LEGISLATIVE GUIDE Legal Services Division Note to Reader: Legislative Guides, prepared in an objective and nonpartisan RULEMAKING GUIDE manner, provide a general survey of a particular area of the law and are intended for use primarily by members of the Iowa General Assembly Table of Contents and their staffs. Legislative Guides are updated periodically to reflect changes in the law. I. Introduction and Overview of State Government The reader is cautioned against Rulemaking ........................................................................ 1 using information contained in a Legislative Guide to draw II. A Sketch of the Iowa Administrative Procedure Act conclusions as to the legality of (IAPA)................................................................................. 1 a particular behavior or set of A. Overview of Iowa Code Chapter 17A .............................. 1 circumstances. About the Author: B. Background of the Rulemaking Process.......................... 2 This Guide was revised and C. Requirements for the Rulemaking Process: Broadly updated by Jack Ewing, J.D., Construed and Difficult to Supersede.............................. 3 Drake University Law School, 2010. Mr. Ewing has been a Legal D. Agency Policymaking: General Policy and Individual Counsel for the Legal Services Decision Making............................................................ 3 Division of the Legislative Services Agency since 2010. He became E. Agency Policymaking: Rulemaking vs. the Iowa Administrative Code Case-by-Case............................................................... 4 Editor in 2018. He staffs the Labor, F. Overview of the Contested Case Process ....................... 5 Education, and Administrative Rules Review Committees, G. Overview of Judicial Review — Process — Iowa Code and drafts legislation in the Section 17A.19.............................................................. 6 areas of labor, education, and administrative law. H. Recordkeeping Requirements in the IAPA — Iowa Code Section 17A.3....................................................... 7 Mr. Ewing can be reached by III. Limitations on Rulemaking Authority ................................ 8 phone at (515) 281-6048 or by email at: A. Scope of Agency Authority............................................. 8 [email protected] B. Authority to Adopt a Rule: Express Language or Necessary Implication.................................................... 8 Iowa Legislative Services Agency State Capitol C. Agency Authority to Interpret Statutes Through Des Moines, IA 50319 Rulemaking................................................................... 10 D. Delegation of Authority by Legislative Branch ................. 11 January 2021 IV. Definition of Agency — Iowa Code Section 17A.2.............. 12 A. Administrative Office or Unit........................................... 12 B. State Government Purview ............................................ 12 C. Agency Exclusions and Requirements ............................ 12 V. Definition of Administrative Rules ..................................... 13 A. General Definition — Iowa Code Section 17A.2............... 13 B. Exclusions from the Rulemaking Process — Iowa Code Section 17A.2 ............................................................... 14 VI. Notice of Rulemaking — Iowa Code Section 17A.4 ............ 16 A. Uniform Rules for Agency Procedure.............................. 16 B. Regulatory Principles Governing Rulemaking — Executive Order No. 9 ................................................... 16 C. Rulemaking Docket ....................................................... 18 D. Commencement of Rulemaking — Filing and Publication in Iowa Administrative Bulletin — Iowa Code Section 17A.4(1) .................................................. 18 E. Notice of Intended Action............................................... 19 F. Preamble — Explanation of Rulemaking and Related Matters ......................................................................... 19 G. Fiscal Impact Statement — Iowa Code Section 17A.4(4) ....................................................................... 19 H. Fiscal Impact Statement for Local Government — Iowa Code Section 25B.6....................................................... 20 I. Jobs Impact Statement — Iowa Code Section 17A.4B ......................................................................... 20 J. Written Comments and Opportunity for Oral Presentation ................................................................. 21 K. Conducting an Opportunity for Oral Presentation............. 22 L. Agency Consideration of Comments............................... 22 M. Rulemaking Record ...................................................... 22 N. Concise Statement: A Record Based on the Agency’s Decision — Iowa Code Section 17A.4(2)......................... 24 O. Period for Adoption — Iowa Code Section 17A.4(1)(b) ................................................................... 24 P. Termination of Notice..................................................... 25 Q. Amended Notice............................................................ 25 R. Timeliness Requirement for Implementing Statutes by Rule — Iowa Code Section 17A.4(9) .............................. 26 S. Adoption by Reference and Dates Certain — Iowa Code Sections 2B.5A(3) and 17A.6(2) ............................ 26 T. Requirement for Substantial Compliance — Iowa Code Section 17A.4(5) ........................................................... 27 U. Statute of Limitations — Iowa Code Section 17A.4(5) ....................................................................... 28 VII. Adoption and Effective Date of Rules — Iowa Code Section 17A.5 ..................................................................... 28 A. Overview ...................................................................... 28 B. Changing the Text From Notice to Adoption .................... 29 C. Details of Adoption: Procedure and Effect....................... 30 D. Publication and Effective Date........................................ 30 VIII. Emergency Rulemaking Process — Iowa Code Sections 17A.4(3) and 17A.5(2)(b)..................................................... 31 A. Overview ...................................................................... 31 B. Adopting Rules Without Notice — Iowa Code Section 17A.4(3) ....................................................................... 31 C. Making Rules Effective Prior to Publication — Iowa Code Section 17A.5(2)(b)(1) .......................................... 32 D. “Double-Barreled” Rulemaking ....................................... 33 E. Other Alternatives to Regular Rulemaking....................... 33 IX. Waiver of Administrative Rules — Iowa Code Section 17A.9A................................................................................ 34 X. Petition for Rulemaking — Iowa Code Section 17A.7(1).............................................................................. 35 A. Overview ..................................................................... 35 B. Format and Agency Consideration of Petitions ................ 36 XI. Petition for a Declaratory Order — Iowa Code Section 17A.9 .................................................................................. 36 XII. Publication of Administrative Rules................................... 37 A. Overview ...................................................................... 37 B. Publication Process — Iowa Code Sections 2B.5A, 17A.4(1), 17A.5(1), and 17A.6(1).................................... 38 C. Organization of the IAC.................................................. 38 1. Agency Identification Number .................................. 38 2. Agency Rules Analysis............................................ 39 3. Citation and Structure of Administrative Rules........... 39 D. Locating Administrative Rules ........................................ 40 E. Tracing the History of an Administrative Rule .................. 41 XIII. Oversight of the Administrative Rulemaking Process.............................................................................. 42 A. Oversight Entities .......................................................... 42 1. General Assembly .................................................. 42 2. Governor................................................................ 43 3. Administrative Rules Coordinator............................. 43 4. Administrative Rules Review Committee .................. 43 5. Attorney General .................................................... 44 B. Major Oversight Powers and Framework......................... 45 1. Objection ............................................................... 45 2. Gubernatorial Rescission ........................................ 46 3. Oversight of Emergency Rulemaking ....................... 46 4. Session Delay ....................................................... 47 5. Seventy-Day Delay ................................................. 47 6. General Referral .................................................... 48 7. Regulatory Analysis ................................................ 48 8. Suspension of Notice .............................................. 49 9. Legislative Nullification ........................................... 49 C. Comprehensive Five-Year Review of Rules..................... 50 Appendix A — The Iowa Rulemaking Process Diagram ............ 52 Appendix B — Internet Access to Information on Rules...........