Iowa Administrative Code › Agency 187 - Banking Division › Chapter 12 - Uniform Waiver Rules › Rule 187-12.11 - Submission of Waiver Information

Current through Register Vol. 47, No. 3, July 24, 2024
Within 60 days of granting or denying a waiver, the
				superintendent 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 superintendent'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.
Exhibit A Sample Petition (Request) for Waiver
BEFORE THE SUPERINTENDENT OF BANKING
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A request for waiver from a rule adopted by the superintendent
				shall include the following information in the petition for waiver where
				applicable and known:
a. Provide the
			 petitioner's (person asking for a waiver) name, address, and telephone
			 number.
b. Describe and cite the
			 specific rule from which a waiver is requested.
c. Describe the specific waiver requested;
			 include the exact scope and operative time period that the waiver will
			 extend.
d. Explain the important
			 facts that the petitioner believes justify a waiver. Include in your answer (1)
			 why applying the rule will result in undue hardship on the petitioner; and (2)
			 how granting the waiver will not prejudice the substantial legal rights of any
			 person; and (3) that the provisions of the rule subject to the petition for
			 waiver are not specifically mandated by statute or another provision of law;
			 and (4) where applicable, how 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.
e. Provide a history of prior contacts
			 between the superintendent and petitioner relating to the regulated activity,
			 license, grant, loan or other financial assistance that would be affected by
			 the waiver; include a description of each affected license, grant, loan or
			 other financial assistance held by the petitioner, any notices of violation,
			 contested case hearings, or investigative or examination reports relating to
			 the regulated activity, license, grant or loan within the past five years.
f. Provide information known to the
			 petitioner regarding the treatment by the superintendent of similar
			 cases.
g. Provide 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.
h. Provide
			 the name, address, and telephone number of any person or entity that would be
			 adversely affected or disadvantaged by the granting of the waiver.
i. Provide the name, address, and telephone
			 number of any person with knowledge of the relevant or important facts relating
			 to the requested waiver.
j. Provide
			 signed releases of information authorizing persons with knowledge regarding the
			 request to furnish the superintendent with information relevant to the waiver.
I hereby attest to the accuracy and truthfulness of the above
				information.
________________ ____
Petitioner's signature Date
Petitioner should note the following when requesting or
				petitioning for a waiver:
1. The
			 petitioner has the burden of proving to the superintendent, by clear and
			 convincing evidence, the following:
(a)
			 application of the rule to the petitioner would result in an undue hardship on
			 the petitioner; and
(b) waiver in
			 the specific case would not prejudice the substantial legal rights of any
			 person; and
(c) the provisions of
			 the rule subject to the petition for waiver are not specifically mandated by
			 statute or another provision of law; and
(d) where applicable, how 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.