Iowa Admin. Code r. 641-70.10 - [Effective 3/26/2025] Denial, suspension, or revocation of certification; denial, suspension, revocation, or modification of course approval; and imposition of penalties
(1) When the
department finds that the applicant , certified lead professional, or certified
firm has committed any of the following acts, the department may deny an
application for certification, may suspend or revoke a certification, may
prohibit specific work practices, may require a project conducted by persons or
firms that are not certified or a project where prohibited work practices are
being used to be halted, may require the cleanup of lead hazards created by the
use of prohibited work practices, may impose a civil penalty, may place on
probation, may require additional education, may require reexamination of the
state certification examination, may issue a warning, or may impose other
sanctions allowed by law as may be appropriate.
a. Failure or refusal to comply with any
requirements of this chapter.
b.
Failure or refusal to establish, maintain, provide, copy, or permit access to
records or reports as required by
641-70.3 (10A) through
641-70.7 (10A).
c. Failure or refusal to permit entry or
inspection as described in 70.9(1) through 70.9(3).
d. Obtaining or attempting to obtain
certification through fraudulent representation.
e. Failure to obtain certification from the
department and performing work requiring certification.
f. Fraudulently obtaining certification and
engaging in any lead-based paint activities requiring certification.
g. Conducting any part of a lead-based paint
activity that requires certification without being certified or with a
certification that has lapsed.
h.
Obtained documentation of training through fraudulent means.
i. Gained admission to an accredited training
program through misrepresentation of admission requirements.
j. Obtained certification through
misrepresentation of certification requirements or related documents pertaining
to education, training, professional registration , or experience.
k. Performed work requiring certification at
a job site without having proof of current certification.
l. Permitted the duplication or use of the
individual 's or firm's own certificate by another.
m. Failed to follow the standards of conduct
required by 641-70.6 (10A).
n. Failed to comply with federal, state, or
local lead-based paint statutes and regulations, including the requirements of
this chapter.
o. Knowingly made
misleading, deceptive, untrue, or fraudulent representations in the practice of
lead professional activities or engaged in unethical conduct or practice
harmful or detrimental to the public. Proof of actual injury need not be
established.
p. Used untruthful or
improbable statements in advertisements. This includes, but is not limited to,
an action by a lead professional making information or intention known to the
public that is false, deceptive, misleading, or promoted through fraud or
misrepresentation.
q. Falsified
reports and records required by this chapter.
r. Accepted any fee by fraud or
misrepresentation.
s. Negligence by
the firm or individual in the practice of lead professional activities. This
includes a failure to exercise due care, including negligent delegation of
duties or supervision of employees or other individuals, whether or not injury
results; or any conduct, practice, or conditions that impair the ability of the
firm or individual to safely and skillfully practice the profession.
t. Revocation, suspension, or other
disciplinary action taken by a certification or licensing authority of this
state, another state, territory, or country; or failure by the firm or
individual to report such action in writing within 30 days of the final action
by such certification or licensing authority. A stay by an appellate court will
not negate this requirement; however, if such disciplinary action is overturned
or reversed by a court of last resort, the report will be expunged from the
records of the board.
u. Failed to
comply with the terms of a department order or the terms of a settlement
agreement or consent order.
v.
Representation by a firm or individual that the firm or individual is certified
when the certification has been suspended or revoked or has not been renewed.
w. Failed to respond within 20
days of receipt of communication from the department that was sent by
registered or certified mail.
x.
Engaged in any conduct that subverts or attempts to subvert a department
investigation.
y. Failed to comply
with a subpoena issued by the department or failure to cooperate with a
department investigation.
z. Failed
to pay costs assessed in any disciplinary action.
aa. Been convicted of a felony or misdemeanor
related to lead professional activities or the conviction of any felony or
misdemeanor that would affect the ability of the firm or individual to perform
lead professional activities. A copy of the record of conviction or plea of
guilty is conclusive evidence.
ab.
Unethical conduct. This includes, but is not limited to, the following:
(1) Verbally or physically abusing a client
or coworker.
(2) Improper sexual
conduct with or making suggestive, lewd, lascivious, or improper remarks or
advances to a client or coworker.
(3) Engaging in a professional conflict of
interest.
(4) Mental or physical
inability reasonably related to and adversely affecting the ability of the firm
or individual to practice in a safe and competent manner.
(5) Being adjudged mentally incompetent by a
court of competent jurisdiction.
(6) Habitual intoxication or addiction to
drugs.
1. The inability of a lead professional
to practice with reasonable skill and safety by reason of the excessive use of
alcohol on a continuing basis.
2.
The excessive use of drugs that may impair a lead professional's ability to
practice with reasonable skill or safety.
3. Obtaining, possessing, attempting to
obtain or possess, or administering controlled substances without lawful
authority.
(7)
Registration on a state sex offender registry .
(2) The department may deny, suspend, revoke,
or modify the approval for a course, or may place on probation, or impose other
sanctions allowed by law as may be appropriate, or may impose a civil penalty
or impose other sanctions allowed by law as may be appropriate when it finds
that the training program, training manager, or other person with supervisory
authority over the course has committed any of the following acts:
a. Misrepresented the contents of a training
course to the department or to the student population.
b. Failed to submit required information or
notifications in a timely manner.
c. Failed to maintain required
records.
d. Falsified approval
records, instructor qualifications, or other information or documentation
related to course approval.
e.
Failed to comply with the training standards and requirements in
641-70.4 (10A).
f. Made false or misleading statements to the
department in its application for approval or reapproval that the department
relied upon in approving the application.
g. Failed to comply with federal, state, or
local lead-based paint statutes and regulations, including the requirements of
this chapter.
h. Knowingly made
misleading, deceptive, untrue, or fraudulent representations in the practice of
conducting a training program or engaged in unethical conduct or practice
harmful or detrimental to the public. Proof of actual injury need not be
established.
i. Used untruthful or
improbable statements in advertisements. This includes, but is not limited to,
an action by a training program making information or intention known to the
public that is false, deceptive, misleading, or promoted through fraud or
misrepresentation.
j. Falsified
reports and records required by this chapter.
k. Accepted any fee by fraud or
misrepresentation.
l. Revocation,
suspension, or other disciplinary action taken by a certification or licensing
authority of this state, another state, territory, or country; or failure by
the firm or individual to report such action in writing within 30 days of the
final action by such certification or licensing authority. A stay by an
appellate court will not negate this requirement; however, if such disciplinary
action is overturned or reversed by a court of last resort, the report will be
expunged from the records of the board.
m. Failed to comply with the terms of a
department order or the terms of a settlement agreement or consent
order.
n. Failed to respond within
20 days of receipt of communication from the department that was sent by
registered or certified mail.
o.
Engaged in any conduct that subverts or attempts to subvert a department
investigation.
p. Failed to comply
with a subpoena issued by the department or failure to cooperate with a
department investigation.
q. Failed
to pay costs assessed in any disciplinary action.
(3) Reinstatement.
a. Any individual , training program, or firm
that has been revoked, denied, or suspended may apply to the department in
accordance with the terms and conditions of the order of revocation or
suspension, unless the order of revocation provides that the certification is
permanently revoked.
b. If the
order of revocation or suspension did not establish terms and conditions upon
which reinstatement might occur, or if the certification was voluntarily
surrendered, an initial application for reinstatement may not be made until one
year has elapsed from the date of the order or the date of the voluntary
surrender.
(4) Complaints
and other requests for action under this rule. Complaints regarding a certified
lead professional, a certified elevated blood lead (EBL) inspection agency , a
certified firm, or an approved course may be submitted to the department. The
complainant should provide:
a. The name of the
certified lead professional, certified elevated blood lead (EBL) inspection
agency , or certified firm and the specific details of the action(s) by the
certified lead professional, certified elevated blood lead (EBL) inspection
agency , or certified firm that did not comply with the rules; or
b. The name of the lead professional or firm
that conducted lead professional activities without the appropriate
certification or approval as required by the rules; or
c. The name of the sponsoring person or
organization of an approved course and the specific way(s) that an approved
course did not comply with the rules; or
d. The name of the sponsoring person or
organization that provided a course without the approval required by these
rules.
(5) Civil
penalties.
a. Before instituting any
proceeding to impose a civil penalty under Iowa Code section
10A.902, the department will
serve a written notice of violation upon the person charged. The notice of
violation will specify the date or dates, facts, and the nature of the alleged
act or omission with which the person is charged and will identify specifically
the particular provision or provisions of the law, rule, regulation,
certification, approval, or cease and desist order involved in the alleged
violation and will state the amount of each proposed penalty. The notice of
violation will also advise the person charged that the civil penalty may be
paid in the amount specified therein, or the proposed imposition of the civil
penalty may be protested in its entirety or in part, by a written answer,
either denying the violation or showing extenuating circumstances. The notice
of violation will advise the person charged that upon failure to pay a civil
penalty subsequently determined by the department, if any, unless compromised,
remitted, or mitigated, the fee may be collected by civil action.
b. Within 20 days of the date of a notice of
violation or other time specified in the notice, the person charged may either
pay the penalty in the amount proposed or answer the notice of violation or
request a contested case hearing. The answer to the notice of violation shall
state any facts, explanations, and arguments denying the charges of violation,
or demonstrating any extenuating circumstances, error in the notice of
violation, or other reason why the penalty should not be imposed and may
request remission or mitigation of the penalty.
c. If the person charged with violation fails
to answer within the time specified in 70.10(5)"b," an order
may be issued imposing the civil penalty in the amount set forth in the notice
of violation described in 70.10(5)"a." If the person charged
with violation files an answer to the notice of violation, the department, upon
consideration of the answer, will issue an order dismissing the proceeding or
imposing, mitigating, or remitting the civil penalty. The person charged may,
within 20 days of the date of the order or other time specified in the order,
request a contested case hearing. If the person charged with violation timely
requests a contested case hearing, it will be initiated and held in accordance
with 481-Chapters 9 and 10.
(6) Public notification.
a. The public will be notified of the
suspension, revocation, modification, or reinstatement of course approval
through appropriate mechanisms.
b.
The department will maintain a list of courses for which the approval has been
suspended, revoked, modified, or reinstated.
c. The public will be notified of the
suspension or revocation of the certification of a lead professional or
firm.
d. The department will
maintain a list of lead professionals and firms for which certification has
been suspended or revoked.
Notes
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