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The Noith Caiolina Institute foi Constitutional Law
1

www.ncicl.oig
}uly 1S, 2u1S
The fiist papei in this five-pait seiies examineu the histoiy anu stiuctuie of Common
Coie. Now, we tuin to the question of Common Coie's constitutionality anu legality.
Pioponents of Common Coie auamantly aigue that it is a state-leu initiative, not a feueial
euict. The insistence that Common Coie is "state-leu" comes uespite the feueial goveinment's
uiiecteu effoits not only !" $%&'() *!+!)* !" +&",! Common Coie with billions of uollais in Race
to the Top (RTTT) giants, but also !" -)), *!+!)* ."(-)& into the initiative aftei auoption
thiough No Chilu Left Behinu (NCLB) anu Elementaiy anu Seconuaiy Euucation Act (ESEA)
waiveis. In light of the billions of feueial uollais spent on Common Coie, some have wonueieu
why theie has been so much effoit put into to convincing the public that Common Coie is
"state-leu." Some may believe that the insistence that Common Coie is not a feueial maiching
oiuei is puiely political. But, in ieality, claims that Common Coie is state-leu aie little moie
than a shallow attempt to pay lip seivice to constitutional piinciples of feueialism which limit
the powei of the feueial goveinment. This papei pioviues a biief oveiview of the concept of
feueialism, followeu by an explanation of the feueial goveinment's constitutionally limiteu
iole in euucation matteis, anu an explanation of how Common Coie iuns afoul of the lettei
anu spiiit of the Constitution anu feueial law.
34546789:; 7<5 =>4 &?84 ?@ =>4 3454678 A?B46<;4<= 9< '5CD7=9?< /?89DE
0nuei the system of feueialism establisheu by the 0.S. Constitution, the feueial
goveinment's iole in setting euucation policy is limiteu.
2
In the Feueialist Papeis, }ames
Nauison wiote: "The poweis uelegateu by the pioposeu Constitution to the feueial
goveinment aie few anu uefineu. Those which aie to iemain in the State goveinments aie

1
Foi moie infoimation, please contact executive uiiectoi }eanette Boian at uoianncicl.oig
oi staff attoiney Tylei Younts at tyountsncicl.oig. Eithei attoiney may be ieacheu at 919-
8S8-SS1S
2
Bioauly uefineu, feueialism is "The legal ielationship anu uistiibution of powei between the
national anu iegional goveinments within a feueial system of goveinment." Black's Law
Bictionaiy (9th eu. 2uu9).
"
numeious anu inuefinite."
S
Put anothei way, Congiess must have constitutional authoiity to
pass a statute; it must be able to point to a specific clause of the 0.S. Constitution authoiizing
the feueial goveinment to act.
4
Because theie is no constitutional authoiization foi Congiess
to iegulate euucation, contiol of public euucation is a powei that iemains with the states,
S
a
fact that even the 0.S. Bepaitment of Euucation conceues.
6
Recognition of this iestiaint on
feueial authoiity may explain the auamancy with which the Bepaitment of Euucation anu
Common Coie auvocates aigue that the initiative is a "state-leu" effoit.
7
0ne must iemembei
that the puipose of feueialism is to piotect libeity by uiffusing powei.
8
As the Couit noteu in
/)0).$'*, "The Fiameis thus ensuieu that poweis which 'in the oiuinaiy couise of affaiis,
concein the lives, libeities, anu piopeities of the people' weie helu by goveinments moie
local anu moie accountable than a uistant feueial buieauciacy."
9
Buttiessing the feueial
constitutional fiamewoik, the Tenth Amenument to the 0.S. Constitution seives as an
auuitional check on consoliuation of powei in the feueial goveinment by piotecting the
pieiogatives anu poweis of the states fiom usuipation by the feueial goveinment.
1u

This is not to say that the feueial goveinment has no ability to influence state level
policy in aieas such as public euucation. 0nuei Congiess' taxing anu spenuing powei founu at
Aiticle I, 8 cl. 1 of the Constitution, even wheie Congiess has no constitutional authoiity to

S
Feueialist No. 4S, at 289 (}ames Nauison) (Clinton Rossitei eu., 1961).
4
1+!2. 3)&2% "4 5%&),6 7'*6 86 /)0).$'*, 1S2 S. Ct. 2S66, 2S77-78 (2u12) (citeu heiein as /)0).$'*).
S
"The States thus can anu uo peifoim many of the vital functions of mouein goveinment--
punishing stieet ciime, 9'%%$%: ,'0.$( *(;"".*, anu zoning piopeity foi uevelopment, to name
but a few..0ui cases iefei to this geneial powei of goveining, possesseu by the States but not
by the Feueial uoveinment, as the "police powei." 1+!2. 3)&2% "4 5%&),6 7'*6 86 /)0).$'*, 1S2 S.
Ct. 2S66, 2S77 (2u12) (citeu heiein as /)0).$'*).
6
The Bepaitment's website notes that "in the 0.S., the feueial iole in euucation is limiteu.
Because of the Tenth Amenument, most euucation policy is ueciueu at the state anu local
levels." 0.S. Bept. of Euucation, Policy 0veiview, http:www2.eu.govpolicylanuing.jhtml.
7
/)) e.g., Common Coie State Stanuaius Initiative, Fiequently Askeu Questions,
http:www.coiestanuaius.oigiesouicesfiequently-askeu-questions (citeu heiein as
Common Coie FAQ).
8
The Supieme Couit has explaineu that "State soveieignty is not just an enu in itself: Rathei,
feueialism secuies to citizens the libeities that ueiive fiom the uiffusion of soveieign powei."
1)< ="9- v. >%$!)& /!+!)*, SuS 0.S. 144, 181 (1992) (inteinal quotation maiks omitteu).
9
1S2 S. Ct. at 2S78 (quoting Feueialist No. 4S (}ames Nauison)).
1u
"The poweis not uelegateu to the 0niteu States by the Constitution, noi piohibiteu by it to
the States, aie ieseiveu to the States iespectively, oi to the people." 0.S. Const. amenu. X.
#
legislate uiiectly, it may neveitheless "offei funus to the States, anu may conuition those offeis
on compliance with specifieu conuitions."
11
But even this powei is limiteu by piinciples of
feueialism as explaineu below. The feueial goveinment's authoiity to influence state action
cannot moiph into compulsion anu still suivive constitutional sciutiny.
,4759<F "7:4: ?< =>4 ,9;9=: ?@ 3454678 1G4<59<F /?H46
Congiess often ielies on the Spenuing Clause of Aiticle I, 8, cl. 1., as the souice of its
constitutional authoiity when enacting euucation legislation like NCLB.
12
The Spenuing
Clause states: "The Congiess shall have Powei To lay anu collect Taxes, Buties, Imposts anu
Excises, to pay the Bebts anu pioviue foi the common Befen|sje anu geneial Welfaie of the
0niteu States|.j" Aiticle I, 8 then lays out specific enumeiateu poweis like the powei to coin
money, iegulate commeice, anu establish post offices. The Supieme Couit has explaineu,
"Congiess has bioau powei to set the teims on which it uisbuises feueial money to the States,
but when Congiess attaches conuitions to a State's acceptance of feueial funus, the conuitions
must be set out 'unambiguously.'"
1S
Legislation enacteu unuei "'the spenuing powei is much
in the natuie of a contiact,' anu theiefoie, to be bounu by 'feueially imposeu conuitions,'
iecipients of feueial funus must accept them 'voluntaiily anu knowingly'" in oiuei to satisfy
constitutional iequiiements.
14
The Supieme Couit has ieasoneu, "States cannot knowingly
accept conuitions of which they aie 'unawaie' oi which they aie 'unable to asceitain.'"
1S
By
insisting that Congiess speak with a cleai voice, the Supieme Couit enables States "to exeicise
theii choice knowingly, cognizant of the consequences of theii paiticipation."
16

In one of the eailiest cases to auuiess the taxing anu spenuing clause, the Supieme
Couit appioveu of Congiessional spenuing on objects beyonu the scope of the enumeiateu
poweis of Aiticle I, 8 in >%$!)& /!+!)* 86 7'!.)9, so long as the expenuituie of funus auvanceu

11
/)0).$'*? 1S2 S. Ct. at 2S79.
12
/(;"". @$*!9$(! "4 !;) A$!B "4 C"%!$+( 86 /)(6 "4 !;) >%$!)& *!+!)* @),!6 "4 D&'6? S12 F.Su 2S2
(6th Cii. 2uu8)(vacateu foi ieheaiing anu ieinstateu at 2uu8 LEXIS 12121)
1S
E9.$%:!"% A)%!6 /(;6 @$*!6 7&6 "4 D&'(6 F6 G'9,;B, S48 0.S. 291 (2uu6) ((citing C)%%;'9*! /!+!)
/(;6 H I"*,6 86 I+.&)9J+%, 4S1 0.S. 1, 17 (1981) anu 7&6 "4 D&'(6 F6 K"<.)B, 4S8 0.S. 176, 2u4 n.
26 (1982)).
14
5&6 (quoting C)%%;'9*!, 4S1 0.S. at 17).
1S
5&6 (quoting C)%%;'9*!, 4S1 0.S. at 17).
16
C)%%;'9*!, 4S1 0.S. at 17.
$
"the geneial welfaie."
17
In that case, the Couit invaliuateu a New Beal measuie that sought to
stabilize agiicultuial piices by contiolling agiicultuial piouuction, a feat which the feueial
goveinment planneu to accomplish by imposing a special tax on faimeis paiticipating in a
paiticulai piogiam. The Couit explaineu that although the feueial goveinment coulu use the
taxing anu spenuing clause foi the geneial welfaie anu not just in exeicising its othei
enumeiateu poweis, the feueial goveinment coulu not use that powei to accomplish an
unconstitutional enu. The goveinment hau aigueu that the scheme at issue was constitutional
because faimeis hau a choice about paiticipating. Aftei fiist noting, "The asseiteu powei of
choice is illusoiy," the Couit continueu, even "if this plan weie one foi puiely voluntaiy co-
opeiation it woulu stanu no bettei so fai as feueial powei is conceineu. At best, it is a scheme
foi puichasing with feueial funus submission to feueial iegulation of a subject ieseiveu to the
states."
18
Thus, fiom even the eailiest cases auuiessing the taxing anu spenuing powei of the
feueial goveinment, the Couit was awaie of the potential foi goveinmental abuse of that
powei anu tiansgiession of the constitutional bounus of feueialism.
In C)%%;'9*! /!+!) /(;6 H I"*,6 86 I+.&)9J+%? the Supieme Couit applieu these
piinciples to concluue that States paiticipating in the Bevelopmentally Bisableu Assistance
anu Bill of Rights Act of 197S ("BBA"),
19
weie not iequiieu to assume the costs of pioviuing
ceitain tieatment anu seivices to mentally uisableu citizens.
2u
The BBA pioviueu financial
assistance to paiticipating States to aiu them in cieating piogiams to caie foi anu tieat the
mentally uisableu.
21
The BBA also pioviueu a vaiiety of conuitions foi the ieceipt of feueial
funus.
22
At the heait of the case was the BBA's "bill of iights" piovision, which pioviueu that
mentally uisableu citizens "have a iight to appiopiiate tieatment, seivices, anu habilitation foi
such uisabilities" to be pioviueu "in the setting that is least iestiictive of the peison's peisonal
libeity."
2S
The plaintiffs, ceitain uisableu citizens of Pennsylvania, sueu theii state-owneu
institution to enfoice these "iights" that is, to compel Pennsylvania to pay foi the costs of

17
297 0.S. 1 (19S6).
18
4S1 0.S. at 19.
19
42 0.S.C. 6uuu, et seq.
2u
4S1 0.S at S.
21
5&6 at 11.
22
5&6 at 12.
2S
5&6 at 1S (quoting 42 0.S.C. 6u1u)
%
these seivices6
LM

The Supieme Couit helu, howevei, that the foiegoing language in the BBA's "bill of
iights" piovision uiu not cieate enfoiceable obligations on the State. The Couit explaineu that
the piovision's teims, "iepiesent geneial statements of feueial policy, not newly cieateu legal
uuties."
2S
It stateu that "|wjhen Congiess intenueu to impose conuitions on the giant of
feueial funus," as in othei sections of the BBA, "it pioveu capable of uoing so in cleai teims,"
by, foi example, using the teim "conuitioneu." This "bill of iights" section, "in maikeu contiast,
in no way suggest|euj that the giant of feueial funus |wasj 'conuitioneu' on a State's funuing
the iights uesciibeu theiein."
26
The Couit fuithei noteu that the feueial goveinment hau no
authoiity unuei the BBA to withholu funus fiom States foi failing to comply with this "bill of
iights" section.
27
Accoiuingly, that section coulu "haiuly be consiueieu a 'conuition' of the
giant of feueial funus."
28
The Couit ieiteiateu, "Congiess must expiess cleaily its intent to
impose conuitions on the giant of feueial funus so that the States can knowingly ueciue
whethei oi not to accept those funus."
29
The Couit continueu, "That canon applies with
gieatest foice wheie, as heie, a State's potential obligations unuei the Act aie laigely
inueteiminate."
Su
In consiueiing whethei the feueial goveinment is coeicing the states anu
oveistepping its Aiticle I, 8 powei, "The ciucial inquiiy, howevei, is not whethei a State
woulu knowingly unueitake that obligation, but <;)!;)9 A"%:9)** *,"-) *" (.)+9.B !;+! <) (+%
4+$9.B *+B !;+! !;) /!+!) ("'.& J+-) +% $%4"9J)& (;"$().N
OP
Thus, the Couit concluueu that
"Congiess fell well shoit of pioviuing cleai notice to the States that they, by accepting funus
unuei the Act, woulu inueeu be obligateu to comply with the "bill of iights' piovision of the
BBA."
S2

The Couit ieaffiimeu this piinciple in /"'!; @+-"!+ 86 @".), when it iejecteu a state
challenge to a piovision of feueial law that withhelu S peicent of any state's feueial highway

24
5&6
2S
5&6 at 22-2S.
26
5&6
27
5&6
28
5&6
29
5&6
Su
5&6
S1
5&6 at 2S (emphasis auueu).
S2
5&6
&
funus unless the state auopteu a minimum uiinking age of 21 yeais.
SS
Although the @".) Couit
founu the S peicent withholuing to be a "ielatively milu encouiagement,"
S4
it neveitheless
noteu foui limitations on Congiess' spenuing powei: (1) The expenuituie of feueial funus
must be in puisuit of the geneial welfaie; (2) The conuitions placeu on feueial funus must be
unambiguous such that states can exeicise theii choice knowingly, cognizant of the
consequences of theii paiticipation; (S) The feueial giant of funus must be ielateu to the
feueial inteiest in paiticulai national piojects oi piogiams; (4) The giant of feueial funus
must not otheiwise be unconstitutional oi piohibiteu by an "inuepenuent constitutional
bai."
SS

Nost iecently, in the lanumaik Affoiuable Caie Act0bamacaie case, 1+!2. 3)&2% "4
5%&),6 7'*6 86 /)0).$'*, the Couit signaleu a uesiie to ieign in Congiess' spenuing powei.
Laigely oveishauoweu by the Couit's uecision on the inuiviuual manuate in that same case,
weie the paits of the Couit's opinions stiiking uown the Act's Neuicaiu expansion scheme
that penalizeu states foi choosing not to expanu Neuicaiu. This uecision ieflects the Couit's
conceins about the balance of powei anu the laigess of the feueial goveinment in Ameiica's
feueial system. In /)0).$'*, twenty-six states claimeu that a piovision of the Affoiuable Caie
Act that iequiieu states to expanu Neuicaiu coveiage oi iisk losing all existing Neuicaiu
funuing was unconstitutional.
S6
The Couit iuleu that this piovision was unconstitutionally
coeicive of state goveinments.
S7
Chief }ustice }ohn Robeits waineu, "Peimitting the Feueial
uoveinment to foice the States to implement a feueial piogiam woulu thieaten the political
accountability key to oui feueial system."
S8
Finuing that the withholuing of existing Neuicaiu
funus was moie than the "milu encouiagement" piesent in /"'!; @+-"!+ 86 @".), Chief }ustice
Robeits wiote that the Neuicaiu expansion piovision was "a gun to the heau."
S9
"The

SS
48S 0.S. 2uS (1987).
S4
5&6 at 211.
SS
5&6 at 2u6-u8 (inteinal quotation maiks omitteu).
S6
1S2 S. Ct. 2S66.
S7
Although no single opinion commanueu a majoiity of the Couit, seven justicesChief
}ustice }ohn Robeits, }ustice Bieyei, }ustice Kagan, }ustice Kenneuy, }ustice Scalia, }ustice Alito,
anu }ustice Thomasfounu the foiceu Neuicaiu expansion piovision unconstitutionally
coeicive in some iespect, but uiffeieu on the appiopiiate iemeuy.
S8
/)0).$'*, 1S2 S. Ct. at 26u2.
S9
5&6 at 26uS.
'
thieateneu loss of ovei 1u peicent of a State's oveiall buuget. is economic uiagooning that
leaves the States with no ieal option but to acquiesce|.j"
4u
Noieovei, Chief }ustice Robeits
wiote that while "the spenuing powei is bioau, it uoes not incluue suipiising paiticipating
States with post acceptance oi ietioactive conuitions."
41

"?;;?< "?64 -< ,9F>= ?@ =>4 1G4<59<F "87C:4
With the guiuance of C)%%;'9*!? @".) anu /)0).$'*, seiious constitutional questions
about Common Coie become appaient. Fiist, a stiong case can be maue that the conuitions
placeu on Race to the Top giants, weie not cleai anu unambiguous, as iequiieu unuei
C)%%;'9*! anu @".), such that paiticipating states coulu exeicise theii choice knowingly anu
cognizant of the consequences of theii paiticipation.
42
Nany states weie iusheu to meet
feueial ueaulines foi RTTT giant applications anu, like Noith Caiolina, hau to enuoise
Common Coie anu submit giant applications befoie the stanuaius weie finalizeu anu
publisheu.
4S
The RTTT applications iequiieu states to explain how they planneu to
implement "college anu caieei-ieauy" stanuaius, Common Coie being the only stanuaius
meeting the Bepaitment of Euucation's iequiiements.
44
In auuition, theie was no time foi an
analysis of the full financial implications of auopting Common Coie anu ueveloping aligneu
assessments.
4S
But with $4.SS billion in feueial RTTT giants at stake, the feueial
goveinment's push foi states to auopt Common Coie was an offei states coulu not iefuse: 4S

4u
5&6
41
5&6 at 26u6.
42
48S 0.S. at 2u7.
4S
Noith Caiolina enuoiseu Common Coie in }anuaiy anu again in Nay of 2u1u, submitting its
RTTT application on Nay 27, 2u1u. http:www2.eu.govpiogiamsiacetothetopphase2-
applicationsnoith-caiolina.puf. The final uiaft of Common Coie was not ieleaseu until }une of
2u1u. Common Coie Piocess, http:www.coiestanuaius.oigiesouicespiocess. Phase 0ne
RTTT applications weie uue }an. 19, 2u1u, while Phase Two applications (which incluueu
Noith Caiolina's) weie uue }une 1, 2u1u. 0.S. Bept. of Euu., Webinai S, Nov. 24, 2uu9.
http:www2.eu.govpiogiamsiacetothetopwebinai-unueistanuing-the-application.puf.
44
/)) "0veiview Infoimation; Race to the Top Funu; Notice Inviting Applications foi New
Awaius foi Fiscal Yeai (FY) 2u1u," 3)&)9+. K):$*!)9, vol. 74, No. 221 (Novembei 18, 2uu9),
http:euocket.access.gpo.gov2uu9pufE9-27427.puf.
4S
The full cost of auoption anu implementation of Common Coie is the subject of a
subsequent papei in this seiies.
(
states took the ueal.
46
Noieovei, in auuition to the enticing "caiiot" of RTTT funus, the
Bepaitment of Euucation has auueu the coeicive "stick" of full application of NCLBESEA.
States iefusing to implement Common Coie cannot get much neeueu "flexibility" waiveis
exempting the states that acquiesce to Common Coie fiom the most oneious piovisions of the
NCLBESEA.
47
Thus, the waivei policy can be seen as a type of post acceptance conuition that
was uispaiageu by the Couit in /)0).$'*.
48

Seconu, theie is a goou aigument that Common Coie violates @".)2* thiiu iequiiement,
that a giant of feueial funus must be ielateu to the feueial inteiest in paiticulai national
piojects oi piogiams.
49
No less than thiee sepaiate feueial laws piohibit the Bepaitment of
Euucation fiom being involveu in public school cuiiiculum. Foi instance, the ueneial
Euucation Piovisions Act (uEPA) pioviues in pait that: "No piovision of any applicable
piogiam shall be constiueu to authoiize any uepaitment, agency, officei, oi employee of the
0niteu States to exeicise any uiiection, supeivision, oi contiol ovei the cuiiiculum, piogiam
of instiuction, auministiation, oi peisonnel of any euucational institution, school oi school
system|.j"
Su
In auuition, both the Bepaitment of Euucation 0iganization Act (BE0A),
S1
anu
the (ESEA),
S2
as amenueu by the No Chilu Left Behinu Act of 2uu1 (NCLB), contain similai
language. As a iesult, Common Coie cannot logically be ielateu to a legitimate feueial inteiest,
as iequiieu unuei @".),
SS
because feueial law explicitly piohibits feueial involvement in
cuiiiculum6
"?<D8C:9?<
Common Coie, anu the effoits of the feueial goveinment to foist it upon the states, iuns
countei to the piinciples of feueialism that aie the founuation of the 0.S. Constitution. The
feueial goveinment's involvement with Common Coie likely iepiesents unconstitutional

46
Common Coie State Stanuaius Initiative, In the States, http:www.coiestanuaius.oigin-
the-states.
47
0.S. Bep't of Euuc., ESEA Flexibility 7 (2u11), http:www2.eu.govpolicyelsecguiuesea-
flexibilityinuex.html.
48
1S2 S. Ct. at 26u6.
49
48S 0.S. at 2u7-u8.
Su
2u 0.S.C. 12S2a.
S1
2u 0.S.C. S4uS(b).
S2
2u 0.S.C. 79u7(a).
SS
48S 0.S. at 2u7-u8.
)
coeicion of the states anu violates thiee sepaiate feueial laws. In sum, Common Coie
iepiesents an assault on feueialism.