§ 147E.1 — Occupational therapy licensure compact

Iowa § 147E.1

• Jurisdiction: Iowa
• Title IV: PUBLIC HEALTH
• Ch. 147E: OCCUPATIONAL THERAPY LICENSURE COMPACT

Text

1. Purpose. Thepurposeofthiscompactistofacilitateinterstatepracticeofoccupational
therapy with the goal of improving public access to occupational therapy services. The
practice of occupational therapy occurs in the state where the patient or client is located at
the time of the patient or client encounter. The compact preserves the regulatory authority
of the states to protect public health and safety through the current system of state licensure.
This compact is designed to achieve the following objectives:
a. Increase public access to occupational therapy services by providing for the mutual
recognition of other member state licenses.
b. Enhance the states’ ability to protect the public’s health and safety.
c. Encourage the cooperation of member states in regulating multistate occupational
therapy practice.
d. Support spouses of relocating military members.
e. Enhancetheexchangeoflicensure, investigative, anddisciplinaryinformationbetween
member states.
f. Allow a remote state to hold a provider of services with a compact privilege in that state
accountable to that state’s practice standards.
g. Facilitate the use of telehealth technology in order to increase access to occupational
therapy services.
2. Definitions. As used in this compact, and except as otherwise provided, the following
definitions shall apply:
a. “Active duty military” means full-time duty status in the active uniformed service of the
United States, including members of the national guard and reserve on active duty orders
pursuant to 10 U.S.C. ch. 1209 or 1211, respectively.
b. “Adverse action” means any administrative, civil, equitable, or criminal action
permitted by a state’s laws which is imposed by a licensing board or other authority against
an occupational therapist or occupational therapy assistant, including actions against an
individual’s license or compact privilege such as censure, revocation, suspension, probation,
monitoring of the licensee, or restriction on the licensee’s practice.
c. “Alternative program” means a nondisciplinary monitoring process approved by an
occupational therapy licensing board.
d. “Compact privilege” means the authorization, which is equivalent to a license, granted
byaremotestatetoallowalicenseefromanothermemberstatetopracticeasanoccupational
therapist or practice as an occupational therapy assistant in the remote state under its laws
and rules. The practice of occupational therapy occurs in the member state where the patient
or client is located at the time of the patient or client encounter.
e. “Continuing competence or education” means a requirement, as a condition of license
renewal, to provide evidence of participation in, and completion of, educational and
professional activities relevant to the practice or area of work.
f. “Current significant investigative information” means investigative information that a
licensingboard, afteraninquiryorinvestigationthatincludesnotificationandanopportunity
for the occupational therapist or occupational therapy assistant to respond, if required by
state law, has reason to believe is not groundless and, if proved true, would indicate more
than a minor infraction.
g. “Data system” means a repository of information about licensees, including but not
limited to license status, investigative information, compact privileges, and adverse actions.
h. “Encumbered license” means a license in which an adverse action restricts the practice
of occupational therapy by the licensee or said adverse action has been reported to the
national practitioners data bank.
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 2
i. “Executive committee” means a group of directors elected or appointed to act on behalf
of, and within the powers granted to them by, the commission.
j. “Home state” means the member state that is the licensee’s primary state of residence.
k. “Impaired practitioner” means individuals whose professional practice is adversely
affected by substance use disorder, addiction, or other health-related conditions.
l. “Investigative information” means information, records, or documents received or
generated by an occupational therapy licensing board pursuant to an investigation.
m. “Jurisprudencerequirement”meanstheassessmentofanindividual’sknowledgeofthe
laws and rules governing the practice of occupational therapy in a state.
n. “Licensee” means an individual who currently holds an authorization from the state to
practice as an occupational therapist or as an occupational therapy assistant.
o. “Member state” means a state that has enacted the compact.
p. “Occupational therapist” means an individual who is licensed by a state to practice
occupational therapy.
q. “Occupational therapy”, “occupational therapy practice”, and “practice of occupational
therapy”meanthecareandservicesprovidedbyanoccupationaltherapistoranoccupational
therapy assistant as set forth in the member state’s statutes and regulations.
r. “Occupationaltherapyassistant”meansanindividualwhoislicensedbyastatetoassist
in the practice of occupational therapy.
s. “Occupational therapy compact commission” or “commission” means the national
administrative body whose membership consists of all states that have enacted the compact.
t. “Occupationaltherapylicensingboard” or “licensingboard” means the agency of a state
that is authorized to license and regulate occupational therapists and occupational therapy
assistants.
u. “Primary state of residence” or “home state” means the state in which an occupational
therapist or occupational therapy assistant who is not active duty military declares a primary
residence for legal purposes as verified by a driver’s license, federal income tax return, lease,
deed, mortgage, voter registration, or other verifying documentation as further defined by
commission rules.
v. “Remote state” means a member state other than the home state, where a licensee is
exercising or seeking to exercise the compact privilege.
w. “Rule” means a regulation promulgated by the commission that has the force of law.
x. “Single-state license” means an occupational therapist or occupational therapy
assistant license issued by a member state that authorizes practice only within the issuing
state and does not include a compact privilege in any other member state.
y. “State” means any state, commonwealth, district, or territory of the United States that
regulates the practice of occupational therapy.
z. “Telehealth” means the application of telecommunication technology to deliver
occupational therapy services for assessment, intervention, or consultation.
3. State participation in the compact.
a. To participate in the compact, a member state shall do all of the following:
(1) License occupational therapists and occupational therapy assistants.
(2) Participate fully in the commission’s data system, including but not limited to using
the commission’s unique identifier as defined in rules of the commission.
(3) Haveamechanisminplaceforreceivingandinvestigatingcomplaintsaboutlicensees.
(4) Notify the commission, in compliance with the terms of the compact and rules, of any
adverse action or the availability of investigative information regarding a licensee.
(5) Implement or utilize procedures for considering the criminal history records of
applicants for an initial compact privilege. These procedures shall include the submission of
fingerprints or other biometric-based information by applicants for the purpose of obtaining
an applicant’s criminal history record information from the federal bureau of investigation
and the agency responsible for retaining that state’s criminal records.
(a) A member state shall, within a time frame established by the commission, require
a criminal background check for a licensee seeking or applying for a compact privilege
whose primary state of residence is that member state, by receiving the results of the federal
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bureau of investigation criminal record search, and shall use the results in making licensure
decisions.
(b) Communication between a member state, the commission, and among member states
regardingtheverificationofeligibilityforlicensurethroughthecompactshallnotincludeany
information received from the federal bureau of investigation relating to a federal criminal
records check performed by a member state under Pub. L. No. 92-544.
(6) Comply with the rules of the commission.
(7) Utilizeonlyarecognizednationalexaminationasarequirementforlicensurepursuant
to the rules of the commission.
(8) Have continuing competence or education requirements as a condition for license
renewal.
b. A member state shall grant the compact privilege to a licensee holding a valid,
unencumbered license in another member state in accordance with the terms of the compact
and rules.
c. A member state may charge a fee for granting a compact privilege.
d. A member state shall provide for the state’s delegate to attend all occupational therapy
compact commission meetings.
e. Individuals not residing in a member state shall continue to be able to apply for
a member state’s single-state license as provided under the laws of each member state.
However, the single-state license granted to these individuals shall not be recognized as
granting the compact privilege in any other member state.
f. Nothing in this compact shall affect the requirements established by a member state for
the issuance of a single-state license.
4. Compact privilege.
a. To exercise the compact privilege under the terms and provisions of the compact, the
licensee shall do all of the following:
(1) Hold a license in the home state.
(2) Have a valid United States social security number or national practitioner
identification number.
(3) Have no encumbrance on any state license.
(4) Beeligibleforacompactprivilegeinanymemberstateinaccordancewithparagraphs
“d”, “f”, “g”, and “h”.
(5) Have paid all fines and completed all requirements resulting from any adverse action
against any license or compact privilege, and two years have elapsed from the date of such
completion.
(6) Notify the commission that the licensee is seeking the compact privilege within a
remote state.
(7) Pay any applicable fees, including any state fee, for the compact privilege.
(8) Complete a criminal background check in accordance with subsection 3, paragraph
“a”, subparagraph(5). Thelicenseeshallberesponsibleforthepaymentofanyfeeassociated
with the completion of a criminal background check.
(9) Meet any jurisprudence requirements established by the remote state in which the
licensee is seeking a compact privilege.
(10) Reporttothecommissionadverseactiontakenbyanynonmemberstatewithinthirty
days from the date the adverse action is taken.
b. The compact privilege is valid until the expiration date of the home state license.
The licensee must comply with the requirements of paragraph “a” to maintain the compact
privilege in the remote state.
c. Alicenseeprovidingoccupationaltherapyinaremotestateunderthecompactprivilege
shall function within the laws and regulations of the remote state.
d. Occupational therapy assistants practicing in a remote state shall be supervised by an
occupational therapist licensed or holding a compact privilege in that remote state.
e. A licensee providing occupational therapy in a remote state is subject to that state’s
regulatory authority. A remote state may, in accordance with due process and that state’s
laws, remove a licensee’s compact privilege in the remote state for a specific period of time,
impose fines, or take any other necessary actions to protect the health and safety of its
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 4
citizens. The licensee may be ineligible for a compact privilege in any state until the specific
time for removal has passed and all fines are paid.
f. If a home state license is encumbered, the licensee shall lose the compact privilege in
any remote state until all of the following occur:
(1) The home state license is no longer encumbered.
(2) Two years have elapsed from the date on which the home state license is no longer
encumbered in accordance with subparagraph (1).
g. Onceanencumberedlicenseinthehomestateisrestoredtogoodstanding, thelicensee
must meet the requirements of paragraph “a” to obtain a compact privilege in any remote
state.
h. If a licensee’s compact privilege in any remote state is removed, the individual may lose
the compact privilege in any other remote state until all of the following occur:
(1) The specific period of time for which the compact privilege was removed has ended.
(2) All fines have been paid and all conditions have been met.
(3) Two years have elapsed from the date of completing the requirements of
subparagraphs (1) and (2).
(4) The compact privilege is reinstated by the commission, and the compact data system
is updated to reflect reinstatement.
i. If a licensee’s compact privilege in any remote state is removed due to an erroneous
charge, privileges shall be restored through the compact data system.
j. Once the requirements of paragraph “h” have been met, the licensee must meet the
requirements of paragraph “a” to obtain a compact privilege in a remote state.
5. Obtaining a new home state license by virtue of compact privilege.
a. An occupational therapist or occupational therapy assistant may hold a home state
license, which allows for compact privileges in member states, in only one member state at a
time.
b. If an occupational therapist or occupational therapy assistant changes primary state of
residence by moving between two member states:
(1) The occupational therapist or occupational therapy assistant shall file an application
for obtaining a new home state license by virtue of a compact privilege, pay all applicable
fees, and notify the current and new home state in accordance with applicable rules adopted
by the commission.
(2) Upon receipt of an application for obtaining a new home state license by virtue
of compact privilege, the new home state shall verify that the occupational therapist or
occupational therapy assistant meets the pertinent criteria outlined in subsection 4 via the
data system, without the need for primary source verification except for all of the following:
(a) A federal bureau of investigation fingerprint-based criminal background check if not
previously performed or updated pursuant to applicable rules adopted by the commission in
accordance with Pub. L. No. 92-544.
(b) Any other criminal background check as required by the new home state.
(c) Submission of any requisite jurisprudence requirements of the new home state.
(3) The former home state shall convert the former home state license into a compact
privilege once the new home state has activated the new home state license in accordance
with applicable rules adopted by the commission.
(4) Notwithstanding any other provision of this compact, if the occupational therapist or
occupational therapy assistant cannot meet the criteria in subsection 4, the new home state
shall apply its requirements for issuing a new single-state license.
(5) The occupational therapist or the occupational therapy assistant shall pay all
applicable fees to the new home state in order to be issued a new home state license.
c. If an occupational therapist or occupational therapy assistant changes primary state of
residence by moving from a member state to a nonmember state, or from a nonmember state
to a member state, the state criteria shall apply for issuance of a single-state license in the
new state.
d. Nothing in this compact shall interfere with a licensee’s ability to hold a single-state
license in multiple states; however, for the purposes of this compact, a licensee shall have
only one home state license.
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e. Nothing in this compact shall affect the requirements established by a member state
for the issuance of a single-state license.
6. Activedutymilitarypersonnelortheirspouses. Activedutymilitarypersonnel, ortheir
spouses, shall designate a home state where the individual has a current license in good
standing. The individual may retain the home state designation during the period the service
member is on active duty. Subsequent to designating a home state, the individual shall only
change their home state through application for licensure in the new state or through the
process described in subsection 5.
7. Adverse actions.
a. A home state shall have exclusive power to impose adverse action against an
occupational therapist’s or occupational therapy assistant’s license issued by the home state.
b. In addition to the other powers conferred by state law, a remote state shall have the
authority, in accordance with existing state due process law, to do all of the following:
(1) Take adverse action against an occupational therapist’s or occupational therapy
assistant’s compact privilege within that member state.
(2) Issue subpoenas for both hearings and investigations that require the attendance and
testimonyofwitnessesaswellastheproductionofevidence. Subpoenasissuedbyalicensing
board in a member state for the attendance and testimony of witnesses or the production
of evidence from another member state shall be enforced in the latter state by any court
of competent jurisdiction, according to the practice and procedure of that court applicable
to subpoenas issued in proceedings pending before it. The issuing authority shall pay any
witness fees, travel expenses, mileage, and other fees required by the service statutes of the
state where the witnesses or evidence are located.
c. For purposes of taking adverse action, the home state shall give the same priority
and effect to reported conduct received from a member state as it would if the conduct had
occurred within the home state. In so doing, the home state shall apply its own state laws to
determine appropriate action.
d. The home state shall complete any pending investigations of an occupational therapist
or occupational therapy assistant who changes primary state of residence during the course
of the investigations. The home state where the investigations were initiated shall also
have the authority to take appropriate action and shall promptly report the conclusions
of the investigations to the occupational therapy compact commission data system. The
occupational therapy compact commission data system administrator shall promptly notify
the new home state of any adverse actions.
e. A member state, if otherwise permitted by state law, may recover from the affected
occupational therapist or occupational therapy assistant the costs of investigations and
disposition of cases resulting from any adverse action taken against that occupational
therapist or occupational therapy assistant.
f. A member state may take adverse action based on the factual findings of the remote
state,providedthatthememberstatefollowsitsownproceduresfortakingtheadverseaction.
g. Joint investigations.
(1) In addition to the authority granted to a member state by its respective state
occupational therapy laws and regulations or other applicable state law, any member state
may participate with other member states in joint investigations of licensees.
(2) Member states shall share any investigative, litigation, or compliance materials in
furtherance of any joint or individual investigation initiated under the compact.
h. If an adverse action is taken by the home state against an occupational therapist’s
or occupational therapy assistant’s license, the occupational therapist’s or occupational
therapy assistant’s compact privilege in all other member states shall be deactivated until
all encumbrances have been removed from the state license. All home state disciplinary
orders that impose adverse action against an occupational therapist’s or occupational
therapy assistant’s license shall include a statement that the occupational therapist’s or
occupational therapy assistant’s compact privilege is deactivated in all member states during
the pendency of the order.
i. If a member state takes adverse action, it shall promptly notify the administrator of the
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 6
data system. The administrator of the data system shall promptly notify the home state of
any adverse actions by remote states.
j. Nothing in this compact shall override a member state’s decision that participation in
an alternative program may be used in lieu of adverse action.
8. Establishment of the occupational therapy compact commission.
a. The compact member states hereby create and establish a joint public agency known
as the occupational therapy compact commission.
(1) The commission is an instrumentality of the compact states.
(2) Venue is proper and judicial proceedings by or against the commission shall be
brought solely and exclusively in a court of competent jurisdiction where the principal office
of the commission is located. The commission may waive venue and jurisdictional defenses
to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
(3) Nothing in this compact shall be construed to be a waiver of sovereign immunity.
b. Membership, voting, and meetings.
(1) Each member state shall have and be limited to one delegate selected by that member
state’s licensing board.
(2) The delegate shall be either of the following:
(a) A current member of the licensing board who is an occupational therapist,
occupational therapy assistant, or public member.
(b) An administrator of the licensing board.
(3) Any delegate may be removed or suspended from office as provided by the law of the
state from which the delegate is appointed.
(4) The member state board shall fill any vacancy occurring in the commission within
ninety days of the vacancy.
(5) Each delegate shall be entitled to one vote with regard to the promulgation of rules
and creation of bylaws and shall otherwise have an opportunity to participate in the business
and affairs of the commission. A delegate shall vote in person or by such other means as
provided in the bylaws. The bylaws may provide for delegates’ participation in meetings by
telephone or other means of communication.
(6) The commission shall meet at least once during each calendar year. Additional
meetings shall be held as set forth in the bylaws.
(7) The commission shall establish by rule a term of office for delegates.
c. The commission shall have the following powers and duties:
(1) Establish a code of ethics for the commission.
(2) Establish the fiscal year of the commission.
(3) Establish bylaws.
(4) Maintain its financial records in accordance with the bylaws.
(5) Meet and take such actions as are consistent with the provisions of this compact and
the bylaws.
(6) Promulgate uniform rules to facilitate and coordinate implementation and
administration of this compact. The rules shall have the force and effect of law and shall be
binding in all member states.
(7) Bring and prosecute legal proceedings or actions in the name of the commission,
provided that the standing of any state occupational therapy licensing board to sue or be
sued under applicable law shall not be affected.
(8) Purchase and maintain insurance and bonds.
(9) Borrow, accept, or contract for services of personnel, including but not limited to
employees of a member state.
(10) Hire employees, elect or appoint officers, fix compensation, define duties, grant such
individuals appropriate authority to carry out the purposes of the compact, and establish the
commission’s personnel policies and programs relating to conflicts of interest, qualifications
of personnel, and other related personnel matters.
(11) Accept any and all appropriate donations and grants of money, equipment, supplies,
materials, and services, and receive, utilize, and dispose of the same; provided that at all
times the commission shall avoid any appearance of impropriety or conflict of interest.
(12) Lease, purchase, accept appropriate gifts or donations of, or otherwise own, hold,
7 OCCUPATIONAL THERAPY LICENSURE COMPACT, §147E.1
improve, or use, any property, whether real, personal, or mixed; provided that at all times the
commission shall avoid any appearance of impropriety.
(13) Sell, convey, mortgage, pledge, lease, exchange, abandon, or otherwise dispose of
any property real, personal, or mixed.
(14) Establish a budget and make expenditures.
(15) Borrow money.
(16) Appoint committees, including standing committees composed of members, state
regulators, state legislators or their representatives, consumer representatives, and such
other interested persons as may be designated in this compact and the bylaws.
(17) Provide and receive information from, and cooperate with, law enforcement
agencies.
(18) Establish and elect an executive committee.
(19) Perform such other functions as may be necessary or appropriate to achieve the
purposes of this compact consistent with the state regulation of occupational therapy
licensure and practice.
d. The executive committee. The executive committee shall have the power to act on
behalf of the commission according to the terms of this compact.
(1) The executive committee shall be composed of the following nine members:
(a) Seven voting members who are elected by the commission from the current
membership of the commission.
(b) One ex officio, nonvoting member from a recognized national occupational therapy
professional association.
(c) One ex officio, nonvoting member from a recognized national occupational therapy
certification organization.
(2) The ex officio members will be selected by their respective organizations.
(3) The commission may remove any member of the executive committee as provided in
bylaws.
(4) The executive committee shall meet at least annually.
(5) The executive committee shall have the following duties and responsibilities:
(a) Recommend to the entire commission changes to the rules or bylaws, changes to this
compact, fees paid by compact member states such as annual dues, and any commission
compact fee charged to licensees for the compact privilege.
(b) Ensure compact administration services are appropriately provided, contractual or
otherwise.
(c) Prepare and recommend the budget.
(d) Maintain financial records on behalf of the commission.
(e) Monitor compact compliance of member states and provide compliance reports to the
commission.
(f) Establish additional committees as necessary.
(g) Perform other duties as provided in rules or bylaws.
e. Meetings of the commission.
(1) All meetings shall be open to the public, and public notice of meetings shall be given
in the same manner as required under the rulemaking provisions in subsection 10.
(2) The commission or the executive committee or other committees of the commission
may convene in a closed, nonpublic meeting if the commission or executive committee or
other committees of the commission must discuss any of the following:
(a) Noncompliance of a member state with its obligations under the compact.
(b) The employment, compensation, discipline, or other matters, practices, or procedures
related to specific employees or other matters related to the commission’s internal personnel
practices and procedures.
(c) Current, threatened, or reasonably anticipated litigation.
(d) Negotiation of contracts for the purchase, lease, or sale of goods, services, or real
estate.
(e) Accusing any person of a crime or formally censuring any person.
(f) Disclosure of trade secrets or commercial or financial information that is privileged or
confidential.
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 8
(g) Disclosure of information of a personal nature where disclosure would constitute a
clearly unwarranted invasion of personal privacy.
(h) Disclosure of investigative records compiled for law enforcement purposes.
(i) Disclosure of information related to any investigative reports prepared by, on behalf
of, or for use of the commission or other committee charged with the responsibility of
investigation or determination of compliance issues pursuant to the compact.
(j) Matters specifically exempted from disclosure by federal or member state statute.
(3) If a meeting, or portion of a meeting, is closed pursuant to this provision, the
commission’s legal counsel or designee shall certify that the meeting may be closed and
shall reference each relevant exempting provision.
(4) The commission shall keep minutes that fully and clearly describe all matters
discussed in a meeting and shall provide a full and accurate summary of actions taken,
and the reasons therefore, including a description of the views expressed. All documents
considered in connection with an action shall be identified in such minutes. All minutes and
documents of a closed meeting shall remain under seal, subject to release by a majority vote
of the commission or order of a court of competent jurisdiction.
f. Financing of the commission.
(1) The commission shall pay, or provide for the payment of, the reasonable expenses of
its establishment, organization, and ongoing activities.
(2) The commission may accept any and all appropriate revenue sources, donations, and
grants of money, equipment, supplies, materials, and services.
(3) The commission may levy on and collect an annual assessment from each member
state or impose fees on other parties to cover the cost of the operations and activities of
the commission and its staff, which must be in a total amount sufficient to cover its annual
budget as approved by the commission each year for which revenue is not provided by other
sources. The aggregate annual assessment amount shall be allocated based upon a formula
to be determined by the commission, which shall promulgate a rule binding upon all member
states.
(4) The commission shall not incur obligations of any kind prior to securing the funds
adequate to meet the same; nor shall the commission pledge the credit of any of the member
states, except by and with the authority of the member state.
(5) The commission shall keep accurate accounts of all receipts and disbursements. The
receipts and disbursements of the commission shall be subject to the audit and accounting
procedures established under its bylaws. However, all receipts and disbursements of
funds handled by the commission shall be audited yearly by a certified or licensed public
accountant, and the report of the audit shall be included in and become part of the annual
report of the commission.
g. Qualified immunity, defense, and indemnification.
(1) The members, officers, executive director, employees, and representatives of the
commission shall be immune from suit and liability, either personally or in their official
capacity, for any claim for damage to or loss of property or personal injury or other civil
liability caused by or arising out of any actual or alleged act, error, or omission that occurred,
or that the person against whom the claim is made had a reasonable basis for believing
occurred within the scope of commission employment, duties, or responsibilities; provided
that nothing in this paragraph shall be construed to protect any such person from suit or
liability for any damage, loss, injury, or liability caused by the intentional, willful, or wanton
misconduct of that person.
(2) The commission shall defend any member, officer, executive director, employee, or
representative of the commission in any civil action seeking to impose liability arising out of
any actual or alleged act, error, or omission that occurred within the scope of commission
employment, duties, or responsibilities, or that the person against whom the claim is made
had a reasonable basis for believing occurred within the scope of commission employment,
duties, orresponsibilities; providedthatnothinginthiscompactshallbeconstruedtoprohibit
that person from retaining the person’s own counsel; and provided further, that the actual or
alleged act, error, or omission did not result from that person’s intentional, willful, or wanton
misconduct.
9 OCCUPATIONAL THERAPY LICENSURE COMPACT, §147E.1
(3) The commission shall indemnify and hold harmless any member, officer, executive
director, employee, or representative of the commission for the amount of any settlement
or judgment obtained against that person arising out of any actual or alleged act, error,
or omission that occurred within the scope of commission employment, duties, or
responsibilities, or that such person had a reasonable basis for believing occurred within
the scope of commission employment, duties, or responsibilities; provided that the actual
or alleged act, error, or omission did not result from the intentional, willful, or wanton
misconduct of that person.
9. Data system.
a. The commission shall provide for the development, maintenance, and utilization of
a coordinated database and reporting system containing licensure, adverse action, and
investigative information on all licensed individuals in member states.
b. A member state shall submit a uniform data set to the data system on all individuals to
whom this compact is applicable, utilizing a unique identifier, as required by the rules of the
commission, including all of the following:
(1) Identifying information.
(2) Licensure data.
(3) Adverse actions against a license or compact privilege.
(4) Nonconfidential information related to alternative program participation.
(5) Any denial of application for licensure, and the reason for such denial.
(6) Other information that may facilitate the administration of this compact, as
determined by the rules of the commission.
(7) Current significant investigative information.
c. Current significant investigative information and other investigative information
pertaining to a licensee in any member state will only be available to other member states.
d. The commission shall promptly notify all member states of any adverse action taken
against a licensee or an individual applying for a license. Adverse action information
pertaining to a licensee in any member state will be available to any other member state.
e. Member states contributing information to the data system may designate information
that may not be shared with the public without the express permission of the contributing
state.
f. Any information submitted to the data system that is subsequently required to be
expunged by the laws of the member state contributing the information shall be removed
from the data system.
10. Rulemaking.
a. The commission shall exercise its rulemaking powers pursuant to the criteria set forth
in this subsection and the rules adopted thereunder. Rules and amendments shall become
binding as of the date specified in each rule or amendment.
b. The commission shall promulgate reasonable rules in order to effectively and
efficiently achieve the purposes of the compact. Notwithstanding the foregoing, in the event
the commission exercises its rulemaking authority in a manner that is beyond the scope of
the purposes of the compact, or the powers granted hereunder, then such an action by the
commission shall be invalid and have no force and effect.
c. If a majority of the legislatures of the member states rejects a rule, by enactment of
a statute or resolution in the same manner used to adopt the compact within four years of
the date of adoption of the rule, then such rule shall have no further force and effect in any
member state.
d. Rules or amendments to the rules shall be adopted at a regular or special meeting of
the commission.
e. Prior to promulgation and adoption of a final rule or rules by the commission, and at
least thirty days in advance of the meeting at which the rule will be considered and voted
upon, the commission shall file a notice of proposed rulemaking in all of the following places:
(1) On the internet site of the commission or other publicly accessible platform.
(2) On the internet site of each member state occupational therapy licensing board or
other publicly accessible platform or the publication in which each state would otherwise
publish proposed rules.
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 10
f. The notice of proposed rulemaking shall include all of the following:
(1) The proposed time, date, and location of the meeting in which the rule will be
considered and voted upon.
(2) The text of the proposed rule or amendment and the reason for the proposed rule.
(3) A request for comments on the proposed rule from any interested person.
(4) The manner in which interested persons may submit notice to the commission of their
intention to attend the public hearing and any written comments.
g. Prior to adoption of a proposed rule, the commission shall allow persons to submit
written data, facts, opinions, and arguments, which shall be made available to the public.
h. The commission shall grant an opportunity for a public hearing before it adopts a rule
or amendment if a hearing is requested by any of the following:
(1) At least twenty-five persons.
(2) A state or federal governmental subdivision or agency.
(3) An association or organization having at least twenty-five members.
i. If a hearing is held on the proposed rule or amendment, the commission shall publish
the place, time, and date of the scheduled public hearing. If the hearing is held via electronic
means, the commission shall publish the mechanism for access to the electronic hearing.
(1) All persons wishing to be heard at the hearing shall notify the executive director of
the commission or other designated member in writing of their desire to appear and testify
at the hearing not less than five business days before the scheduled date of the hearing.
(2) Hearings shall be conducted in a manner providing each person who wishes to
comment a fair and reasonable opportunity to comment orally or in writing.
(3) All hearings will be recorded. A copy of the recording will be made available on
request.
(4) Nothing in this subsection shall be construed as requiring a separate hearing on each
rule. Rules may be grouped for the convenience of the commission at hearings required by
this subsection.
j. Following the scheduled hearing date, or by the close of business on the scheduled
hearing date if the hearing was not held, the commission shall consider all written and oral
comments received.
k. If no written notice of intent to attend the public hearing by interested parties is
received, the commission may proceed with promulgation of the proposed rule without a
public hearing.
l. Thecommissionshall, bymajorityvoteofallmembers, takefinalactionontheproposed
rule and shall determine the effective date of the rule, if any, based on the rulemaking record
and the full text of the rule.
m. Upon determination that an emergency exists, the commission may consider and
adopt an emergency rule without prior notice, opportunity for comment, or hearing,
provided that the usual rulemaking procedures provided in the compact and in this section
shall be retroactively applied to the rule as soon as reasonably possible, in no event later
than ninety days after the effective date of the rule. For the purposes of this provision, an
emergency rule is one that must be adopted immediately in order to do any of the following:
(1) Meet an imminent threat to public health, safety, or welfare.
(2) Prevent a loss of commission or member state funds.
(3) Meet a deadline for the promulgation of an administrative rule that is established by
federal law or rule.
(4) Protect public health and safety.
n. The commission or an authorized committee of the commission may direct revisions
to a previously adopted rule or amendment for purposes of correcting typographical errors,
errors in format, errors in consistency, or grammatical errors. Public notice of any revisions
shall be posted on the internet site of the commission. The revision shall be subject to
challenge by any person for a period of thirty days after posting. The revision may be
challenged only on grounds that the revision results in a material change to a rule. A
challenge shall be made in writing and delivered to the chair of the commission prior to the
end of the notice period. If no challenge is made, the revision will take effect without further
11 OCCUPATIONAL THERAPY LICENSURE COMPACT, §147E.1
action. If the revision is challenged, the revision may not take effect without the approval
of the commission.
11. Oversight, dispute resolution, and enforcement.
a. Oversight.
(1) The executive, legislative, and judicial branches of state government in each member
state shall enforce this compact and take all actions necessary and appropriate to effectuate
the compact’s purposes and intent. The provisions of this compact and the rules promulgated
under this compact shall have standing as statutory law.
(2) All courts shall take judicial notice of the compact and the rules in any judicial or
administrative proceeding in a member state pertaining to the subject matter of this compact
which may affect the powers, responsibilities, or actions of the commission.
(3) The commission shall be entitled to receive service of process in any such proceeding,
and shall have standing to intervene in such a proceeding for all purposes. Failure to
provide service of process to the commission shall render a judgment or order void as to the
commission, this compact, or promulgated rules.
b. Default, technical assistance, and termination.
(1) If the commission determines that a member state has defaulted in the performance
of its obligations or responsibilities under this compact or the promulgated rules, the
commission shall do all of the following:
(a) Provide written notice to the defaulting state and other member states of the nature
of the default, the proposed means of curing the default, or any other action to be taken by
the commission.
(b) Provide remedial training and specific technical assistance regarding the default.
(2) If a state in default fails to cure the default, the defaulting state may be terminated
from the compact upon an affirmative vote of a majority of the member states, and all rights,
privileges, and benefits conferred by this compact may be terminated on the effective date
of termination. A cure of the default does not relieve the offending state of obligations or
liabilities incurred during the period of default.
(3) Terminationofmembershipinthecompactshallbeimposedonlyafterallothermeans
ofsecuringcompliancehavebeenexhausted. Noticeofintenttosuspendorterminateshallbe
given by the commission to the governor, the majority and minority leaders of the defaulting
state’s legislature, and each of the member states.
(4) A state that has been terminated is responsible for all assessments, obligations, and
liabilitiesincurredthroughtheeffectivedateoftermination, includingobligationsthatextend
beyond the effective date of termination.
(5) The commission shall not bear any costs related to a state that is found to be in default
or that has been terminated from the compact unless agreed upon in writing between the
commission and the defaulting state.
(6) ThedefaultingstatemayappealtheactionofthecommissionbypetitioningtheUnited
States district court for the District of Columbia or the federal district where the commission
has its principal offices. The prevailing member shall be awarded all costs of such litigation,
including reasonable attorney fees.
c. Dispute resolution.
(1) Upon request by a member state, the commission shall attempt to resolve disputes
relatedtothecompactthatariseamongmemberstatesandbetweenmemberandnonmember
states.
(2) The commission shall promulgate a rule providing for both mediation and binding
dispute resolution for disputes as appropriate.
d. Enforcement.
(1) The commission, in the reasonable exercise of its discretion, shall enforce the
provisions and rules of this compact.
(2) By majority vote, the commission may initiate legal action in the United States district
courtfortheDistrictofColumbiaorthefederaldistrictwherethecommissionhasitsprincipal
offices against a member state in default to enforce compliance with the provisions of the
compact and its promulgated rules and bylaws. The relief sought may include both injunctive
§147E.1, OCCUPATIONAL THERAPY LICENSURE COMPACT 12
relief and damages. In the event judicial enforcement is necessary, the prevailing member
shall be awarded all costs of such litigation, including reasonable attorney fees.
(3) The remedies herein shall not be the exclusive remedies of the commission. The
commission may pursue any other remedies available under federal or state law.
12. Date of implementation of the interstate commission for occupational therapy practice
and associated rules, withdrawal, and amendment.
a. The compact shall come into effect on the date on which the compact statute is enacted
into law in the tenth member state. The provisions, which become effective at that time, shall
belimitedtothepowersgrantedtothecommissionrelatingtoassemblyandthepromulgation
of rules. Thereafter, the commission shall meet and exercise rulemaking powers necessary
to the implementation and administration of the compact.
b. Any state that joins the compact subsequent to the commission’s initial adoption of the
rules shall be subject to the rules as they exist on the date on which the compact becomes
law in that state. Any rule that has been previously adopted by the commission shall have the
full force and effect of law on the date the compact becomes law in that state.
c. Any member state may withdraw from this compact by enacting a statute repealing the
same.
(1) A member state’s withdrawal shall not take effect until six months after enactment of
the repealing statute.
(2) Withdrawal shall not affect the continuing requirement of the withdrawing state’s
occupational therapy licensing board to comply with the investigative and adverse action
reporting requirements of this compact prior to the effective date of withdrawal.
d. Nothing contained in this compact shall be construed to invalidate or prevent any
occupational therapy licensure agreement or other cooperative arrangement between a
member state and a nonmember state that does not conflict with the provisions of this
compact.
e. This compact may be amended by the member states. No amendment to this compact
shall become effective and binding upon any member state until it is enacted into the laws of
all member states.
13. Construction and severability. This compact shall be liberally construed so as to
effectuate the purposes thereof. The provisions of this compact shall be severable and if
any phrase, clause, sentence, or provision of this compact is declared to be contrary to
the constitution of any member state or of the United States or the applicability thereof
to any government, agency, person, or circumstance is held invalid, the validity of the
remainder of this compact and the applicability thereof to any government, agency, person,
or circumstance shall not be affected thereby. If this compact shall be held contrary to the
constitution of any member state, the compact shall remain in full force and effect as to the
remaining member states and in full force and effect as to the member state affected as to
all severable matters.
14. Binding effect of compact and other laws.
a. Alicenseeprovidingoccupationaltherapyinaremotestateunderthecompactprivilege
shall function within the laws and regulations of the remote state.
b. Nothing herein prevents the enforcement of any other law of a member state that is not
inconsistent with the compact.
c. Any laws in a member state in conflict with the compact are superseded to the extent
of the conflict.
d. Any lawful actions of the commission, including all rules and bylaws promulgated by
the commission, are binding upon the member states.
e. All agreements between the commission and the member states are binding in
accordance with their terms.
f. In the event any provision of the compact exceeds the constitutional limits imposed on
the legislature of any member state, the provision shall be ineffective to the extent of the
conflict with the constitutional provision in question in that member state.