THE LEGAL SYSTEM AS APPLIED TO SCHOOL DISTRICTS

Level II

Danielle Jess Haindfield* Ahlers & Cooney, P.C.

100 Court Avenue, Suite 600 Des Moines, IA 50309

(515) 243-7611 dhaindfield@ahlerslaw.com

*Utilizing, in part, materials originally prepared by Kathy Collins, former legal consultant to School Administrators of Iowa.

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I. The Relationship Among LEAs, AEAs, and the SEA

A. The structure of education in Iowa:

1. SEA -- the state education agency (Department of Education). Powers and duties; relationship to schools and AEAs. Iowa Code ch. 256

AEA --the area education agency is Iowa’s title for an "intermediate education unit." Powers, duties, divisions; relationship to AEAs and SEA. Iowa Code ch. 273. LEA -- the local education agency's relationship to AEA and SEA. See e.g. Iowa Code ch. 279.

II. Sources of Authority, Power, and Limitation

A. United States Constitution

The U.S. Constitution is silent on the issue of education. Thus, the authority to create and maintain a system of education falls upon the states. U.S. Constitution Amendment X.

However, public school officials and employees are "the government" and as such, their actions in performing their job duties are subject to the Bill of Rights guaranteeing individuals freedom from unconstitutional government action. Thus, through the Constitution, the federal government and courts have strongly affected educational policy.

B. Federal Law (Acts of U.S. Congress)

Because education is deemed a state responsibility, Congress acts in the area of education generally in only two ways:

1. General Welfare Clause. When a state accepts federal funds, or grants-in-

aid, it is deemed to have accepted the conditions attached to receipt of funds. For example, the extensive laws relating to special education are not applicable to school districts unless the State accepts the funds for special ed. Once a state does accept the money, the state agrees to comply with all of the special education laws and regulations. The same is true, for example, of FERPA, the Family Education Rights and Privacy Act. If a school receives no federal funds, it does not have to comply.

2. Commerce Clause. The regulation of commerce between and within

states is a power constitutionally given to Congress. Therefore, under its powers to regulate commerce, we are subjected to a variety of federal laws (e.g. food quality for school lunches, school bus safety and structure, OSHA and other labor or health and safety regulations).

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C. State Statutory Law

1. Iowa Constitution. The Iowa Constitution gives the state General Assembly the power to control and manage "the educational and school funds and lands," other than the university. Iowa Const. Art. IX §2. School districts are creatures of statute, meaning they exist so long as the legislature says they exist.

2. School Laws. Chapters 256-301 of the Code of Iowa are considered the

school laws, although other Code chapters or sections may include references to duties to be carried out by school boards or school officials. The Department of Education also publishes "School Laws of Iowa'" which attempts to aggregate all laws from the Code of Iowa that pertain to school operations.

3. Corporate Status. School districts are "school corporations" who may "sue

and be sued, hold property, and exercise all the powers granted by law, and shall have exclusive jurisdiction in all school matters over the territory therein contained." Iowa Code §274.1.

4. Operation. "The affairs of each school corporation shall be conducted by a

board of directors, the members of which in all community or independent school districts shall be chosen for a term of four years." Iowa Code §274.1.

5. Role of the Board. The school board's role is to establish policy and rules

for the governance of the district in all respects save those established by higher authorities (DE or legislature). Iowa Code §279.8.

6. "Shall" vs. "May". In reading a statute, it's important to distinguish

between what school officials are compelled by law to do and what is permissible. The word "shall" imposes a duty. The word "may" confers a power that may be exercised or not. Iowa Code §4.1(36).

7. Express and Implied Powers. The board has only those powers granted

expressly by statute or reasonably implied in law. Bishop v Iowa State Board of Public Instruction, 395 N.W.2d 838, 891 (Iowa 1986). This rule of law is known as "Dillon's Rule" (originally announced by a Judge Dillon in the early 20th Century). The concept is different from "Home Rule" which applies to cities, counties and other specified government municipalities in Iowa. "Home Rule" means the city or county government has all powers not expressly taken away by statute.

Dillon's Rule, as it applies to school districts, means in every case before a

school board acts, it should determine that it has the express or implied power in law to do what it is contemplating. If the school board cannot find any authority to take a certain action, it cannot take the action. (On the other hand, a county board of supervisors, under "Home Rule," would

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look for a prohibition in the Code; if none exists, the county board can then presumably take an action within its jurisdiction.)

a. Express powers. This means a statute is specific in its grant or

authority. For example, "The school board shall... prohibit the use of tobacco and the use or possession of alcoholic liquor or beer or any controlled substance as defined in section 204.101, subsection 5, by any student of such schools, and the board may suspend or expel any student for any violation of such rule." Iowa Code §279.9.

This statute expressly (clearly, by its language, in no uncertain terms) gives school boards the power to establish a policy and rules prohibiting students from using tobacco, and from using or possessing any illegal drugs. The statute also provides express authority for suspending or expelling students for violating those same rules. Section 279.9 of the Code is said to be the authority for adopting rules related to students using or possessing drugs or alcohol on school grounds.

b. Implied Powers. There may be a source of authority that doesn't

exactly ("expressly") tell a board it can do something, but the power or authority to do it may nevertheless be implied within the statute. For example, in the above quoted statute, there is notice that the board has express authority to prohibit the use of tobacco, but it says nothing about the possession of tobacco.

Query: Does the statute imply the board has authority to prohibit the possession of tobacco?

Answer: Yes. If a school board can (in fact, has to) make rules prohibiting the use of tobacco, it can impliedly prohibit the possession of tobacco as well as a natural extension (or reasonable inference) of the power to prohibit use. Stated simply, the board's reasoning is, if a student can't use tobacco, s/he has no reason to possess it on school grounds either. Also, it is against the law for a minor (under 18) to "smoke, use, possess, purchase, or attempt to purchase any tobacco products." Iowa Code §453A.2. Thus, it's logical to extend the board's authority to prohibit possession as well as use. This is an implied power.

c. Limitation Reasonableness. The courts will evaluate any action by

a school board by first establishing that the board had the authority (express or implied) to do what it did or contemplates doing; once authority is established, then the court will decide if a rule adopted or action taken by the board is "reasonable." Board of Directors v. Green, 259 Iowa 1260, 147 N. W.2d 8854 (1967). If the court

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decides it is a reasonable action, the court will sustain it. If not, a court will strike it down or declare it to be invalid.

D. Administrative Law

1. Rulemaking. All state and federal agencies are empowered with the ability

to make rules or regulations to implement the laws under their jurisdiction. Rules are designed to put meat and muscle on the skeleton that is the law as written by Congress or a state legislature. The rules cannot alter the law under which they are written by going farther than or contravening the law. If a rule goes too far or is in some way inconsistent with the law, the rule would be declared invalid if challenged in court.

The Department of Education (Iowa and U.S.) are the primary rulemaking agencies of interest to school districts, although other agencies can also write regulations affecting schools (Labor Department, Civil Rights Commission, etc.).

a. Rulemaking Initiation. An agency may initiate rules on a given

subject as a result of a directive from the legislature ("The state board of education shall make rules to implement this section."), on its own initiative (agency believes making rules would help districts comply with a law or would answer questions that have arisen as to what a law means), or at the request of any interested party (individual or school district). Iowa Code §17A..4, .7. See also Iowa Administrative Code (IAC) Uniform Rules -- Agency Procedure for Rule Making and, for the DoE, 281 IAC ch. 4. The agency may decline to make rules in all cases except legislative mandate. See sample rules in Appendix A.

b. Declaratory Rulings. A person or school district affected by a law

may ask an administrative agency for a Declaratory Ruling on a given subject. The effect of the Declaratory Ruling is to bind the agency as to the facts, and it also binds the party requesting the ruling, unless that party appeals it to court. Thus, an agency after issuing a Declaratory Ruling can't later change its mind on the subject unless it goes through rulemaking or, in response to a request for reconsideration by the original party or a new request for a Declaratory Ruling by another party, overrules its prior Declaratory Ruling. See Iowa Code §17A..9; 281 Iowa Administrative Code ch 3. See sample ruling in Appendix B.

c. Agency Interpretations and Attorney General Opinions. A school

district official or patron who has a question as to the interpretation of a law or rule should contact the agency responsible for administering the law or rule and ask for an interpretation. This may be done informally (over the telephone or in person at a meeting) or formally (in writing). Asking the agency what is meant

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by a specific law, rule, or even word is preferable to guessing. The school board attorney may also be a resource in this are, as s/he may have had previous experience with a given law or rule and may have the answer.

State elected or appointed public officials may seek an opinion of the Iowa Attorney General on a question of interpretation or applicability of a law. Iowa Code §13.2(4). An attorney general's opinion ("AGO") is the best advice of the highest law enforcement officer of the state on an issue. It is free, thus cheaper than going to court to get a judicial determination, but it is not binding on a court of law in later deciding the same issue. Additionally, it can often take quite awhile to get a formal AGO, so if the issue is time sensitive, it may not provide immediate guidance. See sample opinion in Appendix C.

Having the written advice or opinion of your board attorney, a state

agency, or the attorney general on a given subject will support a board's "good faith" in taking an action, presuming the advice is followed.

E. Case Law

1. Judicial. Judge-made law or rulings on cases or controversies brought to

the courts through law suits, is called “case law” or “common law”. A final decision announced by a court is binding on the parties to the suit unless appealed to a higher court within the proper period of time.

a. Dual System. There are two court systems: state and federal. In

general, the federal courts are used by litigants in a controversy involving a federal law, the U.S. Constitution or where the parties involved are from different states and the amount in controversy exceeds a minimum threshold. A case would be brought in federal district court, usually in the judicial district where the defendant (party being sued) resides or has its principal place of business. Iowa has two federal districts: the Northern District and the Southern District, divided roughly by Highway 30. Appeals from either the Northern or Southern District Court in Iowa would go to the Eighth Circuit Court of Appeals, the intermediate court between the federal district courts and the United States Supreme Court. Appeals from the Eighth Circuit would go to the U.S. Supreme Court.

The state court system is similar. Iowa has district courts for every

county. Appeals from the county district courts go to the Iowa Supreme Court, who may keep the case itself or send the case to the Iowa Court of Appeals, an intermediate court between the district courts and the Supreme Court. See sample District Court

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Opinion in Exhibit F. See Sample Iowa Supreme Court Opinion in Exhibit G.

b. Precedent. When the higher courts (courts of appeals or supreme

courts) decide cases, their decisions are binding on the parties and serve as "precedent" on the same facts and law for lower courts within specific jurisdictions to apply in the future. This creates a measure of predictability for courts to apply and for attorneys to advise whether their client would win or lose if sued or suing over a law or action.

In Iowa, school district personnel should pay attention to decisions

of the Iowa Court of Appeals, the Iowa Supreme Court, either the Northern or Southern Federal District Court of Iowa (depending upon whether the school district is located north or south of Highway 30), the Eighth Circuit Court of Appeals, and the U.S. Supreme Court.

School districts in Iowa are not necessarily concerned with state

court decisions in the First, Second, Third, Fourth, Fifth, Sixth, Seventh, Ninth, Tenth, Eleventh, Twelfth, or Thirteenth Circuits, or district court decisions in counties in Iowa. However, such cases may be useful to school districts if they address an issue or area of the law which Iowa federal or Iowa appeals courts have not yet addressed. Often these courts outside of Iowa are viewed as “persuasive” authority (meaning they are not binding on Iowa courts, but could be persuasive to the courts in interpreting or deciding Iowa cases).

2. Administrative Agency Case Law. Most agencies hear "contested cases"

or appeals brought by one party against another party or against the state agency itself. See Iowa Code §17A.12.

In addition, in the education setting, Iowa Code chapter 290 states that

"any person aggrieved by a decision" of a local school board may appeal to the State Board of Education if they do so within 30 days of the local board's decision. Consequently, over a period of nearly fifty years, a body of case law has developed at the Department of Education. The cases are indexed by topic and by name. Thus, if you wanted to know what if any decisions had been announced by the State Board of Education on the subject of, for example, whole-grade sharing, you could merely contact the state Department of Education for copies of those cases. Also, these cases are now available on the Department of Education’s website under the “Laws & Regulations” heading and you can search for decisions by topic area or keywords. See sample website tour in Appendix E. These administrative cases have the same type of precedential value to school districts as court cases. However, an agency's decision is not binding on a court. The agency has to follow its own precedent or adequately

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distinguish the old, established case from the new one currently before it in order not to follow its own precedent. See sample decision in Appendix D.

Note: When a parent/citizen appeals a local board’s decision under Iowa

Code chapter 290 it will be the responsibility of the board secretary to forward to the Department of Education all the relevant minutes, tape recordings, etc. which document the board’s decision and the basis and rationale behind the board’s decision.

3. Judicial Review. Final action by a state agency is appealable to district

court. Iowa Code §17A.19. An action for judicial review must be brought within 30 days of the agency's final decision, and it may be filed either in Polk County or in the county district court where the person or entity filing for review (appealing) resides or has its principal place of business.

4. Power of Agency or Court on Review. If an appeal is filed with the State

Board of Education from a local board's decision, the State Board may affirm, modify or reverse the local board's decision or direct a rehearing of the case. Iowa Code §256.7(6). It "shall make such decision as may be just and equitable." Iowa Code §290.3.

A decision of the State Board of Education (or any state agency) may be

affirmed, remanded to the agency for further proceedings, reversed or modified by the district court on judicial review. Iowa Code §17A.19(8).

In general, the reviewer (State Board, for local board decisions or the

district court, for state agency decisions) gives a great deal of deference to the agency whose action or decision it is reviewing. The burden of proof is always on the party challenging the decision to prove the decision was unlawful, beyond the authority of those who made it, or was made "arbitrarily or capriciously." The "arbitrary or capricious" standard means that the school board or agency must have a legitimate reason for making the decision; it cannot act on whim or fancy, or take the "because I said so" approach to decision making. Board secretaries have a valuable role to perform in recording a board's discussion or reasoning (basis and rationale) in the minutes of all board action, particularly controversial action that may be appealed or serve as the impetus for a lawsuit.

5. "Exhaustion of Administrative Remedies" Doctrine. The courts do not

wish to be the first avenue of relief from every government official's decisions, so they have developed a judicial doctrine known as "exhaustion of administrative remedies." This concept assures that before a case gets to court, the defendant (party being sued) has had a chance, at its highest level, to resolve the issue. Thus, if a student or parent is unhappy with a teacher's decision, the student or parent must go through channels and "appeal" internally to the school board in most cases, rather than going directly to court to see the teacher.

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a. Example at School District Level. Most school districts’ policies

on citizen complaints of employees require that the complainant first take the complaint up with the individual employee involved. If it cannot be resolved at that level, it can be taken to the principal, then the superintendent and finally to the board.

b. Exceptions. If the reviewing entity lacks the power to award the

relief sought by the aggrieved person, or if there isn't enough time to get the issue to the next level reviewer, a party can go directly to court, and the doctrine of exhaustion of administrative remedies would not be held applicable.

The Iowa Code Chapter 290 appeal process is optional on parties

who feel "aggrieved" by local school board action. A party "may" appeal a local board's decision to the State, or it may go directly to district court. Your school district would not likely be successful in trying to get a dismissal of a lawsuit filed directly in district court on the ground that the person failed to "exhaust his or her administrative remedies" by using the chapter 290 process.

On the other hand, in special education, for example, the Congress

has mandated in statute that a parent unhappy with some aspect of his/her child's education must use the specific "Due Process" appeal procedure before going to court. The only exception to this would be if the parent was seeking money damages or an injunction because these things cannot be granted by the special education administrative law judge. This is consistent with the "exhaustion" doctrine that says you must use the proper appeal channels unless there is insufficient time to obtain the relief through the appeals process, or if the reviewing entity (ALJ) lacks the power to award the relief sought by the Appellant.

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APPENDIX A

Administrative Rule

Sample

APPENDIX B

Declaratory Ruling

Sample

APPENDIX C

Attorney General Opinion

Sample

APPENDIX D

State Board of Education Decision

Sample

APPENDIX E

Department of Education Website Tour of Appeal Decisions

Sample

APPENDIX F

District Court Opinion

Sample

APPENDIX G

Iowa Supreme Court Opinion

Sample

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