Created by 1986 Iowa Acts,
chapter 1245, section 1401.
Prior to 9/7/88, see Public Instruction Department[670]
(Replacement pages for 9/7/88 published in 9/21/88 IAC)
TITLE
I
GENERAL INFORMATION—
DEPARTMENT OPERATIONS
CHAPTER 1
ORGANIZATION AND OPERATION
1.1(17A,256) State board of education
1.2(17A,256) Student member of state board of education
1.3(17A,256) Director of education
1.4(17A,256) Department of education
CHAPTER 2
AGENCY PROCEDURE FOR RULE
MAKING AND PETITIONS FOR
RULE MAKING
(Uniform Rules)
2.2(17A) Advice on possible rules before notice of proposed rule adoption
2.3(17A) Public rule–making docket
2.4(17A) Notice of proposed rule making
2.7(17A,25B) Fiscal impact statement
2.8(17A) Time and manner of rule adoption
2.9(17A) Variance between adopted rule and published notice of proposed rule adoption
2.10(17A) Exemptions from public rule–making procedures
2.11(17A) Concise statement of reasons
2.12(17A) Contents, style, and form of rule
2.13(17A) Agency rule–making record
2.15(17A) Effectiveness of rules prior to publication
2.16(17A) General statements of policy
2.17(17A) Review by agency of rules
2.18(17A) Petition for rule making
(Uniform Rules)
3.1(17A) Petition for declaratory order
3.6(17A) Service and filing of petitions and other papers
3.9(17A) Refusal to issue order
3.10(17A) Contents of declaratory order—effective date
3.12(17A) Effect of a declaratory order
CHAPTER 4
WAIVERS OR VARIANCES FROM ADMINISTRATIVE RULES
4.1(17A,ExecOrd11) Definitions
4.2(17A,ExecOrd11) Scope of chapter
4.3(17A,ExecOrd11) Applicability of chapter
4.4(17A,ExecOrd11) Criteria for waiver
4.5(17A,ExecOrd11) Filing of petition
4.6(17A,ExecOrd11) Content of petition
4.7(17A,ExecOrd11) Additional information
4.9(17A,ExecOrd11) Hearing procedures
4.11(17A,ExecOrd11) Public availability
4.12(17A,ExecOrd11) Summary reports
4.13(17A,ExecOrd11) Cancellation
4.14(17A,ExecOrd11) Violations
4.16(17A,ExecOrd11) Judicial review
CHAPTER 5
PUBLIC RECORDS AND
FAIR INFORMATION PRACTICES
(Uniform Rules)
5.3(256) Requests for access to records
5.6(256) Procedure by which additions, dissents, or objections may be entered into certain records
5.9(256) Disclosures without the consent of the subject
5.11(256) Consensual disclosure of confidential records
5.12(256) Release to a subject
5.13(256) Availability of records
5.14(256) Personally identifiable information
5.15(256) Other groups of records
6.8(290) Subpoena of witnesses and costs
6.10(17A) Consolidation—severance
6.11(17A) Waiver of procedures
6.14(17A) Ex parte communication
6.17(290,17A) Decision and review
6.18(290) Finality of decision
6.20(17A) Application for rehearing of final decision
6.22(17A) Emergency adjudicative proceedings
7.5(290,17A) Appeal from grant denial or termination
TITLE II
ACCREDITED SCHOOLS AND SCHOOL DISTRICTS
CHAPTER 11
UNSAFE SCHOOL CHOICE OPTION
11.3(PL107–110) Whole school option
11.4(PL107–110) Individual student option
11.5(PL107–110) District reporting
CHAPTER 12
GENERAL ACCREDITATION
STANDARDS
DIVISION I
GENERAL STANDARDS
DIVISION II
DEFINITIONS
DIVISION III
ADMINISTRATION
DIVISION IV
SCHOOL PERSONNEL
DIVISION V
EDUCATION PROGRAM
DIVISION VI
ACTIVITY PROGRAM
DIVISION VII
STAFF DEVELOPMENT
12.7(256,284,284A) Professional development
DIVISION VIII
ACCOUNTABILITY
12.8(256) Accountability for student achievement
DIVISION IX
EXEMPTION REQUEST PROCESS
12.9(256) General accreditation standards exemption request
CHAPTER 13
INTER–DISTRICT SHARING
Reserved
CHAPTER 14
SHARED TIME
Reserved
CHAPTER 15
USE OF TELECOMMUNICATIONS FOR INSTRUCTION BY SCHOOLS
15.5(256) Teacher preparation and accessibility
15.6(256) School responsibilities
CHAPTER 16
STATEWIDE VOLUNTARY
PRESCHOOL PROGRAM
16.3(82GA,HF877) Preschool program standards
16.4(82GA,HF877) Collaboration requirements
16.5(82GA,HF877) Applications for funding
16.6(82GA,HF877) Application process
16.7(82GA,HF877) Award contracts
16.8(82GA,HF877) Contract termination
16.9(82GA,HF877) Criteria for applications for funding
16.10(82GA,HF877) Appeal of application denial or termination
16.12(82GA,HF877) Transportation
16.13(82GA,HF877) Accountability requirements
16.15(82GA,HF877) Open enrollment not applicable
17.4(282) Filing
after the March 1
deadline—good cause
17.5(282) Filing
after the March 1
deadline—harassment or serious health condition
17.6(282) Restrictions to open enrollment requests
17.7(282) Open enrollment for kindergarten
17.8(282) Requirements
applicable to
parents/guardians and students
17.11(282) Special education students
17.12(282) Laboratory school provisions
17.14(282) Voluntary diversity plans or court–ordered desegregation plans
18.3(256) Eligibility for waiver, partial waiver or temporary waiver of student fees
19.2(256,279) Attendance center closing procedure
19.3(256,279) Grade realignments
TITLE III
COMMUNITY COLLEGES
DIVISION I
APPROVAL STANDARDS
21.4(260C) Curriculum and evaluation
21.5(260C) Library or learning resource center
21.7(260C) Laboratories, shops, equipment and supplies
21.9(260C) Building and site approval
21.11(260C) Community college accreditation process
21.12(260C) Standards for community colleges
DIVISION II
COMMUNITY COLLEGE ENERGY APPROPRIATIONS
DIVISION III
INSTRUCTIONAL COURSE FOR DRINKING DRIVERS
21.32(321J) Tuition fee established
21.33(321J) Administrative fee established
DIVISION IV
JOBS NOW CAPITALS ACCOUNT
DIVISION V
STATE COMMUNITY COLLEGE FUNDING PLAN
DIVISION VI
INTERCOLLEGIATE ATHLETIC COMPETITION
DIVISION VII
QUALITY INSTRUCTIONAL CENTER INITIATIVE
21.59(260C) Eligibility requirements
21.61(260C) Evaluation and selection criteria
DIVISION
VIII
PROGRAM AND ADMINISTRATIVE
SHARING INITIATIVE
21.66(260C) Eligibility requirements
21.68(260C) Evaluation and selection criteria
21.71(260C) Combining
merged areas—
election
DIVISION IX
APPRENTICESHIP PROGRAM
21.74(260C) Apprenticeship programs
DIVISION X
MISCELLANEOUS PROVISIONS
21.75(260C,82GA,SF358) Used motor vehicle dealer education program
CHAPTER 22
POSTSECONDARY ENROLLMENT OPTIONS
22.2(261C) Enrollment procedures
22.3(261C) Student eligibility
22.4(261C) Eligible postsecondary courses
22.5(261C) Request for payment time frames
22.6(261C) Tuition reimbursements and adjustments
CHAPTER 24
COMMUNITY COLLEGE ACCREDITATION
24.4(260C) Accreditation components and criteria—Higher Learning Commission
24.5(260C) Accreditation components and criteria—additional state standards
24.6(260C) Accreditation process
TITLE IV
DRIVER AND SAFETY EDUCATION
TITLE V
NONTRADITIONAL STUDENTS
CHAPTER 31
COMPETENT PRIVATE INSTRUCTION
AND DUAL ENROLLMENT
31.2(299) Reports as to competent private instruction
31.3(299) Duties of licensed practitioners
31.4(299A) School district duties related to competent private instruction
31.7(299A) Baseline testing and annual assessment
31.8(299A) Reporting assessment results
31.9(299A) Special education students
CHAPTER 32
HIGH SCHOOL
EQUIVALENCY DIPLOMA
32.2(259A) By whom administered
CHAPTER 33
EDUCATING THE HOMELESS
33.3(256) Responsibilities of the board of directors
33.4(256) School records; student transfers
33.5(256) Immunization requirements
33.6(256) Waiver of fees and charges encouraged
33.7(256) Waiver of enrollment requirements encouraged; placement
33.8(256) Residency of homeless child or youth
33.10(256) Transportation of homeless children and youth
CHAPTER 34
FUNDING FOR CHILDREN RESIDING IN STATE INSTITUTIONS OR MENTAL HEALTH INSTITUTES
34.5(218) Program submission and approval
34.6(218) Budget submission and approval
34.9(218) Contracting for services
34.10(218) Accounting for average daily attendance
34.11(218) Accounting for actual program costs
34.13(218) Hold–harmless provision
34.14(218,256B,34CFR300) AEA services
34.15(218,233A,261C) Postsecondary credit courses
TITLE VI
INTERSCHOLASTIC COMPETITION
CHAPTER 36
EXTRACURRICULAR
INTERSCHOLASTIC COMPETITION
36.2(280) Registered organizations
36.3(280) Filings by organizations
36.5(280) Federation membership
36.11(280) Examinations by auditors
36.13(280) Appearance before state board
36.14(280) Interscholastic athletics
36.15(280) Eligibility requirements
36.16(280) Executive board review
36.17(280) Appeals to director
36.18(280) Organization policies
36.19(280) Eligibility in situations of district organization change
36.20(280) Cooperative student participation
CHAPTER 37
EXTRACURRICULAR ATHLETIC ACTIVITY CONFERENCE FOR
MEMBER SCHOOLS
37.2(280) Initial responsibility
37.3(280) Complaint to the director, department of education
37.5(280) Resolution or recommendation of the mediation team
37.7(280) Effective date of the decision
TITLE VII
SPECIAL EDUCATION
DIVISION I
PURPOSE AND APPLICABILITY
41.2(256B,34CFR300) Applicability of this chapter
DIVISION II
DEFINITIONS
41.4(256B,273) Area education agency
41.5(256B,34CFR300) Assistive technology device
41.6(256B,34CFR300) Assistive technology service
41.7(256B,34CFR300) Charter school
41.8(256B,34CFR300) Child with a disability
41.10(256B,34CFR300) Core academic subjects
41.11(256B,34CFR300) Day; business day; school day
41.12(256B,34CFR300) Educational service agency
41.13(256B,34CFR300) Elementary school
41.14(256B,34CFR300) Equipment
41.15(256B,34CFR300) Evaluation
41.16(256B,34CFR300) Excess costs
41.17(256B,34CFR300) Free appropriate public education
41.18(256B,34CFR300) Highly qualified special education teachers
41.19(256B,34CFR300) Homeless children
41.21(256B,34CFR300) Indian and Indian tribe
41.22(256B,34CFR300) Individualized education program
41.23(256B,34CFR300) Individualized education program team
41.24(256B,34CFR300) Individualized family service plan
41.25(256B,34CFR300) Infant or toddler with a disability
41.26(256B,34CFR300) Institution of higher education
41.27(256B,34CFR300) Limited English proficient
41.28(256B,34CFR300) Local educational agency
41.29(256B,34CFR300) Native language
41.31(256B,34CFR300) Parent training and information center
41.32(245B,34CFR300) Personally identifiable
41.33(256B,34CFR300) Public agency; nonpublic agency; agency
41.34(256B,34CFR300) Related services
41.35(34CFR300) Scientifically based research
41.36(256B,34CFR300) Secondary school
41.39(256B,34CFR300) Special education
41.41(256B,34CFR300) State educational agency
41.42(256B,34CFR300) Supplementary aids and services
41.43(256B,34CFR300) Transition services
41.44(34CFR300) Universal design
41.45(256B,34CFR300) Ward of the state
41.50(256B,34CFR300) Other definitions associated with identification of eligible individuals
41.51(256B,34CFR300) Other definitions applicable to this chapter
DIVISION III
RULES APPLICABLE TO THE STATE AND
TO ALL AGENCIES
41.100(256B,34CFR300) Eligibility for assistance
41.101(256B,34CFR300) Free appropriate public education (FAPE)
41.102(256B,34CFR300) Limitation—exceptions to FAPE for certain ages
41.103(256B,34CFR300) FAPE—methods and payments
41.104(256B,34CFR300) Residential placement
41.105(256B,34CFR300) Assistive technology
41.106(256B,34CFR300) Extended school year services
41.107(256B,34CFR300) Nonacademic services
41.108(256B,34CFR300) Physical education
41.109(256B,34CFR300) Full educational opportunity goal (FEOG)
41.110(256B,34CFR300) Program options
41.111(256B,34CFR300) Child find
41.112(256B,34CFR300) Individualized education programs (IEPs)
41.114(256B,34CFR300) Least restrictive environment (LRE)
41.115(256B,34CFR300) Continuum of alternative services and placements
41.116(256B,34CFR300) Placements
41.117(256B,34CFR300) Nonacademic settings
41.118(256B,34CFR300) Children in public or private institutions
41.119(256B,34CFR300) Technical assistance and training activities
41.120(256B,34CFR300) Monitoring activities
41.121(256B,34CFR300) Procedural safeguards
41.122(256B,34CFR300) Evaluation
41.123(256B,34CFR300) Confidentiality of personally identifiable information
41.124(256B,34CFR300) Transition of children from the Part C program to preschool programs
41.129(256B,34CFR300) Responsibility regarding children in private schools
Definition of parentally placed private school children with disabilities
Child find for parentally placed private school children with disabilities
Provision of services for parentally placed private school children with disabilities: basic requirement
Expenditures
Consultation
Written affirmation
Compliance
Equitable services determined
Equitable services provided
Location of services and transportation
Due process complaints and state complaints
Requirement that funds not benefit a private school
Use of personnel
Separate classes prohibited
Property, equipment, and supplies
Applicability of rules 41.146(256B, 34CFR300) to 41.147(256B, 34CFR300)
41.146(256B,34CFR300) Responsibility of department
41.147(256B,34CFR300) Implementation by department
41.148(256B,34CFR300) Placement of children by parents when FAPE is at issue
41.149(256B,34CFR300) SEA responsibility for general supervision
41.151(256B,34CFR300) Adoption of state complaint procedures
41.152(256B,34CFR300) Minimum state complaint procedures
41.153(256B,34CFR300) Filing a complaint
41.154(256B,34CFR300) Methods of ensuring services
41.155(256B,34CFR300) Hearings relating to AEA or LEA eligibility
41.156(256B,34CFR300) Personnel qualifications
41.162(256B,34CFR300) Supplementation of state, local, and other federal funds
41.163(256B,34CFR300) Maintenance of state financial support
41.165(256B,34CFR300) Public participation
41.166(256B,34CFR300) Rule of construction
41.167(256B,34CFR300) State advisory panel
41.168(256B,34CFR300) Advisory panel membership
41.169(256B,34CFR300) Advisory panel duties
41.170(256B,34CFR300) Suspension and expulsion rates
41.172(256B,34CFR300) Access to instructional materials
41.173(256B,34CFR300) Overidentification and disproportionality
41.174(256B,34CFR300) Prohibition on mandatory medication
41.176(256B) Special school provisions
41.178(256B) Materials, equipment and assistive technology
41.186(256B,34CFR300) Assistance under other federal programs
41.187(256B) Research, innovation, and improvement
DIVISION IV
LEA AND AEA ELIGIBILITY, IN GENERAL
41.200(256B,34CFR300) Condition of assistance
41.201(256B,34CFR300) Consistency with state policies
41.202(256B,34CFR300) Use of amounts
41.203(256B,34CFR300) Maintenance of effort
41.204(256B,34CFR300) Exception to maintenance of effort
41.205(256B,34CFR300) Adjustment to local fiscal efforts in certain fiscal years
41.206(256B,34CFR300) Schoolwide programs under Title I of the ESEA
41.207(256B,34CFR300) Personnel development
41.208(256B,34CFR300) Permissive use of funds
41.209(256B,34CFR300) Treatment of charter schools and their students
41.210(256B,34CFR300) Purchase of instructional materials
41.211(256B,34CFR300) Information for department
41.212(256B,34CFR300) Public information
41.213(256B,34CFR300) Records regarding migratory children with disabilities
41.220(256B,34CFR300) Exception for prior local plans
41.221(256B,34CFR300) Notification of AEA or LEA or state agency in case of ineligibility
41.222(256B,34CFR300) AEA or LEA and state agency compliance
41.223(256B,34CFR300) Joint establishment of eligibility
41.224(256B,34CFR300) Requirements for jointly establishing eligibility
41.226(256B,34CFR300) Early intervening services
41.228(256B,34CFR300) State agency eligibility
41.229(256B,34CFR300) Disciplinary information
41.230(256B,34CFR300) SEA flexibility
DIVISION V
EVALUATION, ELIGIBILITY, IEPs, AND
PLACEMENT DECISIONS
41.300(256B,34CFR300) Parental consent and participation
41.301(256B,34CFR300) Full and individual initial evaluations
41.302(256B,34CFR300) Screening for instructional purposes is not evaluation
41.303(256B,34CFR300) Reevaluations
41.304(256B,34CFR300) Evaluation procedures
41.305(256B,34CFR300) Additional requirements for evaluations and reevaluations
41.306(256B,34CFR300) Determination of eligibility
41.307(256B,34CFR300) Specific learning disabilities
41.308(256B,34CFR300) Additional group members
41.309(256B,34CFR300) Determining the existence of a specific learning disability
41.310(256B,34CFR300) Observation
41.311(256B,34CFR300) Specific documentation for the eligibility determination
41.312(256B,34CFR300) General education interventions
41.313(256B,34CFR300) Systematic problem–solving process
41.320(256B,34CFR300) Definition of individualized education program
41.321(256B,34CFR300) IEP team
41.322(256B,34CFR300) Parent participation
41.323(256B,34CFR300) When IEPs must be in effect
41.324(256B,34CFR300) Development, review, and revision of IEP
41.325(256B,34CFR300) Private school placements by public agencies
41.326(256B,34CFR300) Other rules concerning IEPs
41.327(256B,34CFR300) Educational placements
41.328(256B,34CFR300) Alternative means of meeting participation
DIVISION VI
ADDITIONAL RULES RELATED TO AEAs, LEAs, AND SPECIAL EDUCATION
41.400(256B,34CFR300) Shared responsibility
41.401(256B,34CFR300) Licensure (certification)
Authorized personnel
41.403(256B) Paraprofessionals
41.404(256B) Policies and procedures required of all public agencies
41.405(256B) Special health services
41.406(256B) Additional requirements of LEAs
Additional requirements of AEAs
Instructional services
41.409(256B,34CFR300) Support services
41.410(256B,34CFR300) Itinerant services
41.411(256B,34CFR300) Related services, supplementary aids and services
41.412(256B,34CFR300) Transportation
Additional rules relating to accredited nonpublic schools
DIVISION VII
PROCEDURAL SAFEGUARDS
41.500(256B,34CFR300) Responsibility of SEA and other public agencies
41.501(256B,34CFR300) Opportunity to examine records; parent participation in meetings
41.502(256B,34CFR300) Independent educational evaluation
41.503(256B,34CFR300) Prior notice by the public agency; content of notice
41.504(256B,34CFR300) Procedural safeguards notice
41.505(256B,34CFR300) Electronic mail
41.506(256B,34CFR300) Mediation
41.507(256B,34CFR300) Filing a due process complaint
41.508(256B,34CFR300) Due process complaint
41.509(256B,34CFR300) Model forms
41.510(256B,34CFR300) Resolution process
41.511(256B,34CFR300) Impartial due process hearing
41.512(256B,34CFR300) Hearing rights
41.513(256B,34CFR300) Hearing decisions
41.514(256B,34CFR300) Finality of decision
41.515(256B,34CFR300) Timelines and convenience of hearings
41.516(256B,34CFR300) Civil action
41.517(256B,34CFR300) Attorneys’ fees
41.518(256B,34CFR300) Child’s status during proceedings
41.519(256B,34CFR300) Surrogate parents
41.520(256B,34CFR300) Transfer of parental rights at age of majority
41.530(256B,34CFR300) Authority of school personnel
41.531(256B,34CFR300) Determination of setting
41.533(256B,34CFR300) Placement during appeals and preappeal mediations
41.535(256B,34CFR300) Referral to and action by law enforcement and judicial authorities
41.536(256B,34CFR300) Change of placement because of disciplinary removals
41.537(256B,34CFR300) State enforcement mechanisms
division viii
monitoring, enforcement, confidentiality, and program information
41.600(256B,34CFR300) State monitoring and enforcement
41.601(256B,34CFR300) State performance plans and data collection
41.602(256B,34CFR300) State use of targets and reporting
41.603(256B,34CFR300) Department review and determination regarding public agency performance
41.604(256B,34CFR300) Enforcement
41.605(256B,34CFR300) Withholding funds
41.606(256B,34CFR300) Public attention
41.608(256B,34CFR300) State enforcement
41.609(256B,34CFR300) State consideration of other state or federal laws
41.610(256B,34CFR300) Confidentiality
41.611(256B,34CFR300) Definitions
41.612(256B,34CFR300) Notice to parents
41.613(256B,34CFR300) Access rights
41.614(256B,34CFR300) Record of access
41.615(256B,34CFR300) Records on more than one child
41.616(256B,34CFR300) List of types and locations of information
41.618(256B,34CFR300) Amendment of records at parent’s request
41.619(256B,34CFR300) Opportunity for a hearing
41.620(256B,34CFR300) Result of hearing
41.621(256B,34CFR300) Hearing procedures
41.623(256B,34CFR300) Safeguards
41.624(256B,34CFR300) Destruction of information
41.625(256B,34CFR300) Children’s rights
41.626(256B,34CFR300) Enforcement
41.640(256B,34CFR300) Annual report of children served—report requirement
41.641(256B,34CFR300) Annual report of children served—information required in the report
41.642(256B,34CFR300) Data reporting
41.643(256B,34CFR300) Annual report of children served—certification
41.644(356B,34CFR300) Annual report of children served—criteria for counting children
41.645(256B,34CFR300) Annual report of children served—other responsibilities of the SEA
41.646(256B,34CFR300) Disproportionality
division ix
allocations by the secretary to the state
41.704(256B,34CFR300) State–level activities
41.705(256B,34CFR300) Subgrants to AEAs
DIVISION X
PRESCHOOL GRANTS FOR CHILDREN WITH DISABILITIES
41.800(256B,34CFR300) General rule
41.803(256B,34CFR300) Definition of state
41.804(256B,34CFR300) Eligibility
41.806(256B,34CFR300) Eligibility for financial assistance
41.812(256B,34CFR300) Reservation for state activities
41.813(256B,34CFR300) State administration
41.814(256B,34CFR300) Other state–level activities
41.815(256B,34CFR300) Subgrants to AEAs
41.816(256B,34CFR300) Allocations to AEAs
41.817(256B,34CFR300) Reallocation of AEA funds
41.818(256B,34CFR300) Part C of the Act inapplicable
division xi
additional rules concerning finance and public accountability
41.901(256B,282) Records and reports
41.903(256B,282) Contractual agreements
41.905(256B,273) Additional special education
41.906(256B,273,282) Extended school year services
Program costs
41.908(256B,282) Accountability
DIVISION XII
PRACTICE BEFORE MEDIATORS AND ADMINISTRATIVE LAW JUDGES
41.1000(17A,256B,290) Applicability
41.1001(17A,256B,290) Definitions
41.1002(256B,34CFR300) Special education preappeal conference
41.1003(17A,256B) Procedures concerning due process complaints
41.1004(17A,256B) Participants in the hearing
41.1005(17A,256B) Convening the hearing
41.1006(17A,256B) Stipulated record hearing
41.1007(17A,256B) Evidentiary hearing
41.1008(17A,256B) Mixed evidentiary and stipulated record hearing
41.1010(17A,256B) Rules of evidence
41.1011(17A,256B) Communications
41.1013(17A,256B) Decision and review
41.1014(17A,256B) Finality of decision
41.1015(256B,34CFR300) Disqualification of mediator
41.1016(17A) Correcting decisions of administrative law judges
DIVISION XIII
ADDITIONAL RULES NECESSARY TO IMPLEMENT AND APPLY THIS CHAPTER
41.1100(256B,34CFR300) References to Code of Federal Regulations
41.1101(256B,34CFR300) Severability
TITLE VIII
SCHOOL TRANSPORTATION
CHAPTER 43
PUPIL TRANSPORTATION
DIVISION I
TRANSPORTATION ROUTES
43.1(285) Intra–area education agency routes
43.2(285) Interarea education agency routes
DIVISION II
PRIVATE CONTRACTORS
43.6(285) Contract with parents
43.7(285) Vehicle requirements
DIVISION III
FINANCIAL RECORDS AND REPORTS
43.9(285) Activity trips deducted
DIVISION IV
USE OF SCHOOL BUSES
43.10(285) Permitted uses listed
43.11(285) Teacher transportation
DIVISION V
THE BUS DRIVER
43.12(285) Driver qualifications
43.17(285) Insulin–dependent diabetics
43.18(285) Authorization to be carried by driver
43.21(285) Experience, traffic law knowledge and driving record
43.22(321) Fee collection and distribution of funds
43.24(321) Authorization denials and revocations
DIVISION VI
PURCHASE OF BUSES
43.25(285) Local board procedure
DIVISION VII
MISCELLANEOUS REQUIREMENTS
43.30(285) Semiannual inspection
43.34(285) Contract—privately owned buses
43.35(285) Contract—district–owned buses
43.38(285) Driver restrictions
43.39(285) Civil defense projects
43.42(285) Loading and unloading areas
DIVISION VIII
COMMON CARRIERS
43.43(285) Communication equipment
43.44(285) Standards for common carriers
44.1(285) Requirements for manufacturers
44.2(285) School bus—type classifications
44.5(285) Construction of vehicles for children with mobility problems
44.6(285) Family–type or multipurpose passenger vehicles
TITLE IX
VOCATIONAL EDUCATION
CHAPTER 46
VOCATIONAL EDUCATION
PROGRAMS
46.1(258) Standards for vocational education
46.3(258) Public involvement and participation
46.4(258) Final plan and accountability report
46.6(258) Revised standards for vocational education
46.7(258) Definitions and descriptions of procedures
47.2(260C) Career academy program of study
CHAPTER 48
CERTIFIED SCHOOL TO
CAREER PROGRAM
48.3(78GA,ch1013) Program requirements
48.4(78GA,ch1013) Notice of intent
TITLE X
VETERANS’ TRAINING
CHAPTER 51
APPROVAL OF ON–THE–JOB TRAINING ESTABLISHMENTS UNDER THE MONTGOMERY G.I. BILL
51.2(256) Content and approval of application
52.4(256) Schools of Bible or theology
52.7(256) Schools of cosmetology
52.8(256) Schools of barbering
52.10(256) Schools of business
52.12(256) Correspondence schools
52.13(256) Successful operation on a continuous basis
52.14(256) Nonaccredited schools
52.15(256) Evaluation standards
TITLE XI
VOCATIONAL REHABILITATION EDUCATION
CHAPTER 56
IOWA VOCATIONAL
REHABILITATION SERVICES
DIVISION I
SCOPE AND GENERAL PRINCIPLES
56.1(259) Responsibility of division
DIVISION II
DEFINITIONS
DIVISION III
ELIGIBILITY
56.4(259) Individuals who are recipients of SSD/SSI
56.5(259) Eligibility for vocational rehabilitation services
56.6(259) Eligibility for specific services
56.7(259) Areas in which exceptions shall not be granted
56.9(259) Individuals who are blind
56.10(259) Students in high school
56.11(259) Establishment of financial need
DIVISION
IV
CASE MANAGEMENT
56.12(259) Case finding and intake
56.14(259) Individual plan for employment (IPE)
DIVISION V
SERVICES
56.19(259) Rehabilitation technology
56.20(259) Business initiatives
56.22(259) Supported employment and transitional employment
56.23(259) Miscellaneous or auxiliary services
56.25(259) Exceptions to payment for services
56.26(259) Exceptions to duration of services
56.27(259) Maximum rates of payment to training facilities
DIVISION VI
purchasing principles
DIVISION VII
SUPERVISOR REVIEW, MEDIATION,
HEARINGS, AND APPEALS
56.32(259) Hearing before impartial hearing officer
DIVISION VIII
public records and
fair information practices
56.33(259) Collection and maintenance of records
56.34(259) Personally identifiable information
56.35(259) Other groups of records routinely available for public inspection
DIVISION IX
State rehabilitation council
56.36(259) State rehabilitation council
TITLE XII
PROGRAMS ADMINISTRATION
CHAPTER 58
SCHOOL BREAKFAST AND
LUNCH PROGRAM
58.1(283A) Authority of state department
58.5(283A) Service area defined
58.6(283A) School breakfast program
58.7(283A) School lunch program
CHAPTER 59
GIFTED AND TALENTED PROGRAMS
59.1(257) Scope and general principles
59.5(257) Responsibilities of participating local school districts
59.6(257) Responsibilities of area education agencies
59.7(257) Responsibilities of the department
CHAPTER 60
PROGRAMS FOR STUDENTS OF
LIMITED ENGLISH PROFICIENCY
60.3(280) School district responsibilities
60.4(280) Department responsibility
60.5(280) Nonpublic school participation
CHAPTER 63
EDUCATIONAL PROGRAMS AND
SERVICES FOR PUPILS IN JUVENILE HOMES
63.5(282) Area education agency responsibility
63.8(282) Educational services
63.10(282) Other responsibilities
63.12(282) Disaster procedures
63.14(282) Teacher certification and preparation
CHAPTER 64
CHILD DEVELOPMENT
COORDINATING COUNCIL
64.3(256A,279) Child development coordinating council
64.6(256A,279) Eligibility identification procedures
64.7(256A,279) Primary eligibility
64.8(256A,279) Secondary eligibility
64.9(256A,279) Grant awards criteria
64.10(256A,279) Application process
64.11(256A,279) Request for proposals
64.13(256A,279) Award contracts
64.14(256A,279) Notification of applicants
64.15(256A,279) Grantee responsibilities
64.16(256A,279) Withdrawal of contract offer
64.18(256A,279) Contract revisions and budget reversions
64.19(256A,279) Termination for convenience
64.20(256A,279) Termination for cause
64.21(256A,279) Responsibility of grantee at termination
64.22(256A,279) Appeal from terminations
64.23(256A,279) Refusal to issue ruling
64.24(256A,279) Request for Reconsideration
64.25(256A,279) Refusal to issue decision on request
64.26(256A,279) Granting a Request for Reconsideration
CHAPTER 65
INNOVATIVE PROGRAMS FOR AT–RISK EARLY ELEMENTARY STUDENTS
65.3(279) Eligibility identification procedures
65.5(279) Secondary risk factors
65.6(279) Grant awards criteria
65.8(279) Request for proposals
65.11(279) Notification of applicants
65.12(279) Grantee responsibilities
65.13(279) Withdrawal of contract offer
65.16(279) Termination for convenience
65.17(279) Termination for cause
65.18(279) Responsibility of grantee at termination
65.19(279) Appeals from terminations
65.20(279) Refusal to issue ruling
65.21(279) Requests for Reconsideration
65.22(279) Refusal to issue decision on request
65.23(279) Granting a Request for Reconsideration
CHAPTER 66
SCHOOL–BASED YOUTH SERVICES
PROGRAMS
66.1(279) Scope, purpose and general principles
66.3(279) Development of a program plan
66.5(279) Evaluation of financial support
66.6(279) Responsibilities of area education agencies
66.7(279) Responsibilities of the department of education
67.3(279) Eligibility identification procedures
67.5(279) Secondary eligibility
67.6(279) Grant awards criteria
67.8(279) Request for proposals
67.10(279) Notification of applicants
67.11(279) Grantee responsibilities
67.12(279) Withdrawal of contract offer
67.15(279) Termination for convenience
67.16(279) Termination for cause
67.17(279) Responsibility of grantee at termination
67.18(279) Appeal from terminations
67.19(279) Refusal to issue ruling
67.20(279) Request for Reconsideration
67.21(279) Refusal to issue decision on request
67.22(279) Granting a Request for Reconsideration
CHAPTER 68
IOWA PUBLIC CHARTER SCHOOLS
68.3(256F) Application to a school board
68.5(256F) Ongoing review by department
68.7(256F) Revocation of charter
TITLE XIII
AREA EDUCATION AGENCIES
CHAPTER 72
ACCREDITATION OF AREA
EDUCATION AGENCIES
72.3(273) Accreditation components
72.4(273) Standards for services
72.9(273) Comprehensive improvement plan
72.10(273) Annual budget and annual progress report
72.11(273) Comprehensive site visit
TITLE XIV
TEACHERS AND PROFESSIONAL LICENSING
(Effective October 1, 1988)
CHAPTER 77
STANDARDS FOR TEACHER INTERN PREPARATION PROGRAMS
77.3(256) Institutions affected
77.4(256) Criteria for Iowa teacher intern preparation programs
77.5(256) Approval of programs
77.7(256) Approval of program changes
77.8(256) Governance and resources
77.11(256) Teacher intern selection
77.12(256) Curriculum and instruction
77.14(256) Candidate assessment
DIVISION I
GENERAL STANDARDS APPLICABLE TO ALL PRACTITIONER PREPARATION PROGRAMS
79.3(256) Institutions affected
79.4(256) Criteria for Iowa practitioner preparation programs
79.5(256) Approval of programs
79.8(256) Reevaluation of practitioner or administrator preparation programs
79.9(256) Approval of program changes
DIVISION
II
SPECIFIC EDUCATION STANDARDS APPLICABLE TO ALL PRACTITIONER PREPARATION
PROGRAMS
79.10(256) Governance and resources standard
DIVISION III
SPECIFIC EDUCATION STANDARDS APPLICABLE ONLY TO INITIAL PRACTITIONER
PREPARATION PROGRAMS FOR TEACHER CANDIDATES
79.13(256) Clinical practice standard
79.14(256) Candidate knowledge, skills and dispositions standard
79.15(256) Assessment system and unit evaluation standard
DIVISION IV
SPECIFIC EDUCATION STANDARDS APPLICABLE ONLY TO ADMINISTRATOR PREPARATION
PROGRAMS
79.16(256) Administrator preparation clinical practice standards
79.17(256) Administrator preparation candidate performance standards
CHAPTER 80
STANDARDS FOR PARAEDUCATOR PREPARATION PROGRAMS
80.3(272) Institutions affected
80.4(272) Criteria for Iowa paraeducator preparation programs
80.5(272) Approval of programs
80.7(272) Reevaluation of paraeducator preparation programs
80.8(272) Approval of program changes
80.9(272) Organizational and resources standards
80.11(272) Paraeducator candidate performance standards
CHAPTER 83
TEACHER AND ADMINISTRATOR QUALITY PROGRAMS
division i
general standards applicable to both administrator and teacher quality programs
DIVISION II
SPECIFIC STANDARDS APPLICABLE TO TEACHER QUALITY PROGRAMS
83.3(284) Mentoring and induction program for beginning teachers
83.4(284) Iowa teaching standards and criteria
83.5(284) Evaluator approval training
83.6(284) Professional development for teachers
83.7(284) Teacher quality committees
DIVISION III
SPECIFIC STANDARDS APPLICABLE TO ADMINISTRATOR QUALITY PROGRAMS
83.8(284A) Administrator quality program
83.9(284A) Mentoring and induction program for administrators
83.10(284A) Iowa school leadership standards and criteria for administrators
83.12(284A) Professional development of administrators
CHAPTER 84
FINANCIAL INCENTIVES FOR
NATIONAL BOARD CERTIFICATION
84.3(256) Registration fee reimbursement program
84.5(256) Appeal of denial of a registration fee reimbursement award or an NBC annual award
TITLE XIV—A
TEACHERS AND
PROFESSIONAL LICENSING
(Effective through September 30, 1988)
TITLE XV
EDUCATIONAL EXCELLENCE
CHAPTER 91
PHASE III, EDUCATIONAL
EXCELLENCE PROGRAM
91.4(294A) Development of plan
91.5(294A) Content of the plan
91.7(294A) Dissemination of plan
CHAPTER 94
ADMINISTRATIVE ADVANCEMENT AND RECRUITMENT PROGRAM
94.2(256) Eligibility identification procedures
94.3(256) Grant award procedure
94.5(256) Request for proposals
94.8(256) Notification of applicants
94.9(256) Grantee responsibility
CHAPTER 95
EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION IN EDUCATIONAL AGENCIES
95.3(256) Equal employment opportunity standards
95.4(256) Duties of boards of directors
TITLE XVI
SCHOOL FACILITIES
CHAPTER 96
LOCAL OPTION SALES AND SERVICES TAX FOR SCHOOL INFRASTRUCTURE
96.2(423E) Reports to the department
96.3(423E) Combined actual enrollment
96.4(423E) Application process
96.7(423E) Applicant responsibilities
96.8(423E) Appeal of certificate denial
CHAPTER 97
SUPPLEMENTARY WEIGHTING
97.2(257) Supplementary weighting plan
97.3(257) Supplementary weighting plan for at–risk students
97.4(257) Supplementary weighting plan for a regional academy
97.5(257) Supplementary weighting plan for whole–grade sharing
97.6(257) Supplementary weighting plan for ICN video services
97.7(257) Supplementary weighting plan for operational services
CHAPTER 100
VISION IOWA SCHOOL INFRASTRUCTURE PROGRAM
100.2(78GA,ch1174) Definitions
100.3(78GA,ch1174) Application process
100.4(78GA,ch1174) Review process
100.5(78GA,ch1174) Grant award process
100.6(78GA,ch1174) Grantee responsibilities
100.7(78GA,ch1174) Appeal of grant denial
TITLE XVII
PROTECTION OF CHILDREN
CHAPTER 101
CHILD ABUSE REPORTING
Reserved
102.1(280) Statement of intent and purpose
102.5(280) Duties of school authorities
102.8(280) Duties
of designated
investigator—physical abuse allegations
102.9(280) Duties
of designated
investigator—sexual abuse allegations
102.10(280) Content of investigative report
102.11(280) Founded reports—designated investigator’s duties
102.12(280) Level–two investigator’s duties
102.13(280) Retention of records
102.14(280) Substantial compliance
CHAPTER 103
CORPORAL PUNISHMENT BAN
103.2(280) Ban on corporal punishment
103.4(280) Exceptions and privileges
103.6(280) Physical confinement and detention
title xviii
early childhood
CHAPTER 120
EARLY ACCESS INTEGRATED SYSTEM OF EARLY INTERVENTION SERVICES
DIVISION I
purpose, goal, and outcomes
120.2(34CFR303) Overall goal and outcomes of Early ACCESS
DIVISION Ii
definitions
division iii
governance, general administration,
and supervision
120.7(34CFR303) Early ACCESS system—state level
120.8(34CFR303) Early ACCESS system—regional and community levels
division iv
services available to eligible children
120.12(34CFR303) Early intervention services
120.13(34CFR303) Services in natural environment
120.14(34CFR303) Types of early intervention services
120.15(34CFR303) Service coordination
division v
personnel
120.19(34CFR303) Comprehensive system of personnel development (CSPD)
division vi
identification of eligible children
120.23(34CFR303) Child find system
120.24(34CFR303) Public access to information and services
120.27(34CFR303) Comprehensive identification procedures
120.28(34CFR303) Nondiscriminatory procedures
120.29(34CFR303) Services prior to completion of evaluation and family assessment
120.30(34CFR303) Required timeline
division vii
individualized family service plan (IFSP)
120.35(34CFR303) Participants at initial IFSP meeting
120.36(34CFR303) Alternate methods of involvement
120.37(34CFR303) IFSP meeting notice
120.38(34CFR303) Accessibility and convenience of meetings
120.39(34CFR303) Interagency service planning
120.40(34CFR303) Content of the IFSP
120.41(34CFR303) Parental consent before providing services
120.42(34CFR303) Maintenance of records
120.43(34CFR303) Provision of year–round services
120.44(34CFR303) Responsibility and accountability for IFSPs
120.48(34CFR303) Periodic review
120.49(34CFR303) Periodic review team
120.50(34CFR303) Annual review
120.51(34CFR303) Annual review team participants
120.52(34CFR303) Alternative methods of involvement
division viii
transition
120.56(34CFR303) Transition process
120.57(34CFR303) Transition plan and continuity of services
120.58(34CFR303) Family involvement and notification of the local education agency
120.59(34CFR303) Transmittal of records
120.60(34CFR303) Transition planning for students not eligible for Part B preschool services
120.61(34CFR303) Transition planning for students eligible for Part B preschool services
division
ix
procedural safeguards
120.66(34CFR303) Prior written notice
120.67(34CFR303) Parental consent
120.68(34CFR303) Surrogate parents
120.71(34CFR303) Due process hearings
division X
continuous improvement monitoring
division Xi
financial responsibility
120.79(34CFR303) Interagency agreement
120.80(34CFR303) Payer of last resort
120.81(34CFR303) Nonsupplanting and payment for services
120.82(34CFR303) Use of insurance
120.83(34CFR303) Policy for contracting or otherwise arranging for services
120.84(34CFR303) Reimbursement procedure
120.85(34CFR303) Resolution of disputes
TITLE I
GENERAL INFORMATION—
DEPARTMENT OPERATIONS
chapter 1
ORGANIZATION AND OPERATION
[Prior to 9/7/88, see Public Instruction Department[670] Ch 49]
281—1.1(17A,256) State board of education. The state board of education, authorized by Iowa Code chapter 256, is the governing and policy–forming body for the department of education.
1.1(1) Membership. The board consists of nine voting members appointed by the governor, with approval of two–thirds of the members of the senate, with not more than five members from the same political party, and not more than five members of the same gender. Effective May 1, 2003, the board shall also consist of one nonvoting student member as outlined in rule 281—1.2(17A,256). The nonvoting student member shall be appointed without regard to political affiliation. The nonvoting student member shall not be considered for purposes of constituting the necessary quorum.
1.1(2) Officers. The board shall elect from its voting members a president and a vice president, each to serve a term of two years.
1.1(3) Terms. The voting members of the board are appointed for six–year terms, from May 1 to April 30, with the terms of three members expiring every two years. There is no statutory limitation to the number of terms a voting member may serve. The nonvoting student member shall serve a one–year term, from May 1 to April 30, as described in subrule 1.2(1).
1.1(4) Meetings. The board is required to hold no fewer than six meetings each year. The majority of the meetings are held in the state board room at the department of education in Des Moines, which is located on the second floor of the Grimes State Office Building on the corner of East 14th Street and Grand Avenue. By notice of the regularly published meeting agenda, the board may hold meetings in other areas of the state.
1.1(5) Compensation. All voting board members and the nonvoting student member are entitled to receive their necessary expenses while engaged in official duties. In addition, they shall be paid a per diem at the rate specified in Iowa Code section 7E.6. If the student member’s parent or guardian provides supervision pursuant to subrule 1.2(4), the parent or guardian shall receive necessary expenses but not the per diem. Per diem and expense payments shall be made from appropriations to the department of education.
1.1(6) Additional board functions. In addition to its functions as the state board of education, the board constitutes:
a. The state board for vocational education, Iowa Code section 256.7(2).
b. The state board for vocational rehabilitation, Iowa Code section 259.3.
c. The state board for community colleges, Iowa Code section 260C.3.
1.1(7) Advisory groups. The following advisory groups have been established by statute to provide advice to the state board in the indicated areas:
a. Nonpublic schools advisory committee, Iowa Code section 256.15, to advise the board on matters affecting nonpublic schools.
b. Community college council, Iowa Code section 256.31, to assist the state board of education with substantial issues which are directly related to the community college system.
281—1.2(17A,256) Student member of state board of education. The governor shall appoint a public high school student to serve as a nonvoting member of the state board of education.
1.2(1) Term. The nonvoting student member shall serve a one–year term, from May 1 to April 30. The student may apply for and serve a second term if the student will not graduate from high school prior to the end of the second term. A vacancy in the membership of the nonvoting student member shall not be filled until the expiration of the term.
1.2(2) Qualifications. At the time of making application, the nonvoting student member shall meet all of the following qualifications:
a. The student must be a full–time, regularly enrolled tenth or eleventh grade student in an Iowa school district.
b. The student must have been regularly enrolled as a full–time student in the district of present enrollment for at least two consecutive semesters or the equivalent thereof.
c. The student must have a minimum cumulative grade point average in high school of 3.0 on a 4.0 scale (3.75 on a 5.0 scale).
d. The student must demonstrate participation in extracurricular and community activities, as well as an interest in serving on the state board.
e. The student must have the consent of the student’s parent or guardian, as well as the approval of the student’s district.
1.2(3) Application process. The application process for the nonvoting student member is as follows:
a. The department shall, on behalf of the state board, prepare and disseminate application forms to all school districts in Iowa. In addition to the application itself, the student shall submit all of the following:
(1) A consent form signed by the student’s parent or guardian.
(2) An approval of the application signed by the superintendent of the student’s district of enrollment or the superintendent’s designee.
(3) A letter of recommendation from a high school teacher from whom the student received instruction.
(4) A letter of recommendation from a person in the community familiar with the student’s community activities.
(5) A letter of recommendation from any third person.
b. The number of applicants in a year from any one district is limited as follows:
(1) If district enrollment for grades 10 through 12 is less than 400 students, there may be no more than one applicant from the district.
(2) If district enrollment for grades 10 through 12 is from 400 to 1199 students, there may be no more than two applicants from the district.
(3) If district enrollment for grades 10 through 12 is 1200 students or more, there may be no more than three applicants from the district.
c. All applications shall be submitted on or before February 1 of the year in which the term is to begin. Applications may be hand–delivered or postmarked on or before February 1 to the Iowa Department of Education, Office of the Director, Grimes State Office Building, Des Moines, Iowa 50319–0146.
d. All applications shall be initially screened by a committee to be appointed by the director of the department. The initial screening committee shall select not more than 20 semifinalists. If fewer than a total of 20 applications are received, the initial screening process may be omitted, at the discretion of the director of the department.
e. The applications of the semifinalists shall be reviewed by a committee appointed by the president of the state board. The committee shall submit a list of two to five finalists to the state board for approval and submission to the governor, who shall appoint the student member from the list submitted by the state board of education.
1.2(4) Participation of student member in official board activities. Upon appointment to the board, the student member shall, at minimum, fulfill the following requirements to remain eligible to serve:
a. The student shall maintain enrollment as a full–time student in an Iowa public school district. If the student moves or transfers from the district of application, the student must obtain the approval of the superintendent or the superintendent’s designee in the student’s new district of enrollment.
b. The student shall maintain a minimum cumulative grade point average in high school of 3.0 on a 4.0 scale or 3.75 on a 5.0 scale.
c. The student shall attend regularly scheduled board meetings as required of voting board members. As a nonvoting member, the student may not participate in any closed session of the board.
d. The student member’s absences from school to participate in official state board activities shall not be shown by the student’s district as unexcused absences. The student member’s participation in board activities outside the regularly scheduled meetings of the state board shall be approved by the president of the board and the student’s superintendent or the superintendent’s designee.
e. If the student member is a minor, the student’s parent or guardian must accompany the student while the student is participating in official state board activities at a location other than the student’s resident community, unless the parent or guardian submits to the state board a signed release indicating that the parent or guardian has determined that such supervision is unnecessary.
281—1.3(17A,256) Director of education. The director is responsible for exercising general supervision over the state system of public education and nonpublic schools to the extent that is necessary to ascertain compliance with provisions of the Iowa school laws. The director performs the function of executive officer of the state board of education.
1.3(1) Appointment, term, and salary. The director is appointed by the governor, appointment subject to approval of two–thirds of the members of the senate. The director serves at the pleasure of the governor. A salary range for this position is established by the general assembly with the governor setting the specific salary from within this range.
1.3(2) Qualifications. The director shall possess a background in education and administrative experience.
281—1.4(17A,256) Department of education. The department of education is established by the general assembly to act in a policy–making and advisory capacity and to exercise general supervision over the state system of education including (1) public elementary and secondary schools, (2) community colleges, (3) area education agencies, (4) vocational rehabilitation, (5) educational supervision over the elementary and secondary schools under the control of the department of human services, and (6) nonpublic schools to the extent necessary for compliance with the Iowa school laws.
The department shall also:
1. Stimulate and encourage educational radio and television and other educational communications services as necessary to aid in accomplishing the educational objectives of the state;
2. Meet the informational needs of the three branches of state government; and
3. Provide for the improvement of library services to all Iowa citizens and foster development and cooperation among libraries.
The department of education shall act as an administrative, supervisory, and consultative agency.
1.4(1) Organization.
a. Office of the director. The director is the chief administrator of the department and serves as chief executive officer of the state board of education.
b. Division of community colleges and workforce preparation. The division oversees career and technical education as well as the community colleges.
c. Division of financial and information services. The division provides internal operations and information technology to the agency as well as planning, research and evaluation services.
d. Division of early childhood, elementary and secondary education. The division consists of bureaus that oversee instructional services, practitioner preparation, administration and school improvement services, and food and nutrition services.
e. Division of library and information services. The division is responsible for the state library, library development, and audio–visual services.
f. Iowa public television. This is the division of public broadcasting and related services.
g. Division of vocational rehabilitation services. This division provides disability determination services and related services for clients with disabilities.
1.4(2) Organizational responsibility. Each division is under the direction of an administrator. Each bureau is under the direction of a chief for administrative purposes.
1.4(3) Employees. It is the responsibility of the director to appoint all employees of the department excluding the state librarian and the employees of Iowa public television with due regard to their qualifications for the duties to be performed, designate their titles and prescribe their duties.
1.4(4) Mailing addresses. The mailing address for the state board of education and all divisions of the department, with the exception of the division of library services, the division of public broadcasting, and vocational rehabilitation services, is Grimes State Office Building, Des Moines, Iowa 50319–0146. The mailing address for the division of library services is East 12th and Grand Avenue, Des Moines, Iowa 50319. The mailing address for Iowa public television is P.O. Box 6450, Johnston, Iowa 50131. The mailing address for the vocational rehabilitation services division is 510 East 12th Street, Des Moines, Iowa 50319–0146.
1.4(5) Information or submissions. Information inquiries should be addressed to the appropriate administrator of the desired organizational unit shown in subrule 1.4(1). Requests for hearings, declaratory rulings, participation in rule–making procedures of the board, and scheduling of presentations to the board should be addressed to the director of education.
These rules are intended to implement Iowa Code section 17A.3.
[Filed 2/28/77, Notice 12/15/76—published 3/23/77, effective 4/27/77]
[Filed 8/19/88, Notice 6/29/88—published 9/7/88, effective 10/12/88]
[Filed emergency 12/14/90—published 1/9/91, effective 12/14/90]
[Filed 2/15/91, Notice 1/9/91—published 3/6/91, effective 4/10/91]
[Filed 11/19/93, Notice 9/29/93—published 12/8/93, effective 1/12/94]
[Filed emergency 11/21/02—published 12/11/02, effective 11/21/02]
[Filed 1/17/03, Notice 12/11/02—published 2/5/03, effective 3/12/03]
chapter 2
AGENCY PROCEDURE FOR RULE MAKING
AND PETITIONS FOR RULE MAKING
281—2.1(17A) Applicability. Except to the extent otherwise expressly provided by statute, all rules adopted by the agency are subject to the provisions of Iowa Code chapter 17A, the Iowa administrative procedure Act, and the provisions of this chapter.
281—2.2(17A) Advice on possible rules before notice of proposed rule adoption. In addition to seeking information by other methods, the agency may, before publication of a Notice of Intended Action under Iowa Code section 17A.4(1)“a,” solicit comments from the public on a subject matter of possible rule making by the agency by causing notice to be published in the Iowa Administrative Bulletin of the subject matter and indicating where, when, and how persons may comment.
281—2.3(17A) Public rule–making docket.
2.3(1) Docket maintained. The agency shall maintain a current public rule–making docket.
2.3(2) Anticipated rule making. The rule–making docket shall list each anticipated rule–making proceeding. A rule–making proceeding is deemed “anticipated” from the time a draft of proposed rules is distributed for internal discussion within the agency. For each anticipated rule–making proceeding, the docket shall contain a listing of the precise subject matter which may be submitted for consideration by the director for subsequent proposal under the provisions of Iowa Code section 17A.4(1)“a,” the name and address of agency personnel with whom persons may communicate with respect to the matter, and an indication of the present status within the agency of that possible rule. The agency may also include in the docket other subjects upon which public comment is desired.
2.3(3) Pending rule–making proceedings. The rule–making docket shall list each pending rule–making proceeding. A rule–making proceeding is pending from the time it is commenced, by publication in the Iowa Administrative Bulletin of a Notice of Intended Action pursuant to Iowa Code section 17A.4(1)“a,” to the time it is terminated, by publication of a Notice of Termination in the Iowa Administrative Bulletin or the rule becoming effective. For each rule–making proceeding, the docket shall indicate:
a. The subject matter of the proposed rule;
b. A citation to all published notices relating to the proceeding;
c. Where written submissions on the proposed rule may be inspected;
d. The time during which written submissions may be made;
e. The names of persons who have made written requests for an opportunity to make oral presentations on the proposed rule, where those requests may be inspected, and where and when oral presentations may be made;
f. Whether a written request for the issuance of a regulatory analysis, or a concise statement of reasons, has been filed, whether such an analysis or statement or a fiscal impact statement has been issued, and where any such written request, analysis, or statement may be inspected;
g. The current status of the proposed rule and any agency determinations with respect thereto;
h. Any known timetable for agency decisions or other action in the proceeding;
i. The date of the rule’s adoption;
j. The date of the rule’s filing, indexing, and publication;
k. The date on which the rule will become effective; and
l. Where the rule–making record may be inspected.
281—2.4(17A) Notice of proposed rule making.
2.4(1) Contents. At least 35 days before the adoption of a rule the agency shall cause Notice of Intended Action to be published in the Iowa Administrative Bulletin. The Notice of Intended Action shall include:
a. A brief explanation of the purpose of the proposed rule;
b. The specific legal authority for the proposed rule;
c. Except to the extent impracticable, the text of the proposed rule;
d. Where, when, and how persons may present their views on the proposed rule; and
e. Where, when, and how persons may demand an oral proceeding on the proposed rule if the notice does not already provide for one.
Where inclusion of the complete text of a proposed rule in the Notice of Intended Action is impracticable, the agency shall include in the notice a statement fully describing the specific subject matter of the omitted portion of the text of the proposed rule, the specific issues to be addressed by that omitted text of the proposed rule, and the range of possible choices being considered by the agency for the resolution of each of those issues.
2.4(2) Incorporation by reference. A proposed rule may incorporate other materials by reference only if it complies with all of the requirements applicable to the incorporation by reference of other materials in an adopted rule that are contained in subrule 2.12(2) of this chapter.
2.4(3) Copies of notices. Persons desiring to receive copies of future Notices of Intended Action by subscription must file with the agency a written request indicating the name and address to which such notices should be sent. Within seven days after submission of a Notice of Intended Action to the administrative rules coordinator for publication in the Iowa Administrative Bulletin, the agency shall mail or electronically transmit a copy of that notice to subscribers who have filed a written request for either mailing or electronic transmittal with the agency for Notices of Intended Action. The written request shall be accompanied by payment of the subscription price which may cover the full cost of the subscription service, including its administrative overhead and the cost of copying and mailing the Notices of Intended Action for a period of ten days.
281—2.5(17A) Public participation.
2.5(1) Written comments. For at least 20 days after publication of the Notice of Intended Action, persons may submit argument, data, and views, in writing, on the proposed rule. Such written submissions should identify the proposed rule to which they relate and should be submitted to Department of Education, Legal Consultant’s Office, Grimes State Office Building, Des Moines, Iowa 50319–0146, or the person designated in the Notice of Intended Action.
2.5(2) Oral proceedings. The agency may, at any time, schedule an oral proceeding on a proposed rule. The agency shall schedule an oral proceeding on a proposed rule if, within 20 days after the published Notice of Intended Action, a written request for an opportunity to make oral presentations is submitted to the agency by the administrative rules review committee, a governmental subdivision, an agency, an association having not less than 25 members, or at least 25 persons. That request must also contain the following additional information:
1. A request by one or more individual persons must be signed by each of them and include the address and telephone number of each of them.
2. A request by an association must be signed by an officer or designee of the association and must contain a statement that the association has at least 25 members and the address and telephone number of the person signing that request.
3. A request by an agency or governmental subdivision must be signed by an official having authority to act on behalf of the entity and must contain the address and telephone number of the person signing that request.
2.5(3) Conduct of oral proceedings.
a. Applicability. This subrule applies only to those oral rule–making proceedings in which an opportunity to make oral presentations is authorized or required by Iowa Code section 17A.4(1)“b” as amended by 1998 Iowa Acts, chapter 1202, section 8, or this chapter.
b. Scheduling and notice. An oral proceeding on a proposed rule may be held in one or more locations and shall not be held earlier than 20 days after notice of its location and time is published in the Iowa Administrative Bulletin. That notice shall also identify the proposed rule by ARC number and citation to the Iowa Administrative Bulletin.
c. Presiding officer. The agency, a member of the agency, or another person designated by the agency who will be familiar with the substance of the proposed rule, shall preside at the oral proceeding on a proposed rule. If the agency does not preside, the presiding officer shall prepare a memorandum for consideration by the agency summarizing the contents of the presentations made at the oral proceeding unless the agency determines that such a memorandum is unnecessary because the agency will personally listen to or read the entire transcript of the oral proceeding.
d. Conduct of proceeding. At an oral proceeding on a proposed rule, persons may make oral statements and make documentary and physical submissions, which may include data, views, comments or arguments concerning the proposed rule. Persons wishing to make oral presentations at such a proceeding are encouraged to notify the agency at least one business day prior to the proceeding and indicate the general subject of their presentations. At the proceeding, those who participate shall indicate their names and addresses, identify any persons or organizations they may represent, and provide any other information relating to their participation deemed appropriate by the presiding officer. Oral proceedings shall be open to the public and shall be recorded by stenographic or electronic means.
(1) At the beginning of the oral proceeding, the presiding officer shall give a brief synopsis of the proposed rule, a statement of the statutory authority for the proposed rule, and the reasons for the agency decision to propose the rule. The presiding officer may place time limitations on individual oral presentations when necessary to ensure the orderly and expeditious conduct of the oral proceeding. To encourage joint oral presentations and to avoid repetition, additional time may be provided for persons whose presentations represent the views of other individuals as well as their own views.
(2) Persons making oral presentations are encouraged to avoid restating matters which have already been submitted in writing.
(3) To facilitate the exchange of information, the presiding officer may, where time permits, open the floor to questions or general discussion.
(4) The presiding officer shall have the authority to take any reasonable action necessary for the orderly conduct of the meeting.
(5) Physical and documentary submissions presented by participants in the oral proceeding shall be submitted to the presiding officer. Such submissions become the property of the agency.
(6) The oral proceeding may be continued by the presiding officer to a later time without notice other than by announcement at the hearing.
(7) Participants in an oral proceeding shall not be required to take an oath or to submit to cross–examination. However, the presiding officer in an oral proceeding may question participants and permit the questioning of participants by other participants about any matter relating to that rule–making proceeding, including any prior written submissions made by those participants in that proceeding; but no participant shall be required to answer any question.
(8) The presiding officer in an oral proceeding may permit rebuttal statements and request the filing of written statements subsequent to the adjournment of the oral presentations.
2.5(4) Additional information. In addition to receiving written comments and oral presentations on a proposed rule according to the provisions of this rule, the agency may obtain information concerning a proposed rule through any other lawful means deemed appropriate under the circumstances.
2.5(5) Accessibility. The agency shall schedule oral proceedings in rooms accessible to and functional for persons with physical disabilities. Persons who have special requirements should contact the Legal Consultant’s Office, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146, or telephone (515)281–5295 in advance to arrange access or other needed services.
281—2.6(17A) Regulatory analysis.
2.6(1) Definition of small business. A “small business” is defined in 1998 Iowa Acts, chapter 1202, section 10(7).
2.6(2) Mailing list. Small businesses or organizations of small businesses may be registered on the agency’s small business impact list by making a written application addressed to Legal Consultant’s Office, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146. The application for registration shall state:
a. The name of the small business or organization of small businesses;
b. Its address;
c. The name of a person authorized to transact business for the applicant;
d. A description of the applicant’s business or organization. An organization representing 25 or more persons who qualify as a small business shall indicate that fact.
e. Whether the registrant desires copies of Notices of Intended Action at cost, or desires advance notice of the subject of all or some specific category of proposed rule making affecting small business.
The agency may at any time request additional information from the applicant to determine whether the applicant is qualified as a small business or as an organization of 25 or more small businesses. The agency may periodically send a letter to each registered small business or organization of small businesses asking whether that business or organization wishes to remain on the registration list. The name of a small business or organization of small businesses will be removed from the list if a negative response is received, or if no response is received within 30 days after the letter is sent.
2.6(3) Time of mailing. Within seven days after submission of a Notice of Intended Action to the administrative rules coordinator for publication in the Iowa Administrative Bulletin, the agency shall mail to all registered small businesses or organizations of small businesses, in accordance with their request, either a copy of the Notice of Intended Action or notice of the subject of that proposed rule making. In the case of a rule that may have an impact on small business adopted in reliance upon Iowa Code section 17A.4(2), the agency shall mail notice of the adopted rule to registered businesses or organizations prior to the time the adopted rule is published in the Iowa Administrative Bulletin.
2.6(4) Qualified requesters for regulatory analysis—economic impact. The agency shall issue a regulatory analysis of a proposed rule that conforms to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2a), after a proper request from:
a. The administrative rules coordinator;
b. The administrative rules review committee.
2.6(5) Qualified requesters for regulatory analysis—business impact. The agency shall issue a regulatory analysis of a proposed rule that conforms to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2b), after a proper request from:
a. The administrative rules review committee;
b. The administrative rules coordinator;
c. At least 25 or more persons who sign the request provided that each represents a different small business;
d. An organization representing at least 25 small businesses. That organization shall list the name, address and telephone number of not less than 25 small businesses it represents.
2.6(6) Time period for analysis. Upon receipt of a timely request for a regulatory analysis, the agency shall adhere to the time lines described in 1998 Iowa Acts, chapter 1202, section 10(4).
2.6(7) Contents of request. A request for a regulatory analysis is made when it is mailed or delivered to the agency. The request shall be in writing and satisfy the requirements of 1998 Iowa Acts, chapter 1202, section 10(1).
2.6(8) Contents of concise summary. The contents of the concise summary shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(4,5).
2.6(9) Publication of a concise summary. The agency shall make available, to the maximum extent feasible, copies of the published summary in conformance with 1998 Iowa Acts, chapter 1202, section 10(5).
2.6(10) Regulatory analysis contents—rules review committee or rules coordinator. When a regulatory analysis is issued in response to a written request from the administrative rules review committee, or the administrative rules coordinator, the regulatory analysis shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2a), unless a written request expressly waives one or more of the items listed in the section.
2.6(11) Regulatory analysis contents—substantial impact on small business. When a regulatory analysis is issued in response to a written request from the administrative rules review committee, the administrative rules coordinator, at least 25 persons signing that request who each qualify as a small business or by an organization representing at least 25 small businesses, the regulatory analysis shall conform to the requirements of 1998 Iowa Acts, chapter 1202, section 10(2b).
281—2.7(17A,25B) Fiscal impact statement.
2.7(1) A proposed rule that necessitates additional combined annual expenditures of at least $100,000, or additional combined expenditures of at least $500,000 within five years, by all affected persons, political subdivisions, or agencies and entities which contract with political subdivisions to provide services must be accompanied by a fiscal impact statement outlining the costs associated with the rule. A fiscal impact statement must satisfy the requirements of Iowa Code section 25B.6.
2.7(2) If the agency determines at the time it adopts a rule that the fiscal impact statement upon which the rule is based contains errors, the agency shall, at the same time, issue a corrected fiscal impact statement and publish the corrected fiscal impact statement in the Iowa Administrative Bulletin.
281—2.8(17A) Time and manner of rule adoption.
2.8(1) Time of adoption. The agency shall not adopt a rule until the period for making written submissions and oral presentations has expired. Within 180 days after the later of the publication of the Notice of Intended Action, or the end of oral proceedings thereon, the agency shall adopt a rule pursuant to the rule–making proceeding or terminate the proceeding by publication of a notice to that effect in the Iowa Administrative Bulletin.
2.8(2) Consideration of public comment. Before the adoption of a rule, the agency shall consider fully all of the written submissions and oral submissions received in that rule–making proceeding or any memorandum summarizing such oral submissions, and any regulatory analysis or fiscal impact statement issued in that rule–making proceeding.
2.8(3) Reliance on agency expertise. Except as otherwise provided by law, the agency may use its own experience, technical competence, specialized knowledge, and judgment in the adoption of a rule.
281—2.9(17A) Variance between adopted rule and published notice of proposed rule adoption.
2.9(1) The agency shall not adopt a rule that differs from the rule proposed in the Notice of Intended Action on which the rule is based unless:
a. The differences are within the scope of the subject matter announced in the Notice of Intended Action and are in character with the issues raised in that notice; and
b. The differences are a logical outgrowth of the contents of that Notice of Intended Action and the comments submitted in response thereto; and
c. The Notice of Intended Action provided fair warning that the outcome of that rule–making proceeding could be the rule in question.
2.9(2) In determining whether the Notice of Intended Action provided fair warning that the outcome of that rule–making proceeding could be the rule in question, the agency shall consider the following factors:
a. The extent to which persons who will be affected by the rule should have understood that the rule–making proceeding on which it is based could affect their interests;
b. The extent to which the subject matter of the rule or the issues determined by the rule are different from the subject matter or issues contained in the Notice of Intended Action; and
c. The extent to which the effects of the rule differ from the effects of the proposed rule contained in the Notice of Intended Action.
2.9(3) The agency shall commence a rule–making proceeding within 60 days of its receipt of a petition for rule making seeking the amendment or repeal of a rule that differs from the proposed rule contained in the Notice of Intended Action upon which the rule is based, unless the agency finds that the differences between the adopted rule and the proposed rule are so insubstantial as to make such a rule–making proceeding wholly unnecessary. A copy of any such finding and the petition to which it responds shall be sent to petitioner, the administrative rules coordinator, and the administrative rules review committee, within three days of its issuance.
2.9(4) Concurrent rule–making proceedings. Nothing in this rule disturbs the discretion of the agency to initiate, concurrently, several different rule–making proceedings on the same subject with several different published Notices of Intended Action.
281—2.10(17A) Exemptions from public rule–making procedures.
2.10(1) Omission of notice and comment. To the extent the agency for good cause finds that public notice and participation are unnecessary, impracticable, or contrary to the public interest in the process of adopting a particular rule, the agency may adopt that rule without publishing advance Notice of Intended Action in the Iowa Administrative Bulletin and without providing for written or oral public submissions prior to its adoption. The agency shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.
2.10(2) Public proceedings on rules adopted without them. The agency may, at any time, commence a standard rule–making proceeding for the adoption of a rule that is identical or similar to a rule it adopts in reliance upon subrule 2.10(1). Upon written petition by a governmental subdivision, the administrative rules review committee, an agency, the administrative rules coordinator, an association having not less than 25 members, or at least 25 persons, the agency shall commence a standard rule–making proceeding for any rule specified in the petition that was adopted in reliance upon subrule 2.10(1). Such a petition must be filed within one year of the publication of the specified rule in the Iowa Administrative Bulletin as an adopted rule. The rule–making proceeding on that rule must be commenced within 60 days of the receipt of such a petition. After a standard rule–making proceeding commenced pursuant to this subrule, the agency may either readopt the rule it adopted without benefit of all usual procedures on the basis of subrule 2.10(1), or may take any other lawful action, including the amendment or repeal of the rule in question, with whatever further proceedings are appropriate.
281—2.11(17A) Concise statement of reasons.
2.11(1) General. When requested by a person, either prior to the adoption of a rule or within 30 days after its publication in the Iowa Administrative Bulletin as an adopted rule, the agency shall issue a concise statement of reasons for the rule. Requests for such a statement must be in writing and be delivered to Legal Consultant’s Office, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146. The request should indicate whether the statement is sought for all or only a specified part of the rule. Requests will be considered made on the date received.
2.11(2) Contents. The concise statement of reasons shall contain:
a. The reasons for adopting the rule;
b. An indication of any change between the text of the proposed rule contained in the published Notice of Intended Action and the text of the rule as finally adopted, with the reasons for any such change;
c. The principal reasons urged in the rule–making proceeding for and against the rule, and the agency’s reasons for overruling the arguments made against the rule.
2.11(3) Time of issuance. After a proper request, the agency shall issue a concise statement of reasons by the later of the time the rule is adopted or 35 days after receipt of the request.
281—2.12(17A) Contents, style, and form of rule.
2.12(1) Contents. Each rule adopted by the agency shall contain the text of the rule and, in addition:
a. The date the agency adopted the rule;
b. A brief explanation of the principal reasons for the rule–making action if such reasons are required by 1998 Iowa Acts, chapter 1202, section 8, or the agency in its discretion decides to include such reasons;
c. A reference to all rules repealed, amended, or suspended by the rule;
d. A reference to the specific statutory or other authority authorizing adoption of the rule;
e. Any findings required by any provision of law as a prerequisite to adoption or effectiveness of the rule;
f. A brief explanation of the principal reasons for the failure to provide for waivers to the rule if no waiver provision is included and a brief explanation of any waiver or special exceptions provided in the rule if such reasons are required by 1998 Iowa Acts, chapter 1202, section 8, or the agency in its discretion decides to include such reasons; and
g. The effective date of the rule.
2.12(2) Incorporation by reference. The agency may incorporate by reference in a proposed or adopted rule, and without causing publication of the incorporated matter in full, all or any part of a code, standard, rule, or other matter if the agency finds that the incorporation of its text in the agency proposed or adopted rule would be unduly cumbersome, expensive, or otherwise inexpedient. The reference in the agency proposed or adopted rule shall fully and precisely identify the incorporated matter by location, title, citation, date, and edition, if any; shall briefly indicate the precise subject and the general contents of the incorporated matter; and shall state that the proposed or adopted rule does not include any later amendments or editions of the incorporated matter. The agency may incorporate such matter by reference in a proposed or adopted rule only if the agency makes copies of it readily available to the public. The rule shall state how and where copies of the incorporated matter may be obtained at cost from this agency, and how and where copies may be obtained from the agency of the United States, this state, another state, or the organization, association, or persons, originally issuing that matter. The agency shall retain permanently a copy of any materials incorporated by reference in a rule of the agency.
If the agency adopts standards by reference to another publication, it shall provide a copy of the publication containing the standards to the administrative rules coordinator for deposit in the state law library and may make the standards available electronically.
2.12(3) References to materials not published in full. When the administrative code editor decides to omit the full text of a proposed or adopted rule because publication of the full text would be unduly cumbersome, expensive, or otherwise inexpedient, the agency shall prepare and submit to the administrative code editor for inclusion in the Iowa Administrative Bulletin and Iowa Administrative Code a summary statement describing the specific subject matter of the omitted material. This summary statement shall include the title and a brief description sufficient to inform the public of the specific nature and subject matter of the proposed or adopted rules, and of significant issues involved in these rules. The summary statement shall also describe how a copy of the full text of the proposed or adopted rule, including any unpublished matter and any matter incorporated by reference, may be obtained from the agency. The agency will provide a copy of that full text at actual cost upon request and shall make copies of the full text available for review at the state law library and may make the standards available electronically.
At the request of the administrative code editor, the agency shall provide a proposed statement explaining why publication of the full text would be unduly cumbersome, expensive, or otherwise inexpedient.
2.12(4) Style and form. In preparing its rules, the agency shall follow the uniform numbering system, form, and style prescribed by the administrative rules coordinator.
281—2.13(17A) Agency rule–making record.
2.13(1) Requirement. The agency shall maintain an official rule–making record for each rule it proposes by publication in the Iowa Administrative Bulletin of a Notice of Intended Action, or adopts. The rule–making record and materials incorporated by reference must be available for public inspection.
2.13(2) Contents. The agency rule–making record shall contain:
a. Copies of all publications in the Iowa Administrative Bulletin with respect to the rule or the proceeding upon which the rule is based and any file–stamped copies of agency submissions to the administrative rules coordinator concerning that rule or the proceeding upon which it is based;
b. Copies of any portions of the agency’s public rule–making docket containing entries relating to the rule or the proceeding upon which the rule is based;
c. All written petitions, requests, and submissions received by the agency, and all other written materials of a factual nature as distinguished from opinion that are relevant to the merits of the rule and that were created or compiled by the agency and considered by the director, in connection with the formulation, proposal, or adoption of the rule or the proceeding upon which the rule is based, except to the extent the agency is authorized by law to keep them confidential; provided, however, that when any such materials are deleted because they are authorized by law to be kept confidential, the agency shall identify in the record the particular materials deleted and state the reasons for that deletion;
d. Any official transcript of oral presentations made in the proceeding upon which the rule is based or, if not transcribed, the stenographic record or electronic recording of those presentations, and any memorandum prepared by a presiding officer summarizing the contents of those presentations;
e. A copy of any regulatory analysis or fiscal impact statement prepared for the proceeding upon which the rule is based;
f. A copy of the rule and any concise statement of reasons prepared for that rule;
g. All petitions for amendment or repeal or suspension of the rule;
h. A copy of any objection to the issuance of that rule without public notice and participation that was filed pursuant to Iowa Code section 17A.4(2) by the administrative rules review committee, the governor, or the attorney general;
i. A copy of any objection to the rule filed by the administrative rules review committee, the governor, or the attorney general pursuant to Iowa Code section 17A.4(4), and any agency response to that objection;
j. A copy of any significant written criticism of the rule, including a summary of any petitions for waiver of the rule; and
k. A copy of any executive order concerning the rule.
2.13(3) Effect of record. Except as otherwise required by a provision of law, the agency rule–making record required by this rule need not constitute the exclusive basis for agency action on that rule.
2.13(4) Maintenance of record. The agency shall maintain the rule–making record for a period of not less than five years from the later of the date the rule to which it pertains became effective, the date of the Notice of Intended Action, or the date of any written criticism as described in 2.13(2)“g,” “h,” “i,” or “j.”
281—2.14(17A) Filing of rules. The agency shall file each rule it adopts in the office of the administrative rules coordinator. The filing must be executed as soon after adoption of the rule as is practicable. At the time of filing, each rule must have attached to it any fiscal impact statement and any concise statement of reasons that was issued with respect to that rule. If a fiscal impact statement or statement of reasons for that rule was not issued until a time subsequent to the filing of that rule, the note or statement must be attached to the filed rule within five working days after the note or statement is issued. In filing a rule, the agency shall use the standard form prescribed by the administrative rules coordinator.
281—2.15(17A) Effectiveness of rules prior to publication.
2.15(1) Grounds. The agency may make a rule effective after its filing at any stated time prior to 35 days after its indexing and publication in the Iowa Administrative Bulletin if it finds that a statute so provides, the rule confers a benefit or removes a restriction on some segment of the public, or that the effective date of the rule is necessary to avoid imminent peril to the public health, safety, or welfare. The agency shall incorporate the required finding and a brief statement of its supporting reasons in each rule adopted in reliance upon this subrule.
2.15(2) Special notice. When the agency makes a rule effective prior to its indexing and publication in reliance upon the provisions of Iowa Code section 17A.5(2)“b”(3), the agency shall employ all reasonable efforts to make its contents known to the persons who may be affected by that rule prior to the rule’s indexing and publication. The term “all reasonable efforts” requires the agency to employ the most effective and prompt means of notice rationally calculated to inform potentially affected parties of the effectiveness of the rule that is justified and practical under the circumstances considering the various alternatives available for this purpose, the comparative costs to the agency of utilizing each of those alternatives, and the harm suffered by affected persons from any lack of notice concerning the contents of the rule prior to its indexing and publication. The means that may be used for providing notice of such rules prior to their indexing and publication include, but are not limited to, any one or more of the following means: radio, newspaper, television, signs, mail, telephone, personal notice or electronic means.
A rule made effective prior to its indexing and publication in reliance upon the provisions of Iowa Code section 17A.5(2)“b”(3), shall include in that rule a statement describing the reasonable efforts that will be used to comply with the requirements of subrule 2.15(2).
281—2.16(17A) General statements of policy.
2.16(1) Compilation, indexing, public inspection. The agency shall maintain an official, current, and dated compilation that is indexed by subject, containing all of its general statements of policy within the scope of Iowa Code section 17A.2(10)“a,” “c,” “f,” “g,” “h,” “k.” Each addition to, change in, or deletion from the official compilation must also be dated, indexed, and a record thereof kept. Except for those portions containing rules governed by Iowa Code section 17A.2(7)“f,” or otherwise authorized by law to be kept confidential, the compilation must be made available for public inspection and copying.
2.16(2) Enforcement of requirements. A general statement of policy subject to the requirements of this subsection shall not be relied on by the agency to the detriment of any person who does not have actual, timely knowledge of the contents of the statement until the requirements of subrule 2.16(1) are satisfied. This provision is inapplicable to the extent necessary to avoid imminent peril to the public health, safety, or welfare.
281—2.17(17A) Review by agency of rules.
2.17(1) Any interested person, association, agency, or political subdivision may submit a written request to the administrative rules coordinator requesting the agency to conduct a formal review of a specified rule. Upon approval of that request by the administrative rules coordinator, the agency shall conduct a formal review of a specified rule to determine whether a new rule should be adopted instead or the rule should be amended or repealed. The agency may refuse to conduct a review if it has conducted such a review of the specified rule within five years prior to the filing of the written request.
2.17(2) In conducting the formal review, the agency shall prepare within a reasonable time a written report summarizing its findings, its supporting reasons, and any proposed course of action. The report must include a concise statement of the agency’s findings regarding the rule’s effectiveness in achieving its objectives, including a summary of any available supporting data. The report shall also concisely describe significant written criticisms of the rule received during the previous five years, including a summary of any petitions for waiver of the rule received by the agency or granted by the agency. The report shall describe alternative solutions to resolve the criticisms of the rule, the reasons any were rejected, and any changes made in the rule in response to the criticisms as well as the reasons for the changes. A copy of the agency’s report shall be sent to the administrative rules review committee and the administrative rules coordinator. The report must also be available for public inspection.
281—2.18(17A) Petition for rule making. A petition requesting the adoption, amendment, or repeal of a rule shall be filed with the department of education at the Grimes State Office Building, Second Floor, Des Moines, Iowa 50319–0146. A petition is deemed filed when it is received by that office. The department of education shall provide the petitioner with a file–stamped copy of the petition if the petitioner provides the department an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:
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DEPARTMENT OF EDUCATION |
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Petition by (Name of Petitioner) |
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PETITION
FOR |
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The petition must provide the following information:
1. A clear and concise statement of all relevant facts on which the petition is based.
2. The precise citation to the present rule if the petition is for the amendment or repeal of the same.
3. A citation and the relevant language of the specific statutes, rules, policies, decisions, ororders, and any other relevant law.
4. A summary of the reasons for requesting the adoption, amendment or repeal of a rule.
5. Full disclosure of the petitioner’s interest in the outcome of the petition.
6. A statement indicating whether the petitioner is currently a party to another proceeding involving the issue(s) raised by the petition and whether, to the petitioner’s knowledge, those issues have been decided by, are pending determination by, or are under investigation by, any other governmental entity.
7. The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the issue(s) presented in the petition.
The petition must be dated and signed by the petitioner or the petitioner’s representative. It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s representative and a statement indicating the person to whom communications concerning the petition should be directed.
281—2.19(17A) Inquiries. Inquiries concerning the status of a petition for rule making may be made to the Legal Consultant, Grimes State Office Building, Des Moines, Iowa 50319–0146.
These rules are intended to implement Iowa Code section 256.7(3) and chapter 17A as amended by 1998 Iowa Acts, chapter 1202.
[Filed 8/19/88, Notice 6/29/88—published 9/7/88, effective 10/12/88]
[Filed 3/11/94, Notice 12/8/93—published 3/30/94, effective 5/4/94]
[Filed 4/13/99, Notice 3/10/99—published 5/5/99, effective 6/9/99]
[Filed 4/20/05, Notice 2/16/05—published 5/11/05, effective 6/15/05]
[Prior to 9/7/88, see Public Instruction Department[670] Ch 53]
281—3.1(17A) Petition for declaratory order. Any person may file a petition with the department of education for a declaratory order as to the applicability to specified circumstances of a statute, rule, or order within the primary jurisdiction of the Department of Education, at the Grimes State Office Building, Second Floor, Des Moines, Iowa 50319–0146. A petition is deemed filed when it is received by that office. The department of education shall provide the petitioner with a file–stamped copy of the petition if the petitioner provides the agency an extra copy for this purpose. The petition must be typewritten or legibly handwritten in ink and must substantially conform to the following form:
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DEPARTMENT OF EDUCATION |
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Petition by (Name of Petitioner) for a |
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PETITION
FOR |
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The petition must provide the following information:
1. A clear and concise statement of all relevant facts on which the order is requested.
2. A citation and the relevant language of the specific statutes, rules, policies, decisions, or orders, whose applicability is questioned, and any other relevant law.
3. The questions petitioner wants answered, stated clearly and concisely.
4. The answers to the questions desired by the petitioner and a summary of the reasons urged by the petitioner in support of those answers.
5. The reasons for requesting the declaratory order and disclosure of the petitioner’s interest in the outcome.
6. A statement indicating whether the petitioner is currently a party to another proceeding involving the questions at issue and whether, to the petitioner’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
7. The names and addresses of other persons, or a description of any class of persons, known by petitioner to be affected by, or interested in, the questions presented in the petition.
8. Any request by petitioner for a meeting provided for by 3.7(17A).
The petition must be dated and signed by the petitioner or the petitioner’s representative. It must also include the name, mailing address, and telephone number of the petitioner and petitioner’s representative and a statement indicating the person to whom communications concerning the petition should be directed.
281—3.2(17A) Notice of petition. Within 15 days after receipt of a petition for a declaratory order, the department of education shall give notice of the petition to all persons not served by the petitioner pursuant to 3.6(17A) to whom notice is required by any provision of law. The department of education may also give notice to any other persons.
3.3(1) Persons who qualify under any applicable provision of law as an intervenor and who file a petition for intervention within 15 days of the filing of a petition for declaratory order (after time for notice under 3.2(17A) and before 30–day time for agency action under 3.8(17A)) shall be allowed to intervene in a proceeding for a declaratory order.
3.3(2) Any person who files a petition for intervention at any time prior to the issuance of an order may be allowed to intervene in a proceeding for a declaratory order at the discretion of the department of education.
3.3(3) A petition for intervention shall be filed at the Office of the Director, Grimes State Office Building, Des Moines, Iowa 50319–0146. Such a petition is deemed filed when it is received by that office. The department of education will provide the petitioner with a file–stamped copy of the petition for intervention if the petitioner provides an extra copy for this purpose. A petition for intervention must be typewritten or legibly handwritten in ink and must substantially conform to the following form:
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DEPARTMENT OF EDUCATION |
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Petition by (Name of Original Petitioner) for a Declaratory Order on (Cite provisions of law cited in original petition). |
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PETITION
FOR |
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The petition for intervention must provide the following information:
1. Facts supporting the intervenor’s standing and qualifications for intervention.
2. The answers urged by the intervenor to the question or questions presented and a summary of the reasons urged in support of those answers.
3. Reasons for requesting intervention and disclosure of the intervenor’s interest in the outcome.
4. A statement indicating whether the intervenor is currently a party to any proceeding involving the questions at issue and whether, to the intervenor’s knowledge, those questions have been decided by, are pending determination by, or are under investigation by, any governmental entity.
5. The names and addresses of any additional persons, or a description of any additional class of persons, known by the intervenor to be affected by, or interested in, the questions presented.
6. Whether the intervenor consents to be bound by the determination of the matters presented in the declaratory order proceeding.
The petition must be dated and signed by the intervenor or the intervenor’s representative. It must also include the name, mailing address, and telephone number of the intervenor and intervenor’s representative, and a statement indicating the person to whom communications should be directed.
281—3.4(17A) Briefs. The petitioner or any intervenor may file a brief in support of the position urged. The department of education may request a brief from the petitioner, any intervenor, or any other person concerning the questions raised.
281—3.5(17A) Inquiries. Inquiries concerning the status of a declaratory order proceeding may be made to the Legal Consultant, Department of Education, Grimes State Office Building, Des Moines, Iowa 50139–0146.
281—3.6(17A) Service and filing of petitions and other papers.
3.6(1) When service required. Except where otherwise provided by law, every petition for declaratory order, petition for intervention, brief, or other paper filed in a proceeding for a declaratory order shall be served upon each of the parties of record to the proceeding, and on all other persons identified in the petition for declaratory order or petition for intervention as affected by or interested in the questions presented, simultaneously with their filing. The party filing a document is responsible for service on all parties and other affected or interested persons.
3.6(2) Filing—when required. All petitions for declaratory orders, petitions for intervention, briefs, or other papers in a proceeding for a declaratory order shall be filed with the Legal Consultant, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146. All petitions, briefs, or other papers that are required to be served upon a party shall be filed simultaneously with the department of education.
3.6(3) Method of service, time of filing, and proof of mailing. Method of service, time of filing, and proof of mailing shall be as provided by 281—6.17(17A).
281—3.7(17A) Consideration. Upon request by petitioner, the department of education must schedule a brief and informal meeting between the original petitioner, all intervenors, and the department of education, a member of the department, or a member of the staff of the department, to discuss the questions raised. The department of education may solicit comments from any person on the questions raised. Also, comments on the questions raised may be submitted to the department by any person.
281—3.8(17A) Action on petition.
3.8(1) Within the time allowed by 1998 Iowa Acts, chapter 1202, section 13(5), after receipt of a petition for a declaratory order, the director of the department of education or designee shall take action on the petition as required by 1998 Iowa Acts, chapter 1202, section 13(5).
3.8(2) The date of issuance of an order or of a refusal to issue an order is as defined in 281—6.2(290,17A).
281—3.9(17A) Refusal to issue order.
3.9(1) The department of education shall not issue a declaratory order where prohibited by 1998 Iowa Acts, chapter 1202, section 13(1), and may refuse to issue a declaratory order on some or all questions raised for the following reasons:
1. The petition does not substantially comply with the required form.
2. The petition does not contain facts sufficient to demonstrate that the petitioner will be aggrieved or adversely affected by the failure of the department of education to issue an order.
3. The department of education does not have jurisdiction over the questions presented in the petition.
4. The questions presented by the petition are also presented in a current rule making, contested case, or other agency or judicial proceeding that may definitively resolve them.
5. The questions presented by the petition would more properly be resolved in a different type of proceeding or by another body with jurisdiction over the matter.
6. The facts or questions presented in the petition are unclear, overbroad, insufficient, or otherwise inappropriate as a basis upon which to issue an order.
7. There is no need to issue an order because the questions raised in the petition have been settled due to a change in circumstances.
8. The petition is not based upon facts calculated to aid in the planning of future conduct but is, instead, based solely upon prior conduct in an effort to establish the effect of that conduct or to challenge an agency decision already made.
9. The petition requests a declaratory order that would necessarily determine the legal rights, duties, or responsibilities of other persons who have not joined in the petition, intervened separately, or filed a similar petition and whose position on the questions presented may fairly be presumed to be adverse to that of petitioner.
10. The petitioner requests the department of education to determine whether a statute is unconstitutional on its face.
3.9(2) A refusal to issue a declaratory order must indicate the specific grounds for the refusal and constitutes final agency action on the petition.
3.9(3) Refusal to issue a declaratory order pursuant to this provision does not preclude the filing of a new petition that seeks to eliminate the grounds for the refusal to issue a ruling.
281—3.10(17A) Contents of declaratory order—effective date. In addition to the order itself, a declaratory order must contain the date of its issuance, the name of petitioner and all intervenors, the specific statutes, rules, policies, decisions, or orders involved, the particular facts upon which it is based, and the reasons for its conclusion.
A declaratory order is effective on the date of issuance.
281—3.11(17A) Copies of orders. A copy of all orders issued in response to a petition for a declaratory order shall be mailed promptly to the original petitioner and all intervenors.
281—3.12(17A) Effect of a declaratory order. A declaratory order has the same status and binding effect as a final order issued in a contested case proceeding. It is binding on the department of education, the petitioner, and any intervenors who consent to be bound and is applicable only in circumstances where the relevant facts and the law involved are indistinguishable from those on which the order was based. As to all other persons, a declaratory order serves only as precedent and is not binding on the department of education. The issuance of a declaratory order constitutes final agency action on the petition.
These rules are intended to implement Iowa Code section 256.7(3) and chapter 17A as amended by 1998 Iowa Acts, chapter 1202.
[Filed 7/1/75]
[Filed 8/19/88, Notice 6/29/88—published 9/7/88, effective 10/12/88]
[Filed 11/19/93, Notice
9/29/93—published 12/8/93, effective 1/12/94]
[Filed 4/13/99, Notice 3/10/99—published 5/5/99, effective 6/9/99]
chapter 4
WAIVERS OR VARIANCES FROM ADMINISTRATIVE RULES
281—4.1(17A,ExecOrd11) Definitions. For purposes of this chapter:
“Board” means the state board of education.
“Department” means the department of education.
“Director” means the director of the department of education.
“Person” means an individual, school corporation, government or governmental subdivision or agency, nonpublic school, partnership or association, or any legal entity.
“Waiver or variance” means action by the director which suspends in whole or in part the requirements or provisions of a rule as applied to an identified person on the basis of the particular circumstances of that person. For simplicity, the term “waiver” shall include both a “waiver” and a “variance.”
281—4.2(17A,ExecOrd11) Scope of chapter. This chapter outlines generally applicable standards and a uniform process for the granting of individual waivers from rules in situations where no other more specifically applicable law provides for waivers. To the extent another more specific provision of law governs the issuance of a waiver from a particular rule, the more specific provision shall supersede this chapter with respect to any waiver from that rule.
281—4.3(17A,ExecOrd11) Applicability of chapter. A waiver from a rule may be granted only if the department has jurisdiction over the rule and the requested waiver is consistent with applicable statutes, constitutional provisions, or other provisions of law. Statutory duties or requirements created by statute may not be waived.
281—4.4(17A,ExecOrd11) Criteria for waiver. In response to a petition completed pursuant to rule 281—4.6(17A,ExecOrd11), the director may in the director’s sole discretion issue an order waiving in whole or in part the requirements of a rule if the director finds, based on clear and convincing evidence, all of the following:
1. The application of the rule to the person at issue would result in an undue hardship on the person for whom the waiver is requested;
2. The waiver from the requirement of the rule in the specific case would not prejudice the substantial legal rights of any person;
3. The provisions of the rule subject to the petition for a waiver are not specifically mandated by statute or another provision of law;
4. Substantially equal protection of public health, safety, and welfare will be afforded by a means other than that prescribed in the particular rule for which the waiver is requested; and
5. The waiver from the requirements of the rule in the specific case would not have a negative impact on the student achievement of any person affected by the waiver.
281—4.5(17A,ExecOrd11) Filing of petition. All petitions for waiver must be submitted in writing to the Director, Department of Education, Grimes State Office Building, Des Moines, Iowa 50319–0146. If the petition relates to a pending contested case, the petition shall be filed in the contested case proceeding, using the caption of the contested case.
281—4.6(17A,ExecOrd11) Content of petition. A petition for waiver shall include the following information where applicable and known to the requester:
1. The name, address, and telephone number of the person for whom a waiver is being requested, and the case number of any related contested case.
2. A description and citation of the specific rule from which a waiver is requested.
3. The specific waiver or variance requested, including the precise scope and duration.
4. The relevant facts that the petitioner believes would justify a waiver under each of the five criteria described in rule 281—4.4(17A,ExecOrd11). This statement shall include a signed statement from the petitioner attesting to the accuracy of the facts provided in the petition and a statement of reasons that the petitioner believes will justify a waiver.
5. A history of any prior contacts between the board, the department and the petitioner relating to the regulated activity, license, or grant affected by the proposed waiver, including a description of each affected item held by the requester, any notices of violation, contested case hearings, or investigative reports relating to the regulated activity, license, or grant within the last five years.
6. A detailed statement of the impact on student achievement for any person affected by the granting of a waiver.
7. Any information known to the requester regarding the board’s or department’s treatment of similar cases.
8. The name, address, and telephone number of any person or entity that would be adversely affected by the granting of a petition.
9. The name, address, and telephone number of any person with knowledge of the relevant facts relating to the proposed waiver.
10. Signed releases of information authorizing persons with knowledge regarding the request to furnish the department with information relevant to the waiver.
281—4.7(17A,ExecOrd11) Additional information. Prior to issuing an order granting or denying a waiver, the department may request additional information from the petitioner relative to the petition and surrounding circumstances. If the petition was not filed in a contested case, the department may on its own motion or at the petitioner’s request, schedule a telephonic or in–person meeting between the petitioner and the department.
281—4.8(17A,ExecOrd 11) Notice. The department shall acknowledge a petition upon receipt. The department shall ensure that, within 30 days of the receipt of the petition, notice of the pendency of the petition and a concise summary of its contents have been provided to all persons to whom notice is required by any provision of law. In addition, the department may give notice to other persons. To accomplish this notice provision, the department may require the petitioner to serve the notice on all persons to whom notice is required by any provision of law and provide a written statement to the department attesting that notice has been provided.
281—4.9(17A,ExecOrd11) Hearing procedures. The provisions of Iowa Code sections 17A.10 to 17A.18A regarding contested case hearings shall apply in three situations: (1) to any petition for a waiver filed within a contested case; (2) when provided by rule or order; or (3) when required to do so by statute.
281—4.10(17A,ExecOrd11) Ruling. An order granting or denying a waiver shall be in writing and shall contain a reference to the particular person and rule or portion thereof to which the order pertains, a statement of the relevant facts and the reasons upon which the action is based, and a description of the precise scope and operative period of the waiver if one is issued.
4.10(1) Discretion. The final decision on whether the circumstances justify the granting of a waiver shall be made at the sole discretion of the director, upon consideration of all relevant factors. Each petition for a waiver shall be evaluated by the director based on the unique, individual circumstances set out in the petition.
4.10(2) Burden of persuasion. The burden of persuasion rests with the petitioner to demonstrate by clear and convincing evidence that the director should exercise the director’s discretion to grant a waiver from a rule.
4.10(3) Narrowly tailored. A waiver, if granted, shall provide the narrowest exception possible to the provisions of a rule.
4.10(4) Administrative deadlines. When the rule from which a waiver is sought establishes administrative deadlines, the director shall balance the special individual circumstances of the petitioner with the overall goal of uniform treatment of all similarly situated persons.
4.10(5) Conditions. The director may place any condition on a waiver that the director finds desirable to protect the public health, safety, and welfare.
4.10(6) Time period of waiver. A waiver shall not be permanent unless the petitioner can show that a temporary waiver would be impracticable. If a temporary waiver is granted, there is no automatic right to renewal. At the sole discretion of the director, a waiver may be renewed if the director finds that grounds for a waiver continue to exist.
4.10(7) Time for ruling. The director shall grant or deny a petition for a waiver as soon as practicable but, in any event, shall do so within 120 days of its receipt, unless the petitioner agrees to a later date. However, if a petition is filed in a contested case, the director shall grant or deny the petition no later than the time at which the final decision in that contested case is issued.
4.10(8) When deemed denied. Failure of the director to grant or deny a petition within the required time period shall be deemed a denial of that petition by the director. However, the director shall remain responsible for issuing an order denying a waiver.
4.10(9) Service of order. Within seven days of its issuance, any order issued under this chapter shall be transmitted to the petitioner or the person to whom the order pertains, and to any other person entitled to such notice by any provision of law.
281—4.11(17A,ExecOrd11) Public availability. All orders granting a waiver petition shall be indexed, filed and available for public inspection as provided in Iowa Code section 17A.3. Petitions for a waiver and orders granting or denying a waiver petition are public records under Iowa Code chapter 22. The director may accordingly redact confidential information from petitions or orders prior to public inspection.
281—4.12(17A,ExecOrd11) Summary reports. Semiannually, the department shall prepare a summary report identifying the rules for which a waiver has been granted or denied, the number of times a waiver was granted or denied for each rule, a citation to the statutory provisions implemented by these rules, and a general summary of the reasons justifying the board’s actions on waiver requests. If practicable, the report shall detail the extent to which the granting of a waiver has affected the general applicability of the rule itself. Copies of the report shall be available for public inspection and shall be provided semiannually to the administrative rules coordinator and the administrative rules review committee.
281—4.13(17A,ExecOrd11) Cancellation. A waiver issued pursuant to this chapter may be withdrawn, canceled or modified if, after appropriate notice and hearing, the director issues an order finding any of the following:
1. The petitioner or the person who was the subject of the waiver order withheld or misrepresented material facts relevant to the propriety or desirability of the waiver; or
2. The alternative means for ensuring that the public health, safety and welfare will be adequately protected after issuance of the waiver order have been demonstrated to be insufficient; or
3. The subject of the waiver order has failed to comply with all conditions contained in the order.
281—4.14(17A,ExecOrd11) Violations. Violation of conditions in the waiver approval is the equivalent of violation of the particular rule for which the waiver is granted. As a result, the recipient of a waiver under this chapter who violates a condition of the waiver may be subject to the same remedies or penalties as a person who violates the rule at issue.
281—4.15(17A,ExecOrd11) Defense. After the director issues an order granting a waiver, the order is a defense within its terms and the specific facts indicated therein for the person to whom the order pertains in any proceeding in which the rule in question is sought to be invoked.
281—4.16(17A,ExecOrd11) Judicial review. Judicial review of the director’s decision to grant or deny a waiver petition may be taken in accordance with Iowa Code chapter 17A.
281—4.17(17A,ExecOrd11) Exception. This rule does not apply to 281—Chapters 36 and 37 or to specific waiver provisions adopted in other chapters.
These rules are intended to implement Iowa Code section 17A.9A.
[Filed 3/20/01, Notice 12/13/00—published 4/18/01, effective 5/23/01]
chapter 5
PUBLIC RECORDS AND FAIR INFORMATION PRACTICES
[Prior to 9/7/88, see Public
Instruction Department[670] Ch 83]
The department of education hereby adopts, with the following exceptions and amendments, rules of the Governor’s Task Force on Uniform Rules of Agency Procedure relating to public records and fair information practices which are printed in the first volume of the Iowa Administrative Code.
281—5.1(256) Definitions. As used in this chapter:
“Agency.” In lieu of the words “(official or body issuing these rules)”, insert “department of education”.
281—5.3(256) Requests for access to records.
5.3(1) Location of record. All records of the department of education are located at the Grimes State Office Building, Des Moines, Iowa 50319–0146, with the exception of records belonging to the division of vocational rehabilitation services, which are located at the Jessie Parker State Office Building, 510 East 12th Street, Des Moines, Iowa 50319.
5.3(2) Office hours. In lieu of the words “(insert customary office hours and, if agency does not have customary office hours of at least thirty hours per week, insert hours specified in Iowa Code section 22.4)”, insert “8 a.m. to 4:30 p.m. daily, excluding Saturdays, Sundays, and legal holidays”.
5.3(7) Fees.
c. Supervisory fee. In lieu of the words “(specify time period)”, insert “one–half hour”. In lieu of the words “(An agency wishing to deal with search fees authorized by law should do so here.)”, insert “The agency will give advance notice to the requester if it will be necessary to use an employee with a higher hourly wage in order to find or supervise the particular records in question, and shall indicate the amount of that higher hourly wage to the requester.”
281—5.6(256) Procedure by which additions, dissents, or objections may be entered into certain records. In lieu of the words “(designate office)”, insert “the office of the director of the agency”.
281—5.9(256) Disclosures without the consent of the subject.
5.9(1) Open records are routinely disclosed without the consent of the subject.
5.9(2) To the extent allowed by law, disclosure of confidential or exempt records may occur without the consent of the subject. Following are instances where disclosure, if lawful, will generally occur without notice to the subject:
a. For a routine use as defined in rule 5.10(256) or in the notice for a particular record system.
b. To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record, provided that the record is transferred in a form that does not identify the subject.
c. To another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if an authorized representative of the government agency or instrumentality has submitted a written request to the agency specifying the record desired and the law enforcement activity for which the record is sought.
d. To an individual pursuant to a showing of compelling circumstances affecting the health or safety of an individual if a notice of the disclosure is transmitted to the last–known address of the subject.
e. To the legislative services agency.
f. Disclosures in the course of employee disciplinary proceedings.
g. In response to a court order or subpoena.
5.10(1) “Routine use” means the disclosure of a record without the consent of the subject or subjects, for a purpose which is compatible with the purpose for which the record was collected. It includes disclosures required to be made by statute other than the public records law, Iowa Code chapter 22.
5.10(2) To the extent allowed by law, the following uses are considered routine uses of all agency records:
a. Disclosure to those officers, employees, and agents of the agency who have a need for the rec–ord in the performance of their duties. The custodian of the record may, upon request of any officer or employee, or on the custodian’s own initiative, determine what constitutes legitimate need to use confidential records.
b. Disclosure of information indicating an apparent violation of the law to appropriate law enforcement authorities for investigation and possible criminal prosecution, civil court action, or regulatory order.
c. Disclosure to the department of inspections and appeals regarding matters in which it performs services or functions on behalf of the agency.
d. Transfers of information within the agency, to other state agencies, or to local units of government, as appropriate, to administer the program for which the information is collected.
e. Information released to staff of federal and state entities for audit purposes or to determine whether the agency is operating a program lawfully.
f. Any disclosure specifically authorized by the statute under which the record is collected or maintained.
281—5.11(256) Consensual disclosure of confidential records.
5.11(1) Consent to disclosure by a subject individual. To the extent permitted by law, the subject may consent in writing to agency disclosure of confidential records as provided in rule 5.7(256).
5.11(2) Complaints to public officials. A letter from a subject of a confidential record to a public official which seeks the official’s intervention on behalf of the subject in a matter that involves the agency may to the extent permitted by law be treated as an authorization to release sufficient information about the subject to the official to resolve the matter.
281—5.12(256) Release to a subject.
5.12(1) The subject of a confidential record may file a written request to review confidential rec–ords about that person as provided in rule 5.6(256). However, the agency need not release the following records to the subject:
a. The identity of a person providing information to the agency need not be disclosed directly or indirectly to the subject of the information when the information is authorized to be held confidential pursuant to Iowa Code section 22.7(18) or other provision of law.
b. Records need not be disclosed to the subject when they are the work product of an attorney or are otherwise privileged.
c. Peace officers’ investigative reports may be withheld from the subject, except as required by the Iowa Code. (See Iowa Code section 22.7(5))
d. As otherwise authorized by law.
5.12(2) Where a record has multiple subjects with interest in the confidentiality of the record, the agency may take reasonable steps to protect confidential information relating to another subject.
281—5.13(256) Availability of records.
5.13(1) Open records. Agency records are open for public inspection and copying unless otherwise provided by rule or law.
5.13(2) Confidential records. The following records may be withheld from public inspection. Records are listed by category, according to the legal basis for withholding them from public inspection.
a. Sealed bids received prior to the time set for public opening of bids under Iowa Code section 72.3.
b. Tax records made available to the agency. (Iowa Code sections 422.20 and 422.72)
c. Records which are exempt from disclosure under Iowa Code section 22.7.
d. Minutes of closed meetings of a government body. (Iowa Code section 21.5(4))
e. Identifying details in final orders, decisions and opinions to the extent required to prevent a clearly unwarranted invasion of personal privacy or trade secrets under Iowa Code section 17A.3(1)“d.”
f. Those portions of agency staff manuals, instructions or other statements issued which set forth criteria or guidelines to be used by agency staff in auditing, in making inspections, in settling commercial disputes or negotiating commercial arrangements, or in the selection or handling of cases, such as operational tactics or allowable tolerances or criteria for the defense, prosecution or settlement of cases, when disclosure of these statements would:
(1) Enable law violators to avoid detection;
(2) Facilitate disregard of requirements imposed by law; or
(3) Give a clearly improper advantage to persons who are in an adverse position to the agency. (See Iowa Code sections 17A.2 and 17A.3)
g. Records which constitute attorney work product, attorney–client communications, or which are otherwise privileged. Attorney work product is confidential under Iowa Code sections 22.7(4), 622.10 and 622.11, Iowa R.C.P. 122(c), Fed. R. Civ. P. 26(b)(3), and case law. Attorney–client communications are confidential under Iowa Code sections 622.10 and 622.11, the rules of evidence, the Code of Professional Responsibility, and case law.
h. Any other records made confidential by law.
5.13(3) Authority to release confidential records. The agency may have discretion to disclose some confidential records which are exempt from disclosure under Iowa Code section 22.7 or other law. Any person may request permission to inspect records withheld from inspection under a statute which authorizes limited or discretionary disclosure as provided in rule 5.4(17A,22). If the agency initially determines that it will release these records, the agency may, where appropriate, notify interested parties and withhold the records from inspection as provided in subrule 5.4(3).
281—5.14(256) Personally identifiable information. This rule describes the nature and extent of personally identifiable information which is collected, maintained, and retrieved by the agency by personal identifier in record systems as defined in rule 5.1(256). For each record system, this rule describes the legal authority for the collection of that information, the means of storage of that information and indicates whether a data processing system matches, collates, or permits the comparison of personally identifiable information in one record system with that in another record system. The rec–ord systems maintained by the agency are:
5.14(1) Staff records of the basic educational data survey. Records of employees of area educational agencies, merged area schools, and approved public and private schools, whose positions require an Iowa teacher’s certificate and contain such personally identifiable information as name, Iowa teacher’s certificate number, and social security number. Other data collected are date of birth, teaching experience, sex, current position and assignments. This information is collected pursuant to Iowa Code subsection 256.9(18) and 281—subrule 11.1(4), and is stored on paper and in an automated data processing system. Data processing systems match, collate, and compare the personally identifiable information of the staff records with that of teacher certification records.
5.14(2) Driver education records. Driver education records contain personally identifiable information such as name, driver’s license number, and Iowa teacher’s certificate number collected pursuant to Iowa Code section 321.178 and 281—Chapter 26, and are stored on paper and in an automated data processing system. Data processing systems match, collate, and compare the personally identifiable information of the driver education records with that of the teacher certification records and BEDS staff records.
5.14(3) Bus driver permit records. Bus driver permit records contain personally identifiable information such as name, social security number, driver’s license number, and bus driver’s permit number collected pursuant to Iowa Code sections 321.376 and 285.11(10) and 281—Chapter 43, and are stored on paper and in an automated data processing system. Data processing systems match, collate, and compare the personally identifiable information of the bus driver permit numbers with that of bus accident records.
5.14(4) Bus accident records. Bus accident records contain one item of personally identifiable information: the driver’s social security number collected pursuant to Iowa Code section 321.376 and 281—Chapter 43 and are stored on paper and in an automated data processing system. Data processing systems match, collate, and compare the personally identifiable information of the bus accident rec–ords with that of bus driver permit records.
5.14(5) Teacher certification records. Teacher certification records contain information about each individual issued an Iowa teacher’s certificate. These records contain such personally identifiable information as name, teacher’s certificate number and social security number. Other data collected are date of birth, type and source of degree, completion of mandatory postgraduation coursework, experience, and the subjects and grade level authorized to teach. This information is collected pursuant to Iowa Code sections 256.7(3) and 256.7(5), Iowa Code chapter 260, and 281—Chapters 84 to 88 and 73 to 75, and is stored on paper and in an automated data processing system. Data processing systems match, collate, and compare the personally identifiable information of the teacher certification records with that of BEDS staff records, driver education records, and career education records.
5.14(6) Exceptional child survey. These records are exempt from disclosure under Iowa Code subsection 22.7(1). The information gathered by this system relates to children and youth identified as handicapped and in need of special education. Each student record contains a code derived from the child’s name and birth date. The coded identifier is the personally identifiable information. Information in each record pertains to the child’s handicapping condition and the special education instructional and support–related services provided to the child. Each record may also contain the child’s teacher’s name and teaching certificate number. This information is collected pursuant to Iowa Code chapter 256B and 34 CFR, Parts 300 and 301 (1986). Procedures for protection of and access to this information are set forth in this state’s plan under the Education of All the Handicapped Act, 20 U.S.C. §1401 et seq. These policies and procedures are in compliance with the Family Educational Rights and Privacy Act of 1974 (34 CFR, Part 90) and 34 CFR sections 300.129, 300.560–576, Confidentiality of Information, Part B, EHA, as amended (1986).
This information is stored in an automated data processing system that does not match, collate, or compare the personally identifiable information of the exceptional child survey records with the personally identifiable information of other records systems.
5.14(7) Rule exception requests and adjusted program reports. Information gathered by this form relates to excepting the rules of special education in certain circumstances in order to provide a program of educational services to an identified handicapped child or children. These rule exception requests and adjusted program reports could contain personally identifiable information on pupils involved in the special circumstance.
This information is collected pursuant to Iowa Code chapters 256B and 273 and IAC 281—subrules 41.30(1) and 41.30(2). This information is stored on paper and is not on any automated data processing system. All personally identifiable information gathered through this effort is confidential under the provisions of 34 CFR, Parts 90 and 300 (1986) and Iowa Code section 22.7(1).
5.14(8) Department approval—special education placements. These are requests for approval to place a handicapped pupil in an out–of–state educational program and would contain personally identifiable information such as the pupil’s name, birth date, residence, handicapping condition and other information relative to the identified special education needs of the pupil. Response to these requests for department approval would contain similar information.
This information is collected pursuant to Iowa Code subsection