The Iowa Public Information Board
In re the Matter of: Michael Chapman, Complainant And Concerning: Waterloo Community School District Finance Committee, Respondent |
Case Number: 25FC:0031 Investigative Report
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COMES NOW, Alexander Lee, Agency Counsel for the Iowa Public Information Board (IPIB), and enters this Investigative Report:
On March 26, 2025, Michael Chapman filed formal complaint 25FC:0031, alleging the Finance Committee of the Waterloo Community School District Board of Education (Board) violated Iowa Code Chapter 21.
The IPIB accepted this Complaint on April 17, 2025.
Facts
The Waterloo Community School District is a public school district in Black Hawk County, which is overseen by a seven-member Board of Education. There is no question that this Board is â[a] board, council, commission, or other governing body of a political subdivision or tax-supported district in this state,â meaning that it qualifies as a governmental body subject to Chapter 21 open meeting law. Iowa Code § 21.2(1)(b). The sole disagreement between the parties in this matter is whether the Finance Committee, which serves under the Board, is also a governmental body.
The facts are not disputed. The Finance Committee is a permanent three-member body, currently comprised of the Boardâs President, the Boardâs Vice President, and another Board member. There is no requirement that the President and VP serve, but the first two positions have traditionally been reserved to these officers, with the third member invited by the President based on interest.
The Finance Committee typically meets once per month. These meetings are also generally attended by the Districtâs Superintendent, the Board Treasurer, and the Board Secretary. Other District staff and representatives from District schools may attend at least some of these meetings.
The Districtâs legal counsel was unable to find any minutes or resolutions which reflect when or how the Finance Committee was created. It is the respondentsâ belief that the committee âwas likely started by a prior Superintendent, informally by a prior board, or a combination of both.â At a minimum, the Finance Committee has existed for a period of years, and a search conducted by the respondents during IPIBâs investigation revealed documents from 1992, over three decades ago, describing approval of committee members for another existing Board committee.
The Finance Committee is broadly responsible for reviewing the Districtâs budget, expenses, balance sheets, and related financial matters. These responsibilities include initial review of monthly expense summaries, for the purposes of ensuring the District stays within its budget. The Finance Committee also researches and makes recommendations on larger financial expenditures before they go to the full Board. For example, if the Board were selecting a new insurance policy, the Finance Committee would gather documents, review options, and provide a non-binding recommendation to the Board. Matters within the Finance Committeeâs purview often begin in committee before being presented to the Board for final approval.
On March 26, 2025, the complainant, Michael Chapman, attempted to attend a meeting of the Finance Committee. Before the meeting began, the District Superintendent informed Chapman that the meeting was not open to the public, and Chapman was then escorted out of the building. The same day, Chapman filed formal complaint 25FC:0031, alleging that he had been unlawfully excluded from a meeting required to be held in open session under Chapter 21.
The respondents agree that Chapman has same right as any other member of the public to attend meetings of the main Board. However, the respondents maintain 1) that the Finance Committee is a purely advisory body without policy-making duties of its own and 2) that it was not âformally and directlyâ created by the Board, meaning that it should not be required to follow Chapter 21.
The respondents have expressed a desire to comply with the requirements of Chapter 21. As such, the parties now seek IPIBâs guidance on whether the Finance Committee qualifies as a governmental body capable of holding meetings subject to Chapter 21.
Applicable Law
ââGovernmental bodyâ means:
b. A board, council, commission, or other governing body of a political subdivision or tax-supported district in this state.
c. A multimembered body formally and directly created by one or more boards, councils, commissions, or other governing bodies subject to paragraphs âaâ and âbâ of this subsection.â Iowa Code § 21.2(1)(b), (c).
Analysis
I. Purely Advisory Groups vs Policy-Making Bodies
The key precedent for this case is Mason v. Vision Iowa Board. In Mason, the Iowa Supreme Court considered a Chapter 21 challenge brought against a negotiating committee of the Vision Iowa Board, which administered two similar programs created to promote tourism and community attractions through the award of monetary grants. 700 N.W.2d 349, 351 (Iowa 2005).
The negotiating committee at issue in Mason was established at the recommendation of an intermediate review committee âto determine a potential award amount and to recommendâ which type of grant was appropriate for a specific bid. Id. This committee was appointed by the board chair from members of the board and, over a period of months, the committee worked with representatives for the proposal to review various matters, including financial feasibility and environmental effects. Id. at 351â52. The committee ultimately recommended certain components of the application be severed and reconsidered for a smaller grant, with the remainder denied, and the Vision Iowa Board adopted this recommendation in full. Id. at 352.
The Mason Court declined to find any Chapter 21 violation, concluding the negotiating committee was incapable of creating a âmeetingâ pursuant to Iowa Code § 21.2(2) where none of their deliberations or actions were âin furtherance of any policy-making duty,â given the committeeâs purely advisory role. Id. at 354. Policy-making, for the purposes of open meetings law, meant âdeciding with authority a course of action,â as opposed to merely ârecommending or advising what should be done.â Id. While the Court recognized that âpurely advisory groupsâ described by Iowa Code §§ 21.2(1)(e) or (h) were intended by the legislature to be subject to Chapter 21, this did not affect the âpolicy-making dutiesâ requirement of Iowa Code § 21.2(2) for other categories of governmental body. Id. at 355. Therefore, because the negotiating committeeâs role was merely âto determine a potential award amount and to recommend whether it should be a Vision Iowa or a CAT award,â and there was no evidence the committee had âauthority to set the award amount or decide whether it should be made under the Vision Iowa or CAT programs,â the committee had not held any Chapter 21 meeting. Id. at 356 (emphasis in original).
Similar findings have been made in a handful of other cases. See Donahue v. State, 474 N.W.2d 537, 538â39 (Iowa 1991) (finding university administrative panels formed to review individual promotion and tenure decisions were purely advisory boards, as these panels âexercise[d] no policy-making power,â could not make binding decisions, and were âfar removed from the [board of] regents,â even if their recommendations were given âgreat weightâ); see also Hummel v. Des Moines Indep. Cmty. Sch. Dist., No. 08â0763, 2009 WL 777929, at *3â4 (Iowa Ct. App. Mar. 26, 2009) (finding that a seven-member review committee formed from school district and community members to consider proposals to purchase and develop a closed elementary school lacked policy-making duties under Mason, as the committeeâs only role was to review proposals and recommend a favored bid to the school board, which explicitly âmaintain[ed] control over all decisionsâ).[1]
II. Whether the Finance Committee is Purely Advisory or Policy-Making
Judicial precedent is limited in defining the boundaries of what constitutes a âpurely advisoryâ group, and IPIBâs own case law interpreting Mason is inconclusive and at times contradictory.
The respondents cite Mason to argue that the Finance Committee is exempt from Chapter 21 requirements as a âpurely advisoryâ group, which merely ârecommend[s] or suggest[s] a course of actionâ to the Board, as the final decision-maker for the District. Nevertheless, there are several factors which distinguish the Finance Committee from âpurely advisoryâ groups.
First, the Finance Committee has the apparent authority to set its own priorities and agendas, albeit within certain boundaries, and thereby influence the priorities of the Board above it. Unlike in Mason, Donahue, and Hummel, where the bodies in question were tasked with researching specific and well-defined questions delegated by their principals, the Districtâs financial matters are regularly presented to the Finance Committee before the full Board.[2] This is a critical distinction when considering Masonâs definition of âpolicy-makingâ as the act of âdeciding with authority a course of action.â Even if final Board approval is required in all instances, the Finance Committee is still setting or directing a course of action for the District whenever it drafts a proposed budget or initiates the process of selecting a new insurance policy. Contra. Mason, 700 N.W.2d at 349 (emphasizing that the full board âmade the ultimate decision on the course of actionâ and that the negotiating committee had merely made recommendations âwithin the conditions established by the boardâs grantâ); Hummel, 2009 WL 777929, at *4 (finding the review committee had no responsibilities beyond âsimply recommending or suggesting to the school board the development proposal it should acceptâ and citing an affidavit stating the committee was not âresponsible for or able to eliminate any proposals from the boardâs considerationâ).[3]
Second, relatedly, the Finance Committee is a permanent body with an extensive purview, which embraces numerous topics under the umbrella of âfinance,â including everything from budgets to district insurance policies. This contrasts substantially with the entities discussed in Mason, Donahue, and Hummel, each of which were temporary groups created to research specific issues before being disbanded (a single grant application, a specific employeeâs appeal of a promotion decision, and six competing bids for the purchase of a closed school building, respectively). In the context of the first factor, above, both permanence and broad jurisdiction contribute to the Finance Committeeâs discretion in steering the Districtâs policies, at least on financial matters.
Finally, the nature and composition of the Finance Committee is such that the âbasis and rationale of governmental decisionsâ is likely to be found in the committeeâs deliberations, rather than in Board meetings. See Iowa Code § 21.1. Here, the Finance Committee carries unusual implicit authority, not only because it is composed of Board members (including both elected leaders), but also by virtue of being a permanent standing committee entrusted with previewing much of the Districtâs financial affairs before they are presented to the Board for final approval. Such committees distribute the burdens of governance by delegating major categories of the principal bodyâs policy-making process to subgroups of members trusted for their subject-matter expertise. This differs from Donahue, where jury-style faculty panels were an intermediate step designed to bring in peer perspectives between an appealed decision and a final judgment, and Hummel, where community representatives were used to ensure the contentious sale of a closed school building would be âsensitive to the needs of the neighborhood and public interests.â Donahue, 474 N.W.2d at 537; Hummel, 2009 WL 777929, at *1. This also differs from Mason, where the disputed committee was created as a means to assign a small subgroup of board members with studying a particular funding issue, which later evolved into a vehicle for multiple board members to attend negotiations with the proposalâs representatives, all within narrowly drawn guidelines. Mason, 700 N.W.2d at 351 (âthe chair contacted various members of the board to serve on the negotiating committee, but the bulk of negotiating fell to the board chair and another board memberâ).
These factors, taken together, suggest a scope of functional authority tantamount to decision-making, beyond merely ârecommending or advising what should be doneâ on assigned matters. It cannot have been the Courtâs intent in Mason to exclude such groups from Chapter 21 where all other requirements are met.
III. Whether the Finance Committee is âMultimemberedâ & âFormally and Directly Createdâ
In addition to the âpolicy-makingâ inquiry of Mason, the Finance Committee must also satisfy the remainder of Iowa Code § 21.2(1)(c) to be considered a governmental body. That they are a âmultimembered bodyâ with clearly defined membership is not in dispute. What the respondents do dispute is whether the body was âformally and directly created,â as they have been unable to find minutes or records showing its creation, though the respondents believe âthe committee was likely started by a prior Superintendent, informally by a prior board, or a combination of both.â
Applicable court precedent does not clearly define what it means to be âformally and directly created.â In lieu of case law, the respondents cite a 1993 Attorney Generalâs Opinion, which advises in part that â[t]his office has construed âformally and directlyâ to mean created by the vote of a delegating body upon a resolution or motion or equivalent means, but not constituted or appointed by an intermediary or representative of that delegating body such as an executive director or secretary.â Op. No. 93-11-5, 1993 Iowa Op. Attây. Gen. 59.[4]
Notably, this excerpt summarizes other AGâs opinions, which consider the question more fully. Interpreting the term âformally,â referenced opinions cite Websterâs dictionary to define âformalâ as ârequiring special or stipulated solemnities or formalities to become effective,â such that âthe requirement . . . would be satisfied by a vote upon a resolution or motion or equivalent means.â Op. No. 87-7-4 (L), 1981 Iowa Op. Attây. Gen. 162. The formality requirement must reasonably be understood to exclude unofficial, transient groupings, but insofar as this definition would allow a delegating body the option to exempt an otherwise qualifying secondary body by disclaiming it, such a rigid interpretation would be inconsistent with the spirit of the law and Iowa Code § 21.1âs direction that â[a]mbiguity in the construction or application of this chapter should be resolved in favor of openness.â Cf. id. (âa city council does not possess the power to declare, by ordinance or resolution, that one of its boards or committees is exempt from the Open Meetings lawâ). A body should therefore be considered âformallyâ created if it is treated as a formal secondary body by its principal and recognized as such in official contexts, a standard met where Board minutes routinely refer to and adopt recommendations of âthe Districtâs Finance Committeeâ as a recognized entity.[5]
As for whether a body is âdirectlyâ created, the respondents do not claim to know the origin of its Finance Committee, but they believe it was âlikely started by a prior Superintendent, informally by a prior board, or a combination of both.â Regardless of origin, however, the Districtâs long-standing practice is dispositive in this instance, as the Board President and VP appear to serve by custom and/or at their own discretion, while the remaining member is recruited based on interest. Indeed, it is difficult to imagine how a body composed entirely of members taken from the Districtâs principal governing body could have been authentically âconstituted or appointed by an intermediary.â See also id. (advising that a body was still âformally and directlyâ created where it was initially formed by a city mayor and subsequently authorized by vote of the city council).
Because the Finance Committee appears to be 1) a multimembered body, 2) which was formally and directly created by the Board of Education, and 3) which has some policy- or decision-making authority, it meets Iowa Code § 21.2(1)(c)âs definition of a âgovernmental bodyâ and its meetings may therefore be subject to the requirements of Chapter 21. In practice, this same finding would apply to the vast majority of permanent subcommittees sharing common membership with their delegating boards or councils,[6] as these subcommittees generally have broad jurisdiction over a category of policy matters, maintain meaningful discretion to set their own agendas, and are both formally recognized and intrinsically directly created by their parent bodies.
IPIB Action
The Board may take the following actions upon receipt of a probable cause report:
a. Redirect the matter for further investigation;
b. Dismiss the matter for lack of probable cause to believe a violation has occurred;
c. Make a determination that probable cause exists to believe a violation has occurred, but, as an exercise of administrative discretion, dismiss the matter; or
d. Make a determination that probable cause exists to believe a violation has occurred, designate a prosecutor and direct the issuance of a statement of charges to initiate a contested case proceeding.
Iowa Admin. Code r. 497-2.2(4).
Recommendation
It is recommended the IPIB find from the stipulated facts that the Finance Committee is a governmental body under Iowa Code § 21.2(1)(c) and redirect the matter for further investigation.
By the IPIB Agency Counsel,
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Alexander Lee, J.D.
CERTIFICATE OF MAILING
This document was sent on September 12, 2025, to:
Michael Chapman, Complainant
Waterloo Community School District, Respondent
[1] Note that Hummel is an unpublished, non-precedential decision, cited for its persuasive value.
[2] According to the respondents, both proposed budget amendments and âlarger, non-routine expensesâ within the District would typically come before the Finance Committee first, then presented with recommendations to the Board for âfull discussion and consideration.â
[3] See also Are Advisory Bodies Subject to Iowa's Open Meetings Law?, Iowa Attây Gen., https://www.iowaattorneygeneral.gov/about-us/sunshine-advisories/are-advisory-bodies-subject-to-iowas-open-meetings-law (last updated Dec. 1, 2014) (suggesting that an advisory body which ânarrow[s] the range of options for final decision by a governmental bodyâ may be acting in a manner âtantamount to decision-makingâ).
[4] Although Attorney Generalâs Opinions are not binding legal authorities, and existing opinions on the subject predate key judicial precedent, they are nevertheless considered highly persuasive.
[5] See Meeting Minutes of July 14, 2025, Waterloo Community School District Board of Education, https://www.waterlooschools.org/board/files/2025/08/July-14-2025-Meeting-Minutes.pdf (last visited Sept. 4, 2025).
[6] Assuming these parent bodies are âgovernmental bodiesâ defined by either Iowa Code § 21.2(1)(a) or (b) â this includes state agency boards, city councils, boards of supervisors, school boards, etc.
The Iowa Public Information Board
In re the Matter of:
Michael Chapman, Complainant And Concerning: Waterloo Community School District, Respondent |
Case Number: 25FC:0031 Probable Cause Order |
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Under Iowa Admin. Code r. 497-2.2(4) the Board takes the following action:
âa. Redirect the matter for further investigation;
- b. Dismiss the matter for lack of probable cause to believe a violation has occurred;
- c. Make a determination that probable cause exists to believe a violation has occurred, but, as an exercise of administrative discretion, dismiss the matter; or
- d. Make a determination that probable cause exists to believe a violation has occurred, designate a prosecutor and direct the issuance of a statement of charges to initiate a contested case proceeding.
By the Board Chair
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Catherine Lucas
CERTIFICATE OF MAILING
This document was sent on September 24, 2025, to:
Michael Chapman, Complainant
Waterloo Community School District, Respondent