CHAPTER 17
SUPERINTENDENT SUPERVISION STANDARDS AND PROCEDURES
193F—17.1(543D) Superintendent supervision standards. The level of the superintendent’s supervisory scrutiny of board actions will vary depending on the nature of the board action, the surrounding circumstances, and whether the action is or may be anticompetitive. In general, the superintendent will independently evaluate both the procedures and the substantive merits of board actions.
	17.1(1) Ministerial and nondiscretionary board actions. Board actions which are ministerial or nondiscretionary, as provided in 193F—subrule 1.2(2), shall be monitored to ensure that such actions are consistent with the mandates required by state or federal law, rule, or regulation; by the AQB; or by the appraisal subcommittee.
	17.1(2) Discretionary board actions. The superintendent shall independently assess discretionary board actions, as provided in 193F—subrule 1.2(3), to determine whether an action reflects clearly articulated state policy as the inherent, logical, or ordinary result of the exercise of authority delegated to the board by the legislature and is not the result of private interests attempting to restrain trade or otherwise pursue anticompetitive objectives that are contrary to state policy goals. Discretionary board actions which are not anticompetitive shall be monitored by the superintendent but will only be subjected to preclearance procedures if specifically requested by the board or at the superintendent’s election. Discretionary board actions that are or may be anticompetitive shall require the superintendent’s prior written approval.
	17.1(3) Information review and gathering. When monitoring or evaluating board actions, the superintendent may rely on the information provided by the board in support of the board’s actions if the superintendent is satisfied that the information is sufficient for an independent, de novo evaluation of the substantive merits of the board’s action. The superintendent may supplement the board’s information and gather additional information if deemed necessary or desirable.
	17.1(4) Written decisions. Following the superintendent’s independent evaluation of the substantive merits of board actions, the superintendent shall issue a written decision approving, modifying, or disapproving the recommended action, and explaining the reasons and rationale for such decision. This requirement shall apply when the superintendent is requested to provide preclearance for a board action and when the superintendent evaluates a final board action upon review by or appeal to the superintendent.
[ARC 2808C, IAB 11/9/16, effective 1/1/17]
193F—17.2(543D) Procedures for superintendent supervision.
	17.2(1) Ministerial or nondiscretionary board actions.
	a. 	The superintendent’s monitoring of ministerial or nondiscretionary board actions shall be flexible and designed to spot check compliance. The board shall provide any information that the superintendent requests to adequately monitor such actions. Final board action which is ministerial or nondiscretionary may be appealed to the superintendent by an aggrieved person within 20 days of the issuance of the board action. The written notice of appeal shall be filed with the superintendent and served upon the board within such 20-day period and shall specify:
	(1)	The name of the person initiating the appeal;
	(2)	The board action which is being appealed;
	(3)	The specific facts or law alleged to be in error in the board action;
	(4)	The relief sought; and
	(5)	The grounds for such relief.
	b. 	The board may respond to the notice of appeal within 20 days of its receipt of the appeal. The superintendent shall issue a written decision as provided in subrule 17.1(4).
	17.2(2) Preclearance. When the board seeks preclearance of a proposed board action, the board shall submit a written report which identifies the proposed action, describes the basis and support for the action, outlines the persons or markets which may be affected by the action, and attaches sufficient information from which the superintendent can make an independent, de novo evaluation of the substantive merits of the proposed action. The superintendent shall issue a written decision as provided in subrule 17.1(4).
	17.2(3) Review or appeal of final, discretionary board action.
	a. 	Final, discretionary board action may be reviewed by or appealed to the superintendent within 20 days of the issuance of the board action. Such decisions shall be provided to the superintendent when issued to affected persons. If the final board action is not a contested case decision, the written notice of appeal shall be filed with the superintendent and served upon the board within such 20-day period, and shall specify:
	(1)	The name of the person initiating the appeal;
	(2)	The board action which is being appealed;
	(3)	The specific facts or law alleged to be in error in the board action;
	(4)	The relief sought; and
	(5)	The grounds for such relief.
	b. 	A review initiated by the superintendent shall be in writing and shall inform the board and affected persons of the nature of the superintendent’s concerns. The board may respond to the superintendent’s review or notice of appeal within 20 days of the board’s receipt of the appeal. A person notified of a superintendent’s review may respond to the superintendent’s review within 20 days of the issuance of the review. The superintendent shall issue a written decision as provided in subrule 17.1(4).
	17.2(4) Review or appeal of contested case decision.
	a. 	All board decisions in a contested case, whether by consent or following hearing, are proposed decisions and shall be provided to the superintendent when issued.
	b. 	Any aggrieved party may appeal the proposed decision to the superintendent within 20 days after issuance of the proposed decision. The superintendent may initiate a review of the proposed decision on the superintendent’s own motion at any time within 20 days following issuance of such decision.
	c. 	A notice of appeal must be signed by the appealing party or a representative of that party and contain a certificate of service. The notice shall specify:
	(1)	The parties initiating the appeal;
	(2)	The proposed decision or order which is being appealed;
	(3)	The specific findings or conclusions to which exception is taken and any other exceptions to the decision or order;
	(4)	The relief sought; and
	(5)	The grounds for such relief.
	d. 	A notice of superintendent’s review shall identify the superintendent’s concerns with sufficient detail from which the board or a party can respond.
	e. 	A party may request the taking of additional evidence only by establishing that the evidence is material, that good cause existed for the failure to present the evidence at the hearing, and that the party has not waived the right to present the evidence. A written request to present additional evidence must be filed with the notice of appeal or, by a nonappealing party, within 14 days of service of the notice of appeal. The superintendent may preside over the taking of additional evidence or may remand a case to the board for further hearing.
	f. 	The superintendent shall issue a schedule for consideration of the review or appeal.
	g. 	Unless otherwise ordered, within 20 days of the notice of appeal or order for review, the board and each appealing party may file briefs. Within 20 days thereafter, the board or any party may file a responsive brief. Briefs shall cite any applicable legal authority and specify relevant portions of the record in that proceeding. Written requests to present oral argument shall be filed with the briefs. The superintendent may resolve the appeal or review on the briefs or provide an opportunity for oral argument. The superintendent may shorten or extend the briefing period as appropriate.
	h. 	The record on appeal or review shall be the entire record made at hearing.
	i. 	The superintendent shall issue a written decision as provided in subrule 17.1(4).
[ARC 2808C, IAB 11/9/16, effective 1/1/17]
These rules are intended to implement 2016 Iowa Acts, House File 2436.
[Filed ARC 2808C (Notice ARC 2710C, IAB 9/14/16), IAB 11/9/16, effective 1/1/17]