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Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.2 - Definitions

Current through Register Vol. 47, No. 3, July 24, 2024
In addition to the definitions in rule
				  191-1.1 (502,505), and except
				  where otherwise specifically defined by law or the context otherwise requires,
				  the following definitions apply:
"Contested case"
means a proceeding defined
				  by Iowa Code section 17A.2(5)  and
				  includes any matter defined as a no factual dispute contested case under Iowa
				  Code section 17A.10A.
"File," "filed,"
or
"filing,"
when used as a verb, means the actions set forth in
				  subrules 3.12(3) and 3.12(4), except otherwise specifically defined by law.
				  "Filing," when used as a noun, means the documents filed.
"Issuance"
means the date of mailing of a
				  decision or order or the date of delivery if service is by other means, unless
				  another date is specified in the order.
"License"
means the whole or a part of any
				  permit, certificate, approval, registration, charter or similar form of
				  permission required by statute.
"Licensee"
means a person or entity to whom
				  the division has issued a license.
"Party"
means the same as defined in Iowa
				  Code section 17A.2.
"Person"
means the same as defined in Iowa
				  Code section 17A.2.
"Presiding officer"
means the commissioner,
				  the commissioner's designee or an administrative law judge from the department
				  of inspections, appeals, and licensing.
"Proposed decision"
means the administrative
				  law judge's or the commissioner's designee's recommended findings of fact,
				  conclusions of law, decision, and order in a contested case in which the
				  commissioner did not preside.
"Provision of law"
means the same as defined
				  in Iowa Code section 17A.2.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.3 - Time Requirements

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Time shall be
				computed as provided in Iowa Code section
				4.1(34).
(2) For good cause, the presiding officer may
				extend or shorten the time to take any action, except as precluded by statute.
				Except for good cause stated in the record, before extending or shortening the
				time to take any action, the presiding officer may afford all parties an
				opportunity to be heard or to file written arguments.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.4 - Requests for Contested Case Proceeding

Current through Register Vol. 47, No. 3, July 24, 2024
Any person claiming an entitlement to a contested case
				  proceeding shall file a written request for such a proceeding within the time
				  specified by the particular rules or statutes governing the subject matter or,
				  in the absence of such law, the time specified in the division action in
				  question. The request shall be filed with the division at the address disclosed
				  in rule 191-1.4 (502,505).
The request for a contested case proceeding shall state the
				  name and address of the requester; identify the specific division action that
				  is disputed if applicable; include a short and plain statement of the issues of
				  material fact in dispute; and, where the requester is represented by a lawyer,
				  identify the provisions of law or precedent requiring or authorizing a
				  contested case proceeding in the particular circumstances
				  involved.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.5 - Commencement of Hearing; Service; Delivery; Notice of Hearing; Answer

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Service
				and delivery of the notice of hearing.
a.
Commencement of hearing.
Delivery of the notice of hearing referred to in this rule constitutes
				commencement of the contested case proceeding.
b.
Delivery of the notice of
				hearing.
Delivery shall be accomplished by personal service as
				provided in the Iowa Rules of Civil Procedure or by certified mail, return
				receipt requested, at least 15 days before the hearing date unless the parties
				agree to a shorter time period, or unless otherwise provided by statute. Proof
				of delivery by mail is the same as proof of mailing specified in subrule
				3.12(5).
c.
Consent to
				service upon the commissioner.
For persons who have consented in
				writing to have the commissioner accept service of process on their behalf,
				delivery of the notice of hearing referred to in this rule is accomplished at
				the time the notice of hearing is signed by the commissioner, unless otherwise
				provided by law.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.6 - Presiding Officer

Current through Register Vol. 47, No. 3, July 24, 2024
(1) If the
				presiding officer is not an administrative law judge, any party wishing to
				request that the presiding officer assigned to render a proposed decision be an
				administrative law judge employed by the department of inspections, appeals,
				and licensing must file a written request with the division within 20 days
				after service of a notice of hearing identifying or describing the presiding
				officer as the commissioner or commissioner's designee.
(2) The commissioner may deny the request
				only upon a finding that one or more of the following apply:
a. Neither the commissioner nor any designee
				under whose authority the contested case is to take place is a named party to
				the proceeding or a real party in interest to that proceeding.
b. There is a compelling need to expedite
				issuance of a final decision in order to protect the public health, safety, or
				welfare.
c. An administrative law
				judge with the qualifications identified in subrule 3.6(4) is unavailable to
				hear the case within a reasonable time.
d. The case involves significant policy
				issues of first impression that are inextricably intertwined with the factual
				issues presented.
e. The demeanor
				of the witnesses is likely to be dispositive in resolving the disputed factual
				issues.
f. Funds are unavailable to
				pay the costs of an administrative law judge and an interagency
				appeal.
g. The request was not
				timely filed.
h. The request is not
				consistent with a specified statute.
i. A statute requires the commissioner or
				designee to serve as presiding officer.
j. The contested case arises from matters
				asserted pursuant to Iowa Code chapter 507A, 507B, 508B, 515G or
				521A.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.7 - Waiver of Procedures

Current through Register Vol. 47, No. 3, July 24, 2024
Unless otherwise precluded by law, the parties in a contested
				  case proceeding may waive any provision of this chapter. However, the division
				  may exercise discretion to refuse to give effect to such a waiver when the
				  waiver is inconsistent with the public interest.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.8 - Telephone, Video, or Electronic Proceedings

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The presiding
				officer may resolve preliminary procedural motions by telephone conference,
				videoconference or other electronic means in which all parties have been
				afforded notice and an opportunity to participate.
(2) The presiding officer may, on the
				officer's own motion or as requested by a party, order hearings or argument to
				be held by telephone conference, videoconference or other electronic means in
				which all parties have an opportunity to participate. Any party may call
				witnesses by telephone conference, videoconference or other electronic means
				with 14 days' advance notice to all parties and the presiding officer. Failure
				of a party to make timely disclosure may result in the disallowance of
				testimony by telephone conference, videoconference or other electronic
				means.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.9 - Disqualification

Current through Register Vol. 47, No. 3, July 24, 2024
(1) 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:
a. Has a personal bias or prejudice
				concerning a party or a representative of a party;
b. Has personally investigated, prosecuted or
				advocated in connection with that contested case, the specific controversy
				underlying that contested case, another factually related contested case with
				common disputed facts, or a pending controversy with common disputed facts that
				may culminate in a contested case involving the same parties;
c. 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 factually related contested case with
				common disputed facts or controversy involving the same parties;
d. Has acted as counsel to any person who is
				a private party to that proceeding within the past two years;
e. 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;
f. Has a spouse or relative within the third
				degree of relationship that is (1) a party to the case, or an officer, director
				or trustee of a party; (2) a lawyer in the case; (3) known to have an interest
				that could be substantially affected by the outcome of the case; or (4) likely
				to be a material witness in the case; or
g. Has any other legally sufficient cause to
				withdraw from participation in the decision making in the case.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.10 - Consolidation-severance

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The presiding
				officer may consolidate contested case proceedings where (a) the matters at
				issue involve common parties or common questions of fact or law, (b)
				consolidation would expedite and simplify consideration of the issues involved,
				and (c) consolidation would not adversely affect the rights of any of the
				parties to those proceedings.
(2)
				The presiding officer may, for good cause shown, order any contested case
				proceedings or portions thereof severed.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.13 - Discovery

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Discovery permitted.
Where statutory time limitations permit,
				discovery may be conducted as permitted by the Iowa Rules of Civil Procedure
				and these rules. Discovery shall be conducted in an expedited manner to prevent
				unnecessary delays to the hearing.
(2)
Scope of discovery.
Parties may obtain discovery regarding any matter, not privileged or
				confidential, which is relevant to the claim or defense of the party in the
				pending action seeking discovery or to the claim or defense of any other party.
				Discovery responses are subject to the confidentiality provisions of Iowa Code
				section 22.7, chapters under the
				jurisdiction of the commissioner, and rule
				191-3.12 (17A), in accordance
				with applicable law, including, but not limited to, Iowa Code sections
				17A.13(2)  and
				522B.11(6),
				unless otherwise permitted by the presiding officer for good cause
				shown.
(3)
Notice of
				discovery.
Discovery is only permitted after a party has filed,
				pursuant to rule 191-3.12 (17A), a notice of
				discovery no later than 15 days after the filing of an answer unless extended
				by the presiding officer for good cause shown or by agreement of the parties.
				The notice of discovery shall be a general notice that the party is serving
				discovery. The notice should include a statement regarding the type of
				discovery being conducted and the due date.
(4)
Discovery responses.
Parties must respond to discovery within 15 days of receipt unless the parties
				mutually agree there is good cause to lengthen the response period or by order
				of the presiding officer. Time periods for compliance with discovery may be
				lengthened or shortened by order of the presiding officer.
(5)
Discovery completion.
All discovery must be completed no later than 30 days before the prehearing
				conference.
(6)
Discovery
				motions.
Any motion relating to discovery must allege that the moving
				party has previously made a good-faith attempt to resolve the discovery issues
				involved with the opposing party in a timely manner. Motions in regard to
				discovery shall be ruled upon by the presiding officer. Opposing parties shall
				be afforded the opportunity to respond within ten days of the filing of any
				such motion unless the time is shortened as provided in subrule 3.13(4). The
				presiding officer may rule on the basis of the written motion and any response,
				or may order argument on the motion.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.14 - Subpoenas

Current through Register Vol. 47, No. 3, July 24, 2024
(1) A subpoena
				shall be issued by the presiding officer at a party's request.
a. A request for a subpoena must be in
				writing and submitted to the presiding officer or designated filing clerk by
				mail, email, or in-person delivery in accordance with the filing requirements
				of rule 191-3.12(17A).
b. The
				request shall include the names of the parties, the case number, the name and
				address of the requested witness, and a description or list of any documents or
				other items requested. The request shall also note the nature of the proceeding
				at which the witness is requested to testify (e.g., deposition, telephone
				hearing, or in-person hearing), the date and time of the proceeding, whether
				the witness is requested to appear in person or by telephone, the location of
				the proceeding, and the method of recording any deposition.
c. In the absence of good cause for
				permitting later action, a request for a subpoena must be received at least ten
				days before the scheduled proceeding.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.15 - Motions

Current through Register Vol. 47, No. 3, July 24, 2024
(1) No technical
				form for motions is required. However, prehearing motions must be in writing
				and must state the grounds for relief and relief sought.
(2) Any party may file a written response to
				a motion within ten days after the motion is served, unless the time period is
				extended or shortened by the presiding officer. In ruling on a motion, the
				presiding officer may consider the motion unresisted, if no response is timely
				filed.
(3) The presiding officer
				may schedule oral argument on any motion.
(4) Motions pertaining to the hearing, except
				motions for summary judgment and requests for continuances, must be filed and
				served at least ten days prior to the date of hearing unless there is good
				cause for permitting later action or the time for such action is lengthened or
				shortened by an order of the presiding officer.
(5) Motions for summary judgment shall comply
				with the requirements of Iowa Rule of Civil Procedure 1.981 and shall be
				subject to disposition according to the requirements of that rule to the extent
				such requirements are not inconsistent with the provisions of this rule or any
				other provision of law governing the procedure in contested cases.
Motions for summary judgment may be filed and served within a
				  reasonable time prior to the hearing, as determined by the presiding officer.
				  Any party resisting the motion shall file and serve a resistance within 15 days
				  from the date a copy of the motion was served unless otherwise ordered by the
				  presiding officer. The time fixed for hearing or nonoral submission shall be
				  not less than 20 days after the filing of the motion unless a shorter time is
				  ordered by the presiding officer. A summary judgment order rendered on all
				  issues in a contested case is subject to rehearing pursuant to rule
				  191-3.28 (17A) and appeal
				  pursuant to rule 191-3.27 (17A).
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.16 - Prehearing Conference

Current through Register Vol. 47, No. 3, July 24, 2024
(1) A prehearing
				conference shall be scheduled not less than seven business days prior to the
				hearing date. The presiding officer shall give written notice of the prehearing
				conference to all parties.
(2)
				Prehearing conferences may be conducted by telephone conference or
				videoconference or in person as stated in the notice of hearing, unless
				otherwise ordered by the presiding officer.
(3) Each party shall exchange and receive
				prior to the prehearing conference:
a. A
				final list of the witnesses who the party anticipates will testify at hearing.
				Witnesses not listed may be excluded from testifying unless there was good
				cause for failure to include their names; and
b. A final list and copies of exhibits that
				the party anticipates will be introduced at hearing. Exhibits other than
				rebuttal exhibits that are not listed may be excluded from admission into
				evidence unless there was good cause for failure to include them.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.17 - Continuances

Current through Register Vol. 47, No. 3, July 24, 2024
Unless otherwise provided, applications for continuances
				  shall be made to the presiding officer.
(1) An application for a continuance shall:
a. Be made at the earliest possible time and
				no less than 14 days before the hearing except in case of unanticipated
				emergencies or consent of all parties, and
b. State the specific reasons for the
				request.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.19 - Intervention

Current through Register Vol. 47, No. 3, July 24, 2024
(1) A motion for
				leave to intervene in a contested case proceeding shall state the grounds for
				the proposed intervention, including any statutory grounds, and the position
				and interest of the proposed intervenor. A proposed answer or petition in
				intervention shall be attached to the motion. Any party may file a response
				within 14 days of service of the motion to intervene unless the time period is
				extended or shortened by the presiding officer.
(2) Motion for leave to intervene shall be
				filed as early in the proceeding as possible to avoid adverse impact on
				existing parties or the conduct of the proceeding. Unless otherwise ordered, a
				motion for leave to intervene shall be filed before the prehearing conference,
				if any, or at least 20 days before the date scheduled for hearing. Any later
				motion must contain a statement of good cause for failure to file in a timely
				manner. Unless inequitable or unjust, an intervenor shall be bound by any
				agreement, arrangement, or other matter previously raised in the
				case.
(3) The movant shall
				demonstrate that (a) intervention would not unduly prolong the proceedings or
				otherwise prejudice the rights of existing parties; (b) the movant is likely to
				be aggrieved or adversely affected by a final order in the proceeding; and (c)
				the interests of the movant are not adequately represented by existing parties;
				or (d) there exists a statutory right to intervene.
(4) If appropriate, the presiding officer may
				order consolidation of the petitions and briefs of different parties whose
				interests are aligned and limit the number of representatives allowed to
				participate actively in the proceedings. A person granted leave to intervene is
				a party to the proceeding. The order granting intervention may restrict the
				issues that may be raised by the intervenor or otherwise condition the
				intervenor's participation in the proceeding.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.20 - Hearing Procedures

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The presiding
				officer presides at the hearing and may rule on motions, require briefs, issue
				a proposed decision, and issue such orders and rulings as will ensure orderly
				conduct of the proceedings.
(2) The
				presiding officer shall conduct the hearing in the following manner:
a. The presiding officer shall give an
				opening statement briefly describing the nature of the proceedings;
b. Parties shall be given an opportunity to
				present opening statements;
c.
				Parties shall present their cases in the sequence determined by the presiding
				officer;
d. Each witness shall be
				sworn or affirmed by the presiding officer, the court reporter, or a person
				otherwise authorized by law and be subject to examination and
				cross-examination. The presiding officer may limit questioning in a manner
				consistent with law; and
e. When
				all parties and witnesses have been heard, parties may be given the opportunity
				to present final arguments.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.21 - Evidence

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The presiding
				officer shall rule on admissibility of evidence and may, where appropriate,
				take official notice of facts in accordance with applicable requirements of
				law.
(2) Stipulation of facts is
				encouraged. The presiding officer may make a decision based on stipulated
				facts.
(3) Evidence in the
				proceeding shall be confined to the issues as to which the parties received
				notice prior to the hearing unless the parties waive their right to such notice
				or the presiding officer determines that good cause justifies expansion of the
				issues. If the presiding officer decides to admit evidence on issues outside
				the scope of the notice over the objection of a party who did not have actual
				notice of those issues, that party, upon timely request, may receive a
				continuance sufficient to amend pleadings and to prepare on the additional
				issue.
(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 no later than the time they
				are proffered to the presiding officer. All exhibits admitted into evidence
				shall be appropriately marked and be made part of the record.
(5) A party may object to specific evidence.
				A party may request limits on the scope of any examination or
				cross-examination. Objections shall be accompanied by a brief statement of the
				grounds upon which the objections are based. The objection and the ruling on
				the objection shall be noted in the record. The presiding officer may rule on
				the objection at the time it is made or may reserve a ruling until the written
				decision, if appropriate.
(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 or, with
				permission of the presiding officer, present the testimony. If the excluded
				evidence consists of a document or exhibit, it shall be marked as part of an
				offer of proof and inserted in the record.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.22 - Default

Current through Register Vol. 47, No. 3, July 24, 2024
(1) If a party
				fails to appear or participate in a contested case proceeding after proper
				service of notice as provided in subrule 3.5(1), the presiding officer may, if
				no adjournment is granted, enter a default decision or proceed with the hearing
				and render a decision in the absence of the party.
(2) Where appropriate and not contrary to
				law, any party may move for default against a party who has requested the
				contested case proceeding and failed to file a required pleading or has failed
				to appear after proper service.
(3)
				Default decisions or decisions rendered on the merits after a party has failed
				to appear or participate constitute final division action unless one of the
				following occurs:
(1) the presiding officer
				otherwise orders,
(2) a motion to
				vacate the default decision is filed within 15 days after the date of
				notification or mailing of the decision in accordance with rule
				191-3.12 (17A), or
(3) an appeal to the commissioner of a
				proposed default decision is filed in accordance with rule
				191-3.27 (17A). A motion to
				vacate must be filed and served on all parties and state all facts relied upon
				by the moving party which establish that good cause existed for that party's
				failure to appear or participate at the contested case proceeding. Each fact so
				stated must be substantiated by at least one sworn affidavit of a person with
				personal knowledge of each such fact, which affidavit(s) must be attached to
				the motion.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.24 - Recording Costs

Current through Register Vol. 47, No. 3, July 24, 2024
Upon request, the presiding officer with notice to all
				  parties shall provide a copy of the whole or any portion of the record at a
				  reasonable cost. The cost of preparing a copy of the record or of transcribing
				  the hearing record shall be paid by the requesting party. Parties who request
				  that a hearing be recorded by certified shorthand reporters rather than by
				  electronic means shall bear the cost of that recordation, unless otherwise
				  provided by law.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.25 - Interlocutory Appeals

Current through Register Vol. 47, No. 3, July 24, 2024
Upon written request of a party or on its own motion, the
				  commissioner or designee may review an interlocutory order of the presiding
				  officer. In determining whether to do so, the commissioner or designee shall
				  weigh the extent to which granting the interlocutory appeal would expedite
				  final resolution of the case and the extent to which review of that
				  interlocutory order at the time the proposed decision of the presiding officer
				  is reviewed would provide an adequate remedy. Any request for interlocutory
				  review must be filed within 14 days of issuance of the challenged order, but no
				  later than the time for compliance with the order or the date of hearing,
				  whichever is first.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.26 - Final Decision

Current through Register Vol. 47, No. 3, July 24, 2024
(1) When the
				commissioner presides over the reception of evidence at the hearing, the
				commissioner's decision is a final decision.
(2) When the commissioner does not preside
				over the reception of evidence, the presiding officer shall make a proposed
				decision. The proposed decision becomes the final decision of the division when
				adopted by the commissioner or without further proceedings after the time
				provided in rule 191-3.27 (17A) unless there is a
				timely appeal to the commissioner or motion by the division to review the
				proposed decision.
(3) The
				presiding officer's decision shall specify in bold print either that the
				decision is final or that the decision shall become final without further
				proceedings after the time provided in rule
				191-3.27 (17A).
(4) Any administrative law judge serving as a
				presiding officer in a contested case shall report to the commissioner on a
				monthly basis all matters taken under advisement for longer than 60 days,
				together with an explanation of the reasons for the delay and an expected date
				of a proposed decision. A matter shall be reported when all hearings have been
				completed and the matter awaits decision without further appearance of the
				parties or their attorneys, even though briefs or transcripts have been ordered
				but have not yet been filed. The report shall be due on the tenth day of each
				calendar month for the period ending with the last day of the preceding
				calendar month. The report shall be signed by the administrative law judge. All
				reports received will be filed with the Iowa insurance division as records
				available for public inspection.
(5) Parties shall be promptly notified of
				each proposed or final decision or order by delivery to them of a copy of such
				decision or order in the manner provided by Iowa Code section
				17A.12(1) 
				unless the party has consented to an alternative form of delivery.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.27 - Appeals and Review by the Commissioner of Proposed Decisions

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Any adversely
				affected party may appeal a proposed decision to the commissioner within 30
				days after issuance of the proposed decision.
(2) The division may initiate review of a
				proposed decision on its own motion at any time within 30 days following
				issuance of such a decision.
(3) An
				appeal of a proposed decision is initiated by filing a timely notice of appeal
				with the commissioner. The notice of appeal must be signed by the appealing
				party or a representative of that party and contain a certificate of service.
				The notice shall specify:
a. The proposed
				decision or order appealed from;
b.
				The parties initiating the appeal;
c. The specific findings or conclusions to
				which exception is taken and any other exceptions to the decision or
				order;
d. The grounds for relief;
				and
e. The relief sought.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.28 - Applications for Rehearing

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Any party to a
				contested case proceeding may file an application for rehearing from a final
				order.
(2) The application for
				rehearing shall state on whose behalf it is filed, the specific grounds for
				rehearing, and the relief sought. In addition, the application shall state
				whether the applicant desires reconsideration of all or part of the division
				decision on the existing record and whether, on the basis of the grounds
				enumerated in subrule 3.27(5), the applicant requests an opportunity to submit
				additional evidence.
(3) The
				application shall be filed with the commissioner within 20 days after issuance
				of the final decision.
(4) A copy
				of the application shall be timely mailed by the division to all parties of
				record not joining therein if the application does not contain a certificate of
				service demonstrating service on all parties.
(5) Any application for a rehearing shall be
				deemed denied unless the commissioner grants the application within 20 days
				after its filing.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.29 - Stay of Division Action

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Petition
				requirements for stay of division action.
a.
				Any party to a contested case proceeding may petition the commissioner for a
				stay of an order issued in that proceeding or for other temporary remedies,
				pending review by the division. The petition shall be filed with the notice of
				appeal and shall state the reasons justifying a stay or other temporary remedy.
				The commissioner may rule on the stay or authorize the presiding officer to do
				so.
b. Any party to a contested
				case proceeding may petition the commissioner for a stay or other temporary
				remedy pending judicial review of all or part of that proceeding. The petition
				shall state the reasons justifying a stay or other temporary remedy.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.30 - No Factual Dispute Contested Cases

Current through Register Vol. 47, No. 3, July 24, 2024
If the parties agree that no dispute of material fact exists
				  as to a matter that would be a contested case if such a dispute of fact
				  existed, the parties may present all relevant admissible evidence either by
				  stipulation or otherwise as agreed by the parties, without necessity for the
				  production of evidence at an evidentiary hearing. If such agreement is reached,
				  a jointly submitted schedule detailing the method and timetable for submission
				  of the record, briefs and oral argument should be submitted to the presiding
				  officer for approval as soon as is practicable.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.31 - Emergency Adjudicative Proceedings

Current through Register Vol. 47, No. 3, July 24, 2024
(1) To the extent
				necessary to prevent or avoid immediate danger to the public health, safety, or
				welfare, and consistent with the Constitution and other provisions of law, the
				division may issue a written order in compliance with Iowa Code section
				17A.18A to suspend a license in
				whole or in part, order the cessation of any continuing activity, order
				affirmative action, or take other action within the jurisdiction of the
				division by emergency adjudicative order. Before issuing an emergency
				adjudicative order, the division shall consider factors including, but not
				limited to, the following:
a. Whether there
				has been a sufficient factual investigation to ensure that the division is
				proceeding on the basis of reliable information;
b. Whether the specific circumstances that
				pose immediate danger to the public health, safety or welfare have been
				identified and determined to be continuing;
c. Whether the person required to comply with
				the emergency adjudicative order may continue to engage in other activities
				without posing immediate danger to the public health, safety or
				welfare;
d. Whether imposition of
				monitoring requirements or other interim safeguards would be sufficient to
				protect the public health, safety or welfare;
e. Whether the specific action contemplated
				by the insurance division is necessary to avoid the immediate danger;
				and
f. Whether the proposed
				emergency adjudicative order is sufficiently limited in scope and narrowly
				tailored to protect the public health, safety or welfare.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.32 - Summary Cease and Desist Orders

Current through Register Vol. 47, No. 3, July 24, 2024
When a statute authorizes action to be taken without a prior
				  hearing, the commissioner's order shall be sent to the last-known address of
				  the party by certified mail, return receipt requested, unless the party is a
				  licensee, in which case the order shall be sent by restricted certified mail.
				  The order shall include a brief statement of findings of fact, conclusions of
				  law and policy reasons for the decision; direct the person or insurer to cease
				  and desist from engaging in the act or practice or to take other affirmative
				  action as is necessary, in the judgment of the commissioner, to comply with the
				  statute; and state that the party will be afforded a contested case proceeding
				  and a hearing if a request is filed with the commissioner at least 30 days from
				  the date that the order is issued, unless a different time is specified by
				  statute. The commissioner shall issue a notice of hearing no later than 30 days
				  from the date of receipt of a timely request for a contested case proceeding
				  and hearing. If a statute requires a hearing to be held following issuance of a
				  summary order, the date and time of that hearing shall be set forth in the
				  order. Summary orders shall remain effective during the pendency of
				  proceedings.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 3 - Contested Cases › Rule 191-3.33 - Settlement

Current through Register Vol. 47, No. 3, July 24, 2024
(1) A party to a
				controversy that may culminate or has culminated in contested case proceedings
				may attempt settlement by complying with the procedures set forth in this
				subrule. No party shall be required to settle the controversy or contested case
				by submitting to settlement procedures.
(2) Parties desiring settlement shall set
				forth in writing the various points of a proposed settlement, including
				findings of facts.
(3) When signed
				by the parties and approved by the commissioner, a settlement shall represent
				final disposition of the matter.
(4) When there is more than one party adverse
				to the division, a separate settlement between one party and the division is
				permissible.
(5) A proposed
				settlement that is not accepted or signed by the parties and the commissioner
				shall not be admitted as evidence in the record of a contested case proceeding.
				Evidence of conduct or statements made in settlement negotiations likewise are
				not admissible. This rule does not require exclusion when the evidence is
				offered for another purpose, such as proving bias or prejudice of a witness,
				negating a contention of undue delay, or proving an effort to obstruct a
				criminal investigation or prosecution.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.1 - Applicability

Current through Register Vol. 47, No. 3, July 24, 2024
Except to the extent otherwise expressly provided by statute,
				  all rules proposed or adopted by the division are subject to the provisions of
				  Iowa Code chapter 17A and the provisions of this chapter.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.2 - Definitions

Current through Register Vol. 47, No. 3, July 24, 2024
The definitions in Iowa Code section
				  17A.2 are incorporated into this
				  chapter by this reference. In addition to those definitions and the definitions
				  in rule 191-1.1 (502,505), the following
				  definitions apply:
"Commissioner"
means the commissioner of
				  insurance or the commissioner's designee. For the purposes of this chapter,
				  "commissioner" includes both the commissioner of insurance and the
				  administrator as defined in Iowa Code chapter 502.
"Waiver"
means action by the division that
				  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.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.3 - Severability

Current through Register Vol. 47, No. 3, July 24, 2024
If any provision of any rule adopted by the division, or if
				  the application of any such rule to any person or circumstance, is for any
				  reason held to be invalid, illegal or unenforceable by any court of law, the
				  validity, legality and enforceability of the remainder of the rule and its
				  application to other persons or circumstances shall not be affected or impaired
				  thereby.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.4 - Public Rulemaking Docket

Current through Register Vol. 47, No. 3, July 24, 2024
The division shall maintain on the division's website a
				  current public rulemaking docket listing each pending rulemaking proceeding and
				  relevant rulemaking information, including the information required by Iowa
				  Code sections 17A.3(1)
"d"
and 17A.6A(2). If a rulemaking docket for all agencies is
				  maintained on the Iowa legislature's website, the division may utilize the
				  legislature's docket, in whole or in part, instead of creating a duplicative
				  separate docket.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.5 - Waivers

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Scope.
This chapter outlines generally applicable standards
				and a uniform process for the granting of individual waivers from rules adopted
				by the division in situations when no other more specifically applicable law
				provides for waivers. This chapter shall not preclude the division from
				granting waivers in other contexts or on the basis of other standards if a
				statute or agency rule authorizes the division to do so and the division deems
				it appropriate to do so.
(2)
Authority to grant waivers.
The division may grant a waiver
				from a rule only if the division has jurisdiction over the rule and the
				requested waiver is consistent with applicable statutes, constitutional
				provisions, or other provisions of law. The division may not waive the
				following categories of rules:
a. Rules
				setting requirements that are created or duties that are imposed by
				statute.
b. Rules that provide
				definitions or interpretations, set fees, clarify enforcement authority, deal
				with fraud or are the subject of prosecutorial discretion.
c. Rules that merely define the meaning of a
				statute or other provision of law or precedent if the commissioner does not
				possess delegated authority to bind the courts to any extent with the
				commissioner's definition.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.8 - Petition for Declaratory Order

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Any person or
				agency may file a petition with the division for a declaratory order as to the
				applicability to specified circumstances of a statute, rule or order within the
				primary jurisdiction of the division.
(2) The petition must be submitted to the
				division at the address provided in rule
				191-1.4 (502,505) or as
				instructed on the division's website.
(3) The petition must be typewritten or
				legibly handwritten in ink and must substantially conform to the following
				form:
Click here
				  to view Image
(4)
				The petition for declaratory order must provide the following information in
				separate numbered paragraphs:
1. The
				petitioner's name, address, and telephone number.
2. The citation to and the exact words,
				passages, sentences, or paragraphs of the statute, rule, or order that is the
				subject of the petition.
3. A clear
				and concise statement of all relevant facts upon which the declaratory order is
				requested.
4. The questions the
				petitioner wants answered, stated clearly and concisely.
5. The answers to the questions desired by
				the petitioner and a summary of the reasons urged by the petitioner in support
				of those answers.
6. The reasons
				for requesting the declaratory order and disclosure of the petitioner's
				interest in the outcome.
7. A
				statement indicating whether the petitioner is currently a party to another
				proceeding involving the questions at issue and whether, to the petitioner's
				knowledge, those questions have been decided by, are pending determination by,
				or are under investigation by any governmental entity.
8. Any request by the petitioner for a
				meeting provided for by rule
				191-4.14 (17A).
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.9 - Notice of Petition

Current through Register Vol. 47, No. 3, July 24, 2024
Within 15 days after receipt of a petition for a declaratory
				  order, the division must give notice of the petition to all persons not served
				  by the petitioner pursuant to rule
				  191-4.13 (17A) to whom notice is
				  required by any provision of law. The division may also give notice to any
				  other persons deemed appropriate.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.10 - Intervention

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Persons who
				qualify under any applicable provision of law as an intervenor and who file a
				petition for intervention within 20 days of the filing of a petition for
				declaratory order (after time for notice under rule 191-4.9(17A) and before
				30-day time for division action under rule
				191-4.15 (17A)) shall be allowed
				to intervene in a proceeding for a declaratory order.
(2) Any person who files a petition for
				intervention at any time prior to the issuance of an order may be allowed to
				intervene in a proceeding for a declaratory order at the discretion of the
				division.
(3) A petition must be
				typewritten or legibly handwritten in ink and shall state in separately
				numbered paragraphs the following:
a. Facts
				supporting the intervenor's standing and qualifications for
				intervention.
b. The answers urged
				by the intervenor to the question or questions presented and a summary of the
				reasons urged in support of those answers.
c. Reasons for requesting intervention and
				disclosure of the intervenor's interest in the outcome.
d. A statement indicating whether the
				intervenor is currently a party to any proceeding involving the questions at
				issue and whether, to the intervenor's knowledge, those questions have been
				decided by, are pending determination by, or are under investigation by any
				governmental entity.
e. The names
				and addresses of any additional persons, or a description of any additional
				class of persons, known by the intervenor to be affected by or interested in
				the questions presented.
f. Whether
				the intervenor consents to be bound by the determination of the matters
				presented in the declaratory order proceeding.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.11 - Briefs

Current through Register Vol. 47, No. 3, July 24, 2024
The petitioner or any intervenor may file a brief in support
				  of the position urged. The division may request a brief from the petitioner,
				  any intervenor, or any other person concerning the questions
				  raised.
Iowa Administrative Code › Agency 191 - Insurance Division › Organization and Procedures › Chapter 4 - Waiver of Rules and Declaratory Orders › Rule 191-4.12 - Inquiries

Current through Register Vol. 47, No. 3, July 24, 2024
Inquiries concerning the status of a declaratory proceeding
				  may be made to the division at the address disclosed in rule
				  191-1.4
				  (502,505).