DIA Strategic Plan 2020-2025

Document Text Version

Table of Organization

Kim Reynolds, Governor
Adam Gregg, Lt. Governor

Larry Johnson, director, reports directly to the governor and lieutenant governor.
Aaron Baack, deputy director, reports to Larry Johnson.

The department provides administrative support  to the following attached units pursuant to Iowa Code 7E.2 (5):

  • State Public Defender
  • Child Advocacy Board
  • Employment Appeal Board
  • Iowa Racing and Gaming Commission

Administration Division

  • Aaron Baack, division administrator
    • Food and Consumer Safety Bureau: Mark Speltz, bureau chief
      • Michelle Boyd, assistant bureau chief
        • Rosa Haukedahl, regional inspection supervisor
        • Kayla Becker, regional inspection supervisor
    • Fiscal Services Bureau: Nickie Whitaker, bureau chief

Health Facilities Division

  • Dawn Fisk, division administrator
  • Patrice Fagan, assistant division administrator 
    • Long Term Bureau I: Patrice Fagan, bureau chief
    • Long Term Bureau II: Mindla White, bureau chief
    • Long Term Bureau III: Kathy Kieler, bureau chief
    • Complaint/Incident Bureau: Bureau chief position is currently vacant
    • Adult & Special Services Bureau: Linda Kellen, bureau chief 
    • Medicare Services Bureau: Hema Lindstrom, bureau chief

Administrative Hearings Division

  • Denise Timmins, division administrator/chief administrative law judge
  • David Lindgren, assistant division administrator

Investigations Division

  • Fabricio Gonzalez, division administrator
  • Melissa Conner, assistant division administrator
    • Economic Fraud Control Bureau: Melissa Conner, bureau chief
    • Medicaid Fraud Control Unit: Jeremy Ingrim, director


In June 2017, Governor Kim Reynolds and Lieutenant Governor Adam Gregg began their first term in guiding the future progress of the executive branch. Governor Reynolds appointed Larry Johnson, Jr. director of the Iowa Department of Inspections and Appeals, effective March 1, 2019. Director Johnson had previously served as the State Public Defender and legal counsel to Governor Branstad.

Governor Reynolds and Lt. Governor Gregg set out five enterprise goals upon taking office. DIA is working to fulfill these enterprise goals:

  • Future Ready Iowa
  • High quality health care
  • Empower rural Iowa
  • Second chances
  • Innovative energy policy

Our Strategic Plan for 2020-2025 reflects how DIA will focus its resources.

Mission: Achieve compliance through education, regulation, and due process for a safe and healthy Iowa.
Vision: Be an effective, efficient, and approachable regulatory agency.

Due to the diversity of the responsibilities of the department, our strategic plan is composed of four individual strategic plans representing the operational divisions of the department and the attached units to the department. While the Hospital Licensing Board is an attached unit, their plan is rolled in with the department’s strategic plan. The State Public Defender’s Office, while an attached unit, will submit their strategic plan separately.



We have identified our internal strengths and limitations as well as our external challenges and opportunities, all of which impact our mission and vision. These factors were taken into consideration as goals and strategies were developed for the department.

Internal assessment External assessment


  • Strong relationships with stakeholders
  • Employees expertise, experience and dedication
  • Collaboration among state, federal and local agencies
  • In house administrative and fiscal support
  • Lean tools utilization in each division
  • New staff with new ideas and vision


  • Fresh ideas coming in with new hires
  • Flexible work schedules and spaces
  • Opportunity to increase employee engagement
  • New and different work from referring agencies
  • PDS training and staff development
  • Diverse funding streams
  • New technologies


  • Siloed structure
  • Complicated/outdated communication methods
  • Lack of succession planning; loss of institutional knowledge
  • Recruitment
  • IT expertise; overly reliant on paper
  • Space/office


  • Low unemployment rate/difficulty in recruitment
  • Reliance on work from other agencies
  • Industry trends and needs moving faster than expected
  • Updating priorities


The department’s vision is to be an effective, efficient and approachable agency. The department has aligned its goals and resources to achieve its vision as set out below. Key strategies have been identified for moving toward achieving these goals. The goals, outcome measures and strategies are:

Goal #1: Be an effective agency.

Outcome measures:
  • Have new databases with online applications by 01/01/22. 
  • Develop and implement staff mentoring and training program by 01/01/21. 
  • Develop agency-wide space assessment by 07/01/21. 
  • Provide stakeholders with timely data.
Key strategies:
  • Research current technology options. 
  • Have timely inspections/surveys. 
  • Have online licensing for licenses issued by DIA. 
  • Update DIA databases. 
  • Review space options for staff.

Goal #2: Be an efficient agency.

Outcome measures:
  • Have e-filing complete by 07/01/20. 
  • Have the Food bureau able to take credit card payments by 07/01/20. 
  • Decrease phone calls and webmaster inquiries seeking information by 50%. 
  • Reduce the annual long-term care survey cycle to 14.0 months by 07/01/20, 13.5 months by 01/01/21, and 12.5 months by 07/01/21.
Key strategies:
  • Use email distribution lists. 
  • Have an intranet for employees. 
  • Move to e-filing system. 
  • Have timely annual surveys.

Goal #3: Be an approachable agency.

Outcome measures:
  • Launch new DIA website with training resources by 01/01/21. 
  • Increase traffic to website by 30%.
Key strategies:
  • Update DIA website. 
  • Ensure our online access is mobile compatible. 
  • Ability to use multiple platforms. 
  • Meet-with and conduct training-for industry and associations. 
  • Have a multimedia library. 
  • Survey industry for feedback on areas for improvement.
  • Share data with industry, legislators, stakeholders, other agencies.


Our Mission

The Employment Appeal Board is a quasi-judicial state agency pursuant to Iowa Code Section 10A-601 that is legislatively mandated to hear and decide contested cases under Chapter 8A, Subchapter IV, and Chapter 80, 88, 91C, 96 and 97B. As a quasi-judicial state agency, the Employment Appeal Board will provide timely adjudication on matters under their review.

Core Functions

  • Adjudication of Unemployment Insurance (UI) Laws
  • Adjudication of OSHA Violations
  • Adjudication of Department of Administrative Services (Human Resources) decisions
  • Adjudication of Iowa Public Employees Retirement System (IPERS) decisions
  • Peace Officer and Capitol Security disciplinary actions
  • Adjudication of Labor Commissioner’s citations or proposed penalties
  • Communication

Our Vision

The Employment Appeal Board is dedicated to being fair and timely in reviewing the decisions from the lower level based on the administrative evidence. This would include adopting rules pursuant to Chapter 17A to establish the manner in which contested cases are presented and hearings are conducted. The Board’s ultimate goal is to be responsive to the citizens of Iowa by promoting efficient and prompt notification to the interested parties of its findings and decisions.

Guiding Principles

The Employment Appeal Board is service focused and renders timely decisions that are based on the evidence and evaluated in accordance with relevant statutes, regulations and case law.

  • Fairness
  • Timeliness
  • Promptness
  • Efficiency

Internal and External Assessment

The Employment Appeal Board has identified our strengths, limitations, opportunities and threats through the following factors.

  • An overall assessment of the knowledge, skills, and abilities of Board Members, General Counsel and Administrative Staff that will reinforce the mission of the unit.
  • An assessment of the inter-office cross-training module with modification to areas that will aide in improving overall promptness and efficiency to stakeholders desiring information.
  • The Employment Appeal Board has combined expertise in the public and private sector as it relates to labor and human resources.
  • The Administrative staff coupled with their longevity has constant and stable expertise in the day-to-day operations of the office that promotes efficiency and timeliness as it relates to handling incoming calls from stakeholders and decision processing.
  • Changing Federal guidelines regulating the calculation of UI decisions.
  • Uncertain public perception on how decisions which contain personal information are communicated to the public.
  • Delivery of final decision through Internet posting.
  • Collaboration with Iowa Workforce Development on website development for UI decisions.
  • Unpredictability of future federal funding and its impact on our budget.

Goals/ Outcome Measures / Strategies

Goal 1: The Employment Appeal Board will continue to increase compliance as it relates to the following:
  • Unemployment Compensation Insurance (UI) (Chapter 96, Iowa Code)
  • Occupational Safety and Health Administration (OSHA) violations.
  • Department Administrative Services (Human Resources) decisions involving disqualification, restriction or removal from eligible lists (581 IAC 12.2 (4)).
  • Iowa Public Employees’ Retirement System (IPERS) decisions (Chapter 97B, Iowa Code).
  • Peace Officer and Capitol Security disciplinary actions (Iowa Code Section 80.15).
  • Labor Commissioner’s citations or proposed penalties for violations of construction contractor’s registration laws (IAC Section 91C.8).

Outcome Measures

  • Increase efficiency and maintain timeliness
  • Educating the public to the overall operation of EAB

Key Strategies:

  • Ensure all decisions are reviewed and adjudicated with adherence impartiality and fairness with the final decisions adhering to the regulatory guidelines communicating the results to the stakeholders in an efficient and prompt manner.
  • Daily monitoring of decisions by the Board and Administrative Staff to troubleshoot quagmires.
  • Develop a process to improve timely communication to stakeholders.
  • Enhance communication to the public through prompt return of phone calls and expediting questions as it relates to the resolution of decisions.
  • Continue cross training on all inter-office staff increasing the overall efficiency of decision turn around and response.
  • Continue to improve stakeholder satisfaction on decision processing.
Goal 2: Create a work environment that perpetuates job satisfaction, customer service, process improvement and public accountability.

Outcome Measure:

  • Encourage staff to maintain an explicit, continuous focus on results and program improvement.

Key Strategy:

  • Develop a recognition program within the unit to reward unit performance.
Goal 3: Continue to improve electronic media capabilities that will ensure that the Employment Appeal Board is upgrading their effort to respond to the Iowa citizenry in a prompt and timely manner.

Outcome Measure:

  • Identification of innovative approaches to service delivery comparing the data with the old to the new service delivery for effectiveness to stakeholders.

Key Strategy:

  • Collaborate with Iowa Workforce Development to improve the delivery of services to all of Iowa citizens fostering integrity of the process.



In May of 1983, the Iowa Legislature passed the Pari-Mutuel Wagering Act under Iowa Code Chapter 99D allowing pari-mutuel wagering on horse and dog racing. The Governor appointed the first Iowa Racing Commission (Commission) on 07/01/83. The Commission consists of five members, each serving a staggered three-year term. The Commission appoints an Administrator for a four-year term.

July 1, 1989, Iowa Code Chapter 99F was enacted to allow qualified sponsoring organizations to conduct gambling games on excursion gambling boats in a county where the electorate approves a proposition by referendum. The legislature changed the name of the Commission at that time to the Iowa Racing and Gaming Commission. The original excursion gambling boat legislation provided boarding restrictions, limitations on the amount of space boats could use for gambling, and wagering limits.

In March of 1994, those restrictions were lifted. In addition, slot machines were allowed at the currently licensed pari-mutuel facilities. In May of 2004, legislation was enacted to allow table games at racetrack enclosures, allow an excursion gambling boat to be a moored barge, and allow an excursion gambling boat to be located or operated on a natural or man-made lake or reservoir as long as the size would accommodate recreational activity; and also providing that a boat may be located on a body of water adjacent to a river within 1000 feet from the high watermark of the river.

In May of 2007, legislation was enacted to allow for gambling structures (not including racetrack enclosures) that are subject to land-based building codes rather than maritime or Iowa Department of Natural Resources’ inspection laws and regulation in which lawful gambling is authorized and licensed. This legislation effectively ended the requirement that gambling games be conducted over water.

In May of 2011, legislation was enacted to allow Advance Deposit Wagering, a method of pari-mutuel wagering in which an individual may establish an account, deposit money into the account, and use the account balance to pay for pari-mutuel wagering.

In 2014, legislation was enacted to allow Iowa West Racing Association and Dubuque Racing Association to maintain a license to conduct gambling games without the requirement of scheduling performances of live dog races; allowed the Iowa Greyhound Association to apply for a pari-mutuel license to race greyhounds at Dubuque and established the Iowa greyhound pari-mutuel racing fund under the control of the Commission. The legislation also allowed for simulcast venues at 99F facilities under certain circumstances.

In 2016 legislation was enacted to exclude certain promotional play receipts from the definition of adjusted gross receipts for purposes of the wagering tax on gambling games. In 2017 legislation was enacted to allow statewide self-excluded persons to lift their lifetime ban if it had been more than five years since their self-exclusion and allowed for new patrons wishing to self-exclude to opt for a five year or lifetime ban going forward.

The Commission is attached to the Department of Inspections and Appeals for administrative support purposes.

Mission Statement:

The Iowa Racing and Gaming Commission will administer the laws and rules on pari-mutuel wagering at racetracks and gambling at excursion gambling boats, gambling structures and racetrack enclosures to protect the public and to assure the integrity of licensed facilities and participants.

Vision Statement:

To be a regulatory commission that creates a honest business climate/environment, that encourages operators and racing participants to come to Iowa, and ensures the people of Iowa and its visitors of the integrity of the racing and gaming industry.

Guiding Principles:

Upholding the law through:

  • Protecting those we serve
  • Protecting confidential information
  • Ensuring program integrity by having policies and procedures follow legislative intent
  • Continuous improvement based on integrity, excellence and quality
  • Regulation strengthened by collaboration with other agencies and jurisdictions
  • Ensuring financially responsible and accountable licensees

Internal/External Assessment:

Our strengths include:

  • Experienced employees with professional expertise.
  • Dedicated long-term employees with strong work ethic.
  • Rules and procedures are continuously reviewed to adapt to changing industry standards.
  • Technological enhancements are utilized by staff to provide effective communication, the ability to collect accurate data, and the ability to more effectively and efficiently respond to customer needs.
  • Leadership supportive of decentralized site-based decision-making.
  • Commission office locations convenient to the customer and a pleasant environment for regulatory employees.
  • Iowa licensed facilities under 99D and 99F have met stringent background requirements, are respected operators and are excellent corporate citizens.
  • The coordinated effort of the Commission and the Division of Criminal Investigation.

Our limitations include:

  • Training is costly usually incurring travel expenses and a diversity of individual skil​ls, knowledge and abilities hampers group training.
  • Staffing and funding level limitations.
  • Challenge in staying abreast with rapid industry growth and changes.
  • Impact of changing laws in contiguous jurisdictions.

Our opportunities include:

  • Increased collaboration and improved relationship with other state agencies, licensees and associations.
  • Technological advances and enhancements.
  • Meetings and conferences where new developments in the industry are introduced and industry leaders and regulators congregate to discuss issues of mutual concern.
  • Improved customer satisfaction.

Our challenges include:

  • Budget constraints/rising costs.
  • Changes in laws in contiguous states.
  • Negative public image.
  • Reliance on other state agencies in performing our responsibilities.
  • Rapid changes in the needs of customers.
  • Increased emphasis on serving the public and industry through electronic means.


The Commission has identified two major Goals. Key strategies have been identified for moving toward achieving these Goals. The Goals, Outcome Measures and Strategies are:

1. Achieve the highest possible voluntary compliance of statutes, rules and regulations.

Performance Measurers:

  • Percent of occupational licensees with initial issues receiving no serious violations after licensure.

Key Strategies:

  • Develop a thorough background application screening process
  • Provide an open exchange of information between the Commission and licensees.
2. Ensure the integrity of licensed facilities.

Performance Measure:

  • Percent of licensees with significant deficiencies found as a result of an audit.

Key Strategies:

  • Audit gambling revenue records.
  • Audit slot systems.
  • Ongoing training for staff to provide the knowledge necessary for them to perform auditing duties.


2019-2024 Iowa Child Advocacy Board Strategic Framework

Our Vision: Safety, permanency, and wellbeing for every child in Iowa
Our Mission: Advocating for the protection of Iowa’s children and improvement of the child welfare system


  • Maintain state funding at current level or above.
  • Increase Friends' contribution to ICAB.
  • Increase grants, and seek other funding to support ICAB programming.
  • Forecase IV-E funding based upon volunteer training needs and FCRB activities.

Public Awareness

  • Recruit by using media and public speaking.
  • Focus on volunteer and staff retention.
  • Reach a more diverse population.
  • Promote policy improvements in child welfare and juvenile law.


  • Increase engagement of CASA volunteers in continuous learning.
  • Provide facilitator and volunteer training to increase the value of FCRB advocacy to courts and DHS.
  • Engage staff in continuous learning opportunities.


  • Collaborate with the courts and DHS to respond to the implementation of Family First legislation.
  • Educate partners so they can advocate effectively.
  • Improve and expand collaborative partnerships around the state.

Our Values: Respect, Integrity, Partnering and Advocacy


  • Integrity: being honest with everyone involved in every case; having strong moral principles; following through on commitments
  • Respect: being considerate of the rights, wishes, feelings and traditions of everyone involved
  • Partnering: being collaborative with key people and organizations involved in child welfare to bring about the best solutions for children
  • Advocacy: influencing discussions and taking action for the benefit of neglected and abused children in Iowa

Goal 1: Consistently increase annual funding to maintain and expand ICAB programming.
Proposed Goal Tenders: Wayne Schellhammer and Mike Steele

Performance Measure: Increase funding by 5% annually or to $5 million a year by year 5.

Strategy 1: Maintain state funding at current level or above. Promote policy improvements in the child welfare and juvenile law. [For operationalization, Strategy 4 from Goal 2 is combined with this strategy]
actions ranking person responsible due by

1. Expand legislative advocacy with all people who have an ICAB connection

  • Prepare messaging, training materials to communicate effectively with policy makers.
2. Communicate with Administration and Regulation Committee.
  • Develop messaging that connects the funding needed with established statute and policy and with intended outcomes of our advocacy programs.
3. Develop a storyboard.      








Strategy 2: Increase Friends' contribution to ICAB.
actions ranking person responsible due by

1. Continue and expand Light of Hope Breakfasts

  • Ensure media coverage including pre- and post-event.
  • Utilize contacts to get more people in the door.
  • Expand donor management to include continuous periodic contributions.



2. Develop other marketing strategies for Friends fundraising.

  • Grants and other contributions; sponsors. Maintain current relationships and expand corporate coverage for operational costs.
  • Amazon Smile/Facebook Donate
  • Emphasize Employee Match.
  • Talk to nonprofits in other states to find out how they fund their programs.
  • Planned giving program
  • Estates and wills
  • Engage ICAB staff and volunteers to help with funding efforts.
  • AmeriGroup
  • Total Care


Strategy 3: Increase grants, and seek other funding to support ICAB programming.
actions  ranking person responsible due by

1. Identify and prioritize funding opportunities for grants.

  • United Way
  • Community foundations
  • Social groups and service clubs: Rotary, Elks, Jaycees, etc.
  • Get local ICAB coordinators more involved
  • VOCA
A Slife (Clarke)  
2. Identify national, state, local government, corporate and foundation funding opportunities for prioritized areas.      
3. Establish local strategic corporate partnerships for continuous support.      
4. Support a working agreement between the grants specialist and Friends to collaborate and support each entity in their fundraising efforts.      
5. Expand and support a full-time position to focus on increasing funding opportunities and preparing local coordinators for local responsibilities.      


Printed from the website on August 13, 2020 at 9:40am.