All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
HOKE COUNTY BOARD OF EDUCATION; HALIFAX COUNTY BOARD OF
EDUCATION; ROBESON COUNTY BOARD OF EDUCATION; CUMBERLAND COUNTY
BOARD OF EDUCATION; VANCE COUNTY BOARD OF EDUCATION; RANDY L.
HASTY, individually and as guardian ad litem of Randell B. Hasty;
STEVEN R. SUNKEL, individually and as guardian ad litem of
Andrew J. Sunkel; LIONEL WHIDBEE, individually and as guardian ad
litem of Jeremy L. Whidbee; TYRONE T. WILLIAMS, individually and
as guardian ad litem of Trevelyn L. Williams; D.E. LOCKLEAR, JR.,
individually and as guardian ad litem of Jason E. Locklear;
ANGUS B. THOMPSON II, individually and as guardian ad litem of
Vandaliah J. Thompson; MARY ELIZABETH LOWERY, individually and as
guardian ad litem of Lannie Rae Lowery; JENNIE G. PEARSON,
individually and as guardian ad litem of Sharese D. Pearson;
BENITA B. TIPTON, individually and as guardian ad litem of
Whitney B. Tipton; DANA HOLTON JENKINS, individually and as
guardian ad litem of Rachel M. Jenkins; LEON R. ROBINSON,
individually and as guardian ad litem of Justin A. Robinson,
Plaintiffs and ASHEVILLE CITY BOARD OF EDUCATION; BUNCOMBE COUNTY
BOARD OF EDUCATION; CHARLOTTE-MECKLENBURG BOARD OF EDUCATION;
DURHAM PUBLIC SCHOOLS BOARD OF EDUCATION; WAKE COUNTY BOARD OF
EDUCATION; WINSTON-SALEM/FORSYTH COUNTY BOARD OF EDUCATION;
CASSANDRA INGRAM, individually and as guardian ad litem of Darris
Ingram; CAROL PENLAND, individually and as guardian ad litem of
Jeremy Penland; DARLENE HARRIS, individually and as guardian ad
litem of Shamek Harris; NETTIE THOMPSON, individually and as
guardian ad litem of Annette Renee Thompson; OPHELIA AIKEN,
individually and as guardian ad litem of Brandon Bell,
Plaintiff-Intervenors v. STATE OF NORTH CAROLINA and the STATE
BOARD OF EDUCATION, Defendants
No. 530PA02
FILED: 30 JULY 2004
1. Parties--school board--motion to dismiss
The trial court did not err by denying defendants' motion to dismiss the school boards as
parties to the instant case, because while the precise party designation of the school boards may
not have been readily discernible at the time of the trial, the nature of the parties' claims was
such that: (1) they sought a declaration of rights, status, and legal relations of and among the
parties; and (2) any declaration of the rights, status, and legal relations of and among the parties
would affect the role played by the school boards in providing the state's children with the
opportunity to obtain a sound basic education.
2. Pleadings--amendment--lack of prekindergarten services
The trial court did not err by denying defendants' motion to strike an amendment to their
complaint regarding the lack of prekindergarten services and programs, because: (1) at the point
of the trial court's order, the question of the extent of the guarantees under Leandro v. State, 346
N.C. 336 (1997), giving every child of this state an opportunity to receive a sound basic
education in our public schools, had yet to be answered and was ripe for evidentiary proceedings
and consideration by the trial court; and (2) the General Assembly has enacted legislation that
affords certain rights to particular four-year-olds who would not otherwise qualify as school
children, namely those four-year-olds that meet the criteria for being gifted and mature.
3. Constitutional Law; Schools and Education_-sound basic education--opportunity to
receive sound basic education--State allocations
The trial court did not err by concluding that the constitutional mandate of Leandro v.
State, 346 N.C. 336 (1997), establishing the opportunity for students to receive a sound basic
education, had been violated in the Hoke County School System and by requiring the State to
assess its education-related allocations to the county's schools so as to correct any deficiencies
that presently prevent the county from offering its students the opportunity to obtain a Leandro-
conforming education, because the evidence demonstrated: (1) poor standardized test scores; and
(2) that over the past decade an inordinate number of Hoke County students have consistently
failed to match the academic performance of their statewide public school counterparts and that
such failure, measured by their performance while attending Hoke County schools, their dropout
rates, their graduation rates, their need for remedial help, their inability to compete in the job
markets, and their inability to compete in collegiate ranks, constituted a clear showing that they
have failed to obtain a Leandro-comporting education.
4. Constitutional Law--separation of powers_-legislature--establishing age for entering
public schools
The trial court erred by interfering with the province of the General Assembly by
establishing the appropriate age for students entering the public school system, because: (1) our
state's constitutional provisions and corresponding statutes serve to establish the issue as the
exclusive province of the General Assembly; and (2) there was no evidence at trial indicating the
trial court had satisfactory or manageable criteria that would justify modifying legislative efforts.
5. Constitutional Law; Schools and Education_-sound basic education--expansion of
pre-kindergarten educational programs--at-risk students
The trial court erred by directing the State to remedy constitutional deficiencies relating to
the public school education provided to students in Hoke County by expanding pre-kindergarten
educational programs so that they reach and serve all qualifying at-risk students, because the
mandate requiring expanded pre-kindergarten programs amounts to a judicial interdiction that,
under present circumstances, infringes on the constitutional duties and expectations of the
legislative and executive branches of government.
6. Constitutional Law; Schools and Education-_sound basic education--federal funds--
State obligation
The trial court did not err by including educational services provided by federal funds in
making its determination of whether the State is meeting its constitutional obligation to provide
North Carolina's children with a sound basic education, because: (1) the trial court's
consideration of Title I funds did not violate either the applicable federal statutory provisions or
the education provisions of our state's Constitution; (2) the relevant provisions of the North
Carolina Constitution do not forbid the State from including federal funds in its formula for
providing the state's children with the opportunity to obtain a sound basic education; (3) the
question of whether federal funds are properly being utilized by the State is one best answered by
consulting the federal statutory framework that provides for such funds; and (4) as the language
of the applicable statutes expressly grants the United States Secretary of Education the power to
decide the question of whether state expenditures of federal education funds comports with
federal law, we defer to the Secretary's judgment and note that there was no evidence at trial
showing that the State's use of such funds had spurred retaliatory action by the Secretary.
On discretionary review pursuant to N.C.G.S. § 7A-31
(2003), prior to a determination by the Court of Appeals, of
orders entered 24 November 1997 and 9 February 1999 and a
judgment entered 4 April 2002, which explicitly incorporatesmemoranda of decisions dated 12 October 2000, 26 October 2000,
and 26 March 2001 as amended by order dated 29 May 2001, all of
which were entered by Judge Howard E. Manning, Jr., in Superior
Court, Wake County. Heard in the Supreme Court 10 September
2003.
Parker, Poe, Adams & Bernstein, L.L.P., by Robert W.
Spearman, for plaintiff-appellees.
Tharrington Smith, LLP, by Ann L. Majestic and Debra R.
Nickels; and Hogan & Hartson, L.L.P., by Audrey J.
Anderson, pro hac vice, for plaintiff-intervenor-
appellants and -appellees.
Roy Cooper, Attorney General, by Edwin M. Speas, Jr.,
Chief Deputy Attorney General; Grayson G. Kelley,
Senior Deputy Attorney General; Thomas J. Ziko, Special
Deputy Attorney General, for defendant-appellants and
-appellees.
Ann W. McColl on behalf of the North Carolina
Association of School Administrators, amicus curiae.
Ferguson Stein Chambers Adkins Gresham & Sumter, P.A.,
by S. Luke Largess; and Thomas M. Stern on behalf of
the North Carolina Association of Educators, amicus
curiae.
Seth H. Jaffe on behalf of The American Civil Liberties
Union Foundation, Inc.; Deborah Greenblatt on behalf of
Carolina Legal Assistance, Inc.; Sheria Reid and
Carlene McNulty on behalf of North Carolina Justice &
Community Development Center; Gregory C. Malhoit on
behalf of The Rural School & Community Trust; John
Charles Boger on behalf of The University of North
Carolina School of Law Center for Civil Rights; and
Romallus O. Murphy on behalf of the North Carolina
NAACP, amici curiae.
ORR, Justice.
The State of North Carolina and the State Board of
Education (the State), as defendants, appeal from a trial court
order concluding that the State had failed in its constitutional
duty to provide certain students with the opportunity to attain a
sound basic education, as defined by this Court's holding inLeandro v. State, 346 N.C. 336, 488 S.E.2d 249 (1997). We affirm
the trial court on this part of the State's appeal with
modifications.
In addition, the State appeals those portions of the
trial court's order that direct the State to remedy
constitutional deficiencies relating to the public school
education provided to students in Hoke County. In its memoranda
of law, the trial court, in sum, ultimately ordered the State to:
(1) assume the responsibility for, and correct, those educational
methods and practices that contribute to the failure to provide
students with a constitutionally-conforming education; and (2)
expand pre-kindergarten educational programs so that they reach
and serve all qualifying at-risk students. As for the trial
court's first remedy, we affirm, with modifications. As for the
trial court's second remedy, we reverse, concluding that the
mandate requiring expanded pre-kindergarten programs amounts to a
judicial interdiction that, under present circumstances,
infringes on the constitutional duties and expectations of the
legislative and executive branches of government.
On cross-appeal, plaintiff-intervenors argue that the
trial court erred by including educational services provided by
federal funds in making its determination of whether the State is
meeting its constitutional obligation to provide North Carolina's
children with a sound basic education. We disagree with
plaintiff-intervenors' contention and, therefore, affirm the
trial court.
I. Introduction
This case is a continuation of the landmark decision by
this Court, unanimously interpreting the North CarolinaConstitution to recognize that the legislative and executive
branches have the duty to provide all the children of North
Carolina the opportunity for a sound basic education. This
litigation started primarily as a challenge to the educational
funding mechanism imposed by the General Assembly that resulted
in disparate funding outlays among low wealth counties and their
more affluent counterparts. With the Leandro decision, however,
the thrust of this litigation turned from a funding issue to one
requiring the analysis of the qualitative educational services
provided to the respective plaintiffs and plaintiff-intervenors.
In remanding this case to the trial court in Leandro,
this Court issued the following directive: If . . . [the trial]
court makes findings and conclusions from competent evidence to
the effect that defendants in this case are denying children of
the state a sound basic education, a denial of a fundamental
right will have been established. 346 N.C. at 357, 488 S.E.2d
at 261. The Court then went on to conclude that if such a denial
[of a fundamental right] is indeed established by the evidence,
and defendants are unable to justify such denial as necessary to
promote a compelling government interest, it will then be the
duty of the [trial] court to enter a judgment granting
declaratory relief and such other relief as needed to correct the
wrong while minimizing the encroachment upon the other branches
of government. Id.
From the outset, we note that the ensuing trial lasted
approximately fourteen months and resulted in over fifty boxes of
exhibits and transcripts, an eight-volume record on appeal, and a
memorandum of decision that exceeds 400 pages. The time and
financial resources devoted to litigating these issues over thepast ten years undoubtably have cost the taxpayers of this state
an incalculable sum of money. While obtaining judicial
interpretation of our Constitution in this matter and applying it
to the context of the facts in this case is a critical process,
one can only wonder how many additional teachers, books,
classrooms, and programs could have been provided by that money
in furtherance of the requirement to provide the school children
of North Carolina with the opportunity for a sound basic
education.
The Leandro decision and the ensuing trial have
resulted in the thrust of the instant case breaking down into the
following contingencies: (1) Does the evidence show that the
State has failed to provide Hoke County school children with the
opportunity to receive a sound basic education, as defined in
Leandro; (2) if so, has the State demonstrated that its failure
to provide such an opportunity is necessary to promote a
compelling government interest; and (3) if the State has failed
to provide Hoke County school children with the opportunity for a
sound basic education and failed to demonstrate that its public
educational shortcomings are necessary to promote a compelling
government interest, does the relief granted by the trial court
correct the failure with minimal encroachment on the other
branches of government?
We note that defendants raise three issues on appeal.
The first--whether the trial court applied the wrong standards
for determining when a student has obtained a sound basic
education--is essentially an argument that questions whether the
evidence presented at trial adequately demonstrated a violation
of the constitutional right at issue. As such, it will beaddressed in this Court's substantive analysis of whether the
trial court properly determined that plaintiff school children
are being denied their fundamental right for an opportunity to
receive a sound basic education. See Part IV of this opinion.
Defendants' remaining issues, as argued in their brief, concern
the appropriateness of the trial court's remedy of mandating pre-
kindergarten programs for at risk students and the question of
whether the proper age at which children should be permitted to
attend public school is a nonjusticiable political question
reserved for the General Assembly. Both questions will be
addressed in this Court's overall examination of the pre-
kindergarten remedy issue. See Part V of this opinion.
II. Procedural History of the Case
This civil action, initiated as a declaratory judgment
action pursuant to N.C.G.S. § 1-253 (2003), commenced in 1994
when select students from Cumberland, Halifax, Hoke, Robeson, and
Vance Counties, their respective guardians
ad litem, and the
corresponding local boards of education, denominated as
plaintiffs, sought declaratory and other relief for alleged
violations of the educational provisions of the North Carolina
Constitution and the North Carolina General Statutes.
Plaintiffs were subsequently joined by select students
from the City of Asheville, Buncombe County, Charlotte-
Mecklenburg, Durham County, Wake County, and Winston-
Salem/Forsyth County, their respective guardians
ad litem, and
the corresponding local boards of education, denominated as
plaintiff-intervenors, who filed an additional complaint.
At trial, defendants moved to dismiss both complaints,
arguing
that: (1) the issues raised were nonjusticiable,
seeN.C.G.S. § 1A-1, Rule 12(b)(6) (2003); (2) the trial court lacked
personal jurisdiction over defendants,
see id., Rule 12(b)(2);
and (3) the trial court lacked subject matter jurisdiction over
the claims,
see id., Rule 12(b)(1). The motion was summarily
denied by the trial court and defendants immediately appealed.
On appeal, the Court of Appeals reversed, unanimously
concluding that because the North Carolina Constitution does not
embrace a qualitative standard of education, neither plaintiffs
nor plaintiff-intervenors had raised a claim upon which relief
could be granted.
See Leandro v. State, 122 N.C. App. 1, 11, 468
S.E.2d 543, 550 (1996).
Plaintiffs appealed the Court of Appeals decision to
this Court, contending that their claims raised substantial
constitutional questions. Plaintiffs and plaintiff-intervenors
(collectively plaintiff parties) also petitioned this Court for
discretionary review. Those petitions were allowed.
Upon review of the Court of Appeals decision, this
Court affirmed in part, reversed in part, and remanded the case
for further proceedings in Wake County Superior Court.
Leandro,
346 N.C. at 358, 488 S.E.2d at 261. The surviving claims for
trial included the following: (1) whether the State has failed
to meet its constitutional obligation to provide an opportunity
for a sound basic education to plaintiff parties,
id. at 348, 488
S.E.2d at 255; (2) whether the State has failed to meet its
statutory obligation, pursuant to Chapter 115C of the General
Statutes, to provide the opportunity for a sound basic education
to plaintiff parties,
id. at 354, 488 S.E.2d at 259;
(See footnote 1)
and (3)whether the
State's supplemental school funding system is
unrelated to legitimate educational objectives and, as a
consequence, is arbitrary and capricious, resulting in a denial
of equal protection of the laws for plaintiff-intervenors,
id. at
353, 488 S.E.2d at 258.
(See footnote 2)
Upon remand, pursuant to Rule 2.1 of the General Rules
of Practice for the Superior and District Courts, the case was
designated as exceptional by Chief Justice Burley B. Mitchell,
who assigned Superior Court Judge Howard E. Manning, Jr. to
preside over all proceedings. Prior to trial, the trial court
initiated and oversaw a series of meetings among all parties.
Although there was no official record kept of those pre-trial
conference discussions, the record on appeal, trial transcripts,and portions of the trial court's four memoranda of law reference
key rulings made by the trial court during such meetings. We
note, significantly, that two of the trial court's initial
decisions limited the scope of the case before us.
First, the trial court ruled that the case should be
bifurcated into two separate actions, with one
addressing the
claims of rural school district plaintiffs (rural districts)
and the other addressing the claims of large urban school
district plaintiff-intervenors (urban districts). Accordingly,
the first trial would be limited to plaintiffs' claims and a
second trial, to be held after the first was concluded, would
address the claims of plaintiff-intervenors.
(See footnote 3)
In its first memorandum of decision (Memo I), the
trial court stated that all parties agreed to the bifurcated
proceedings, and this Court notes that the record on appeal
includes no assignment of error pertaining to the trial court's
decision to bifurcate. As a result, our consideration of the
case is properly limited to those issues raised in the rural
districts' trial.
(See footnote 4)
Second, the trial court ruled that the evidence
presented in the rural districts' trial should be further limited
to claims as they pertain to a single district. The net effectof this ruling was two-fold: (1) that Hoke County would be
designated as the representative plaintiff district, and (2) that
evidence in the case would be restricted to its effect on Hoke
County. In Memo I, the trial court again asserted that all
parties agreed to the suggested procedure, and this Court notes
that the record on appeal is devoid of any assignment of error
concerning the decision. As a consequence, our consideration of
the case is properly limited to the issues relating solely to
Hoke County as raised at trial.
(See footnote 5)
III. Procedural Developments
Before addressing the substantive issues before us, we
feel it necessary to review several key procedural developments
that have transpired since the case was remanded to the trial
court. Plaintiffs filed their original complaint as a
declaratory judgment action, seeking a declaration of their
educational rights under the North Carolina Constitution and
chapter 115C of the General Statutes.
See N.C.G.S. § 1-253
(2003). In addition, once their educational rights weredeclared, plaintiffs sought: (1) to show that their declared
rights were being violated by State-defendants and, if so
demonstrated, (2) a court-imposed remedy that would correct the
demonstrated violation(s).
See id.
; N.C.G.S. § 1-259 (2003).
While in
Leandro, the issue before this Court dealt
with the correctness of a Rule 12(b)(6) dismissal of plaintiffs'
case, this Court, in effect, answered plaintiffs' initial inquiry
under the Declaratory Judgment Act, thereby providing the
rights, status and legal relations for the trial court's
further consideration. To wit: The state Constitution
guarantees plaintiffs a right to the opportunity to receive a
sound basic education from the State.
Leandro, 346 N.C. at 351,
488 S.E.2d at 257. Then, after defining the qualitative
components of what constitutes a sound basic education, the Court
in
Leandro remanded the case to the trial court and, in effect,
assigned that court three specific tasks: (1) to take evidence
on the issue of whether defendants are denying the children of
the state a sound basic education, (2) to determine if the
evidence showed plaintiff school children's education-related
rights were being denied, and (3) to enter a judgment granting
declaratory relief and such other relief as needed.
Id. at 357,
488 S.E.2d 261.
At that point
in the litigation, the case
included five
distinct parties: (1) plaintiff school children (and their
respective guardians), (2) plaintiff local school boards, (3)
plaintiff-intervenors, (4) the State Board of Education, and (5)
the State. At that juncture, all participants sought a decree
defining what rights and obligations were at stake, which parties
had obligations, and which parties had rights as a result of suchobligations. In
Leandro,
this Court, in sum, decreed that the
State and State Board of Education had constitutional obligations
to provide the state's school children with an opportunity for a
sound basic education, and that the state's school children had a
fundamental right to such an opportunity. 346 N.C. at 351, 488
S.E.2d at 257. As a result of the decree, adversarial sides were
clearly drawn for four of the five parties-_plaintiff school
children and plaintiff-intervenor school children (who, under the
decree, enjoyed the right of educational opportunity), versus the
State and State Board of Education (which, under the decree, were
obligated to provide such opportunity).
Before addressing the party status of the school
boards, we note that the evidence presented in this case reaches
a broader constituency than the two designated plaintiff-school
children in the case's caption. In fact, a far greater
proportion of the evidence pertains to the circumstances of Hoke
County's student population in general than it does to the named
plaintiffs in particular. Thus, as a threshold question, we
address whether the evidence presented concerning the plight of
Hoke County's student population is relevant to the question of
whether the named plaintiffs have been denied their right to an
opportunity to obtain a sound basic education.
In our view, the nature of a declaratory judgment
action and the mandate of
Leandro combine to afford the trial
court and the participating parties greater evidentiary leeway
than in a conventional civil action. In declaratory actions
involving issues of significant public interest, such as those
addressing alleged violations of education rights under a state
constitution, courts have often broadened both standing andevidentiary parameters to the extent that plaintiffs are
permitted to proceed so long as the interest sought to be
protected by the complainant is arguably within the zone of
interest to be protected by the constitutional guaranty in
question.
See, e.g.,
Seattle Sch. Dist. v. State, 90 Wash. 2d
476, 490-95, 585 P.2d 71, 80-83 (1978)
.
Because the instant case concerns an issue of
significant, if not paramount, public interest (school-aged
children's rights concerning a public education), we will examine
the trial court's evidentiary findings in the context of whether
the supporting evidence demonstrates that a harm has occurred to
those within the zone to be protected by the constitutional
provision at issue. In our view, the instant plaintiffs, as Hoke
County students, are certainly positioned within such a zone. As
a consequence, evidentiary issues in this case will be
scrutinized on the basis of whether there has been: (1) a clear
showing of harm to those within the zone of protection afforded
by the constitutional provision(s); and (2) a showing that any
remedy imposed by the court will redress the harm inflicted on
those within such a zone of protection.
In our view, the unique procedural posture and
substantive importance of the instant case compel us to adopt and
apply the broadened parameters of a declaratory judgment action
that is premised on issues of great public interest. The
children of North Carolina are our state's most valuable
renewable resource. If inordinate numbers of them are wrongfully
being denied their constitutional right to the opportunity for a
sound basic education, our state courts cannot risk further and
continued damage because the perfect civil action has provedelusive. We note that the instant case commenced ten years ago.
If in the end it yields a clearly demonstrated constitutional
violation, ten classes of students as of the time of this opinion
will have already passed through our state's school system
without benefit of relief. We cannot similarly imperil even one
more class unnecessarily. As a consequence, for this case, one
of great public interest, we adopt the view that plaintiffs in
this declaratory judgment action were entitled to proceed in
their efforts towards showing that students within Hoke County
have been wrongfully denied their educational rights under the
North Carolina Constitution. Thus, the named plaintiffs here
were not limited to presenting evidence at trial that they had
suffered individual harm or that any remedy imposed specifically
targeted them and them alone. Consequently, the Court will
examine whether plaintiffs made a clear showing that harm had
been inflicted on Hoke County students_-the zone of interest in
this declaratory judgment action-_and whether the trial court's
imposed remedies serve as proper redress for such demonstrated
harm.
[1] In the wake of this Court's decree in
Leandro and
upon remand to the trial court, the party status of the local
school boards immediately became a subject of dispute between the
designated parties, and the school boards' capacity to seek
redress remains an issue in this litigation. At trial, the State
and State Board of Education, as defendants, argued that since
the local boards had no right to an opportunity for a sound basic
education, they lacked the capacity to sue as plaintiffs for an
alleged violation of such a right. The trial court denieddefendants' motion to dismiss the local boards as parties to the
case. We conclude that the trial court was correct.
Although defendants assign error to the trial court's
decision to allow the local school boards to continue as parties
in the civil action at issue, they offer no arguments to that
effect in their brief to this Court. As a consequence, the issue
is considered abandoned under this Court's appellate rules. N.C.
R. App. P. 28(b)(6) (2004). However, because subsequent
litigation in this case might properly present this issue, we
will address the merits. Our examination of the issue reveals no
reason to disturb the conclusion of the trial court. Throughout
the trial, the school boards, as administrators and overseers of
their respective districts, were positioned as interested parties
who participated in providing educational services to student
plaintiffs. As such, the school boards clearly held a stake in
the trial court's determination of whether or not the student
plaintiffs were being denied their right to an opportunity to
obtain a sound basic education. At trial, defendants argued that
the school boards should be dismissed as parties because, as
state-created entities, they enjoyed no entitlement to the right
established in
Leandro-- namely, a child's individual right of an
opportunity to a sound basic education. While it is true that
the school boards are not among those endowed with such a right,
and thus they have no justiciable claims based on its
infringement or denial, in our view, the school boards were
properly maintained as parties because the ultimate decision of
the trial court was likely to: (1) be based, in significant
part, on their role as education providers; and (2) have an
effect on that role in the wake of the proceedings. Although the parties in this case are referred to as
plaintiffs and defendants, we note that this civil action was
filed as a declaratory judgment action pursuant to section 1-253
of the General Statutes. While such actions require that there
be a genuine controversy to be decided,
see Lide v. Mears,
231
N.C. 111, 117-18, 56 S.E.2d 404, 409 (1949), they do not require
that the participating parties be strictly designated as having
adverse interests in relation to each other. In fact,
declaratory judgment actions, by definition, are premised on
providing parties with a means for [c]ourts of record . . . to
declare rights,
status, and other legal relations among such
parties. N.C.G.S. § 1-253 (emphasis added). In addition,
section 1-260 of the General Statutes declares plainly that
[w]hen declaratory relief is sought, all persons shall be made
parties who have or claim any interest which would be affected by
the declaration. N.C.G.S. § 1-260 (2003). Thus, while the
precise party designation--
i.e., plaintiffs--of the school boards
may not have been readily discernible at the time of the trial,
the nature of the parties' claims was such that: (1) they sought
a declaration of rights, status, and legal relations of and among
the parties; and (2) any declaration of the rights, status, and
legal relations of and among the parties would affect the role
played by the school boards in providing the state's children
with the opportunity to obtain a sound basic education. As a
result, we conclude that the trial court did not err in denying
defendants' motion to dismiss the school boards as parties to the
instant case.
(See footnote 6)
Defendants also assign error to one of two
amendments plaintiffs made to their complaint in the wake of the
Leandro decision.
On 23 January 1998, plaintiffs first amended
their existing complaint to replace paragraphs 2, 4, 9, and 11,
providing for substitute plaintiff-school children from Hoke,
Halifax, Cumberland, and Vance Counties. The changes also
included the addition of paragraph 7(a), which provided for a
plaintiff-schoolchild from Robeson County. The amendments of 23
January 1998 were allowed by the trial court, without any
objection by the State.
[2]However, the State did object to a subsequent
amendment, which was added by plaintiffs at the behest of the
trial court. The newly amended complaint, dated 15 October 1998,
added paragraph 74(a), which reads as follows:
Many children living in poverty in
plaintiff districts begin public school
kindergarten at a severe disadvantage. They
do not have the basic skills and knowledge
needed for kindergarten and as a foundation
for the remainder of elementary and secondary
school. In view of the lack of
prekindergarten services and programs in
these districts, many children living in
poverty as well as other children are not
receiving an opportunity for a sound basic
education. The plaintiff school districts do
not have sufficient resources to provide the
prekindergarten and other programs and
services needed for a sound basic education.
In its motion and arguments to the trial court, the State
contended that the new allegations pertain to matters that are
wholly irrelevant to the question whether any plaintiff student
is being denied his or her right to an opportunity for a sound
basic education. In addition, the State argued that any questionconcerning the proper age for public school eligibility or
attendance was a purely political question, and as such was
nonjusticiable under separation of powers principles.
See, e.g.,
Lake View Sch. Dist. v. Huckabee, 351 Ark. 31, 82, 91 S.W.3d 472,
502 (2002) (holding that implementing pre-kindergarten programs
was a policy matter reserved for the legislature and that the
trial court had no authority to order the legislature to
establish them, even as a remedy for constitutionally inadequate
schools),
cert. denied, 538 U.S. 1035, 155 L. Ed. 2d 1066 (2003).
However, in denying defendants' motion to strike the
amendment, the trial court, in an order dated 9 February 1999,
concluded that under the
Leandro doctrine and the North Carolina
Constitution, the right to an opportunity to receive a sound
basic education in the public schools is not to be conditioned
upon age, but rather upon the need of the particular child. As
a consequence, the trial court found that the added paragraph
adequately allege[s] that the lack of pre-kindergarten programs
deprives certain children of the opportunity for a sound basic
education, (emphasis added,) and ruled that such allegations
raised a valid factual question to be determined upon the
evidence presented.
We agree with the trial court's ruling, at least to the
extent that it permitted plaintiffs to present evidence on the
issue, for two reasons. In
Leandro,
this Court held that the
state's Constitution guarantee[s] every child of this state an
opportunity to receive a sound basic education in our public
schools. 346 N.C. at 347, 488 S.E.2d at 255. However, the
extent of the guarantee, as expressed in
Leandro, was not
entirely clear. Is it limited to those children who attainschool-age eligibility, as determined by the General Assembly, or
does it extend to those about to enter the public school system?
In other words, are four-year-olds guaranteed the right to
demonstrate that they are in danger of being denied an
opportunity for a sound basic education by virtue of their
circumstances or are they precluded from doing so because they
are not yet members of the right-bearing school children class?
At the point of the trial court's order, that question had yet to
be answered and, in our view, was ripe for evidentiary
proceedings and consideration by the trial court. We also find
persuasive the trial court's finding that the General Assembly
has enacted legislation that affords certain rights to particular
four-year-olds who would not otherwise qualify as school
children--namely, those four-year-olds that meet the criteria for
being gifted and mature. Section 115C-364(d) of the General
Statutes entitles such four-year olds to enroll in kindergarten.
Keeping in mind that the
pre-trial question at issue was not
whether the trial court properly determined that either at-risk
or other four-year-olds are similarly positioned in relation to
their four-year-old gifted and mature counterparts, but
rather whether the former group may present evidence showing they
are or should be considered as similarly positioned, we conclude
that the trial court properly denied the State's motion to strike
paragraph 74a of the amended complaint. Thus, any relevant
evidence concerning the allegations in paragraph 74a was properly
determined to be admissible at trial.
We conclude our evaluation of the case's procedural
posture with a caveat concerning the trial court's
characterization of this Court's holding in
Leandro. Under the
Leandro doctrine and the North Carolina Constitution, the trial
court concluded, the right to an opportunity to receive a sound
basic education in the public schools is not to be conditioned
upon age but
rather upon the need of the particular child.
(Emphasis added.) This Court disagrees with the italicized
portion of the trial court's characterization. We read
Leandro
and our state Constitution, as argued by plaintiffs, as according
the right at issue to all children of North Carolina, regardless
of their respective ages or needs. Whether it be the infant Zoë,
the toddler Riley, the preschooler Nathaniel, the at-risk
middle-schooler Jerome, or the not at-risk seventh-grader
Louise, the constitutional right articulated in
Leandro is vested
in them all. As a consequence, we note that the initial question
before us is not whether that right exists but whether that right
was shown to have been violated. In addition, we note that if
such a violation was indeed established by the evidence at trial,
this Court must then consider whether the trial court properly
determined when and how the right was violated, by whom, and
finally, if the remedy imposed was appropriate.
IV. Defendants' First Issue
The Court now turns its attention to the substantive
issues brought forward on appeal by the State. In its first
question presented to this Court, the State contends that the
trial court erred by applying the wrong standards for
determining: (1) when a student has obtained a sound basic
education; (2) causation (for a student's failure to obtain a
sound basic education); and (3) the State's liability (for astudent's failure to obtain a sound basic education).
(See footnote 7)
In
further support of its initial argument, the State proffers three
subarguments, which allege and target specific evidentiary lapses
and flaws in the trial court's reasoning. In its argument
labeled I(A), the State contends that the trial court erred by
using standardized test scores as the exclusive measure of
whether students were obtaining a sound basic education. In
argument I(B), the State argues that the trial court erred by
concluding that a denial of the right to a sound basic education
could be inferred from the number of socio-economically
disadvantaged (at-risk) students scoring below Level III
proficiency on standardized tests. And in argument I(C), the
State contends that the trial court erred when it held the State
responsible for administrative decisions made by local school
boards.
From a purely structural standpoint, the Court finds it
difficult to construct its opinion on this issue in a fashion
that strictly comports with the State's presentation. The State
presents an initial question that breaks down into three separate
parts, then offers three subarguments without referencing
which
part of the primary argument they are intended to support.
Further compounding the logistical problem is--how best to say?--
the free-wheeling nature of the trial court's order, which is
composed of four separate memoranda of law that total over 400pages. We recognize that the trial court faced a formidable task
in evaluating the evidence presented at trial and emphasize that
our characterization of the order is not intended to be critical
of the trial court's efforts. Nevertheless, the order's relevant
conclusions-_those under assault by the State in its first
question presented--are peppered throughout the breadth of the
document and do not correspond, from any structural standpoint,
to the State's arguments. As a consequence, the Court is left
with no choice but to chart a course of its own. Generally, we
will structure this section in line with the State's initial
three-part question: Did the trial court apply the wrong
standards for determining: (1) when a student has failed to
obtain a sound basic education; (2) causation for any such proven
failure; and (3) the State's liability for such failure? While
working within that basic framework, we will also address, as
appropriate, the State's three supporting subarguments.
In
Leandro, this Court decreed that the children of the
state enjoy the right to avail themselves of the opportunity for
a sound basic education. 346 N.C. at 347, 488 S.E.2d at 255 (We
conclude that Article I, Section 15
(See footnote 8)
and Article IX, Section 2
(See footnote 9)
of the North Carolina Constitution combine to guarantee every
child of this state an opportunity to receive a sound basic
education in our public schools.)(footnotes added). The Courtthen proceeded to declare that [a]n education that does not
serve the purpose of preparing students to participate and
compete in the society in which they live and work is devoid of
substance and is constitutionally inadequate.
Id. at 345, 488
S.E.2d at 254. Ultimately, the Court defined a sound basic
education as one that provides students with at least: (1)
sufficient knowledge of fundamental mathematics and physical
science to enable the student to function in a complex and
rapidly changing society; (2) sufficient fundamental knowledge of
geography, history, and basic economic and political systems to
enable the student to make informed choices with regard to issues
that affect the student personally or affect the student's
community, state, and nation; (3) sufficient academic and
vocational skills to enable the student to successfully engage in
post-secondary education or vocational training; and (4)
sufficient academic and vocational skills to enable the student
to compete on an equal basis with others in formal education or
gainful employment in contemporary society.
Id. at 347, 488
S.E.2d at 259.
After declaring a child's constitutional right to the
opportunity to receive a sound basic education and defining the
elements of such an education, the Court concluded that some of
the allegations in plaintiffs' complaint stated claims upon which
relief may be granted and ordered the case remanded to the trial
court to permit plaintiffs to proceed on such claims.
Id. at
355, 488 S.E.2d at 261. The Court in
Leandro also provided
instructive guidelines to the trial court, delineating a list of
evidentiary factors the trial court should consider at trial.
Id. at 355-57, 488 S.E.2d at 259-60. Among such factors were: (1) the level of performance of the children on standardized
achievement tests; (2) any educational goals and standards
adopted by the legislature;
(See footnote 10)
(3) the level of the State's
general educational expenditures and per-pupil expenditures; and
(4) any other factors that may be relevant for consideration when
determining educational adequacy issues under the Constitution.
Id. Finally, the Court in
Leandro established the standard of
proof plaintiffs must meet in making their case.
Id. at 357, 488
S.E.2d at 261. [T]he courts of the state must grant every
reasonable deference to the legislative and executive branches
when considering whether they have established and are
administering a system that provides the children of the various
school districts of the state a sound basic education[,] and a
clear showing to the contrary must be made before the courts may
conclude that they have not.
Id. Only such a clear showing
will justify a judicial intrusion into an area so clearly the
province,
initially at least, of the legislative and executive
branches as the determination of what course of action will lead
to a sound basic education.
Id. (emphasis added).
[3] We begin our examination under the umbrella of the
State's first argument--namely, whether there was a clear showing
of evidence supporting the trial court's conclusion that the
constitutional mandate of
Leandro has been violated [in the Hoke
County School System] and action must be taken by both the LEA
[Local Educational Area] and the State to remedy the violation. After a comprehensive examination of the record and arguments of
the parties, this Court concludes that the trial court was
correct as to this issue and thus we affirm, albeit with
modifications. Discussion of the trial court's imposed remedies
concerning specific violation(s) will immediately follow.
At trial, plaintiffs presented evidence that, in
accordance with
Leandro, can be categorized as follows: (1)
comparative standardized test score data; (2) student graduation
rates, employment potential, post-secondary education success
(and/or lack thereof); (3) deficiencies pertaining to the
educational offerings in Hoke County schools; and (4)
deficiencies pertaining to the educational administration of Hoke
County schools. The first two evidentiary categories fall under
the umbrella of outputs, a term used by educators that, in sum,
measures student performance. The remaining two evidentiary
categories fall under the umbrella of inputs, a term used by
educators that, in sum, describes what the State and local boards
provide to students attending public schools. We examine each
evidentiary category in turn.
Plaintiffs presented extensive documentary evidence
concerning standardized test scores of students in Hoke County
and from around the state, and provided testimony from
educational experts for purposes of evaluating Hoke County's
tests scores and comparing them with other test scores from
around the state. The aim of the standardized test score
evidence was twofold. First, plaintiffs sought to demonstrate
that the measure of test score constitutional compliance was
whether an ample number of Hoke County students were attaining a
Level III proficiency in the subjects tested. Second,plaintiffs sought to demonstrate that too many Hoke County
students were failing to achieve the required Level III
proficiency. Thus, in plaintiffs' view, if Level III
proficiency is required, and an inordinate number of Hoke County
students are failing to meet it, such a finding would contribute
to a clear and convincing showing that Hoke County students were
being denied an opportunity to obtain a sound basic education.
See Leandro,
346 N.C. at 355, 488 S.E.2d at 259 (stating that
standardized achievement tests are one factor the trial court
should consider in determining whether any of the state's
children are being denied the opportunity for a sound basic
education).
At trial, plaintiffs presented evidence concerning
standardized End of Grade (EOG) and End of Class (EOC) test
scores and argued that the scoring standard of Level III
proficiency should be used as the measure of whether a student
had obtained a sound basic education in the subject area being
tested. The State Board of Education has defined Level III
proficiency thusly: Students performing at this level
consistently demonstrate mastery of the course subject matter and
skills and are well prepared to be successful at a more advanced
level in the content area. In contrast, the State argued that
the standards in
Leandro are satisfied when a student achieves
Level II proficiency. The State Board of Education defines Level
II proficiency thusly: Students performing at this level
demonstrate inconsistent mastery of knowledge and skills of the
course and are minimally prepared to be successful at a more
advanced level in the content area. After considering the evidence and arguments from both
sides, the trial court ruled that Level III proficiency was the
required standard. The trial court rejected the State's argument
that Level II proficiency more closely describes the minimal
level of performance which is indicative of a student being on
track to acquire a
Leandro-comporting education and concluded
that: (1) a student who is performing below grade level (as
defined by Level I or Level II) is not obtaining a sound basic
education under the
Leandro standard; and (2) a student who is
performing at grade level or above (as defined by Level III or
Level IV) is obtaining a sound basic education under the
Leandro
standard.
On appeal, although the State assigned error to the
trial court's conclusion concerning the Level III standard, it
made no argument to that effect in its brief. As a consequence,
the issue is considered abandoned under the appellate rules.
N.C. R. App. P. 28(b)(6). In addition, our own examination of
the issue reveals no grounds to disturb the trial court's
findings and preliminary conclusions pertaining to the question
of which test score standard should be used. As a consequence,
we find no error in the trial court's ruling that a showing of
Level III proficiency is the proper standard for demonstrating
compliance with the
Leandro decision.
With Level III proficiency established as the standard-
bearer for test score evidence, we turn our attention to whether
the number of Hoke County students failing to achieve Level III
proficiency is inordinate enough to be considered an appropriate
factor in the trial court's determination that a large group ofHoke County students have been improperly denied their
opportunity to obtain a sound basic education.
At trial, EOG and EOC test scores from across the state
and from Hoke County were submitted into evidence. In addition,
education and testing experts were called to testify about what
the scores mean, how statewide scores compare to those of Hoke
County, and what such comparisons might indicate. In its third
memorandum of decision, the trial court initially assessed the
quantitative elements of the test score evidence and concluded
that it clearly shows that Hoke County students are failing to
achieve Level III proficiency in numbers far beyond the state
average. In turn, the trial court then proceeded to conclude
that the failure of such a large contingent of Hoke County
students to achieve Level III proficiency is indicative that they
are not obtaining a sound basic education in the subjects tested.
As a consequence, the trial court ultimately concluded that the
test score statistics and their analysis qualified
as
contributing evidence that Hoke County students were being denied
their constitutional right to the opportunity for a sound basic
education. In other words, evidence tending to show Hoke County
students were faring poorly in such standardized test subject
areas as mathematics, English, and history was relevant to the
primary inquiry: Were Hoke County students being denied the
opportunity to obtain an education that comports with the
Leandro
mandate--one in which students gain sufficient knowledge of
fundamental math, science, English, and history in order to
function in society and/or to engage in post-secondary education
or vocational training. 346 N.C. at 347, 488 S.E.2d at 255. We
agree with the trial court's assessment that test score evidenceindicating Hoke County student performance in subject areas that
correspond to the very core of this Court's definition of a sound
basic education is relevant to the inquiry at issue.
(See footnote 11)
In analyzing the test score data and the opinions of
those who testified about them, the trial court noted that the
score statistics showed that throughout the 1990s, Hoke County
students in all grades trailed their statewide counterparts for
proficiency by a considerable margin. For example, in 1997-98,
only 46.9% of Hoke students scored at Level III or above in
algebra while the state average was 61.6%. Similar disparities
occurred in other high school subjects such as Biology, English,
and American History. Other test data reflected commensurate
results in lower grades. For example, in grades 3-8, Hoke County
students trailed the state average in each grade, with gaps
ranging from 11.7% to 15.1%.
In addition, the trial court noted that Hoke County
students fared poorly in comparison with the state's other
students in computer skills testing (51.2% passing in Hoke, 74.8%passed statewide), and the high school competency test (52.7%
passed in Hoke, 68.4% passed statewide). The trial court also
considered the findings of a state education assistance team, who
worked at South Hoke Elementary School. The team determined that
test scores showed Hoke County elementary school students were
deficient in higher order thinking skills, such as problem
solving.
In assessing the data and associated evidence and
testimony, the trial court concluded that the test results showed
Hoke County students were performing throughout the 1990s at
deficient academic levels. As a consequence, the trial court
deemed the evidence relevant to the preliminary question of
whether Hoke County students were obtaining a sound basic
education and the ultimate question of whether they were being
denied an opportunity to obtain such an education.
In its brief, the State contends, at great length, that
the trial court erred by using test scores as the exclusive
measure of a constitutionally adequate education. However, as
we proceed in our analysis, the Court notes that the record
reflects that the trial court considered output evidence beyond
the realm of test scores, and that evidence such as graduation
rates, dropout rates, post-secondary education performance,
employment rates and prospects, comports with both this Court's
definition of a sound basic education
and the factors we provided
the trial court to consider upon remand. Thus, we reject the
State's contention that the trial court used test scores as the
exclusive measure of a sound basic education.
In continuing our examination of the trial court's
order, we move next to the trial court's conclusion thatadditional output evidence--
e.g., graduation rates, dropout
rates, employment potential, and post-secondary education
readiness--further demonstrates that an unacceptably high number
of Hoke County students are failing to obtain a sound basic
education. In considering evidence concerning dropout and
graduation rates, the trial court found that in the mid-1990s
only 41% of Hoke County freshmen went on to graduate--a retention
rate that was 19% lower than the state average and was the worst
retention rate in the state's 100 counties. The trial court went
on to conclude that the evidence showed that the primary reason
Hoke County's dropout rate was so high was that a great number of
Hoke students are not well prepared for high school and that
students who do not do well in the early grades are more likely
than other students to later drop out of school.
As for the effect of such a high dropout rate, the
trial court concluded that the failure of large percentages of
Hoke County students to complete high school not only results in
those children who leave having failed to obtain a sound basic
education but is also evidence of a systematic weakness . . .
in meeting the needs of many of [Hoke County's] students.
As for those students who did graduate, the trial
court's assessment was no less bleak. After considering evidence
concerning the employment potential and post-secondary education
potential for Hoke County graduates, the trial court concluded
that many among the graduates had not obtained a sound basic
education in that the evidence showed they are poorly prepared
to compete on an equal basis in gainful employment and further
formal education in today's contemporary society. In support of
its conclusion, the trial court cited to numerous examples ofHoke County graduates who pursued employment or who pursued
further education at the college level.
For example, evidence from Hoke County employers
indicated that local graduates are not qualified to perform even
basic tasks that are needed for the jobs available. At least
three of Hoke County's major employers testified and/or offered
evidence at trial, and all three described similar problems in
considering Hoke graduates for employment. The president of a
farm services company testified that he frequently received
applications from Hoke graduates for entry-level positions at his
firm. Such positions require the employee to read labels on
products and to perform basic math skills, such as calculating
chemical percentages for fertilizer mixing. According to the
witness, Hoke graduate applicants often lacked such basic reading
and math skills and as consequence, they had to be specially
trained. A representative from Burlington Industries offered a
similar perspective. Entry-level employees at his plant must be
able to operate machinery and to use computers, and many of the
local applicants lacked the basic skills required to learn how to
run the machines or computers. As a result, the company
developed a remedial program called REACH, which is a computer-
based learning program that teaches reading, math, and computer
literacy skills. The goal of the program is to bring new
employees up to a 10.9 grade level for basic math, reading and
computer skills. Nearly 180 Hoke high school graduates have
participated in the program. Of those, 26 percent entered in the
REACH course at below the seventh-grade level and 67 percent
initially tested at the ninth-grade level or below. Hoke County
high school graduates who applied to Unilever, another majorlocal employer, yielded similar test scores, and none was hired
by the company. According to a company representative, many of
the Hoke County graduate applicants showed poor writing skills
and an inability to follow instructions in their applications.
Similar application and skills shortcomings were described by a
fourth employer, who said one out of twenty-seven Hoke County
high school graduates had been hired by his firm, a turkey
hatchery.
As a consequence of such testimony, the trial court
concluded that plaintiffs had demonstrated that even a Hoke
County high school diploma failed to provide graduates with the
skills necessary to compete on an equal basis with others in
contemporary society's gainful employment ranks, which is one of
the four measures defining a constitutionally conforming sound
basic education. In our view, the trial court's conclusion is
amply supported by the evidence, and further supports the trial
court's ruling that a disproportionate number of Hoke County
school children are failing to obtain a sound basic education.
As for Hoke County graduates who pursue post-secondary
education options, the trial court concluded that Hoke County
graduates are generally not well prepared to go on to community
college or into the university system. In its memoranda of law,
the trial court approached the post-secondary education question
thusly: [I]n determining whether [Hoke County schools are]
providing a sound basic education, it is relevant to consider
college admission and performance data and whether students
graduating from [Hoke County schools] need remediation in order
to do post-secondary education work. In addition to considering
evidence concerning Hoke County graduates' ability to performupon entering the collegiate ranks, the trial court also weighed
evidence concerning their ability to complete post-secondary
education studies.
For example, the evidence presented at trial showed
that 55 percent of Hoke County graduates attending community
college in 1996 were placed in one or more remedial classes for
core subjects such as reading and mathematics. In addition, Hoke
County graduates' grades for such courses were poor; as a group,
they averaged a 1.8 (D+) on a four-point scale in remedial
reading and a 2.1 (C-) in remedial math. Of those Hoke County
graduates taking regular math and science courses at the
community college level, the average grades were, respectively, a
1.8 (D+) and a 1.8 (D+).
(See footnote 12)
Evidence concerning those Hoke County graduates who
attended North Carolina's university (UNC) system demonstrated
their prospects were even worse. Hoke County graduates in the
UNC system were required to take remedial core courses at nearly
double the rate of the statewide counterparts. Moreover, Hoke
County graduates were placed in advanced placement English
classes at half the rate (6.4%) of public school students from
around the state (12.2%), and not one of Hoke County's forty-
seven entering freshman enrolled in honors courses. Students
from the state's other ninety-nine counties enrolled in honors
courses at a 6.7% rate. Other evidence demonstrated that Hoke County graduates
fared poorly when it came to grades in core courses and that they
consistently trailed behind the average grades attained by other
public school graduates from around the state. Moreover,
evidence concerning college completion rates for Hoke County
graduates revealed the following: (1) While 34.1% of all North
Carolina public school graduates enrolled as freshman returned
for a second year with a GPA of 2.0 or better, just 16.4% of Hoke
County graduates did the same; (2) While 62.7% of all North
Carolina public school graduates who entered the UNC system
returned for their third year of college with a 2.0 GPA or
better, only 44.4% of Hoke graduates did the same; and (3) From
1993-1997, 51.6% of all North Carolina high school students who
entered the UNC system graduated within five years, while just
31.3% of Hoke County graduates did the same.
In assessing the evidence presented concerning Hoke
County student post-secondary education prospects and
achievements, the trial court concluded that Hoke graduates were
not well prepared to go on to community college or into the
university system and that such students, as a whole, performed
inadequately in either collegiate environment. In addition,
because obtaining the knowledge and skills needed to compete on
an equal basis in post-education settings is one of the four
elements defining a sound basic education,
see Leandro, 346 N.C.
at 347, 488 S.E.2d at 255, the trial court ruled that the
evidence provided a clear showing that a great number of Hoke
County graduates were failing to obtain such an education.
After reviewing the post-secondary education-related
evidence and the trial court's conclusions concerning suchevidence, this Court concludes that the trial court's ruling was
premised on a clear evidentiary showing. As a consequence, we
affirm the trial court on this issue.
Thus, to this point, we summarize our analysis. In the
realm of outputs evidence, we hold that the trial court
properly concluded that the evidence demonstrates that over the
past decade, an inordinate number of Hoke County students have
consistently failed to match the academic performance of their
statewide public school counterparts and that such failure,
measured by their performance while attending Hoke County
schools, their dropout rates, their graduation rates, their need
for remedial help, their inability to compete in the job markets,
and their inability to compete in collegiate ranks, constitute a
clear showing that they have failed to obtain a
Leandro-
comporting education. As a consequence of so holding, we turn
our attention to inputs evidence--evidence concerning what the
State and its agents have provided for the education of Hoke
County students--in an effort to determine the following two
contingencies: (1) Does the evidence support the trial court's
conclusion that the State's action and/or inaction has caused
Hoke County students not to obtain a sound basic education and,
if so; (2) Does such action and/or inaction by the State
constitute a failure to meet its constitutional obligation to
provide Hoke County students with the opportunity to obtain a
sound basic education, as defined in
Leandro?
It is one thing for plaintiffs to demonstrate that a
large number of Hoke County students are failing to obtain a
sound, basic public education. It is quite another for
plaintiffs to show that such a failure is primarily the result ofaction and/or inaction of the State, which argues in this appeal
that the trial court erred by concluding that a combination of
State action and inaction resulted in the systematic poor
performance of Hoke County students and graduates.
In defense of its educational offerings in Hoke County
at trial, the State attempted to show that its combination of
inputs--
i.e., expenditures, programs, teachers, administrators,
etc.-- added up to be an aggregate that met or exceeded this
Court's definition of providing students with an opportunity for
a sound basic education. In addition, both at trial and in this
appeal, the State contended that the evidence showed the
following: (1) That the educational offerings it provides in
Hoke County have improved significantly since the mid-nineties;
(2) That such improvements are part and parcel of the State's own
recognition of ongoing problems and the need to address them; (3)
That if a cognizable group of students within Hoke County are
failing to obtain a sound basic education, it is due to factors
other than the educational offerings provided by the State; and,
(4) That many of the deficiencies that may exist in the
educational offerings of Hoke County are due to the
administrative shortcomings of the semi-autonomous local school
boards.
Plaintiffs, on the other hand, contend that the
evidence at trial clearly showed that the State had consistently
failed to provide Hoke County schools with the resources needed
to provide students with the opportunity to obtain a sound basic
education. In addition, plaintiffs argue that the evidence shows
that Hoke County students have consistently failed to match the
achievements of their statewide counterparts (
see outputsdiscussion, above) because the State has failed to: (1) provide
adequate teachers and/or administrators; (2) provide the funding
necessary to offer each student the opportunity to obtain a sound
basic education; (3) recognize the failings of Hoke County
students as a whole; and (4) implement alternative educational
offerings that have and/or would address and correct the problems
that have placed and/or place Hoke County students
at risk of
academic failure.
(See footnote 13)
In the portion of its order that addresses the inputs
evidence introduced at trial, the trial court considered evidence
concerning four components of the State's Educational DeliverySystem. In sum, the trial court found that the State's general
curriculum, teacher certifying standards, funding allocation
systems, and education accountability standards met the basic
requirements for providing students with an opportunity to
receive a sound basic education. As a consequence, the trial
court concluded that the bulk of the core of the State's
Educational Delivery System . . . is sound, valid and meets the
constitutional standards enumerated by
Leandro.
After so concluding, the trial court then went on to
describe its next two missions: (1) to determine whether the
State's Education Delivery System is providing the means for Hoke
County's students to avail themselves of an opportunity to obtain
a sound basic education; and (2) to determine whether the State's
Education Delivery System is providing the means for at-risk
children to avail themselves of an opportunity to obtain a sound
basic education. However, at some juncture in the proceedings,
it appears that the trial court combined these two discrete
inquiries into a single entity--namely, whether the at-risk
children of Hoke County are being denied the opportunity to
obtain a sound basic education.
(See footnote 14)
The distinction is far from technical or trivial. We
refer back to the outputs evidence described and assessed by
this Court at the beginning of Part IV, above
. While we have
already concluded that such evidence was ample to demonstratethat an inordinate number of Hoke County students have not
obtained a sound basic education over the last decade, we have no
way of determining whether: (1) such failure is strictly limited
only to children who were at-risk students; or (2) such failure
extended to other children who do not meet the definition of at-
risk students.
(See footnote 15)
Thus, if the trial court's conclusions and/or
remedies target only at-risk students, it cannot be assumed
that all or even most non at-risk students are being afforded
their opportunity to obtain a sound basic education. Our review
of the record reveals no showing, pro or con, that the plight of
non at-risk students in Hoke County was considered by the trial
court in the wake of its second memorandum. As a consequence,while we must limit our review of the trial court's order to its
conclusions concerning at-risk students, we cannot and do not
offer any opinion as to whether non at-risk students in Hoke
County are either obtaining a sound basic education or being
afforded their rightful opportunity by the State to obtain such
an education.
In confining the parameters of our holding to the trial
court's findings and conclusions concerning at-risk students
within the Hoke County school system, we turn our attention back
to the trial court's evidentiary findings and conclusions
relating to whether the State has adequately provided for Hoke
County schools and whether the State has in place an ample
mechanism for dealing with the educational needs of [']at-
risk['] children.
In addition to finding that, as a general proposition,
the State's Funding Delivery System for education was adequate,
the trial court also concluded that it is not yet convinced by
the evidence that the State of North Carolina is not presently
putting sufficient funds in place to provide each child with the
equal opportunity to obtain a sound basic education. We note
that the trial court went to great lengths in its efforts to
convey its view that the evidence offered no definitive showing
that the State's overall funding, resources, and programs scheme
lacked the essentials necessary to provide a sound basic
education. In addition, the trial court made clear that from an
overall resources-providing perspective, the holding in
Leandro
established that a resources-providing scheme that includes local
contributions is not constitutionally defective if it results in
unequal funding for one LEA in comparison to another. However, the trial court also made clear that, in its
view, the applicable holding in
Leandro, when stripped to its
essence, was limited to circumstances in which such unequal
funding resulted from local contributions that increased funding
beyond that required to provide a sound basic education. In
other words, while some LEAs may enjoy elevated funding beyond
that which provides a sound basic education, no LEA may be funded
in such a fashion that it fails to provide the resources required
to provide the opportunity for a sound basic education. Thus, in
the trial court's view, LEAs are entitled to funding by the State
sufficient to provide all students, irrespective of their LEA,
with at a minimum, the opportunity to obtain a sound basic
education. We concur with the trial court's view.
With regard to the State's education resource
allocations to Hoke County in particular, the trial court said it
was convinced that neither the State nor . . . [the Hoke County
School System] are strategically allocating the available
resources to see that at-risk children have the equal opportunity
to obtain a sound basic education. Accordingly, the trial court
initially directed the State and the school district to conduct
self-examinations of the present allocation of resources and to
produce a rational[], comprehensive plan which strategically
focuses available resources and funds towards meeting the needs
of all children, including at-risk children[,] to obtain a sound
basic education.
Concerning the State's argument that the trial court
erred in concluding that the State was liable for its failings in
Hoke County schools, we note that the trial court later modified
this portion of its order to exclude the Hoke County SchoolSystem from responsibility for correcting allocation
deficiencies, reasoning that since the LEA was a subdivision of
the State created solely by the State, it held no authority
beyond that accorded it by the State. As a consequence of the
LEA's limited authority, the trial court concluded that the State
bore ultimate responsibility for the actions and/or inactions of
the local school board, and that it was the State that must act
to correct those actions and/or inactions of the school board
that fail to provide a
Leandro-conforming educational opportunity
to students.
In the State's view, any holding that renders the
State, and by the State we mean the legislative and executive
branches which are constitutionally responsible for public
education, accountable for local school board decisions somehow
serves to undermine the authority of such school boards. This
Court, however, fails to see any such cause and effect. By
holding the State accountable for the failings of local school
boards, the trial court did not limit either: (1) the State's
authority to create and empower local school boards through
legislative or administrative enactments, or (2) the extent of
any powers granted to such local school boards by the State.
Thus, the power of the State to create local agencies to
administer educational functions is unaffected by the trial
court's ruling, and any powers bestowed on such agencies are
similarly unaffected. In short, the trial court's ruling simply
placed responsibility for the school board's actions on the
entity--the State--that created the school board and that
authorized the school board to act on the State's behalf. In our
view, such a conclusion bears no effect whatsoever on the localschool board's ability to continue in administering those
functions it currently oversees or to be given broader and/or
more independent authority. As a consequence, we hold that the
State's argument concerning a diminished role for local school
boards as a result of the trial court's ruling is without merit.
Although the trial court explained that it was leaving
the nuts and bolts of the educational resources assessment in
Hoke County to the other branches of government, it ultimately
provided general guidelines for a
Leandro-compliant resource
allocation system, including the requirements: (1) that every
classroom be staffed with a competent, certified, well-trained
teacher; (2) that every school be led by a well-trained
competent principal; and (3) that every school be provided, in
the most cost effective manner, the resources necessary to
support the effective instructional program within that school so
that the educational needs of all children, including at-risk
children, to have the equal opportunity to obtain a sound basic
education, can be met. Finally, the trial court ordered the
State to keep the court advised of its remedial actions through
written reports filed with the trial court every ninety days.
In support of its conclusions and orders for remedial
action on the part of the State, the trial court declared that
the evidence showed that there are many students in Hoke County
schools who are not obtaining a sound basic education. (
See
Part IV,
above, pertaining to the analysis and discussion of
outputs evidence.) In assessing whether the State's funding,
resources, and programs for Hoke County schools met the needs of
its students, the trial court considered evidence showing that
an unusually high number of Hoke County school children havefactors that categorize them as at-risk students,
(See footnote 16)
and that
such at-risk students have special needs in order to avail
themselves of their guaranteed opportunity to obtain a sound
basic education. In addition, the trial court considered
evidence showing that the needs of such students were not being
met,
and concluded that the State's failure to meet such needs
had significantly impacted such students'
opportunity to obtain a
sound basic education. Specifically, in the trial court's view,
there was ample evidence demonstrating that the State was failing
both to identify at-risk students and to address their needs
with educational resources that would provide tutoring, extra
class sessions, counseling, and other programs that target at-
risk students in an effort to enable them to compete among their
non at-risk counterparts and thus avail themselves of their
right to the opportunity to obtain a sound basic education.
In our view, the trial court conducted an appropriate
and informative path of inquiry concerning the issue at hand.
After determining that the evidence clearly showed that Hoke
County students were failing, at an alarming rate, to obtain a
sound basic education, the trial court in turn determined that
the evidence presented also demonstrated that a combination of
State action and inaction contributed significantly to the
students' failings. Then, after concluding that the State'soverall funding and resource provisions scheme was adequate on a
statewide basis, the trial court determined that the evidence
showed that the State's method of funding and providing for
individual school districts such as Hoke County was such that it
did not comply with
Leandro's mandate of ensuring that all
children of the state be provided with the opportunity for a
sound basic education. In particular, the trial court concluded
the State's failing was essentially twofold in that the State:
(1) failed to identify the inordinate number of at-risk
students and provide a means for such students to avail
themselves of the opportunity for a sound basic education; and
(2) failed to oversee how educational funding and resources were
being used and implemented in Hoke County schools.
At that point, the trial court also concluded that the
State's failings, as demonstrated by the evidence, needed to be
rectified. As a consequence, it ordered the State to reassess
both its financial allocations and its other resource provisions
earmarked for Hoke County schools in order to make the schools
more effective in addressing the trial court's primary concern--
namely, to ensure that at-risk children in Hoke County are
afforded a chance to take advantage of their constitutionally-
guaranteed opportunity to obtain a sound basic education. In
ordering the State to reassess its Hoke County educational
obligations, the trial court struck a delicate balance between
interests. On the one hand, it ordered the State to examine and
find a resolution to a problem of constitutional proportion and
imposed some general guidelines for doing so-_
i.e., as the State
reassesses its Hoke County educational obligations, it must
structure its proposed solutions to ensure there are competentteachers in classrooms, competent principals in schoolhouses, and
adequate resources to sustain instructional and support programs
that will aid the county's school children to gain their
opportunity to obtain a
Leandro-comporting education. On the
other hand, the trial court refused to step in and direct the
nuts and bolts of the reassessment effort. Acknowledging that
the state's courts are ill-equipped to conduct, or even to
participate directly in, any reassessment effort, the trial court
deferred to the expertise of the executive and legislative
branches of government in matters concerning the mechanics of the
public education process.
In short, the trial court: (1) informed the State what
was wrong with Hoke County schools; (2) directed the State to
reassess its educational priorities for Hoke County; and (3)
ordered the State to correct any and all education-related
deficiencies that contribute to a student's inability to take
advantage of his right to the opportunity to obtain a sound basic
education. However, we note that the trial court also
demonstrated admirable restraint by refusing to dictate how
existing problems should be approached and resolved. Recognizing
that education concerns were the shared province of the
legislative and executive branches, the trial court instead
afforded the two branches an unimpeded chance, initially at
least,
see Leandro,
346 N.C. at 357, 488 S.E.2d at 261, to
correct constitutional deficiencies revealed at trial. In our
view, the trial court's approach to the issue was sound and its
order reflects both findings of fact that were supported by the
evidence and conclusions that were supported by ample and
adequate findings of fact. As a consequence, we affirm thoseportions of the trial court's order that conclude that there has
been a clear showing of a denial of the established right of Hoke
County students to gain their opportunity for a sound basic
education and those portions of the order that require the State
to assess its education-related allocations to the county's
schools so as to correct any deficiencies that presently prevent
the county from offering its students the opportunity to obtain a
Leandro-conforming education.
V. Proper School Age/Pre-Kindergarten
[4] The next two issues of the instant appeal by the
State are outgrowths of one another. As a consequence, we
address them in tandem. Initially, the State contends that the
trial court erred when it ruled that the proper age for school
children was a justiciable issue. In the State's view, the
proper age at which children should be permitted to attend public
school is a nonjusticiable political question reserved for the
General Assembly. To the extent that the State argues that
establishing the proper age parameters for starting and
completing school--
i.e., kindergarten, the entering class for
public school students, shall be composed of five-year-olds--we
agree. Article IX, Section 3 of the North Carolina Constitution
provides that [t]he General Assembly shall provide that every
child of appropriate age . . . shall attend the public schools.
Pursuant to such authority, the General Assembly has determined
that five-year-olds
may attend school and that seven-year-olds
must attend school. N.C.G.S. §§ 115C-364, -378 (2003). Our
reading of the constitutional and statutory provisions leads us
to conclude that the determination of the proper age for school
children has indeed been squarely placed in the hands of theGeneral Assembly. In addition, the United States Supreme Court
has defined issues as nonjusticiable when either of the following
circumstances are evident: (1) when the Constitution commits an
issue, as here, to one branch of government;
or (2) when
satisfactory and manageable criteria or standards do not exist
for judicial determination of the issue.
Baker v. Carr,
369 U.S.
186, 210, 7 L. Ed. 2d 663, 682 (1962). In our view, not only are
the applicable statutory and constitutional provisions persuasive
in and of themselves, but the evidence in this case demonstrates
that the trial court was without satisfactory or manageable
judicial criteria that could justify mandating changes with
regard to the proper age for school children. Thus, with regard
to the issue of whether the trial court erred by interfering with
the province of the General Assembly--establishing the
appropriate age for students entering the public school system--
we conclude that the trial court did so err. First, our state's
constitutional provisions and corresponding statutes serve to
establish the issue as the exclusive province of the General
Assembly and, second, there was no evidence at trial indicating
the trial court had satisfactory or manageable criteria that
would justify modifying legislative efforts. As a consequence,
the Court holds that any trial court rulings that infringed on
the legislative prerogative of establishing school-age
eligibility were in error.
[5] However, when considered in the context of the
related issue of pre-kindergarten programs, the crux of this
issue is less about whether school must be offered to four-year-
olds than it is about whether the State must help prepare those
students who enter the schools to avail themselves of anopportunity to obtain a sound basic education. While the General
Assembly may be empowered to establish the actual age for
beginning school, the question of whether the General Assembly
must address the particular needs of children prior to entering
the school system is a distinct and separate inquiry. For
example, the General Assembly, in its discretion, could establish
that mandatory school attendance begins at four years of age,
five years of age, or six years of age. However, the State's
power to establish such an age does not answer the question of
whether or not it must address the particular needs of those
children who are, or are approaching, the established age for
school admission. Thus, the issue before us is less about at-
risk four-year-olds than it is about at-risk children
approaching and/or attaining school-age eligibility as
established by the General Assembly.
In our view, the evidence presented at trial clearly
supported these findings and conclusions by the trial court: (1)
A large number of Hoke County students had failed to obtain a
sound basic education; (2) A large number of Hoke County students
were being denied their rightful opportunity to a sound basic
education because the State had failed in its duty to provide the
necessary means for such an opportunity; (3) There were an
inordinate number of at-risk students attending Hoke County
schools; (4) The special needs attendant to such at-risk
students were not being met; and (5) It was ultimately the
State's responsibility to meet the needs of at-risk students in
order for such students to avail themselves of their right to the
opportunity to obtain a sound basic education.
See Part IV,
above.
In addition to ordering the State to reassess itsresource allocations to Hoke County schools in an effort to
improve them for students currently in attendance, the trial
court heard evidence concerning the plight of those children who
were about to enter the school system. Plaintiffs essentially
argued that such evidence was relevant because it would show that
the problem of at-risk students extended beyond those students
already in school and would thereby support additional remedies
that specifically targeted incoming students. Once the problems
of at-risk students had been demonstrated at trial, it was not
beyond the reach of the trial court to hear evidence concerning
whether preemptive action on the part of the State might assist
in resolving the problems of such at-risk students. Thus, we
conclude that because the evidence presented showed that at-
risk students in Hoke County were being denied their right to an
opportunity to obtain a sound basic education, the trial court
properly admitted additional evidence intended to show that
preemptive action on the part of the State should target those
children about to enroll, recognizing that preemptive action
affecting such children prior to their entering the public
schools might well be far more cost effective than waiting until
they are actually in the educational system.
We now turn our attention to the trial court's findings
and conclusions concerning at-risk children who are or were
about to enter the Hoke County school system. In paragraph 74a
of their complaint, plaintiffs alleged that many ['at-risk']
children living in [Hoke County] begin public school kindergarten
at a severe disadvantage. They do not have the basic skills and
knowledge needed for kindergarten and as a foundation for the
remainder of . . . school. Plaintiffs also alleged that thelack of pre-kindergarten services and programs offered in Hoke
County deprived such students from receiving their opportunity
for a sound basic education, and said that [Hoke County] schools
do not have sufficient resources to provide the pre-kindergarten
and other programs and services needed for a sound basic
education. As relief for the allegations raised in paragraph
74a, plaintiffs sought an order from the trial court that would,
in essence, compel the State to provide remedial and preparatory
pre-kindergarten services to at-risk four-year-olds in Hoke
County.
In assessing the evidence presented at trial pertaining
to the allegations of paragraph 74a, the trial court found: (1)
that there was an inordinate number of at-risk children who
were entering the Hoke County school district; (2) that such at-
risk children were starting behind their non at-risk
counterparts; and (3) that such at-risk children were likely to
stay behind, or fall further behind, their non at-risk
counterparts as they continued their education. In addition, the
trial court found that the evidence showed that the State was
providing inadequate resources for such at-risk prospective
enrollees, and that the State's failings were contributing to the
at-risk prospective enrollees' subsequent failure to avail
themselves of the opportunity to obtain a sound basic education.
In support of its findings, the trial court tracked and noted the
number and percentage of prospective enrollees who ultimately
entered Hoke County schools as at-risk students, and referred
to other evidence demonstrating the students' lack of success as
they continued through school. As for evidence concerning the
State's failure to identify such at-risk prospective enrolleesand its failure to provide remedial services so such at-risk
students could avail themselves of a
Leandro-conforming
educational opportunity, the trial court found that the State's
current remedial programs for at-risk prospective enrollees in
Hoke County were limited to three pre-kindergarten classes
serving eighteen students each. Other testimony at trial
indicated that besides the fifty-four students who were attending
such remedial classes, there were over 300 more who would benefit
from such classes. The trial court additionally noted that the
three class offerings were funded by a combination of state
Smart Start and federal Title One monies.
As a consequence of its findings, the trial court
concluded that State efforts towards providing remedial aid to
at-risk prospective enrollees were inadequate. To that point
in the proceedings, we agree with the trial court, and hold that
the evidence supports its findings of fact and that its findings
support its conclusions of law. In our view, judging by its
actions, it appears that even the State concedes that at-risk
prospective enrollees in Hoke County are in need of assistance in
order to avail themselves of their right to the opportunity for a
sound basic education. Yet there is a marked difference between
the State's recognizing a need to assist at-risk students prior
to enrollment in the public schools and a court order compelling
the legislative and executive branches to address that need in a
singular fashion. In our view, while the trial court's findings
and conclusions concerning the problem of at-risk prospective
enrollees are well supported by the evidence, a similar
foundational support cannot be ascertained for the trial court's
order requiring the State to provide pre-kindergarten classes foreither all of the State's at-risk prospective enrollees or all
of Hoke County's at-risk prospective enrollees. Certainly,
when the State fails to live up to its constitutional duties, a
court is empowered to order the deficiency remedied, and if the
offending branch of government or its agents either fail to do so
or have consistently shown an inability to do so, a court is
empowered to provide relief
by imposing a specific remedy and
instructing the recalcitrant state actors to implement it.
See,
e.g.,
Reynolds v. Sims,
377 U.S. 533, 552, 12 L. Ed. 2d 506, 521
(1964) (upholding order adopting a temporary reapportionment plan
for Alabama legislature to ensure the plan complied with equal
protection requirements);
Faulkner v. Jones,
10 F.3d 226, 228-29
(4
th
Cir. 1993) (affirming lower court's order requiring that the
Citadel, an all-male state military college, allow female
plaintiff to enroll in its day program);
N.Y. State Ass'n for
Retarded Children v. Rockefeller,
357 F. Supp. 752, 768-69
(E.D.N.Y. 1973) (ordering recalcitrant state school to hire
additional staff and make specific repairs as a means to ensure
that the institution would meet minimum standards);
Stephenson v.
Bartlett, 357 N.C. 301, 304-05, 582 S.E.2d 247, 249-50 (2003)
(referring to the Court's prior approval of a trial court's
interim redistricting maps for use in the 2002 elections).
However, such specific court-imposed remedies are rare, and
strike this Court as inappropriate at this juncture of the
instant case for two related reasons: (1) The subject matter of
the instant case--public school education-_is clearly designated
in our state Constitution as the shared province of the
legislative and executive branches; and (2) The evidence and
findings of the trial court, while supporting a conclusion thatat-risk children require additional assistance and that the
State is obligated to provide such assistance, do not support the
imposition of a narrow remedy that would effectively undermine
the authority and autonomy of the government's other branches.
(See footnote 17)
While this Court assuredly recognizes the gravity of
the situation for at-risk prospective enrollees in Hoke County
and elsewhere, and acknowledges the imperative need for a
solution that will prevent existing circumstances from remaining
static or spiraling further, we are equally convinced that the
evidence indicates that the State shares our concerns and, more
importantly, that the State has already begun to assume its
responsibilities for implementing corrective measures. At the
time of the trial, Smart Start, a public-private partnership that
provides funds for early childhood welfare programs, was already
in place. While Smart Start is not principally a pre-
kindergarten education program, monies from the program often
help LEAs establish and maintain pre-kindergarten classes. Hoke
County and Charlotte-Mecklenburg schools were among a group ofLEAs that operated such programs when this case was being heard.
Although evidence at trial indicated that the State and
Charlotte-Mecklenburg schools were at odds over the effectiveness
of the latter's Bright Beginnings program, other testimony and
evidence showed that State officials: (1) recognized the need
for, and effectiveness of, early intervention programs like pre-
kindergarten; and (2) had authorized the establishment of such
programs by LEAs that desired them.
Meanwhile, plaintiffs and even the trial court seem to
suggest that the State's claims and evidence concerning the issue
amounted to little more than lip service, and that the evidence
at trial more accurately reflected a showing that the State, to
the point of the trial, had done nothing to provide for a
statewide pre-kindergarten program and had done nothing to expand
pre-kindergarten services to the nearly 300 other Hoke County
at-risk prospective enrollees who were eligible for such
classes. In further support of that view, this Court notes that
among all the reports submitted to the trial court by the State
since the trial concluded,
(See footnote 18)
the State makes no mention of its
efforts, continuing or otherwise, on behalf of at-risk
prospective enrollees in Hoke County. But even if this Court
were to concur fully with plaintiffs' view, we note that the
question before us does not concern the extent of the State's
compliance with the trial court's order regarding pre-
kindergarten for at-risk prospective enrollees in Hoke Countyschools, but
whether the State must comply with that portion of
the order. In our view, there is inadequate foundational support
for an order that compels the State to provide pre-kindergarten
services for all at-risk prospective enrollees in Hoke County.
At this juncture, the suggestion that pre-kindergarten is the
sole vehicle or, for that matter, a proven effective vehicle by
which the State can address the myriad problems associated with
such at-risk prospective enrollees is, at best, premature.
The evidence shows that the State recognizes the extent
of the problem--its deficiencies in affording at-risk
prospective enrollees their guaranteed opportunity to obtain a
sound basic education--and its obligation to address and correct
it. However, a single or definitive means for achieving
constitutional compliance for such students has yet to surface
from the depths of the evidentiary sea. Certainly, both sides
have conceded that pre-kindergarten is, and can be, an effective
method for preparing at-risk prospective enrollees for the
rigors of their forthcoming education. Nevertheless, neither
side has demonstrated to the satisfaction of this Court that it
is either the only qualifying means or even the only known
qualifying means. The state's legislative and executive branches
have been endowed by their creators, the people of North
Carolina, with the authority to establish and maintain a public
school system that ensures all the state's children will be given
their chance to get a proper, that is, a
Leandro-conforming,
education. As a consequence of such empowerment, those two
branches have developed a shared history and expertise in the
field that dwarfs that of this and any other Court. While we
remain the ultimate arbiters of our state's Constitution, andvigorously attend to our duty of protecting the citizenry from
abridgments and infringements of its provisions, we
simultaneously recognize our limitations in providing specific
remedies for violations committed by other government branches in
service to a subject matter, such as public school education,
that is within their primary domain. Thus, we conclude that the
trial court erred when it imposed at this juncture of the
litigation and on this record the requirement that the State must
provide pre-kindergarten classes for all at-risk prospective
enrollees in Hoke County. In our view, based on the evidence
presented at trial, such a remedy is premature, and its strict
enforcement could undermine the State's ability to meet its
educational obligations for at-risk prospective enrollees by
alternative means. As a consequence, we reverse those portions
of the trial court order that may be construed to the effect of
requiring the State to provide pre-kindergarten services as the
remedy for constitutional violations referenced in Part V of this
opinion
.
VI. Federal Funds
[6] Although plaintiff-intervenors have not yet
presented their case before the trial court, this Court allowed
certiorari for review of plaintiff-intervenors' issue concerning
the trial court's ruling on the State's use of federal funds
targeting education. We address the issue now for two reasons.
First, the trial court allowed plaintiff-intervenors' motion to
participate in plaintiffs' trial. Therefore, plaintiff-
intervenors have a right, as party participants, to complain of
errors committed during plaintiffs' proceedings. Second, the
issue raised by plaintiff-intervenors will affect the scope ofplaintiff-intervenors' forthcoming trial. As a consequence, we
address the issue here in order to preempt the potential for
error during plaintiff-intervenors' case.
Plaintiff-intervenors contend that the trial court
erred by including educational services provided by federal
funds, including Title I funds,
(See footnote 19)
as part of its calculations for
determining whether the State has met its constitutional
obligation to provide all North Carolina children with an equal
opportunity to obtain a sound basic education. Plaintiff-
intervenors' argument requires us to conduct a two-part inquiry:
(1) did the trial court improperly condone the State's use of
Title I funds, in violation of 20 U.S.C. § 6321(b)(1); and, (2)
did the trial court improperly condone the State's use of such
federal funds, in violation of the North Carolina Constitution?
For the reasons cited herein, we conclude that the
trial court's consideration of Title I funds did not violate
either the applicable federal statutory provisions or the
education provisions of our state's Constitution. In addition,
we hold that the relevant provisions of the North Carolina
Constitution do not forbid the State from including federal funds
in its formula for providing the state's children with the
opportunity to obtain a sound basic education. While the State
has a duty to provide the means for such educational opportunity,
no statutory or constitutional provisions require that it is
concomitantly obliged to be the exclusive source of theopportunity's funding. In fact, the State and its education
agents often position themselves to augment state educational
funding requirements by designing and implementing education-
related programs--
i.e., Bright Beginnings--that qualify for
federal subsidies, thereby providing education funds that
contribute to the State's effort of providing a
Leandro-
conforming educational opportunity for North Carolina's children.
While the questions of whether federal funds are
supplanting or supplementing state education contributions
and whether they must do one or the other are debated vigorously
by the parties,
see 20 U.S.C. § 6321(b)(1) (requiring that
federal funds received thereunder be used only to supplement
funds that would be made available from non-federal sources and
not to supplant such non-federal funds), we decline to enter the
fray at this point for two reasons. First, the questions
concerning the proper use of federal education funds are
controlled by federal law, which specifically grants the United
States Secretary of Education (Secretary) the authority to
decide how such funds are distributed.
See id. § 1234(a) (2002)
(stating that the Secretary shall establish an Office of
Administrative Law Judges which shall conduct hearings on
recovery of and withholding of funds);
and Bell v. New Jersey,
461 U.S. 773, 791, 76 L. Ed. 2d 312, 327 (1983) (stating that
the initial determination that a State has misapplied Title I
funds is to be made administratively, by the Secretary). Thus,
the question of deciding precisely what constitutes a
supplementation or a supplantation, a complex question of federal
law that this Court is ill-positioned to answer, is one that the
federal statutory scheme clearly places in the hands of theSecretary. While plaintiff-intervenors argue that the facts in
evidence show that certain North Carolina programs violate the
supplement-not-supplant mandate, we note that plaintiff-
intervenors point to no instance where the Secretary has either
refused or withdrawn funding because such funds were being used
in violation of 20 U.S.C. § 6321(b)(1). Second, we can find no
evidence of clear fault on the part of the State from the funding
examples presented at trial or in the plaintiff-intervenors'
appellate brief. As a consequence, we can glean from the record
no justification that would compel this Court to trespass on the
Secretary's deeded turf.
We recognize that if the Secretary, at some point, were
to determine that the State was no longer adhering to the
supplement-not-supplant provisions governing use of federal
education funds, this Court may have to reconsider the issue in
order to decide: (1) if the funding in question was part of the
State's effort to provide children with a sound basic education;
and (2) whether the State was obliged to provide substitute
funding on its own. However, because such a circumstance has not
presented itself in the case at hand, any holding as to its
potential effects would amount to mere speculation on the part of
this Court. Therefore, in confining our view of the issue to the
facts as presented at trial, we conclude that the trial court did
not err when it determined that the State was making use of
federal education funds in accordance with the applicable federal
statutes and the applicable education provisions of the North
Carolina Constitution.
************
In closing, we recount in summary the Court's major
conclusions and holdings concerning the issues of the case before
us. Initially, this Court affirms the trial court's conclusion
that plaintiffs have made a clear showing that an inordinate
number of students in Hoke County are failing to obtain a sound
basic education and that defendants have failed in their
constitutional duty to provide such students with the opportunity
to obtain a sound basic education. In addition, this Court
affirms the trial court's ruling that the State must act to
correct those deficiencies that were deemed by the trial court as
contributing to the State's failure of providing a
Leandro-
comporting educational opportunity.
As for the State's contention that it is the sole
arbiter of determining the proper age for attending schools, we
agree. Concerning the trial court's remedy for the State's
failure to provide Hoke County prospective enrollees with an
opportunity to avail themselves of a sound basic education, we
reverse. In our view, the trial court's mandate requiring the
State to offer pre-kindergarten services to at-risk prospective
enrollees would be, at this juncture, a premature judicial
encroachment on a core function of our state's legislative and
executive branches.
In addition, we affirm the trial court's ruling
concerning the State's use of federal contributions in designing
and implementing an education financing scheme. In our view, the
question of whether federal funds are properly being utilized by
the State is one best answered by consulting the federal
statutory framework that provides for such funds. As the clear
language of the applicable statutes expressly grants theSecretary the power to decide the question of whether state
expenditures of federal education funds comports with federal
law, we defer to the Secretary's judgment and note that there was
no evidence at trial showing that the State's use of such funds
had spurred retaliatory action by the Secretary. As a
consequence, we can find no error in the trial court's ruling
that the State's use of federal education funds did not violate
either federal law or our state's Constitution.
As for the pending cases involving either other rural
school districts or urban school districts, we order that they
should proceed, as necessary, in a fashion that is consistent
with the tenets outlined in this opinion.
Finally, the Court notes that the original Constitution
of our state, adopted on 18 December 1776, included the specific
provision [t]hat a school or schools shall be established by the
legislature, for the convenient instruction of youth. N.C.
Const. of 1776, para. 41. Some months before, William Hooper,
one of North Carolina's delegates to the Continental Congress in
Philadelphia, had solicited information from John Adams as to his
thoughts on what should be included in a soon-to-be drafted
constitution for North Carolina. Modern historians note that at
the time, Adams was considered a renowned authority on
constitutionalism, John V. Orth,
The North Carolina State
Constitution: A Reference Guide 2
(1993), and that as he
contemplated the future of the country, Adams became convinced
that its success rested on education,
see David McCullough,
John
Adams,
364 (Simon & Schuster 2001).
Adams, in subsequent correspondence, wrote: [A]
memorable change must be made in the system of education[,] andknowledge must become so general as to raise the lower ranks of
society nearer to the higher. The education of a nation[,]
instead of being confined to a few schools and universities for
the instruction of the few, must become the national care and
expense for the formation of the many.
Id.
This Court now remands to the lower court and
ultimately into the hands of the legislative and executive
branches, one more installment in the 200-plus year effort to
provide an education to the children of North Carolina. Today's
challenges are perhaps more difficult in many ways than when
Adams articulated his vision for what was then a fledgling
agrarian nation. The world economy and technological advances of
the twenty-first century mandate the necessity that the State
step forward, boldly and decisively, to see that all children,
without regard to their socio-economic circumstances, have an
educational opportunity and experience that not only meet the
constitutional mandates set forth in
Leandro, but fulfill the
dreams and aspirations of the founders of our state and nation.
Assuring that our children are afforded the chance to become
contributing, constructive members of society is paramount.
Whether the State meets this challenge remains to be determined.
AFFIRMED IN PART AS MODIFIED, AND REVERSED IN PART.
Footnote: 1 In its analysis of the issues presented in Leandro, this
Court concluded that the State's statutory educationalobligations were essentially codifications of the State's
educational obligations under the Constitution. As a
consequence, while plaintiffs could pursue claims showing that
the State violated various sections of chapter 115C, any showing
of such violations must support plaintiffs' ultimate burden: to
demonstrate that such violations contributed to depriving school
children of the opportunity to receive a sound basic education.
In short, while Leandro ostensibly left three issues to be
decided by the trial court, only one faces scrutiny in the
instant appeal--whether the State has failed in its
constitutional duty to provide Hoke County school children with
the opportunity to receive a sound basic education. The issue of
whether the State has failed in its statutory duty to provide
Hoke County school children with a sound basic education has been
subsumed, for all practical purposes, by the constitutional
question. As for the third issue concerning State supplemental
funding claims by plaintiff-intervenors, it is not yet ripe for
consideration. For more on the plaintiff-intervenors' claims,
see note 3, below.
Footnote: 2 This issue, concerning plaintiff-intervenors, although
deemed viable by this Court in Leandro, is not before this Court
in the appeal of the instant case. Plaintiff-intervenors will
present evidence in support of their respective claims in a
separate action that will commence sometime after the instant
case has concluded. Thus, the Court will neither address nor
decide in this opinion whether plaintiff-intervenors have shown
that the State's supplemental school funding system is unrelated
to legitimate educational objectives.
Footnote: 3 The Court notes that the trial court permitted plaintiff-
intervenors to participate fully in both discovery and the trial
of the case focusing on the rural districts.
Footnote: 4 Because this Court allowed plaintiff-intervenors to argue
the additional issue of how federal educational funds may be used
and/or considered in our state's educational funding scheme, we
must also consider and decide the merits of that issue, which is
addressed separately following our analysis of the substantive
issues arising from the Hoke County proceeding. See part VI of
this opinion.
Footnote: 5 The Court recognizes that plaintiffs from the four other
original rural districts-_those from or representing Cumberland,
Halifax, Robeson, and Vance Counties-_were not eliminated as
parties as a result of the trial court's decision to confine
evidence to its effect on Hoke County schools. However, because
this Court's examination of the case is premised on evidence as
it pertains to Hoke County in particular, our holding mandates
cannot be construed to extend to the other four rural districts
named in the complaint. With regard to the claims of named
plaintiffs from the other four rural districts, the case is
remanded to the trial court for further proceedings that include,
but are not necessarily limited to, presentation of relevant
evidence by the parties, and findings and conclusions of law by
the trial court.
Moreover, the Court emphasizes that its holding in the
instant case is not to be construed in any fashion that would
suggest that named plaintiffs from the four other rural districts
are precluded from pursuing their claims as presented in their
complaint.
Footnote: 6 The proper party designation of the school boards became
evident in the trial court's ruling on the substantive claimsraised in plaintiffs' complaint. See Part IV, below.
Footnote: 7 Although we cannot be certain, from our reading of the
State's brief, it appears that the locution wrong standards is
a misnomer, and translates more accurately as an argument
concerning evidentiary sufficiency. Thus, we approach the
State's first issue from a perspective of whether the trial court
utilized relevant and sufficient evidence as a basis for its
conclusions.
Footnote: 8 The people have a right to the privilege of education,
and it is the duty of the State to guard and maintain that
right. N.C. Const. art. I, § 15.
Footnote: 9 The General Assembly shall provide . . . for a general
and uniform system of free public schools, which shall be
maintained at least nine months in every year, and wherein equal
opportunities shall be provided for all students. N.C. Const.
art. IX, § 2(1).
Footnote: 10 The Court in Leandro additionally suggested that output
measurements _ such as student test scores, grades, and
graduation rates _ may prove more reliable than measurements of
inputs _ such as educational expenditures and program
initiatives provided by the State.
Footnote: 11 We note that the test score evidence, in and of itself,
addresses the question of whether students are obtaining a sound
basic education rather than the question of whether they were
afforded their opportunity to obtain one. The distinction is
important. While a clear showing of a failure to obtain a sound
basic education is a prerequisite for demonstrating a legal basis
for the designated plaintiff school children's case, the failure
to obtain such an education is not the ultimate issue in dispute.
In order to prevail, plaintiffs must show more than a
failure on the part of Hoke County students to obtain a sound
basic education. The failure to obtain such an education may be
due to any number of reasons beyond the defendant State's
control, not the least of which may be the student's lack of
individual effort and a failure on the part of parents and other
caregivers to meet their responsibilities. Thus, in order to
show Hoke County students are being wrongfully denied their
rightful opportunity for a sound basic education, plaintiffs must
show that their failure to obtain such an education was due to
the State's failure to provide them with the opportunity to
obtain one.
Footnote: 12 We note that there are many more examples demonstrating
similar education shortcomings among Hoke County graduates (and a
limited number of success stories as well). However, for the
purposes of this opinion, the Court limits its evidentiary
examples to those that provide the clearest snapshots of the
overall picture presented at trial.
Footnote: 13 From the outset of the trial court's introduction of the
term at risk, we take a moment to distinguish between the two
uses of at risk within the context of this case (and which seem
to have been merged into a single, interchangeable entity by all
concerned).
Any student is, at least potentially, at risk of academic
failure, without regard to his or her intellect, economic status,
race, ethnic background, and/or social standing. However, a
particular and identifiable subgroup of students has been singled
out by experts in the education field and described as at-risk
students. In a general sense, such students are those who, due
to circumstances such as an unstable home life, poor socio-
economic background, and other factors, either enter or continue
in school from a disadvantaged standpoint, at least in relation
to other students who are not burdened with such circumstances.
The students who are considered to be among those at-risk
students raise distinct and separate concerns from other
students. Certainly, like all students, at-risk students also
face the risk of academic failure. However, one of the prominent
issues in this case is determining whether such at-risk
students need to be identified by the State and offered
additional assistance in order to avail themselves of the
opportunity for a sound basic education.
Thus, from this point on, for the sake of clarity, the Court
will limit its use of the locution at risk to those instances
where it serves as an adjective and pertains specifically to the
student subgrouping described above (e.g., must the State make
special provisions for at-risk students?). As for those
instances where the trial court or parties refer to students who
may be at risk of academic failure, or who may be at risk of
failing to integrate into society, we will substitute faces the
prospect of for at risk of (e.g., students who score below
Level III proficiency on EOG tests face the prospect of academic
failure).
Footnote: 14 The Court recognizes that the trial court took evidence
on, and made conclusions about, student performance across the
state. However, we remain mindful that the issues of the instant
case pertain only to evidence, findings, and conclusions that
apply to Hoke County in particular. As a consequence, any
findings or conclusions that were intended to apply to the
state's school children beyond those of Hoke County are not
relevant to the inquiries at issue.
Footnote: 15 For example, hypothetically, if 60% of all of Hoke
County's ninth-graders failed to demonstrate Level III
proficiency in EOC tests, it is essential to know, for purposes
of both identifying and rectifying the failure, how many of those
students were at-risk students and how many were not viewed as
at-risk. In its subsequent memoranda of law_-numbers three and
four--the trial court concludes that too many at-risk students
are being denied their opportunity for a sound basic education,
in violation of Leandro. The trial court also awards relief for
such at-risk students and imposes remedies aimed at correcting
their deficiencies. However, by limiting its conclusions to at-
risk students, the trial court fails to account for the
following contingency: how many of the 60% of Hoke County ninth-
graders are not at-risk yet are nonetheless failing to obtain a
sound basic education?
Although the evidence presented at trial fails to address or
account for the circumstance that an inordinate number of non
at-risk students may well be failing to achieve Grade III
proficiency, this Court cannot ignore that distinct possibility.
Thus, we emphasize that while the trial court limited its
conclusions and relief to the at-risk students of Hoke County,
a broader mandate may ultimately be required. Children who are
not considered at-risk students may well be failing to obtain a
sound basic education in inordinate numbers, and their failure
may well be attributable to the State's actions and/or inactions.
As a consequence, we conclude that while the findings and
conclusions of the instant case are confined to the circumstances
of at-risk students, non at risk students are not: (1) held
or presumed to be obtaining a sound basic education, or (2)
precluded from pursuing future claims that they are not being
afforded the opportunity to obtain a sound basic education.
Footnote: 16 Although there are numerous accepted ways of defining and
identifying an at-risk student, most educators seem in
agreement that an at-risk student is generally described as one
who holds or demonstrates one or more of the following
characteristics: (1) member of low-income family; (2)
participate in free or reduced-cost lunch programs; (3) have
parents with a low-level education; (4) show limited proficiency
in English; (5) are a member of a racial or ethnic minority
group; (6) live in a home headed by a single parent or guardian.
Footnote: 17 In its brief and at oral argument, the State argued two
points on the issue of the pre-kindergarten remedy. First, the
State contended that the trial court erred if it ordered the pre-
kindergarten remedy because this Court, in Leandro, established a
separate constitutional right to pre-kindergarten for at-risk
prospective enrollees in Hoke County schools. We agree with the
State's contention and declare that no such attendant right was
established within the parameters of Leandro.
The State also argued that the trial court erred if it
imposed the pre-kindergarten remedy as relief for a violation of
at-risk children's rights because, in the State's view, the
record does not support a determination that the State has
violated the constitutional rights of any party, or of any
student. While we hold that the remedy at issue was not
supported by the evidence, findings, and conclusions of the trial
court's order, we clearly disagree with the State's contention
that the trial court did not conclude there was a State violation
of Hoke County students' right to the opportunity to obtain a
sound basic education. See Part IV, above.
Footnote: 18 The post-trial reports from the State are the result of
the trial court's order requiring that the State report every
ninety days of its progress in implementing the trial court's
remedies. The record in this case has been supplemented, at the
request of this Court, with copies of both those reports and the
responses from the trial court.
Footnote: 19 Title I is now incorporated in the No Child Left Behind
Act of 2001, Pub. L. No. 107-110, 115 Stat. 1439, 20 U.S.C. §
6301-6578. In order to remain consistent with the parties'
briefs, and with the trial court's order, we refer to No Child
Left Behind funds as Title I funds.
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