Executive Order 9

ale at Hy ga

IN THE NAME AND BY THE AUTHORITY OF THE STATE OF OWA

EXECUTIVE ORDER NUMBER NINE

WHEREAS, the wide array of regulatory programs administered by the State of lows creates the potential for duplication and inefficiency in agency rule-making, in the absence of a coordinated management mechanism and

WHEREAS, effective agency planning is vital to the operaton of a coordinated and well managed rule-making process, amd

WHEREAS, effective agency planning requires adherence to sound regulatory principles that guxde agencees on the excrose of thew dzscrebon, and

WHEREAS, the creanon of a well coordinated and sound ademenatranve pobcy also requarcs agencecs to emgage m a comprebentve and ongomg plamnang process that mchates carly and widespread commumicanon with the public amd other agencers or govermmental bodes. and

WHEREAS, this administration launched a quality and efficiency in government intatrve on February 4, 1999, wherein a task force was assembled to propare and subewt a series of recommendations to the Governor on the creation of 3 process for reviewing and streamlining existing state regulations and the rule-making process as a whole, and

WHEREAS, the task force has been charged with the task of preparing a series of recommendations for creating a system to improve the execution of state government, thereby benefiting the people of this state, and improving the state's economy, and

WHEREAS, the objective of this executive order ts to enhance agency planning and coordination, with respect to mew and existing regulations, and to restore the integrity and legitimucy of regulatory review and oversight.

NOW, THEREFORE, 1, Thomas J. Vilsack, Governor of the State of lowa do hereby order that upon the effective date of this exocutive ender, cach state agency, with the authority to adopt rules, as defined in lowa Code section 17A.2(1) (10) shall adhere to the following principles and procedures when engaging m agency rule-making

' Raxulators Principles

A To the extent permeated by statute, and wherever apphcable, cach agency shall only issue rules that are authorized by cate law and that axd om interpreting the lew oF serve an ‘enportant public need. in deciding whether and bow to regulate. cach agency shall assess all costs and bencfits of not regulating Costs and benefits shall be wederstood to include both quantifiable measures (to the fullest extent that these can be usefully estimated) and qualitatrve measures of costs and benefits that are difficult to quantify, but severthelcss ‘essential to comuder. Further, m choossng among altemative regulatory approaches, cach agency shall select those approaches that maximure net benefits (including potential economic, environmental, public health and eafety, and other advantages) and that are most equitable in their result

8, Each agency shall identify and assess the significance of the specific problem any contemplated regulation mntencs to address

c, To the extent that i is reasonable and practicable, cach agency shall examine whether existing rules (or laws) have created or contributed to the problem that a new rule is intended to correct, and whether thowe rules (or laws) should be modified to achieve the intended goal of regulation more effectively.

D. Each agency shall identify and assess available alternatives to derect regulanon, including providing economic incentives to encourage the dewred behavior, of providing information upon which chosces can be maddie by the public

& Each agency shail, m sething its regulatory poorities, commuter the varying degrees and natures of the risks posed by the different substances of activities wothen ots jareahicbon

r Each agency shall design ats rules m the most cout-effective mamner to achieve the dosed regulatory obyectrve. In doong so, cach agency shall comuader encentves,

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mmovabon, consistency. predictability, enforcement and compliance costs (to goverment, regulated entities, and the public), flexibility, and equity

6 Each agency shall assess both the costs and the bencfits of contemplated rules and, recogrizmg that same costs and benefits are difficult to quantify, propete or adopt a nul only spon a reasoned dctermenation that the benefits of the entendied rule justify @s conts and that the rule os the best avaslable method of achicving the desired regulator, obyective, consmaest with the other principles contamned i this sechon.

u To the extent that @ ts reasonable and practicable. cach agency shall base its decisions on screntific, techmcal, cconomuc, and other informaben concerning the need for, and consequences of, the intended rule.

1 Each agency shall identify and assess alternative forms of regulation and shall, to the extent that it 5 reasonable and practicable, specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt.

4 To the extent that it is reasonable umd practicable, each agency shall seek the views of appropriate local officials or their representatives before imposing regulatory fequirements that might specifically or uniquely affect those governmental entities. Bach agency shall assess the effects of its contemplated rule on bocal governments, including the availability of resources to carry out those mutates, and sock to minimize those burdens that umquely of significantly affect such governmental entities consistent with achieving regulatory objectives In addition. as appropriate, agencers shall seek to harmonize thei rulemaking actions with related jocal regulatory and other governmestal functions.

x. Each agency shall avoed rules that are inconsatont, mcompatible. of dupbcative with its own rules of these other state agencics:

communibes and governmental entiics) connitent with obtasnuing the regulatory obyectives, taking mio account, among other things, and to the exient practicable, the costs of cumulative regulanons

M. Each agency shail draft its regulations to be simple and cary to wnderstand, with the goal of munimizing the potennal for uncertainty and litigation arising from euch uncertainty.

Axency Rules Administrator

Fach agency shall designate an individual as its Agency Rules Administrator, and provide the name of that person to the Administrative Rules Coordinator. The agency shall publish the name, address, telephone number, and fax mamber of the Agency Rules Administrator on its web-site, The Agency Rules Administrator shall be the agency official responsible for the admentstration of the agency rule-making process.

Summary of Noticed and Adopted and Filed Ruler Each agency shall adopt and utslize the Uniform Summary Review Forms prepared and distributed by the Admantstrative Rules Coordinator when filing agency rules

Regulatory Plan Te the extent permetied by statute

A Each agency shall prepare a Regulatory Plan lesting cach “regulatory achon™ (cach potennal rule currently under active conmderation of development wither the agency excluding those rules that do not have a substantial enpact on the legal rights, privileges, of duties of persons) that the agency reasonably expects to issue m proposed or final form in that fiacal year of thereafter The Plam shail be approved by the Agency Heud, and shall contain af 2 minimum:

1. 2 statement of the agency's current regulatory obpectives and prorites and how they relate to the obligations imposed on the agency by statute and the Governor's priorities, and

2 a description of cach such comemplated regulatory action, including, to the extent reasonable and alternatives to be considered and a preliminary estimate of the anticepated costs and benefits of the action; and

a a summary of the legal basis for cach such action, inchading whether any aspect of the action ts required by statute or court order, and

4 a statement of the noed for cach such action and. if applecabic, bow the actsan wil! reduce rhs to public health, safety, or the emvwonmen, as well as how the magnitude of the rk axkiressed by the achon rehates to other niaks within the parechction of the agency, and

$. the agency's contemplated schedule for achon, mctuding 3

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statement of any applicable statutory of yudicsal deadlines, amd

6 the name, address, and telephone sumber of a person knowledgeable about the contemplated action who the public may contact for additional information about that schon.

& Each agency shall forward a copy of its Plan to the Admansstrative Rules Coordinator by August I* of cach year and shall alto pobinh ats Plan on the agency's web-sete by that date During the year, cach agency shall wpetate ots plan on the web-sne as offen as reasonable and practicable. of as requested by the Admunistrative Rules Coordmnator

c Al the time an agency subenits its plan to the Adeunsstratrve Rules Coordmator, the agency shall circulate copecs of the plan to “affected agencies” that are listed on the Administrative Rules Coordinator's master list.

Dd, An Agency Rules Administrator who believes that the planned regulatory action of another agency may conflict with an agency policy, planning, or existing rules shall promptly notify the other agency and the

Rules Coordinator,

g Uf the Administrative Rules Coordinator believes that a planacd action of an agency may be incomsstent with the policy, plans, or existing rules of another agency, or any of the principles set forth in this Order, the Administrative Rules Coordinator shall promptly notify that agency.

Fr Any views by amy person on any aspect of amy agency Plan, nchuting whether a planned regulatory action maght comflect with other planned of exusteng rules, showkd be directed to the caning agency, with 4 copy to the Admunestrative Rules Coordinator.

6 The Adenenistrative Rules Coordanator should, at least annually, convene 2 per sbi. erence tewrabimgsiten m9 ed both exmting and proposed reles that may uniquely of wgmificuntly affect thow poveramental ennines. The Admensstrative Rules Coordimator shal! also convene, af least annually, a mecting with representatives of busenesses, non-governmental organizations, and the publec to discuss regulatory issees of common concern

“ Any views by any person on any aspect of any agency plan, should be derected to the issuing agency, with a copy to the Administrative Rules Coordinator.

1 ‘The Administrative Rules Coordinator dhould, at least annually, convene a

Coordinator shall also convene, at least annually, a meeting with representatives of businesses, non-governmental organtrations, and the public to discuss regulatory usues of Common concern.

4 The Admimstrative Rules Coordinator should, semt-annually, convene

a meeting with the designated Adminitrative Rules Admunistrators of

cach state agency to discuss pending rule-making msucs Kuls-meking Docker To the extent permeated by statute, cach agency shall maintamn a current, pubb< rule-making docket Ieateng each perdung rule-making procecding The docket shal! be posted on the agency web-ate, and otherwise readily accessible to the public for review A rule-making proceedcing is pending for the time it is commenced. by publication of a notice of proposed rule adoption, to the time a is terminated, by publicatian of notice of termination, o the rule becomes effective. For cach rule-making proceeding, the docket shall provide the following nformanon: the subject matter of the proposed rule, a citation to all published notices relating to the proceeding: the locaton where written submissions on the proposed rule may be inspected,

the time period wherein written submessions may be made;

pon @ >

the names of persons who have made written requests for an opportunity to make oral presentations on the proposed rule, where these requests may be inspected, amd where and when oral presentations may be mace.

F. 2 matement on whether a written request fur the mauance of a regulatory analysis of the proposed rule has been filed, whether that analyses has been eaued, and where the written requewt and analyses may be inepectod.

G the cerrent watus of the proposed rule and any agency Getermnabom ath respect thereto,

H. any known tumetable for agency decesoms oF other action in the proceeding,

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L the date of the rule's adoption,

i the date or dates im whch the rule &s to be of was to be considered by the Administrative Rakes Review Comnensttes and an uxhcaton of amy action taken

by that commttce on the rule, K the date of the rule's filing, indexing. and publication, L the date im whach the rule will bocome effective

vi dadicual Review

Nothing in this Order shall affect any otherwise available judicial review of agency action. Thes Onder is intended only to improve the snternal management of lowa sate government and does not create any right ot benefit, substantive or procedural, enforceable at law or equity by a party against the state, is agencies or instrumentalitics, its officers or employees, oF any other person.

IN TESTIMONY WHEREOP, | have hereunto subscribed my name and caused the Great Seal of lowa to be affixed. Done at Des Moines this 14" day of September in the year of our Lord one thousand sine hundred and ninety-nine

Chester J. Culver Secretary of State

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