

lAC 11/26/80

\..,1

lAC 11/26/80 PERB [660]

CHAPTER 1 GENERAL PROVISIONS

Ch 1. p.1

660-1.1(20) Construction and severablllty. These rules shall be liberally construed to effectuate the purposes and provisions of the public employment relations Act. If any provisions of these rules are held to be invalid, it shall not be construed to invalidate any of the other provisions of these rules.

660-1.2(20) General agency description. The public employment relations board is a three member board consisting of a chairperson and two board members. The duties of the board are to administer the provisions of the public employment relations Act, including determina­tion of appropriate bargaining units, .. the conduct of bargaining representative elections, ad­judication of prohibited practice complaints and the adoption of rules. The board also collects

\._,} and disseminates data relating to terms and conditions of public employment; and maintains a list of mediators, fact-finders and arbitrators, and establishes their rate of compensation. The staff of the board includes employees who may act as hearing officers, conduct investigations of prohibited practices, act as election agents, and conduct research projects for the board.

~

660-1.3(20) General course and method of operation. Upon receipt of a petition or complaint, the board may assign an investigator to the case to prepare a preliminary report. In the case of a complaint, the board may determine that the charge is without basis and dismiss the complaint without further proceedings. Complaints not dismissed and petitions are assigned for a hearing before either a hearing officer or the board, unless the procedures for informal settlement described in these rules are followed. The hearing officer or the board will conduct a hearing on the complaint or petition and issue an order. The decisions of hearing officers are appealable to the board, and final orders and decisions of the board are appealable to the district court under the administrative procedure Act.

The board follows the procedures for adoption of rules found in the administrative pro­cedure Act. When the board agrees to propose the adoption of a rule, the chairperson has the authority to sign and submit a notice of intended action containing the proposed rule.

660-1.4(20) Method of obtaining information and making submissions or requests. Any person may obtain information from, make submission to, or make a request of the board by writing to Chairperson, Iowa Public Employment Relations Board, 507 lOth Street, Des Moines, Iowa 50309.

660-1.5(20) Petition for adoption of rules. Any person may petition the board for the adoption of a rule. Such petition shall be in writing and shall include:

\..,I 1.5(1) The name and address of the person requesting the adoption of the rule; 1.5(2) A statement of the proposed rule;

\.,.1

1.5(3) A statement of why the rule is being proposed for adoption. Within sixty days of the board's receipt of the proposed rule, the board shall either deny the petition in writing, stating its reasons for the denial or shall initiate ·rulemaking proceedings in accordance with chapter 17 A of the Code.

Ch 1, p.2 PERB[660] lAC 11/26/80

660-1.6(20) Definitions. \w.l 1.6(1) "Act" as used in these rules shall mean the public employment relations Act,

chapter 20. 1.6(2) "Board" as used in these rules shall mean the public employment relations

board. No official board action may be taken without the concurrence of at least two members of the board; provided, however, that when for compelling reasons only two members hear an appeal of a recommended decision in a contested case and the two members do not concur, the result shall be affirmation of the recommended decision. The board, in its discretion, may delegate to board employees duties which the Act does not specifically require to be performed by the three member board.

1.6(3) Petitioner-complainant-respondent-intervenor. a. "Petitioner" means the party filing a petition under section 20.13 or 20.14. b. "Complainant" means the party filing a complaint under section 20.11, alleging the '-""

commission of a prohibited practice. c. "Respondent" means the party accused of committing a prohibited practice. d. "Intervenor" means a party who voluntarily interposes in a proceeding with the

approval of the board or hearing officer.

~

~

~

lAC 11/26/80 PERB[660] Ch 2, p.l

"-" 1.6(4) "Party" as used in these rules shall mean any person, employee organization or public employer who has filed a petition or complaint under the Act or these rules; who has been named as a party in a complaint, petition or other matter under these rules; or whose motion to intervene has been granted by the board.

''..'

1.6(5) "Impasse item" means any term which was a subject of negotiations and proposed to be included in a collective bargaining agreement upon which the parties have failed to reach agreement in the course of negotiations, except as provided for in 6.1(20). Failure of the parties to agree upon impasse procedures shall not constitute an impasse item or compel implementation of impasse procedures.

1.6(6) "Impasse procedures" means either the procedures set forth in sections 20.20, 20.21 and 20.22; or any procedures agreed upon by the parties which commence no later than one hundred twenty days prior to the certified budget submission date of the public employer, and which result in a binding collective bargaining agreement.

660-1.7(20) Computation of time. Time periods established by these rules shall be computed pursuant to section 4.1(22) of the Code.

These rules are intended to implement chapter 20, The Code. [Filed March 4, 1975]

[Filed 2/3/78, Notice 12/28/77-published 2/22/78, effective 3/29/78] [Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 12/31/80]

CHAPTER 2 GENERAL PRACTICE AND HEARING PROCEDURES

· 660-2.1(20) Hearing-time and place-hearing officer. The board shall fix the time and \.._/ place for all hearings. Hearings may be conducted by the board, or by one or more

members thereof, or by a hearing officer designated by tJte board. At their discretion the board or hearing officer may order a prehearing conference.

660-2.2(20) Notice of hearing-contents. Written notice of the hearing shall be delivered by the board to all parties by ordinary mail. The notice shall include:

2.2(1) A statement of the time, place and nature of hearing. 2.2(2) A statement of the legal authority and jurisdiction under which the hearing is to

be held. 2.2(3) A reference to the particular sections of the statutes and rules involved. 2.2(4) A short and plain statement of the matters asserted.

\._) 660-2.3(20) FaDure to appear. If a party fails to appear after proper service of notice, the hearing officer may, if no continuance is granted, proceed with the hearing and render a decision in the absence of the party.

660-2.4(20) Intervention and additional parties. Any interested person may request intervention in any proceeding before the public employment relations board. An application for intervention shall be in writing, except that applications made during a hearing may be made orally to the hearing officer, and shall contain a statement of the reasons for such intervention. When an application for intervention is filed regarding a petition for bargaining representative determination, the rules set forth in 4.3(2), 4.4(4) and 5.1(4) shall apply.

Where necessary to achieve a more proper decision, the board or hearing officer may, on its own motion or the motion of any party, order the bringing in of additional parties .

....._,; When so ordered the board shall serve upon such additional parties all relevant pleadings, and allow such parties a reasonable time to respond thereto where appropriate.

660-2.5(20) Continuance. Hearings or proceedings on any matter may be continued by order of the board or a hearing officer, with the reasons therefor set out in said order, and

t•'.; . ~.

~ .... ~

/.·

"·'·

•. : !, ~ ;___, __

... ~-

: . 1 ·;:

lAC 11/26/80 PERB[660] Ch 2, p.2

~ notice thereof to all parties. Parties may, upon written application to the board prior to com­mencement of the hearing or other proceeding, or oral application to the hearing officer dur­ing the hearing, but not ex parte, request a continuance. A continuance may be allowed for any cause not growing out of the fault or negligence of the applicant, which satisfies the board or hearing officer that a proper decision or result will be more nearly obtained by granting a continuance. The continuance may also be granted if agreed to by all parties and approved by the board or hearing officer.

660-2.6(20) Appearances and conduct of parties. Any party may appear and be heard on its own behalf, or by its designated representative. Designated representatives shall file a

notice of appearance with the board for each case in which they appear for a party. Filing of pleadings on behalf of a party shall be equivalent to tiling a notice of appearance. All persons appearing in proceedings before the board shall conform to the standard of ethical

~- conduct required of attorneys before the courts of the state of Iowa. If any person refuses to conform to such standards, the board may decline to permit such person to appear in any proceeding.

~

\.,.,t

....,_;'

660-2.7(20) Evidence-objections. Rules of evidence shall be those set forth in the administrative procedures Act. Any objection with respect to the conduct of the hearing, including an objection to the introduction of evidence, may be stated orally or in writing, accompanied by a short statement of the grounds of such objection, and included in the record. No such objection shall be deemed waived by further participation in the hearing.

660-2.8(20) Order of procedure. The employer shall present its evidence first in unit determination hearings. The complainant shall present its evidence first and shall have the burden of proof in prohibited practice hearings. Intervenors shall follow the parties in whose behalf the intervention is made; if not made in support of a principal party, the hearing officer shall designate at what stage such intervenors shall be heard. The order of other parties shall be determined by the hearing officer. All parties shall be allowed cross-examination and an opportunity for rebuttal. At any stage of the hearing or after the close of the hearing but prior to decision, the board or hearing officer may call for further evidence to be presented by the party or parties concerned.

660-2.9(20) Amendments. A petition, complaint or answer may be a~ended for good cause shown, but not ex parte, upon motion at any time prior to the decision. Allowance of such amendments, including those to conform to the proof, shall be within the discretion of the board or hearing officer. The board or hearing officer may impose terms, or grant a continuance with or without terms, as a condition of such allowance. Such motions prior to hearing shall be in writing filed with the board, and the moving party shall serve a copy thereof upon all parties by ordinary mail.

660-2.10(20) Briefs and arguments. At the discretion of the board or hearing officer, oral arguments may be presented by the parties with such time limits as determined by the board or hearing officer. Briefs may be filed in such order and within such time limits as set by the board or hearing officer.

660-2.11(20) Sequestration of witnesses. Upon its own motion, or the motion of any party, the board or hearing officer may order the sequestration of witnesses in any proceeding.

660-2.12(20) Subpoenas. 2.12(1) Attendance of witnesses. The board or hearing officer shall issue subpoenas to

compel the attendance of witnesses and the production of relevant records upon written

Ch 2, p.J PERB[660] lAC 11/26/80

application of any party filed with the board prior to the hearing or oral motion before the --......,_; hearing officer. Subpoenas for production of records shall list with specificity the items sought for production and the name and address of the person or party having possession or control thereof. A motion to quash subpoenas issued by the board may be fLied with the board prior to hearing or with the hearing officer at the time of hearing. The motion filed prior to hearing shall be in writing, and the moving party shall provide copies to all parties of record.

2.12(2) Witness fees. Witnesses shall receive from the subpoenaing party fees and expenses as are prescribed by statute for witnesses in civil actions before a district court. Witnesses may, however, waive such fees and expenses.

2.12(3) Service of subpoenas. Subpoenas shall be served as provided in section 622.63, Code of Iowa.

660-2.13(20) Form of documents. All documents, other than forms provided by the board, which relate to any proceeding before the board should be typewritten on legal-size \....I paper and bear the docket number of the proceeding to which it relates. Such documents may be single or double-spaced at the option of the submitting party.

660-2.14(20) Captions. The following captions for documents other than forms provided by the board are suggested for use in practice before the board:

2.14(1) In prohibited practice proceedings: Before the Public Employment Relations Board

xyz, Complainant

and

John Doe, Respondent

[name of document]

Case No. l.2.Y.

2.14(2) In proceedings pursuant to a petition: Before the Public Employment Relations Board

In the matter of

xyz Public Employer,

and

John Doe, Petitioner

~[name of document]

(Case No. J..2M

660-2.15(20) Service of pleadings and other papers. 2.15(1) Service-upon whom made. Whenever under these rules service is required to be

made upon a party, such service shall be as follows: a. Upon any city, or board, commission, council or agency thereof, by serving the mayor

or city clerk. b. Upon any county, or office, board, commission or agency thereof, by serving the

county auditor or the chairman of the county board of supervisors. c. Upon any school district, school township, or school corporation by serving the

presiding officer or secretary of its governing body. d. Upon the state of Iowa, or board, commission, council, office or agency thereof, by

serving the governor or the individual designated by the governor to receive such service, the ~ name and address of the latter to be registered with the board.

e. Upon any other governing body by serving its presiding officer, clerk or secretary.

lAC 11/26/80 PERB[660] Ch 2, p.4

'\._,) f. Upon an employee organization by serving the person designated by the employee organization to receive service pursuant to 8.2(2), or, by service upon the president or secretary of the employee organization.

g. Upon any other person by serving that person or his or her attorney of record. 2.15(2) Service-how made. Whenever these rules require service upon any person or

party such service shall be sufficient if made by ordinary mail unless otherwise indicated. 2.15(3) Proof of service. Where service is by restricted certified mail or personal service,

the serving party shall forward the return receipt or return of service to the board for filing. Where service by ordinary mail is permitted under these rules, the serving party shall include the following certificate on the original document filed with the board:

"I hereby certify that on I sent a copy of the fore-(date)

going matter to the following parties of record or their representatives at the addresses \,/ indicated, by depositing same in a United States mail receptacle with sufficient postage

affixed. (Signed)

(party or representative)

660-2.16(20) Consolldation. Upon application of any party or upon its own motion, the board may consolidate for hearing any cases which factually arise out of the same transaction or occurrence.

660-2.17(20) Prohibition against testimony of mediators, fact-8nders, arbitrators and board employees. No mediator, fact-finder, arbitrator, executive director, labor relations examiner, hearing officer, member of the board or other officer or employee of the board shall testify in behalf of any party to a prohibited practice, representation or impasse

~ resolution proceeding pending in any court or before the board, with respect to any information, facts or other matter coming to his knowledge through a party or parties in his official capacity as a resolver of disputes.

-....._,;

~

660--2.18(20) Delivery of decisions and orders. Decisions and orders of the board or hearing officers shall be delivered to the parties by ordinary mail.

660-2.19(20) Stays of agency action. Application for stays of agency actions must be filed with the board and served upon all interested parties pursuant to rule 2.15(20). The board may in its discretion and on such terms as it deems proper, grant or deny an application.

660-2.20(20) Ex parte communications. 2.20(1) Communications prohibited. Unless required for the disposition of ex parte

matters specifically authorized by statute, an individual assigned to render a proposed or final decision or to make findings of fact or conclusions of law in a contested case, or a declaratory ruling in which there are two or more parties, shall not communicate directly or indirectly with any person or party, nor shall such person or party communicate directly or indirectly with such an individual concerning any issues of fact or law pending in that case, unless each party or its representative is given prior written notice of the communication. Such notice shall contain a summary of the communication, if oral, or a copy of the communication if written, and the time, place and means of such communication.

2.20(2) Disclosure of prohibited communications. Any communication between a party and an individual assigned to render a proposed or final decision, or to make findings of fact or conclusions of law in a contested case, or a declaratory ruling where there are two or more parties, which is made under circumstances and procedures which do not substantially comply with those set forth in subrule 2.20(1) is a prohibited communication. The recipient.

Ch 2, p.S PERB[660] lAC 11/26/80

of a prohibited communication is required to submit the communication if written, or a \._/ summary of the communication if oral, for inclusion in the record of the case proceeding. After such submission, all parties shall have the right, upon written demand, to respond to such communication.

2.20(3) Penalty for prohibited communications. a. The penalty for making a prohibited communication may be censure, suspension, or

revocation of the privilege to practice before the board in the case of a party or their repre­sentative; and censure, suspension, or dismissal in the case of agency personnel.

b. The censure, suspension or revocation of a person's right to practice before the board due to an alleged violation of the prohibition against ex parte communications shall consti­tute a contested case as that term is defined in section 17A.2 of the Iowa Code and no person shall be censured or the right to practice before the board be suspended or revoked without notice and an opportunity to be heard as provided in chapter 17 A of the Iowa Code, "The Iowa Administrative Procedure Act". \.._,)

660-2.21(20) Transcripts of record. Testimony in all hearings before the board shall be taken by a certified shorthand reporter or, if the parties and board agree, by other mechanized means. The board does not furnish copies of transcriptions, but recorded proceedings shall be transcribed at the expense of any party requesting the transcription.

These rules are intended to implement chapter 20, The Code. (Filed March 4, 1975)

I Filed 10/29/76, Notice 9/22/76--published 11 I 17/76, effective 12/22/76 J (Filed 10/26/77, Notice 9/21177-published 11/16/77, effective 12/21/77) [Filed 2/3/78, Notice 12/28/77-published 2/22/78, effective 3/29/78]

[Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 12/31/80]

CHAPTER 3 PROHIBITED PRACTICE COMPLAINTS

660-3.1(20) FUlng of complaint. A complaint that any person, organization or public employer has engaged in or is engaging in a prohibited practice under the Act may be filed by any person, employee organization or public employer. A complaint shall be in writing and signed and certified according to these rules, and may be on a form provided by the board. The complaint shall be filed with the board. A complaint shall be deemed untimely and shall be dismissed if filed with the board more than ninety days following the alleged violation.

\..,/

660-3.2(20) Contents of complaint. The complaint shall include the following: \...,~ 3.2(1) The name and address and organizational affiliation, if any, of the complainant,

and the title of any representative filing the complaint. 3.2(2) The name and address of the respondent or respondents and any other party

named therein. 3.2(3) A clear and concise statement of the facts constituting the alleged prohibited

practice, including the names of the individuals involved in the alleged act, the dates and

~

lAC 11/26/80 PERB[660] Ch 3. p.2

places of the alleged occurrence, and the specific section or sections of the Act alleged to have been violated.

660-3.3(20) Clarification of complaint. The board may, on its own motion or motion of the respondent, require the complainant to make the complaint more specific in certain particulars.

660-3.4(20) Service of complaint. The complainant shall serve the respondent(s) with a copy of the complaint in the manner of an original notice or by restricted certified mail, return receipt requested, addressed to the last known address of the respondent(s). The service shall be made within ten days of the filing of the complaint with the board, and the complain­ant shall file the return of service with the board.

660-3.5(20) Answer to complaint. 3.5(1) Filing and service. Within ten days of service of a complaint, the respondent(s) shall

file with the board a written answer to the complaint, and cause a copy to be delivered to the complainant by ordinary mail to the address set forth in the complaint. The answer shall be signed by the respondent(s) or the designated representative of the respondent(s).

3.5(2) Extension of time to answer. Upon application and good cause shown, the board may extend the time to answer to a time and date certain.

3.5(3) Contents of answer. The answer shall include a specific admission or denial of each allegation of the complaint or, if the respondent is without knowledge thereof, he shan so state and such statement shall operate as a denial. Admissions or denials may be made to all or part of an allegation, but shall fairly meet the circumstances of the allegations. Where matters are denied with knowledge, the respondent shall set forth the specific facts as known to him with regard to such matters. The answer shall include a specific detailed statement of any affirmative defense. Matters contained in the answer shall be deemed to have been denied by the complaint, and no responsive pleading is required.

3.5(4) Admission by failure to answer. If the respondent fails to file a timely answer, such failure may be deemed by the board to constitute an admission of the material facts alleged in the complaint and a waiver by the respondent of a hearing.

660-3.6(20) Withdrawal of complaint. A complaint or any part thereof may be withdrawn with the consent of the board, and upon conditions the board may deem proper. Withdrawal shall constitute a bar to refiling the same complaint or part thereof by the complainant.

660-3.7(20) Amendment of complaint or answer. See 2.9(20).

\...,) 660-3.8(20) Investigation of complaint. Subsequent to the filing of a complaint with the director, the board or its designee may, in its discretion, conduct a preliminary investigation of the allegations of the complaint. In conducting such investigation, the board may require the complainant and respondent to furnish evidence, including affidavits and other documents if appropriate. If a review of the evidence shows that the complaint has no basis in fact, same shall be dismissed with prejudice by order of the board and the parties notified. If the evidence shows reasonable cause to believe that a prohibited practice has occurred, the director shall so notify the parties. If the parties are unable to agree on an informal settlement within fifteen days of notification of reasonable cause, the director shall schedule the complaint for hearing. Board employees involved in investigations under this section shall not act as hearing officers in any proceeding related to such investigation.

\..,.,! 660-3.9(20) Rescinded, effective December 22, 1976.

660-3.10(20) Informal disposition. Any party seeking to settle a controversy which may result in a contested case may request assistance from the board. The board may schedule

--

~.; ~ ')

~ . ," ~ :

- .. :'·

('·

:··

.·

(·

,·

lAC 11/26/80 PERB[660] Ch 4, p.1

~ meetings between the parties and assist the parties to reach a settlement of the dispute; pro­vided, however, that no party shall be required to participate in informal settlement attempts or to settle the controversy pursuant to this section. Any prohibited practice case commenced with the board may be informally settled by stipulation, agreed settlement, consent order, default, or by any other method agreed upon by the parties in writing, subject, however, to approval by the board.

660--3.11 (20) Evidence of settlement negotiations. Evidence of proposed offers of settlement of a prohibited practice complaint shall be inadmissible at the hearing thereon.

These rules are intended to implement chapter 20, The Code. [Filed March 4, 1975]

(Filed 10/29/76, Notice 9/22/76-published 11/17/76, effective 12/22/76] !Filed 10/26/77. Notice 9/21177-published 11/16/77, effective 12/21/771

~ [Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 12/31/80]

\._)

\._,)

\..,I

CHAPTER4 BARGAINING UNIT AND BARGAINING REPRESENTATIVE DETERMlNATION

660-4.1(20) General procedures. 4.1(1) Separate or combined petitions. Request for bargaining unit determination and

bargaining representative determination shall be by petitions which shall be filed separately. However, where a request has been made to a public employer to bargain collectively with a designated group of public employees and the board has not previously determined the bargaining unit, such petitions shall be filed jointly or on a combined form provided by the board.

4.1 (2) See rule 2.4(20). 4.1 (3) Withdrawal of petitions. Petitions may be withdrawn only with the consent of the

board. Petitions withdrawn after the commencement of a hearing, or withdrawn after direc­tion of an election where no hearing was conducted, may not be refiled by the withdrawing party for a period of six months following the board order permitting withdrawal.

660-4.2(20) Unit determination. 4.2 (1) Content of petition. A petition for bargaining unit determination shall be on a

form provided by the board and shall be filed by delivery to the board. 4.1(1) Notice to parties. Upon receipt of a proper petition, the board shall serve copies

thereof upon other interested parties by certified mail, return receipt requested. Upon the tiling of a petition for unit determination, the board shall furnish to the employer a notice to employees. giving notice that the petition has been filed and setting forth the rights of employees under the Act. Notices shall be posted by the public employer in conspicuous places customarily used for the posting of notices to employees.

4.1(3) Notice of hearing. The board or hearing officer shall issue a notice of hearing by or­dinary mail to all interested parties setting forth the time, date and place of the hearing and any other relevant information. The board or hearing officer shall provide additional copies of the notice of hearing to the public employer, which shall be posted by the public employer in conspicuous places customarily used for the posting of information to employees.

4.2(4) Intervention. See 4.1(2). 4.2(5) Professional and nonprofessional elections. If, in any case, the board should

determine that professional employees and nonprofessional employees could be represented in a single bargaining unit, the board shall direct and supervise an election among such employees to determine whether they wish to be represented in a single or in separate

Ch 4, p.2 PERB[660} lAC 11/26/80

bargaining units. Such election shall be by secret ballot under such conditions as the board \.....,~ or its director may prescribe. Absentee ballots shall be as provided for in 5.2(5). Such elections may, in the discretion of the board, be conducted in whole or in part by mail ballots provided for in 5.1 (3). A majority affirmative vote of those voting in each category shall be necessary to include professional and nonprofessional employees within the same bargaining unit. The rules concerning voting lists, as set forth in 5.1(2), shall apply.

4.2(6) Informal settlement of bargaining unit determination. Cases on bargaining unit determination may be informally settled in the following manner:

a. The petitioning party shall prepare a stipulation setting forth in detail the composition of the bargaining unit as agreed upon by all parties. The stipulation shall be signed by the authorized representative of the parties involved and shall be forwarded to the board for in­formal review and tentative approval. In the event the parties agree to a combined unit of pro­fessional and nonprofessional employees, the stipulation shall set forth both those job classifications included within the professional category and those job classifications included ~ within the nonprofessional category. If the board fails to tentatively approve the stipulation, the board shall notify the parties and, unless the parties amend the stipulation in a manner to gain tentative approval of the board, the matter shall proceed to hearing. If the board ten­tatively approves the stipulation, the board shall prepare a public notice of proposed decision and shall deliver copies to the parties. The public employer shall post the notice of the pro-posed decision, for a period of not less than one calendar week, in a prominent place in the main office of the public employer accessible to the general public and in conspicuous places customarily used for the posting of information to employees. The public employer shall also have copies of the proposed decision available for distribution to the public upon request.

b. Notice of the proposed decision shall be on a form provided by the board which shall identify the parties; specify the terms of the proposed decision; list the names, addresses and telephone numbers of the parties or their authorized representatives to whom inquiries ~

1 by the public should be directed; and, further, state the date by which written objection to ........., the proposed decision must be filed with the board and the address to which such objections should be sent.

c. Objections to the proposed decision must be filed with the board by the date posted in the notice of proposed decision. Objections shall be in writing and shall set out the specific grounds of objection. The objecting party must identify itself and provide a mailing address and telephone number. The board shall promptly advise the parties of the objections and make any investigation deemed appropriate. If the board deems the objections to be of substance, the parties may, with board approval, amend their proposed decision to conform therewith, and the objecting party shall be notified by the board of the amendment. If the ob­jections cannot be informally resolved, they shall be resolved at hearing.

d. Final board decision on the informal settlement shall be reserved until expiration of the time for filing of objections. If no objections have been filed; or if filed objections have been ~ resolved through amendment of the proposed decision; or if filed objections, after inquiry by the board, were found to be frivolous, the board shall endorse the proposed decision as final.

660-4.3(20) Bargaining representative determination (election petitions). 4.3(1) Form of petition. A petition for bargaining representative determination (election

petition) shall be on a form provided by the board and shall be filed by delivery to the board. These petitions shall be of three types:

a. A certification petition, filed by an employee organization requesting that through an election it be certified as the exclusive bargaining representative in an appropriate unit of public employees. The name of the employee organization which appears on the petition, or the petition as amended, shall be the name which appears on the election ballot.

b. A decertification petition, filed by an employee requesting an election to determine whether a certified bargaining representative does, in fact, represent a majority of the ~ employees in the bargaining unit, and

lAC 11/26/80 PERB[660] Ch 4, p.3

\._,1 c. A representation petition, filed by a public employer requesting an election to determine the bargaining representative, if any, of the employees in the bargaining unit.

4.3(2) Showing of interest-certification-decertification-intervention. Whenever a petition for certification or decertification is filed, or whenever intervention is requested for the purpose of being placed on an election ballot, the petitioner or intervenor shall submit therewith evidence that the petition or application for intervention is supported by employees in the unit in the following percentages: Thirty per cent for certification or decertification and ten per cent for intervention in election proceedings. In petitions for certification or applications for intervention, such interest showing shall be dated and signed not more than one year prior to its submission; shall contain the job classification of the signator; and shall contain a statement that the signator is a member of the employee organization or has authorized it to bargain collectively on his behalf. In appropriate cases, an authenticated dues checkoff list may be used for this purpose. In petitions for

"-r' decertification, evidence of interest shall be as provided above and shall further contain a statement that the signator no longer wishes to be represented by the certified employee organization.

4.3(3) Determination of showing of interest. The public employer shall, upon request, submit to the board a list of the names and job classifications of the employees in the unit requested by the petitioner. The board shall administratively determine the sufficiency of the showing of interest upon receipt of the list. This determination shall be confidential and not subject to review' and parties other than the parties submitting the interest showing shall not be entitled to a copy, or examination of the showing of interest; if the employer fails to furnish the list of employees, the board shall determine the sufficiency of the showing of interest by whatever means it deems appropriate. In election proceedings where the petitioner withdraws its petition pursuant to subrule 4.1(3), in the presence of an

._ i intervenor, the election shall not be conducted unless the intervenor produces a 30 percent ~ showing of interest within a time period determined by the board.

4.3(4) Notice. Upon the filing of a petition for certification, decertification or representation, the board shall furnish to the employer a notice to employees, giving notice to employees that an election petition has been filed and setting forth the rights of employees under the Act. Such notices shall be posted by the public employer in conspicuous places customarily used for the posting of information to employees.

4.3(5) Direction of election. Whenever an election petition is filed which conforms to these rules and the Act and the appropriate bargaining unit has been previously determined, an election shall be directed and conducted.

4.3(6) Intervention. See 4.1(2).

660-4.4(20) Concurrent (combined) petitions. 4.4(1) When to file. A combined petition for both bargaining unit determination and

bargaining representative determination shall be tiled whenever a question of representation exists and the bargaining unit has not been previously determined by the board.

4.4(2) Content of petition. A combined petition for unit determination and representative determination (election) shall be on a form provided by the board and shall be filed by delivery to the board.

4.4(3) Notice of petition, hearing, and notice to employees. Upon receipt of a combined petition, notice shall be as provided in 4.2(2), 4.2(3) and 4.3(4).

4.4(4) Showing of interest. Showing of interest shall be as provided in 4.3(2) and 4.3(3). Should the board determine an appropriate unit different than that requested, any employee organization affected thereby may request a reasonable period of time to submit additional evidence of interest sufficient to satisfy the requirements of the Act.

4.4(5) Scope of hearing. Hearings on combined petitions shall resolve all issues with regard to both bargaining unit determination and bargaining representative determination.

4.4(6) Intervention. See 4.1(2). 4.4(7) Professional and nonprofessional elections. See 4.2(5).

Ch 4, p.4 PERB[660] lAC 11/26/80

660-4.5(20) Unit reconsideration. A petition for reconsideration of a board-established '--1 bargaining unit may be filed by an employee organization, public employer, or an employee of the public employer. This petition may be filed only in combination with an election petition. The rules set forth in 4.1(20), 4.2(20), 4.3(20) and 4.4(20) shall apply, except that the board may investigate the petition and, if it determines that the petitioner has not established grounds that the previous board determination of the bargaining unit is inappropriate, the board may dismiss the petition. A petition for reconsideration of a board-established bargain-ing unit covering state employees may not be filed until after one year of the initial unit deter­mination.

660-4.6(20) Amendment of unit or certification. 4.6(1) Petition. A petition for amendment of a board determined bargaining unit or

amendment of a certification with respect thereto may be filed by the public employer or the certified employee organization. Such petition shall contain: \..1

a. Name and address of the public employer and the employee organization. b. An identification of the proposed amended unit or certification and a description of

the proposed amended unit or certification. c. The names and addresses of any other employee organizations which claim to represent

any employees affected by the proposed amendment or a statement that the petitioner has no knowledge of any other such organization.

d. Job classifications of the employees as to whom the issue is raised and the number of employees, if any, in each classification.

e. A specific statement of the petitionees reasons for seeking amendment of the unit or certification and any other relevant facts.

4.6(2) Procedure-decision. Insofar as applicable, the rules set forth in 4.2(20) shall apply, except that the board may conduct an investigation and issue a decision and order \...,~ without hearing. Where appropriate, such order may amend the certification of the affected employee organization(s) consistent with the decision.

4.6(3) Elections; when required. Where a question of representation is found to exist, no unit or certification shall be amended unless the employees sought to be added to the unit have chosen to be represented pursuant to a board-conducted election under chapter 5 of these rules.

660-4.7(20) Unit clarification. A petition to clarify the inclusion or exclusion of job classifications or employees in a board determined bargaining unit may be filed by the public employer, an affected public employee, or the certified employee organization. Such petition must be in the absence of a question of representation. Insofar as applicable, the procedures for such filing shall be as provided in subrules 4.6(1) and 4.6(2). \

1 These rules are intended to implement chapter 20, The Code. ,...,..

[Filed 3/4/75] [Filed I 0/29/76, Notice 9/22/76--published 11117/76, effective 12/22/76] [Filed 10/26/77, Notice 9/21177-published 11116/77, effective 12/21/77] [Filed 9/11/79, Notice 7/11/79-published 10/3/79, effective 11/12/79]

[Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 12/31180]

660-5.1(20) General procedures.

CHAPTER 5 ELECTIONS

5.1(1) Notice of election. Upon direction of an election, notices of election, in a form provided by the board, shaii be posted by the public employer in conspicuous places customarily used for the posting of information to employees. Such notices shall contain a '-.,! sample baiiot and shall set forth the date, time, place and purpose of the election, and such additional information as the board may deem appropriate.

5.1 (2) Eligibility-eligibility list. Eligible voters are those employees who: a. Were employed in the bargaining unit during the payroll period immediately preceding

the direction of election unless another-date is agreed upon by the parties and the board, and

lAC 11126/80 PERB[660] Ch 5, p.2

\..,I b. Are employed in the bargaining unit on the date of the election. Where the board issues an order defining the appropriate bargaining unit and an election petition is pending, or in the case of a combined petition, the board shall further order the public employer to submit to the board within seven days an alphabetical list of the names, addresses and job classifications of the employees in the appropriate unit. Where such a list has previously been submitted to the board, it may be utilized under this rule; provided that additions or deletions of employees, changes in address or job classifications, or other changes shall be submitted to the board to reflect the current status of employees in the bargaining unit. The list required by this rule shall be provided by the board to all parties at least ten days prior to the date of the election and shall become the official voting list for any election conducted. The list may further be amended by agreement of the parties immediately prior to the election. In the case of a combined professional and non professional unit, the public employer shall submit lists of employees in the professional category and employees in the non professional category.

5.1(3) Mail ballots. The board may, in its discretion, conduct an election in whole or in part by mail ballot. In such cases, the board shall send by ordinary mail an official ballot and a postpaid return-addressed secret envelope to each eligible voter and direct a date by which voted ballots must be received by the board to be counted. The board shall also set a time and place for the counting of such ballots, at which time the parties to the election shall be entitled to be present and challenge for good cause the eligibility of any voter. Mail ballots sent to eligible voters shall consist of a ballot, a secret envelope in which said ballot is to be inserted, and an outer envelope for mailing said ballot and identification of voter for purposes of proposing challenges to his or her eligibility. In the event of a challenge, both envelopes shall remain sealed until such time as the challenge is resolved. In the event of no challenge, the mailing envelope shall be opened and the envelope containing the secret ballot shall be deposited in the ballot box.

5.1(4) Time for intervention. No employee organization may be placed on any ballot unless application for intervention, as provided in 4.1(2), is received by the board within seven calendar days after the direction of an election. Submission of an adequate showing of interest, as provided in 4.3(2), must be received by the board within seven calendar days after the direction of the election, unless an extension of time, upon written request, is granted by the board.

5.1(5) Withdrawal from ballot-disclaimer. An employee organization may, upon its re­quest, be removed from any ballot with the approval of the board, provided, however, that whenever this request is made pending an election pursuant to a decertification petition, the employee organization shall also submit a disclaimer of representation of the employees in the bargaining unit and the board shall then serve notice upon the public employer and employee organization that the employee organization is no longer the certified representative of those employees.

660-5.2(20) Conduct of election. 5.2(1) General procedure-ballots. The board shall consult with the parties to an election

with regard to the date, place and other procedural aspects of conducting an election. Elec­tions shall be conducted under the direction and supervision of the board or its election agent and shall be by secret ballot. Ballots shall be provided by the board and shall contain the ques­tion required by section 20.15, The Code. The question in an election where only one employee organization appears on the ballot shall ask, "Do you wish to be represented for purposes of collective bargaining by [name of employee organization]?", followed by the choices "Yes" or "No"; the question in an election where more than one employee organiza­tion appears on the ballot shall state: "Do you wish to be represented for purposes of collec­tive bargaining by:" and shall then list horizontally or vertically thereafter the choices

Ch 5, p.3 PERB[660] lAC 11/26/80

available, including the name of each employee organization and the choice of "Neither" or "No Representative,, as is applicable. In decertification elections, ballots shall be provided by the board and shall ask: "Do you desire that [name of certified employee organization] be decertified by the Public Employment Relations Board and cease to be your exclusive bargain­ing representative?", followed by the choices "Yes" or "No".

5.2(2) Observers. The parties to an election may each designate an equal number of representatives to act as its observers during the election and tally of ballots, the number of such observers subject to such reasonable limitations as the election agent may prescribe. Observers shall be nonsupervisory employees of the public employer or those observers agreed to by the parties.

5.2(3) Ballot box. Upon examination by the observers and prior to the opening of the polls, the election agent shall seal the ballot box so that entry thereto is limited to one slot. In the event that the election is continued for more than one polling period or at more than one polling place, the ballot box shall be sealed in its entirety and shall remain in the custody of the election agent until immediately prior to the next polling period or the counting of the ballots.

5.2(4) Voting procedure-challenges. An eligible voter shall cast his ballot by marking his choice(s) on the ballot and depositing it in the ballot box. If a voter inadvertently spoils a ballot, he may return it to the agent, who shall forthwith void and retain it and deliver to the voter another ballot. When a voter is unable, by physical disability or inability to read or write, to mark his ballot, the agent may privately assist him.

An authorized observer or the board's election agent may challenge for good cause the eligibility of any voter, provided such challenge is made prior to the time the voter casts his ballot. The challenged voter may mark his ballot in secret and the election agent shall segregate the ballot by causing it to be placed in the envelope with appropriate markings and deposited in the ballot box.

5.2(5) Absentee ballot. An absentee ballot shall be delivered to an eligible voter only upon his written notice to the board of his inability to be present at the election for good cause. The voted ballot must be in the possession of the election agent prior to the close of the manual election in order to be counted and shall be in the official envelope provided for this purpose. Challenges to the eligibility of absentee voters may be made at the time the ballots are commingled.

660-5.3(20) Election results-taUy of ballots. At the close of the polls, or at a time and place as the board may prescribe, the election agent shall open the ballot box and tabulate the results of the election. Void ballots shall be those which do not indicate the clear intent of the voter or which appear to identify the voter.

660-5.4(20) Postelection procedures. 5.4(1)* Certification of results. a. Upon completion of a valid election in which an employee organization received the

votes of a majority of those employees voting, the board shall certify that employee organiz­ation as the exclusive bargaining representative of the employees in the bargaining unit.

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

'--"'

'--"

'-"'

~

~

lAC 11/26/80 PERB[660] Ch 5, p.4

'--' b. Upon completion of a valid election in which more than one employee organization appeared on the ballot and no choice on the ballot received the votes of a majority of those employees voting, the board shall conduct a runoff election between the two choices receiv­ing the greatest number of votes. If the runoff election is held less than thirty days after the original election, those eligible to vote shall be those who were eligible to vote in the original election and are still employed in the bargaining unit on the day of the runoff election. If the runoff election is held more than thirty days after the original election, the board may direct the employer to submit a new eligibility list based upon a revised voter eligibility date.

c. Upon completion of a valid election, as provided for in paragraph "b" above, the board shall certify as the exclusive bargaining representative the employee organization receiving the votes of a majority of those employees voting; if no employee organization on the runoff ballot receives a majority of the votes of those employees voting, the board shall

\..,/. serve notice of noncertification. d. If an employee organization fails to comply with the provisions of section 25 of the Act

within ninety days of the completion of a valid election, the board shall serve notice of noncertification; provided, however, that extensions of time to comply may be granted by the board upon good cause shown.

e. Upon completion of a valid decertification election, in which a majority of employees voting cast their ballots in the affirmative, the board shall serve notice of decertification.

5.4(2) Challenged ballots; objections. Whenever challenged ballots are determinative of the outcome of an election or timely objections are filed, a hearing shall be scheduled. Objec­tions to an election must be filed within ten days of service of the tally of ballots on the parties, even when challenged ballots are determinative of the outcome of the election, and must con­tain a statement of facts upon which the objections are based. The objections shall be filed with the board and a copy shall be served upon each of the other parties to the election, with

\.,.! certificate of service endorsed upon the original filed with the board. 5.4(3) Objectionable conduct during election campaigns. The following types of activity,

if conducted during the period begitming with the filing of an election petition with the board and ending at the conclusion of the election, and if determined by the board that such activity could have affected the results of the election, shall be considered to be objectionable conduct sufficient to invalidate the results of an election:

a. Electioneering within three hundred feet or within sound of the polling place established by the board during the conduct of the election;

b. Misstatements of material facts by any party to the election or their representative without sufficient time for the adversely affected party to adequately respond;

c. Any misuse of board documents, including an indication that the board endorses any particular choice appearing on the ballot;

\._/ d. Campaign speeches to assembled groups of employees during working hours within the

~

twenty-four-hour period before the election; e. Any polling of employees by a public employer which relates to the employees'

preference for or against a bargaining representative; f. Commission of a prohibited practice; g. Any other misconduct or other circumstance which prevents employees from freely

expressing their preferences in the election.

660-5.5(20) Bars to an election. Notwithstanding the filing or pendency of an election petition, the board shall conduct no representation election when one or more of the following conditions exist:

5.5(1) During the one-year period following the date of certification or noncertitication subsequent to a valid representation election.

Ch 5, p.5 PERB[660] lAC 11126/80

5.5(2) In any case where the board determines that substantial changes in the employer's operations are occurring which will imminently and substantially alter the structure or scope of the bargaining unit.

5.5(3) Whenever a collective bargaining agreement exists, provided such agreement is written and executed by the parties to it; that such agreement is between a public employer and a certified employee organization; that such agreement does not discriminate among groups of employees on the basis of age, race, sex, religion, national origin or physical disability, as provided by law; and provided further, that any such agreement which exists for a duration in excess of two years shall be deemed for the purposes of this section to be for a duration of two years only.

660-5.6(20) Decertification elections. Petitions for decertification which are filed with the board not less than one hundred eighty nor more than two hundred forty days prior to the expiration of an otherwise valid collective bargaining agreement shall be processed by the board notwithstanding the provisions of 5.5(3), and the board shall, pursuant to section 20.15, conduct an election not more than one hundred eighty nor less than one hundred fifty days prior to the expiration of the collective bargaining agreement. Petitions for decer­tification which are accompanied by a disclaimer of representation may be filed up to three hundred days prior to expiration of the collective bargaining agreement.

660-5.7(20) Destruction of ballots. In the absence of litigation over the validity or outcome of an election and after a period of sixty days has elapsed from the date of the certification or noncertification of an employee organization pursuant to a certification or decertitication election, the board may destroy the ballots involved in such election.

These rules are intended to implement chapter 20 of the Code. [Rules 5.2 and 5.4 imple­ment section 20.151

!Filed March 4, l975] !Filed 10/29/76, Notice 9/22/76-published 11/17/76, effective 12/22/76]

!Filed emergency 7 /22/77-published 8/10/77, effective 8/15/77] !Filed 10/26/77, Notice 9/21/77-published 11/16/77, effective 12/21177] [Filed 11/7/80, Notice 9/17/80-published 11/26/80, effective 12/31/80]

CHAPTER 6 NEGOTIATIONS AND NEGOTIABILITY DISPUTES

~

~

~

660-6.1 (20) Scope of negotiations. The scope of negotiations shall be as provided in section nine of the Act. Either party may introduce other matters for negotiation, and negotiation on such other matters may continue until resolved by mutual agreement of the parties or until negotiations reach the fact-finding or arbitration stage of impasse; provided, \..-1 however, that no party may be required to negotiate on· nonmandatory subjects of bargaining. Unresolved other matters shall be excluded from the fact-finding or arbitration processes unless submission has been mutually agreed upon by the parties. Such agreement shall apply to both fact-finding and arbitration, and shall be in writing, dated, signed by the parties or their bargaining representatives, and shall list with specificity the other matters subject to the fact-finding or arbitration process. Such agreement is applicable only to negotiations toward the collective bargaining agreement then sought and is not binding upon the parties for future negotiations.

660-6.2(20) Consolidated negotiations. Nothing in these rules shall prohibit, by agreement of the parties, more than one certified bargaining representative from bargaining jointly with a common public employer, or more than one public employer from bargaining ~ jointly with a common certified bargaining representative, or any other combination thereof.

\._,)

'--"

\.,.)

\...!

\..,!

lAC 11/26/80 PERBI660] Ch6, p.2

660-6.3(20) Negotiability disputes. 6.3(1) Defined. "Negotiability dispute" is a dispute arising in good faith during the

course of collective bargaining as to whether a matter or issue is subject to collective bargaining under the Act and these rules.

6.3(2) Expedited resolution. In the event that a negotiability dispute arises between the employer and the certified employee organization, either party may petition the board for expedited resolution of the dispute. The petition shall set forth the material facts of the dispute, the precise question of negotiability submitted for resolution, and certificate of ser­vice upon the other party. In the event a negotiability dispute arises at the fact-finding stage of impasse procedures, the parties shall present evidence on all issues to the fact-finder. The fact­finder or a party shall petition the board for expedited resolution of the negotiability dispute. In the event a negotiability dispute arises at the arbitration stage of impasse procedures, either party may petition the board for expedited resolution, which petition shall be filed within seven days of the submission of final offers. An arbitration award rendered prior to final determination of the negotiability dispute will be made conditional upon that determination.

6.3(3) Decisions. The petition filed pursuant to subrule 6.3(2) shall be given priority by the board. If deemed necessary by the board, the petition may be set for hearing or argument.

660---6.4(20) Acceptance of proposed agreement. Where the parties have reached a pro­posed (or "tentative") collective bargaining agreement, the terms of that agreement shall be made public, and the employee organization shall give reasonable notice of the date, time and place of a ratification election on the tentative agreement to the public employees; provided, hpwever, that such notice shall be at least twenty-four hours prior to the election and the elec­tion shall be within seven days of the date of the tentative agreement. The vote shall be by secret ballot and only members of the employee organization shall be entitled to vote; pro­vided, however, that the employee organization may, pursuant to its internal procedures, ex­tend voting rights to nonmember bargaining unit employees. The employee organization shall within twenty-four hours notify the public employer whether the proposed agreement has been ratified.

n··· ·. -~ ... • j

. ~·· .:t

~· .

·;:

. '•: ~ . ·.'.

... ( ..

.j:,

. :.

lAC 11/26/80 PERB[660] Ch 7, p.1

\...,I The public employer shall, within ten days of the tentative agreement, likewise meet to ac­cept or reject the agreement, and shall within twenty-four hours serve notice on the employee organization of its acceptance or rejection of the proposed agreement; provided, however, that the public employer shall not be required to either accept or reject the tentative agreement if it has been rejected by the employee organization.

The above time limits shall not apply to proposed agreements between the state and any bargaining unit of state employees.

660-6.5(20) Negotiations report-filing of agreement. Not later than sixty days after con­clusion of an agreement, the public employer shall submit to the board a report of negotia­tions procedures on a form provided by the board and shall attach two copies of the agree­ment.

These rules are intended to implement chapter 20, The Code. ~ [Filed 3/4/75]

I Filed 10/29/76, Notice 9/22/76-published 11/17/76, effective 12/22/76] !Filed 10/26/77. Notice 9/21/77-published 11/16/77, effective 12/211771

[Filed 2/3/78, Notice 12/28/77-published 2/22/78, effective 3/29/78] [Filed 9/11/79, Notice 7/11/79-published 10/3/79, effective 11/12179]

[Filed 11/7/80, Notice 9/17/80-published 11126/80, effective 12/31180]

CHAPTER 7 IMPASSE PROCEDURES

660-7.1(20) General. Except as provided in subrule 7.5(6), the rules set forth in this chapter are applicable only in the absence of an impasse agreement between the parties or the failure of either to utilize its procedures. Nothing in these rules shall be deemed to prohibit the parties, by mutual agreement, from proceeding directly to binding arbitration at any time after impasse.

660-7.2(20) Fees of neutrals. Qualified fact-finders, arbitrators and teacher termination adjudicators appointed from a list maintained by the board may be compensated by a sum not to exceed two hundred fifty dollars per day of service, plus their necessary expenses incurred.

660-7 .3(20) Mediation. 7 .3(1) Request for mediation. Either party in an impasse may request the board in

writing to appoint a mediator to an impasse. An original and one copy of the request for mediation shall be filed with the board and

shall, in addition to the request for mediation, contain:

a. The name, address, business and resident telephone numbers of the requesting party, and its bargaining representative or chairperson of the bargaining team of the requesting party.

b. The name, address, business and resident telephone numbers of the opposing party to the impasse, and its bargaining representative or chairperson of the bargaining team.

c. A description of the collective bargaining unit or units involved and the approximate number of employees in each unit.

d. A concise and specific listing of the negotiated items upon which the parties have reached impasse.

7 .3(2) Date, signature and notice. The request for mediation shall be dated and signed by the requesting party. The requesting party shall also serve a copy of the request upon other parties to the negotiations either by personal delivery or by ordinary mail.

Ch 7, p.2 PERB[660] lAC 11/26/80

7.3(3) Appointment of mediator. Upon receipt of a request for mediation, the board may appoint an impartial and disinterested person as mediator of the dispute and notify all parties of the appointment of the mediator. The board shall determine the effectiv.e date of this ap­pointment.

7 .3(4) Confidential nature of mediation. Any information, either written or oral, disclosed by the parties to the mediator in the performance of his duties shall not be discussed by the mediator voluntarily or by compulsion unless approved by the parties involved.

The mediator shall not disclose any information with regard to any mediation conducted by him on behalf of any party to any cause pending in any proceeding before any court, board, investigatory body, arbitrator or fact-finder without the written consent of the public employment relations board. Without such written consent, the mediator shall respectfully decline, by reason of this rule, to divulge any information disclosed by a party in the performance of the mediator's duties.

7 .3(5) Mediation proceedings. The mediator may hold separate or joint meetings with the parties of their representatives, and those meetings shall not be public. Mediation meetings shall be conducted at a time and place designated by the mediator. If an impasse exists ten days after the effective date of the appointment of a mediator, the mediator shall so notify the board.

7 .3(6) Board mediator. When the mediator is an employee of the Public Employment Relations Board, that mediator shall not participate in any contested case arising out of any transaction or occurrence relating to those mediation activities.

7 .3(7) Costs of mediation. The mediator shall submit in writing to the board a list of fees and expenses.

660-7 .4(20) Fact-finding. 7 .4(1) Appointment of fact-finder. Upon notification by the mediator that the dispute re­

mains unresolved, the board shall appoint a fact-finder. Where the parties and the mediator agree, the board shall appoint the mediator to serve as fact-finder.

7 .4(2) Powers of the fact-finder. The fact-finder shall have the power to conduct a hearing, administer oaths and request the board to issue subpoenas. The subject of fact-finding shall be the impasse items unresolved by mediation. By mutual agreement, the fact-finder may also assist the parties in negotiating a settlement.

7 .4(3) Notice of hearing and exchange of proposal. The appointment of the fact-finder shall be effective the date of the commencement of the fact-finding hearing. The board or fact-finder shall establish the time, place and date of hearing and shall notify the parties of the same. The parties shall exchange copies of all proposals to be presented to the fact­finder at least five days prior to the commencement of a fact-finding hearing; provided, however, that the parties may continue to bargain and nothing in this section shall be deemed to preclude a party from making a concession or amending its proposals in the course of further bargaining. No party shall present a proposal to the fact-finder which has not been offered to the other party in the course of negotiations.

7 .4.(4) Briefs and statements. The fact-finder may require the parties to submit a brief or a statement on the unresolved impasse items.

7 .4(5) Hearing. A fact-finding hearing shall be open to the public and shall be limited to matters which will enable the fact-finder to make recommendations for settlement of the dispute.

7 .4(6) Report of the fact-finder. Within fifteen days of appointment, the fact-finder shall issue to the parties a "Report of Fact-Finder" consisting of specific findings of fact concerning each impasse item, and separate therefrom, specific recommendations for resolution of each impasse item. In addition, the report shall recite the impasse items resolved by the parties during fact-finding and withdrawn from further impasse procedures. The report shall also identify the parties and their representatives and recite the time, date, place and duration of hearing sessions. The fact-finder shall serve a copy of the report to the parties and me the original with the board.

lAC 11/26/80 PERB[660] Ch 7, p.J

~ 7 .4(7) Action on fact-finder's report. Upon receipt of the fact-finder's report, the public employer and the certified employee organization shall immediately accept the fact-finder's recommendations or shall within five days submit the fact-finder's recommendations to the governing body and members of the certified employee organization for acceptance or rejection. "Immediately" shall mean a period of not longer than seventy-two hours from said receipt. Notice to members of the employee organization shall be as provided in 6.4(20).

7 .4(8) Publication of report by board. If the public employer and the employee organization have failed to conclude a collective bargaining agreement ten days after their receipt of the fact-finder's report and recommendations, the board shall make public the fact-finder's report and recommendations.

7 .4(9) Cost of fact-finding. The fact-finder shall submit to the parties a written statement of fee and expenses with a copy sent to the board. The parties shall share the costs

\..I of fact-finding equally.

660-7 .5(20) Binding arbitration. 7 .5(1) Request for arbitration. At any time following the making public by the board of

the fact-finder's report and recommendations, either party to an impasse may request the board to initiate binding arbitration.

7 .5(2) Form and contents of request. The request for arbitration shall be in writing and shall include the name, address and signature of the requesting party and the capacity in which acting.

7 .5(3) Service of request. The requesting party shall serve a copy of the request for arbitration upon the opposing party by ordinary mail. .

7 .5(4) Preliminary information. Within four days of the filing of the request with the board for arbitration, each party shall submit to the board the f~llowing information:

a. Two copies of the final offer of the party on each impasse item. b. Two copies of the agreed upon provisions of the proposed collective bargaining agree­

ment. c. The name of the parties' selected arbitrator, or name of a single arbitrator where the

parties agree to submit the dispute to a single arbitrator. d. Certificate of service upon the opposing party of items "a" and "c" above. 7 .5(5) Selection of chairperson. Within eight days of the filing of the request for

arbitration, the arbitrators selected by each party shall attempt to agree upon the selection of a third person to act as chairperson of the arbitration panel. If the parties to the impasse fail to agree upon an arbitration chairperson within the time allotted under this rule, the board shall submit a list of three persons who have agreed to act as arbitration chairperson to the parties. The parties shall then select the arbitration chairperson from the list as provided by the Act.

7.5(6) Conduct of hearings. Arbitration hearings shall be open to the public, and shall be recorded either by mechanized means or by a certified shorthand reporter. The arbitration hearing shall be limited to those factors listed in section 20.22, The Code, and such other rele­vant factors as may enable the arbitrator or arbitration panel to select the fact-finder's recom­mendation or the final offer of either party for each impasse item. Arbitrators appointed pur­suant to impasse procedures agreed upon by the parties shall likewise consider the factors listed in section 20.22.

7 .5(7) Continued bargaining. The parties may continue to bargain on the impasse items before the arbitrator or arbitration panel until the arbitrator or arbitration panel announces its decision. Should the parties reach agreement on an impasse item, they shall immediately report their agreement to the arbitrator or arbitration panel. The arbitrator or arbitration panel shall add the agreed upon term to the collective bargaining contract and shall no longer consider the final offers of the parties or the fact-finder's recommendation on that impasse item.

Ch 7, p.4 PERB(660j lAC 11/26/80

7 .5(8) Report of the arbitrator or arbitration panel. Within fifteen days after its first meeting (unless such time period is waived by the parties), the arbitrator or arbitration panel shall issue the award and serve each party and the board with a copy by ordinary mail. In reaching the panel decision, the chairperson may communicate telephonically, by mail, or may meet individually or collectively with the other panel members.

7 .5(9) Dismissal of arbitrator or arbitration panel. In the event of a failure of the ar­bitrator or arbitration panel to issue the award within fifteen days of the first meeting, the ar­bitrator or chairperson of the arbitration panel shall notify the board and the parties of this failure. Either party may thereafter request a new arbitrator or arbitration panel. Unless the parties agree otherwise, the procedures in subrules 7.5(1) to 7.5(5) shall apply; provided, however, that the parties may submit new final offers and nominate different arbitrators. No arbitrator or arbitration panel shall issue a partial award except by mutual consent of the par­ties.

7 .5(10) Statement of services. Persons serving as arbitrators shall furnish the board with an information copy of their statements for services and expenses.

660-7 .6(20) Impasse procedures after budget certification. 7 .6(1) Objections. Any objection by a party to the conduct of arbitration proceedings

which will not be completed by the budget certification date shall be filed with the board and served upon the other party no later than ten days after receipt of a request for arbitration, or twenty days prior to the budget certification date, whichever occurs later. Failure to file such objection in a timely manner may constitute waiver of such objection, in which case the budget certification deadline for completion of impasse procedures shall not apply.

7 .6(2) Response to objection. The party which requested arbitration may within ten days file a response to the objection, asserting that, because of deliberate delay on the part of the objecting party, or unavoidable casualty, misfortune or other events beyond the parties' con­trol, impasse procedures should continue beyond the budget certification deadline. In the event that such a response is not filed within ten days of receipt of the objection, the board may issue an order terminating further impasse procedures.

7 .6(3) Procedure. Filing of an objection before the budget certification date shall not af­fect the obligation of each party to continue the impasse procedures. Further, the board may postpone hearing on the objection if it determines that an arbitration award may be rendered on or before the budget certification date; in making that determination, the board will at­tempt to expedite any remaining impasse proceedings, but no party shall be required to waive or shorten any statutory time periods which apply to that party.

7 .6(4) Hearings. Insofar as is applicable, hearings shall be conducted pursuant to chapter 2 of these rules. The party seeking arbitration shall proceed first and shall have the burden to show that arbitration should not be terminated. The board shall thereafter issue a final order, finding that further impasse procedures should be either terminated or completed.

660-7. 7(20) Impasse procedures for state employees. 7. 7(1) General. Rules 7.1 (20) to 7 .6(20) above shall apply to impasse procedures for state

employees only to the extent that they are consistent with this rule 7. 7(20). Nothing herein shall be deemed to prohibit the parties, by mutual agreement, from proceeding directly to binding arbitration at any time after impasse.

7. 7(2) Independent procedures. Independent impasse procedures negotiated by the parties must provide that the impasse will be submitted to binding arbitration, and any hearing thereon concluded no later than February 28, and that any arbitrator's award wiii be issued on or before March 15.

7. 7(3) Statutory procedures. In the absence of independent procedures, the procedures in sections 20.20 to 20.22 and rules 7.1(20) to 7.5(20) shall apply, except that a single party request" for mediation must be filed no later than December 14 and the appointment of a fact-fmder by the board will be made by December 24, effective the date of hearing, which shall be no later than

\.-I

\.,I

~

'-""

~

lAC 11 /26/ 80 PERB[660] Ch 8, p.l

January 10. A request for binding arbitration must be filed by February I, and any impasse must be submitted to the arbitrator(s), and hearing concluded no later than February 28.

7.7(4) New certifications. Statutory impasse procedures under these rules shall not be ava ilable if the employee organization has been certified later than December I . This rule docs not preclude the parties from negot ia ting independent impasse procedures if an employee organization is certified after December I and the procedures will result in an ar­bitration award on or before March 15.

7.7(5) Negotiability disputes. Disputes concerning .the negotiability o f a ny subject of bargaining shall be submitted to the board for determination pursuant to rule 6.3(20) no later than March I . An arbit ra tion award rendered prior to final determination of the negotiabi lity dispute will be made conditiona l upon such determination. Notwithstand ing the provisions of rule 2. 19(20). no stay of impasse procedures will be granted during the pendency of a ny negotiability dispute. declaratory ruling request, or prohibited practice compla int.

Rule 7. 7 is intended to implement section 20.17, The Code. These rules are intended to implement chapter 20, The Code.

!Filed March 4 , 19751 !Filed Emergency 12/ 30175-published 1126/76, effective 12/ 30/75]

!Filed 10129176. Notice 9/ 22/76-published 11/17176 , effect ive 12/ 22/76 ] !Filed Emergency 10/ 26/77 after Notice 9/ 2 1177-published 11 / 16/77, effective II / 11771

!Filed 10/ 26177. Notice 912 1/77-published 11 / 16/77, effective 12/ 21 /77 ] [Filed 9/ 11179, Notice 7/ 11/79- published 10/ 3179, effective 11112179] [Filed 1117/80, No tice 9/ 17/80- published 11126/ 80, effective 12131/80]

CHAPTER 8 INTERNAL CONDUCT OF EMPLOYEE ORGANIZATIONS

660-8.1(20) Registration report. 8.1(1) When filed. Before an employee organization may be certified as the exclusive

representative of a bargaining unit, the employee organization shall have filed a registration report with the board.

8 .1 (2) Form and content. T he registra tion report shall be in a form prescribed by the board . T he registra tion report shall be accompanied by two copies of the employee organization's constitution and bylaws. A filing by a national or international of its constitution a nd bylaws sha ll be accepted in lieu of a filing of such d ocuments by each subordinate organization, provided tha t such national or interna tional constitut ion and bylaws conform to the req uirements of the Act.

Ch 8. p.2 PERBI660j lAC 11/26/80

660-8.2(20) Annual report. 8.2(1) When filed. Before an employee organization may be certified as the exclusive

representative of a bargaining unit, the employee organization shall have filed an annual report with the board. Such reports shall be filed within ninety days of the conclusion of each fiscal year of the employee organization. The first annual report filed by an employee organization may be filed concurrently with an election petition and shall reflect the last completed fiscal year of the organization or, in the case of a new organization, the last completed quarter or quarters of the current fiscal year.

8.2(2) Form and content. The annual report shall be in a form prescribed by the board and shall contain:

a. The names and addresses of the organization, any parent organization or organizations with which it is affiliated, the principal officers and all representatives.

b. The name and address of its local agent for service of process. c. A general description of the public employees the organization represents or seeks to

represent. d. The amounts of the initiation fee and monthly dues members must pay. e. A pledge, in a form prescribed by the board, that the organization will comply with

the laws of the state and that it will accept members without regard to age, race, sex, religion, national origin or physical disability, as provided by law.

f. A financial report and audit. The financial report shall contain, at a minimum, the following information: Cash balance from the previous year; a listing of sources and amounts of income; an identified listing of disbursements; and a closing balance. The audit should be separate from the financial report and consist of a statement that the financial report has been reviewed and found to be true and accurate. The audit must be signed by a person or persons who hold no other office in the employee organization and who did not prepare the financial report.

660-8.3(20) Bonding requirements. Every person required by section 20.25(3)"c" of the Code to be bonded shall be bonded to provide protection against loss by reason of act of fraud or dishonesty on the part of such person, directly or through connivance with others. The bond of each such person shall be fixed at the beginning of the employee organization's fiscal year and shall be in an amount of not less then ten percent of the funds handled by such person or their predecessor or predecessors, if any, during the preceding fiscal year, but in no case less than two thousand dollars nor more than five hundred thousand dollars. If the employee organization or the trust in which an employee organization is interested does not have a preceding fiscal year, the amount of the bond shall not be less than two thousand dollars. Such bonds shall have a corporate surety company as surety thereon. Any person who is not covered by such bonds shall not be permitted to receive, handle, disburse or otherwise exercise control of the funds or other property of an employee organization or of a

-~

~

~

'""-"

'-../

lAC 11/26/80 PERB[660] Ch 9, p.1

"'--' trust in which an employee organization is interested. No such bond shall be placed through an agent or broker or with a surety company in which any employee organization or any officer, agent, shop steward or other representative of an employee organization has any direct or indirect interest.

660-8.4(20) Trusteeships. 8.4(1) Establishment. Trusteeships shall be established or administered by an

organization over a subordinate employee organization only in accordance with the constitution and bylaws of the organization which has assumed trusteeship over the subordinate body and for the purpose of correcting corruption or financial malpractice, assuring the performance of collective bargaining agreements or other duties of a bargaining representative, restoring democratic procedures or otherwise carrying out the legitimate objectives of the employee organization.

8.4(2) Reports. Every organization which assumes trusteeship over any subordinate employee organization shall file with the board within thirty days after the imposition of any such trusteeship, and semiannually thereafter, a report, signed by its president and treasurer or corresponding principal officers, as well as by the trustees of such subordinate employee organization, containing the following information:

a. The name and address of the subordinate employee organization; b. The date of the establishment of the trusteeship; c. A detailed statement of the reason for the establishment or the continuation of the

trusteeship; and d. The nature and extent of participation by the membership of the subordinate

employee organization in the selection of delegates to represent such employee organization in regular or special conventions or other policy-determining bodies and in the election of officers of the organization which has assumed trusteeship over the employee organization.

The initial report of the establishment of the trusteeship shall include a full and complete account of the financial condition of the subordinate employee organization as of the time trusteeship was assumed over it.

8.4(3) Continuing duty to report. During the continuance of a trusteeship, the organization which has assumed trusteeship over a subordinate employee organization shall file on behalf of the subordinate employee organization all reports required by this chapter. Such reports shall be signed by the president and treasurer or corresponding principal officers of the organization which has assumed such trusteeship and the trustees of the subordinate employee organization.

660-8.5(20) Reports as public Information. 8.5(1) Use by the board. The contents of the reports required by this chapter shall be

public information, and the board may publish any information and data which it obtains from such reports.

8.5(2) Available to the public. The board shall make reasonable provisions for inspection and examination, at the request of any person, of any report required to be filed with the board by this chapter.

These rules are intended to implement chapter 20 of the Code. [Filed March 4, 1975]

[Filed 10/29/76, Notice 9/22176-published 11117/76, effective 12/22176] [Filed 1117/80, Notice 9/17/80-published 11/26/80, effective 12/31/81]

CHAPTER 9 ADMINISTRATIVE REMEDIES

660-9.1(20) Final decisions. When a quorum of the members of the board presides at initial hearing on any matter, the decision entered thereon is a final decision of the agency. When the hearing is presided over by other than a quorum of the members of the board, the hearing officer shall render a proposed decision, which shall become the final decision of the agency unless within twenty days of the filing of such decision:

Ch 9, p.2 PERB[660] lAC 11126/80

9.1(1) Any party aggrieved by the decision files a written notice of appeal with the board, \..,J or

9.1(2) The board, on its own motion, determines to review the decision.

660-9.2(20) Appeals to board. 9.2(1} Grounds for appeaL Any proposed decision of a hearing officer may be modified,

reversed or set aside by the board on one or more of the following grounds: a. That the hearing officer acted without or in excess of his powers; b. That the proposed decision was procured by fraud or is contrary to law; c. That the facts found by the hearing officer do not support the proposed decision; d. That the proposed decision is not supported by a preponderance of the competent

evidence on the record considered as a whole; e. That the conduct of the hearing or any ruling made therein has resulted in prejudicial

error; f. That a substantial question of law or policy is raised because of the absence of or

departure from officially reported board precedent; g. That there are compelling reasons for reconsideration of an important board rule or

policy. 9.2(2) Notice of appeal. The notice of appeal shall be in writing, addressed to the

board, and shall set forth the specific grounds for appeal. The appealing party shall deliver a copy to opposing parties by ordinary mail.

9.2(3) Hearing. The board may hear the case de novo or upon the record as submitted before the hearing officer. Any person, employee organization or public employer who has a significant interest in the outcome of the appeal may petition the board for intervention in the appeal proceedings. Where intervention is granted by the board, the intervening parties may submit briefs and arguments and participate in the same manner as an original party to the proceeding. The board shall set a time and place of hearing or argument and give notice thereof to the parties. The decision rendered by the board shall be a final decision of the agency.

9.3(20) Rescinded, effective December 21, 1977. These rules are intended to implement chapter 20, The Code.

!Filed March 4, 1975J !Filed 10/26/77, Notice 9/21/77-published 11/16/77, effective 12/21/771 ·[Filed 9/11179, Notice 7/11179-published 10/3/79, effective 11/12/79]

[Filed 1117/80, Notice9/17/80-published 11126/80, effective 12/31180]

\..1

'--"'

~

'--"

lAC 11/26/80 PERB[660]

CHAPTER 10 DECLARATORY RULINGS

Ch 10, p.1

660-10.1(17A,l0) Wbo may petition. Any person, public employer or employee organiza­tion may petition the board to issue a declaratory ruling as to the applicability of any statutory provision, rule or other written statement of law or policy, decision or order of the agency.

660-10.2(10) Contents of petition. A petition for declaratory ruling shall include: 10.2(1) The name, address and phone number of the petitioner. 10.2(2) The specific facts upon which the board is to base its declaratory ruling upon the

questions presented. 10.2(3) The specific questions upon which the petitioner seeks a declaratory ruling.

'-I 660-10.3(17A,l0) Clarifications. The board may require the petitioner to clarify either the facts or questions presented by the petition.

660-10.4(17A,l0) Caption. The following caption is suggested for petitions for declaratory rulings:

BEFORE THE PUBLIC EMPLOYMENT RELATIONS BOARD

IN THE MA TIER OF:

[NAME OF THE PARTY REQUESTING THE RULING]

PETITIONER l CASE NO.

PETITION FOR DECLARATORY RULING

660-10.5(17 A,lO) Service. If a petition for declaratory ruling is based upon specific facts or raises specific questions which directly involve another party, that party shall be served with a copy of the petition by ordinary mail.

660-10.6(17A,l0) Intervention. See rule 2.4(20).

These rules are intended to implement sections 17 A.9 and chapter 20, The Code. [Filed 10/29/76, Notice 9/22/76-published 11/17/76, effective 12/22/76]

[Filed 11/7/80, Notice9/17/80-published 11/26/80, effective 12/31/80]

···;

. ·;.

--·:_:~

--""'----- --·--

lAC 11/26/80 Revenue[730]

CHAPTER 121 Reserved

TITLE XVII

ASSESSOR EDUCATION COMMISSION

CHAPTER122 ADMINISTRATION

Ch 122, p.1

730-122.1(441) Establishment. Section 441.8 of the Code established an Assessor Educa­tion Commission, hereinafter referred to as the commission. The commission consists of seven members: The director of revenue, two Iowa assessors appointed by the executive board of the Iowa state association of assessors, one member appointed by the state board of tax review, and three lay members appointed by the governor. The lay members are appointed for terms of four years and the appointments are subject to the approval of two-thirds of the members of the senate.

This rule is intended to implement section 441.8, The Code.

730-122.2(441) General o~ration. One of the members shall be selected as chairperson and one as vice-chairperson, each to serve in their capacity for one calendar year. Meetings of the commission may be called by the chairperson or a majority of the members of the commis­sion. Meetings will be chaired by the chairperson or the vice-chairperson in the absence of. the chairperson. A majority of the members of the commission must be present to constitute a quorum. A majority decision by those members present shall govern and control. The com­mission will meet at least once each year.

This rule is intended to implement section 441.8 of the Code.

730-122.3(441) Location. While the commission has no offices, persons may obtain infor­mation about the commission and its activities at the Department of Revenue in the Hoover State Office Building, Des Moines, Iowa 50319. Persons wishing to obtain information or make submissions should address correspondence to that address.

This rule is intended to imolement section 441.8. The Code.

730-122.4(441) Purpose. The commission is established to develop and administer a pro­gram of continuing education for Iowa assessors and deputy assessors. The program will em­phasize assessment and appraisal procedures, assessment laws, rights and responsibilities of taxpayers and property owners related to the assessment of property for taxation, duties of assessors and deputy assessors, and other items related to the positions of the assessor and

\._,1 deputy assessor. The commission will designate the courses to be offered in the program, con­tent of the courses, and the number of hours of classroom instruction. An evaluation of the program will be conducted at least annually with any necessary changes made.

The commission shall certify those assessors and deputy assessors who have received suffi­cient credit to be eligible for reappointment to his or her present position.

This rule is intended to implement section 441.8, The Code. [Filed 5/25/79, Notice 4/18/79-published 6/13/79, effective 7/18/79] [Filed 9/14/79, Notice 8/8/79-published 10/3/79, effective 11/7/79]

[Filed emergency 8/1/80-published 8/20/80, effective 8/1180] [Filed 11/7/80. Notice 10/1/80-published 11/26/80, effective 12/31/80]

Ch 123, p.l Revenue[730]

CHAPTER 123 CERTIFICATION

lAC 10/3/79

730-123.1(441) General. In order to successfully complete each course in the continuing education program, an assessor or deputy assessor must attend the sessions of the course and attain a grade of at least seventy percent on an examination given at the conclusion of the course. Credit will be given for each course equal to the number of hours of classroom instruc­tion contained in the course. No credit will be given for a course for which the assessor or deputy assessor has previously received credit during his or her term of .office, except for those courses specifically designated by the commission. A term of office for purposes of these rules is six years.

~

730-123.2(441) Confidentiality. Examinations shall be confidential to the members of the commission and persons designated by the commission to have access to the examinations. "-" Persons given access to the examinations are those persons administering the examination, the instructors of the course for which the exam is given and those persons entrusted with the storage and retention of examinations by the commission. The department of revenue will store records of attendance at the courses and scores of the examinations. Any person having access to examinations shall not divulge in any manner not provided by law the results of any examination.

730-123.3(441) Certification of assessors. An assessor who has received credit equal to at least two hundred forty hours of classroom instruction during his or her term as assessor shall be certified to the assessor's conference board as eligible for reappointment as assessor in that position. Certification shall be only that the incumbent has met the requirements to be eligible for reappointment. No scores or other information will be given to the conference board. ~

If an assessors term expires prior to January 1, 1986, the number of credits required to be certified to determine eligibility for reappointment shall be prorated according to the percen­tage of the assessor's term that was covered by the provisions of section 441.8 of the Code. The credit necessary for certification for reappointment would be determined as follows:

Number of months covered by provisions of section 441.8

72

Credit necesary for certificate for

x 240 = reappointment.

\...~

~

IAC6/13/79 Revenue[730] Ch 123, p.2

\...,.) For example, if an assessor's term expires October 1, 1982, the credit necessary for reappoint­ment would be 110 hours, determined as follows:

12 months ( 1980) + 12 months ( 1981) + 9 months ( 1982) 72 x240 =

.458x240 = 110

If the number of credits necessary for certification for reappointment as determined according to the above provisions results in a partial credit hour, the required credit shall be rounded to the nearest whole number.

An assessor who was appointed to complete an unexpired term shall be certified as eligible for reappointment if he or she completes the appropriate credits determined as follows:

Number of months of unexpired term filed x 240

~ 72

'-../

For example, if an assessor was appointed to fill the last 15 months of an umexpired term, the credit necessary for certification would be 50 hours determined as follows:

15 x 240 = 50 hours 72

730-123.4(441) Certification of deputy assessors. A deputy assessor who has received credit equal to at least one hundred fifty classroom hours of instruction during his or her term of of­fice shall be certified to the assessor employing the deputy as eligible for reappointment as deputy assessor in that position. Certification shall be only that the deputy has or has not met the requirements to be eligible for reappointment. No scores or other information will be given the assessor.

If a deputy assessor's term expires prior to January 1, 1986, the number of credits required to receive certification shall be prorated in the same manner as credits are prorated for assessor's whose term expires as provided under rule 123.3(441) herein.

Rules 123.1 to 123.4 are intended to implement section 441.8, The Code. [Filed 5/25/79, Notice 4/18/79-published 6/13/79, effective 7 /18/79]

[Filed emergency 8/1/80-published 8/20/80, effective 8/1/80]

CHAPTER124 COURSES

730-124.1(441) Course selection. The courses selected by the commission for the continu­\.,.1 ing education program shall emphasize the areas outlined in rule 122.4(441) herein. In estab­

lishing courses, the commission will consider current assessor training programs in Iowa, other states and from other sources.

~

730-124.2(441) Scheduling of courses. Courses will be scheduled in such a way as to offer a variety of times to allow flexibility for assessors and deputy assessors to schedule their contin­uing education program. The number of participants for any course may be limited at the time the course is established to insure proper training can be given each participant.

Ch 124, p.la Revenue[730] lAC 11/26/80

730-124.3(441) Petitioning to add, delete or modify courses. The commission accepts and \...,~ encourages the public to provide input into the development of the assessor education pro-gram. Any person or group may petition to add, delete or modify all or part of the program by submitting a written request for the commission's consideration.

The overriding consideration in determining whether a specific course is acceptable as conti­nuing education is that it be a formal program of learning which contributes directly to the professional competence of an assessor or deputy assessor.

A continuing education course will qualify only if: 1. An outline of the course content and a copy of the final examination are prepared and

filed with AEC. In addition, any course changes are required to be filed with the AEC. 2. The course is at least one hour (fifty minute period) in length. 3. The course is conducted by a qualified instructor, discussion leader, or lecturer. A quali-

fied instructor, discussion leader, or lecturer is any individual whose background, training, education or experience makes it appropriate for that person to lead a discussion on the sub- ~ ject matter of the particular course.

4. Certificates of attendance must be sent to the AEC and the student. 5. An organization or person desiring accreditation of a course shall apply to the commis­

sion for accreditation at least ninety days in advance of the commencement of the activity on a form provided by the commission. The commission shall approve or deny the application in writing within thirty days of receipt, unless an extension of time is agreed to by the applicant and the commission. The application shall state the dates, subjects offered, total hours of in­struction, names and qualifications of the instructor, discussion leader or lecturer and shall in­clude a statement of the objectives of the course and how these objectives will be attained, an outline of the course content, a copy of the final examination, and any other pertinent infor­mation.

730-124.4(441) Course participation. It is the responsibility of individual assessors to com- ~ ply with the enrollment provisions of respective courses designated and established by the commission.

730-124.5(441) Retaking a course. If an assessor or deputy assessor fails a course by receiv­ing a grade of less than seventy percent on the final examination or does not meet attendance requirements established by the commission, the course may be retaken. Once a person has passed a course and received credit for the course, no further credit can be received by taking the course again, except for those courses so designated by the commission. However, if an assessor or deputy assessor wishes to retake a course as a refresher for the materials contained in the course, he or she may do so, though no final examination need be taken. If a course is applied for by a person already having received credit, that person will only be allowed in the courses if space is available after consideration is first given to persons seeking credit forcer­tification in the course.

These rules are intended to implement section 441.8 of the Code.

730-124.6(441) Continuing education program for assessors. The Assessor Education Commission (AEC) has determined the initial course content of the January, 1980 through December, 1985 continuing education program for Iowa assessors. Courses administered by the American Institute of Real Estate Appraisers (AIREA), International Association of Assessing Officers (IAA)), and the Iowa Department of Revenue have been approved for cer­tification.

~

'¥

lAC 5/28/80 Revenue[730] Ch 124, p.6

~ Course 302: z.tass Appraisal of Income-producing Property

Overview of the mass appraisal process, specifically applied to income-producing property, including statistical applica­tions, sales-ratiq analysis, and administrative procedures. Focuses on the use of the income approach in mass appraisal, including analysis of income and expense statements, units of conparison, selection and development of capitalization rates, and use of appropriate capitalization methods. Includes a series of case problems on the mass appraisal of various types of income-producing properties. Prerequisites: Courses 1 and 2. 30 hours.

TOTAL: 11 courses; 330 hours

Address: Mr. Alan D. Grayson, Direc~or of Education International Association of Assessing Officers 1313 East 60th Chicago, Illinois 60637

Iowa Departmgnt of Revenue

Course 101: Use of the Im~a Real Property Appraisal Manual

A description of the use of the appraisal manual, in­cluding an analysis of the cost approach to value, adjusting the manual to local market conditions, and converting from the use of other r.~nuals. 12 hours.

~ Course 111: Use of Assessment/Sales Ratio Studies

The construction and use of sales ratio studies, including the statistical analysis and application of studies for assessment purposes. 3 hours.

Course 411: Valuation of Agricultural Real Estate: Soil Surveys

A detailed explanation of the use of soil surveys as a tool in valuing agricultural real estate. 4 hours.

COurse 611: Valuation of Industrial Machinery

Describes the use of the Industrial Machinery and Equipment Valuation Guide, including the obtaining of information, tile

~ classification of machinery and depreciation methods. 6 hours.

Course 701: Assessment Administration

Analysis of the administration of the assessor's office, including management by objectives, budgets, record systems, and personnel. a hours.

Course 711: Credits an·d Exemptions

Explanation of the administration of all property tax credits and exemptions. 4 hours.

TOTAL: 6 courses; 37 hours.

Address: I~ra Department of Revenue Property- · Ta;: i>i vision Hoover Sta1:e Office Building Des Moines, Io\'Ta 50319"

Ch 124, p.7 Revenue[730] lAC 11126/80

Society of Real Estate Appraisers (SREA)

Course 101: An Introduction to Appraising Real Property. Comprehensive coverage of all concepts and principles of real property appraising, together with the technical skills required for the application of basic principles in practice. Par­ticular emphasis is placed on the use of fundamental appraisal principles and tools for the valuation of residential properties. 70 hours.

Course 201: Principles of Income Property Appraising Principles and techniques of net income capitalization, building on the base of fundamental appraisal concepts and skills provided in course 101 or its equivalent. Considerable em­phasis is placed on the use and application of Mortgage-Equity or Ellwood techniques,

\_,1

which are widely applicable for the valuation and analysis of income-producing proper- ~ ties. 70 hours.

Course 301: Special Applications of Appraisal Analysis Develops and presents a systematic problem-solving approach applicable to all real estate ·appraisal and analysis assignments. It presumes and builds upon the valuation principles and techniques presented in courses 101 and 201 (or their equivalent). Particular emphasis is placed on quantitative methods and tools useful in both market and property analysis. 35 hours.

TOTAL: 3 courses; 175 hours

Address: Ms. Ruth Tretbar, Associate Director for Special Programs Education Department Society of Real Estate Appraisers 645 North Michigan Chicago, Illinois 60611

These rules are intended to implement section 441.8, The Code. [Filed 5/25/79, Notice 4/18/79-published 6/13/79, effective 7/18/79]

[Filed 5/9/80, Notice 4/2/80-published 5/28/80, effective 7 /2/80] [Filed emergency 8/1180-published 8/20/80, effective 8/1180]

[Filed 8/1/80, Notice 6/25/80-published 8/20/80, effective 9/24/80] [Filed emergency 10/27/80-published 11/12/80, effective 10/27/80]

[Filed 11/7/80, Notice 10/1180-published 11/26/80, effective 12/31180]

~

'-.-1

\.,.J

lAC 10/15/80, 11126/80 Substance Abuse[805] Ch3.p.13

2. Names of members attending; 3. Topics discussed; 4. Decisions reached and actions taken; and, 5. A summary of all reports presented to the board. d. The duties of the board of directors shall include, but not be necessarily limited to the

following: 1. Appointment of a qualified executive director who shall have the responsibilities and

authorities for the management of the program in accordance with the board's established policies;

2. Establish an effective control which will assure that quality services are delivered; 3. Review and approve the program's annual budget; and, 4. Approve all contracts. e. The board of directors shall develop and approve policies for the effective operation of

the program. These policies shall be reviewed and updated at least annually. f. The board of directors shall be responsible for all funds, equipment, supplies and the

facility in which the program operates. The board shall be responsible for the appropriateness and adequancy of services provided by the program.

g. The board of directors shall at least annually prepare a report which will include, but not necessarily be limited to, the following items:

1. The name, address, occupation, and place of employment of each board member; 2. Any family relationships which a board member may have to a program staff member;

and, 3. Where applicable, the name and address of all owners or controlling parties whether

they are individuals, partnerships, corporation body, or subdivision of other bodies, such as a public agency, or religious group, fraternity, or other philanthropic organization.

h. The board shall assume responsibility in seeing that the program has malpractice and liability insurance and a fidelity bond.

3.22(2) Executive director. The board of directors/governing body shall appoint an executive director whose qualifications, authority, and duties are appropriate to the administrative and treatment requirements of the program. This individual shall have primary responsibility for the overall program operations in accordance with the policies established by the board of directors.

a. The duties of the executive director shall include, but not necessarily be limited to, the following:

1. The developing and organizing of administrative and procedural functions of the program;

2. Public relations; 3. Establishing a formal means of staff accountability; 4. Control and conse:rve the physical and financial assets of the program; and, 5. Personnel administration. b. The executive director shall assist the board of directors in formulating policies and

shall prepare, present, and interpret all relevant information as deemed appropriate by the board of directors which may include:

1. Reports describing the program's operation; 2. Evaluation reports dealing with the efficiency and effectiveness of the program; 3. Plans based upon the nature and extent of substance abuse problems within the

service area, the nature and extent of funding, and other resources available, and federal, state and local developments affecting substance abuse treatment; and,

4. Budget and financial statements. 3.22(3) 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:

C'h 3, p.l4 Substance Abuse[SOS] lAC 10/15/80, ll/26/80

a. Legal authority and organization of the board of directors; \.,.,/ b. Organization and management of the program; c. Fiscal management; d. Personnel policies; e. Medical services; f. Staff training; g. Administrative services; h. Intake and initial assessment; i. Treatment planning; j. Client case records; k. Referral, supportive and professional services; I. Follow-up services; m. Aftercare services; n. Client rights; ~ o. Confidentiality of client records; p. Emergency treatment; q. Outpatient treatment; r. Residential and intermediate treatment; s. Outreach; t. Detoxification; and, u. Medication control. 3.22(4) Fiscal management. One person shall be identified as having primary fiscal

responsibility for the program in accordance with the policies established by the board of directors.

a. This individual shall be responsible for: 1. Establishing and maintaining a standard accounting system in accordance with

generally accepted accounting principles applicable to recipients of state and/ or federal ~ funds;

2. Preparing and updating a written program budget; 3. Implementing adequate internal controls; and, 4. Generating program financial reports. b. The annual budget shall outline anticipated revenue and expenses. The budget shall

itemize projected expenses by line item. The written annual budget shall be reviewed and approved by the board of directors prior to the beginning of the applicable fiscal year. Budgetary revisions made during the fiscal year shall be documented and approved by the board of directors.

c. Written policies and procedures shall be maintained regarding the operation of the fiscal management system as approved by the board of directors and proper control of the purchasing process; proper handling, recording and documentation of receipts and ~ disbursements and the transactions related thereto.

d. The fiscal management system shall reflect the fiscal experience and current financial position of the program. This system shall provide for accounting of programs costs by line item. Revenue shall be reported by funding source.

e. Fiscal reports shall be made available to the board of directors and program management staff.

f. There shall be an insurance program that provides for the protection of the physical and financial resources of the program, and that provides coverage for all people, buildings and equipment.

3.22(5) Personnel. Written personnel policies and procedures shall be developed by all programs. The programs should consider utilizing the state merit rules in developing their personnel policies. •

a. These policies and procedures shall address the following areas: ~ 1. Recruitment and selection of staff members and volunteers; 2. Wage and salary administration;

lAC 12/27/78 Substance Abuse[805] Ch 3, p.17

~ 3.22(9) Supportive und prqfessionul services. The program shall have the following services available to all clients in need of these services either onsite or through a written agreement with an outside agency:

a. Vocational rehabilitation services; b. Legal services; c. Educational services: d. Financial counseling; e. Recreational activities; j: Treatment supervisor services: The program shall have available consultation from a

treatment supervisor. This individual will assist the program in developing policies and procedures relating to the assessment and treatment of psychopathology. The treatment supervisor will assist in the training of the staff, reviewing of case records, and providing assistance to the clinical staff in client treatment.

\.,' 3.22(10) Staff development and training. There shall be written policies and procedures that establish a staff development program. One individual shall be designated to supervise staff development activities. The staff development program shall include orientation for entry-level staff, on-the-job training, in-service education, and opportunities for continuing job-related education.

a. Initial training of each treatment staff member shall include, but not be limited to, structured, scheduled orientation relating to the psychosocial, medical, pharmacological, and legal aspects of substance abuse prevention activities; an orientation to the program and community resources; and counseling skill development.

b. The program shall establish on-site training programs or enter into relationships with outside resources capable of meeting staff training needs.

c. The staff development program shall take steps to ensure that staff members are kept informed of new developments in the field of substance abuse treatment and rehabilitation.

~ d. In-service training programs shall be instituted when program operations or functions are changed, and shall be designed to allow staff members to develop new skills so that they may effectively adapt to such changes.

e. Staff development activities and participation in state, national and regional training shall be planned and scheduled. These activities shall be documented in order to evaluate their scope, effectiveness, attendance, and amount of time spent on such efforts. The written plan for on-site staff development and activities for professional growth and development of program personnel shall be annually reviewed and approved by the board of directors and shall be available to all personnel.

f. Minutes shall be kept of on-site training activities and shall include, but not necessarily be limited to:

1. Date of the meeting; ~ 2. Names of persons attending;

3. Topics discussed; to include name and title of presentors; and, 4. Recommendations made. g. The individual responsible for supervising staff development activities shall conduct at

least an annual needs assessment and shall meet at least quarterly with staff members to determine whether they believe staff development activities are suited to their needs and to elicit their advice on ways of improving these activities.

h. The local program shall document staff attendance and participation at local, regional, state and national training opportunities.

3.22(11) Intake and assessment. There shall be clearly stated written criteria for determining the eligibility of individuals for admission.

a. The program shall have written policies and procedures governing a uniform intake process that defines:

('h 3, p.18 Substance Abuse[SOS] lAC 10/15/80, 11/26/80

1. The types of information to be gathered on all individuals upon admission; ~ 2. Procedures to be followed when accepting referrals from outside agencies or

organizations; and, 3. The types of records to be kept on all individuals applying for services. b. The following information shall be collected and recorded on standardized formats

developed by the program on all individuals applying for service prior to or at the time of admission and shall become part of that individual's case record:

1. Identifying information which includes name, address, telephone number; 2. Demographic information which includes date of birth, sex, race or ethnic origin; 3. Name and address of referral sources; 4. Presenting problem; S. Substance abuse history which will include type, amount, frequency and duration of

substance use; 6. Family history which will describe the family composition and dynamics; ~ 7. Education status and history which describe levels of achievement; 8. Vocational/employment status and history which will describe skills or trades learned;

record of jobs held, duration, reasons for leaving; 9. Peers and friends. 10. Legal history which will describe any involvement with the criminal justice system; 11. Medical and health history including any incidences of overdoses; and any physical in­

dicators of contagious diseases with necessary acti.on as required by the Code of Iowa; 12. Psychological history and mental status; 13. Any other relevant information which will assist in formulating an initial assessment

of the client; and, 14. A financial evaluation to include insurance coverage. c. Each new admission, readmission or transfer admission shall be interviewed by a \...!

treatment supervisor or by his/her designee, with a treatment supervisor reviewing all intake information. When such a review is conducted, the treatment supervisor shall document all clinical observations and recommendations in the applicant's case record. If in the judgment of the treatment supervisor, psychological, psychiatric or further medical exami-nations are indicated, such assistance shall be obtained and documented in the case record.

d. When an individual refuses to divulge information or to follow the recommended course of treatment, this refusal shall be noted in the case record.

e. During the intake process, documentation shall be made that the individual has been in­formed of:

1. General nature and goals of the program; 2. Rules governing client conduct and infractions that can lead to disciplinary action or

discharge from the program; , 3. In a nonresidential program, the hours during which services are available; ~ 4. Treatment costs to be borne by the client, if any; S. Client's rights and responsibilities; and, 6. Confidentiality laws, rules and regulations. f. Sufficient information shall be collected during the intake process so that an

assessment of the client's status is complete and a comprehensive treatment plan can be developed.

3.22(12) Treatment plans. Based upon the initial assessment, an individualized written treatment plan shall be developed and recorded in the client's case record.

a. An initial treatment plan shall be developed upon intake and shall delineate the client's immediate needs and actions required to meet these needs. This plan shall be in effect until a comprehensive treatment plan is developed.

b. A comprehensive treatment plan shall be developed as soon after the client's ~ admission as is clinically feasible, but no later than twenty-one days after the admission date.

c. The individualized treatment plan shall minimally contain: 1. A clear and concise statement of client's current strengths and needs;

lAC 10/15/80, 11126/80 Substance Abuse(SOS] Ch 3, p.23

'-..t S. Unused prescription drugs prescribed for residents who have left the facility without their medication shall be destroyed by the person in charge with a witness and notation made on the resident's record.

\w)

f. Drug storage shall be maintained in accordance with the security requirements of federal, state and local laws.

1. All drugs shall be kept in locked storage. 2. Medications requiring refrigeration shall be kept in a refrigerator and separated from

food and other items. 3. Disinfectants and drugs for external use are stored separately from internal and inject­

able medications. 4. The medication for each client shall be stored in the original containers. This rule is intended to implement sections 125.12, 125.13, 125.20, 125.33, 125.39 and

204.308, The Code.

805-3.23(125) Specific standards for outpatient substance abuse program. An out­patient care program shall be designated to provide a variety of diagnostic and primary substance abuse services on both a scheduled basis and a nonscheduled basis in a non-residential therapeutic setting.

3.23(1) Plan. An outpatient care program shall have a written plan which includes, but is not limited to:

a. Treatment philosophy; b. Objectives; c. Organization of structure; d. The role of the co-ordinator/director in charge of this service; e. Specification of the lines of authority and staff responsibility; f. Admission criteria; g. A delineation of the interrelationships of this component with the other service

components and providers; and, h. There shall be documentation that this plan is reviewed and updated at least annually

and that it has been approved by the governing authority. 3.23(2) Direct services. Services provided by this unit may include, but not necessarily

be limited to the following: a. Case management; b. Orienting clients to the program's operations and procedures; c. Interviewing applicants and clients for diagnostic purposes; d. Conducting individual, group or family counseling sessions; e. Informing clients of program and community resources; f. Making referrals to appropriate outside agencies; g. Crisis intervention; h. Interdisciplinary client staffings; and, i. Serving as a resource for clients. 3.23(3) Hours of operation. Hours of operation shall be during periods which make

outpatient services accessible to clients and the general public. During hours which the program does not operate, the program's hours of operation shall be conspicuously displayed so as to communicate those hours to the general public.

3.23(4) Urinalysis. All programs serving clients who are receiving treatment for use or abuse of a controlled substance, except marijuana, shall establish policies and procedures for the collection and utilization of urinalysis results.

a. Urine specimens obtained from clients shall be collected under direct supervision and analyzed for morphine, methadone, cocaine, codeine, amphetamines, barbiturates and other substances as indicated.

b. Any laboratory used by the program for urine testing and analysis shall comply with all federal and state proficiency testing programs.

Ch 3, p.24 Substance Abuse[750] lAC 10/15/80

c. Client records shall reflect the manner in which urine test results are utilized in treatment. d. For programs with a urinalysis service, policies shall be developed concerning measures

to be employed when urine specimens of clients are found to contain the aforementioned substances.

This rule is intended to implement section 125.13, The Code.

805-3.24(125) Specific standards for residential/intermediate care substance abuse pro­gram. A residential/intermediate care program shall be designed to provide comprehensive diagnostic, treatment and rehabilitation services on a scheduled or nonscheduled basis in a residential therapeutic setting.

3.24(1) Hours of operation. A residential/intermediate program shall operate no less than seven days per week, for no less than twenty-four hours a day.

3.24(2) Plan. This component shall have a written plan. a. This plan shall include, but not limited to, the following: 1. Treatment philosophy; 2. Objectives; 3. Organizational structure; 4. The role of the co-ordinator/director in charge of this service; 5. Specification of the lines of authority and staff responsibility; 6. Admission criteria; and, 7. Interrelationship with other service components and providers. b. There shall be documentation that this plan is reviewed and updated at least annually

and that it has been approved by the governing authority. 3.24(3) Use of chemical substances. A residential/intermediate care program shall have

written policies regarding the use of chemical substances in the facility. 3.24(4) Program participation. All residents of the residential/intermediate care

program shall be active participants in the therapeutic program. 3.24(5) Employed clients. A residential/intermediate care program shall insure that all

employed clients receive scheduled therapeutic services. 3.24(6) Facility. Residential/intermediate service facilities shall comply with appropriate

state department of health rules, state fire marshal's rules and fire ordinances, and appropriate local health, fire, occupancy code, and safety regulations. The program shall maintain documentation of such compliance.

3.24(7) Meals. A residential/intermediate care program shall provide a minimum of three meals per day to each client enrolled in the program. Residential/intermediate care programs such as halfway houses, live-in/work-out centers, and other programs where clients are not present during meal time, provisions shall be made to provide the necessary meals. Menus shall be prepared in consultation with a qualified dietitian. If clients are utilized to prepare meals, the program shall document conformity with all commonly accepted policies and procedures of state health regulations and food hygiene.

3.24(8) Urinalysis. All programs serving clients who are receiving treatment for use or abuse of a controlled substance, except marijuana, shall establish policies and procedures for the collection and utilization of urinalysis results.

a. Urine specimens obtained from clients shall be collected under direct supervision and analyzed for morphine, methadone, cocaine, codeine, amphetamines, barbiturates and other substances as indicated.

b. Any laboratory used by the program for urine testing and analysis shall comply with all federal and state proficiency testing programs.

c. Client records shall reflect the manner in which urine test results are utilized in treatment. d. For programs with a urinalysis service, policies shall be developed concerning measures

to be employed when urine specimens of clients are found to contain the aforementioned substances.

3.24(9) Consultation with counsel. A residential/intermediate care program shall have policies and procedures which will ensure that all clients in a facility have opportunity for and access to consultation with legal counsel at any reasonable time.

\.._/

~

~

\..,!

~

lAC 11112/80 Transportation[820] Analysis, p.9

ARTICLE F

OPERATING AUTHORITY

CHAPTER 1 INTERSTATE REGISTRATION AND

OPERATION OF VEHICLES [07 ,F]-1.1(326) Definitions [07 ,F]-1.2(326) Organizational data (07 ,F]-1.3(326) General course and meth-

od of operation [07 ,F]-1.4(326) Trip~ leased vehicle (07 ,F]-1. 5 Reserved [07,F]-1.6(326) Iowa temporary prorate

permits """-" (07 ,F]-1. 7(326) Policy with respect to

application [07 ,F]-1.8(326) Cancellation for nonpay­

ment of registration fees -notice and demand

[07 ,F]-1.9(326) Voluntary cancellation of prorate registration ap­plication

[07,F]-1.10(326) Monthly penalty . [07,F]-1.11(326) Temporary authority (07 ,F]-1.12(326) Making claim for refund (07 ,F]-1.13(326) Late applications [07,F]-1.14(326) Payment of fi~st h~lf fee

~ [07,F]-l.l5(326) Temporary registration for unregistered vehicles

[07 ,F]-1.16(326) Registration of vehicles with non-Iowa titles

CHAPTER 2 !Previously numbered as (07,E) ch 121

SPECIAL PERMITS FOR OPERATION AND MOVEMENT

OF VEHICLES AND LOADS OF EXCESS SIZE AND WEIGHT

[07 ,F]2.1(321 E) General stipulations [07,F]2.2(321E) Movements of loads ex­

ceeding 14 feet [07,F]2.3(321E) Permits-their limita­

tions and stipulations [07, F)2.4(321 E) Escorting-civilian and

official [07,F]2.5(321E) Permit violations [07,F]2.6(321E) Forms

CHAPTER 3 TRUCK OPERATORS AND CONTRACT

CARRIERS (07,F)-3.1(327) General information (07 ,F)-3.2(327) Applications and filings (07 ,F)-3.3(327) Marking of equipment (07 ,F)-3.4(327) Insurance (07,F)-3.5(327) Bills of lading or freight

receipts

(07 ,F)-3.6(327) Lease of equipment (07 ,F)-3. 7(327) Complaints (07 ,F)-3.8(327) Tariffs

CHAPTER4 MOTOR CARRIERS AND CHARTER

CARRIERS (07, F)-4.1 (325) General information (07,F)-4.2(325) Insurance (07,F)-4.3(325) Self-insurance passenger

carriers (07 ,F)-4.4(325) Marking of equipment (07,F)-4.5(325) Motor carrier application (07,F)-4.6(325) Placing motor vehicles in

service (07 ,F)-4. 7(325) Time schedule (07, F)-4.8(325) Records and reports (07,F)-4.9(325) Passenger and freight

motor carrier safety rules

4.10 and 4.11 Reserved (07,F)-4.12(325) Application, transfer,

lease, assignment or stock purchase of a cer­tificate of convenience and necessity

(07 ,F)-4.13(325) Lease of equipment (07,F)-4.14(325) Tariffs

CHAPTER 5 INTERSTATE COMMERCE

COMMISSION AUTHORITY OF MOTOR CARRIERS

(07,F)-5.1(327B) Motor carrier standards pursuant to public law 89-170

[07,F]5.2(327B) Application for interstate registration

(07,F]5.3(327B) Passenger and freight motor carrier safety regulations

CHAPTER 6 COMPACTED RUBBISH VEHICLE

PERMITS [07,F]6.1(321) Definitions [07 ,F]6.2(321) General stiuplations [07 ,F]6.3(32l) Applications [07, F]6.4(321) Replacement permit [07 ,F]6.5(321) Permit violations

Analysis, p.9a Transportation [820] lAC 11/26/80

CHAPTER 7 CHAPTER 13 ~ INTERSTATE MOTOR VEHICLE FUEL LIQUID TRANSPORT CARRIERS PERMITS AND TRANSPORT CARRIER [07,F)13.1(327A) General information

REGISTRATION [07 ,F] 13.2(327 A) Insurance [07 ,F]7 .1 (324) Definitions [07, F] 13.3(327 A) Marking of equipment [07 ,F]7 .2(324) Purpose [07 ,F] 13.4(327 A) Application and notice [07 ,F]7 .3(324) General stipulations of hearing [07 ,F]7 .4(324) Quarterly reports [07 ,F] 13.5(327 A) Annual reports and fees [07 ,F]7 .5(324) Audits-required records [07,F]13.6(327A) Bills of lading or freight [07 ,F]7 .6(324) Hearings receipts [07 ,F]7. 7(324) Transport carrier registration [07,F]13. 7(327A) Complaints

[07,F)13.8(327A) Liquid transport CHAPTER 8 carriers safety regula-

PASSENGER SERVICE EXEMPT tions \...! BY PERMIT FROM PUBLIC 13 .9 and 13.10 Reserved

CONVENIENCE AND NECESSITY [07 ,F] 13.11 (327 A) Tariffs CERTIFICATE REQUIREMENTS [07, F] 13.12(327 A) Lease of equipment

Rescinded by Governor's Administrative Rules Executive Order No. S. 08 PLANNING AND RESEARCH

·11/4/80 DIVISION

CHAPTERS 9 and 10 ARTICLE A

Reserved PLANNING AND RESEARCH OPERATIONS OF

GENERAL APPLICABILITY

CHAPTER 11 Reserved

ACCOUNTING RULES ARTICLE B

[07,F]l1.1(474) Department's adoption of TRANSPORTATION INVENTORY '-"" interstate commerce ac- Reserved

counting rules ARTICLE C

[07 ,F] 11.2(474) Accounting rules appli- ADVANCE PLANNING

cable to class II freight CHAPTERS 1 and 2

and passenger motor Reserved

carriers CHAPTER 3

[07,F]-11.3(474) Instructions relating to FUNCTIONAL CLASSIFICATION OF

filing annual report HIGHWAYS

forms by class II motor [08,C]-3.1(306) Roads and streets to be

carriers classified [08,C]-3.2(306) Meeting dates for county

CHAPTER 12 classification boards \..-1 Reserved [08,C]-3.3(306) Recording secretary

[08,C]-3.4(306) Public hearing [08,C]-3.5(306) Transcripts of hearings [08,C]-3 .6(306) Order of classification [08,C]-3. 7(306) Classifications of county

line roads [08,C]-3.8(306) Classification of roads on

corporation lines [08,C]-3.9(306) State park and institu-

tional road system classification

[08,C]3.10(306) Data submittal [08,C]3.11 to 3.14 Reserved '-"' [08, C]3.15(306) Functional classification

review board

lAC 5/14/80 Transportation [8201 [07,F} Ch 7, p.10

~ 810-(07 ,F)7. 7(324) Transport carrier registration. 7. 7(1) Transport carrier. Each vehicle which has a capacity of four thousand gallons or

more, and is used for transporting motor fuel or special fuel on the highways of this state by a common or contract carrier or a distributor transporting motor fuel for others, shall be registered with the department of transportation. "Vehicle" shall be defined as the trailer tank unit or the entire vehicle if the tank is mounted upon the chassis of the motor vehicle. The fee for registration shall be five dollars per vehicle.

7.7(1) Reporting registered vehicles. On or before July 1 of each year, each registrant shall file with the department of transportation a complete list of all vehicles so registered. This report shall include the identification number of each vehicle so registered. Each vehicle shall be registered, and proof of such registration shall not be assigned or transferred.

7. 7(3) Fuel transporter-registered. Every transporter of motor fuel or special fuel re-I._/ quired to register under section 324.11 (common or contract carrier or a distributor transport­

ing fuel for others) or to report under section 324.15, subsection (I), (common or contract car­rier or a distributor transporting fuel to other than a terminal), The Code, shall keep and preserve manifests or loading and delivery invoices covering the transport of such fuel.

7. 7(4) Fuel transporter-nonregistered. Every taxpayer required to report under section 324.15, subsection (2), The Code shall keep and preserve the following records:

a. Records to evidence the acquisition of fuel. b. Bills of lading or manifests covering the sale of fuel. 7. 7(5) Transport plate. Upon registration, pursuant to 324.11, The Code, the department

of transportation shall issue a single transport plate which shall be permanently attached to the vehicle so registered. When the vehicle is no longer used for the purpose so registered, the transport plate shall be surrendered to the department of transportation or application for transfer made. When any transport plate becomes lost, destroyed, or illegible, the vehicle shall

'"-"" be reregistered. 7. 7(6) Vehicle identification. a. Nonlicensee. The name and address of the person transporting motor fuel or special fuel

shall appear on any vehicle used to transport such fuel with a capacity of four thousand gallons or more. The identification shall meet the following requirements:

(1) Appear on both sides of the vehicle; (2) Be of a color in contrast to that of the vehicle; and (3) Consist oflettering six inches in height and three-fourths inch in width. b. Licensee. If the vehicle is operated by a distributor licensed under section 324.4, The

Code, the distributor's license number shall appear on each side of the vehicle along with the other identification required in paragraph 7.7(6)uau. However, the trade or product name or insignia of the licensee may be used in lieu of the name and address.

7. 7(7) Evidence of cargo. ~ a. Registered vehicle. Each vehicle registered pursuant to 324.11, The Code, while in use

shall carry with it a serially numbered (three digits or more) manifest covering the cargo being carried. The manifest shall be kept for a period of three years and shall be available for inspec­tion by the department. The manifest shall include the following information:

(1) Date and place ofloading; (2) Place to be unloaded; (3) Person for whom the fuel is being delivered; (4) Nature and kind of products; (5) Quantity; and (6) Date and place of actual delivery and person delivered to (completed upon delivery). b. Nonregistered vehicle. Any unregistered vehicle which transports fuel on the highways of

this state, that fuel having been withdrawn from a refinery or marine or pipeline terminal or imported into this state, shall carry a loading invoice and delivery evidence.

"-"" (1) The loading invoice shall include the date and place of loading, the true name and ad-dress of the seller or consignor and the type and quantity of fuel loaded.

(2) The delivery evidence shall include the name and address of each purchaser or consignee and the quantity and type of fuel delivered.

[07,F] Ch 7, p.11 Transportation [820] lAC 11126/80

(3) A carrier distributing for a distributor licensee may substitute the loading invoice and ~ delivery evidence described in paragraph 7. 7(7) "b, for the manifest required in paragraph 7. 7(7) "a, upon departmental approval.

This rule is intended to implement sections 324.11, 324.12, 324.13, and 324.14, The Code. [Filed 4/21 /80, Notice 3/5/80-published 5/14/80, effective 6/ 18/80]

CHAPTER 8 PASSENGER SERVICES EXEMPT BY PERMIT FROM PUBLIC CONVENIENCE

AND NECESSITY CERTIFICATE REQUIREMENTS

[Filed 9/9/80, Notice 7 /23/80-published 10/1/80, effective 11/5/80] \.._,) [Rescinded by Governor's Administrative Rules Executive Order No.5, 11/4/80-

Published 11/26/80]

CHAPTERS 9 and 10 Reserved

CHAPTER 11 ACCOUNTING RULES

820-[07,F]l1.1(474)* Department's adoption of interstate commerce accounting rules. Classes I, II and Ill steam railways, railway bridge companies, railway terminal companies, \...I •see 820-[10,8), c:h 13.

'--"'

~

lAC 7/1175 Transportation [820] [07,F] Ch 11, p.2

~~t:ric interurban railways, Railways Express Agency, Inc., The Pullman Company, class I .....,..treight and passenger motor carriers shall adhere to the accounting rules as prescribed by the

interstate commerce commission relating to system and Iowa operations.

820-[07 ,F]ll.2(47 4) Accounting rules applicable to class II freight and passenger motor carriers.

11.2(1) Single entry accounting shall be used regarding daily records that should be kept on operating and nonoperating revenues, operating expenses and operating statistics deemed necessary by the department.

11.2(2) Revenues are to be entered each day as earned, not once a week or only when collections are made. Rents and interest income should be entered on the day received.

11.2(3) Operating expenses should be entered daily except salaries that are paid weekly or monthly, rents paid monthly and interest paid. Depreciation charges are to be entered in

. _Jerating expenses on the fifteenth of each month; and when equipment is retired, such ~1arges cease to be an operating expense. Depreciation may be charged only during the

period equipment or facilities are actually being used in connection with operation authorized by this department.

11.2(4) Freight motor carriers shall keep daily records on pounds carried and truck or tractor miles operated, on system and within the state of Iowa, separately.

11.2(5) Passenger motor carriers shall keep daily records on passengers carried, bus miles operated and motor passenger miles revenue, on system and within the state of Iowa, separately.

11.2(6) Revenues earned within the state of Iowa should include all intrastate revenues a1a. a mileage prorate of interstate revenues.

11.2(7) Individual equipment records must be kept showing description, cost, monthly depreciation and mileage records.

~ ..;_11.2(8) Record should be kept on the accrual basis, so that at the end of each calendar year, licenses, insurance, etc., paid for in advance may be carried in prepayment accounts on financial statement and not shown as an expense in the year it is not used.

11.2(9) Records are to be set up and kept beginning at the time operations commence and that at no time shall daily entries be more than five days in arrears. Such records must be kept intact and open for inspection by our representatives at any time. Daily records, for ope calendar year or any portion thereof, shall not be destroyed before three years, after the Close of such calendar year.

11.2(10) Other records may be kept in addition to these prescribed by the department, but in no instance shall any class II motor carrier fail to keep daily records as prescribed under this rule. 820-[07 ,F]ll.3(474) Instructions relating to rutng annual report forms by class II motor

~arrlers. , 11.3(1) Annual report form must be filled out in duplicate and one copy, duly verified

and sworn to before a notary public or someone authorized to administer oaths, filed with the office of the Department of Transportation, Motor Vehicle Division, State Capitol, Des Moines, Iowa 50319, on or before February 28 of the year following that for which annual report is filed.

11.3(2) Every annual report must, in all particulars, be complete in itself; and reference to the return of former years should not be made to take the place of required entries.

11.3(3) If it be necessary or desirable to insert additional statements, typewritten or other in a report, they should be legibly made on durable paper and, wherever practicable, on sheets not larger than a page of the annual report form. Inserted sheets should be securely attached, preferably at the inner margin; attachment by pins or clips is insufficient.

~~:~ 11.3(4) All entries in the report form should be taken from the motor carrier's daily · record, and must be made in permanent black ink, except those of a contrary or unusual

character, which should be in red ink.

'~. ( ~