An official or employee of a regulatory agency shall not
directly or indirectly sell or lease any goods, real estate, or services to
individuals, associations, or corporations subject to the regulatory authority
of the official's or employee's agency except as provided by Iowa Code section
68B.4 and this rule. This prohibition does not apply to sales or leases that
are part of the official's or employee's state duties.
(1)
Definitions. For
purposes of this rule, the following definitions apply:
"Agency" means a regulatory agency.
"Employee" means an employee of an executive
branch regulatory agency and does not include an independent contractor or an
official.
"Official" means a statewide elected official
of a regulatory agency, an executive or administrative head or heads of a
regulatory agency, a deputy executive or administrative head or heads of a
regulatory agency, a member of a board or commission as defined under Iowa Code
section
7E.4,
or a head of a major subunit of a regulatory agency whose position involves a
substantial exercise of administrative discretion or the expenditure of public
funds.
"Regulatory agency" means the department of
agriculture and land stewardship, department of workforce development,
department of commerce, Iowa department of public health, department of public
safety, department of education, state board of regents, department of human
services, department of revenue, department of inspections and appeals,
department of administrative services, public employment relations board, state
department of transportation, civil rights commission, department of public
defense, Iowa ethics and campaign disclosure board, and department of natural
resources.
(2)
Request for consent. An
official's or
employee's request for
an agency's consent to the sale or lease of goods, real estate, or services
shall comply with all of the following:
a. The
request shall be in writing and shall be filed with the official's or
employee's agency at least 20 calendar days in advance of the proposed sale or
lease of any goods, real estate, or services.
b. The request shall include all of the
following:
(1) The name of the individual,
association, or corporation to which the goods, real estate, or services are to
be sold or leased;
(2) The
relationship of the individual, association, or corporation to the
agency;
(3) A description of the
goods, real estate, or services;
(4) The date or dates that the goods, real
estate, or services will be delivered; and
(5) A statement by the official or employee
explaining how the proposed sale or lease of the goods, real estate, or
services will not violate the provisions of Iowa Code section
68B.4
or create a conflict of interest under Iowa Code section
68B.2A.
(3)
Agency
guidelines. Iowa Code section
68B.4
and the guidelines in this subrule shall be the sole legal authorities to be
used by an agency in considering the granting of consent. In determining
whether to grant consent, the agency shall take the following guidelines into
consideration:
a. The official or employee
seeking consent is not the person with the authority to determine whether
consent should be granted.
b. The
duties and functions performed by the official or employee seeking consent are
not related to the regulatory authority of the agency over the individual,
association, or corporation to which the goods, real estate, or services will
be sold or leased.
c. The selling
or leasing of the goods, real estate, or services does not affect the
official's or employee's duties or functions at the agency.
d. The selling or leasing of the goods, real
estate, or services will not cause the official or employee to advocate on
behalf of the individual, association, or corporation to the agency.
e. The selling or leasing of the goods, real
estate, or services does not cause the official or employee to sell or lease
goods, real estate, or services to the agency on behalf of the individual,
association, or corporation.
f. The
selling or leasing of the goods, real estate, or services will not result in a
conflict of interest as provided in Iowa Code section
68B.2A.
g. The request complies with the procedural
requirements of subrule 6.11(2).
h.
A regulatory agency may grant blanket consent for sales or leases to classes of
individuals, associations, or persons when such blanket consent is consistent
with subrule 6.11(3) and the granting of single consents is impractical or
impossible to determine.
These guidelines shall be publicized and made known to all
personnel throughout the agency.
(4)
Agency decision. The
official's or employee's agency shall issue a written consent or denial within
14 calendar days following the date the request was filed. The deadline may be
extended by agreement of both the official or employee and the agency. If the
request is denied or granted conditionally, the agency shall state the reasons
for the denial or conditional consent.
(5)
Appeal of denial. An
official or employee who receives a denial or conditional consent may file a
request with the board for a contested case proceeding pursuant to 351-Chapter
11 for a determination of whether the situation described in the request
complies with the requirements of Iowa Code section
68B.2A,
Iowa Code section
68B.4
and this rule. The final order of the board constitutes final agency action for
purposes of seeking judicial review.
(6)
Copy of consent filed with
board. Pursuant to Iowa Code section
68B.4,
an agency granting consent shall file a copy of the consent with the board
within 20 days of the granting of consent. The board shall treat the consent as
a public record. The failure to provide a copy of the consent may result in the
imposition of board sanctions against the individual who granted the
consent.
(7)
Consent not a
defense. Consent granted by an agency under this rule shall not
constitute a defense to a complaint alleging a violation of any law or rule. It
is the responsibility of the
official or
employee to ensure compliance with all
applicable laws and rules.
This rule is intended to implement Iowa Code section
68B.4.
