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Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.21 - Evidence

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The presiding
				officer 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).
(2) Stipulation of facts is encouraged. The
				presiding officer may make a decision based on stipulated facts.
(3) Evidence shall be confined to the issues
				on which there has been fair notice prior to the hearing. The presiding officer
				may take testimony on a new issue if the parties waive their right to such
				notice or the presiding officer determines that good cause justifies expansion
				of the issues. If there is objection, the presiding officer 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.
(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.
(5) Any party may object to specific evidence
				or may request limits on the scope of any examination or cross-examination. The
				objecting party 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 presiding officer may rule on the objection at the
				time it is made or may reserve a ruling until the written decision.
(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.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.23 - Ex Parte Communication

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
				Ex parte communication is prohibited as provided in Iowa Code section
				17A.17.
				Parties or their representatives and the presiding officer shall not
				communication 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 presiding officer may communicate with persons who are not
				parties as provided in subrule 7.23(2).
(2) However, the presiding officer may
				communicate with members of the department 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. Persons who jointly act as presiding officer in a
				pending contested case may communicate with each other without notice or
				opportunity for parties to participate.
(3) Any party or presiding officer 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.
(4) Prohibited communications may result in
				sanctions as provided in department rule. In addition, the department, through
				the presiding officer, may censure the person or may prohibit further
				appearance before the department.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.24 - Recording Costs

Current through Register Vol. 47, No. 3, July 24, 2024
The department shall 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.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.25 - Interlocutory Appeals

Current through Register Vol. 47, No. 3, July 24, 2024
Upon written request of a party or on its own motion, the
				  director or the director's designee may review an interlocutory order of the
				  presiding officer In determining whether to do so, the director shall weigh the
				  extent to which the granting of the interlocutory appeal would expedite final
				  resolution of the case and the extent to which review of that interlocutory
				  order by the department at the time it reviews the proposed decision of the
				  presiding officer 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 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.26 - Decisions

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Final
				decision of department.
When the department presides over the
				reception of evidence at the hearing, its decision is a final
				decision.
(2)
Proposed
				decision.
When the department does not preside at the reception of
				evidence, the presiding officer shall make a proposed decision.
A ruling dismissing all of a party's claims or a voluntary
				  dismissal is a proposed decision under Iowa Code section 17A.15.
(3)
Contents of
				decision.
The proposed or final decision or order shall:
a. Be in writing or stated in the
				record.
b. Include findings of
				fact. Findings of fact, if set forth in statutory language, shall be
				accompanied by a concise and explicit statement of underlying facts supporting
				the findings.
c. Include
				conclusions of law stated separately from findings of fact and supported by
				cited authority or a reasoned opinion.
d. Be based on the record of the contested
				case. The record of the contested case shall include all materials specified in
				Iowa Code subsection
				17A.12(6).
				This record shall include any request for a contested case hearing and other
				relevant procedural documents regardless of their form.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.27 - Appeals and Review

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Appeal by party.
Any adversely affected party may appeal a
				proposed decision to the director within 14 days after issuance of the proposed
				decision.
(2)
Review.
The director may initiate review of a proposed
				decision on the director's own motion at any time within 21 days following the
				issuance of such a decision.
(3)
Notice of appeal.
An appeal of a proposed decision is
				initiated by filing a timely notice of appeal with the department. 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 parties initiating the
				appeal;
b. The proposed decision or
				order appealed from;
c. The
				specific findings or conclusions to which exception is taken and any other
				exceptions to the decision or order;
d. The relief sought; and
e. The grounds for relief.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.28 - Applications for Rehearing

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
By whom filed.
Any party to a contested case proceeding may
				file an application for rehearing from a final order
(2)
Content of application.
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 department decision on the existing record and whether, on the
				basis of the grounds enumerated in subrule 7.27(4), the applicant requests an
				opportunity to submit additional evidence.
(3)
Time of filing.
The
				application shall be filed with the department within 20 days after issuance of
				the final decision.
(4)
Notice to other parties.
A copy of the application shall be
				timely mailed by the applicant to all parties of record not joining therein. If
				the application does not contain a certificate of service, the department shall
				serve copies on all parties.
(5)
Disposition.
Any application for a rehearing shall be deemed
				denied unless the department grants the application within 20 days after its
				filing.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.29 - Stays of Department Actions

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
When available.
a. Any party
				to a contested case proceeding may petition the department for a stay of an
				order issued in that proceeding or for other temporary remedies, pending review
				by the department. The petition shall be filed with the notice of appeal and
				shall state the reasons justifying a stay or other temporary remedy. The
				director or director's designee may rule on the stay or authorize the presiding
				officer to do so.
b. Any party to a
				contested case proceeding may petition the department for a stay or other
				temporary remedies 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 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.30 - 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 practicable. If the parties cannot agree, any
				  party may file and serve a motion for summary judgment pursuant to the rules
				  governing such motions.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 7 - Contested Cases › Rule 11-7.31 - Emergency Adjudicative Proceedings

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Necessary emergency
				action.
To the extent necessary to prevent or avoid immediate danger
				to the public heaIth, safety, or welfare and, consistent with the Constitution
				and other provisions of law, the department may issue a written order in
				compliance with Iowa Code section
				17A.18 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
				department by emergency adjudicative order. Before issuing an emergency
				adjudicative order, the department shall consider factors including, but not
				limited to, the following:
a. Whether there
				has been a sufficient factual investigation to ensure that the department is
				proceeding on the basis of reliable information;
b. Whether the specific circumstances which
				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; and
e. Whether the specific action contemplated
				by the department is necessary to avoid the immediate danger.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.1 - Petition for Declaratory Order

Current through Register Vol. 47, No. 3, July 24, 2024
Any person may file a petition with the department of
				  administrative services for a declaratory order as to the applicability to
				  specified circumstances of a statute, rule, or order within the primary
				  jurisdiction of the Department of Administrative Services, Hoover State Office
				  Building, Third Floor, Des Moines, Iowa 50319, Attn: Legal Counsel. A petition
				  is deemed filed when it is received by that office. The department of
				  administrative services shall provide the petitioner with a file-stamped copy
				  of the petition if the petitioner provides the department an extra copy for
				  this purpose. The petition must be typewritten or legibly handwritten in ink
				  and must substantially conform to the following form:
Click here to
				  view Image
The petition must provide the following information:
1. A clear and concise statement of all
				relevant facts on which the order is requested.
2. A citation and the relevant language of
				the specific statutes, rules, policies, decisions, or orders, whose
				applicability is questioned, and any other relevant law.
3. The questions petitioner wants answered,
				stated clearly and concisely.
4.
				The answers to the questions desired by the petitioner and a summary of the
				reasons urged by the petitioner in support of those answers.
5. The reasons for requesting the declaratory
				order and disclosure of the petitioner's interest in the outcome.
6. A statement indicating whether the
				petitioner is currently a party to another proceeding involving the questions
				at issue and whether, to the petitioner's knowledge, those questions have been
				decided by, are pending determination by, or are under investigation by, any
				governmental entity.
7. The names
				and addresses of other persons, or a description of any class of persons, known
				by petitioner to be affected by, or interested in, the questions presented in
				the petition.
8. Any request by
				petitioner for a meeting provided for by rule
				11-8.7 (17A).
The petition must be dated and signed by the petitioner or
				  the petitioner's representative. It must also include the name, mailing
				  address, and telephone number of the petitioner and petitioner's representative
				  and a statement indicating the person to whom communications concerning the
				  petition should be directed.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.2 - Notice of Petition

Current through Register Vol. 47, No. 3, July 24, 2024
Within 15 business days after receipt of a petition for a
				  declaratory order, the department of administrative services shall give notice
				  of the petition to all persons not served by the petitioner pursuant to rule
				  11-8.6(17A) to whom notice is required by any provision of law. The department
				  of administrative services may also give notice to any other persons deemed
				  appropriate.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.3 - 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 and before the 30-day time for department action under rule
				11-8.8 (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 department.
(3) A petition
				for intervention shall be filed with the department of administrative services.
				Such a petition is deemed filed when it is received by the department. The
				department of administrative services will provide the petitioner with a
				file-stamped copy of the petition for intervention if the petitioner provides
				an extra copy for this purpose. A petition for intervention must be typewritten
				or legibly handwritten in ink and must substantially conform to the following
				form:
Click here to
				  view Image
The petition for intervention must provide the following
				  information:
1. Facts supporting the
				intervener's standing and qualifications for intervention.
2. The answers urged by the intervenor to the
				question or questions presented and a summary of the reasons urged in support
				of those answers.
3. Reasons for
				requesting intervention and disclosure of the intervener's interest in the
				outcome.
4. A statement indicating
				whether the intervenor is currently a party to any proceeding involving the
				questions at issue and whether, to the intervener's knowledge, those questions
				have been decided by, are pending determination by, or are under investigation
				by, any governmental entity.
5. The
				names and addresses of any additional persons, or a description of any
				additional class of persons, known by the intervenor to be affected by, or
				interested in, the questions presented.
6. Whether the intervenor consents to be
				bound by the determination of the matters presented in the declaratory order
				proceeding.
The petition must be dated and signed by the intervenor or
				  the intervener's representative. It must also include the name, mailing
				  address, and telephone number of the intervenor and intervener's
				  representative, and a statement indicating the person to whom communications
				  should be directed.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.4 - 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 department of administrative services may request a
				  brief from the petitioner, any intervenor, or any other person concerning the
				  questions raised.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.5 - Inquiries

Current through Register Vol. 47, No. 3, July 24, 2024
Inquiries concerning the status of a declaratory order
				  proceeding may be made to the legal counsel for the Department of
				  Administrative Services, Hoover State Office Building, Third Floor , Des
				  Moines, Iowa 50319.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.6 - Service and Filing of Petitions and Other Papers

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
When service required.
Except where otherwise provided by law, every petition for declaratory order,
				petition for intervention, brief, or other paper filed in a proceeding for a
				declaratory order shall be served upon each of the parties of record to the
				proceeding, and on all other persons identified in the petition for declaratory
				order or petition for intervention as affected by or interested in the
				questions presented, simultaneously with their filing. The party filing a
				document is responsible for service on all parties and other affected or
				interested persons.
(2)
Filing
-
when required.
All petitions for
				declaratory orders, petitions for intervention, briefs, or other papers in a
				proceeding for a declaratory order shall be filed with the Director's Office,
				Department of Administrative Services, Hoover State Office Building, Third
				Floor, Des Moines, Iowa 50319, Attn: Legal Counsel. All petitions, briefs, or
				other papers that are required to be served upon a party shall be filed
				simultaneously with the department.
(3)
Method of service.
Petitions for declaratory orders, petitions for intervention, and every
				document relating to such petitions shall be served upon the department and
				each known party simultaneously with their filing. The party filing a document
				is responsible for service on all parties.
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 mail is complete
				  upon mailing, except where otherwise specifically provided by statute, rule, or
				  order.
(4)
Filing
-
when made.
Except where otherwise
				provided by law, a document is deemed filed at the time it is delivered to the
				Director's Office, Department of Administrative Services, Hoover State Office
				Building, Third Floor, Des Moines, Iowa 50319; delivered to an established
				courier service for immediate delivery to that office; or mailed by first-class
				mail or state interoffice mail to that office, so long as there is proof of
				mailing.
(5)
Proof of
				mailing.
Proof of mailing includes either: a legible United States
				Postal Service postmark on the envelope, a certificate of service, a notarized
				affidavit, or 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 (agency office and address) 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).
(Date)
(Signature)
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.7 - Consideration

Current through Register Vol. 47, No. 3, July 24, 2024
Upon request by petitioner, the department of administrative
				  services shall schedule a brief and informal meeting between the original
				  petitioner, all intervenors, and the department to discuss the questions
				  raised. The department of administrative services may solicit comments from any
				  person on the questions raised. Also, comments on the questions raised may be
				  submitted to the department by any person.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.8 - Action on Petition

Current through Register Vol. 47, No. 3, July 24, 2024
(1) Within the
				time allowed by Iowa Code section
				17A.9(5),
				after receipt of a petition for a declaratory order, the department director or
				designee shall take action on the petition as required by Iowa Code section
				17A.9(5).
(2) The date of issuance of an order or of a
				refusal to issue an order shall be the date of mailing of a decision or order,
				or date of delivery if service is by other means, unless another date is
				specified in the order
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.9 - Refusal to Issue Order

Current through Register Vol. 47, No. 3, July 24, 2024
(1) The department
				shall not issue a declaratory order where prohibited by Iowa Code section
				17A.9(1),
				and may refuse to issue a declaratory order on some or all questions raised for
				the following reasons:
a. The petition does
				not substantially comply with the required form.
b. The petition does not contain facts
				sufficient to demonstrate that the petitioner will be aggrieved or adversely
				affected by the failure of the department of administrative services to issue
				an order.
c. The department of
				administrative services does not have jurisdiction over the questions presented
				in the petition.
d. The questions
				presented by the petition are also presented in a current rule making,
				contested case, or other agency or judicial proceeding, that may definitively
				resolve them.
e. The questions
				presented by the petition would more properly be resolved in a different type
				of proceeding or by another body with jurisdiction over the matter.
f. The facts or questions presented in the
				petition are unclear, overbroad, insufficient, or otherwise inappropriate as a
				basis upon which to issue an order.
g. There is no need to issue an order because
				the questions raised in the petition have been settled due to a change in
				circumstances.
h. The petition is
				not based upon facts calculated to aid in the planning of future conduct but
				is, instead, based solely upon prior conduct in an effort to establish the
				effect of that conduct or to challenge an agency decision already
				made.
i. The petition requests a
				declaratory order that would necessarily determine the legal rights, duties, or
				responsibilities of other persons who have not joined in the petition,
				intervened separately, or filed a similar petition and whose position on the
				question presented may fairly be presumed to be adverse to that of
				petitioner.
j. The petitioner
				requests the department of administrative services to determine whether a
				statute is unconstitutional on its face or whether any of the other conditions
				under Iowa Code section
				17A.19 have been
				met.
k. The department will not
				issue declaratory orders on the following:
(1) Actuarial assumptions used or proposed to
				be used by the department;
(2) The
				impact of proposed legislation;
(3)
				Issues which require the disclosure of confidential information; or
(4) Items listed in
				11-7.1
				(8A,17A).
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.10 - Contents of Declaratory Order-effective Date

Current through Register Vol. 47, No. 3, July 24, 2024
In addition to the order itself, a declaratory order must
				  contain the date of its issuance, the name of petitioner and all intervenors,
				  the specific statutes, rules, policies, decisions, or orders involved, the
				  particular facts upon which it is based, and the reasons for its
				  conclusion.
A declaratory order is effective on the date of the
				  issuance.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.11 - Copies of Orders

Current through Register Vol. 47, No. 3, July 24, 2024
11-8.11(17A) Copies of orders. A copy of all orders issued in
				  response to a petition for a declaratory order shall be mailed promptly to the
				  original petitioner and all intervenors.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 8 - Declaratory Orders › Rule 11-8.12 - Effect of a Declaratory Order

Current through Register Vol. 47, No. 3, July 24, 2024
A declaratory order has the same status and binding effect as
				  a final order issued in a contested case proceeding. It is binding on the
				  department of administrative services, the petitioner, and any intervenors and
				  is applicable only in circumstances where the relevant facts and the law
				  involved are indistinguishable from those on which the order was based. As to
				  all other persons, a declaratory order serves only as precedent and is not
				  binding on the department. The issuance of a declaratory order constitutes
				  final agency action on the petition.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.1 - Definitions

Current through Register Vol. 47, No. 3, July 24, 2024
"Department"
or
"DAS"
means
				  the department of administrative services authorized by Iowa Code chapter
				  8A.
"Director "
means the director of the
				  department of administrative services or the director's designee.
"Person "
means an individual, corporation,
				  limited liability company, government or governmental subdivision or agency,
				  business trust, estate, trust, partnership or association, vendor, or any legal
				  entity.
"Waiver"
means any action by the department
				  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 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.2 - Scope

Current through Register Vol. 47, No. 3, July 24, 2024
This chapter outlines generally applicable standards and a
				  uniform process for the granting of individual waivers from rules adopted by
				  the department in situations where no other more specifically applicable law
				  provides for waivers. To the extent another more specific provision of law
				  governs the issuance of a waiver from a particular rule, the more specific
				  provision shall supersede this chapter with respect to any waiver from that
				  rule.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.3 - Applicability

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Department authority.
The department may grant a waiver from a
				rule only if the department has jurisdiction over the rule from which waiver is
				requested or has final decision-making authority over a contested case in which
				a waiver is requested and the requested waiver is consistent with applicable
				statutes, constitutional provisions, or other provisions of law. The department
				may not waive requirements created or duties imposed by statute. Any waiver
				must be consistent with statute.
(2)
Interpretive rules.
This
				chapter shall not apply to rules that merely define the meaning of a statute or
				other provisions of law or precedent if the department does not possess
				delegated authority to bind the courts to any extent with its
				definition.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.4 - Granting a Waiver

Current through Register Vol. 47, No. 3, July 24, 2024
In response to a petition completed pursuant to rule
				  11-9.6 (17A,8A), the director
				  may, in the director's sole discretion, issue an order waiving in whole or in
				  part the requirements of a rule.
(1)
Criteria for waiver.
A waiver may be granted if the director
				finds based on clear and convincing evidence each of the following:
a. The application of the rule would pose an
				undue hardship on the person for whom the waiver is requested;
b. The waiver from the requirements of the
				rule in the specific case would not prejudice the substantial legal rights of
				any person;
c. The provisions of
				the rule subject to the petition for a waiver are not specifically mandated by
				statute or another provision of law; and
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 is requested.
In determining whether a waiver should be granted, the
				  director shall consider the public interest, policies and legislative intent of
				  the statute on which the rule is based. When the rule from which a waiver is
				  sought establishes administrative deadlines, the director shall balance the
				  special individual circumstances of the petitioner with the overall goal of
				  uniform treatment of all affected persons.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.5 - Filing of Petition for Waiver

Current through Register Vol. 47, No. 3, July 24, 2024
Any person may file with the department a petition requesting
				  a waiver, in whole or in part, of a rule of the department on the ground that
				  the application of the rule to the particular circumstances of that person
				  would qualify for a waiver
A petition for a waiver must be submitted in writing to the
				  Iowa Department of Administrative Services, Office of the Director, Hoover
				  State Office Building, Third Floor, Des Moines, Iowa 50319-0104, Attention:
				  Legal Counsel. Requests for waiver may be delivered, mailed, sent by facsimile
				  transmission or by other electronic means reasonably calculated to reach the
				  intended recipient.
(1)
Appeals.
If the petition relates to a pending appeal or
				contested case, a copy of the petition shall also be filed in the appeal
				proceeding or contested case using the caption of the appeal or contested
				case.
(2)
Other.
If the petition does not relate to an appeal or contested case, the petition
				will be submitted to the department's legal counsel.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.6 - Content of Petition

Current through Register Vol. 47, No. 3, July 24, 2024
A petition for waiver shall include the following information
				  where applicable and known to the requester:
1. The name, address, and telephone number of
				the entity or person for whom a waiver is being requested, and the case number
				of any related pending appeal or contested case.
2. A description and citation of the specific
				rule (and the stated requirement in a procurement, auction or sale) from which
				a waiver is requested.
3. The
				specific waiver requested, including the precise scope and duration, and any
				alternative means or other condition or modification proposed to achieve the
				purposes of the rule.
4. The
				relevant facts that the petitioner believes would justify a waiver under each
				of the four criteria described in subrule 9.4(1) or the criteria in subrule
				9.4(3) if the request relates to a procurement, sale or auction. This statement
				shall include a signed statement from the petitioner attesting to the accuracy
				of the facts provided in the petition, and a statement of reasons that the
				petitioner believes will justify the waiver.
5. A history of any prior contacts between
				the department and the petitioner relating to the activity that is the subject
				of the requested waiver including, but not limited to, a list or description of
				prior notices, investigative reports, advice, negotiations, consultations or
				conferences, a description of contested case hearings relating to the activity
				within the past five years, and penalties relating to the proposed
				waiver.
6. Any information known to
				the requester regarding the department's treatment of similar cases.
7. The name, address, and telephone number of
				any public agency or political subdivision which also regulates the activity in
				question, or which might be affected by the granting of a waiver.
8. The name, address, and telephone number of
				any entity or person who would be adversely affected by the granting of a
				petition, if reasonably known to the petitioner.
9. The name, address, and telephone number of
				any person with knowledge of the relevant facts relating to the proposed
				waiver.
10. Signed releases of
				information authorizing persons with knowledge regarding the request to furnish
				the department with information relevant to the waiver.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.7 - Additional Information

Current through Register Vol. 47, No. 3, July 24, 2024
Prior to issuing an order granting or denying a waiver, the
				  department may request additional information from the petitioner relative to
				  the petition and surrounding circumstances. If the petition was not filed in
				  conjunction with an appeal, the director may, on the director's own motion or
				  at the petitioner's request, schedule a telephonic, ICN, or in-person meeting
				  between the petitioner and the director.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.8 - Notice

Current through Register Vol. 47, No. 3, July 24, 2024
The department shall acknowledge the receipt of a petition by
				  written means reasonably calculated to reach the petitioner or designee. The
				  department shall ensure that, within 30 days of the receipt of the petition,
				  notice and a concise summary of the content of the petition have been provided
				  to all persons to whom notice is required by any provision of law. In addition,
				  the department may give notice to other persons.
To accomplish this notice provision, the department may
				  require the petitioner to serve the notice on all persons to whom notice is
				  required by any provision of law and provide a written statement to the
				  department attesting that notice has been provided.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.9 - Hearing Procedures

Current through Register Vol. 47, No. 3, July 24, 2024
The provisions of Iowa Code sections
				  17A.10 to
				  17A.18A regarding contested case
				  hearings shall apply in three situations:
(1) to any petition for a waiver of rule
				filed within a contested case;
(2)
				when the director so provides by rule or order; or
(3) when a statute so requires. Prior to
				issuing an order granting or denying a proposed waiver, the department shall
				determine whether or not the facts alleged in the proposed waiver are accurate
				and complete.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.11 - Public Availability

Current through Register Vol. 47, No. 3, July 24, 2024
All orders granting or denying a waiver petition shall be
				  indexed, filed, and available for public inspection as provided in Iowa Code
				  section
				  17A.3.
				  Petitions for a waiver and orders granting or denying a waiver petition are
				  public records under Iowa Code chapter 22. Some petitions or orders may contain
				  information the department is authorized or required to keep confidential. The
				  director may accordingly redact confidential information from petitions or
				  orders prior to public inspection.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.12 - Rules From Which the Department Shall Not Grant Waivers

Current through Register Vol. 47, No. 3, July 24, 2024
The department shall not grant waivers from the following
				  rules:
1. Rules regarding the
				taxability of pension, tax-sheltered annuity, deferred compensation, or health
				and dependent care benefits under the Internal Revenue Code or the Iowa Code
				and rules adopted thereunder
2.
				Rules governing separations, disciplinary actions and reductions in force under
				11-Chapter 60 and grievances and appeals under 11-Chapter 61 (except as
				permitted by statute and applicable department rules).
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.13 - Submission of Waiver Information

Current through Register Vol. 47, No. 3, July 24, 2024
Within 60 days of granting or denying a waiver, the director
				  shall make a submission on the Internet site established pursuant to Iowa Code
				  section 17A.9A for the submission of
				  waiver information. The submission shall identify the rules for which a waiver
				  has been granted or denied, the number of times a waiver was granted or denied
				  for each rule, a citation to the statutory provisions implemented by these
				  rules, and a general summary of the reasons justifying the director's actions
				  on waiver requests. If practicable, the submission shall detail the extent to
				  which the granting of a waiver has established a precedent for additional
				  waivers and the extent to which the granting of a waiver has affected the
				  general applicability of the rule itself.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.14 - Cancellation of a Waiver

Current through Register Vol. 47, No. 3, July 24, 2024
A waiver issued by the director pursuant to this chapter may
				  be withdrawn, canceled, or modified if, after appropriate notice and hearing,
				  the director issues an order finding any of the following:
1. The petitioner or the person who was the
				subject of the waiver order withheld or misrepresented the material facts
				relevant to the propriety or desirability of the waiver;
2. The alternative means for ensuring that
				the public health, safety and welfare will be adequately protected after
				issuance of the waiver order have been demonstrated to be insufficient;
				or
3. The subject of the waiver
				order has failed to comply with all conditions contained in the order
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.15 - Violations

Current through Register Vol. 47, No. 3, July 24, 2024
Violation of a condition in a waiver order shall be treated
				  as a violation of the particular rule for which the waiver was granted. As a
				  result, the recipient of a waiver under this chapter who violates a condition
				  of the waiver may be subject to the same remedies or penalties as a person who
				  violates the rule at issue.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.16 - Defense

Current through Register Vol. 47, No. 3, July 24, 2024
After the director issues an order granting a waiver, the
				  order is a defense within its terms and the specific facts indicated therein
				  for the person to whom the order pertains in any proceeding in which the rule
				  in question is sought to be invoked.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title I - General Departmental Procedures › Chapter 9 - Waivers › Rule 11-9.17 - Judicial Review

Current through Register Vol. 47, No. 3, July 24, 2024
Judicial review of the department's decision to grant or deny
				  a waiver petition may be taken in accordance with Iowa Code chapter
				  17A.
Iowa Administrative Code › Agency 11 - Administrative Services Department › Title III - State Accounting › Chapter 40 - Offset of Debts Owed State Agencies › Rule 11-40.2 - Scope and Purpose

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Purpose.
The purpose of these rules is to establish a
				procedure by which public agencies can participate in the department's offset
				program by identifying debtors who owe liabilities to those public agencies and
				to establish a procedure for offsetting those liabilities against claims owed
				to debtors by public agencies.
(2)
Collection.
Agencies may collect debts under the provisions of
				Iowa Code section
				8A.504 through
				the daily processing and income tax refund offset programs.
(3)
Inclusions in and exclusions from
				setoff.
The offset system may be used to collect any debt described in
				Iowa Code section
				8A.504 as long
				as the conditions of rule
				11-40.3
				(8A) are satisfied. However, some claims against public agencies on behalf of
				certain debtors are made from funds exempt from collection and are thus
				unavailable for offset. A consolidated listing of payment sources unavailable
				for offset is available from the department's state accounting
				enterprise.