Attachment #5 

Iowa Administrative Code 481-Chapter 10: Contested Case Hearings 

CHAPTER 10 

CONTESTED CASE HEARINGS 

[Prior to 2/10/88, see Inspections and Appeals Deparhnent[481],Ch 4] 

481-10.1(l0A) Definitions. 

"Administrative law judge (ALJ) " means the person who presides over contested cases and 

other proceedings. 

"Agency" means the agency as defined in Iowa Code subsection 17A.2(1) which has original 

subject matter jurisdiction in the contested case. 

"Appointing authority" means the appointed or elected chief administrative head of a 

department, commission, board, independent agency, or statutory office or that person's designee 

or in the case of gubernatorial appointees, the governor. 

"Board" means a licensing board as defined in Iowa Code chapter 272C. 

"Department" means the department of inspections and appeals (DIA). 

"Division" means the division of administrative hearings in the department of inspections 

and appeals. 

"Ex parte" means a communication, oral or written, to an AU or other decision maker in a 

contested case without notice and an opportunity for all parties to be heard. 

"Filing" is defined in subrule 10. 12(3) except where otherwise specifically defined by law. 

"Issuance " means the date of mailing of a decision or order or date of delivery if service is by 

other means. 

"Party" means a party as defined in Iowa Code subsection 17A.2(5) . 

"Personally investigated" means taking affirmative steps to interview witnesses directly or to 

obtain documents or other information directly. The term "personally investigated" does not 

include general direction and supervision of assigned investigators, unsolicited receipt of 

information which is relayed to assigned investigators, review of another person's investigative 

work product in the course of determining whether there is probable cause to initiate a 

proceeding, or exposure to factual information while performing other agency functions, 

including fact gathering for purposes other than investigation of the matter which culminates in a 

contested case. 

"Presiding officer" means, as used in the code of administrative judicial conduct, all persons 

who preside in contested case proceedings under Iowa Code section 17A.11(1) as amended by 

1998 Iowa Acts, chapter 1202, section 15 . 

"Proposed decision " means the administrative law judge's recommended findings of fact, 

conclusions of law, and decision and order in contested cases where the agency did not preside . 

481-10.2(10A,17A) Time requirements. Time shall be computed as provided in Iowa Code 

subsection 4.1(22) . For good cause, the administrative law judge may extend or shorten the time 

to take any action, except as provided otherwise by rule or law. 

This rule is intended to implement Iowa Code sections 10A.202(1) and 17A .22 . 

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481-10.3(l0A) Requests for a contested case hearing . Requests for a contested case hearing 

are made to the agency with subject matter jurisdiction . That agency shall determine whether to 

initiate a contested case proceeding. 

This rule is intended to implement Iowa Code section 10A.202(l) . 

481-10.4(l0A) Transmission of contested cases. 

10.4(1) In every proceeding filed with the division, the agency shall complete a transmittal 

form. The following information is required : 

a. The name of the transmitting agency; 

b. The name, address and telephone number of the contact person in the transmitting agency; 

c. The name or title of the proceeding, which may include a file number; 

d. Any agency docket or reference number; 

e. A citation to the jurisdictional authority of the agency regarding the matter in controversy ; 

f. Any anticipated special features or requirements which may affect the hearing; 

g. Whether the hearing should be held in person or by telephone conference call ; 

h. Any special legal or technical expertise needed to resolve the issues in the case; 

i. The names and addresses of all parties and their attorneys or other representatives ; 

j. The date the request for a contested case hearing was received by the agency; 

k A statement of the issues involved and a reference to statutes and rules involved; 

l. Any mandatory time limits that apply to the processing of the case; 

m. Earliest appropriate hearing date; and 

n. Whether a petition or answer is required . 

10.4(2) The agency and the department determine by agreement whether the agency or the 

department shall issue the notice of hearing. 

a. If agreed by the agency and the department, the agency shall attach a notice of hearing to 

the transmittal form. 

b. If the division by agreement issues the notice of hearing, the agency must provide the 

information required by Iowa Code section 17A.12(2) (except for the date, time and place of the 

hearing) for inclusion in the notice. 

c. The agency, and not the division, shall prepare: 

(1) The citation to the jurisdictional authority of the agency regarding the matter in 

controversy; 

(2) A statement of the issues involved; 

(3) A reference to statutes and rules involved; and 

(4) The remaining information required by the transmittal form as stated in subrule 10.4(1). 

10.4(3) The following documents shall be attached to the completed transmittal form when it 

is sent to the division: 

a. A copy of the document showing the agency action in controversy ; and 

b. A copy of any document requesting a contested case hearing. 

10.4(4) When a properly transmitted case is received, it is marked with the date of receipt by 

the division. An identifying number shall be assigned to each contested case upon receipt. 

This rule is intended to implement Iowa Code section 10A.202(1) . 

481-10.5(17A) Notices of hearing. 

10.5(1) Responsibility for issuance of notice of hearing and the manner of service shall be 

resolved by agreement between the division and the transmitting agency. 

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10.5(2) Notices of hearing shall contain the information required by Iowa Code subsection 

17A.12(2) and any additional information required by statute or rule. Notices shall be served by 

first-class mail, unless otherwise required by statute or rule, or agreed pursuant to subrule 

10.5(1). 

This rule is intended to implement Iowa Code sections 17A.12(1) and 17A,12(2). 

481-10.6(l0A) Waiver of procedures. Unless otherwise precluded, the parties in a contested 

case may waive any provision of this chapter pursuant to Iowa Code section 17A.10 . 

This rule is intended to implement Iowa Code section 10A.202(2) . 

481-10.7(10A,17A) Telephone proceedings . A prehearing conference or a hearing may be 

held by telephone conference call pursuant to a notice of hearing or an order of the ALJ. The 

division shall determine the location of the parties and witnesses in telephone hearings. The 

convenience of the witnesses or parties, as well as the nature of the case, shall be considered 

when location is chosen. 

481-10.8(10A,17A) Scheduling. Contested case hearings are scheduled according to the 

following criteria: 

10.8(1) Agency hearings. The division shall promptly schedule hearings . 'The availability of 

an administrative law judge and any special circumstances shall be considered. 

10.8(2) Board hearings. Boards are requested to consult with the division prior to scheduling 

hearings to determine the availability of an administrative law judge. The board shall determine 

the time and place of hearing. 

481-10.9(17A) Disqualification . 

10.9(1) An administrative law judge shall withdraw from contested cases for lack of 

impartiality or other legally sufficient cause including, but not limited to, cases where: 

a. The ALJ has a personal bias or prejudice concerning a party, or personal knowledge of 

disputed evidentiary facts concerning the case; 

b. The ALJ has prosecuted or advocated in connection with the case, the specific controversy 

underlying the case, or another pending factually related contested case or pending factually 

related controversy that may culminate in a contested case involving the same parties ; 

c. A private party is a client or has been a client of the ALJ within the past two years; 

d. The ALJ has a financial interest in the case or any other interest that could be substantially 

affected by the outcome of the case; or 

e. The ALJ, the ALJ's spouse, or relative within the third degree of relationship : 

(1) Is a party to the case or an officer, director or trustee of a party; 

(2) Is a lawyer in the case; 

(3) Is known by the ALJ to have an interest that could be substantially affected by the 

outcome of the case; or 

(4) Is to the ALJ's knowledge likely to be a material witness in the case. 

10.9(2) If an ALJ does not withdraw, the AU shall disclose on the record any information 

relevant to the grounds listed in subrule 10.9(1). 

10.9(3) If a party asserts disqualification on any appropriate ground, including those listed in 

subrule 10.9(1), the party shall file an affidavit pursuant to Iowa Code subsection 17A.17(4) . The 

affidavit must be filed with the division within 15 days of the date of the notice of hearing, or as 

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soon as the reason alleged in the affidavit becomes known to the party, but in any case shall be 

filed prior to the hearing. 

This rule is intended to implement Iowa Code section 17A.17 . 

481-10.10(10A,17A) Consolidation-severance. 

10.10(1) Consolidation . The administrative law judge may, upon motion by any party or the 

ALJ's own motion, consolidate any or all matters at issue in two or more proceedings docketed 

under these rules where: 

a. There exist common parties or common questions of fact or law; 

b. Consolidation would expedite and simplify consideration of the issues ; and 

c. Consolidation would not adversely affect the rights of parties engaged in otherwise 

separate proceedings. 

At any time prior to the hearing, any party may on motion request that the matters not be 

consolidated, and the motion shall be granted for good cause shown. 

10.10(2) Severance. The administrative law judge may, upon motion by any party or upon the 

ALJ's own motion, for good cause shown, order any proceeding or portion thereof severed. 

This rule is intended to implement Iowa Code sections 10A.202(1) and 17A.22 . 

481-10.11(10A,17A) Pleadings. Pleadings may be required by the notice of hearing or by order 

of the administrative law judge. If pleadings are required, they shall be filed as follows : 

10.11(1) Petition. When an action of the agency is appealed and pleadings are required under 

subrule 10 .10(1), the aggrieved party shall file the petition. 

a. Any required petition shall be filed within 20 days of delivery of the notice of hearing, 

unless otherwise ordered. 

b. The petition shall state in separately numbered paragraphs the following : 

(1) The relief demanded and the facts and law relied upon for relief; 

(2) The particular provisions of the statutes and rules involved; 

(3) On whose behalf the petition is filed; and 

(4) The name, address and telephone number of the petitioner and the petitioner's attorney, if 

any. 

10. 11(2) Answer. If pleadings are required, the answer shall be filed within 20 days of service 

of the petition or notice of hearing, unless otherwise ordered. 

a. Any party may move to dismiss or apply for a more definite, detailed statement when 

appropriate . 

b. The answer shall show on whose behalf it is filed and specifically admit, deny or 

otherwise answer all material allegations of the pleading to which it responds. It shall state any 

facts deemed to show an affirmative defense and may contain as many defenses as the pleader 

may claim. 

c. The answer shall state the name, address and telephone number of the person filing the 

answer and of the attorney representing that person, if any. 

d. Any allegation in the petition not denied in the answer is considered admitted. Any 

defense not raised which could have been raised on the basis of facts known when the answer 

was written may be waived unless manifest injustice would result . 

10.11(3) Amendment. Any petition, notice of hearing or other charging document may be 

amended before a responsive pleading has been filed. Amendments to pleadings after a 

responsive pleading has been filed may be allowed at the discretion of the ALJ or board if 

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applicable. The presiding ALJ or board may impose terms or grant a continuance without terms, 

as a condition of allowing late amendments. 

This rule is intended to implement Iowa Code sections 10A. 202(1) and 17A.12(6) "a. " 

481-10.12(17A) Service and filing of pleadings and other papers. 

10.12(1) When service is required. Except where otherwise specifically authorized by law, 

every pleading, motion, document or other paper filed in the contested case proceeding and every 

paper relating to discovery in the proceeding shall be served upon each of the parties to the 

proceeding, including the originating agency. Except for the notice of the hearing and an 

application for rehearing as provided in Iowa Code subsection 17A.16(2), the party filing a 

document is responsible for service on all parties . 

10.12(2) Methods of performing service. Service upon a party represented by an attorney shall 

be made upon the attorney unless otherwise ordered. Service is made by delivery or by mailing a 

copy to the person's last-known address. Service by first-class mail is rebuttably presumed to be 

complete upon mailing, except where otherwise specifically provided by statute, rule or order. 

10.12(3) Filing. After a matter has been assigned to the division, and until a proposed 

decision is issued, documents shall be filed with the division, rather than the originating agency. 

All papers filed after the notice is issued that are required to be served upon a. party shall be filed 

simultaneously with the division. 

a. Except where otherwise provided by law, a document is deemed filed at the time it is : 

(1) Delivered to the division of appeals and fair hearings, department of inspections and 

appeals and date-stamped received; 

(2) Delivered to an established courier service for immediate delivery; 

(3) Mailed by first-class mail or by state interoffice mail so long as there is adequate proof of 

mailing; or 

(4) Sent by facsimile transmission (fax) as provided in subrule 10.12(3), paragraph "b. " 

b. All documents filed with the division pursuant to these rules, except a person's request or 

demand for a contested case proceeding, (see Iowa Code subsection 17A.12(9)) may be filed by 

facsimile transmission (fax). A copy shall be filed for each case involved. A document filed by 

fax is presumed to be an accurate reproduction of the original. If a document filed by fax is 

illegible, a legible copy may be substituted and the date of filing shall be the date the illegible 

copy was received. The date of filing by fax shall be the date the document: is received by the 

division. The division will not provide a mailed file-stamped copy of documents filed by fax. 

10.12(4) Proof of mailing. Adequate proof of mailing includes the following : 

a. A legible United States postal service postmark on the envelope; 

b. A certificate of service ; 

c. A notarized affidavit ; or 

d. A certification in substantially the following form: 

I certify under penalty of perjury and pursuant to the laws of Iowa that, on (date 

of mailing), I mailed copies of (describe document) addressed to the 

Department of Inspections and Appeals, Appeals Division, Lucas State Office 

Building, 2nd Floor, Des Moines, Iowa 50319, and to the names and addresses 

of the parties listed below by depositing the same in (a United States post office 

mailbox with correct postage properly affixed) or (state interoffice mail). 

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(date) (signature) 

481-10.13(17A) Discovery. 

10.13(1) Pursuant to Iowa Code section 17A.13, discovery procedures applicable in civil 

actions are applicable in contested cases. Unless lengthened or shortened by rules of the agency 

or by a ruling by the ALJ, time periods for compliance with discovery shall be as provided in the 

Iowa Rules of Civil Procedure. 

10.13(2) Any motion relating to discovery shall allege that the moving party has made a good 

faith attempt to resolve the issues raised by the motion with the opposing party. Motions in 

regard to discovery shall be ruled on by the ALJ. Opposing parties shall be afforded the 

opportunity to respond within ten days of the filing of the motion unless the time is shortened as 

provided in subrule 10.13(1) . The ALJ may rule on the basis of the written motion and any 

response or may order argument on the motion. 

This rule is intended to implement Iowa Code section 17A.13 . 

481-10.14(10A,17A) Subpoenas. 

10.14(1) Issuance. 

a. Pursuant to Iowa Code subsection 17A.13(1), an agency subpoena shall be issued to a 

party on request unless subrule 10. 14(l), paragraph "d, " applies . A request may be either oral or 

in writing . A written request to the division for a subpoena must be received at least three days 

before the scheduled hearing. The request shall include the name, address and telephone number 

of the requesting party. 

b. Parties are responsible for service of their own subpoenas and payment of witness fees 

and mileage expenses. 

c. When authorized by law, an administrative law judge may issue a subpoena on the ALJ's 

own motion. 

d. When there is reasonable ground to believe a subpoena is requested for the purpose of 

harassment, or that the subpoena is irrelevant, the administrative law judge may refuse to issue 

the subpoena, or may require the requesting party to provide a statement of testimony expected to 

be elicited from the subpoenaed witness and a showing of relevancy. If the ALJ refuses to issue a 

subpoena, the ALJ shall provide, upon request, a written statement of the ground for refusal . A 

party to whom a refusal is issued may obtain a prompt hearing regarding the refusal by filing a 

written request with the division. 

10.14(2) Motion to quash or modify. 

a. A subpoena may be quashed or modified upon motion for any lawful ground in 

accordance with the Iowa Rules of Civil Procedure. 

b. A motion to quash or modify a subpoena shall be served on all parties of record. 

c. The motion shall be set for argument promptly. 

This rule is intended to implement Iowa Code sections 10A.104(6) and 17A.13 . 

481-10.15(10A,17A) Motions. 

10.15(1) No technical form is required for motions . Prehearing motions, however, must be 

written, state the grounds for relief and state the relief sought. Any motion for summary judgment 

shall be filed in compliance with the requirements of Iowa Rules of Civil Procedure. 

10.15(2) Any party may file a written resistance or response to a motion within 14 days after 

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the motion is served, unless the time period is extended or shortened by rules of the agency or the 

administrative law judge. The ALJ may consider a failure to respond within the required time 

period in ruling on a motion. 

10.15(3) The administrative law judge may schedule oral argument on any motion on the 

request of any party or the ALJ's own motion. 

10.15(4) Except for good cause, all motions pertaining to the hearing must be filed and served 

at least ten days prior to the hearing date unless the time period is shortened or lengthened by 

rules of the agency or the administrative law judge. 

481-10.16(17A) Prehearing conference. 

10.16(1) Any party may request a prehearing conference. A request for prehearing conference 

or an order for prehearing conference on the ALJ's own motion shall be filed in writing and 

served on all parties of record not less than ten days prior to the hearing date. A prehearing 

conference shall be scheduled not less than three business days prior to the hearing date. 

Notice of the prehearing conference shall be given by the division to all parties . For good 

cause the ALJ may permit variances from this rule. 

10.16(2) Each party shall bring to the prehearing conference: 

a. A final list of witnesses who the party reasonably anticipates will testify at the hearing. 

Witnesses not listed may be excluded from testifying. 

b. A final list of exhibits which the party reasonably anticipates will be introduced at the 

hearing. Exhibits not listed, except rebuttal exhibits, may be excluded from admission into 

evidence. 

10.16(3) In addition to the requirements of subrule 10.16(2), the parties at a prehearing 

conference may: 

a. Enter into stipulations of law; 

b. Enter into stipulations of fact; 

c. Enter into stipulations on the admissibility of exhibits ; 

d. Identify matters which the parties intend to request be officially noticed; 

e. Unless precluded by statute, enter into stipulations for waiver of the provisions of Iowa 

Code chapter 17A allowed by Iowa Code section 17A.10(2) or waiver of agency rules; and 

f. Consider any additional matters which will expedite the hearing. 

10.16(4) A prehearing conference shall be conducted by telephone conference call unless 

otherwise ordered. Parties shall exchange and receive witness and exhibit lists prior to a 

telephone prehearing conference. 

This rule is intended to implement Iowa Code section 17A.10 . 

481-10.17(l0A) Continuances. Unless otherwise provided, application for continuance shall 

be made to the ALJ or to the division if an ALJ has not been assigned. 

10.17(1) A written application for continuance shall : 

a. Be made before the hearing; 

b. State the specific reasons for the request; and 

c. Be signed by the requesting party or their representative . 

10.17(2) If the ALJ waives the requirement for a written motion, an oral application for 

continuance may be made. A written application shall be submitted no later than five days after 

the oral request. The ALJ may waive this requirement. No application for continuance will be 

made or granted ex parte without notice except in an emergency where notice is not feasible. The 

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agency may waive notice of requests for a case or a class of cases. 

10.17(3) Except where otherwise provided, a continuance may be granted at the discretion of the ALJ. The administrative law judge shall consider, in addition to the grounds stated in the motion: 

a. Any prior continuances ; 

b. The interests of all parties; 

c. The likelihood of informal settlement; 

d. Existence of emergency; 

e. Objection to the continuance; 

f. Any applicable state or federal statutes or regulations ; 

g. The existence of a conflict in the schedules of counsel or parties or witnesses ; and 

h. The timeliness of the request . 

The ALJ may require documentation of any ground for continuance. 

This rule is intended to implement Iowa Code section 10A.202(1) . 

481-10.18(10A,17A) Withdrawals. The party which requested an evidentiary hearing 

regarding agency action may withdraw prior to the hearing only in accordance with agency rules. 

Requests for withdrawal may be oral or written. If oral, the ALJ may require the party to submit a 

written request after the oral request . Unless otherwise provided, a withdrawal shall be with 

prejudice. 

This rule is intended to implement Iowa Code sections 10A.202(1) and 17A.22 . 

481-10.19(10A,17A) Intervention. 

10.19(1) Motion. A motion for leave to intervene shall be served on all parties and shall state 

the grounds for the proposed intervention, the position and interest of the proposed intervenor, 

and the possible impact of intervention on the proceeding. A proposed answer or petition in 

intervention shall be attached to the motion. Any party may file a response within ten days of 

service of the motion to intervene unless the time period is extended or shortened by the ALJ. 

10.19(2) When filed. Motion for leave to intervene shall be filed as early in the proceeding as 

possible to avoid adverse impact on existing parties or the disposition of the proceeding. Unless 

otherwise ordered, a motion for leave to intervene shall be filed before the prehearing conference, 

if one is held, or at least 20 days before the date scheduled for hearing. Any later motion must 

contain a statement of good cause for the failure to file in a timely manner. The intervenor shall 

be bound by any agreement, arrangement or other matter previously raised in the case. Requests 

by untimely intervenors for continuances which would delay the hearing will be denied. 

10.19(3) Grounds for intervention. The movant shall demonstrate that: 

a. Intervention would not unduly prolong the proceedings or otherwise prejudice the rights 

of existing parties ; 

b. The movant will be aggrieved or adversely affected by a final order; and 

c. The interests of the movant are not being adequately represented by existing parties ; or 

that it is otherwise entitled to intervene. 

10.19(4) Effect of intervention . If appropriate, the ALJ may order consolidation of petitions 

and briefs and limit the number of representatives allowed to participate in the proceedings. A 

person granted leave to intervene is a party to the proceeding. The order granting intervention 

may restrict the issues to be raised or otherwise condition the intervenor's participation in the 

proceeding. 

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This rule is intended to implement Iowa Code sections 10A.202(1) and 17A.22 . 

481-10.20(17A) Hearing procedures. 

10.20(1) When an AU has been appointed as the presiding officer in a contested case, the 

ALJ may: 

a. Rule on motions ; 

b. Preside at the hearing; 

c. Require the parties to submit briefs ; 

d. Issue a proposed decision ; and 

e. Issue orders and rulings to ensure the orderly conduct of the proceedings. 

10.20(2) All objections to procedures, admission of evidence or any other matter shall be 

timely made and stated on the record. 

10.20(3) Parties in a contested case have the right to participate or to be represented in all 

hearings or prehearing conferences related to their case. Partnerships, corporations or 

associations may be represented by any member, officer, director or duly authorized agent. Any 

party may be represented by an attorney or as otherwise authorized by law. 

10.20(4) Parties in a contested case have the right to introduce evidence on points at issue, to 

cross-examine witnesses present at the hearing as necessary for a full and true disclosure of the 

facts, to present evidence in rebuttal and to submit briefs. 

10.20(5) The ALJ shall maintain the decorum of the hearing and may refuse to admit or may 

expel anyone whose conduct is disorderly or disruptive. 

10.20(6) Witnesses may be sequestered during the hearing. 

10.20(7) The ALJ shall conduct the hearing in the following manner: 

a. The AU shall give an opening statement briefly describing the nature of the proceeding; 

b. The parties shall be given an opportunity to present opening statements; 

c. Parties shall present their cases in the sequence determined by the ALJ; 

d. Each witness shall be sworn or affirmed by the AU or the court reporter, and be subject to 

examination. The AU may limit questioning consistent with Iowa Code section 17A.14 ; 

e. The AU has the authority to fully and fairly develop the record and may inquire into the 

matters at issue and shall receive in evidence the testimony of witnesses and any documents 

which are relevant and material ; and 

f. When all parties and witnesses have been heard, parties shall be given the opportunity to 

present final arguments. 

This rule is intended to implement Iowa Code sections 17A.11 to 17A.14 . 

481-10.21(17A) Evidence. 

10.21(1) The AU shall rule on admissibility of evidence in accordance with Iowa Code 

section 17A.14 and may take official notice of facts pursuant to Iowa Code subsection 

17A.14(4) . 

10.21(2) Stipulation of facts is encouraged. The AU may make a decision based on stipulated 

facts . 

10.21(3) Evidence shall be confined to the issues on which there has been fair notice prior to 

the hearing. The AU may take testimony on a new issue if the parties waive the right to notice 

and no other objection is made. If there is objection, the AU may refuse to hear the new issue 

and may make a decision on the original issue in the notice, or may grant a continuance to allow 

the parties adequate time to amend pleadings and prepare their cases on the additional issue. 

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10.21(4) The party seeking admission of an exhibit must provide opposing parties with an 

opportunity to examine the exhibit prior to the ruling on its admissibility . Copies of documents 

should be provided to opposing parties . 

All exhibits admitted into evidence shall be appropriately marked and be made part of the 

record. 

10.21(5) Any party may object to specific evidence or may request limits on the scope of any 

examination or cross-examination . The party objecting shall briefly state the grounds for the 

objection. The objection, the ruling on the objection and the reasons for the ruling shall be noted 

in the record. The AU may rule on the objection at the time it is made or may reserve a ruling 

until the written decision . 

10.21(6) Whenever evidence is ruled inadmissible, the party offering that evidence may 

submit an offer of proof on the record. The party making the offer of proof for excluded oral 

testimony shall briefly summarize the testimony. If the evidence excluded consists of a document 

or exhibits, it shall be marked as part of an offer of proof and inserted in the record. 

This rule is intended to implement Iowa Code sections 17A.11 to 17A.14 . 

481-10.22(17A) Default. 

10.22(1) If a party fails to appear in a contested case proceeding after proper service of notice, 

the ALJ may, if no adjournment is granted, proceed with the hearing and make a decision in the 

absence of the party. 

10.22(2) Where appropriate and not contrary to law, any party may move for default against a 

party who has requested an evidentiary hearing to contest adverse agency action which has 

already occurred, but has failed to file a required pleading or has failed to appear after proper 

service . 

10.22(3) Where authorized by law, an ALJ may issue a default order. 

481-10.23(17A) Ex parte communication. 

10.23(1) Ex parte communication is prohibited as provided in Iowa Code section 17A.17 . 

Parties or their representatives and ALJs shall not communicate directly or indirectly in 

connection with any issue of fact or law in a contested case except upon notice and an 

opportunity for all parties to participate . The ALJ may communicate with persons who are not 

parties as provided in subrule 10.23(2). 

10.23(2) However, the ALJ may communicate with members of the agency and may have the 

aid and advice of persons other than those with a personal interest in, or those prosecuting or 

advocating in the case under consideration or a factually related case involving the same parties . 

10.23(3) Any party or ALJ who receives prohibited communication shall submit the written 

communication or a summary of the oral communication for inclusion in the record. Copies shall 

be sent to all parties . There shall be opportunity to respond. 

10.23(4) Prohibited communications may result in sanctions as provided in agency rule. In 

addition, the department, through the ALJ, may censure the person or may prohibit further 

appearance before the department. 

This rule is intended to implement Iowa Code sections 17A.14 and 17A.17 . 

481-10.24(10A,17A) Decisions . 

10.24(1) Proposed decisions. The ALJ shall issue a proposed decision which includes 

findings of fact and conclusions of law stated separately. The decision shall be based on the 

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record of the contested case. 

The record in a contested case shall include all materials specified in Iowa Code subsection 

17A.12(6) . This shall include any request for a contested case hearing and other relevant 

procedural documents regardless of their form. 

A ruling dismissing all of a party's claims or a voluntary dismissal is a proposed decision 

under Iowa Code section 17A.15 . 

10.24(2) Review of proposed decisions. Request for review of a proposed decision shall be 

made to the agency in which the contested case originated in the manner and within the time 

specified by that agency's rules . In contested cases in which the director of DIA has final 

decision-making authority, request for review shall be made as provided in rule 10.25(l0A,17A). 

10.24(3) Final decisions. If there is no appeal from or review of the proposed decision, the 

ALJ's proposed decision becomes the final decision of the agency. 

10.24(4) Agency reports . The agency shall send a copy of any request for review of a 

proposed decision to the division. The agency shall notify the division of the results of the 

review, the final decision and any judicial decision issued. 

481-10.25(10A,17A) DIA appeals. 

10.25(1) A request for review of a proposed decision in which DIA is the final decision 

maker shall be made within 15 days of issuing the proposed decision, unless otherwise provided 

by statute . Requests shall be mailed or delivered by either party to the Director, Department of 

Inspections and Appeals, Lucas State Office Building, Des Moines, Iowa 50319-0083 . Failure to 

request review will preclude judicial review unless the department reviews on its own motion as 

follows. The department may review a proposed decision upon its own motion within 15 days of 

its issuance. 

10.25(2) A review shall be based on the record and limited to issues raised in the hearing. The 

issues shall be specified in the party's request for review. 

10.25(3) Each party shall have opportunity to file exceptions and present briefs . The director 

or a designee may set a deadline for submission of briefs . When the director or designee 

consents, oral arguments may be presented . A party wishing to make an oral argument shall 

specifically request it. All parties shall be notified in advance of the scheduled time and place. 

10.25(4) The director or designee shall not take any further evidence with respect to issues of 

fact heard in the hearing except as set forth below. Application may be filed for leave to present 

evidence in addition to that found in the record of the case. If it is shown to the satisfaction of the 

director or designee that the additional evidence is material and that there were good reasons for 

failure to present it in the hearing, the director or designee may order the additional evidence 

taken upon conditions determined by the director or designee. 

10.25(5) Final decisions shall be issued by the director or the director's designee. 

10.25(6) Requests for rehearing shall be made to the director of the department within 20 

days of issuing a final decision . A rehearing may be granted when new legal issues are raised, 

new evidence is available, an obvious mistake is corrected, or when the decision failed to include 

adequate findings or conclusions on all issues . 

A request for rehearing is not necessary to exhaust administrative remedies. 

10.25(7) Judicial review of department final decisions may be sought in accordance with 

Iowa Code section 17A.19 . 

This rule is intended to implement Iowa Code sections 17A.15 and 17A.19 . 

355 
481-10.26(10A17A,272C) Board hearings. In scheduling hearings, boards should consult 

with the division to determine the availability of an ALJ . The board shall determine the time and 

place of hearing. At the request of the board, an ALJ shall assist in the conduct of a contested 

case. 

10.26(1) The AU may rule on preliminary matters, including motions, and conduct 

prehearing conferences referred by the board. 

10.26(2) The ALJ may conduct the hearing for the board, and may, when delegated by the 

board, perform duties including, but not limited to, the following : 

a. Open the record and receive appearances; 

b. Administer oaths and issue subpoenas; 

c. Enter the notice of hearing into the record ; 

d. Enter the statement of charges into the record; 

e. Receive testimony and exhibits presented by the parties ; 

f. Rule on objections and motions ; 

g. Close the hearing; and 

h. Prepare findings of fact, conclusions of law and decision and order. 

This rule is intended to implement Iowa Code sections 10A.202, 17A.11 and 272C.6 . 

i 

481-10.27(l0A) Transportation hearing fees. Any hearing on an application required by 

Iowa Code Supplement chapter 325A shall require : 

10.27(1) The applicant and any persons objecting to the granting of a certificate to submit a 

hearing fee of $350 to be shared equally to cover payment of all costs and expenses of the 

hearing. The department may require additional amounts as necessary and shall provide a written 

itemized account of all additional expenses to the parties . The hearing fee shall be made by check 

payable to the Iowa Department of Inspections and Appeals. 

10.27(2) The hearing fee to be received no later than 14 days after the notice of hearing, 

unless otherwise ordered. Failure to timely submit the hearing fee may result in cancellation of 

the hearing and denial of the application. 

10.27(3) If a scheduled hearing is canceled, that the hearing fee, less expenses incurred by the 

department, be refunded to the payers . This shall not be interpreted to authorize a refund to an 

applicant who fails to appear at a scheduled hearing. 

10.27(4) The applicant and any persons objecting to the granting of a certificate to submit a 

hearing fee of $150 to be shared equally if the hearing is held by a summary proceeding 

conducted without a personal appearance before the ALJ and where pleadings, affidavits, 

records, or other documents are submitted to the division for a decision by an ALL 

Hearing fees under jurisdiction of Department of Transportation [761] prior to 5/16/90. See 

IAB 6/26/91 for rescission of 761-525.5(3) and 528.4(3) . 

481-10.28(l0A) Recording costs. The department may provide a copy of the tape-recorded 

hearing or a printed transcript of the hearing when a record of the hearing is requested . The cost 

of preparing the tape or transcript shall be paid by the requesting party. 

Parties who request that a hearing be recorded by certified shorthand reporters shall bear the 

cost, unless otherwise provided by law. 

481-10.29(l0A) Code of administrative judicial conduct. The code of administrative judicial 

356 
conduct is designed to govern the conduct, in relation to their adjudicative functions in contested 

cases, of all persons who act as presiding officers under the authority of lowa Code section 

17A.11(1) . The canons are rules of reason. The canons shall be applied consistent with 

constitutional requirements, statutes, administrative rules, and decisional law and in the context 

of all relevant circumstances . The canons must be harmonized with the dictates of the 

administrative process as established by the legislature . While Canons 1, 2, and 3 are generally 

applicable to both administrative law judges and agency heads or members of multimember 

agency heads when these persons act as presiding officers, these canons shall be applied to 

agency heads and members of multimember agency heads only as expressly mandated by statute 

and as reasonably practicable when taking into account the fact that agency heads and members 

of multimember agency heads, unlike administrative law judges, have multiple duties imposed 

upon them by law. The provisions of Canon 4 concerning the regulation of extrajudicial activities 

are not applicable to agency heads or members of multimember agency heads. This code is to be 

construed so as to promote the essential independence of presiding officers in making judicial 

decisions. 

Whether disciplinary action is appropriate, and the degree of discipline to be imposed, shall 

be determined by the appointing authority through a reasonable and reasoned application of the 

text and shall depend on such factors as the seriousness of the transgression, whether there is a 

pattern of improper activity, and the effect of improper activity on others or on the administrative 

system. This code is not designed or intended as a basis for civil liability or criminal prosecution. 

10.29(1) Canon 1. A presiding officer shall uphold the integrity and independence of the 

administrative judiciary. 

a. An independent and honorable administrative judiciary is indispensable to justice in 

society . 

b. A presiding officer shall participate in establishing, maintaining, and enforcing high 

standards of conduct and shall personally observe those standards so that the integrity and 

independence of the administrative judiciary will be preserved . 

c. The provisions of this code are to be construed and applied to further that objective. 

10.29(2) Canon 2. A presiding officer shall avoid impropriety and. the appearance of 

impropriety in all adjudicative functions in contested cases. 

a. A presiding officer shall respect and comply with the law and at all times shall act in a 

manner that promotes public confidence in the integrity and impartiality of the administrative 

judiciary . 

b. A presiding officer shall not allow family, social, political, or other relationships to 

influence the presiding officer's judicial conduct or judgment. This provision shall not be 

construed as prohibiting the development of public policy by contested case adjudication. A 

presiding officer shall not lend the prestige of the office to advance the private interests of the 

presiding officer or others; nor shall a presiding officer convey or permit others to convey the 

impression that they are in a special position to influence the presiding officer . 

c. A presiding officer shall not hold membership in any organization that the presiding 

officer knows practices invidious discrimination on the basis of race, sex religion or national 

origin. 

10.29(3) Canon 3. A presiding officer shall perform the duties of the office impartially and 

diligently. 

a. Adjudicative responsibilities. A presiding officer in the performance of adjudicative duties 

357 
in contested case proceedings shall follow these standards: 

(1) A presiding officer shall be faithful to the law, unswayed by partisan interests, public clamor, or fear of criticism . 

(2) A presiding officer shall maintain order and decorum in proceedings before the presiding officer . 

(3) A presiding officer shall be patient, dignified, and courteous to litigants, witnesses, 

attorneys, representatives, and others with whom the presiding officer deals in an official capacity, and shall require similar conduct of attorneys, representatives, staff members and others subject to the presiding officer's direction and control . 

(4) A presiding officer shall not, in the performance of adjudicative duties by words or conduct, manifest bias or prejudice, including but not limited to bias or prejudice based upon sex, 

race, national origin or ethnicity and shall not permit staff and others subject to the presiding officer's direction and control to do so. 

(5) A presiding officer shall accord to all persons who are legally interested in a proceeding, 

or their representatives, full right to be heard according to law, and neither initiate nor consider 

ex parte communications prohibited by Iowa Code section 17A.17 . 

(6) A presiding officer shall dispose of all adjudicative matters promptly, efficiently and fairly . 

(7) A presiding officer shall abstain from public comment about a pending or impending contested case proceeding that might reasonably be expected to affect the outcome or impair the fairness of the proceeding, and shall require similar abstention by agency personnel subject to the presiding officer's direction and control . This subparagraph does not prohibit a presiding officer from making public statements in the course of official duties or from explaining for public information the hearing procedures of agencies. 

(8) A presiding officer shall not disclose or use, for any purpose unrelated to adjudicative duties, nonpublic information acquired in an adjudicative capacity except as lawfully permissible in the performance of official duties by an agency head or member of a multimember agency head. 

(9) A presiding officer shall report any violation of this code to the appropriate authority for 

any disciplinary proceedings provided by law. 

b. Disqualification . A presiding officer or other person shall withdraw from participation in the making of any proposed or final decision in a contested case if that person: 

(1) Has a personal bias or prejudice concerning a party or a representative of a party; (2) Has personally investigated, prosecuted or advocated, in connection with that case, the specific controversy underlying that case, or another pending factually related contested case, or a pending factually related controversy that may culminate in a contested case involving the same parties ; 

(3) Is subject to the authority, direction or discretion of any person who has personally investigated, prosecuted or advocated in connection with that contested case, the specific controversy underlying that contested case, or a pending factually related contested case or 

controversy involving the same parties ; 

(4) Has acted as counsel to any person who is a private party to that proceeding within the 

past two years; 

(5) Has a personal financial interest in the outcome of the case or any other significant personal interest that could be substantially affected by the outcome of the case; 

358 
(6) Has a spouse or relative withir. the third degree of relationship that: 

1 . Is a party to the case, or an officer, director or trustee of a party; 

2. Is an attorney in the case; 

3 . Is known to have an interest that could be substantially affected by the outcome of the 

case; or 

4. Is likely to be a material witness in the case; or 

(7) Has any other legally sufficient cause to withdraw from participation in the decision 

making in that case. 

c. Disclosure on record. In a situation where a presiding officer knows of information which 

might reasonably be deemed to be a basis for disqualification and decides voluntary withdrawal 

is unnecessary, the presiding officer shall disclose the relevant information on the record and 

shall state reasons why voluntary withdrawal is unnecessary. 

10.29(4) Canon 4. An administrative law judge shall regulate extrajudicial activities to 

minimize the risk of conflict with judicial duties. 

In general, an administrative law judge shall conduct all of the administra.ive law judge's 

extrajudicial activities so that the administrative law judge does not: 

l . Cast reasonable doubt on the administrative law judge's capacity to act in,partially as a 

judge; 

2. Create the appearance of impropriety or demean the adjudicative office ; or 

3. Interfere with the proper performance of adjudicative duties . 

These rules are intended to implement Iowa Code sections 10A.104, 10A.202, 1?A.10 to 

17A.17, 17A.19, 17A.22, 272C.1 and 272C6. 

[Filed emergency 7/1/86--published 7/16/86, effective 7/1/86] 

[Fiied 2/6/87, Notice 10/8/86---published 2/25/87, effective 4/1/87] 

[Filed without Notice 3/26/87-published 4/22/87, effective 5/27/87] 

[Filed 1/22/88, Notice 12/16/87-published 2/10/88, effective 3/i6/88~ 

[Filed 4/26/90, Notice 1/24/90--published 5/16/90, effective 6/20/90] 

[Filed emergency 8/1/90-published 8/22/90, effective 8/1/901 

[Filed emergency 9/27/96-published 10/23/96, effective 9/27/96] 

[Filed emergency 2/6/98-published 2/25/98, effective 2/6/98] 

[Filed 4/29/99, Notice 3/24/99--published 5/iy/99, effective 7/1/99] 

[Filed 12/6/O1, Notice 10/31/01--published 12/26/01, effective 1/30/02] 

Effective date of first unnumbered paragraph of Ch 10, Scope and applicability, delayed 70 days by the Administrative Rules Review 

Committee at its 6/13/90 meeting; this paragraph rescinded LAB 8/22/90, effective 8/1/90 . 
Attachment #6 

Code of Iowa Chapter 17A: Iowa Administrative Procedures Act 

17A.1 CITATION AND STATEMENT OF PURPOSE. 

1 . This chapter may be cited as the "Iowa Administrative Procedure Act". 

2. This chapter is intended to provide a minimum procedural code for the operation of all 

state agencies when they take action affecting the rights and duties of the public. Nothing in this 

chapter is meant to discourage agencies from adopting procedures providing greater protections 

to the public or conferring additional rights upon the public; and save for express provisions of 

this chapter to the contrary, nothing in this chapter is meant to abrogate in whole or in part any 

statute prescribing procedural duties for an 

agency which are greater than or in addition to those provided here. This chapter is meant to 

apply to all rulemaking and contested case proceedings and all suits for the judicial review of 

agency action that are not specifically excluded from this chapter or some portion thereof by its 

express term~> or by the express terms of another chapter. 

3. The purposes of this chapter are : To provide legislative oversight of powers and duties 

delegated ; o administrative agencies; to increase public accountability of administrative agencies; 

to simplify goveniment by assuring a uniform minimum procedure to which all agencies will be 

held in the conduct of their most important functions; to increase public access to governmental 

information, to increase public participation in the formulation of administrative rules; to 

increase ;fairness of agencies in their conduct of contested case proceedings; and to simplify 

the process of judicial review of agency action as well as increase its ease and availability . 

4. In accomplishing its objectives, the intention of this chapter is to strike a fair balance 

between these purposes and the need for efficient, economical and effective government 

administration . The chapter is not meant to alter the substantive rights of any person or ,dgency. 

Its impact is limited to procedural rights with the expectation that better substantive results will 

be achieved in the everyday conduct of state government by improving the process by which 

those results are attained . 

17A.2 DEFINITIONS. 

As used in this chapter: 

1 . "Agency" means each board, commission, department, officer or other administrative 

office or unit of the state. "Agency" does not mean the general assembly, the judicial branch or 

any of its components, the office of consumer advocate, the governor, or a political subdivision 

of the state or its offices and units. Unless provided otherwise by statute, no less than two-thirds 

of the members eligible to vote of a multimember agency constitute a quoruni authorized to act 

in the name of the agency. 

2. "Agency action" includes the whole or apart of an agency rule or other statement of law 

or policy, order, decision, license, proceeding, investigation, sanction, relief, or the equivalent or 

a denial thereof, or a failure to act, or any other exercise of agency discretion or failure to do so, 

or the performance of any agency duty or the failure to do so. 

360 
3 . "Agency member" means an individual who is the statutory or constitutional head of an 

agency, or an individual who is one of several individuals who constitute the statutory or 

constitutional head of an agency. 

4. "ARC number" means the identification number assigned by the governor's 

administrative rules coordinator to each rulemaking document. 

5 . "Contested case" means a proceeding including but not restricted to ra,temaking, price 

fixing, and licensing in which the legal rights, duties or privileges of a party are required by 

Constitution or statute to be determined by an agency after an opportunity for an evidentiary 

hearing. 

6. "License" includes the whole or apart of any agency permit, certificate, approval, 

registration, charter, or similar form of permission required by statute . 

7 . "Licensing" includes the agency process respecting the grant, denial, renewal, 

revocation, suspension, annulment, withdrawal, or amendment of a license . 

8 . "Party" means each person or agency named or admitted as a party or properly seeking 

and entitled as of right to be admitted as a party. 

9. "Person" means any individual, partnership, corporation, association, governmental 

subdivision, or public or private organization of any character other than an agency. 

10. "Provision of law" means the whole or part of the Constitution of the United States of 

America or the Constitution of the State of Iowa, or of any federal or state statute, court rule, 

executive order of the governor, or agency rule. 

11 . "Rule" means each agency statement of general applicability that implements, 

interprets, or prescribes law or policy, or that describes the organization, procedure, or practice 

requirements of any agency. Notwithstanding any other statute, the term includes an executive 

order or directive of the governor which creates an agency or establishes a program or which 

transfers a program between agencies established by statute or rule. The term :includes the 

amendment or repeal of an existing rule, but does not include : 

a. A statement concerning only the internal management of an agency and which does not 

substantially affect the legal rights of, or procedures available to, the public or any segment 

thereof. 

b. A declaratory order issued pursuant to section 17A.9, or an interpretation issued by an 

agency with respect to a specific set of facts and intended to apply only to that specific set of 

facts. 

c. An intergovernmental, interagency, or intra-agency memorandum, directive, manual, or 

other communication which does not substantially affect the legal rights of, or procedures 

available to, the public or any segment thereof. 

d. A determination, decision, or order in a contested case. e. An opinion of the attorney 

general . 

f Those portions of staff manuals, instructions, or other statements issued by an agency 

which set forth criteria or guidelines to be used by its 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 the disclosure of such statements would: (1) enable law 

violators to avoid detection; or (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 state. 

361 
g. A specification of the prices to be charged for goods or services sold by an agency as 

distinguished from a license fee, application fee, or other fees. 

h. A statement concerning only the physical servicing, maintenance, or care of publicly 

owned or operated facilities or property. 

i. A statement relating to the use of a particular publicly owned or operated facility or 

property, the substance of which is indicated to the public by means of signs or signals . 

j. A decision by an agency not to exercise a discretionary power. 

k. A statement concerning only inmates of a penal institution, students enrolled in an 

educational institution, or patients admitted to a hospital, when issued by such an agency. 

12. "Rulemaking" means the process for adopting, amending, or repealing a rule. 

17A.3 PUBLIC INFORMATION - ADOPTION OF RULES -- AVAILABILITY OF 

RULES AND ORDERS. 

1 . In addition to other requirements imposed by Constitution or statute, each agency shall: 

a. Adopt as a rule a description of the organization of the agency which states the general 

course and method of its operations, the administrative subdivisions of the agency and the 

programs implemented by each of them, a statement of the mission of the agency, and the 

methods by which and location where the public may obtain information or make submissions or 

requests. 

b. Adopt rules of practice setting forth the nature and requirements of all formal and 

informal procedures available to the public, including a description of all forms and instructions 

that are to be used by the public in dealing with the agency. 

c. As soon as feasible and to the extent practicable, adopt rules, in addition to those 

otherwise required by this chapter, embodying appropriate standards, principles, and procedural 

safeguards that the agency will apply to the law it administers . 

d. Make available for public inspection all rules, and make available for public inspection 

and index by subject, all other written statements of law or policy, or interpretations formulated, 

adopted, or used by the agency in the discharge of its functions. Except as otherwise required by 

Constitution or statute, or in the use of discovery under the Iowa rules of civil procedure or in 

criminal cases, an agency shall not be required to make available for public inspection those 

portions of its staff manuals, instructions, or other statements excluded from the definition of 

"rule" by section 17A.2, subsection 11, paragraph 'f'. 

e. Make available for public inspection and index by name and subject all final orders, 

decisions, and opinions: Provided that to the extent required to prevent a clearly unwarranted 

invasion of personal privacy or trade secrets, an agency shall delete identifying details when it 

makes available for public inspection any final order, decision, or opinion; however, in each case 

the justification for the deletion shall be explained fully in writing . 

2. No agency rule or other written statement of law or policy, or interpretation, order, 

decision, or opinion is valid or effective against any person or party, nor shall it be invoked by 

the agency for any purpose, until it has been made available for public inspection and indexed as 

required by subsection 1, paragraphs "d" and "e". This provision is not applicable in favor of any 

person or party who has actual timely knowledge thereof and the burden of proving such 

knowledge shall be on the agency. 

17A.4 PROCEDURE FOR ADOPTION OF RULES. 

362 
1 . Prior to the adoption, amendment, or repeal of any rule an agency shall: 

a. Give notice of its intended action by submitting the notice to the administrative rules 

coordinator and the administrative code editor . The administrative rules coordinator shall assign 

an ARC number to each rulemaking document. The administrative code editor shall publish 

each notice meeting the requirements of this chapter in the Iowa administrative bulletin created 

pursuant to section 17A.6 . Any notice of intended action shall be published at least thirty-five 

days in advance of the action. The notice shall include a statement of either the terms or 

substance of the intended action or a description of the subjects and issues involved, and the time 

when, the place where, and the manner in which interested persons may present their views. 

b. Afford all interested persons not less than twenty days to submit data, views, or 

arguments in writing . If timely requested in writing by twenty-five interested persons, by a 

governmental subdivision, by the administrative rules review committee, by an agency, or by an 

association having not less than twenty-five members, the agency must give interested persons an 

opportunity to make oral presentation . The opportunity for oral presentation must be held at least 

twenty days after publication of the notice of its time and place in the Iowa administrative 

bulletin. The agency shall consider fully all written and oral submissions respecting the proposed 

rule. Within one hundred eighty days following either the notice published according to the 

provisions of paragraph "a" or within one hundred eighty days after the last date of the oral 

presentations on the proposed rule, whichever is later, the agency shall adopt a rule pursuant to 

the rulemaking proceeding or shall terminate the proceeding by publishing notice of termination 

in the Iowa administrative bulletin . 

c. Mail the number of copies of the proposed rule as requested to the state office of a trade 

or occupational association which has registered its name and address with the agency. The trade 

or occupational association shall reimburse the agency for the actual cost incurred in providing 

the copies of the proposed rule under this paragraph. Failure to provide copies as provided in 

this paragraph shall not be grounds for the invalidation of a rule, unless that failure was 

deliberate on the part of that agency or the result of gross negligence. 

2 . An agency shall include in a preamble to each rule it adopts a brief explanation of the 

principal reasons for its action and, if applicable, a brief explanation of the principal reasons for 

its failure to provide in that rule for the waiver of the rule in specified situations if no such 

waiver provision is included in the rule. This explanatory requirement does not apply when the 

agency adopts a rule that only defines the meaning of a provision of law if the agency does not 

possess delegated authority to bind the courts to any extent with its definition. In addition, if 

requested to do so by an interested person, either prior to adoption or within thirty days 

thereafter, the agency shall issue a concise statement of the principal reasons for and against the 

rule adopted, incorporating therein the reasons for overruling considerations urged against the 

rule. This concise statement shall be issued either at the time of the adoption of the rule or 

within thirty-five days after the agency receives the request . 

3 . When an agency for good cause finds that notice and public participation would be 

unnecessary, impracticable, or contrary to the public interest, the provisions of subsection 1 shall 

be inapplicable . The agency shall incorporate in each rule issued in reliance upon this provision 

either the finding and a brief statement of the reasons for the finding, or a statement that the rule 

is within a very narrowly tailored category of rules whose issuance has previously been exempted 

from subsection 1 by a special rule relying on this provision and including such a finding and 

statement of reasons for the entire category. If the administrative rules review committee by a 

363 
two-thirds vote, the governor, or the attorney general files with the administrative code editor an 

objection to the adoption of any rule pursuant to this subsection, that rule shall cease to be 

effective one hundred eighty days after the date the objection was filed. A copy of the objection, 

properly dated, shall be forwarded to the agency at the time of filing the objection. In any action 

contesting a rule adopted pursuant to this subsection, the burden of proof shall be on the agency 

to show that the procedures of subsection 1 were impracticable, unnecessary, or contrary to the 

public interest and that, if a category of rules was involved, the category was very narrowly 

tailored. 

4. Any notice of intended action or rule filed without notice pursuant to subsection 3, 

which necessitates additional annual expenditures of at least one hundred thousand dollars or 

combined expenditures of at least five hundred thousand dollars within five years by all affected 

persons, including the agency itself, shall be accompanied by a fiscal impact statement outlining 

the expenditures . The agency shall promptly deliver a copy of the statement to the legislative 

services agency. To the extent feasible, the legislative services agency shall analyze the 

statement and provide a summary of that analysis to the administrative rules review committee. 

If the agency has made a good faith effort to comply with the requirements of this subsection, the 

rule shall not be invalidated on the ground that the contents of the statement are insufficient or 

inaccurate. 

5. No rule adopted after July 1, 1975, is valid unless adopted in substantial compliance 

with the above requirements of this section . However, a rule shall be conclusively presumed to 

have been made in compliance with all of the above procedural requirements of this section if it 

has not been invalidated on the grounds of noncompliance in a proceeding commenced within 

two years after its effective date. 

6 . a. If the administrative rules review committee created by section 17A.8, the governor, 

or the attorney general finds objection to all or some portion of a proposed or adopted rule 

because that rule is deemed to be unreasonable, arbitrary, capricious, or otherwise beyond the 

authority delegated to the agency, the committee, governor, or attorney general may, in writing, 

notify the agency of the objection. In the case of a rule issued under subsection 3, or a rule made 

effective under section 17A.5, subsection 2, paragraph "b ", the committee, governor, or attorney 

general may notify the agency of such an objection. The committee, governor, or attorney 

general shall also file a certified copy of such an objection in the office of the administrative code 

editor and a notice to the effect that an objection has been filed shall be published in the next 

issue of the Iowa administrative bulletin and in the Iowa administrative code when that rule is 

printed in it . The burden of proof shall then be on the agency in any proceeding for judicial 

review or for enforcement of the rule heard subsequent to the filing to establish that the rule or 

portion of the rule timely objected to according to the above procedure is not unreasonable, 

arbitrary, capricious, or otherwise beyond the authority delegated to it . 

b. If the agency fails to meet the burden of proof prescribed for a rule objected to according 

to the provisions of paragraph "a". the court shall declare the rule or portion of the rule objected 

to invalid and judgment shall be rendered against the agency for court costs. Such court costs 

shall include a reasonable attorney fee and shall be payable by the director of the department of 

administrative services from the support appropriations of the agency which issued the rule in 

question. 

7. Upon the vote of two-thirds of its members the administrative rules review committee 

may delay the effective date of a rule seventy days beyond that permitted in section 17A.5, unless 

364 
the rule was promulgated under section 17A .5, subsection 2, paragraph "b " . This provision shall 

be utilized by the committee only if further time is necessary to study and examine the rule. 

Notice of an effective date that was delayed under this provision shall be published in the Iowa 

administrative code and bulletin. 

8. The governor may rescind an adopted rule by executive order within seventy days of the 

rule becoming effective . The governor shall provide a copy of the executive order to the 

administrative code editor who shall include it in the next publication of the Iowa administrative 

bulletin. 

17A.4A REGULATORY ANALYSIS. 

l . An agency shall issue a regulatory analysis of a proposed rule that complies with 

subsection 2, paragraph "a", if, within thirty-two days after the published notice of proposed rule 

adoption, a written request for the analysis is submitted to the agency by the administrative rules 

review committee or the administrative rules coordinator . An agency shall issue a regulatory 

analysis of a proposed rule that complies with subsection 2, paragraph "b ", if the rule would have 

a substantial impact on small business and if, within thirty-two days after the published notice of 

proposed rule adoption, a written request for analysis is submitted to the agency by the 

administrative rules review committee, the administrative rules coordinator, at least twenty-five 

persons signing that request who each qualify as a small business or by an organization 

representing at least twenty-five such persons . If a rule has been adopted without prior notice 

and an opportunity for public participation in reliance upon section 17A.4, subsection 3, the 

written request for an analysis that complies with subsection 2, paragraph "a" or "b ", may be 

made within seventy days of publication of the rule. 

2 . a. Except to the extent that a written request for a regulatory analysis expressly waives 

one or more of the following, the regulatory analysis must contain all of the following : 

(1) A description of the classes of persons who probably will be affected by the proposed 

rule, including classes that will bear the costs of the proposed rule and classes that will benefit 

from the proposed rule. 

(2) A description of the probable quantitative and qualitative impact of the proposed rule, 

economic or otherwise, upon affected classes of persons, including a description of the nature 

and amount of all of the different kinds of costs that would be incurred in complying with the 

proposed rule. 

(3) The probable costs to the agency and to any other agency of the implementation and 

enforcement of the proposed rule and any anticipated effect on state revenues. 

(4) A comparison of the probable costs and benefits of the proposed rule to the probable 

costs and benefits of inaction. 

(5) A determination of whether less costly methods or less intrusive methods exist for 

achieving the purpose of the proposed rule. 

(6) A description of any alternative methods for achieving the purpose of the proposed rule 

that were seriously considered by the agency and the reasons why they were rejected in favor of 

the proposed rule. 

b. In the case of a rule that would have a substantial impact on small business, the 

regulatory analysis must contain a discussion of whether it would be feasible and practicable to 

do any of the following to reduce the impact of the rule on small business: 

365 
(1) Establish less stringent compliance or reporting requirements in the rule for small 

business. 

(2) Establish less stringent schedules or deadlines in the rule for compliance or reporting 

requirements for small business. 

(3) Consolidate or simplify the rule's compliance or reporting requirements for small 

business. 

(4) Establish performance standards to replace design or operational standards in the rule 

for small business. 

(5) Exempt small business from any or all requirements of the rule. 

c. The agency shall reduce the impact of a proposed rule that would have a substantial 

impact on small business by using a method discussed in paragraph "b" if the agency finds that 

the method is legal and feasible in meeting the statutory objectives which are the basis of the 

proposed rule . 

3 . Each regulatory analysis must include quantifications of the data to the extent 

practicable and must take account of both short-term and long-term consequences . 

4. Upon receipt by an agency of a timely request for a regulatory analysis, the agency shall 

extend the period specified in this chapter for each of the following until at least twenty days 

after publication in the administrative bulletin of a concise summary of the regulatory analysis: 

a. The end of the period during which persons may make written submissions on the 

proposed rule. 

b. The end of the period during which an oral proceeding may be requested . 

c. The date of any required oral proceeding on the proposed rule. 

5 . In the case of a rule adopted without prior notice and an opportunity for public 

participation in reliance upon section 17A.4, subsection 3, the summary must be published within 

seventy days of the request. 

6 . The published summary of the regulatory analysis must also indicate where persons may 

obtain copies of the full text of the regulatory analysis and where, when, and how persons may 

present their views on the proposed rule and demand an oral proceeding thereon if one is not 

already provided. Agencies shall make available to the public, to the maximum extent feasible, 

the published summary and the full text of the regulatory analysis described in this subsection in 

an electronic format, including, but not limited to, access to the documents through the internet . 

7. If the agency has made a good faith effort to comply with the requirements of 

subsections 1 through 3, the rule may not be invalidated on the ground that the contents of the 

regulatory analysis are insufficient or inaccurate. 

8. a. For the purpose of this section, "small business "means any entity including but not 

limited to an individual, partnership, corporation, joint venture, association, or cooperative, to 

which all of the following apply: 

(1) It is not an affiliate or subsidiary of an entity dominant in its field of operation. 

(2) It has either twenty or fewer full-time equivalent positions or less than one million 

dollars in annual gross revenues in the preceding fiscal year. 

b. For purposes of this definition, "dominant in its field of operation "means having more 

than twenty full-time equivalent positions and more than one million dollars in annual gross 

revenues, and "affiliate or subsidiary of an entity dominant in its field of operation" means an 

entity which is at least twenty percent owned by an entity dominant in its field of operation, or by 

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partners, officers, directors, majority stockholders, or their equivalent, of an entity dominant in 

that field of operation. 

17A.5 FILING AND TAKING EFFECT OF RULES. 

1 . Each agency shall file each rule adopted by the agency with the office of the 

administrative rules coordinator and provide an exact copy to the administrative code editor . The 

administrative rules coordinator shall assign an ARC number to each rulemaking document. The 

administrative rules coordinator shall keep a permanent register of the rules open to public 

inspection. The administrative code editor shall publish each rule adopted in accordance with 

this chapter in the Iowa administrative code. 

2. A rule adopted after July l, 1975, is effective thirty-five days after filing, as required in 

this section, and indexing and publication in the Iowa administrative bulletin except that: 

a. If a later date is required by statute or specified in the rule, the later date is the effective 

date. 

b. Subject to applicable constitutional or statutory provisions, a rule becomes effective 

immediately upon filing with the administrative rules coordinator, or at a subsequent stated date 

prior to indexing and publication, or at a stated date less than thirty-five days after filing, 

indexing and publication, if the agency finds: 

(1) That a statute so provides; 

(2) That the rule confers a benefit or removes a restriction on the public or some segment 

thereof; or 

(3) That this effective date is necessary because of imminent peril to the public health, 

safety or welfare. In any subsequent action contesting the effective date of a rule promulgated 

under this paragraph, the burden of proof shall be on the agency to justify its finding . The 

agency's finding and a brief statement of the reasons therefor shall be filed with and made a part 

of the rule . Prior to indexing and publication, the agency shall make reasonable efforts to make 

known to the persons who may be affected by it a rule made effective under the terms of this 

paragraph. 

17A.6 PUBLICATIONS. 

1 . The administrative code editor shall cause the Iowa administrative bulletin to be 

published in accordance with section 2.42 at least every other week, unless the administrative 

code editor and the administrative rules review committee determine that an alternative 

publication schedule is preferable. The Iowa administrative bulletin shall contain all of the 

following : 

a. Notices of intended action and adopted rules prepared in such a manner so that the text 

of a proposed or adopted rule shows the text of any existing rule being changed and the change 

being made. 

b. All proclamations and executive orders of the governor which are general and 

permanent in nature. 

c. Resolutions nullifying administrative rules passed by the general assembly pursuant to 

Article III, section 40 of the Constitution of the State of Iowa. 

d. Other materials deemed fitting and proper by the administrative rules review committee. 

2. In consultation with the administrative rules coordinator, the administrative code editor 

shall cause the Iowa administrative code to be compiled, indexed, and published in accordance 

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with section 2.42 in a form containing all rules adopted and filed by each agency. The 

administrative code editor further shall publish supplements to the Iowa administrative code 

containing all rules filed for publication in the prior time period. The administrative code editor 

shall devise a uniform numbering system for rules and may renumber rules before publication to 

conform with the system. 

3 . a. The administrative code editor may omit or cause to be omitted from the Iowa 

administrative code or bulletin any rule the publication of which would be unduly cumbersome, 

expensive or otherwise inexpedient, if the rule in processed form is made available on 

application to the adopting agency at no more than its cost of reproduction, and if the Iowa 

administrative code or bulletin contains a notice stating the specific subject matter of the omitted 

rule and stating how a copy of the omitted rule may be obtained. 

b. The administrative code editor shall omit or cause to be omitted from the Iowa 

administrative code any rule or portion of a rule nullified by the general assembly pursuant to 

Article III, section 40, of the Constitution of the State of Iowa. 

4. An agency which adopts standards by reference to another publication shall purchase 

and provide a copy of the publication containing the standards to the administrative rules 

coordinator who shall deposit the copy in the state law library where it shall be made available 

for inspection and reference. 

5. The Iowa administrative code, its supplements, and the Iowa administrative bulletin 

shall be made available upon request to all persons who subscribe to any of them. 

6. All expenses incurred by the administrative code editor under this section shall be 

defrayed under section 2B.22 . 

7. The administrative code editor, with the approval of the administrative rules review 

committee and the administrative rules coordinator, may delete a rule from the Iowa 

administrative code if the agency that adopted the rule has ceased to exist, no successor agency 

has jurisdiction over the rule, and no statutory authority exists supporting the rule. 

8 . The Iowa administrative code shall be cited as (agency identification number) IAC 

(chapter, rule, subrule, lettered paragraph, or numbered subparagraph) . 

9. The Iowa administrative bulletin shall be cited as IAB (volume), (number), (publication 

date), (page number), (ARC number). 

17A.7 PETITION FOR ADOPTION OF RULES AND REQUEST FOR REVIEW OF 

RULES. 

1 . An interested person may petition an agency requesting the adoption, amendment, or 

repeal of a rule. Each agency shall prescribe by rule the form for petitions and the procedure for 

their submission, consideration, and disposition. Within sixty days after submission of a petition, 

the agency either shall deny the petition in writing on the merits, stating its reasons for the denial, 

or initiate rulemaking proceedings in accordance with section 17A.4, or issue a rule if it is not 

required to be issued according to the procedures of section 17A.4, subsection 1 . 

2. a. Any interested person, association, agency, or political subdivision may submit a 

written request to the administrative rules coordinator for an agency to conduct a formal review 

of a specified rule of that agency to determine whether the rule should be repealed or amended or 

a new rule adopted instead . The administrative rules coordinator shall determine whether the 

request is reasonable and does not place an unreasonable burden upon the agency. 

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b. If the agency has not conducted such a review of the specified rule within a period of 

five years prior to the filing of the written request, and upon a determination by the 

administrative rules coordinator that the request is reasonable and does not place an unreasonable 

burden upon the agency, the agency shall prepare within a reasonable time a written report with 

respect to the rule summarizing the agency's findings, its supporting reasons, and any proposed 

course of action. The report must include, for the specified rule, a concise statement of all of the 

following : 

(1) The rule's effectiveness in achieving its objectives, including a summary of any 

available data supporting the conclusions reached. 

(2) Written criticisms of the rule received during the previous five years, including a 

summary of any petitions for waiver of the rule tendered to the agency or granted by the agency. 

(3) Alternative solutions regarding the subject matter of the criticisms and the reasons they 

were rejected or the changes made in the rule in response to those criticisms and the reasons for 

the changes . 

c. A copy of the report shall be sent to the administrative rules review committee and the 

administrative rules coordinator and shall be made available for public inspection. 

17A.8 ADMINISTRATIVE RULES REVIEW COMMITTEE. 

1 . There is created the "Administrative Rules Review Committee." The committee shall be 

bipartisan and shall be composed of the following members: 

a. Three senators appointed by the majority leader of the senate and two senators appointed 

by the minority leader of the senate. 

b. Three representatives appointed by the speaker of the house of representatives and two 

representatives appointed by the minority leader of the house of representatives . 

2 . A committee member shall be appointed prior to the adjournment of a. regular session 

convened in an odd-numbered year. The term of office shall be for four years beginning May 1 

of the year of appointment . However, a member shall serve until a successor is appointed . A 

vacancy on the committee shall be filled by the original appointing authority for the remainder of 

the term. A vacancy shall exist whenever a committee member ceases to be a :member of the 

house from which the member was appointed . 

3 . A committee member shall be paid the per diem specified in section 2. .10, subsection 5, 

for each day in attendance and shall be reimbursed for actual and necessary expenses. There is 

appropriated from money in the general fund not otherwise appropriated an amount sufficient to 

pay costs incurred under this section . 

4. The committee shall choose a chairperson from its membership and prescribe its rules of 

procedure . The committee may employ a secretary or may appoint the administrative code editor 

or a designee to act as secretary . 

5 . A regular committee meeting shall be held at the seat of government on the second 

Tuesday of each month. Unless impracticable, in advance of each such meeting the subject 

matter to be considered shall be published in the Iowa administrative bulletin. A special 

committee meeting may be called by the chairperson at any place in the state and at any time. 

Unless impracticable, in advance of each special meeting notice of the time and place of such 

meeting and the subject matter to be considered shall be published in the Iowa administrative 

bulletin. 

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6. The committee shall meet for the purpose of selectively reviewing rules, whether 

proposed or in effect . A regular or special committee meeting shall be open to the public and an 

interested person may be heard and present evidence. The committee may require a 

representative of an agency whose rule or proposed rule is under consideration to attend a 

committee meeting. 

7. The committee may refer a rule to the speaker of the house and the president of the 

senate at the next regular session of the general assembly. The speaker and the president shall 

refer such a rule to the appropriate standing committee of the general assembly. 

8 . If the committee finds objection to a rule, it may utilize the procedure provided in 

section 17A.4, subsection 6. In addition or in the alternative, the committee may include in the 

referral, under subsection 7, a recommendation that this rule be overcome by statute . If the 

committee of the general assembly to which a rule is referred finds objection to the referred rule, 

it may recommend to the general assembly that this rule be overcome by statute . This section 

shall not be construed to prevent a committee of the general assembly from reviewing a rule on 

its own motion. 

9. Upon a vote of two-thirds of its members, the administrative rules review committee 

may delay the effective date of a rule until the adjournment of the next regular session of the 

general assembly. The committee shall refer a rule whose effective date has been delayed to the 

speaker of the house of representatives and the president of the senate who shall refer the rule to 

the appropriate standing committees of the general assembly. A standing committee shall review 

a rule within twenty-one days after the rule is referred to the committee by the speaker of the 

house of representatives or the president of the senate and shall take formal committee action by 

sponsoring a joint resolution to disapprove the rule, by proposing legislation relating to the rule, 

or by refusing to propose a joint resolution or legislation concerning the rule. The standing 

committee shall inform the administrative rules review committee of the committee action taken 

concerning the rule. If the general assembly has not disapproved of the rule by a joint resolution, 

the rule shall become effective . The speaker of the house of representatives and the president of 

the senate shall notify the administrative code editor of the final disposition of each rule delayed 

pursuant to this subsection. If a rule is disapproved, it shall not become effective and the agency 

shall rescind the rule. This section shall not apply to rules made effective under section 17A.5, 

subsection 2, paragraph "b ". 

17A.9 DECLARATORY ORDERS. 

1 . a. Any person may petition an agency for a declaratory order as to the applicability to 

specified circumstances of a statute, rule, or order within the primary jurisdiction of the agency. 

b. (1) An agency shall issue a declaratory order in response to a petition for that order 

unless the agency determines that issuance of the order under the circumstances would be 

contrary to a rule adopted in accordance with subsection 2 . 

(2) However, an agency shall not issue a declaratory order that would substantially 

prejudice the rights of a person who would be a necessary party and who does not consent in 

writing to the determination of the matter by a declaratory order proceeding. 

2. Each agency shall adopt rules that provide for the form, contents, and filing of petitions 

for declaratory orders, the procedural rights of persons in relation to the petitions, and the 

disposition of the petitions . The rules must describe the classes of circumstances in which the 

370 
agency will not issue a declaratory order and must be consistent with the public interest and with 

the general policy of this chapter to facilitate and encourage agency issuance of reliable advice . 

3. Within fifteen days after receipt of a petition for a declaratory order, an agency shall 

give notice of the petition to all persons to whom notice is required by any provision of law and 

may give notice to any other persons. 

4. Persons who qualify under any applicable provision of law as an intervenor and who file 

timely petitions for intervention according to agency rules may intervene in proceedings for 

declaratory orders. The provisions of sections 17A.10 through 17A.18 apply to agency 

proceedings for declaratory orders only to the extent an agency so provides by rule or order. 

5 . Within thirty days after receipt of a petition for a declaratory order, an agency, in 

writing, shall do one of the following : 

a. Issue an order declaring the applicability of the statute, rule, or order in question to the 

specified circumstances . 

b. Set the matter for specified proceedings. c. Agree to issue a declaral:ory order by a 

specified time. 

d. Decline to issue a declaratory order, stating the reasons 

for its action. 

6. A copy of all orders issued in response to a petition for a declaratory order must be 

mailed promptly to the petitioner and any other parties . 

7. A declaratory order has the same status and binding effect as any final order issued in a 

contested case proceeding. A declaratory order must contain the names of all parties to the 

proceeding on which it is based, the particular facts on which it is based, and the reasons for its 

conclusion. 

8. If an agency has not issued a declaratory order within sixty days after receipt of a 

petition therefor, or such later time as agreed by the parties, the petition is deemed to have been 

denied . Once a petition for a declaratory order is deemed denied or if the agency declines to issue 

a declaratory order pursuant to subsection 5, paragraph "d", a party to that proceeding may either 

seek judicial review or await further agency action with respect to its petition for a declaratory 

order. 

17A.9A WAIVERS AND VARIANCES. 

1 . Any person may petition an agency for a waiver or variance from the requirements of a 

rule, pursuant to the requirements of this section, if the agency has established by rule an 

application, evaluation, and issuance procedure permitting waivers and variances. An agency 

shall not grant a petition for waiver or a variance of a rule unless the agency has jurisdiction over 

the rule and the waiver or variance is consistent with any applicable statute, constitutional 

provision, or other provision of law. In addition, this section does not authorize an agency to 

waive or vary any requirement created or duty imposed by statute . 

2 . Upon petition of a person, an agency may in its sole discretion issue a waiver or variance 

from the requirements of a rule if the agency finds, based on clear and convincing evidence, all of 

the following : 

a. The application of the rule would pose an undue hardship on the person for whom the 

waiver or variance is requested. 

b. The waiver or variance from the requirements of a rule in the specific case would not 

prejudice the substantial legal rights of any person. 

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c. The provisions of a rule subject to a petition for a waiver or variance are not specifically 

mandated by statute or another provision of law. 

d. 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 or variance is 

requested . 

3. The burden of persuasion rests with the person who petitions an agency for the waiver or 

variance of a rule . Each petition for a waiver or variance shall be evaluated by the agency based 

on the unique, individual circumstances set out in the petition. A waiver or variance, if granted, 

shall be drafted by the agency so as to provide the narrowest exception possible to the provisions 

of the rule. The agency may place any condition on a waiver or a variance that the agency finds 

desirable to protect the public health, safety, and welfare . A waiver or variance shall not be 

permanent, unless the petitioner can show that a temporary waiver or variance would be 

impracticable . If a temporary waiver or variance is granted, there is no automatic right to 

renewal. At the sole discretion of the agency, a waiver or variance may be renewed if the agency 

finds all of the factors set out in subsection 2 remain valid. 

4. A grant or denial of a waiver or variance petition shall be indexed, filed, and available 

for public inspection as provided in section 17A.3 . The administrative code editor and the 

administrative rules coordinator shall devise a mechanism to identify rules for which a petition 

for a waiver or variance has been granted or denied and make this information available to the 

public. 

5 . Semiannually, each agency which permits the granting of petitions for waivers or 

variances shall prepare a report of these actions identifying the rules for which a waiver or 

variance has been granted or denied, the number of times a waiver or variance 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 agencies' actions on the waiver or variance request. 

To the extent practicable, this report shall detail the extent to which the granting of a waiver or 

variance has established 

a precedent for additional waivers or variances and the extent to which the granting of a 

waiver or variance has affected the general applicability of the rule itself. Copies of this report 

shall be provided semiannually to the administrative rules coordinator and the administrative 

rules review committee. 

6. For purposes of this section, "a waiver or variance" means an agency action 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. 

17A.10 INFORMAL SETTLEMENTS --WAIVER. 

1 . Unless precluded by statute, informal settlements of controversies that may culminate in 

contested case proceedings according to the provisions of this chapter are encouraged. Agencies 

shall prescribe by rule specific procedures for attempting such informal settlements prior to the 

commencement of contested case proceedings. This subsection shall not be construed to require 

either party to such a controversy to utilize the informal procedures or to settle the controversy 

pursuant to those informal procedures. 

2. The parties to a contested case proceeding may, by written stipulation representing an 

informed mutual consent, waive any provision of this chapter relating to such proceedings. In 

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addition to consenting to such a waiver in individual cases, an agency may, by rule, express its 

consent to such a waiver as to an entire class of cases. 

17A.10A CONTESTED CASES -- NO FACTUAL DISPUTE. 

Upon petition by a party in a matter that would be a contested case if there was a dispute 

over the existence of material facts, all of the provisions of this chapter applicable to contested 

cases, except those relating to presentation of evidence, shall be applicable even though there is 

no factual dispute in the particular case. 

17A.11 PRESIDING OFFICER, DISQUALIFICATION, SUBSTITUTION. 

1 . a. If the agency or an officer of the agency under whose authority the contested case is to 

take place is a named party to that proceeding or a real party in interest to that :proceeding the 

presiding officer may be, in the discretion of the agency, either the agency, one; or more members 

of a multimember agency, or one or more administrative law judges assigned by the division of 

administrative hearings in accordance with the provisions of section 10A.801 . However, a party 

may, within a time period specified by rule, request that the presiding officer be an administrative 

law judge assigned by the division of administrative hearings. Except as otherwise provided by 

statute, the agency shall grant a request by a party for an administrative law judge unless the 

agency finds, and states reasons for the finding, that any of the following conditions exist: 

(1) There is a compelling need to expedite issuance of a final decision in order to protect 

the public health, safety, or welfare. 

(2) A qualified administrative law judge is unavailable to hear the case within a reasonable 

time. 

(3) The case involves significant policy issues of first impression that are inextricably 

intertwined with the factual issues presented . 

(4) The demeanor of the witnesses is likely to be dispositive in resolving the disputed 

factual issues . 

(5) Funds are unavailable to pay the costs of an administrative law judge and an intraagency appeal . 

(6) The request was not timely filed. 

(7) There is other identified good cause, as specified by rule, for denying the request. 

b. If the agency or an officer of the agency under whose authority the contested case is to 

take place is not a named party to that proceeding or a real party in interest to that proceeding the 

presiding officer may be, in the discretion of the agency, either the agency, one or more members 

of a multimember agency, an administrative law judge assigned by the division of administrative 

hearings in accordance with the provisions of section 10A.801, or any other qualified person 

designated as a presiding officer by the agency. Any other person designated as a presiding 

officer by the agency may be employed by and officed in the agency for which that person acts as 

a presiding officer, but such a person shall not perform duties inconsistent with that person's 

duties and responsibilities as a presiding officer. 

c. For purposes of paragraph "a", the division of administrative hearings established in 

section 10A.801 shall be treated as a wholly separate agency from the department of inspections 

and appeals. 

373 
2. Any person serving or designated to serve alone or with others as a presiding officer is 

subject to disqualification for bias, prejudice, interest, or any other cause provided in this chapter 

or for which a judge is or may be disqualified . 

3 . Any party may timely request the disqualification of a person as a presiding officer by 

filing a motion supported by an affidavit asserting an appropriate ground for disqualification, 

after receipt of notice indicating that the person will preside or upon discovering facts 

establishing grounds for disqualification, whichever is later. 

4. A person whose disqualification is requested shall determine whether to grant the 

request, stating facts and reasons for the determination . 

5 . If a substitute is required for a person who is disqualified or becomes unavailable for 

any other reason, the substitute shall be appointed by either of the following : 

a. The governor, if the disqualified or unavailable person is an elected official . 

b. The appointing authority, if the disqualified or unavailable person is an appointed 

official. 

6. Any action taken by a duly-appointed substitute for a disqualified or unavailable person 

is as effective as if taken by the latter. 

17A.12 CONTESTED CASES - NOTICE -- HEARING -- RECORDS. 

1 . In a contested case, all parties shall be afforded an opportunity for hearing after 

reasonable notice in writing delivered either by personal service as in civil actions or by certified 

mail return receipt requested . However, an agency may provide by rule for the delivery of such 

notice by other means. Delivery of the notice referred to in this subsection shall constitute 

commencement of the contested case proceeding. 

2. The notice shall include: 

a. A statement of the time, place and nature of the hearing. 

b. A statement of the legal authority and jurisdiction under which the hearing is to be held. 

c. A reference to the particular sections of the statutes and rules involved. 

d. A short and plain statement of the matters asserted. If the agency or other party is 

unable to state the matters in detail at the time the notice is served, the initial notice maybe 

limited to a statement of the issues involved. Thereafter upon application a more definite and 

detailed statement shall be furnished. 

3. If a party fails to appear or participate in a contested case proceeding after proper service 

of notice, the presiding officer may, if no adjournment is granted, enter a default decision or 

proceed with the hearing and make a decision in the absence of the party. The parties shall be 

duly notified of the decision, together with the presiding officer's reasons for the decision, which 

is the final decision of the agency, unless within fifteen days, or such period of time as otherwise 

specified by statute or rule, after the date of notification or mailing of the decision, further appeal 

is initiated. If a decision is rendered against a party who failed to appear for the hearing and the 

presiding officer is timely requested by that party to vacate the decision for good cause, the time 

for initiating a further appeal is stayed pending a determination by the presiding officer to grant 

or deny the request . If adequate reasons are provided showing good cause for the party's failure 

to appear, the presiding officer shall vacate the decision and, after proper service of notice, 

conduct another evidentiary hearing. If adequate reasons are not provided showing good cause 

for the party's failure to appear, the presiding officer shall deny the motion to vacate. 

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4. Opportunity shall be afforded all parties to respond and present evidence and argument 

on all issues involved and to be represented by counsel at their own expense . 

5 . Unless precluded by statute, informal disposition may be made of any contested case by 

stipulation, agreed settlement, consent order or default or by another method agreed upon by the 

parties in writing . 

6. The record in a contested case shall include : 

a. All pleadings, motions and intermediate rulings . 

b. All evidence received or considered and all other submissions . 

c. A statement of all matters officially noticed. 

d. All questions and offers of proof, objections and rulings thereon. 

e. All proposed findings and exceptions. 

f. Any decision, opinion or report by the officer presiding at the hearing. 

7. Oral proceedings shall be open to the public and shall be recorded either by mechanized 

means or by certified shorthand reporters . Oral proceedings or any part thereof shall be 

transcribed at the request of any party with the expense of the transcription charged to the 

requesting party. The recording or stenographic notes of oral proceedings or the transcription 

thereof shall be filed with and maintained by the agency for at least five years from the date of 

decision . 

8. Findings of fact shall be based solely on the evidence in the record and on matters 

officially noticed in the record. 

9. Unless otherwise provided by statute, a person's request or demand for a contested case 

proceeding shall be in writing, delivered to the agency by United States postal service or personal 

service and shall be considered as filed with the agency on the date of the United States postal 

service postmark or the date personal service is made. 

17A.13 SUBPOENAS -- DISCOVERY. 

1 . Agencies have all subpoena powers conferred upon them by their enabling acts or other 

statutes . In addition, prior to the commencement of a contested case by the notice referred to in 

section 17A.12, subsection 1, an agency having power to decide contested cases may subpoena 

books, papers, records and any other real evidence necessary for the agency to determine whether 

it should institute a contested case proceeding. After the commencement of a contested case, 

each agency having power to decide contested cases may administer oaths and issue subpoenas in 

those cases. Discovery procedures applicable to civil actions are available to all parties in 

contested cases before an agency. Evidence obtained in discovery may be used in the hearing 

before the agency if that evidence would otherwise be admissible in the agency hearing. Agency 

subpoenas shall be issued to a party on request . On contest, the court shall sustain the subpoena 

or similar process or demand to the extent that it is found to be in accordance with the law 

applicable to the issuance of subpoenas or discovery in civil actions . In proceedings for 

enforcement, the court shall issue an order requiring the appearance of the witness or the 

production of the evidence or data within a reasonable time under penalty of punishment for 

contempt in cases of willful failure to comply. 

2 . An agency that relies on a witness in a contested case, whether or not an agency 

employee, who has made prior statements or reports with respect to the subject . matter of the 

witness' testimony, shall, on request, make such statements or reports available; to parties for use 

on cross-examination, unless those statements or reports are otherwise expressly exempt from 

375 
disclosure by Constitution or statute . Identifiable agency records that are relevant to disputed 

material facts involved in a contested case, shall, upon request, promptly be made available to a 

party unless the requested records are expressly exempt from disclosure by Constitution or 

statute . 

17A.14 RULES OF EVIDENCE -- OFFICIAL NOTICE. 

In contested cases : 

1 . Irrelevant, immaterial, or unduly repetitious evidence should be excluded. A finding 

shall be based upon the kind of evidence on which reasonably prudent persons are accustomed to 

rely for the conduct of their serious affairs, and may be based upon such evidence even if it 

would be inadmissible in a jury trial . Agencies shall give effect to the rules of privilege 

recognized by law. Objections to evidentiary offers may be made and shall be noted in the 

record. Subject to these requirements, when a hearing will be expedited and the interests of the 

parties will not be prejudiced substantially, any part of the evidence may be required to be 

submitted in verified written form. 

2 . Documentary evidence may be received in the form of copies or excerpts, if the original 

is not readily available . Upon request, parties shall be given an opportunity to compare the copy 

with the original, if available . 

3 . Witnesses at the hearing, or persons whose testimony has been submitted in written 

form if available, shall be subject to cross-examination by any party as necessary for a full and 

true disclosure of the facts. 

4. Official notice may be taken of all facts of which judicial notice may be taken and of 

other facts within the specialized knowledge of the agency. Parties shall be notified at the 

earliest practicable time, either before or during the hearing, or by reference in preliminary 

reports, preliminary decisions or otherwise, of the facts proposed to be noticed and their source, 

including any staff memoranda or data, and the parties shall be afforded an opportunity to contest 

such facts before the decision is announced unless the agency determines as part of the record or 

decision that fairness to the parties does not require an opportunity to contest such facts. 

5 . The agency's experience, technical competence, and specialized knowledge may be 

utilized in the evaluation of the evidence. 

17A.15 FINAL DECISIONS - PROPOSED DECISIONS -- CONCLUSIVENESS -

REVIEW BY THE AGENCY. 

1 . When the agency presides at the reception of the evidence in a contested case, the 

decision of the agency is a final decision . 

2 . When the agency did not preside at the reception of the evidence in a contested case, the 

presiding officer shall make a proposed decision. Findings of fact shall be prepared by the 

officer presiding at the reception of the evidence in a contested case unless the officer becomes 

unavailable to the agency. If the officer is unavailable, the findings of fact may be prepared by 

another person qualified to be a presiding officer who has read the record, unless demeanor of 

witnesses is a substantial factor . If demeanor is a substantial factor and the presiding officer is 

unavailable, the portions of the hearing involving demeanor shall be heard again or the case shall 

be dismissed . 

3. When the presiding officer makes a proposed decision, that decision then becomes the 

final decision of the agency without further proceedings unless there is an appeal to, or review on 

376 
motion of, the agency within the time provided by rule. On appeal from or review of the 

proposed decision, the agency has all the power which it would have in initially making the final 

decision except as it may limit the issues on notice to the parties or by rule. The agency may 

reverse or modify any finding of fact if a preponderance of the evidence will support a 

determination to reverse or modify such a finding, or may reverse or modify any conclusion of 

law that the agency finds to be in error. In cases where there is an appeal from a proposed 

decision or where a proposed decision is reviewed on motion of the agency, an opportunity shall 

be afforded to each party to file exceptions, present briefs and, with the consent of the agency, 

present oral arguments to the agency members who are to render the final decision . 

4. This section shall not preclude an agency from instituting a system whereby the 

proposed decision of a presiding officer in a contested case may be appealed to, or reviewed on 

motion of, a body consisting of one or more persons that is between the presiding officer and the 

agency. If an agency institutes such a system of intermediate review, the proposed decision of 

the presiding officer becomes the final decision of the agency without further proceedings unless 

there is an appeal to, or review on motion of, the intermediate reviewing body within the time 

provided by rule. An intermediate reviewing body may be vested with all or a :part of the power 

which it would have in initially making the decision . A decision of such an intermediate 

reviewing body is also a proposed decision and shall become the final decision of the agency 

without further proceedings unless there is an appeal to, or review on motion of, the agency 

within the time provided by rule. In cases where there is an appeal from a proposed decision 

rendered by a presiding officer to an intermediate reviewing body, or where such a proposed 

decision is reviewed on motion of an intermediate reviewing body, an opportunity shall be 

afforded to each party to file exceptions, present briefs and, with the consent of the intermediate 

reviewing body, present oral arguments to those who are to render the decision, 

5. When an appeal from an agency decision in a contested case may be taken to another 

agency pursuant to statute, or a second agency may according to statute review on its own motion 

the decision in a contested case by the first agency, the appeal or review shall be deemed a 

continuous proceeding as though before one agency. A decision of the first agency in such a case 

is a proposed decision and shall become the final decision without further proceedings unless 

there is an appeal to, or review on motion of, the second agency within the time provided by 

statute or rule. In deciding an appeal from or review of a proposed decision of the first agency, 

the second agency shall have all those powers conferred upon it by statute and shall afford each 

party an opportunity to file exceptions, present briefs and, with its consent, present oral 

arguments to agency members who are to render the final decision. 

17A.16 DECISIONS AND ORDERS -- REHEARING. 

l . A proposed or final decision or order in a contested case shall be in writing or stated in 

the record. A proposed or final decision shall include findings of fact and conclusions of law, 

separately stated . Findings of fact, if set forth in statutory language, shall be accompanied by a 

concise and explicit statement of underlying facts supporting the findings . The decision shall 

include an explanation of why the relevant evidence in the record supports each material finding 

of fact. If, in accordance with agency rules, a party submitted proposed findings of fact, the 

decision shall include a ruling upon each proposed finding . Each conclusion of law shall be 

supported by cited authority or by a reasoned opinion. Parties shall be promptly notified of each 

377 
proposed or final decision or order by the delivery to them of a copy of such decision or order in 

the manner provided by section 17A.12, subsection 1 . 

2. Except as expressly provided otherwise by another statute referring to this chapter by 

name, any party may file an application for rehearing, stating the specific grounds for the 

rehearing and the relief sought, within twenty days after the date of the issuance of any final 

decision by the agency in a contested case. A copy of the application for rehearing shall be 

timely mailed by the presiding agency to all parties of record not joining in the application. An 

application for rehearing shall be deemed to have been denied unless the agency grants the 

application within twenty days after its filing. 

17A.17 EX PARTE COMMUNICATIONS AND SEPARATION OF FUNCTIONS. 

1 . a. Unless required for the disposition of ex parte matters specifically authorized by 

statute, a presiding officer in a contested case, shall not communicate, directly or indirectly, in 

connection with any issue of fact or law in that contested case, with any person or party, except 

upon notice and opportunity for all parties to participate as shall be provided for by agency rules. 

b. However, without such notice and opportunity for all parties to participate, a presiding 

officer in a contested case may communicate with members of the agency, and may have the aid 

and advice of persons other than those with a personal interest in, or those engaged in personally 

investigating, prosecuting or advocating in, either the case under consideration or a pending 

factually related case involving the same parties so long as those persons do not directly or 

indirectly communicate to the presiding officer any ex parte communications they have received 

of a type that the presiding officer would be prohibited from receiving or that furnish, augment, 

diminish, or modify the evidence in the record. 

2 . Unless required for the disposition of ex parte matters specifically authorized by statute, 

parties or their representatives in a contested case and persons with a direct or indirect interest in 

such a case shall not communicate, directly or indirectly, in connection with any issue of fact or 

law in that contested case, with a presiding officer in that contested case, except upon notice and 

opportunity for all parties to participate as shall be provided for by agency rules. 

3 . If, before serving as the presiding officer in a contested case, a person receives an ex 

parte communication relating directly to the merits of the proceeding over which that person 

subsequently presides, the person, promptly after starting to serve, shall disclose to all parties any 

material factual information so received and not otherwise disclosed to those parties pursuant to 

section 17A.13, subsection 2, or through discovery. 

4. A presiding officer who receives an ex parte communication in violation of this section 

shall place on the record of the pending matter all such written communications received, all 

written responses to the communications, and a memorandum stating the substance of all such 

oral and other communications received, all responses made, and the identity of each person from 

whom the presiding officer received a prohibited ex parte communication, and shall advise all 

parties that these matters have been placed on the record . Any party desiring to rebut the 

prohibited ex parte communication must be allowed to do so, upon requesting the opportunity for 

rebuttal within ten days after notice of the communication . 

5 . If the effect of an ex parte communication received in violation of this section is so 

prejudicial that it cannot be cured by the procedure in subsection 4, a presiding officer who 

receives the communication shall be disqualified and the portions of the record pertaining to the 

communication shall be sealed by protective order. 

378 
6. The agency and any party may report any violation of this section to appropriate 

authorities for any disciplinary proceedings provided by law. In addition, each agency by rule 

shall provide for appropriate sanctions, including default, suspending or revoking a privilege to 

practice before the agency, and censuring, suspending, or dismissing agency personnel, for any 

violations of this section . 

7. A party to a contested case proceeding may file a timely and sufficient: affidavit alleging 

a violation of any provision of this section . The agency shall determine the matter as part of the 

record in the case. When an agency in these circumstances makes such a determination with 

respect to an agency member, that determination shall be subject to de novo judicial review in 

any subsequent review proceeding of the case. 

8 . An individual who participates in the making of any proposed or final decision in a 

contested case shall not have personally investigated, prosecuted, or advocated in connection 

with that case, the specific controversy underlying that case, or another pending factually related 

contested case, or pending factually related controversy that may culminate in a contested case, 

involving the same parties . In addition, such an individual shall not be subject to the authority, 

direction, or discretion of any person who has personally investigated, prosecuted, or advocated 

in connection with that contested case, the specific controversy underlying that contested case, or 

a pending factually related contested case or controversy, involving the same parties . However, 

this section shall not be construed to preclude a person from serving as a presiding officer solely 

because that person determined there was probable cause to initiate the proceeding. 

17A.18 LICENSES. 

1 . When the grant, denial, or renewal of a license is required by Constitution or statute to 

be preceded by notice and opportunity for an evidentiary hearing, the provisions of this chapter 

concerning contested cases apply. 

2. When a licensee has made timely and sufficient application for the renewal of a license 

or a new license with reference to any activity of a continuing nature, the existing license does 

not expire until the application has been finally determined by the agency, and, in case the 

application is denied or the terms of the new license limited, until the last day for seeking judicial 

review of the agency order or a later date fixed by order of the agency or the reviewing court. 

3 . No revocation, suspension, annulment or withdrawal, in whole or in part, of any license 

is lawful unless, prior to the institution of agency proceedings, the agency gave written, timely 

notice by personal service as in civil actions or by restricted certified mail to the licensee of facts 

or conduct and the provision of law which warrants the intended action, and the licensee was 

given an opportunity to show, in an evidentiary hearing conducted according to the provisions of 

this chapter for contested cases, compliance with all lawful requirements for the retention of the 

license . 

17A.18A EMERGENCY ADJUDICATIVE PROCEEDINGS. 

l . Notwithstanding any other provision of this chapter and to the extent consistent with the 

Constitution of the State of Iowa and of the United States, an agency may use e:mergency 

adjudicative proceedings in a situation involving an immediate danger to the public health, 

safety, or welfare requiring immediate agency action. 

2. The agency may take only such action as is necessary to prevent or avoid the immediate 

danger to the public health, safety, or welfare that justifies use of emergency adjudication . 

379 
3 . The agency shall issue an order, including a brief statement of findings of fact, 

conclusions of law, and policy reasons for the decision if it is an exercise of the agency's 

discretion, to justify the determination of an immediate danger and the agency's decision to take 

the specific action. 

4. The agency shall give such notice as is practicable to persons who are required to 

comply with the order. The order is effective when issued. 

5. After issuing an order pursuant to this section, the agency shall proceed as quickly as 

feasible to complete any proceedings that would be required if the matter did not involve an 

immediate danger. 

6. The agency record consists of any documents regarding the matter that were considered 

or prepared by the agency. The agency shall maintain these documents as its official record. 

7. Unless otherwise required by a provision of law, the agency record need not constitute 

the exclusive basis for agency action in emergency adjudicative proceedings or for judicial 

review thereof. 

17A.19 JUDICIAL REVIEW. 

Except as expressly provided otherwise by another statute referring to this chapter by name, 

the judicial review provisions of this chapter shall be the exclusive means by which a person or 

party who is aggrieved or adversely affected by agency action may seek judicial review of such 

agency action. However, nothing in this chapter shall abridge or deny to any person or party who 

is aggrieved or adversely affected by any agency action the right to seek relief from such action in 

the courts. 

1 . A person or party who has exhausted all adequate administrative remedies and who is 

aggrieved or adversely affected by any final agency action is entitled to judicial review thereof 

under this chapter. When agency action is pursuant to rate regulatory powers over public utilities 

or common carriers and the aggrievement or adverse effect is to the rates or charges of a public 

utility or common carrier, the agency action shall not be final until all agency remedies have been 

exhausted and a decision prescribing rates which satisfy the requirements of those provisions of 

the Code has been rendered. A preliminary, procedural or intermediate agency action is 

immediately reviewable if all adequate administrative remedies have been exhausted and review 

of the final agency action would not provide an adequate remedy. If a declaratory order has not 

been rendered within sixty days after the filing of a petition therefor under section 17A.9, or by 

such later time as agreed by the parties, or if the agency declines to issue such a declaratory order 

after receipt of a petition therefor, any administrative remedy available under section 17A.9 shall 

be deemed inadequate or exhausted. 

2. Proceedings for judicial review shall be instituted by filing a petition either in Polk 

county district court or in the district court for the county in which the petitioner resides or has its 

principal place of business. When a proceeding for judicial review has been commenced, a court 

may, in the interest of justice, transfer the proceeding to another county where the venue is 

proper . Within ten days after the filing of a petition for judicial review the petitioner shall serve 

by the means provided in the Iowa rules of civil procedure for the personal service of an original 

notice, or shall mail copies of the petition to all parties named in the petition and, if the petition 

involves review of agency action in a contested case, all parties of record in that case before the 

agency. Such personal service or mailing shall be jurisdictional . The delivery by personal service 

or mailing referred to in this subsection may be made upon the party's attorney of record in the 

380 
proceeding before the agency. A mailing shall be addressed to the parties or their attorney of 

record at their last known mailing address. Proof of mailing shall be by affidavit. Any party of 

record in a contested case before an agency wishing to intervene and participate in the review 

proceeding must file an appearance within forty-five days from the time the petition is filed. 

3 . If a party files an application under section 17A.16, subsection 2, for rehearing with the 

agency, the petition for judicial review must be filed within thirty days after that application has 

been denied or deemed denied. If a party does not file an application under section 17A.16, 

subsection 2, for rehearing, the petition must be filed within thirty days after the issuance of the 

agency's final decision in that contested case. If an application for rehearing is granted, the 

petition for review must be filed within thirty days after the issuance of the agency's final 

decision on rehearing. In cases involving a petition for judicial review of agency action other 

than the decision in a contested case, the petition may be filed at any time petitioner is aggrieved 

or adversely affected by that action. 

4. The petition for review shall name the agency as respondent and shall. contain a concise 

statement of: 

a. The nature of the agency action which is the subject of the petition. 

b. The particular agency action appealed from. 

c. The facts on which venue is based. 

d. The grounds on which relief is sought. 

e. The relief sought. 

5. a. The filing of the petition for review does not itself stay execution or enforcement of 

any agency action. Unless precluded by law, the agency may grant a stay on appropriate terms or 

other temporary remedies during the pendency of judicial review. 

b. A party may file an interlocutory motion in the reviewing court, during the pendency of 

judicial review, seeking review of the agency's action on an application for stay or other 

temporary remedies. 

c. If the agency ref-uses to grant an application for stay or other temporary remedies, or 

application to the agency for a stay or other temporary remedies is an inadequate remedy, the 

court may grant relief but only after a consideration and balancing of all of the! following factors : 

(1) The extent to which the applicant is likely to prevail when the court finally disposes of 

the matter. 

(2) The extent to which the applicant will suffer irreparable injury if relief is not granted. 

(3) The extent to which the grant of relief to the applicant will substantially harm other 

parties to the proceedings . 

(4) The extent to which the public interest relied on by the agency is sufficient to justify the 

agency's action in the circumstances . 

d. If the court determines that relief should be granted from the agency's, action on an 

application for stay or other temporary remedies, the court may remand the matter to the agency 

with directions to deny a stay, to grant a stay on appropriate terms, or to grant other temporary 

remedies, or the court may issue an order denying a stay, granting a stay on appropriate terms, or 

granting other temporary remedies. 

6. Within thirty days after filing of the petition, or within further time allowed by the court, 

the agency shall transmit to the reviewing court the original or a certified copy of the entire 

record of any contested case which may be the subject of the petition. By stipulation of all 

parties to the review proceedings, the record of such a case may be shortened . A party 

381 
unreasonably refusing to stipulate to limit the record may be taxed by the court for the additional 

costs . The court may require or permit subsequent corrections or additions to the record. 

7 . In proceedings for judicial review of agency action a court may hear and consider such 

evidence as it deems appropriate . In proceedings for judicial review of agency action in a 

contested case, however, a court shall not itself hear any further evidence with respect to those 

issues of fact whose determination was entrusted by Constitution or statute to the agency in that 

contested case proceeding. Before the date set for hearing a petition for judicial review of agency 

action in a contested case, application may be made to the court for leave to present evidence in 

addition to that found in the record of the case . If it is shown to the satisfaction of the court that 

the additional evidence is material and that there were good reasons for failure to present it in the 

contested case proceeding before the agency, the court may order that the additional evidence be 

taken before the agency upon conditions determined by the court. The agency may modify its 

findings and decision in the case by reason of the additional evidence and shall file that evidence 

and any modifications, new findings, or decisions with the reviewing court and mail copies of the 

new findings or decisions to all parties . 

8. Except to the extent that this chapter provides otherwise, in suits for judicial review of 

agency action all of the following apply: 

a. The burden of demonstrating the required prejudice and the invalidity of agency action 

is on the party asserting invalidity. 

b. The validity of agency action must be determined in accordance with the standards of 

review provided in this section, as applied to the agency action at the time that action was taken. 

9. The court shall make a separate and distinct ruling on each material issue on which the 

court's decision is based. 

10. The court may affirm the agency action or remand to the agency for further 

proceedings . The court shall reverse, modify, or grant other appropriate relief from agency 

action, equitable or legal and including declaratory relief, if it determines that substantial rights 

of the person seeking judicial relief have been prejudiced because the agency action is any of the 

following : 

a. Unconstitutional on its face or as applied or is based upon a provision of law that is 

unconstitutional on its face or as applied. 

b. Beyond the authority delegated to the agency by any provision of law or in violation of 

any provision of law. 

c. Based upon an erroneous interpretation of a provision of law whose interpretation has 

not clearly been vested by a provision of law in the discretion of the agency. 

d. Based upon a procedure or decision-making process prohibited by law or was taken 

without following the prescribed procedure or decision-making process. 

e. The product of decision making undertaken by persons who were improperly constituted 

as a decision-making body, were motivated by an improper purpose, or were subject to 

disqualification . 

f. Based upon a determination of fact clearly vested by a provision of law in the discretion 

of the agency that is not supported by substantial evidence in the record before the court when 

that record is viewed as a whole . For purposes of this paragraph, the following terms have the 

following meanings: 

(1) "Substantial evidence" means the quantity and quality of evidence that would be 

deemed sufficient by a neutral, detached, and reasonable person, to establish the fact at issue 

382 
when the consequences resulting from the establishment of that fact are understood to be serious 

and of great importance. 

(2) "Record before the court" means the agency record for judicial review, as defined by 

this chapter, supplemented by any additional evidence received by the court under the provisions 

of this chapter. 

(3) "When that record is viewed as a whole" means that the adequacy of the evidence in 

the record before the court to support a particular finding of fact must be judged in light of all the 

relevant evidence in the record cited by any party that detracts from that finding as well as all of 

the relevant evidence in the record cited by any party that supports it, including any 

determinations of veracity by the presiding officer who personally observed the demeanor of the 

witnesses and the agency's explanation of why the relevant evidence in the record supports its 

material findings of fact. 

g. Action other than a rule that is inconsistent with a rule of the agency. 

h. Action other than a rule that is inconsistent with the agency's prior practice or 

precedents, unless the agency has justified that inconsistency by stating credible reasons 

sufficient to indicate a fair and rational basis for the inconsistency. 

i. The product of reasoning that is so illogical as to render it wholly irrational. 

j. The product of a decision-making process in which the agency did not . consider a 

relevant and important matter relating to the propriety or desirability of the action in question that 

a rational decision maker in similar circumstances would have considered prior to taking that 

action. 

k. Not required by law and its negative impact on the private rights affected is so grossly 

disproportionate to the benefits accruing to the public interest from that action that it must 

necessarily be deemed to lack any foundation in rational agency policy. 

l. Based upon an irrational, illogical, or wholly unjustifiable interpretation of a provision of 

law whose interpretation has clearly been vested by a provision of law in the discretion of the 

agency. 

m. Based upon an irrational, illogical, or wholly unjustifiable application of law to fact that 

has clearly been vested by a provision of law in the discretion of the agency. 

n. Otherwise unreasonable, arbitrary, capricious, or an abuse of discretion. 

11 . In making the determinations required by subsection 10, paragraphs "a" through "n ", 

the court shall do all of the following : 

a. Shall not give any deference to the view of the agency with respect to whether particular 

matters have been vested by a provision of law in the discretion of the agency. 

b. Should not give any deference to the view of the agency with respect to particular 

matters that have not been vested by a provision of law in the discretion of the agency. 

c. Shall give appropriate deference to the view of the agency with respect to particular 

matters that have been vested by a provision of law in the discretion of the agency. 

12. A defendant in a suit for civil enforcement of agency action may defend on any of the 

grounds specified in subsection 10, paragraphs "a" through "n ", if that defendant, at the time the 

enforcement suit was filed, would have been entitled to rely upon any of those. grounds as a basis 

for invalidating the agency action in a suit for judicial review of that action brought at the time 

the enforcement suit was filed. If a suit for civil enforcement of agency action in a contested case 

is filed within the time period in which the defendant could have filed a petition for judicial 

review of that agency action, and the agency subsequently dismisses its suit far civil enforcement 

383 
of that agency action against the defendant, the defendant may, within thirty days of that 

dismissal, file a petition for judicial review of the original agency action at issue if the defendant 

relied upon any of the grounds for judicial review in subsection 10, paragraphs "a" through "n ", 

in a responsive pleading to the enforcement action, or if the time to file a responsive pleading had 

not yet expired at the time the enforcement action was dismissed. 

17A.20 APPEALS. 

An aggrieved or adversely affected party to the judicial review proceeding may obtain a 

review of any final judgment of the district court under this chapter by appeal. The appeal shall 

be taken as in other civil cases, although the appeal may be taken regardless of the amount 

involved. 

17A.21 INCONSISTENCY WITH FEDERAL LAW. 

If it is determined by the attorney general that any provision of this chapter would cause 

denial of funds or services from the United States government which would otherwise be 

available to an agency of this state, or would otherwise be inconsistent with requirements of 

federal law, such provision shall be suspended as to such agency, but only to the extent necessary 

to prevent denial of such funds or services or to eliminate the inconsistency with federal 

requirements . If the attorney general makes such a suspension determination, the attorney general 

shall report it to the general assembly at its next session. This report shall include any 

recommendations in regard to corrective legislation needed to conform this chapter with the 

federal law. 

17A.22 AGENCY AUTHORITY TO IMPLEMENT CHAPTER. 

Agencies shall have all the authority necessary to comply with the requirements of this 

chapter through the issuance of rules or otherwise . 

17A.23 CONSTRUCTION. 

Except as expressly provided otherwise by this chapter or by another statute referring to this 

chapter by name, the rights created and the requirements imposed by this chapter shall be in 

addition to those created or imposed by every other statute in existence on July 1, 1975, or 

enacted after that date. If any other statute in existence on July 1, 1975, or enacted after that date 

diminishes a right conferred upon a person by this chapter or diminishes a requirement imposed 

upon an agency by this chapter, this chapter shall take precedence unless the other statute 

expressly provides that it shall take precedence over all or some specified portion of this named 

chapter . 

This chapter shall be construed broadly to effectuate its purposes. This chapter shall also be 

construed to apply to all agencies not expressly exempted by this chapter or by another statute 

specifically referring to this chapter by name; and except as to proceedings in process on July 1, 

1975, this chapter shall be construed to apply to all covered agency proceedings and all agency 

action not expressly exempted by this chapter or by another statute specifically referring to this 

chapter by name. 

An agency shall have only that authority or discretion delegate to or conferred upon the agency 

by law and shall not expand or enlarge its authority or discretion beyond the powers delegated to 

or conferred upon the agency. 

384 
17A.24 TO 17A.30 Reserved. 

17A.31 AND 17A.32 Repealed by 98 Acts, ch 1202, § 45,46. 

17A.33 REVIEW BY ADMINISTRATIVE RULES REVIEW COMMITTEE. 

The administrative rules review committee shall review existing rules, as time permits, to 

determine if there are adverse or beneficial effects from these rules . The committee shall give a 

high priority to rules that are referred to it by small business as defined in section 17A.4A. The 

review of these rules shall be forwarded to the appropriate standing committees of the house and 

senate. 

17A.34 COMPETITION WITH PRIVATE ENTERPRISE - NOTICE FOR 

PROPOSED RULES. 

When a rule is proposed, the administrative rules coordinator shall make an initial 

determination of whether the rule may cause a service or product to be offered for sale to the 

public by a state agency that competes with private enterprise. If such a service or product may 

be offered as a result of the proposed rule, that fact shall be included in the notice of intended 

action of the rule. 
Attachment #7 

Code of lowa 135.38 : Authority for criminal penalties . 

135.38 PENALTY. 

Any person who knowingly violates any provision of this chapter, or of the rules of the 

department, or any lawful order, written or oral, of the department or of its officers, or authorized 

agents, shall be guilty of a simple misdemeanor. 
Attachment #8 

Code of Iowa Chapter 903: Misdemeanors 

903.1 MAXIMUM SENTENCE FOR MISDEMEANANTS. 

1 . If a person eighteen years of age or older is convicted of a simple or serious 

misdemeanor and a specific penalty is not provided for or if a person under eighteen years of age 

has been waived to adult court pursuant to section 232.45 on a felony charge and is subsequently 

convicted of a simple, serious, or aggravated misdemeanor, the court shall determine the 

sentence, and shall fix the period of confinement or the amount of fine, which fine shall not be 

suspended by the court, within the following limits : 

a. For a simple misdemeanor, there shall be a fine of at least sixty-five dollars but not to 

exceed six hundred twenty-five dollars . The court may order imprisonment not to exceed thirty 

days in lieu of a fine or in addition to a fine. 

b. For a serious misdemeanor, there shall be a fine of at least three hundred fifteen dollars 

but not to exceed one thousand eight hundred seventy-five dollars . In addition, the court may 

also order imprisonment not to exceed one year. 

2 . When a person is convicted of an aggravated misdemeanor, and a specific penalty is not 

provided for, the maximum penalty shall be imprisonment not to exceed two years . There shall 

be a fine of at least six hundred twenty-five dollars but not to exceed six thousand two hundred 

fifty dollars . When a judgment of conviction of an aggravated misdemeanor is entered against 

any person and the court imposes a sentence of confinement for a period of more than one year 

the term shall be an indeterminate term. 

3. A person under eighteen years of age convicted of a simple misdemeanor under chapter 

321, 321G, 3211,453A, 461A, 461B, 462A, 481A, 48113, 483A, 484A, or 484B, or a violation of 

a county or municipal curfew or traffic ordinance, except for an offense subject to section 805 .8, 

may be required to pay a fine, not to exceed one hundred dollars, as fixed by the court, or may be 

required to perform community service as ordered by the court. 

4. The surcharges required by sections 911 .1, 911.2, 911 .3, and 911 .4 shall be added to a 

fine imposed on a misdemeanant as provided in those sections, and are not a part of or subject to 

the maximums set in this section . 

903.2 RECONSIDERATION OF MISDEMEANANT'S SENTENCE. 

For a period of thirty days from the date when a person convicted of a rrusdemeanor begins 

to serve a sentence of confinement, the court may order the person to be returned to the court, at 

which time the court may review its previous action and reaffirm it or substitute for it any 

sentence permitted by law. The sentencing court retains jurisdiction for the limited purposes of 

conducting such review and entering an appropriate order notwithstanding the timely filing of a 

notice of appeal or an application for discretionary review. The court's final order in the 

proceeding shall be delivered to the defendant personally or by regular mail . Such action is 

discretionary with the court and its decision to take the action or not to take the action is not 

subject to appeal. The other provisions of this section notwithstanding, for the purposes of 

appeal a judgment of conviction is a final judgment when pronounced. 

903.3 WORK RELEASE. 

387 
The court may direct that a prisoner sentenced to confinement in a county jail, alternate jail facility, or community correctional residential treatment facility, be released from custody during specified hours, as provided by sections 356.26 to 356.35 . 

903.4 PROVIDING PLACE OF CONFINEMENT. 

All persons sentenced to confinement for a period of one year or less shall be confined in a place to be furnished by the county where the conviction was had unless the person is presently committed to the custody of the director of the Iowa department of corrections, in which case the provisions of section 901 .8 apply. All persons sentenced to confinement for a period of more than one year shall be committed to the custody of the director of the Iowa department of corrections to be confined in a place to be designated by the director and the cost of the confinement shall be borne by the state. The director may contract with local governmental units for the use of detention or correctional facilities maintained by the units for the confinement of such persons. 

903 .5 LOCAL FACILITIES PREFERRED FOR MISDEMEANANTS. 

In designating places of confinement of misdemeanants, the department shall make optimum use of local facilities offering correctional programs, where such are available . Where a choice of facilities is offered, a choice of the facility nearest the prisoner's home shall be preferred, if such choice is compatible with the rehabilitation of the prisoner . 

903.6 SEGREGATION OF PRISONERS. 

In any detention facility, persons who are serving a sentence of confinement shall be segregated from persons who are being detained for any other purpose, whenever such is possible . 
Attachment #9 

Code of Iowa 708 .4 : Willful injury. 

708.4 WILLFUL INJURY. 

Any person who does an act which is not justified and which is intended to cause serious 

injury to another commits the following : 

l . A class "C" felony, if the person causes serious injury to another. 

2. A class "D" felony, if the person causes bodily injury to another. 
Attachment #10 

Code of Iowa 707.5 : Involuntary manslaughter. 

707.5 INVOLUNTARY MANSLAUGHTER. 

1 . A person commits a class "D" felony when the person unintentionally causes the death 

of another person by the commission of a public offense other than a forcible felony or escape. 

2. A person commits an aggravated misdemeanor when the person unintentionally causes 

the death of another person by the commission of an act in a manner likely to cause death or 

serious injury. 

Involuntary manslaughter as defined in this section is an included offense under an 

indictment for murder in the first or second degree or voluntary manslaughter. 
Attachment #11 

Code of Iowa 714.2 : Degrees of theft. 

714.2 DEGREES OF THEFT. 

1 . The theft of property exceeding ten thousand dollars in value, or the theft of property 

from the person of another, or from a building which has been destroyed or left unoccupied 

because of physical disaster, riot, bombing, or the proximity of battle, or the theft of property 

which has been removed from a building because of a physical disaster, riot, bombing, or the 

proximity of battle, is theft in the first degree . Theft in the first degree is a class "C" felony. 

2. The theft of property exceeding one thousand dollars but not exceeding ten thousand 

dollars in value or theft of a motor vehicle as defined in chapter 321 not exceeding ten thousand 

dollars in value, is theft in the second degree. Theft in the second degree is a class "D" felony. 

However, for purposes of this subsection, "motor vehicle" does not include a motorized bicycle 

as defined in section 321 .1, subsection 40, paragraph "b ". 

3 . The theft of property exceeding five hundred dollars but not exceeding one thousand 

dollars in value, or the theft of any property not exceeding five hundred dollars in value by one 

who has before been twice convicted of theft, is theft in the third degree . Thei3 in the third 

degree is an aggravated misdemeanor. 

4. The theft of property exceeding two hundred dollars in value but not exceeding five 

hundred dollars in value is theft in the fourth degree. Theft in the fourth degree is a serious 

misdemeanor. 

5 . The theft of property not exceeding two hundred dollars in value is theft in the fifth 

degree. Theft in the fifth degree is a simple misdemeanor . 
Attachment #12 

Code of Iowa Chapter 902 : Felonies 

902.1 CLASS "A" FELONY. 

Upon a plea of guilty, a verdict of guilty, or a special verdict upon which a judgment of 

conviction of a class "A" felony may be rendered, the court shall enter a judgment of conviction 

and shall commit the defendant into the custody of the director of the Iowa department of 

corrections for the rest of the defendant's life . Nothing in the Iowa corrections code pertaining to 

deferred judgment, deferred sentence, suspended sentence, or reconsideration of sentence applies 

to a class "A" felony, and a person convicted of a class "A" felony shall not be released on parole 

unless the governor commutes the sentence to a term of years. 

902.2 COMMUTATION PROCEDURE FOR CLASS "A" FELONS. 

A person who has been sentenced to life imprisonment under section 902 .1 may, no more 

frequently than once every ten years, make an application to the governor requesting that the 

person's sentence be commuted to a term of years . The director of the Iowa department of 

corrections may make a request to the governor that a person's sentence be commuted to a term 

of years at any time. Upon receipt of a request for commutation, the governor shall send a copy 

of the request to the Iowa board of parole for investigation and recommendations as to whether 

the person should be considered for commutation. The board shall conduct an interview of the 

class "A" felon and shall make a report of its findings and recommendations to the governor. 

902.3 INDETERMINATE SENTENCE. 

When a judgment of conviction of a felony other than a class "A" felony is entered against a 

person, the court, in imposing a sentence of confinement, shall commit the person into the 

custody of the director of the Iowa department of corrections for an indeterminate term, the 

maximum length of which shall not exceed the limits as fixed by section 902.9, unless otherwise 

prescribed by statute, nor shall the term be less than the minimum term imposed by law, if a 

minimum sentence is provided. However, if the court suspends a person's sentence under section 

321J.2 , subsection 2, paragraph "c", the court shall order the offender to serve time in the county 

jail as provided in section 32112, subsection 2, paragraph "c", notwithstanding any provision to 

the contrary in section 903 .4 . 

902.3A DETERMINATE SENTENCING AND ADDITIONAL TERM OF YEARS FOR 

CLASS "D" FELONS. Repealed by 2003 Acts, ch 156, § 22 . 

902.4 RECONSIDERATION OF FELON'S SENTENCE. 

For a period of one year from the date when a person convicted of a felony, other than a 

class "A" felony or a felony for which a minimum sentence of confinement is imposed, begins to 

serve a sentence of confinement, the court, on its own motion or on the recommendation of the 

director of the Iowa department of corrections, may order the person to be returned to the court, 

at which time the court may review its previous action and reaffirm it or substitute for it any 

sentence permitted by law. Copies of the order to return the person to the court shall be provided 

to the attorney for the state, the defendant's attorney, and the defendant. Upon a request of the 

attorney for the state, the defendant's attorney, or the defendant if the defendant has no attorney, 

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the court may, but is not required to, conduct a hearing on the issue of reconsideration of 

sentence. The court shall not disclose its decision to reconsider or not to reconsider the sentence 

of confinement until the date reconsideration is ordered or the date the one-year period expires, 

whichever occurs first. The district court retains jurisdiction for the limited purposes of 

conducting such review and entering an appropriate order notwithstanding the timely filing of a 

notice of appeal. The court's final order in the proceeding shall be delivered to the defendant 

personally or by regular mail. The court's decision to take the action or not to take the action is 

not subject to appeal . However, for the purposes of appeal, a judgment of conviction of a felony 

is a final judgment when pronounced. 

902.5 PLACE OF CONFINEMENT. 

The director of the Iowa department of corrections shall determine the appropriate place of 

confinement of any person committed to the director's custody, in any institution administered by 

the director, and may transfer the person from one institution to another during the person's 

period of confinement . 

902.6 RELEASE. A person who has been committed to the custody of the director of the 

Iowa department of corrections shall remain in custody until released by the order of the board of 

parole, in accordance with the law governing paroles, or by order of the judge after 

reconsideration of a felon's sentence pursuant to section 902.4 or until the maximum term of the 

person's confinement, as fixed by law, has been completed. 

902.7 MINIMUM SENTENCE -- USE OF A DANGEROUS WEAPON. 

At the trial of a person charged with participating in a forcible felony, if the trier of fact 

finds beyond a reasonable doubt that the person is guilty of a forcible felony and that the person 

represented that the person was in the immediate possession and control of a dangerous weapon, 

displayed a dangerous weapon in a threatening manner, or was armed with a dangerous weapon 

while participating in the forcible felony the convicted person shall serve a minimum of five 

years of the sentence imposed by law. A person sentenced pursuant to this section shall not be 

eligible for parole until the person has served the minimum sentence of confinement imposed by 

this section . 

902.8 MINIMUM SENTENCE - HABITUAL OFFENDER. 

An habitual offender is any person convicted of a class "C" or a class "D" felony, who has 

twice before been convicted of any felony in a court of this or any other state, or of the United 

States . An offense is a felony if, by the law under which the person is convicted, it is so classified 

at the time of the person's conviction. A person sentenced as an habitual offender shall not be 

eligible for parole until the person has served the minimum sentence of confinement of three 

years. 

902.8A MINIMUM SENTENCE FOR CONSPIRING TO MANUFACTURE, OR 

DELIVERY OF, AMPHETAMINE OR METHAMPHETAMINE TO A MINOR. 

A person who has been convicted for a first violation under section 124.401 D shall not be 

eligible for parole until the person has served a minimum term of confinement of ten years. 

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902.9 MAXIMUM SENTENCE FOR FELONS. The maximum sentence for any person 

convicted of a felony shall be that prescribed by statute or, if not prescribed by statute, if other 

than a class "A" felony shall be determined as follows: 

l . A felon sentenced for a first conviction for a violation of section 124.401D, shall be 

confined for no more than ninety-nine years. 

2. A class "B" felon shall be confined for no more than twenty-five years. 

3. An habitual offender shall be confined for no more than fifteen years. 

4. A class "C" felon, not an habitual offender, shall be confined for no more than ten years, 

and in addition shall be sentenced to a fine of at least one thousand dollars but not more than ten 

thousand dollars . 

5 . A class "D" felon, not an habitual offender, shall be confined for no more than five 

years, and in addition shall be sentenced to a fine of at least seven hundred fifty dollars but not 

more than seven thousand five hundred dollars . 

The surcharges required by sections 911 .1, 911 .2, and 911 .3 shall be added to a fine 

imposed on a class "C" or class "D" felon, as provided by those sections, and are not a part of or subject to the maximums set in this section . 

902.10 APPLICATION FOR INVOLUNTARY HOSPITALIZATION. 

For the purposes of chapter 229, the director of the Iowa department of corrections is an 

interested person and all applicable provisions of chapter 229, relating to involuntary 

hospitalization, apply to persons who have been committed to the custody of the Iowa 

department of corrections as a result of a conviction of a public offense. 

902.11 MINIMUM SENTENCE -- ELIGIBILITY OF PRIOR FORCIBLE FELON FOR 

PAROLE OR WORK RELEASE. 

A person serving a sentence for conviction of a felony, who has a criminal record of one or 

more prior convictions for a forcible felony or a crime of a similar gravity in this or any other 

state, shall be denied parole or work release unless the person has served at least one-half of the 

maximum term of the defendant's sentence. However, the mandatory sentence provided for by 

this section does not apply if either of the following apply: 

1 . The sentences for the prior forcible felonies expired at least five years before the date of 

conviction for the present felony. 

2. The sentence being served is on a conviction for operating a motor vehicle while under 

the influence of alcohol or a drug under chapter 321J . 

902.12 MINIMUM SENTENCE FOR CERTAIN FELONIES -- ELIGIBILITY FOR 

PAROLE OR WORK RELEASE. 

A person serving a sentence for conviction of the following felonies, including a person 

serving a sentence for conviction of the following felonies prior to July 1, 2003, shall be denied 

parole or work release unless the person has served at least seven-tenths of the maximum term of 

the person's sentence: 

1 . Murder in the second degree in violation of section 707.3 . 

2. Attempted murder in violation of section 707.11 . 

3. Sexual abuse in the second degree in violation of section 709.3 . 

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4. Kidnapping in the second degree in violation of section 710.3 . 

5. Robbery in the first or second degree in violation of section 711 .2 or ',711 .3 . 

6. Vehicular homicide in violation of section 707.6A, subsection 1 or 2, if the person was 

also convicted under section 321 .261, subsection 4, based on the same facts or event that resulted 

in the conviction under section 707.6A, subsection 1 or 2. 

902.13 Reserved. 

902.14 ENHANCED PENALTY -- SEXUAL ABUSE OR LASCIVIOUS ACTS WITH A 

CHILD. 

1 . A person commits a class "A" felony if the person commits a second or subsequent 

offense involving any combination of the following offenses: 

a. Sexual abuse in the second degree in violation of section 709.3 . 

b. Sexual abuse in the third degree in violation of section 709.4. 

c. Lascivious acts with a child in violation of section 709.8, subsection 1 or 2. 

2. In determining if a violation charged is a second or subsequent offense for purposes of 

criminal sentencing in this section, each previous violation on which conviction or deferral of 

judgment was entered prior to the date of the violation charged shall be considered and counted 

as a separate previous offense, regardless of whether the previous offense occurred before, on, or 

after July 1, 2005. Convictions or the equivalent of deferred judgments for violations in any 

other states under statutes substantially corresponding to the offenses listed in subsection 1 shall 

be counted as previous offenses . The courts shall judicially notice the statutes of other states 

which define offenses substantially equivalent to the offenses listed in subsection 1 and can 

therefore be considered corresponding statutes.