The Medical
School of the University of California at Davis
(hereinafter Davis) had two admissions
programs for the entering class of 100 students
-- the regular admissions program and the special
admissions program. Under the regular procedure,
candidates whose overall undergraduate grade
point averages fell below 2.5 on a scale of 4.0
were summarily rejected. About one out of six
applicants was then given an interview, following
which he was rated on a scale of 1 to 100 by
each of the committee members (five in 1973 and
six in 1974), his rating being based on the interviewers'
summaries, his overall grade point average, his
science courses grade point average, his Medical
College Admissions Test (MCAT) scores, letters
of recommendation, extracurricular activities,
and other biographical data, all of which resulted
in a total "benchmark score." The full
admissions committee then made offers of admission
on the basis of their review of the applicant's
file and his score, considering and acting upon
applications as they were received. The committee
chairman was responsible for placing names on
the waiting list and had discretion to include
persons with "special skills." A separate
committee, a majority of whom were members of
minority groups, operated the special admissions
program. The 1973 and 1974 application forms,
respectively, asked candidates whether they wished
to be considered as "economically and/or
educationally disadvantaged" applicants
and members of a "minority group" (blacks,
Chicanos, Asians, American Indians). If an applicant
of a minority group was found to be "disadvantaged," he
would be rated in a manner similar to the one
employed by the general admissions committee.
Special candidates, however, did not have to
meet the 2.5 grade point cutoff and were not
ranked against candidates in the general admissions
process. About one-fifth of the special applicants
were invited for interviews in 1973 and 1974,
following which they were given benchmark scores,
and the top choices were then given to the general
admissions committee, which could reject special
candidates for failure to meet course requirements
or other specific deficiencies. The special committee
continued to recommend candidates until 16 special
admission selections had been made. During a
four-year period, 63 minority [p*266] students
were admitted to Davis under the special program
and 44 under the general program. No disadvantaged
whites were admitted under the special program,
though many applied. Respondent, a white male,
applied to Davis in 1973 and 1974, in both years
being considered only under the general admissions
program. Though he had a 468 out of 500 score
in 1973, he was rejected, since no general applicants
with scores less than 470 were being accepted
after respondent's application, which was filed
late in the year, had been processed and completed.
At that time, four special admission slots were
still unfilled. In 1974 respondent applied early,
and though he had a total score of 549 out of
600, he was again rejected. In neither year was
his name placed on the discretionary waiting
list. In both years, special applicants were
admitted with significantly lower scores than
respondent's. After his second rejection, respondent
filed this action in state court for mandatory,
injunctive, and declaratory relief to compel
his admission to Davis, alleging that the special
admissions program operated to exclude him on
the basis of his race in violation of the Equal
Protection Clause of the Fourteenth Amendment,
a provision of the California Constitution, and § 601
of Title VI of the Civil Rights Act of 1964,
which provides, inter alia, that no person shall
on the ground of race or color be excluded from
participating in any program receiving federal
financial assistance. Petitioner cross-claimed
for a declaration that its special admissions
program was lawful. The trial court found that
the special program operated as a racial quota,
because minority applicants in that program were
rated only against one another, and 16 places
in the class of 100 were reserved for them. Declaring
that petitioner could not take race into account
in making admissions decisions, the program was
held to violate the Federal and State Constitutions
and Title VI. Respondent's admission was not
ordered, however, for lack of proof that he would
have been admitted but for the special program.
The California Supreme Court, applying a strict
scrutiny standard, concluded that the special
admissions program was not the least intrusive
means of achieving the goals of the admittedly
compelling state interests of integrating the
medical profession and increasing the number
of doctors willing to serve minority patients.
Without passing on the state constitutional or
federal statutory grounds, the court held that
petitioner's special admissions program violated
the Equal Protection Clause. Since petitioner
could not satisfy its burden of demonstrating
that respondent, absent the special program,
would not have been admitted, the court ordered
his admission to Davis.
Held: The judgment below is affirmed insofar as it orders respondent's admission
to Davis and invalidates petitioner's special admissions program, [p*267] but
is reversed insofar as it prohibits petitioner from taking race into account
as a factor in its future admissions decisions.
18 Cal.3d 34, 553 P.2d 1152, affirmed in part and reversed in part.
MR. JUSTICE POWELL concluded:
1. Title VI proscribes only those racial classifications that would violate the
Equal Protection Clause if employed by a State or its agencies. Pp. 281-287 .
2. Racial and ethnic classifications of any sort are inherently suspect and call
for the most exacting judicial scrutiny. While the goal of achieving a diverse
student body is sufficiently compelling to justify consideration of race in admissions
decisions under some circumstances, petitioner's special admissions program,
which forecloses consideration to persons like respondent, is unnecessary to
the achievement of this compelling goal, and therefore invalid under the Equal
Protection Clause. Pp. 287-320 .
3. Since petitioner could not satisfy its burden of proving that respondent would
not have been admitted even if there had been no special admissions program,
he must be admitted. P. 320 .
MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE MARSHALL, and MR. JUSTICE
BLACKMUN concluded:
1. Title VI proscribes only those racial classifications that would violate the
Equal Protection Clause if employed by a State or its agencies. Pp. 328-355 .
2. Racial classifications call for strict judicial scrutiny. Nonetheless, the
purpose of overcoming substantial, chronic minority underrepresentation in the
medical profession is sufficiently important to justify petitioner's remedial
use of race. Thus, the judgment below must be reversed in that it prohibits race
from being used as a factor in university admissions. Pp. 355-379 .
MR. JUSTICE STEVENS, joined by THE CHIEF JUSTICE, MR. JUSTICE STEWART, and MR.
JUSTICE REHNQUIST, being of the view that whether race can ever be a factor in
an admissions policy is not an issue here; that Title VI applies; and that respondent
was excluded from Davis in violation of Title VI, concurs in the Court's judgment
insofar as it affirms the judgment of the court below ordering respondent admitted
to Davis. Pp. 408-421 .
Opinions
POWELL, J., announced the Court's judgment and filed an opinion expressing his
views of the case, in Parts I, III-A, and V-C of which WHITE, J., joined; and
in Parts I and V-C of which BRENNAN, MARSHALL, and BLACKMUN, JJ., joined. BRENNAN,
WHITE, MARSHALL, and BLACKMUN, [p*268] JJ., filed an opinion concurring in the
judgment in part and dissenting in part, post, p. 324 . WHITE, J., post, p. 379
, MARSHALL, J., post, p. 387 , and BLACKMUN, J., post, p. 402 , filed separate
opinions. STEVENS, J., filed an opinion concurring in the judgment in part and
dissenting in part, in which BURGER, C.J., and STEWART and REHNQUIST, JJ., joined,
post, p. 408 . [p*269]
POWELL, J., Judgment of the Court
MR. JUSTICE POWELL announced the judgment of the Court.
This case presents a challenge to the special admissions program of the
petitioner, the Medical School of the University of California at Davis,
which is designed
to assure the admission [p*270] of a specified number of students from
certain minority groups. The Superior Court of California sustained respondent's
challenge, holding that petitioner's program violated the California Constitution,
Title
VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d et seq., and
the Equal Protection Clause of the Fourteenth Amendment. The court enjoined
petitioner
from considering respondent's race or the race of any other applicant in
making admissions decisions. It refused, however, to order respondent's
admission to
the Medical School, holding that he had not carried his burden of proving
that
he would have been admitted but for the constitutional and statutory violations.
The Supreme Court of California affirmed those portions of the trial court's
judgment declaring the special admissions program unlawful and enjoining
petitioner from considering the race of any applicant. [*] [p*271] It modified
that portion
of the judgment denying respondent's requested injunction and directed
the trial court to order his admission.
For the reasons stated in the following opinion, I believe that so much of the
judgment of the California court as holds petitioner's special admissions program
unlawful and directs that respondent be admitted to the Medical School must be
affirmed. For the reasons expressed in a separate opinion, my Brothers THE CHIEF
JUSTICE, MR. JUSTICE STEWART, MR. JUSTICE REHNQUIST, and MR. JUSTICE STEVENS
concur in this judgment. [p*272]
I also conclude, for the reasons stated in the following opinion, that the portion
of the court's judgment enjoining petitioner from according any consideration
to race in its admissions process must be reversed. For reasons expressed in
separate opinions, my Brothers MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE
MARSHALL, and MR. JUSTICE BLACKMUN concur in this judgment.
Affirmed in part and reversed in part.
I [**]
The Medical School
of the University of California at Davis opened in 1968
with an entering class of 50 students. In 1971,
the size of the entering class was
increased to 100 students, a level at which it remains. No admissions program
for disadvantaged or minority students existed when the school opened,
and the first class contained three Asians but no blacks, no Mexican-Americans,
and no
American Indians. Over the next two years, the faculty devised a special
admissions program to increase the representation of "disadvantaged" students
in each Medical School class. [n1] The special program consisted of [p*273]
a separate admissions system operating in coordination with the regular
admissions process.
Under the regular admissions procedure, a candidate could submit his application
to the Medical School beginning in July of the year preceding the academic
year for which admission was sought. Record 149. Because of the large number
of applications,
[n2] the admissions committee screened each one to select candidates for
further consideration. Candidates whose overall undergraduate grade point
averages
fell below 2.5 on a scale of 4.0 were summarily rejected. Id. at 63. About
[p*274]
one out of six applicants was invited for a personal interview. Ibid. Following
the interviews, each candidate was rated on a scale of 1 to 100 by his
interviewers and four other members of the admissions committee. The rating
embraced the
interviewers' summaries, the candidate's overall grade point average, grade
point average in
science courses, scores on the Medical College Admissions Test (MCAT),
letters of recommendation, extracurricular activities, and other biographical
data.
Id. at 62. The ratings were added together to arrive at each candidate's "benchmark" score.
Since five committee members rated each candidate in 1973, a perfect score was
500; in 1974, six members rated each candidate, so that a perfect score was 600.
The full committee then reviewed the file and scores of each applicant and made
offers of admission on a "rolling" basis. [n3] The chairman was responsible
for placing names on the waiting list. They were not placed in strict numerical
order; instead, the chairman had discretion to include persons with "special
skills." Id. at 63-64.
The special admissions program operated with a separate committee, a majority
of whom were members of minority groups. Id. at 163. On the 1973 application
form, candidates were asked to indicate whether they wished to be considered
as "economically and/or educationally disadvantaged" applicants; on
the 1974 form the question was whether they wished to be considered as members
of a "minority group," which the Medical School apparently viewed as "Blacks," "Chicanos," "Asians," and "American
Indians." Id. at 65-66, 146, 197, 203-205, 216-218. If these questions were
answered affirmatively, the application was forwarded to the special admissions
committee. No formal definition of "disadvantaged" [p*275] was
ever produced, id. at 163-164, but the chairman of the special committee
screened
each application to see whether it reflected economic or educational deprivation.
[n4] Having passed this initial hurdle, the applications then were rated
by the special committee in a fashion similar to that used by the general
admissions
committee, except that special candidates did not have to meet the 2.5
grade point average cutoff applied to regular applicants. About one-fifth
of the
total
number of special applicants were invited for interviews in 1973 and 1974.
[n5] Following each interview, the special committee assigned each special
applicant
a benchmark score. The special committee then presented its top choices
to the general admissions committee. The latter did not rate or compare
the
special candidates against the general applicants, id. at 388, but could
reject recommended
special candidates for failure to meet course requirements or other specific
deficiencies. Id. at 171-172. The special committee continued to recommend
special
applicants until a number prescribed by faculty vote were admitted. While
the overall class size was still 50, the prescribed number was 8; in 1973
and 1974,
when the class size had doubled to 100, the prescribed number of special
admissions also doubled, to 16. Id. at 164, 166.
From the year of the
increase in class size -- 1971 -- through 1974, the
special program resulted in the admission of 21 black
students, 30 Mexican-Americans,
and 12 Asians, for a total of 63 minority students. Over the same period,
the
regular admissions program produced 1 black, 6 Mexican-Americans, [p*276]
and 37 Asians, for a total of 44 minority students. [n6] Although disadvantaged
whites applied to the special program in large numbers, see n. 5 , supra,
none
received
an offer of admission through that process. Indeed, in 1974, at least,
the special committee explicitly considered only "disadvantaged" special
applicants who were members of one of the designated minority groups. Record
171.
Allan Bakke is a white male who applied to the Davis Medical School in
both 1973 and 1974. In both years, Bakke's application was considered under
the
general
admissions program, and he received an interview. His 1973 interview was
with Dr. Theodore C. West, who considered Bakke "a very desirable applicant to
[the] medical school." Id. at 225. Despite a strong benchmark score
of 468 out of 500, Bakke was rejected. His application had come late in
the year,
and
no applicants in the general admissions process with scores below 470 were
accepted after Bakke's application was completed. Id. at 69. There were
four special admissions
slots unfilled at that time, however, for which Bakke was not considered.
Id. at 70. After his 1973 rejection, Bakke wrote to Dr. George H. Lowrey,
Associate
Dean and Chairman of the Admissions Committee, protesting that the special
admissions program operated as a racial and ethnic quota. Id. at 259. [p*277]
Bakke's 1974 application
was completed early in the year. Id. at 70. His student
interviewer gave him an overall rating of 94, finding
him "friendly, well
tempered, conscientious and delightful to speak with." Id. at 229. His faculty
interviewer was, by coincidence, the same Dr. Lowrey to whom he had written in
protest of the special admissions program. Dr. Lowrey found Bakke "rather
limited in his approach" to the problems of the medical profession, and
found disturbing Bakke's "very definite opinions which were based more on
his personal viewpoints than upon a study of the total problem." Id.
at 226. Dr. Lowrey gave Bakke the lowest of his six ratings, an 86; his
total was 549 out of 600. Id. at 230. Again, Bakke's application was rejected.
In
neither
year did the chairman of the admissions committee, Dr. Lowrey, exercise
his
discretion to place Bakke on the waiting list. Id. at 64. In both years,
applicants were
admitted under the special program with grade point averages, MCT scores,
and benchmark scores significantly lower than Bakke's. [n7]
After the second rejection,
Bakke filed the instant suit in the Superior Court of
California. [n8] He sought mandatory, injunctive,
and declaratory relief
compelling his admission to the Medical School. He alleged that the Medical
School's special
admissions program operated to exclude him from the [p*278] school on the
basis of his race, in violation of his rights under the Equal Protection
Clause of
the Fourteenth Amendment, [n9] Art. I, § 21, of the California Constitution,
[n10] and § 601 of Title VI of the Civil Rights Act of 1964, 78 Stat. 252,
42 U.S.C. § 2000d. [n11] The University cross-complained for a declaration
that its special admissions program was lawful. The trial [p*279] court
found that the special program operated as a racial quota because minority
applicants
in the special program were rated only against one another, Record 388,
and 16 places in the class of 100 were reserved for them. Id. at 295-296.
Declaring
that the University could not take race into account in making admissions
decisions, the trial court held the challenged program violative of the
Federal Constitution,
the State Constitution, and Title VI. The court refused to order Bakke's
admission, however, holding that he had failed to carry his burden of proving
that he
would
have been admitted but for the existence of the special program.
Bakke appealed from the portion of the trial court judgment denying him
admission, and the University appealed from the decision that its special
admissions program was unlawful and the order enjoining it from considering
race in the processing of applications. The Supreme Court of California
transferred the case directly from the trial court, "because of the importance of the issues involved." 18
Cal.3d 34, 39, 553 P.2d 1152, 1156 (1976). The California court accepted
the findings of the trial court with respect to the University's program.
[n12] Because the special admissions program involved a racial classification,
the Supreme Court held itself bound to apply strict scrutiny. Id. at 49,
553 P.2d at 1162-1163. It then turned to the goals of the University presented
as justifying the special program. Although the court agreed that the goals
of integrating the medical profession and increasing the number of physicians
willing to serve members of minority groups were compelling state interests,
id. at 53, 553 P.2d at 1165, it concluded that the special admissions program
was not the least intrusive means of achieving those goals. Without passing
on the state constitutional or federal statutory grounds cited in the trial
court's judgment, the California court held [p*280] that the Equal Protection
Clause of the Fourteenth Amendment required that no applicant may be rejected
because of his race, in favor of another who is less qualified, as measured
by standards applied without regard to race. Id. at 55, 553 P.2d at 1166.
Turning to Bakke's
appeal, the court ruled that, since Bakke had established
that the University had discriminated against him on the basis of his race,
the burden of proof shifted to the University to demonstrate that he would
not have
been admitted even in the absence of the special admissions program. [n13]
Id. at 63-64, 553 P.2d at 1172. The court analogized Bakke's situation
to that of
a plaintiff under Title VII of the Civil Rights Act of 1964, 42 U.S.C. §§ 2000e-17
(1970 ed., Supp. V), see, e.g., Franks v. Bowman Transportation Co., 424
U.S. 747, 772 (176). 18 Cal.3d at 64, 553 P.2d at 1172. On this basis,
the court
initially ordered a remand for the purpose of determining whether, under
the newly allocated
burden of proof, Bakke would have been admitted to either the 1973 or the
1974 entering class in the absence of the special admissions program. App.
A to
Application for Stay 4. In its petition for rehearing below, however, the
University conceded
its inability to carry that burden. App. B to Application for Stay A19-A20.
[n14] The [p*281] California court thereupon amended its opinion to direct
that the
trial court enter judgment ordering Bakke's admission to the Medical School.
18 Cal.3d at 64, 553. P.2d at 1172. That order was stayed pending review
in this Court. 429 U.S. 953 (1976). We granted certiorari to consider the
important
constitutional
issue. 429 U.S. 1090 (1977).
II
In this Court, the parties neither briefed nor argued the applicability of Title
VI of the Civil Rights Act of 1964. Rather, as had the California court, they
focused exclusively upon the validity of the special admissions program under
the Equal Protection Clause. Because it was possible, however, that a decision
on Title VI might obviate resort to constitutional interpretation, see Ashwander
v. TVA, 297 U.S. 288 , 346-348 (1936) (concurring opinion), we requested supplementary
briefing on the statutory issue. 434 U.S. 900 (1977).
A
At the outset, we face
the question whether a right of action for private parties
exists under Title VI. Respondent argues that
there is a private right of action,
invoking the test set forth in Cort v. Ash, 422 U.S. 66, 78 (1975). He
contends [p*282] that the statute creates a federal right in his favor,
that legislative
history reveals an intent to permit private actions, [n15] that such actions
would further the remedial purposes of the statute, and that enforcement
of federal rights under the Civil Rights Act generally is not relegated
to the
States. In
addition, he cites several lower court decisions which have recognized
or assumed the existence of a private right of action. [n16] Petitioner
denies
the existence
of a private right of action, arguing that the sole function of § 601, see
n. 11 , supra, was to establish a predicate for administrative action under § 602,
78 Stat. 252, 42 U.S.C. § 2000d-1. [n17] In its view, administrative curtailment
of federal funds under that section was the only sanction to be imposed upon
recipients that [p*283] violated § 601. Petitioner also points out that
Title VI contains no explicit grant of a private right of action, in contrast
to Titles II, III, IV, and VII, of the same statute, 42 U.S.C. §§ 2000a-3(a),
2000b-2, 2000c-8, and 2000e-5(f) (1970 ed. and Supp. V). [n18]
We find it unnecessary to resolve this question in the instant case. The question
of respondent's right to bring an action under Title VI was neither argued nor
decided in either of the courts below, and this Court has been hesitant to review
questions not addressed below. McGoldrick v. Companie Generale Transatlantique,
309 U.S. 430, 434-435 (1940). See also Massachusetts v. Westcott, 431 U.S. 322
(1977); Cardinale v. Louisiana, 394 U.S. 437, 439 (1969). Cf. Singleton v. Wulff,
428 U.S. 106, 121 (1976). We therefore do not address this difficult issue. Similarly,
we need not pass [p*284] upon petitioner's claim that private plaintiffs under
Title VI must exhaust administrative remedies. We assume, only for the purposes
of this case, that respondent has a right of action under Title VI. See Lau v.
Nichols, 414 U.S. 563 , 571 n. 2 (1974) (STEWART, J., concurring in result).
B
The language of § 601,
78 Stat. 252, like that of the Equal Protection Clause,
is majestic in its sweep:
No person in the United States shall, on the ground of race, color, or national
origin, be excluded from participation in, be denied the benefits of, or be subjected
to discrimination under any program or activity receiving Federal financial assistance.
The concept of "discrimination," like the phrase "equal protection
of the laws," is susceptible of varying interpretations, for, as Mr.
Justice Holmes declared,
[a] word is not a crystal, transparent and unchanged, it is the skin of a living
thought, and may vary greatly in color and content according to the circumstances
and the time in which it is used.
Towne v. Eisner, 245
U.S. 418, 425 (1918). We must, therefore, seek whatever
aid is available in determining the precise meaning of the statute before
us. Train v. Colorado Public Interest Research Group, 426 U.S. 1, 10 (1976),
quoting
United States v. American Trucking Assns., 310 U.S. 534, 543-544 (1940).
Examination of the voluminous legislative history of Title VI reveals a
congressional intent
to halt federal funding of entities that violate a prohibition of racial
discrimination similar to that of the Constitution. Although isolated statements
of various
legislators, taken out of context, can be marshaled in support of the proposition
that § 601 enacted a purely color-blind scheme, [n19] without regard
to the reach of the Equal Protection [p*285] Clause, these comments must
be read
against the background of both the problem that Congress was addressing
and the broader view of the statute that emerges from a full examination
of the
legislative
debates.
The problem confronting Congress was discrimination against Negro citizens at
the hands of recipients of federal moneys. Indeed, the color blindness pronouncements
cited in the margin at n.19 generally occur in the midst of extended remarks
dealing with the evils of segregation in federally funded programs. Over and
over again, proponents of the bill detailed the plight of Negroes seeking equal
treatment in such programs. [n20] There simply was no reason for Congress to
consider the validity of hypothetical preferences that might be accorded minority
citizens; the legislators were dealing with the real and pressing problem of
how to guarantee those citizens equal treatment.
In addressing that problem, supporters of Title VI repeatedly declared that the
bill enacted constitutional principles. For example, Representative Celler, the
Chairman of the House Judiciary Committee and floor manager of the legislation
in the House, emphasized this in introducing the bill:
The bill would offer assurance that hospitals financed by Federal money would
not deny adequate care to Negroes. It would prevent abuse of food distribution
programs whereby Negroes have been known to be denied food [p*286] surplus supplies
when white persons were given such food. It would assure Negroes the benefits
now accorded only white students in programs of high[er] education financed by
Federal funds. It would, in short, assure the existing right to equal treatment
in the enjoyment of Federal funds. It would not destroy any rights of private
property or freedom of association.
110 Cong.Rec. 1519 (1964) (emphasis added). Other sponsors shared Representative
Celler's view that Title VI embodied constitutional principles. [n21]
In the Senate, Senator
Humphrey declared that the purpose of Title VI was "to
insure that Federal funds are spent in accordance with the Constitution and the
moral sense of the Nation." Id. at 6544. Senator Ribicoff agreed that
Title VI embraced the constitutional standard:
Basically, there is a constitutional restriction against discrimination in the
use of federal funds; and title VI simply spells out the procedure to be used
in enforcing that restriction.
Id. at 13333. Other Senators expressed similar views. [n22]
Further evidence of
the incorporation of a constitutional standard into
Title VI appears in the repeated refusals of the legislation's
supporters
precisely
to define the term "discrimination." Opponents sharply criticized this
failure, [n23] but proponents of the bill merely replied that the meaning of
[p*287] "discrimination" would be made clear by reference to
the Constitution or other existing law. For example, Senator Humphrey noted
the
relevance of the
Constitution:
As I have said, the bill has a simple purpose. That purpose is to give fellow
citizens -- Negroes -- the same rights and opportunities that white people take
for granted. This is no more than what was preached by the prophets, and by Christ
Himself. It is no more than what our Constitution guarantees.
Id. at 6553. [n24]
In view of the clear legislative intent, Title VI must be held to proscribe only
those racial classifications that would violate the Equal Protection Clause or
the Fifth Amendment.
III
A
Petitioner does not
deny that decisions based on race or ethnic origin by
faculties and administrations of state universities
are reviewable under the Fourteenth
Amendment. See, e.g., Missouri ex rel. Gaines v. Canada, 305 U.S. 337 (1938);
Sipuel v. Board of Regents, 332 U.S. 631 (1948); Sweatt v. Painter, 339
U.S.
629 (1950); McLaurin v. Oklahoma State Regents, 339 U.S. 637 (1950). For
his part, respondent does not argue that all racial or ethnic classifications
are
per se invalid. See, e.g., Hirabayashi v. United States, 320 U.S. 81 (1943);
Korematsu v. United States, 323 U.S. 214 (1944); Lee v. Washington, 390
U.S. 333, 334 (1968) (Black, Harlan, and STEWART, JJ., concurring); United
Jewish
Organizations v. Carey, 430 U.S. 144 (1977). The parties do disagree as
to the level of judicial scrutiny to be applied to the special admissions
program.
Petitioner
argues that the court below erred in applying strict scrutiny, as this
inexact term has been [p*288] applied in our cases. That level of review,
petitioner
asserts, should be reserved for classifications that disadvantage "discrete
and insular minorities." See United States v. Carolene Products Co., 304
U.S. 144 , 152 n. 4 (1938). Respondent, on the other hand, contends that the
California court correctly rejected the notion that the degree of Judicial scrutiny
accorded a particular racial or ethnic classification hinges upon membership
in a discrete and insular minority and duly recognized that the "lights
established [by the Fourteenth Amendment] are personal rights." Shelley
v. Kraemer, 334 U.S. 1 , 22 (1948).
En route to this crucial
battle over the scope of judicial review, [n25] the
parties fight a sharp preliminary action over the proper
characterization
of
the special admissions program. Petitioner prefers to view it as establishing
a "goal" of minority representation in the Medical School. Respondent,
echoing the courts below, labels it a racial quota. [n26] [p*289]
This semantic distinction is beside the point: the special admissions program
is undeniably a classification based on race and ethnic background. To the extent
that there existed a pool of at least minimally qualified minority applicants
to fill the 16 special admissions seats, white applicants could compete only
for 84 seats in the entering class, rather than the 100 open to minority applicants.
Whether this limitation is described as a quota or a goal, it is a line drawn
on the basis of race and ethnic status. [n27]
The guarantees of the
Fourteenth Amendment extend to all persons. Its language
is explicit: "No State shall . . . deny to any person within its jurisdiction
the equal protection of the laws." It is settled beyond question that
the
rights created by the first section of the Fourteenth Amendment are, by its terms,
guaranteed to the individual. The rights established are personal rights,
Shelley v. Kraemer,
supra at 22 . Accord, Missouri ex rel. Gaines v. Canada,
supra at 351 ; McCabe v. Atchison, T. & S.F. R. Co., 235 U.S. 151,
161-162 (1914). The guarantee of equal protection cannot mean one thing
when applied
to one individual and something else when [p*290] applied to a person of
another color. If both are not accorded the same protection, then it is
not equal.
Nevertheless, petitioner
argues that the court below erred in applying strict
scrutiny to the special admissions program because white
males,
such as respondent,
are not a "discrete and insular minority" requiring extraordinary protection
from the majoritarian political process. Carolene Products Co., supra at 152-153,
n. 4 . This rationale, however, has never been invoked in our decisions as a
prerequisite to subjecting racial or ethnic distinctions to strict scrutiny.
Nor has this Court held that discreteness and insularity constitute necessary
preconditions to a holding that a particular classification is invidious. [n28]
See, e.g., Skinner v. Oklahoma ex rel. Williamson, 316 U.S. 535 , 541 (1942);
Carrington v. Rash, 380 U.S. 89, 997 (1965). These characteristics may be relevant
in deciding whether or not to add new types of classifications to the list of "suspect" categories
or whether a particular classification survives close examination. See,
e.g., Massachusetts Board of Retirement v. Murgia, 427 U.S. 307, 313 (1976)
(age);
San Antonio Independent School Dist. v. Rodriguez, 411 U.S. 1 , 28 (1973)
(wealth); Graham v. Richardson, 403 U.S. 365 , 372 (1971) (aliens). Racial
and ethnic
classifications, however, are subject to stringent examination without
regard to these additional
characteristics. We declared as much in the first cases explicitly to recognize
racial distinctions as suspect:
Distinctions between citizens solely because of their ancestry are, by their
very nature, odious to a free people [p*291] whose institutions are founded upon
the doctrine of equality.
Hirabayashi, 320 U.S. at 100.
[A]ll legal restrictions which curtail the civil rights of a single racial group
are immediately suspect. That is not to say that all such restrictions are unconstitutional.
It is to say that courts must subject them to the most rigid scrutiny.
Korematsu, 323 U.S. at 216 . The Court has never questioned the validity of those
pronouncements. Racial and ethnic distinctions of any sort are inherently suspect,
and thus call for the most exacting judicial examination.
B
This perception of
racial and ethnic distinctions is rooted in our Nation's
constitutional and demographic history. The Court's
initial view of the Fourteenth Amendment was that its "one pervading purpose" was
the freedom of the slave race, the security and firm
establishment of that freedom, and the protection of
the newly-made freeman and citizen from the oppressions
of those who had formerly exercised dominion over him.
Slaughter-House Cases,
16 Wall. 36 , 71 (1873). The Equal Protection Clause,
however, was "[v]irtually strangled in infancy by post-civil-war judicial
reactionism." [n29] It was relegated to decades of relative desuetude while
the Due Process Clause of the Fourteenth Amendment, after a short germinal period,
flourished as a cornerstone in the Court's defense of property and liberty of
contract. See, e.g., Mugler v. Kansas, 123 U.S. 623, 661 (1887); Allgeyer v.
Louisiana, 165 U.S. 578 (1897); Lochner v. New York, 198 U.S. 45 (1905). In that
cause, the Fourteenth Amendment's "one pervading purpose" was
displaced. See, e.g., Plessy v. Ferguson, 163 U.S. 537 (1896). It was only
as the era
of substantive due process came to a close, see, e.g., Nebbia v. New [p*292]
York,
291 U.S. 502 (1934); West Coast Hotel Co. v. Parrish, 300 U.S. 379 (1937),
that the Equal Protection Clause began to attain a genuine measure of vitality,
see,
e.g., United States v. Carolene Products, 304 U.S. 144 (1938); Skinner
v. Oklahoma ex rel. Williamson, supra.
By that time ,it was
no longer possible to peg the guarantees of the Fourteenth
Amendment to the struggle for equality of one racial minority. During the
dormancy of the Equal Protection Clause, the United States had become a
Nation of minorities.
[n30] Each had to struggle [n31] -- and, to some extent, struggles still
[n32] -- to overcome the prejudices not of a monolithic majority, but of
a "majority" composed
of various minority groups of whom it was said -- perhaps unfairly, in
many cases -- that a shared characteristic was a willingness to disadvantage
other
groups.
[n33] As the Nation filled with the stock of many lands, the reach of the
Clause was gradually extended to all ethnic groups seeking protection from
official
discrimination. See Strauder v. West Virginia, 100 U.S. 303 , 308 (1880)
(Celtic Irishmen) (dictum); Yick Wo v. Hopkins, 118 U.S. 356 (1886) (Chinese);
Truax
v. Raich, 239 U.S. 33 , 41 (1915) (Austrian resident aliens); Korematsu,
supra, (Japanese); Hernandez v. Texas, 347 U.S. 475 (1954) (Mexican-Americans).
The
guarantees of equal protection, said the Court in [p*293] Yick Wo,
are universal in their application, to all persons within the territorial jurisdiction, without regard to any differences of race, of color, or of nationality; and the equal protection of the laws is a pledge of the protection of equal laws. 118 U.S. at 369 .
Although many of the
Framers of the Fourteenth Amendment conceived of its
primary function as bridging the vast distance between
members of the Negro race and the white "majority," Slaughter-House
Cases, supra, the Amendment itself was framed in universal
terms, without reference to color, ethnic origin, or
condition of prior servitude. As this Court recently
remarked in interpreting the 1866 Civil Rights Act
to extend to claims of racial discrimination against
white persons, the 39th Congress was intent upon establishing
in the federal law a broader principle than would have
been necessary simply to meet the particular and immediate
plight of the newly freed Negro slaves.
McDonald v. Santa Fe
Trail Transportation Co., 427 U.S. 273, 296 (1976).
And that legislation was specifically broadened in 1870
to ensure that "all
persons," not merely "citizens," would enjoy equal rights under
the law. See Runyon v. McCrary, 427 U.S. 160, 192-202 (1976) (WHITE, J., dissenting).
Indeed, it is not unlikely that, among the Framers, were many who would have
applauded a reading of the Equal Protection Clause that states a principle of
universal application and is responsive to the racial, ethnic, and cultural diversity
of the Nation. See, e.g., Cong.Globe, 39th Cong., 1st Sess., 1056 (1866) (remarks
of Rep. Niblack); id. at 2891-2892 (remarks of Sen. Conness); id. 40th Cong.,
2d Sess., 883 (1868) (remarks of Sen. Howe) (Fourteenth Amendment "protect[s]
classes from class legislation"). See also Bickel, The Original Understanding
and the Segregation Decision, 69 Harv.L.Rev. 1, 60-63 (1955).
Over the past 30 years,
this Court has embarked upon the crucial mission of
interpreting the Equal Protection Clause with the view
of assuring to all persons "the protection of [p*294] equal laws," Yick Wo, supra at 369 , in a Nation confronting a legacy of slavery and racial discrimination. See, e.g., Shelley v. Kraemer, 334 U.S. 1 (1948); Brown v. Board of Education, 347 U.S. 483 (1954); Hills v. Gautreaux, 425 U.S. 284 (1976). Because the landmark decisions in this area arose in response to the continued exclusion of Negroes from the mainstream of American society, they could be characterized as involving discrimination by the "majority" white race against the Negro minority. But they need not be read as depending upon that characterization for their results. It suffices to say that, [o]ver the years, this Court has consistently repudiated "[d]istinctions between citizens solely because of their ancestry" as being "odious
to a free people whose institutions are founded upon
the doctrine of equality."
Loving v. Virginia, 388 U.S. 1 , 11 (1967), quoting Hirabayashi, 320 U.S. at
100.
Petitioner urges us to adopt for the first time a more restrictive view
of the Equal Protection Clause, and hold that discrimination against members
of the
white "majority" cannot be suspect if its purpose can be characterized
as "benign." [n34] [p*295] The clock of our liberties, however,
cannot be turned back to 1868. Brown v. Board of Education, supra at 492
; accord,
Loving v. Virginia supra at 9 . It is far too late to argue that the guarantee
of equal
protection to all persons permits the recognition of special wards entitled
to a degree of protection greater than that accorded others. [n35]
The Fourteenth Amendment
is not directed solely against discrimination due to
a "two-class theory" -- that is, bad upon differences between "white" and
Negro.
Hernandez, 347 U.S. at 478.
Once the artificial
line of a "two-class theory" of the Fourteenth
Amendment is put aside, the difficulties entailed in varying the level of judicial
review according to a perceived "preferred" status of a particular
racial or ethnic minority are intractable. The concepts of "majority" and "minority" necessarily
reflect temporary arrangements and political judgments. As observed above, the
white "majority" itself is composed of various minority groups, most
of which can lay claim to a history of prior discrimination at the hands of the
State and private individuals. Not all of these groups can receive preferential
treatment and corresponding judicial tolerance [p*296] of distinctions drawn
in terms of race and nationality, for then the only "majority" left
would be a new minority of white Anglo-Saxon Protestants. There is no principled
basis for deciding which groups would merit "heightened judicial solicitude" and
which would not. [n36] Courts would be asked to evaluate the extent of
the prejudice and consequent [p*297] harm suffered by various minority
groups.
Those whose
societal injury is thought to exceed some arbitrary level of tolerability
then would be entitled to preferential classifications at the expense of
individuals
belonging to other groups. Those classifications would be free from exacting
judicial scrutiny. As these preferences began to have their desired effect,
and the consequences of past discrimination were undone, new judicial rankings
would
be necessary. The kind of variable sociological and political analysis
necessary to produce such rankings simply does not lie within the judicial
competence
-- even if they otherwise were politically feasible and socially desirable.
[n37]
[p*298]
Moreover, there are serious problems of justice connected with the idea of preference
itself. First, it may not always be clear that a so-called preference is, in
fact, benign. Courts may be asked to validate burdens imposed upon individual
members of a particular group in order to advance the group's general interest.
See United Jewish Organizations v. Carey, 430 U.S. at 172-173 (BRENNAN, J., concurring
in part). Nothing in the Constitution supports the notion that individuals may
be asked to suffer otherwise impermissible burdens in order to enhance the societal
standing of their ethnic groups. Second, preferential programs may only reinforce
common stereotypes holding that certain groups are unable to achieve success
without special protection based on a factor having no relationship to individual
worth. See DeFunis v. Odegaard, 416 U.S. 312, 343 (1974) (Douglas, J., dissenting).
Third, there is a measure of inequity in forcing innocent persons in respondent's
position to bear the burdens of redressing grievances not of their making.
By hitching the meaning
of the Equal Protection Clause to these transitory considerations,
we would be holding, as a constitutional
principle, that judicial scrutiny of classifications
touching on racial and ethnic background may vary with
the ebb and flow of political forces. Disparate constitutional
tolerance of such classifications well may serve to
exacerbate [p*299] racial and ethnic antagonisms, rather
than alleviate them. United Jewish Organizations, supra
at 173-174 (BRENNAN, J., concurring in part). Also,
the mutability of a constitutional principle, based
upon shifting political and social judgments, undermines
the chances for consistent application of the Constitution
from one generation to the next, a critical feature
of its coherent interpretation. Pollock v. Farmers'
Loan & Trust Co., 157 U.S. 429 , 650-651 (1895)
(White, J., dissenting). In expounding the Constitution,
the Court's role is to discern principles sufficiently
absolute to give them roots throughout the community
and continuity over significant periods of time, and
to lift them above the level of the pragmatic political
judgments of a particular time and place.
A. Cox, The Role of the Supreme Court in American Government 114 (1976).
If it is the individual who is entitled to judicial protection against classifications
based upon his racial or ethnic background because such distinctions impinge
upon personal rights, rather than the individual only because of his membership
in a particular group, then constitutional standards may be applied consistently.
Political judgments regarding the necessity for the particular classification
may be weighed in the constitutional balance, Korematsu v. United States, 323
U.S. 214 (1944), but the standard of justification will remain constant. This
is as it should be, since those political judgments are the product of rough
compromise struck by contending groups within the democratic process. [n38] When
they touch upon an individual's race or ethnic background, he is entitled to
a judicial determination that the burden he is asked to bear on that basis is
precisely tailored to serve a compelling governmental interest. The Constitution
guarantees that right to every person regardless of his background. Shelley v.
Kraemer, 334 U.S. at 22 ; Missouri ex rel. Gaines v. Canada, 305 U.S. at 351
. [p*300]
C
Petitioner contends that, on several occasions, this Court has approved preferential
classifications without applying the most exacting scrutiny. Most of the cases
upon which petitioner relies are drawn from three areas: school desegregation,
employment discrimination, and sex discrimination. Each of the cases cited presented
a situation materially different from the facts of this case.
The school desegregation cases are inapposite. Each involved remedies for clearly
determined constitutional violations. E.g., Swann v. Charlotte-Mecklenburg Board
of Education, 402 U.S. 1 (1971); McDaniel v. Barresi, 402 U.S. 39 (1971); Green
v. County School Board, 391 U.S. 430 (1968). Racial classifications thus were
designed as remedies for the vindication of constitutional entitlement. [n39]
Moreover, the scope of the remedies was not permitted to exceed the extent of
the [p*301] violations. E.g., Dayton Board of Education v. Brinkman, 433 U.S.
406 (1977); Milliken v. Bradley, 418 U.S. 717 (1974); see Pasadena City Board
of Education v. Spangler, 427 U.S. 424 (1976). See also Austin Independent School
Dist. v. United States, 429 U.S. 990, 991-995 (1976) (POWELL, J., concurring).
Here, there was no judicial determination of constitutional violation as a predicate
for the formulation of a remedial classification.
The employment discrimination
cases also do not advance petitioner's cause. For example,
in Franks v. Bowman Transportation Co., 424 U.S. 747
(1976), we approved
a retroactive award of seniority to a class of Negro truckdrivers who had
been the victims of discrimination -- not just by society at large, but
by the respondent
in that case. While this relief imposed some burdens on other employees,
it was held necessary "`to make [the victims] whole for injuries suffered on account
of unlawful employment discrimination.'" Id. at 763, quoting Albemarle
Paper Co. v. Moody, 422 U.S. 405, 418 (1975). The Courts of Appeals have
fashioned various types of racial preferences as remedies for constitutional
or statutory
violations resulting in identified, race-based injuries to individuals
held entitled
to the preference. E.g., Bridgeport Guardians, Inc. v. Bridgeport Civil
Service Commission, 482 F.2d 1333 (CA2 1973); Carter v. Gallagher, 452
F.2d 315 (CA8
1972), modified on rehearing en banc, id. at 327. Such preferences also
have been upheld where a legislative or administrative body charged with
the responsibility
made determinations of past discrimination by the industries affected,
and fashioned remedies deemed appropriate to rectify the discrimination.
E.g.,
Contractors
Association of Eastern Pennsylvania v. Secretary of Labor, 442 F.2d 159
(CA3), cert. denied, 404 U.S. 854 (1971); [n40] Associated General [p*302]
Contractors
of Massachusetts, Inc. v. Altshuler, 490 F.2d 9 (CA1 1973), cert. denied,
416 U.S. 957 (1974); cf. Katzenbach v. Morgan, 384 U.S. 641 (1966). But
we have
never approved preferential classifications in the absence of proved constitutional
or statutory violations. [n41]
Nor is petitioner's view as to the applicable standard supported by the fact
that gender-based classifications are not subjected to this level of scrutiny.
E g., Califano v. Webster, 430 U.S. 313, 316-317 (1977); Craig v. Boren, 429
U.S. 190 , 211 n. (1976) (POWELL, J., concurring). Gender-based distinctions
are less likely to create the analytical and practical [p*303] problems present
in preferential programs premised on racial or ethnic criteria. With respect
to gender, there are only two possible classifications. The incidence of the
burdens imposed by preferential classifications is clear. There are no rival
groups which can claim that they, too, are entitled to preferential treatment.
Classwide questions as to the group suffering previous injury and groups which
fairly can be burdened are relatively manageable for reviewing courts. See, e.g.,
Califano v. Goldfarb, 430 U.S. 199 , 212-217 (1977); Weinberger v. Wiesenfeld,
420 U.S. 636, 645 (1975). The resolution of these same questions in the context
of racial and ethnic preferences presents far more complex and intractable problems
than gender-based classifications. More importantly, the perception of racial
classifications as inherently odious stems from a lengthy and tragic history
that gender-based classifications do not share. In sum, the Court has never viewed
such classification as inherently suspect or as comparable to racial or ethnic
classifications for the purpose of equal protection analysis.
Petitioner also cites
Lau v. Nichols, 414 U.S. 563 (1974), in support of the
proposition that discrimination favoring racial
or ethnic minorities has received
judicial approval without the exacting inquiry ordinarily accorded "suspect" classifications.
In Lau, we held that the failure of the San Francisco school system to provide
remedial English instruction for some 1,800 students of oriental ancestry who
spoke no English amounted to a violation of Title VI of the Civil Rights Act
of 1964, 42 U.S.C. § 2000d, and the regulations promulgated thereunder.
Those regulations required remedial instruction where inability to understand
English excluded children of foreign ancestry from participation in educational
programs. 414 U.S. at 568 . Because we found that the students in Lau were denied "a
meaningful opportunity to participate in the educational program," ibid.,
we remanded for the fashioning of a remedial order. [p*304]
Lau provides little
support for petitioner's argument. The decision rested
solely on the statute, which had been construed by the responsible administrative
agency
to each educational practices "which have the effect of subjecting individuals
to discrimination," ibid. We stated:
Under these state-imposed standards, there is no equality of treatment merely
by providing students with the same facilities, textbooks, teachers, and curriculum,
for students who do not understand English are effectively foreclosed from any
meaningful education.
Id. at 566 . Moreover, the "preference" approved did not result in
the denial of the relevant benefit -- "meaningful opportunity to participate
in the educational program" -- to anyone else. No other student was
deprived by that preference of the ability to participate in San Francisco's
school
system, and the applicable regulations required similar assistance for
all students who
suffered similar linguistic deficiencies. Id. at 570-571 (STEWART, J.,
concurring in result).
In a similar vein,
[n42] petitioner contends that our recent decision in
United Jewish Organization v. Carey, 430 U.S. 144
(1977), indicates a willingness to approve racial classifications
designed to benefit certain minorities,
without
denominating the classifications as "suspect." The State of New York
had redrawn its reapportionment plan to meet objections of the Department of
Justice under § 5 of the Voting Rights Act of 1965, 42 U.S.C. § 1973c
(1970 ed., Supp. V). Specifically, voting districts were redrawn to enhance the
electoral power [p*305] of certain "nonwhite" voters found to have
been the victims of unlawful "dilution" under the original reapportionment
plan. United Jewish Organizations, like Lau, properly is viewed as a case
in which the remedy for an administrative finding of discrimination encompassed
measures to improve the previously disadvantaged group's ability to participate,
without excluding individuals belonging to any other group from enjoyment
of
the relevant opportunity -- meaningful participation in the electoral process.
In this case, unlike Lau and United Jewish Organizations, there has been no determination
by the legislature or a responsible administrative agency that the University
engaged in a discriminatory practice requiring remedial efforts. Moreover, the
operation of petitioner's special admissions program is quite different from
the remedial measures approved in those cases. It prefers the designated minority
groups at the expense of other individuals who are totally foreclosed from competition
for the 16 special admissions seats in every Medical School class. Because of
that foreclosure, some individuals are excluded from enjoyment of a state-provided
benefit -- admission to the Medical School -- they otherwise would receive. When
a classification denies an individual opportunities or benefits enjoyed by others
solely because of his race or ethnic background, it must be regarded as suspect.
E.g., McLaurin v. Oklahoma State Regents, 339 U.S. at 641-642 .
IV
We have held that,
in order to justify the use of a suspect classification,
a State must show that its purpose or interest is both
constitutionally permissible and substantial, and that
its use of the classification is "necessary . . . to the accomplishment" of
its purpose or the safeguarding of its interest.
In
re Griffiths, 413 U.S. 717, 721-722 (1973) (footnotes
omitted); Loving v. Virginia, 388 U.S. at 11 ; McLaughlin
v. Florida, 379 U.S. 184, 196
(1964). The special admissions [p*306] program purports to serve the purposes
of:
(i) "reducing
the historic deficit of traditionally disfavored minorities in medical schools
and in the medical profession," Brief for Petitioner 32; (ii) countering
the effects of societal discrimination; [n43] (iii) increasing the number
of physicians who will practice in communities currently underserved; and
(iv)
obtaining the educational benefits that flow from an ethnically diverse
student body. It
is necessary to decide which, if any, of these purposes is substantial
enough to support the use of a suspect classification. [p*307]
A
If petitioner's purpose is to assure within its student body some specified percentage
of a particular group merely because of its race or ethnic origin, such a preferential
purpose must be rejected not as insubstantial, but as facially invalid. Preferring
members of any one group for no reason other than race or ethnic origin is discrimination
for its own sake. This the Constitution forbids. E.g., Loving v. Virginia, supra
at 11 ; McLaughlin v. Florida, supra at 198; Brown v. Board of Education, 347
U.S. 483 (1954).
B
The State certainly
has a legitimate and substantial interest in ameliorating,
or eliminating where feasible, the disabling effects
of identified discrimination. The line of school desegregation
cases, commencing with Brown, attests to the importance
of this state goal and the commitment of the judiciary
to affirm all lawful means toward its attainment. In
the school cases, the States were required by court
order to redress the wrongs worked by specific instances
of racial discrimination. That goal was far more focused
than the remedying of the effects of "societal discrimination," an
amorphous concept of injury that may be ageless in
its reach into the past.
We have never approved a classification that aids persons perceived as members
of relatively victimized groups at the expense of other innocent individuals
in the absence of judicial, legislative, or administrative findings of constitutional
or statutory violations. See, e.g., Teamsters v. United States, 431 U.S. 324,
367-376 (1977); United Jewish Organizations, 430 U.S. at 155-156; South Carolina
v. Katzenbach, 383 U.S. 301 , 308 (1966). After such findings have been made,
the governmental interest in preferring members of the injured groups at the
expense of others is substantial, since the legal rights of the victims must
be vindicated. In such a case, the [p*308] extent of the injury and the consequent
remedy will have been judicially, legislatively, or administratively defined.
Also, the remedial action usually remains subject to continuing oversight to
assure that it will work the least harm possible to other innocent persons competing
for the benefit. Without such findings of constitutional or statutory violations,
[n44] it cannot be [p*309] said that the government has any greater interest
in helping one individual than in refraining from harming another. Thus, the
government has no compelling justification for inflicting such harm.
Petitioner does not purport to have made, and is in no position to make, such findings. Its broad mission is education, not the formulation of any legislative policy or the adjudication of particular claims of illegality. For reasons similar to those stated in Part III of this opinion, isolated segments of our vast governmental structures are not competent to make those decisions, at least in the absence of legislative mandates and legislatively determined criteria. [n45] Cf. Hampton v. Mow Sun Wong, 426 U.S. 88 (1976); n. 41 , supra. Before relying upon these sorts of findings in establishing a racial classification, a governmental body must have the authority and capability to establish, in the record, that the classification is responsive to identified discrimination. See, e.g., Califano v. Webster, 430 U.S. at 316-321; Califano [p*310] v. Goldfarb, 430 U.S. at 212-217 . Lacking this capability, petitioner has not carried its burden of justification on this issue.
Hence, the purpose
of helping certain groups whom the faculty of the Davis
Medical School perceived as victims of "societal discrimination" does
not justify a classification that imposes disadvantages upon persons like
respondent, who
bear no responsibility for whatever harm the beneficiaries of the special
admissions program are thought to have suffered. To hold otherwise would
be to convert
a remedy heretofore reserved for violations of legal rights into a privilege
that
all institutions throughout the Nation could grant at their pleasure to
whatever groups are perceived as victims of societal discrimination. That
is a step
we have never approved. Cf. Pasadena Cty Board of Education v. Spangler,
427 U.S.
424 (1976).
C
Petitioner identifies, as another purpose of its program, improving the delivery of health care services to communities currently underserved. It may be assumed that, in some situations, a State's interest in facilitating the health care of its citizens is sufficiently compelling to support the use of a suspect classification. But there is virtually no evidence in the record indicating that petitioner's special admissions program is either needed or geared to promote that goal. [n46] The court below addressed this failure of proof:
The University concedes
it cannot assure that minority doctors who entered under
the program, all of whom expressed an "interest" in
practicing in a disadvantaged community, will actually
do so. It may be correct to assume that some of them
will carry out this intention, and that it is more likely
they will practice in minority [p*311] communities
than the average white doctor. (See Sandalow, Racial
Preferences in Higher Education: Political Responsibility
and the Judicial Role (1975) 42 U.Chi.L.Rev. 653, 688.)
Nevertheless, there are more precise and reliable ways
to identify applicants who are genuinely interested
in the medical problems of minorities than by race.
An applicant of whatever race who has demonstrated his
concern for disadvantaged minorities in the past
and who declares that practice in such a community is
his primary professional goal would be more likely
to contribute to alleviation of the medical shortage
than one who is chosen entirely on the basis of race
and disadvantage. In short, there is no empirical data
to demonstrate that any one race is more selflessly
socially oriented or by contrast that another is more
selfishly acquisitive.
18 Cal.3d at 56, 553 P.2d at 1167.
Petitioner simply has not carried its burden of demonstrating that it must prefer members of particular ethnic groups over all other individuals in order to promote better health care delivery to deprived citizens. Indeed, petitioner has not shown that its preferential classification is likely to have any significant effect on the problem. [n47]
D
The fourth goal asserted
by petitioner is the attainment of a diverse student
body. This clearly is a constitutionally permissible
[p*312] goal for an institution of higher education.
Academic freedom, though not a specifically enumerated
constitutional right, long has been viewed as a special
concern of the First Amendment. The freedom of a university
to make its own judgments as to education includes the
selection of its student body. Mr. Justice Frankfurter
summarized the "four essential freedoms" that
constitute academic freedom:
"It is the business of a university to provide that atmosphere which is
most conducive to speculation, experiment and creation. It is an atmosphere in
which there prevail "the four essential freedoms" of a university
-- to determine for itself on academic grounds who may teach, what may
be taught, how it shall be taught, and who may be admitted to study."
Sweezy v. New Hampshire, 354 U.S. 234, 263 (1957) (concurring in result).
Our national commitment to the safeguarding of these freedoms within university
communities was emphasized in Keyishian v. Board of Regents, 385 U.S. 589 , 603
(1967):
Our Nation is deeply
committed to safeguarding academic freedom, which is
of transcendent value to all of us, and not merely to
the teachers concerned. That freedom is therefore
a special concern of the First Amendment. . . . The
Nation's future depends upon leaders trained through
wide exposure to that robust exchange of ideas which
discovers truth "out of a multitude of tongues, [rather] than through any kind of authoritative selection." United
States v. Associated Press, 52 F.Supp. 362, 372.
The atmosphere of "speculation, experiment and creation" -- so essential to the quality of higher education -- is widely believed to be promoted by a diverse student body. [n48] As the Court [p*313] noted in Keyishian, it is not too much to say that the "nation's future depends upon leaders trained through wide exposure" to
the ideas and mores of students as diverse as this Nation
of many peoples.
Thus, in arguing that
its universities must be accorded the right to select
those students who will contribute the most to the "robust exchange of ideas," petitioner
invokes a countervailing constitutional interest, that of the First Amendment.
In this light, petitioner must be viewed as seeking to achieve a goal that
is of paramount importance in the fulfillment of its mission.
It may be argued that there is greater force to these views at the undergraduate
level than in a medical school, where the training is centered primarily on professional
competency. But even at the graduate level, our tradition and experience lend
support to the view that the contribution of diversity is substantial. In Sweatt
v. Painter, 339 U.S. at 634, the [p*314] Court made a similar point with specific
reference to legal education:
The law school, the proving ground for legal learning and practice, cannot be
effective in isolation from the individuals and institutions with which the law
interacts. Few students, and no one who has practiced law, would choose to study
in an academic vacuum, removed from the interplay of ideas and the exchange of
views with which the law is concerned.
Physicians serve a heterogeneous population. An otherwise qualified medical student
with a particular background -- whether it be ethnic, geographic, culturally
advantaged or disadvantaged -- may bring to a professional school of medicine
experiences, outlooks, and ideas that enrich the training of its student body
and better equip its graduates to render with understanding their vital service
to humanity. [n49]
Ethnic diversity, however, is only one element in a range of factors a university properly may consider in attaining the goal of a heterogeneous student body. Although a university must have wide discretion in making the sensitive judgments as to who should be admitted, constitutional limitations protecting individual rights may not be disregarded. Respondent urges -- and the courts below have held -- that petitioner's dual admissions program is a racial classification that impermissibly infringes his rights under the Fourteenth Amendment. As the interest of diversity is compelling in the context of a university's admissions program, the question remains whether the [p*315] program's racial classification is necessary to promote this interest. In re Griffiths, 413 U.S. at 721-722.
V
A
It may be assumed that the reservation of a specified number of seats in each
class for individuals from the preferred ethnic groups would contribute to the
attainment of considerable ethnic diversity in the student body. But petitioner's
argument that this is the only effective means of serving the interest of diversity
is seriously flawed. In a most fundamental sense, the argument misconceives the
nature of the state interest that would justify consideration of race or ethnic
background. It is not an interest in simple ethnic diversity, in which a specified
percentage of the student body is in effect guaranteed to be members of selected
ethnic groups, with the remaining percentage an undifferentiated aggregation
of students. The diversity that furthers a compelling state interest encompasses
a far broader array of qualifications and characteristics, of which racial or
ethnic origin is but a single, though important, element. Petitioner's special
admissions program, focused solely on ethnic diversity, would hinder, rather
than further, attainment of genuine diversity. [n50]
Nor would the state interest in genuine diversity be served by expanding petitioner's two-track system into a multi-track program with a prescribed number of seats set aside for each identifiable category of applicants. Indeed, it is inconceivable that a university would thus pursue the logic of petitioner's two-track program to the illogical end of insulating each category of applicants with certain desired qualifications from competition with all other applicants. [p*316]
The experience of other university admissions programs, which take race into
account in achieving the educational diversity valued by the First Amendment,
demonstrates that the assignment of a fixed number of places to a minority group
is not a necessary means toward that end. An illuminating example is found in
the Harvard College program:
In recent years, Harvard College has expanded the concept of diversity to include
students from disadvantaged economic, racial and ethnic groups. Harvard College
now recruits not only Californians or Louisianans but also blacks and Chicanos
and other minority students. . . .
In practice, this new definition of diversity has meant that race has been
a factor in some admission decisions. When the Committee on Admissions
reviews the large middle group of applicants who are "admissible" and
deemed capable of doing good work in their courses, the race of an applicant
may
tip the balance in his favor just as geographic origin or a life spent
on a farm
may tip the balance in other candidates' cases. A farm boy from Idaho can
bring something to Harvard College that a Bostonian cannot offer. Similarly,
a black
student can usually bring something that a white person cannot offer. .
. . [See Appendix hereto.]
In Harvard College
admissions, the Committee has not set target quotas
for the number of blacks, or of musicians, football players,
physicists
or Californians
to be admitted in a given year. . . . But that awareness [of the necessity
of
including more than a token number of black students] does not mean that
the Committee sets a minimum number of blacks or of people from west of
the Mississippi
who are to be admitted. It means only that, in choosing among thousands
of applicants who are not only "admissible" academically but
have other strong qualities, the Committee, with a number of criteria in
mind,
pays some
attention to distribution
among many [p*317] types and categories of students.
App. to Brief for Columbia University, Harvard University, Stanford University,
and the University of Pennsylvania, as Amici Curiae 2-3.
In such an admissions
program, [n51] race or ethnic background may be deemed
a "plus" in a particular applicant's file, yet it does not insulate
the individual from comparison with all other candidates for the available seats.
The file of a particular black applicant may be examined for his potential contribution
to diversity without the factor of race being decisive when compared, for example,
with that of an applicant identified as an Italian-American if the latter is
thought to exhibit qualities more likely to promote beneficial educational pluralism.
Such qualities could include exceptional personal talents, unique work or service
experience, leadership potential, maturity, demonstrated compassion, a history
of overcoming disadvantage, ability to communicate with the poor, or other qualifications
deemed important. In short, an admissions program operated in this way is flexible
enough to consider all pertinent elements of diversity in light of the particular
qualifications of each applicant, and to place them on the same footing for consideration,
although not necessarily according them the same weight. Indeed, the weight attributed
to a [p*318] particular quality may vary from year to year depending upon the "mix" both
of the student body and the applicants for the incoming class.
This kind of program treats each applicant as an individual in the admissions
process. The applicant who loses out on the last available seat to another
candidate receiving a "plus" on the basis of ethnic background
will not have been foreclosed from all consideration for that seat simply
because
he was not
the right color or had the wrong surname. It would mean only that his combined
qualifications, which may have included similar nonobjective factors, did
not outweigh those of the other applicant. His qualifications would have
been weighed
fairly and competitively, and he would have no basis to complain of unequal
treatment under the Fourteenth Amendment. [n52]
It has been suggested
that an admissions program which considers race only
as one factor is simply a subtle and more sophisticated -- but no less
effective -- means of according racial preference than the Davis program.
A facial
intent to discriminate, however, is evident in petitioner's preference
program, and
not denied in this case. No such facial infirmity exists in an admissions
program where race or ethnic background is simply one element -- to be
weighed fairly
against other elements -- in the selection process. "A boundary line," as
Mr. Justice Frankfurter remarked in another connection, "is none the worse
for being narrow." McLeod v. Dilworth, 322 U.S. 327, 329 (1944). And
a court would not assume that a university, professing to employ a facially
nondiscriminatory
admissions policy, would operate it as a cover for the functional equivalent
of a quota system. In short, good faith [p*319] would be presumed in the
absence of a showing to the contrary in the manner permitted by our cases.
See, e.g.,
Arlington Heights v. Metropolitan Housing Dev. Corp., 429 U.S. 252 (1977);
Washington
v. Davis, 426 U.S. 229 (1976); Swain v. Alabama, 380 U.S. 202 (165). [n53]
B
In summary, it is evident that the Davis special admissions program involves
the use of an explicit racial classification never before countenanced by this
Court. It tells applicants who are not Negro, Asian, or Chicano that they are
totally excluded from a specific percentage of the seats in an entering class.
No matter how strong their qualifications, quantitative and extracurricular,
including their own potential for contribution to educational diversity, they
are never afforded the chance to compete with applicants from the preferred groups
for the special admissions seats. At the same time, the preferred [p*320] applicants
have the opportunity to compete for every seat in the class.
The fatal flaw in petitioner's preferential program is its disregard of individual
rights as guaranteed by the Fourteenth Amendment. Shelley v. Kraemer, 334 U.S.
at 22 . Such rights are not absolute. But when a State's distribution of benefits
or imposition of burdens hinges on ancestry or the color of a person's skin,
that individual is entitled to a demonstration that the challenged classification
is necessary to promote a substantial state interest. Petitioner has failed to
carry this burden. For this reason, that portion of the California court's judgment
holding petitioner's special admissions program invalid under the Fourteenth
Amendment must be affirmed.
C
In enjoining petitioner from ever considering the race of any applicant, however,
the courts below failed to recognize that the State has a substantial interest
that legitimately may be served by a properly devised admissions program involving
the competitive consideration of race and ethnic origin. For this reason, so
much of the California court's judgment as enjoins petitioner from any consideration
of the race of any applicant must be reversed.
VI
With respect to respondent's entitlement to an injunction directing his admission
to the Medical School, petitioner has conceded that it could not carry its burden
of proving that, but for the existence of its unlawful special admissions program,
respondent still would not have been admitted. Hence, respondent is entitled
to the injunction, and that portion of the judgment must be affirmed. [n54] [p*321]
APPENDIX TO OPINION OF POWELL, J.
Harvard College Admissions Program [n55]
For the past 30 years,
Harvard College has received each year applications
for admission that greatly exceed the number of places
in the freshman
class. The
number of applicants who are deemed to be not "qualified" is comparatively
small. The vast majority of applicants demonstrate through test scores, high
school records and teachers' recommendations that they have the academic ability
to do adequate work at Harvard, and perhaps to do it with distinction. Faced
with the dilemma of choosing among a large number of "qualified" candidates,
the Committee on Admissions could use the single criterion of scholarly
excellence and attempt to determine who among the candidates were likely
to perform
best academically. But for the past 30 years, the Committee on Admissions
has never
adopted this approach. The belief has been that, if scholarly excellence
were the sole or even predominant criterion, Harvard College would lose
a great
deal of its vitality and intellectual excellence, and that the quality
of the educational
[p*322] experience offered to all students would suffer. Final Report of
W. J. Bender, Chairman of the Admission and Scholarship Committee and Dean
of
Admissions
and Financial Aid, pp. 20 et seq. (Cambridge, 1960). Consequently, after
selecting those students whose intellectual potential will seem extraordinary
to the
faculty -- perhaps 150 or so out of an entering class of over 1,100 --
the Committee
seeks --
variety in making its choices. This has seemed important . . . in part because
it adds a critical ingredient to the effectiveness of the educational experience
[in Harvard College]. . . . The effectiveness of our students' educational experience
has seemed to the Committee to be affected as importantly by a wide variety of
interests, talents, backgrounds and career goals as it is by a fine faculty and
our libraries, laboratories and housing arrangements.
Dean of Admissions Fred L. Glimp, Final Report to the Faculty of Arts and Sciences,
65 Official Register of Harvard University No. 25, 93, 10105 (1968) (emphasis
supplied).
The belief that diversity adds an essential ingredient to the educational process
has long been a tenet of Harvard College admissions. Fifteen or twenty years
ago, however, diversity meant students from California, New York, and Massachusetts;
city dwellers and farm boys; violinists, painters and football players; biologists,
historians and classicists; potential stockbrokers, academics and politicians.
The result was that very few ethnic or racial minorities attended Harvard College.
In recent years, Harvard College has expanded the concept of diversity to include
students from disadvantaged economic, racial and ethnic groups. Harvard College
now recruits not only Californians or Louisianans, but also blacks and Chicanos
and other minority students. Contemporary conditions in the United States mean
that, if Harvard College is to continue to offer a first-rate education to its
students, [p*323] minority representation in the undergraduate body cannot be
ignored by the Committee on Admissions.
In practice, this new definition of diversity has meant that race has been
a factor in some admission decisions. When the Committee on Admissions
reviews the large middle group of applicants who are "admissible" and
deemed capable of doing good work in their courses, the race of an applicant
may
tip the balance in his favor just as geographic origin or a life spent
on a farm
may tip the balance in other candidates' cases. A farm boy from Idaho can
bring something to Harvard College that a Bostonian cannot offer. Similarly,
a black
student can usually bring something that a white person cannot offer. The
quality of the educational experience of all the students in Harvard College
depends
in part on these differences in the background and outlook that students
bring with them.
In Harvard College
admissions, the Committee has not set target quotas
for the number of blacks, or of musicians, football players,
physicists
or Californians
to be admitted in a given year. At the same time the Committee is aware
that, if Harvard College is to provide a truly heterogen[e]ous environment
that
reflects the rich diversity of the United States, it cannot be provided
without some
attention
to numbers. It would not make sense, for example, to have 10 or 20 students
out of 1, 100 whose homes are west of the Mississippi. Comparably, 10 or
20 black
students could not begin to bring to their classmates and to each other
the variety of points of view, backgrounds and experiences of blacks in
the United
States.
Their small numbers might also create a sense of isolation among the black
students themselves, and thus make it more difficult for them to develop
and achieve their
potential. Consequently, when making its decisions, the Committee on Admissions
is aware that there is some relationship between numbers and achieving
the benefits to be derived from a diverse student body, and between numbers
and
providing
a reasonable environment for those students admitted. But [p*324] that
awareness does not mean that the Committee sets a minimum number of blacks
or of people
from west of the Mississippi who are to be admitted. It means only that,
in choosing among thousands of applicants who are not only "admissible" academically
but have other strong qualities, the Committee, with a number of criteria
in mind, pays some attention to distribution among many types and categories
of
students.
The further refinements sometimes required help to illustrate the kind of significance
attached to race. The Admissions Committee, with only a few places left to fill,
might find itself forced to choose between A, the child of a successful black
physician in an academic community with promise of superior academic performance,
and B, a black who grew up in an inner-city ghetto of semi-literate parents whose
academic achievement was lower, but who had demonstrated energy and leadership,
as well as an apparently abiding interest in black power. If a good number of
black students much like A, but few like B, had already been admitted, the Committee
might prefer B, and vice versa. If C, a white student with extraordinary artistic
talent, were also seeking one of the remaining places, his unique quality might
give him an edge over both A and B. Thus, the critical criteria are often individual
qualities or experience not dependent upon race but sometimes associated with
it.
* MR. JUSTICE STEVENS views the judgment of the California court as limited to
prohibiting the consideration of race only in passing upon Bakke's application.
Post at 408-411 . It must be remembered, however, that petitioner here cross-complained
in the trial court for a declaratory judgment that its special program was constitutional,
and it lost. The trial court's judgment that the special program was unlawful
was affirmed by the California Supreme Court in an opinion which left no doubt
that the reason for its holding was petitioner's use of race in consideration
of ay candidate's application. Moreover, in explaining the scope of its holding,
the court quite clearly stated that petitioner was prohibited from taking race
into account in any way in making admissions decisions:
In addition, the University
may properly as it in fact does, consider other factors
in evaluating an applicant, such as the personal interview,
recommendations, character, and matters relating to
the needs of the profession and society,
such
as an applicant's professional goals. In short, the standards for admission
employed by the University are not constitutionally infirm except to the
extent that they
are utilized in a racially discriminatory manner. Disadvantaged applicants
of all races must be eligible for sympathetic consideration, and no applicant
may
be rejected because of his race in favor of another who is less qualified,
as measured by standards applied without regard to race. We reiterate,
in view of
the dissent's misinterpretation, that we do not compel the University to
utilize only "the highest objective academic credentials" as
the criterion for admission.
18 Cal.3d 34, 54-55, 553 P.2d 1152, 1166 (1976) (footnote omitted). This explicit
statement makes it unreasonable to assume that the reach of the California court's
judgment can be limited in the manner suggested by MR. JUSTICE STEVENS.
** MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE MARSHALL, and MR. JUSTICE
BLACKMUN join Parts I and V-C of this opinion. MR. JUSTICE WHITE also joins Part
III-A of this opinion.
1. Material distributed to applicants for the class entering in 1973 described the special admissions program as follows:
A special subcommittee of the Admissions Committee, made up of faculty and medical
students from minority groups, evaluates applications from economically and/or
educationally disadvantaged backgrounds. The applicant may designate on the application
form that he or she requests such an evaluation. Ethnic minorities are not categorically
considered under the Task Force Program unless they are from disadvantaged backgrounds.
Our goals are: 1) A short-range goal in the identification and recruitment of
potential candidates for admission to medical school in the near future, and
2) Our long-range goal is to stimulate career interest in health professions
among junior high and high school students.
After receiving all pertinent information selected applicants will receive a
letter inviting them to our School of Medicine in Davis for an interview. The
interviews are conducted by at least one faculty member and one student member
of the Task Force Committee. Recommendations are then made to the Admissions
Committee of the medical school. Some of the Task Force Faculty are also members
of the Admissions Committee.
Long-range goals will be approached by meeting with counselors and students of
schools with large minority populations, as well as with local youth and adult
community groups.
Applications for financial aid are available only after the applicant has been
accepted, and can only be awarded after registration. Financial aid is available
to students in the form of scholarships and loans. In addition to the Regents'
Scholarships and President's Scholarship programs, the medical school participates
in the Health Professions Scholarship Program, which makes funds available to
students who otherwise might not be able to pursue a medical education. Other
scholarships and awards are available to students who meet special eligibility
qualifications. Medical students are also eligible to participate in the Federally
Insured Student Loan Program and the American Medical Association Education and
Research Foundation Loan Program.
Applications for Admission are available from:
Admissions Office
School of Medicine
University of California
Davis, California 95616
Record 195. The letter distributed the following year was virtually identical,
except that the third paragraph was omitted.
2. For the 1973 entering class of 100 seats, the Davis Medical School received
2,464 applications. Id. at 117. For the 1974 entering class, 3,737 applications
were submitted. Id. at 289.
3. That is, applications were considered and acted upon as they were received, so that the process of filling the class took place over a period of months, with later applications being considered against those still on file from earlier in the year. Id. at 64.
4. The chairman normally checked to see if, among other things, the applicant had been granted a waiver of the school's application fee, which required a means test; whether the applicant had worked during college or interrupted his education to support himself or his family; and whether the applicant was a member of a minority group. Id. at 666.
5. For the class entering in 1973, the total number of special applicants was
297, of whom 73 were white. In 1974, 628 persons applied to the special committee,
of whom 172 were white. Id. at 133-134.
6. The following table provides a year-by-year comparison of minority admissions at the Davis Medical School:
Special Admissions Program General Admissions Total
---------------------------- ---------------------- -----
Blacks Chicanos Asians Total Blacks Chicanos Asians Total
1970. . . . 5 3 0 8 0 0 4 4 12
1971. . . . 4 9 2 15 1 0 8 9 24
1972. . . . 5 6 5 16 0 0 11 11 27
1973. . . . 6 8 2 16 0 2 13 15 31
1974. . . . 6 7 3 16 0 4 5 9 25
Id. at 216-218. Sixteen persons were admitted under the special program in 1974,
ibid., but one Asian withdrew before the start of classes, and the vacancy was
filled by a candidate from the general admissions waiting list. Brief for Petitioner
4 n. 5.
7. The following table compares Bakke's science grade point average, overall grade point average, and MCAT scores with the average scores of regular admittees and of special admittees in both 1973 and 1974. Record 210, 223, 231, 234:
Class Entering in 1973
MCAT (Percentiles)
Quanti- Gen.
SGPA OGPA Verbal tative Science Infor.
Bakke . . . . . . . 3.44 3.46 96 94 97 72
Average of regular
admittees. . . . . 3.51 3.49 81 76 83 69
Average of special
admittees. . . . . 2.62 2.88 46 24 35 33
Class Entering in 1974
MCAT (Percentiles)
Quanti- Gen.
SGPA OGPA Verbal tative Science Infor.
Bakke. . . . . . . . 3.44 3.46 96 94 97 72
Average of regular
admittees. . . . . . 3.36 3.29 69 67 82 72
Average of special
admittees. . . . . . 2.42 2.62 34 30 37 18
Applicants
admitted under the special program also had benchmark
scores significantly lower than many students,
including Bakke, rejected under
the general admissions
program, even though the special rating system apparently gave credit for
overcoming "disadvantage." Id.
at 181, 388.
8. Prior to the actual
filing of the suit, Bakke discussed his intentions with
Peter C. Storandt, Assistant to the Dean of Admissions
at the Davis
Medical
School. Id. at 259-269. Storandt expressed sympathy for Bakke's position
and offered
advice on litigation strategy. Several amici imply that these discussions
render Bakke's suit "collusive." There is no indication, however,
that Storandt's views were those of the Medical School, or that anyone
else at the school even
was aware of Storandt's correspondence and conversations with Bakke. Storandt
is no longer with the University.
9. "[N]or shall
any State . . . deny to any person within its jurisdiction
the equal protection of the laws."
10.
No special privileges or immunities shall ever be granted which may not be altered,
revoked, or repealed by the Legislature; nor shall any citizen, or class of citizens,
be granted privileges or immunities which, upon the same terms, shall not be
granted to all citizens.
This section was recently repealed, and its provisions added to Art. I, § 7,
of the State Constitution.
11. Section 601 of Title VI, 78 Stat. 252, provides as follows:
No person in the United States shall, on the ground of race, color, or national
origin, be excluded from participation in, be denied the benefits of, or be subjected
to discrimination under any program or activity receiving Federal financial assistance.
12. Indeed, the University did not challenge the finding that applicants who
were not members of a minority group were excluded from consideration in the
special admissions process. 18 Cal.3d at 44, 553 P.2d at 1159.
13. Petitioner has not challenged this aspect of the decision. The issue of the
proper placement of the burden of proof, then, is not before us.
14. Several amici suggest
that Bakke lacks standing, arguing that he never showed
that his injury -- exclusion from the Medical School
-- will be redressed by
a favorable decision, and that the petitioner "fabricated" jurisdiction
by conceding its inability to meet its burden of proof. Petitioner does not object
to Bakke's standing, but inasmuch as this charge concerns our jurisdiction under
Art. III, it must be considered and rejected. First, there appears to be no reason
to question the petitioner's concession. It was not an attempt to stipulate to
a conclusion of law or to disguise actual facts of record. Cf. Swift & Co.
v. Hocking Valley R. Co., 243 U.S. 281 (1917).
Second, even if Bakke had been unable to prove that he would have been admitted
in the absence of the special program, it would not follow that he lacked standing.
The constitutional element of standing is plaintiff's demonstration of any injury
to himself that is likely to be redressed by favorable decision of his claim.
Warth v. Seldin, 422 U.S. 490 , 498 (1975). The trial court found such an injury,
apart from failure to be admitted, in the University's decision not to permit
Bakke to compete for all 100 places in the class, simply because of his race.
Record 323. Hence, the constitutional requirements of Art. III were met. The
question of Bakke's admission vel non is merely one of relief.
Nor is it fatal to Bakke's standing that he was not a "disadvantaged" applicant.
Despite the program's purported emphasis on disadvantage, it was a minority
enrollment program with a secondary disadvantage element. White disadvantaged
students were
never considered under the special program, and the University acknowledges
that its goal in devising the program was to increase minority enrollment.
15. See, e.g., 110 Cong.Rec. 5255 (1964) (remarks of Sen. Case).
16. E.g., Bossier Parish
School Board v. Lemon, 370 F.2d 847, 851-852 (CA5),
cert. denied, 388 U.S. 911 (1967); Natonbah v. Board
of Education, 355 F.Supp. 716, 724 (NM 1973); cf. Lloyd
v. Regional Transportation Authority, 548 F.2d 1277,
1284-1287 (CA7 1977) (Title V of Rehabilitation Act
of 1973, 29 U.S.C. § 790 et seq. (1976 ed.)); Piascik v. Cleveland Museum of Art, 426 F.Supp. 779, 780 n. 1 (ND Ohio 1976) (Title IX of Education Amendments of 1972, 20 U.S.C. § 1681
et seq. (1976 ed.)).
17. Section 602, as
set forth in 42 U.S.C. § 2000d-1, reads as follows:
Each
Federal department and agency which is empowered to
extend Federal financial assistance to any program
or activity, by way of grant, loan,
or contract
other than a contract of insurance or guaranty, is authorized and directed
to effectuate
the provisions of section 2000d of this title with respect to such program
or activity by issuing rules, regulations, or orders of general applicability
which
shall be consistent with achievement of the objectives of the statute authorizing
the financial assistance in connection with which the action is taken.
No such rule, regulation, or order shall become effective unless and until
approved
by the President. Compliance with any requirement adopted pursuant to this
section
may be effected (1) by the termination of or refusal to grant or to continue
assistance under such program or activity to any recipient as to whom there
has been an express finding on the record, after opportunity for hearing,
of
a failure
to comply with such requirement, but such termination or refusal shall
be limited to the particular political entity, or part thereof, or other
recipient
as
to whom such a finding has been made and, shall be ¥limited in its
effect to the particular program, or part thereof, in which such noncompliance
has
been
so found, or(2) by any other means authorized by law: Provided, however,
That no such action shall be taken until the department or agency concerned
has
advised the appropriate person or persons of the failure to comply with
the requirement
and has determined that compliance cannot be secured by voluntary means.
In the case of any action terminating, or refusing to grant or continue,
assistance
because of failure to comply with a requirement imposed pursuant to this
section, the head of the Federal department or agency shall file with the
committees
of
the House and Senate having legislative jurisdiction over the program or
activity involved a full written report of the circumstances and the grounds
for such
action. No such action shall become effective until thirty days have elapsed
after the filing of such report.
18. Several comments in the debates cast doubt on the existence of any intent to create a private right of action. For example, Representative Gill stated that no private right of action was contemplated:
Nowhere in this section do you find a comparable right of legal action for a
person who feels he has been denied his rights to participate in the benefits
of Federal funds. Nowhere. Only those who have been cut off can go to court and
present their claim.
110 Cong.Rec. 2467 (1964). Accord, id. at 7065 (remarks of Sen. Keating); 6562
(remarks of Sen. Kuchel).
19. For example, Senator Humphrey stated as follows:
Racial discrimination or segregation in the administration of disaster relief
is particularly shocking; and offensive to our sense of justice and fair play.
Human suffering draws no color lines, and the administration of help to the sufferers
should not.
Id. at 6547. See also id. at 12675 (remarks of Sen. Allott); 6561 (remarks of
Sen. Kuchel); 2494, 6047 (remarks of Sen. Pastore). But see id. at 15893 (remarks
of Rep. MacGregor); 13821 (remarks of Sen. Saltonstall); 10920 (remarks of Sen.
Javits); 5266, 5807 (remarks of Sen. Keating).
20. See, e.g., id. at 7064-7065 (remarks of Sen. Ribicoff); 7054-7055 (remarks
of Sen. Pastore); 6543-6544 (remarks of Sen. Humphrey); 2595 (remarks of Rep.
Donohue); 2467-2468 (remarks of Rep. Celler); 1643, 2481-2482 (remarks of Rep.
Ryan); H.R.Rep. No. 914, 88th Cong., 1st Sess., pt. 2, pp. 24-25 (1963).
21. See, e.g., 110 Cong.Rec. 2467 (1964) (remarks of Rep. Lindsay). See also id. at 2766 (remarks of Rep. Matsunaga); 2731-2732 (remarks of Rep. Dawson); 2595 (remarks of Rep. Donohue); 1527-1528 (remarks of Rep. Celler).
22. See, e.g., id. at 12675, 12677 (remarks of Sen. Allott); 7064 (remarks of Sen. Pell); 7057, 7062-7064 (remarks of Sen. Pastore); 5243 (remarks of Sen. Clark).
23. See, e.g., id. at 6052 (remarks of Sen. Johnston); 5863 (remarks of Sen. Eastland); 5612 (remarks of Sen. Ervin); 5251 (remarks of Sen. Talmadge); 1632 (remarks of Rep. Dowdy); 1619 (remarks of Rep. Abernethy).
24. See also id. at 7057, 13333 (remarks of Sen. Ribicoff); 7057 (remarks of Sen. Pastore); 5606-5607 (remarks of Sen. Javits); 5253, 5863-5864, 13442 (remarks of Sen. Humphrey).
25. That issue has
generated a considerable amount of scholarly controversy.
See, e.g., Ely, The Constitutionality of Reverse Racial Discrimination,
41 U.Chi.L.Rev. 723 (1974); Greenawalt, Judicial Scrutiny of "Benign" Racial Preference
in Law School Admissions, 75 Colum.L.Rev. 559 (1975); Kaplan, Equal Justice in
an Unequal World: Equality for the Negro, 61 Nw.U.L.Rev. 363 (1966); Karst & Horowitz,
Affirmative Action and Equal Protection, 60 Va.L.Rev. 955 (1974); O'Neil,
Racial Preference and Higher Education: The Larger Context, 60 Va.L.Rev.
925 (1974);
Posner, The DeFunis Case and the Constitutionality of Preferential Treatment
of Racial Minorities, 1974 Sup.Ct.Rev. 1; Redish, Preferential Law School
Admissions and the Equal Protection Clause: An Analysis of the Competing
Arguments, 22
UCLA L.Rev. 343 (1974); Sandalow, Racial Preferences in Higher Education:
Political Responsibility and the Judicial Role, 42 U.Chi.L.Rev. 653 (1975);
Sedler, Racial
Preference, Reality and the Constitution: Bakke v. Regents of the University
of California, 17 Santa Clara L.Rev. 329 (1977); Seeburger, A Heuristic
Argument Against Preferential Admissions, 39 U.Pitt.L.Rev. 285 (1977).
26. Petitioner defines "quota" as a requirement which must be met,
but can never be exceeded, regardless of the quality of the minority applicants.
Petitioner declares that there is no "floor" under the total number
of minority students admitted; completely unqualified students will not be admitted
simply to meet a "quota." Neither is there a "ceiling," since
an unlimited number could be admitted through the general admissions process.
On this basis, the special admissions program does not meet petitioner's
definition of a quota.
The court below found -- and petitioner does not deny -- that white applicants
could not compete for the 16 places reserved solely for the special admissions
program. 18 Cal.3d at 44, 553 P.2d at 1159. Both courts below characterized
this as a "quota" system.
27. Moreover, the University's special admissions program involves a purposeful,
acknowledged use of racial criteria. This is not a situation in which the classification
on its face is racially neutral, but has a disproportionate racial impact. In
that situation, plaintiff must establish an intent to discriminate. Arlington
Heights v. Metropolitan Housing Dev. Corp., 429 U.S. 252 , 264-265 (1977); Washington
v. Davis, 426 U.S. 229 , 242 (1976); see Yick Wo v. Hopkins, 118 U.S. 356 (1886).
28. After Carolene
Products, the first specific reference in our decisions
to the elements of "discreteness and insularity" appears in Minersville
School District v. Gobitis, 310 U.S. 586 , 606 (1940) (Stone, J., dissenting).
The next does not appear until 1970. Oregon v. Mitchell, 400 U.S. 112 ,
295 n. 14 (STEWART, J., concurring in part and dissenting in part). These
elements
have
been relied upon in recognizing a suspect class in only one group of cases,
those involving aliens. E.g., Graham v. Richardson, 403 U.S. 365 , 372
(1971).
29. Tussman & tenBroek,
The Equal Protection of the Law, 37 Calif.L.Rev. 341,
381 (1949).
30. M. Jones, American Immigration 177-246 (1960).
31. J. Higham, Strangers in the Land (1955); G. Abbott, The Immigrant and the
Community (1917); P. Roberts, The New Immigration 66-73, 86-91, 248-261 (1912).
See also E. Fenton, Immigrants and Unions: A Case Study 561-562 (1975).
32.
Members of various religious and ethnic groups, primarily but not exclusively
of Eastern, Middle, and Southern European ancestry, such as Jews, Catholics,
Italians, Greeks, and Slavic groups, continue to be excluded from executive,
middle-management, and other job levels because of discrimination based upon
their religion and/or national origin.
41 CFR § 60-50.1(b) (1977).
33. E.g., P. Roberts, supra, n. 31 , at 75; G. Abbott, supra, n. 31 , at 270-271.
See generally n. 31 , supra.
34. In the view of
MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE
MARSHALL, and MR. JUSTICE BLACKMUN, the pliable notion
of "stigma" is the crucial
element in analyzing racial classifications, see, e.g., post at 361 , 362 . The
Equal Protection Clause is not framed in terms of "stigma." Certainly
the word has no clearly defined constitutional meaning. It reflects a subjective
judgment that is standardless. All state-imposed classifications that rearrange
burdens and benefits on the basis of race are likely to be viewed with
deep resentment by the individuals burdened. The denial to innocent persons
of
equal rights and
opportunities may outrage those so deprived, and therefore may be perceived
as invidious. These individuals are likely to find little comfort in the
notion that the deprivation they are asked to endure is merely the price
of membership
in the dominant majority, and that its imposition is inspired by the supposedly
benign purpose of aiding others. One should not lightly dismiss the inherent
unfairness of, and the perception of mistreatment that accompanies, a system
of allocating benefits and privileges on the basis of skin color and ethnic
origin.
Moreover, MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE MARSHALL,
and MR. JUSTICE BLACKMUN offer no principle for deciding whether preferential
classifications reflect a benign remedial purpose or a malevolent stigmatic
classification,
since
they are willing in this case to accept mere post hoc declarations by an
isolated state entity -- a medical school faculty -- unadorned by particularized
findings
of past discrimination, to establish such a remedial purpose.
35. Professor Bickel noted the self-contradiction of that view:
The lesson of the great decisions of the Supreme Court and the lesson of contemporary
history have been the same for at least a generation -- discrimination on the
basis of race is illegal, immoral, unconstitutional, inherently wrong, and destructive
of democratic society. Now this is to be unlearned, and we are told that this
is not a matter of fundamental principle, but only a matter of whose ox is gored.
Those for whom racial equality was demanded are to be more equal than others.
Having found support in the Constitution for equality, they now claim support
for inequality under the same Constitution.
A. Bickel, The Morality of Consent 133 (1975).
36. As I am in agreement with the view that race may be taken into account as a factor in an admissions program, I agree with my Brothers BRENNAN, WHITE, MARSHALL, and BLACKMUN that the portion of the judgment that would proscribe all consideration of race must be reversed. See Part V , infra. But I disagree with much that is said in their opinion.
They would require, as a justification for a program such as petitioner's,
only two findings: (i) that there has been some form of discrimination
against the
preferred minority groups by "society at large," post at 369 (it being
conceded that petitioner had no history of discrimination), and (ii) that "there
is reason to believe" that the disparate impact sought to be rectified by
the program is the "product" of such discrimination:
If it was reasonable to conclude -- as we hold that it was -- that the failure
of minorities to qualify for admission at Davis under regular procedures was
due principally to the effects of past discrimination, then there is a reasonable
likelihood that, but for pervasive racial discrimination, respondent would have
failed to qualify for admission even in the absence of Davis' special admissions
program.
Post at 365-366 .
The breadth of this
hypothesis is unprecedented in our constitutional system.
The first step is easily taken. No one denies the regrettable
fact that there has been societal discrimination in
this country against various racial and ethnic groups.
The second step, however, involves a speculative leap:
but for this discrimination by society at large, Bakke "would have failed to qualify for admission" because Negro applicants -- nothing is said about Asians, cf., e.g., post at 374 n. 57 -- would have made better scores. Not one word in the record supports this conclusion, and the authors of the opinion offer no standard for courts to use in applying such a presumption of causation to other racial or ethnic classifications. This failure is a grave one, since, if it may be concluded on this record that each of the minority groups preferred by the petitioner's special program is entitled to the benefit of the presumption, it would seem difficult to determine that any of the dozens of minority groups that have suffered "societal discrimination" cannot
also claim it in any area of social intercourse. See
Part IV-B , infra.
37. Mr. Justice Douglas has noted the problems associated with such inquiries:
The reservation of a proportion of the law school class for members of
selected minority groups is fraught with . . . dangers, for one must immediately
determine
which groups are to receive such favored treatment and which are to be
excluded, the proportions of the class that are to be allocated to each,
and even the
criteria by which to determine whether an individual is a member of a favored
group. [Cf.
Plessy v. Ferguson, 163 U.S. 537 , 549 , 552 (1896).] There is no assurance
that a common agreement can be reached, and first the schools, and then
the courts,
will be buffeted with the competing claims. The University of Washington
included Filipinos, but excluded Chinese and Japanese; another school may
limit its
program to blacks, or to blacks and Chicanos. Once the Court sanctioned
racial preferences
such as these, it could not then wash its hands of the matter, leaving
it entirely in the discretion of the school, for then we would have effectively
overruled
Sweatt v. Painter, 339 U.S. 629 , and allowed imposition of a "zero" allocation.
But what standard is the Court to apply when a rejected applicant of Japanese
ancestry brings suit to require the University of Washington to extend
the same privileges to his group? The Committee might conclude that the
population
of
Washington is now 2% Japanese, and that Japanese also constitute 2% of
the Bar, but that, had they not been handicapped by a history of discrimination,
Japanese
would now constitute 5% of the Bar, or 20%. Or, alternatively, the Court
could attempt to assess how grievously each group has suffered from discrimination,
and allocate proportions accordingly; if that were the standard, the current
University of Washington policy would almost surely fall, for there is
no
Western
State which can claim that it has always treated Japanese and Chinese in
a fair and evenhanded manner. See, e.g., Yick Wo v. Hopkins, 118 U.S. 356
; Terrace
v. Thompson, 263 U.S. 197; Oyama v. California, 332 U.S. 633. This Court
has not sustained a racial classification since the wartime cases of Korematsu
v.
United States, 323 U.S. 214 , and Hirabayashi v. United States, 320 U.S.
81,
involving curfews and relocations imposed upon Japanese-Americans.
Nor, obviously, will the problem be solved if, next year, the Law School included
only Japanese and Chinese, for then Norwegians and Swedes, Poles and Italians,
Puerto Ricans and Hungarians, and all other groups which form this diverse Nation
would have just complaints.
DeFunis v. Odegaard, 416 U.S. 312, 337-340 (1974) (dissenting opinion) (footnotes
omitted) .
38. R. Dahl, A Preface to Democratic Theory (1956); Posner, supra, n. 25 , at 27.
39. Petitioner cites three lower court decisions allegedly deviating from this general rule in school desegregation cases: Offermann v. Nitkowski, 378 F.2d 22 (CA2 1967); Wanner v. County School Board, 357 F.2d 452 (CA4 1966); Springfield School Committee v. Barksdale, 348 F.2d 261 (CA1 1965). Of these, Wanner involved a school system held to have been de jure segregated and enjoined from maintaining segregation; racial districting was deemed necessary. 357 F.2d at 454. Cf. United Jewish Organizations v. Carey, 430 U.S. 144 (1977). In Barksdale and Offermann, courts did approve voluntary districting designed to eliminate discriminatory attendance patterns. In neither, however, was there any showing that the school board planned extensive pupil transportation that might threaten liberty or privacy interests. See Keyes v. School District No. 1, 413 U.S. 189 , 240-250 (1973) (POWELL, J., concurring in part and dissenting in part). Nor were white students deprived of an equal opportunity for education.
Respondent's position is wholly dissimilar to that of a pupil bused from his
neighborhood school to a comparable school in another neighborhood in compliance
with a desegregation decree. Petitioner did not arrange for respondent to attend
a different medical school in order to desegregate Davis Medical School; instead,
it denied him admission, and may have deprived him altogether of a medical education.
40. Every decision upholding the requirement of preferential hiring under the authority of Exec.Order No. 11246, 3 CFR 339 (1964-1965 Comp.), has emphasized the existence of previous discrimination as a predicate for the imposition of a preferential remedy. Contractors Association of Eastern Pennsylvania; Southern Illinois Builders Assn. v. Ogilvie, 471 F.2d 680 (CA7 1972); Joyce v. McCrane, 320 F.Supp. 1284 (NJ 1970); Weiner v. Cuyahoga Community College District, 19 Ohio St.2d 35, 249 N.E.2d 907, cert. denied, 396 U.S. 1004 (1970). See also Rosetti Contracting Co. v. Brennan, 508 F.2d 1039, 1041 (CA7 1975); Associated General Contractors of Massachusetts, Inc. v. Altshuler, 490 F.2d 9 (CA1 1973), cert. denied, 416 U.S. 957 (1974); Northeast Constr. Co. v. Romney, 157 U.S.App.D.C. 381, 383, 390, 485 F.2d 752, 754, 761 (1973).
41. This case does
not call into question congressionally authorized administrative
actions, such as consent decrees under Title VII or approval of reapportionment
plans under § 5 of the Voting Rights Act of 1965, 42 U.S.C. § 1973c
(1970 ed., Supp. V). In such cases, there has been detailed legislative consideration
of the various indicia of previous constitutional or statutory violations, e.g.,
South Carolina v. Katzenbach, 383 U.S. 301 , 308-310 (1966) (§ 5),
and particular administrative bodies have been charged with monitoring
various
activities in
order to detect such violations and formulate appropriate remedies. See
Hampton v. Mow Sun Wong, 426 U.S. 88 , 103 (1976).
Furthermore, we are not here presented with an occasion to review legislation
by Congress pursuant to its powers under § 2 of the Thirteenth Amendment
and § 5 of the Fourteenth Amendment to remedy the effects of prior
discrimination. Katzenbach v. Morgan, 384 U.S. 641 (1966); Jones v. Alfred
H. Mayer Co.,
392 U.S. 409 (1968). We have previously recognized the special competence
of Congress
to make findings with respect to the effects of identified past discrimination
and its discretionary authority to take appropriate remedial measures.
42. Petitioner also cites our decision in Morton v. Mancari, 417 U.S. 535 (1974), for the proposition that the State may prefer members of traditionally disadvantaged groups. In Mancari, we approved a hiring preference for qualified Indians in the Bureau of Indian Affairs of the Department of the Interior (BIA). We observed in that case, however, that the legal status of the BIA is sui generis. Id. at 554. Indeed, we found that the preference was not racial at all, but
an employment criterion reasonably designed to further the cause of Indian self-government
and to make the BIA more responsive to . . . groups . . . whose lives and activities
are governed by the BIA in a unique fashion.
Ibid.
43. A number of distinct
subgoals have been advanced as falling under the rubric
of "compensation for past discrimination." For example, it is said t.hat preferences for Negro applicants may compensate for harm done them personally, or serve to place them at economic levels they might have attained but for discrimination against their forebears. Greenawalt, supra, n. 25 , at 581-586. Another view of the "compensation" goal is that it serves as a form of reparation by the "majority" to a victimized group as a whole. B. Bittker, The Case for Black Reparations (1973). That justification for racial or ethnic preference has been subjected to much criticism. E. Greenawalt, supra, n. 25 , at 581; Posner, supra, n. 25 , at 16-17, and n. 33. Finally, it has been argued that ethnic preferences "compensate" the
group by providing examples of success whom other members
of the group will emulate, thereby advancing the group's
interest and society's interest in encouraging new
generations to overcome the barriers and frustrations
of the past. Redish, supra, n. 25 , at 391. For purposes
of analysis these subgoals need not be considered separately.
Racial
classifications in admissions conceivably could serve
a fifth purpose, one which petitioner does not articulate:
fair appraisal of each individual's
academic promise in the light of some cultural bias in grading or testing
procedures. To the extent that race and ethnic background were considered
only to the extent
of curing established inaccuracies in predicting academic performance,
it might be argued that there is no "preference" at all. Nothing
in this record, however, suggests either that any of the quantitative factors
considered by
the Medical School were culturally biased, or that petitioner's special
admissions
program was formulated to correct for any such biases. Furthermore, if
race or
ethnic background were used solely to arrive at an unbiased prediction
of academic success, the reservation of fixed numbers of seats would be
inexplicable.
44. MR. JUSTICE BRENNAN,
MR. JUSTICE WHITE, MR. JUSTICE MARSHALL, and MR. JUSTICE
BLACKMUN misconceive the scope of this Court's holdings
under Title VII when they suggest that "disparate impact" alone
is sufficient to establish a violation of that statute
and, by analogy, other civil rights measures. See post
at 363-366 , and n. 42. That this was not the meaning
of Title VII was made quite clear in the seminal decision
in this area, Griggs v. Duke Power Co., 401 U.S. 424
(1971):
Discriminatory preference for any group, minority or majority, is precisely and
only what Congress has proscribed. What is required by Congress is the removal
of artificial, arbitrary, and unnecessary barriers to employment when the barriers
operate invidiously to discriminate on the basis of racial or other impermissible
classification.
Id. at 431 (emphasis added). Thus, disparate impact is a basis for relief
under Title VII only if the practice in question is not founded on "business necessity," ibid.,
or lacks "a manifest relationship to the employment in question," id.
at 432 . See also McDonnell Douglas Corp. v. Green, 411 U.S. 792, 802-803,
805-806 (1973). Nothing in this record -- as opposed to some of the general
literature
cited by MR. JUSTICE BRENNAN, MR JUSTICE WHITE, MR. JUSTICE MARSHALL, and
MR. JUSTICE BLACKMUN -- even remotely suggests that the disparate impact
of the
general admissions program at Davis Medical School, resulting primarily
from the sort
of disparate test scores and grades set forth in n. 7 , supra, is without
educational justification.
Moreover, the presumption in Griggs -- that disparate impact without any showing
of business justification established the existence of discrimination in violation
of the statute -- was based on legislative determinations, wholly absent here,
that past discrimination had handicapped various minority groups to such an extent
that disparate impact could be traced to identifiable instances of past discrimination:
[Congress sought] to achieve equality of employment opportunities and remove
barriers that have operated in the past to favor an identifiable group
of white employees over other employees. Under the Act, practices, procedures,
or tests
neutral on their face, and even neutral in terms of intent, cannot be maintained
if they operate to "freeze" the status quo of prior discriminatory
employment practices.
Griggs, supra at 429-430. See, e.g., H.R.Rep. No. 914, 88th Cong., 1st
Sess., pt. 2, p. 26 (1963) ("Testimony supporting the fact of discrimination in
employment is overwhelming"). See generally Vaas, Title VII: The Legislative
History, 7 B. C. Ind. & Com.L.Rev. 431 (1966). The Court emphasized
that
the Act does not command that any person be hired simply because he was formerly
the subject of discrimination, or because he is a member of a minority group.
401 U.S. at 430-431 . Indeed, § 703(j) of the Act makes it clear that preferential
treatment for an individual or minority group to correct an existing "imbalance" may
not be required under Title VII. 42 U.S.C. § 2000e-2(j). Thus, Title
VII principles support the proposition that findings of identified discrimination
must precede the fashioning of remedial measures embodying racial classifications.
45. For example, the University is unable to explain its selection of only the four favored groups -- Negroes, Mexican-Americans, American Indians, and Asians -- for preferential treatment. The inclusion of the last group is especially curious in light of the substantial numbers of Asians admitted through the regular admissions process. See also n. 37 , supra.
46. The only evidence in the record with respect to such underservice is a newspaper article. Record 473.
47. It is not clear
that petitioner's two-track system, even if adopted
throughout the country, would substantially increase
representation of blacks in the medical profession.
That is the finding of a recent study by Sleeth & Mishell,
Black Under-Representation in United States Medical
Schools, 297 New England J. of Med. 1146 (1977). Those
authors maintain that the cause of black underrepresentation
lies in the small size of the national pool of qualified
black applicants. In their view, this problem is traceable
to the poor premedical experiences of black undergraduates,
and can be remedied effectively only by developing
remedial programs for black students before they enter
college.
48. The president of Princeton University has described some of the benefits derived from a diverse student body:
[A] great deal of learning occurs informally. It occurs through interactions
among students of both sexes; of different races, religions, and backgrounds;
who come from cities and rural areas, from various states and countries;
who have a wide variety of interests, talents, and perspectives; and who
are able,
directly or indirectly, to learn from their differences and to stimulate
one another to reexamine even their most deeply held assumptions about
themselves and their world. As a wise graduate of ours observed in commenting
on this
aspect of the educational process, "People do not learn very much
when they are surrounded only by the likes of themselves."
* * * *
In the nature of things,
it is hard to know how, and when, and even if, this
informal "learning through diversity" actually
occurs. It does not occur for everyone. For many, however,
the unplanned, casual encounters with roommates, fellow
sufferers in an organic chemistry class, student workers
in the library, teammates on a basketball squad, or
other participants in class affairs or student government
can be subtle and yet powerful sources of improved
understanding and personal growth.
Bowen, Admissions and the Relevance of Race, Princeton Alumni Weekly 7, 9 (Sept.
26, 1977).
49. Graduate admissions decisions, like those at the undergraduate level, are concerned with
assessing the potential contributions to the society of each individual candidate
following his or her graduation -- contributions defined in the broadest way
to include the doctor and the poet, the most active participant in business or
government affairs and the keenest critic of all things organized, the solitary
scholar and the concerned parent.
Id. at 10.
50. See Manning, The Pursuit of Fairness in Admissions to Higher Education, in Carnegie Council on Policy Studies in Higher Education, Selective Admission in Higher Education 19, 57-59 (1977).
51. The admissions program at Princeton has been described in similar terms:
While race is not, in and of itself, a consideration in determining basic qualifications,
and while there are obviously significant differences in background and experience
among applicants of every race, in some situations, race can be helpful information
in enabling the admission officer to understand more fully what a particular
candidate has accomplished -- and against what odds. Similarly, such factors
as family circumstances and previous educational opportunities may be relevant,
either in conjunction with race or ethnic background (with which they may be
associated) or on their own.
Bowen, supra, n. 48 , at 8-9.
For an illuminating discussion of such flexible admissions systems, see Manning,
supra, n. 50 , at 57-59.
52. The denial to respondent of this right to individualized consideration without regard to his race is the principal evil of petitioner' special admissions program. Nowhere in the opinion of MR. JUSTICE BRENNAN, MR JUSTICE WHITE, MR. JUSTICE MARSHALL, and MR JUSTICE BLACKMUN is this denial even addressed.
53. Universities, like the prosecutor in Swain, may make individualized decisions,
in which ethnic background plays a part, under a presumption of legality and
legitimate educational purpose. So long as the university proceeds on an individualized,
case-by-case basis, there is no warrant for judicial interference in the academic
process. If an applicant can establish that the institution does not adhere to
a policy of individual comparisons, or can show that a systematic exclusion of
certain groups results, the presumption of legality might be overcome, creating
the necessity of proving legitimate educational purpose.
There also are strong
policy reasons that correspond to the constitutional
distinction between petitioner's preference program and one that assures
a measure of competition
among all applicants. Petitioner's program will be viewed as inherently
unfair by the public generally, as well as by applicants for admission
to state
universities. Fairness in individual competition for opportunities, especially
those provided
by the State, is a widely cherished American ethic. Indeed, in a broader
sense, an underlying assumption of the rule of law is the worthiness of
a system of
justice based on fairness to the individual. As Mr. Justice Frankfurter
declared in another connection, "[j]ustice must satisfy the appearance of justice." Offutt
v. United States, 348 U.S. 11, 14 (1954).
54. There is no occasion
for remanding the case to permit petitioner to reconstruct
what might have happened if it had been operating the
type of program described
as legitimate in Part V , supra. Cf. Mt. Healthy City Board of Ed. v. Doyle,
429 U.S. 274, 284-287 (1977). In Mt. Healthy, there was considerable doubt
whether protected First Amendment activity had been the "but for" cause
of Doyle's protested discharge. Here, in contrast, there is no question
as to the
sole reason for respondent's rejection -- purposeful racial discrimination
in the form of the special admissions program. Having injured respondent
solely on the basis of an unlawful classification, petitioner cannot now
hypothesize
that it might have employed lawful means of achieving the same result.
See Arlington
Heights v. Metropolitan Housing Dev. Corp., 429 U.S. at 265-266 . No one
can say how -- or even if -- petitioner would have operated its admissions
process
if it had known that legitimate alternatives were available. Nor is there
a record revealing that legitimate alternative grounds for the decision
existed, as there
was in Mt. Healthy. In sum, a remand would result in fictitious recasting
of
past conduct.
55. This statement appears in the Appendix to the Brief for Columbia University,
Harvard University, Stanford University, and the University of Pennsylvania,
as Amici Curiae.
BRENNAN, J., Concurring in Judgment, Dissenting in Part
Opinion of MR. JUSTICE BRENNAN, MR. JUSTICE WHITE, MR. JUSTICE MARSHALL, and
MR, JUSTICE BLACKMUN, concurring in the judgment in part and dissenting in part.
The Court today, in reversing in part the judgment of the Supreme Court of California,
affirms the constitutional power of Federal and State Governments to act affirmatively
to achieve equal opportunity for all. The difficulty of the issue presented --
whether government may use race-conscious programs to redress the continuing
effects of past discrimination -- [p*325] and the mature consideration which
each of our Brethren has brought to it have resulted in many opinions, no single
one speaking for the Court. But this should not and must not mask the central
meaning of today's opinions: Government may take race into account when it acts
not to demean or insult any racial group, but to remedy disadvantages cast on
minorities by past racial prejudice, at least when appropriate findings have
been made by judicial, legislative, or administrative bodies with competence
to act in this area.
THE CHIEF JUSTICE and
our Brothers STEWART, REHNQUIST, and STEVENS, have concluded
that Title VI of the Civil Rights Act of
1964, 78 Stat. 252, as amended, 42
U.S.C. § 2000d
et seq., prohibits programs such as that at the Davis Medical School. On this
statutory theory alone, they would hold that respondent Allan Bakke's rights
have been violated, and that he must, therefore, be admitted to the Medical School.
Our Brother POWELL, reaching the Constitution, concludes that, although race
may be taken into account in university admissions, the particular special admissions
program used by petitioner, which resulted in the exclusion of respondent Bakke,
was not shown to be necessary to achieve petitioner's stated goals. Accordingly,
these Members of the Court form a majority of five affirming the judgment of
the Supreme Court of California insofar as it holds that respondent Bakke "is
entitled to an order that he be admitted to the University." 18 Cal.3d
34, 64, 553 P.2d 1152, 1172 (1976).
We agree with MR. JUSTICE POWELL that, as applied to the case before us, Title
VI goes no further in prohibiting the use of race than the Equal Protection Clause
of the Fourteenth Amendment itself. We also agree that the effect of the California
Supreme Court's affirmance of the judgment of the Superior Court of California
would be to prohibit the University from establishing in the future affirmative
action programs that take race into account. See ante at 271 n . Since we conclude
that the affirmative admissions program at the Davis [p*326] Medical School is
constitutional, we would reverse the judgment below in all respects. MR. JUSTICE
POWELL agrees that some uses of race in university admissions are permissible
and, therefore, he joins with us to make five votes reversing the judgment below
insofar as it prohibits the University from establishing race-conscious programs
in the future. [n1]
I
Our Nation was founded
on the principle that "all Men are created equal." Yet candor requires acknowledgment that the Framers of our Constitution, to forge the 13 Colonies into one Nation, openly compromised this principle of equality with its antithesis: slavery. The consequences of this compromise are well known, and have aptly been called our "American Dilemma." Still,
it is well to recount how recent the time has ben,
if it has yet come, when the promise of our principles
has flowered into the actuality of equal opportunity
for all regardless of race or color.
The
Fourteenth Amendment, the embodiment in the Constitution
of our abiding belief in human equality, has been the
law of our land for only slightly
more than half
its 200 years. And for half of that half, the Equal Protection Clause of
the Amendment was largely moribund, so that, as late as 1927, Mr. Justice
Holmes
could sum up the importance of that Clause by remarking that it was the "last
resort of constitutional arguments." Buck v. Bell, 274 U.S. 200 , 208 (1927).
Worse than desuetude, the Clause was early turned against those whom it was intended
to set free, condemning them to a "separate but equal" [n2] status
before the law, a status [p*327] always separate but seldom equal. Not until
1954 -- only 24 years ago -- was this odious doctrine interred by our decision
in Brown v. Board of Education, 347 U.S. 483 (Brown I), and its progeny, [n3]
which proclaimed that separate schools and public facilities of all sorts were
inherently unequal and forbidden under our Constitution. Even then, inequality
was not eliminated with "all deliberate speed." Brown v. Board
of Education, 349 U.S. 294 , 301 (1955). In 1968 [n4] and again in 1971,
[n5]
for example,
we were forced to remind school boards of their obligation to eliminate
racial discrimination root and branch. And a glance at our docket [n6]
and at dockets
of lower courts will show that, even today, officially sanctioned discrimination
is not a thing of the past.
Against this background, claims that law must be "colorblind" or that
the datum of race is no longer relevant to public policy must be seen as aspiration,
rather than as description of reality. This is not to denigrate aspiration; for
reality rebukes us that race has too often been used by those who would stigmatize
and oppress minorities. Yet we cannot -- and, as we shall demonstrate, need not
under our Constitution or Title VI, which merely extends the constraints of the
Fourteenth Amendment to private parties who receive federal funds -- let color
blindness become myopia which masks the reality that many "created equal" have
been treated within our lifetimes as inferior both by the law and by their
fellow citizens. [p*328]
II
The threshold question we must decide is whether Title VI of the Civil Rights
Act of 1964 bars recipients of federal funds from giving preferential consideration
to disadvantaged members of racial minorities as part of a program designed to
enable such individuals to surmount the obstacles imposed by racial discrimination.
[n7] We join Parts I and V-C of our Brother POWELL's opinion, and three of us
agree with his conclusion in Part II that this case does not require us to resolve
the question whether there is a private right of action under Title VI. [n8]
In our view, Title VI prohibits only those uses of racial criteria that would
violate the Fourteenth Amendment if employed by a State or its agencies; it does
not bar the preferential treatment of racial minorities as a means of remedying
past societal discrimination to the extent that such action is consistent with
the Fourteenth Amendment. The legislative history of Title VI, administrative
regulations interpreting the statute, subsequent congressional and executive
action, and the prior decisions of this Court compel this conclusion. None of
these sources lends support to the proposition that Congress intended to bar
all race-conscious efforts to extend the benefits of federally financed programs
to minorities who have been historically excluded from the full benefits of American
life.
A
The history of Title VI -- from President Kennedy's request that Congress grant
executive departments and agencies authority [p*329] to cut off federal funds
to programs that discriminate against Negroes through final enactment of legislation
incorporating his proposals -- reveals one fixed purpose: to give the Executive
Branch of Government clear authority to terminate federal funding of private
programs that use race as a means of disadvantaging minorities in a manner that
would be prohibited by the Constitution if engaged in by government.
This purpose was first expressed in President Kennedy's June 19, 1963, message
to Congress proposing the legislation that subsequently became the Civil Rights
Act of 1964. [n9] [p*330] Representative Celler, the Chairman of the House Judiciary
Committee, and the floor manager of the legislation in the House, introduced
Title VI in words unequivocally expressing the intent to provide the Federal
Government with the means of assuring that its funds were not used to subsidize
racial discrimination inconsistent with the standards imposed by the Fourteenth
and Fifth Amendments upon state and federal action.
The bill would offer assurance that hospitals financed by Federal money would
not deny adequate care to Negroes. It would prevent abuse of food distribution
programs whereby Negroes have been known to be denied food surplus supplies when
white persons were given such food. It would assure Negroes the benefits now
accorded only white students in programs of high[er] education financed by Federal
funds. It would, in short, assure the existing right to equal treatment in the
enjoyment of Federal funds. It would not destroy any rights of private property
or freedom of association.
110 Cong.Rec. 1519
(1964). It was clear to Representative Celler that Title
VI, apart from the fact that it reached all federally
funded activities
even in the
absence of sufficient state or federal control to invoke the Fourteenth
or Fifth Amendments, was not placing new substantive limitations upon the
use
of racial
criteria, but rather was designed to extend to such activities "the existing
right to equal treatment" enjoyed by Negroes under those Amendments,
and he later specifically defined the purpose of Title VI in this way:
In general, it seems rather anomalous that the Federal Government should aid and abet discrimination on the basis of race, color, or national origin by granting money [p*331] and other kinds of financial aid. It seems rather shocking, moreover, that, while we have on the one hand the 14th Amendment, which is supposed to do away with discrimination, since it provides for equal protection of the laws, on the other hand, we have the Federal Government aiding and abetting those who persist in practicing racial discrimination.
It is for these reasons that we bring forth title VI. The enactment of title
VI will serve to override specific provisions of law which contemplate Federal
assistance to racially segregated institutions.
Id. at 2467. Representative Celler also filed a memorandum setting forth the
legal basis for the enactment of Title VI which reiterated the theme of his oral
remarks:
In exercising its authority to fix the terms on which Federal funds will be disbursed
. . . . Congress clearly has power to legislate so as to insure that the Federal
Government does not become involved in a violation of the Constitution.
Id. at 1528.
Other sponsors of the legislation agreed with Representative Celler that the
function of Title VI was to end the Federal Government's complicity in conduct,
particularly the segregation or exclusion of Negroes, inconsistent with the standards
to be found in the antidiscrimination provisions of the Constitution. Representative
Lindsay, also a member of the Judiciary Committee, candidly acknowledged, in
the course of explaining why Title VI was necessary, that it did not create any
new standard of equal treatment beyond that contained in the Constitution:
Both the Federal Government and the States are under constitutional mandates
not to discriminate. Many have raised the question as to whether legislation
is required at all. Does not the Executive already have the power in the distribution
of Federal funds to apply those conditions which will enable the Federal Government
itself to live up to the mandate of the Constitution and to require [p*332] States
and local government entities to live up to the Constitution, most especially
the 5th and 14th amendments?
Id. at 2467. He then explained that legislation was needed to authorize the termination
of funding by the Executive Branch because existing legislation seemed to contemplate
the expenditure of funds to support racially segregated institutions. Ibid. The
views of Representatives Celler and Lindsay concerning the purpose and function
of Title VI were shared by other sponsors and proponents of the legislation in
the House. [n10] Nowhere is there any suggestion that Title VI was intended to
terminate federal funding for any reason other than consideration of race or
national origin by the recipient institution in a manner inconsistent with the
standards incorporated in the Constitution.
The Senate's consideration of Title VI reveals an identical understanding concerning
the purpose and scope of the legislation. Senator Humphrey, the Senate floor
manager, opened the Senate debate with a section-by-section analysis of the Civil
Rights Act in which he succinctly stated the purpose of Title VI:
The purpose of title VI is to make sure that funds of the United States are not
used to support racial discrimination. In many instances, the practices of segregation
or discrimination, which title VI seeks to end, are unconstitutional. This is
clearly so wherever Federal funds go to a State agency which engages in racial
discrimination. It may also be so where Federal funds go to support private,
segregated institutions, under the decision in Simkins v. Moses H. Cone Memorial
Hospital, 323 F.2d 959 (C.A. 4, 1963), [cert. denied, 376 U.S. 938 (1964)]. In
all cases, such discrimination is contrary to national policy, and to the moral
sense of the Nation. Thus, title VI is simply [p*333] designed to insure that
Federal funds are spent in accordance with the Constitution and the moral sense
of the Nation.
Id. at 6544. Senator Humphrey, in words echoing statements in the House, explained
that legislation was needed to accomplish this objective because it was necessary
to eliminate uncertainty concerning the power of federal agencies to terminate
financial assistance to programs engaging in racial discrimination in the face
of various federal statutes which appeared to authorize grants to racially segregated
institutions. Ibid. Although Senator Humphrey realized that Title VI reached
conduct which, because of insufficient governmental action, might be beyond the
reach of the Constitution, it was clear to him that the substantive standard
imposed by the statute was that of the Fifth and Fourteenth Amendments. Senate
supporters of Title VI repeatedly expressed agreement with Senator Humphrey's
description of the legislation as providing the explicit authority and obligation
to apply the standards of the Constitution to all recipients of federal funds.
Senator Ribicoff described the limited function of Title VI:
Basically, there is a constitutional restriction against discrimination in the
use of Federal funds; and title VI simply spells out the procedure to be used
in enforcing that restriction.
Id. at 13333. Other strong proponents of the legislation in the Senate repeatedly
expressed their intent to assure that federal funds would only be spent in accordance
with constitutional standards. See remarks of Senator Pastore, id. at 7057, 7062;
Senator Clark, id. at 5243; Senator Allott, id. at 12675, 12677. [n11] [p*334]
Respondent's contention that Congress intended Title VI to bar affirmative action
programs designed to enable minorities disadvantaged by the effects of discrimination
to participate in federally financed programs is also refuted by an examination
of the type of conduct which Congress thought it was prohibiting by means of
Title VI. The debates reveal that the legislation was motivated primarily by
a desire to eradicate a very specific evil: federal financial support of programs
which disadvantaged Negroes by excluding them from participation or providing
them with separate facilities. Again and again supporters of Title VI emphasized
that the purpose of the statute was to end segregation in federally funded activities
and to end other discriminatory uses of race disadvantaging Negroes. Senator
Humphrey set the theme in his speech presenting Title VI to the Senate:
Large sums of money are contributed by the United States each year for the construction,
operation, and maintenance of segregated schools.
* * * *
Similarly, under the Hill-Burton Act, Federal grants are made to hospitals which
admit whites only or Negroes only. . . .
In higher education also, a substantial part of the Federal grants to colleges,
medical schools and so forth, in the South is still going to segregated institutions.
[p*335]
Nor is this all. In several States, agricultural extension services, supported
by Federal funds, maintain racially segregated offices for Negroes and whites.
. . .
. . . Vocational training courses, supported with Federal funds, are given in segregated schools and institutions and often limit Negroes to training in less skilled occupations. In particular localities it is reported that Negroes have been cut off from relief rolls, or denied surplus agricultural commodities, or otherwise deprived of the benefit of federally assisted programs, in retaliation for their participation in voter registration drives, sit-in demonstrations and the like. Id. at 6543-6544. See also the remarks of Senator Pastore (id. at 7054-7055); Senator Ribicoff (id. at 7064-7065); Senator Clark (id. at 5243, 9086); Senator Javits (id. at 6050, 7102). [n12]
The conclusion to be drawn from the foregoing is clear. Congress recognized that
Negroes, in some cases with congressional acquiescence, were being discriminated
against in the administration of programs and denied the full benefits of activities
receiving federal financial support. It was aware that there were many federally
funded programs and institutions which discriminated against minorities in a
manner inconsistent with the standards of the Fifth and Fourteenth Amendments,
but whose activities might not involve sufficient state or federal action so
as to be in violation of these Amendments. Moreover, Congress believed that it
was questionable whether the Executive Branch possessed legal authority to terminate
the funding of activities on the ground that they discriminated racially against
Negroes in a manner violative of the standards contained in the Fourteenth and
Fifth [p*336] Amendments. Congress' solution was to end the Government's complicity
in constitutionally forbidden racial discrimination by providing the Executive
Branch with the authority and the obligation to terminate its financial support
of any activity which employed racial criteria in a manner condemned by the Constitution.
Of course, it might be argued that the Congress which enacted Title VI understood
the Constitution to require strict racial neutrality or color blindness, and
then enshrined that concept as a rule of statutory law. Later interpretation
and clarification of the Constitution to permit remedial use of race would then
not dislodge Title VI's prohibition of race-conscious action. But there are three
compelling reasons to reject such a hypothesis.
First, no decision of this Court has ever adopted the proposition that the Constitution
must be colorblind. See infra at 355-356 .
Second, even if it
could be argued in 1964 that the Constitution might
conceivably require color blindness, Congress surely
would not have chosen
to codify
such a view unless the Constitution clearly required it. The legislative
history
of Title VI, as well as the statute itself, reveals a desire to induce
voluntary compliance with the requirement of nondiscriminatory treatment.
[n13] See § 602
of the Act, 42 U.S.C. § 2000d-1 (no funds shall be terminated unless and
until it has been "determined that compliance cannot be secured by voluntary
means"); H.R.Rep. No. 914, 88th Cong., 1st Sess., pt. 1, p. 25 (1963);
110 Cong Rec. 13700 (1964) (Sen. Pastore); id. at 6546 (Sen. Humphrey).
It is inconceivable
that Congress intended to encourage voluntary efforts to eliminate the
evil of racial discrimination while at the same time forbidding the voluntary
use of
race-conscious remedies to cure acknowledged or obvious statutory violations.
Yet a reading of Title VI as prohibiting all action predicated upon race
which adversely [p*337] affects any individual would require recipients
guilty
of
discrimination to await the imposition of such remedies by the Executive
Branch. Indeed, such
an interpretation of Title VI would prevent recipients of federal funds
from taking race into account even when necessary to bring their programs
into
compliance with federal constitutional requirements. This would be a remarkable
reading
of a statute designed to eliminate constitutional violations, especially
in light of judicial decisions holding that, under certain circumstances,
the
remedial
use of racial criteria is not only permissible, but is constitutionally
required to eradicate constitutional violations. For example, in Board
of Education
v. Swann, 402 U.S. 43 (1971), the Court held that a statute forbidding
the assignment
of students on the basis of race was unconstitutional because it would
hinder the implementation of remedies necessary to accomplish the desegregation
of a school system:
Just as the race of students must be considered in determining whether a constitutional
violation has occurred, so also must race be considered in formulating a remedy.
Id. at 46 . Surely Congress did not intend to prohibit the use of racial criteria
when constitutionally required or to terminate the funding of any entity which
implemented such a remedy. It clearly desired to encourage all remedies, including
the use of race, necessary to eliminate racial discrimination in violation of
the Constitution, rather than requiring the recipient to await a judicial adjudication
of unconstitutionality and the judicial imposition of a racially oriented remedy.
Third, the legislative
history shows that Congress specifically eschewed any
static definition of discrimination in favor of broad
language that could be
shaped by experience, administrative necessity, and evolving judicial doctrine.
Although it is clear from the debates that the supporters of Title VI intended
to ban uses of race prohibited by the Constitution and, more specifically,
the maintenance of segregated [p*338] facilities, they never precisely
defined the
term "discrimination," or what constituted an exclusion from
participation or a denial of benefits on the ground of race. This failure
was not lost
upon its opponents. Senator Ervin complained:
The word "discrimination," as used in this reference, has no contextual
explanation whatever, other than the provision that the discrimination "is
to be against" individuals participating in or benefiting from federally
assisted programs and activities on the ground specified. With this context,
the discrimination condemned by this reference occurs only when an individual
is treated unequally or unfairly because of his race, color, religion,
or national origin. What constitutes unequal or unfair treatment? Section
601
and section
602 of title VI do not say. They leave the determination of that question
to the executive department or agencies administering each program, without
any
guideline whatever to point out what is the congressional intent.
110 Cong.Rec. 5612 (1964). See also remarks of Representative Abernethy (id. at 1619); Representative Dowdy (id. at 1632); Senator Talmadge (id. at 5251); Senator Sparkman (id. at 6052). Despite these criticisms, the legislation's supporters refused to include in the statute or even provide in debate a more explicit definition of what Title VI prohibited.
The explanation for this failure is clear. Specific definitions were undesirable,
in the views of the legislation's principal backers, because Title VI's standard
was that of the Constitution, and one that could and should be administratively
and judicially applied. See remarks of Senator Humphrey (id. at 5253, 6553);
Senator Ribicoff (id. at 7057, 13333); Senator Pastore (id. at 7057); Senator
Javits (id. at 5606-5607, 6050). [n14] Indeed, there was a strong emphasis throughout
[p*339] Congress' consideration of Title VI on providing the Executive Branch
with considerable flexibility in interpreting and applying the prohibition against
racial discrimination. Attorney General Robert Kennedy testified that regulations
had not been written into the legislation itself because the rules and regulations
defining discrimination might differ from one program to another, so that the
term would assume different meanings in different contexts. [n15] This determination
to preserve flexibility in the administration of Title VI was shared by the legislation's
supporters. When Senator Johnston offered an amendment that would have expressly
authorized federal grantees to take race into account in placing children in
adoptive and foster homes, Senator Pastore opposed the amendment, which was ultimately
defeated by a 56-29 vote, on the ground that federal administrators could be
trusted to act reasonably, and that there was no danger that they would prohibit
the use of racial criteria under such circumstances. Id. at 13695.
Congress' resolve not to incorporate a static definition of discrimination into
Title VI is not surprising. In 1963 and 1964, when Title VI was drafted and debated,
the courts had only recently applied the Equal Protection Clause to strike down
public racial discrimination in America, and the scope of that Clause's nondiscrimination
principle was in a state of flux and rapid evolution. Many questions, such as
whether the Fourteenth Amendment barred only de jure discrimination or, in at
least some circumstances, reached de facto discrimination, had not yet received
an authoritative judicial resolution. The congressional debate reflects an awareness
of the evolutionary [p*340] change that constitutional law in the area of racial
discrimination was undergoing in 1964. [n16]
In sum, Congress' equating of Title VI's prohibition with the commands of the
Fifth and Fourteenth Amendments, its refusal precisely to define that racial
discrimination which it intended to prohibit, and its expectation that the statute
would be administered in a flexible manner, compel the conclusion that Congress
intended the meaning of the statute's prohibition to evolve with the interpretation
of the commands of the Constitution. Thus, any claim that the use of racial criteria
is barred by the plain language of the statute must fail in light of the remedial
purpose of Title VI and its legislative history. The cryptic nature of the language
employed in Title VI merely reflects Congress' concern with the then-prevalent
use of racial standards as a means of excluding or disadvantaging Negroes and
its determination to prohibit absolutely such discrimination. We have recently
held that,
"[w]hen aid to
construction of the meaning of words, as used in the
statute, is available, there certainly can be no `rule
of law' which forbids its use, however clear the words
may appear on `superficial examination.'"
Train v. Colorado Public Interest Research Group, 426 U.S. 1, 10 (1976), quoting
United States v. American Trucking Assns., 310 U.S. 534, 544-544 (1940). This
is especially so when, as is the case here, the literal application of what is
believed to be the plain language of the statute, assuming that it is so plain,
would lead to results in direct conflict with Congress' unequivocally expressed
legislative purpose. [n17] [p*341]
B
Section 602 of Title
VI, 42 U.S.C. § 2000d-1, instructs federal agencies
to promulgate regulations interpreting Title [p*342]
VI. These regulations, which, under the terms of the
statute, require Presidential approval, are entitled
to considerable deference in construing Title VI. See,
e.g., Lau v. Nichols, [p*343] 414 U.S. 563 (1974);
Mourning v. Family Publications Service, Inc., 411
U.S. 356, 369 (1973); Red Lion Broadcasting Co. v.
FCC, 395 U.S. 367, 381 (1969). Consequently, it is
most significant that the Department of Health, Education,
and Welfare (HEW), which provides much of the federal
assistance to institutions of higher education, has
adopted regulations requiring affirmative measures
designed to enable racial minorities which have been
previously discriminated against by a federally funded
institution or program to overcome the effects of such
actions and authorizing the voluntary undertaking of
affirmative action programs by federally funded institutions
that have not been guilty of prior discrimination in
order to overcome the effects of conditions which have
adversely affected the degree of participation by persons
of a particular race.
Title
45 FR § 80.3(b)(6)(i) (1977) provides:
In administering a program regarding which the recipient has previously discriminated
against persons on the ground of race, color, or national origin, the recipient
must take affirmative action to overcome the effects of prior discrimination.
Title 45 CFR § 80.5(i)
(1977) elaborates upon this requirement:
In some situations,
even though past discriminatory practices attributable
to a recipient or applicant have been abandoned, the
consequences of such practices continue to impede the
full availability of a benefit. If the efforts required
of the applicant or recipient under § 80.6(d), to provide information as to the availability of the program or activity and the rights of beneficiaries under this regulation, have failed to overcome these consequences, it will become necessary under the requirement stated in (i) of § 80.3(b)(6)
for such applicant or recipient to take additional
steps to make the benefits [p*344] fully available
to racial and nationality groups previously subject
to discrimination. This action might take the form,
for example, of special arrangements for obtaining
referrals or making selections which will insure that
groups previously subjected to discrimination are adequately
served.
These regulations clearly establish that, where there is a need to overcome the
effects of past racially discriminatory or exclusionary practices engaged in
by a federally funded institution, race-conscious action is not only permitted,
but required, to accomplish the remedial objectives of Title VI. [n18] Of course,
there is no evidence that the Medical School has been guilty of past discrimination,
and consequently these regulations would not compel it to employ a program of
preferential admissions in behalf of racial minorities. It would be difficult
to explain from the language of Title I, however, much less from its legislative
history, why the statute compels race-conscious remedies where a recipient institution
has engaged in past discrimination, but prohibits such remedial action where
racial minorities, as a result of the effects of past discrimination imposed
by entities other than the recipient, are excluded from the benefits of federally
funded programs. HEW was fully aware of the incongruous nature of such an interpretation
of Title VI.
Title 45 CFR § 80.3(b)(6)(ii)
(1977) provides:
Even in the absence of such prior discrimination, a recipient, in administering
a program, may take affirmative action to overcome the effects of conditions
which resulted [p*345] in limiting participation by persons of a particular race,
color, or national origin.
An explanatory regulation
explicitly states that the affirmative action which § 80.3(b)(6)(ii)
contemplates includes the use of racial preferences:
Even though an applicant or recipient has never used discriminatory policies,
the services and benefits of the program or activity it administers may not,
in fact, be equally available to some racial or nationality groups. I n such
circumstances, an applicant or recipient may properly give special consideration
to race, color, or national origin to make the benefits of its program more widely
available to such groups, not then being adequately served. For example, where
a university is not adequately serving members of a particular racial or nationality
group, it may establish special recruitment policies to make its program better
known and more readily available to such group, and take other steps to provide
that group with more adequate service.
45 CFR § 80.5(j)
(1977) This interpretation of Title VI is fully consistent
with the statute's emphasis upon voluntary remedial action and reflects
the views of an agency [n19] responsible for achieving its objectives.
[n20]
[p*346]
The Court has recognized that the construction of a statute by those charged with its execution is particularly deserving of respect where Congress has directed its attention to the administrative construction and left it unaltered. Cf. Red Lion Broadcasting Co. v. FCC, 395 U.S. at 381; Zemel v. Rusk, 381 U.S. 1 , 11-12 (1965). Congress recently took just this kind of action when it considered an amendment to the Departments of Labor and Health, Education, and Welfare appropriation bill for 1978, which would have restricted significantly the remedial use of race in programs funded by the appropriation. The amendment, as originally submitted by Representative Ashbrook, provided that [n]one of the funds appropriated in this Act may be used to initiate, carry out or enforce any program of affirmative action or any other system of quotas or goals in regard to admission policies or employment practices which encourage or require any discrimination on the basis of race, creed, religion, sex or age.
123 Cong.Rec. [p*347] 19715 (1977). In support of the measure, Representative
Ashbrook argued that the 1964 Civil Rights Act never authorized the imposition
of affirmative action, and that this was a creation of the bureaucracy. Id. at
19722. He explicitly stated, however, that he favored permitting universities
to adopt affirmative action programs giving consideration to racial identity,
but opposed the imposition of such programs by the Government. Id. at 19715.
His amendment was itself amended to reflect this position by only barring the
imposition of race-conscious remedies by HEW:
None of the funds appropriated in this Act may be obligated or expended in connection
with the issuance, implementation, or enforcement of any rule, regulation, standard,
guideline, recommendation, or order issued by the Secretary of Health, Education,
and Welfare which for purposes of compliance with any ratio, quota, or other
numerical requirement related to race, creed, color, national origin, or sex
requires any individual or entity to take any action with respect to (1) the
hiring or promotion policies or practices of such individual or entity, or (2)
the admissions policies or practices of such individual or entity.
Id. at 19722. This amendment was adopted by the House. Ibid. The Senate bill,
however, contained no such restriction upon HEW's authority to impose race-conscious
remedies, and the Conference Committee, upon the urging of the Secretary of HEW,
deleted the House provision from the bill. [n21] More significant for present
purposes, however, is the fact that even the proponents of imposing limitations
upon HEW's implementation of Title VI did not challenge the right of federally
funded educational institutions voluntarily to extend preferences to racial minorities.
[p*348]
Finally, congressional action subsequent to the passage of Title VI eliminates
any possible doubt about Congress' views concerning the permissibility of racial
preferences for the purpose of assisting disadvantaged racial minorities. It
confirms that Congress did not intend to prohibit, and does not now believe that
Title VI prohibits, the consideration of race as part of a remedy for societal
discrimination even where there is no showing that the institution extending
the preference has been guilty of past discrimination nor any judicial finding
that the particular beneficiaries of the racial preference have been adversely
affected by societal discrimination.
Just last year, Congress enacted legislation [n22] explicitly requiring that no grants shall be made for any local public works project unless the applicant gives satisfactory assurance to the Secretary [of Commerce] that at least 10 per centum of the amount of each grant shall be expended for minority business enterprises.
The statute defines
the term "minority business enterprise" as
a business, at least 50 per centum of which is owned
by minority group members or, in case of a publicly
owned business, at least 51 per centum of the stock
of which is owned by minority group members.
The term "minority group members" is defined in explicitly racial terms: "citizens
of the United States who are Negroes, Spanish-speaking, Orientals, Indians, Eskimos,
and Aleuts." Although the statute contains an exemption from this requirement "to
the extent that the Secretary determines otherwise," this escape clause
was provided only to deal with the possibility that certain areas of the country
might not contain sufficient qualified "minority business enterprises" to
permit compliance with the quota provisions of the legislation. [n23]
The legislative history
of this race-conscious legislation reveals that it represents
a deliberate attempt to deal with [p*349]
the excessive rate of unemployment among minority citizens
and to encourage the development of viable minority
controlled enterprises. [n24] It was believed that
such a "set-aside" was required in order to enable minorities, still "new on the scene" and "relatively small," to compete with larger and more established companies which would always be successful in underbidding minority enterprises. 123 Cong.Rec. 5327 (1977) (Rep. Mitchell). What is most significant about the congressional consideration of the measure is that, although the use of a racial quota or "set-aside" by
a recipient of federal funds would constitute a direct
violation of Title VI if that statute were read to
prohibit race-conscious action, no mention was made
during the debates in either the House or the Senate
of even the possibility that the quota provisions for
minority contractors might in any way conflict with
or modify Title VI. It is inconceivable that such a
purported conflict would have escaped congressional
attention through an inadvertent failure to recognize
the relevance of Title VI. Indeed, the Act of which
this affirmative action provision is a part also contains
a provision barring discrimination on the basis of
sex which states that this prohibition will be enforced
through agency provisions and rules similar to those
already established, with respect to racial and other
discrimination under Title VI of the Civil Rights Act
of 1964.
42 U.S.C. § 6709 (1976 ed.). Thus Congress, was fully aware of the applicability
of Title VI to the funding of public works projects. Under these circumstances,
the enactment of the 10% "set-aside" for minority enterprises
reflects a congressional judgment that the remedial use of race is permissible
under
Title VI. We have repeatedly recognized that subsequent legislation reflecting
an interpretation
of an earlier Act is entitled to great weight in determining the meaning
of the earlier statute. Red Lion Broadcasting Co. v. FCC, 395 U.S. at 380-381;
[p*350]
Erlenbaugh v. United States, 409 U.S. 239, 243-244 (1972). See also United
States v. Stewart, 311 U.S. 60, 64-65 (1940). [n25]
C
Prior decisions of
this Court also strongly suggest that Title VI does
not prohibit the remedial use of race where such action
is constitutionally permissible. In Lau v. Nichols,
414 U.S. 563 (1974), the Court held that the failure
of the San [p*351] Francisco school system to provide
English language instruction to students of Chinese
ancestry who do not speak English, or to provide them
with instruction in Chinese, constituted a violation
of Title VI. The Court relied upon an HEW regulation
which stipulates that a recipient of federal funds "may not . . . utilize criteria or methods of administration which have the effect of subjecting individuals to discrimination" or
have the effect of defeating or substantially impairing
accomplishment of the objectives of the program as
respect individuals of a particular race, color, or
national origin.
45 CFR § 80.3(b)(2)
(1977). It interpreted this regulation as requiring
San Francisco to extend the same educational benefits
to Chinese-speaking
students as to English-speaking students, even though there was no finding
or allegation
that the city's failure to do so was a result of a purposeful design to
discriminate on the basis of race.
Lau is significant in two related respects. First, it indicates that, in at least
some circumstances, agencies responsible for the administration of Title VI may
require recipients who have not been guilty of any constitutional violations
to depart from a policy of color blindness and to be cognizant of the impact
of their actions upon racial minorities. Secondly, Lau clearly requires that
institutions receiving federal funds be accorded considerable latitude in voluntarily
undertaking race-conscious action designed to remedy the exclusion of significant
numbers of [p*352] minorities from the benefits of federally funded programs.
Although this Court has not yet considered the question, presumably, by analogy
to our decisions construing Title VII, a medical school would not be in violation
of Title VI under Lau because of the serious underrepresentation of racial minorities
in its student body as long as it could demonstrate that its entrance requirements
correlated sufficiently with the performance of minority students in medical
school and the medical profession. [n26] It would be inconsistent with Lau and
the emphasis of Title VI and the HEW regulations on voluntary action, however,
to require that an institution wait to be adjudicated to be in violation of the
law before being permitted to voluntarily undertake corrective action based upon
a good faith and reasonable belief that the failure of certain racial minorities
to satisfy entrance requirements is not a measure of their ultimate performance
as doctors, but a result of the lingering effects of past societal discrimination.
We recognize that Lau,
especially when read in light of our subsequent decision
in Washington v. Davis, 426 U.S. 229 (1976), which rejected the general
proposition that governmental action is unconstitutional
solely because it has a racially
disproportionate impact, may be read as being predicated upon the view
that, at least under some circumstances, Title VI proscribes
conduct which might not
be prohibited by the Constitution. Since we are now of the opinion, for
the reasons set forth above, that Title VI's standard,
applicable alike to public and private
recipients of federal funds, is no broader than the Constitution's, we
have serious doubts concerning the correctness of what
appears to be the premise of that decision.
However, even accepting Lau's implication that impact alone is, in some
contexts, sufficient to establish a prima facie violation
of Title VI, contrary to our
view that Title VI's definition of racial discrimination is absolutely
coextensive with the Constitution's, this would not
assist the respondent [p*353] in the
least. First, for the reasons discussed supra at 336-350 , regardless of
whether Title VI's prohibitions extend beyond the Constitution's,
the evidence fails
to establish, and, indeed, compels the rejection of, the proposition that
Congress intended to prohibit recipients of federal
funds from voluntarily employing race-conscious
measures to eliminate the effects of past societal discrimination against
racial minorities such as Negroes. Secondly, Lau itself,
for the reasons set forth in
the immediately preceding paragraph, strongly supports the view that voluntary
race-conscious remedial action is permissible under Title VI. If discriminatory
racial impact alone is enough to demonstrate at least a prima facie Title
VI violation, it is difficult to believe that the Title
would forbid the Medical
School from attempting to correct the racially exclusionary effects of
its initial admissions policy during the first two
years of the School's operation.
The Court has also
declined to adopt a "colorblind" interpretation
of other statutes containing nondiscrimination provisions similar to that contained
in Title VI. We have held under Title VII that, where employment requirements
have a disproportionate impact upon racial minorities, they constitute a statutory
violation, even in the absence of discriminatory intent, unless the employer
is able to demonstrate that the requirements are sufficiently related to the
needs of the job. [n27] More significantly, the Court has required that preferences
be given by employers to members of racial minorities as a remedy for past violations
of Title VII, even where there has been no finding that the employer has acted
with a discriminatory intent. [n28] Finally, we have construed the Voting [p*354]
Rights Act.of 1965, 42 U.S.C. § 1973 et seq. (1970 ed. and Supp. V), which
contains a provision barring any voting procedure or qualification that denies
or abridges "the right of [p*355] any citizen of the United States to vote
on account of race or color," as permitting States to voluntarily
take race into account in a way that fairly represents the voting strengths
of
different racial groups in order to comply with the commands of the statute,
even where
the result is a gain for one racial group at the expense of others. [n29]
These prior decisions are indicative of the Court's unwillingness to construe remedial statutes designed to eliminate discrimination against racial minorities in a manner which would impede efforts to attain this objective. There is no justification for departing from this course in the case of Title
VI and frustrating the clear judgment of Congress that race-conscious remedial action is permissible.
We turn, therefore, to our analysis of the Equal Protection Clause of the Fourteenth
Amendment.
III
A
The assertion of human equality is closely associated with the proposition
that differences in color or creed, birth or status, are neither significant
nor relevant
to the way in which persons should be treated. Nonetheless, the position
that such factors must be "constitutionally an irrelevance," Edwards v.
California, 314 U.S. 160, 185 (1941) (Jackson, J., concurring), summed up by
the shorthand phrase " [o]ur Constitution is color-blind," Plessy
v. Ferguson, 163 U.S. 537 , 559 (1896) (Harlan, J., dissenting), has never
been
adopted by this Court as the proper meaning of the Equal Protection Clause.
Indeed, [p*356] we have expressly rejected this proposition on a number
of occasions.
Our cases have always
implied that an "overriding statutory purpose," McLaughlin
v. Florida, 379 U.S. 184, 192 (1984), could be found that would justify racial
classifications. See, e.g., ibid.; Loving v. Virginia, 388 U.S. 1 , 11 (1967);
Korematsu v. United States, 323 U.S. 214 , 216 (1944); Hirabayashi v. United
States, 320 U.S. 81, 100-101 (1943). More recently, in McDaniel v. Barresi, 402
U.S. 39 (1971) this Court unanimously reversed the Georgia Supreme Court which
had held that a desegregation plan voluntarily adopted by a local school board,
which assigned students on the basis of race, was per se invalid because it was
not colorblind. And in North Carolina Board of Education v. Swann, we held, again
unanimously, that a statute mandating colorblind school assignment plans could
not stand "against the background of segregation," since such a limit
on remedies would "render illusory the promise of Brown [I]." 402
U.S. at 45-46.
We conclude, therefore, that racial classifications are not per se invalid under
the Fourteenth Amendment. Accordingly, we turn to the problem of articulating
what our role should be in reviewing state action that expressly classifies by
race.
B
Respondent argues that
racial classifications are always suspect, and, consequently,
that this Court should weigh the importance of the objectives
served by Davis'
special admissions program to see if they are compelling. In addition,
he asserts that this Court must inquire whether, in its judgment, there
are
alternatives
to racial classifications which would suit Davis' purposes. Petitioner,
on the other hand, states that our proper role is simply to accept petitioner's
determination
that the racial classifications used by its program are reasonably related
to what it tells us are its benign [p*357] purposes. We reject petitioner's
view,
but, because our prior cases are in many respects inapposite to that before
us now, we find it necessary to define with precision the meaning of that
inexact term, "strict scrutiny."
Unquestionably we have
held that a government practice or statute which restricts "fundamental rights" or which contains "suspect classifications" is to be subjected to "strict scrutiny," and
can be justified only if it furthers a compelling government
purpose and, even then, only if no less restrictive
alternative is available. [n30] See, e.g., San Antonio
Independent School District v. Rodriguez, 411 U.S.
1 , 16-17 (1973); Dunn v. Blumstein, 405 U.S. 330 (1972).
But no fundamental right is involved here. See San
Antonio, supra at 29-36 . Nor do whites, as a class,
have any of the traditional indicia of suspectness:
the class is not saddled with such disabilities, or
subjected to such a history of purposeful unequal treatment,
or relegated to such a position of political powerlessness
as to command extraordinary protection from the majoritarian
political process. Id. at 28; see United States v.
Carolene Products Co., 304 U.S. 144 , 152 n. 4 (1938).
[n31]
Moreover, if the University's
representations are credited, this is not a case where
racial classifications are "irrelevant, and therefore
prohibited."
Hirabayashi, supra at 100. Nor has anyone suggested that the University's purposes contravene the cardinal principle that racial classifications that stigmatize -- because they are drawn on the presumption that one race is inferior to another or because they put the weight of government [p*358] behind racial hatred and separatism -- are invalid without more. See Yick Wo v. Hopkins, 118 U.S. 356 , 374 (1886); [n32] accord, Strauder v. West Virginia, 100 U.S. 303 , 308 (1880); Korematsu v. United States, supra at 223 ; Oyama v. California, 332 U.S. 633, 663 (1948) (Murphy, J., concurring); Brown I, 347 U.S. 483 (1954); McLaughlin v. Florida, supra, at 191-192; Loving v. Virginia, supra, at 11-12 ; Reitman v. Mulkey, 387 U.S. 369, 375-376 (1967); United Jewish Organizations v. Carey, 430 U.S. 144, 165 (1977) (UJO) (opinion of WHITE, J., joined by REHNQUIST and STEVENS, JJ.); id. at 169 (opinion concurring in part). [n33]
On the other hand, the fact that this case does not fit neatly into our prior
analytic framework for race cases does not mean that it should be analyzed by
applying the very loose rational basis standard of review that is the very least
that is always applied in equal protection cases. [n34]
"[T]he mere recitation of a benign, compensatory purpose is not an automatic
shield [p*359] which protects.against any inquiry into the actual purpose
underlying a statutory scheme."
Califano v. Webster,
430 U.S. 313, 317 (1977), quoting Weinberger v. Wiesenfeld,
420 U.S. 636, 648 (1975). Instead, a number of considerations -- developed
in gender discrimination cases but which carry even more force when applied
to racial
classifications -- lead us to conclude that racial classifications designed
to further remedial purposes "`must serve important governmental objectives,
and must be substantially related to achievement of those objectives.'" Califano
v. Webster, supra at 317, quoting Craig v. Boren, 429 U.S. 190 , 197 (1976).
[n35] [p*360]
First, race, like, "gender-based classifications, too often [has] been inexcusably
utilized to stereotype and stigmatize politically powerless segments of society." Kahn
v. Shevin, 416 U.S. 351, 357 (1974) (dissenting opinion). While a carefully
tailored statute designed to remedy past discrimination could avoid these
vices, see Califano
v. Webster, supra; Schlesinger v. Ballard, 419 U.S. 498 (1975); Kahn v.
Shevin, supra, we nonetheless have recognized that the line between honest
and thoughtful
appraisal of the effects of past discrimination and paternalistic stereotyping
is not so clear, and that a statute based on the latter is patently capable
of stigmatizing all women with a badge of inferiority. Cf. Schlesinger
v. Ballard, supra at 508; UJO, supra at 174, and n. 3 (opinion concurring
in
part); Califano
v. Goldfarb, 430 U.S. 199, 223 (1977) (STEVENS, J., concurring in judgment).
See also Stanton v. Stanton, 421 U.S. 7, 14-15 (1975). State programs designed
ostensibly to ameliorate the effects of past racial discrimination obviously
create the same hazard of stigma, since they may promote racial separatism
and
reinforce the views of those who believe that members of racial minorities
are inherently incapable of succeeding on their own. See UJO, supra at
172 (opinion
concurring in part); ante at 298 (opinion of POWELL, J.).
Second, race, like
gender and illegitimacy, see Weber v. Aetna Casualty & Surety
Co., 406 U.S. 164 (1972), is an immutable characteristic which its possessors
are powerless to escape or set aside. While a classification is not per se invalid
because it divides classes on the basis of an immutable characteristic, see supra
at 355-356, it is nevertheless true that such divisions are contrary to our deep
belief that "legal burdens should bear some relationship to individual responsibility
or [p*361] wrongdoing," Weber, supra at 175; Frontiero v. Richardson,
411 U.S. 677 , 686 (1973) (opinion of BRENNAN, WHITE, and MARSHALL, JJ.),
and that
advancement sanctioned, sponsored, or approved by the State should ideally
be based on individual merit or achievement, or at the least on factors
within the
control of an individual. See UJO, 430 U.S. at 173 (opinion concurring
in part); Kotch v. Board of River Port Pilot Comm'rs, 330 U.S. 552, 566
(1947)
(Rutledge,
J., dissenting).
Because this principle
is so deeply rooted, it might be supposed that it would
be considered in the legislative process and weighed
against the benefits of programs preferring individuals
because of their race. But this is not necessarily so:
the natural consequence of our governing processes
[may well be] that the most "discrete and insular" of
whites . . . will be called upon to bear the immediate,
direct costs of benign discrimination.
UJO, supra at 174 (opinion concurring in part). Moreover, it is clear from our
cases that there are limits beyond which majorities may not go when they classify
on the basis of immutable characteristics. See, e.g., Weber, supra. Thus, even
if the concern for individualism is weighed by the political process, that weighing
cannot waive the personal rights of individuals under the Fourteenth Amendment.
See Lucas v. Colorado General Assembly, 377 U.S. 713, 736 (1964).
In sum, because of
the significant risk that racial classifications established
for ostensibly benign purposes can be misused, causing effects not unlike
those created by invidious classifications, it is inappropriate to inquire
only whether
there is any conceivable basis that might sustain such a classification.
Instead, to justify such a classification, an important and articulated
purpose for
its use must be shown. In addition, any statute must be stricken that stigmatizes
any group or that singles out those least well represented in the political
process
to bear the brunt of a benign program. Thus, our review under the Fourteenth
Amendment should be [p*362] strict -- not "`strict' in theory and fatal
in fact," [n36] because it is stigma that causes fatality -- but strict
and searching nonetheless.
IV
Davis' articulated purpose of remedying the effects of past societal discrimination
is, under our cases, sufficiently important to justify the use of race-conscious
admissions programs where there is a sound basis for concluding that minority
underrepresentation is substantial and chronic, and that the handicap of past
discrimination is impeding access of minorities to the Medical School.
A
At least since Green
v. County School Board, 391 U.S. 430 (1968), it has
been clear that a public body which has itself been adjudged
to have engaged
in
racial discrimination cannot bring itself into compliance with the Equal
Protection Clause simply by ending its unlawful acts and adopting a neutral
stance. Three
years later, Swann v. Charlotte-Mecklenburg Board of Education, 402 U.S.
1 (1971),
and its companion cases, Davis v. School Comm'rs of Mobile County, 402
U.S. 33 (1971); McDaniel v. Barresi, 402 U.S. 39 (1971); and North Carolina
Board
of
Education v. Swann, 402 U.S. 43 (1971), reiterated that racially neutral
remedies for past discrimination were inadequate where consequences of
past discriminatory
acts influence or control present decisions. See, e.g., Charlotte-Mecklenburg,
supra at 28 . And the Court further held both that courts could enter desegregation
orders which assigned students and faculty by reference to race, Charlotte-Mecklenburg,
supra; Davis, supra; United States v. Montgomery County Board of Ed., 395
U.S. 225 (1969), and that local school boards could voluntarily adopt desegregation
[p*363] plans which made express reference to race if this was necessary
to
remedy the effects of past discrimination. McDaniel v. Barresi, supra.
Moreover, we
stated that school boards, even in the absence of a judicial finding of
past discrimination, could voluntarily adopt plans which assigned students
with
the end of creating racial pluralism by establishing fixed ratios of black
and white
students in each school. Charlotte-Mecklenburg, supra at 16 . In each instance,
the creation of unitary school systems, in which the effects of past discrimination
had been "eliminated root and branch," Green, supra at 438, was
recognized as a compelling social goal justifying the overt use of race.
Finally, the conclusion that state educational institutions may constitutionally
adopt admissions programs designed to avoid exclusion of historically disadvantaged
minorities, even when such programs explicitly take race into account, finds
direct support in our cases construing congressional legislation designed to
overcome the present effects of past discrimination. Congress can and has outlawed
actions which have a disproportionately adverse and unjustified impact upon members
of racial minorities and has required or authorized race-conscious action to
put individuals disadvantaged by such impact in the position they otherwise might
have enjoyed. See Franks v. Bowman Transportation Co., 424 U.S. 747 (1976); Teamsters
v. United States, 431 U.S. 324 (1977). Such relief does not require as a predicate
proof that recipients of preferential advancement have been individually discriminated
against; it is enough that each recipient is within a general class of persons
likely to have been the victims of discrimination. See id. at 357-362. Nor is
it an objection to such relief that preference for minorities will upset the
settled expectations of nonminorities. See Franks, supra. In addition, we have
held that Congress, to remove barriers to equal opportunity, can and has required
employers to use test criteria that fairly reflect the qualifications of minority
applicants [p*364] vis-a-vis nonminority applicants, even if this means interpreting
the qualifications of an applicant in light of his race. See Albemarle Paper
Co. v. Moody, 422 U.S. 405, 435 (1975). [n37]
These cases cannot be distinguished simply by the presence of judicial findings
of discrimination, for race-conscious remedies have been approved where such
findings have not been made. McDaniel v. Barresi, supra; UJO; see Califano v.
Webster, 430 U.S. 313 (1977); Schlesinger v. Ballard, 419 U.S. 498 (1975); Kahn
v. Shevin, 416 U.S. 351 (1974). See also Katzenbach v. Morgan, 384 U.S. 641 (1966).
Indeed, the requirement of a judicial determination of a constitutional or statutory
violation as a predicate for race-conscious remedial actions would be self-defeating.
Such a requirement would severely undermine efforts to achieve voluntary compliance
with the requirements of law. And our society and jurisprudence have always stressed
the value of voluntary efforts to further the objectives of the law. Judicial
intervention is a last resort to achieve cessation of illegal conduct or the
remedying of its effects, rather than a prerequisite to action. [n38] [p*365]
Nor can our cases be
distinguished on the ground that the entity using explicit
racial classifications itself had violated § 1 of the Fourteenth Amendment
or an antidiscrimination regulation, for again race-conscious remedies have been
approved where this is not the case. See UJO, 430 U.S. at 157 (opinion of WHITE,
J., joined by BRENNAN, BLACKMUN, and STEVENS, JJ.); [n39] id. at 167 (opinion
of WHITE, J., joined by REHNQUIST and STEVENS, JJ.); [n40] cf. Califano v. Webster,
supra, at 317; Kahn v. Shevin, supra. Moreover, the presence or absence of past
discrimination by universities or employers is largely irrelevant to resolving
respondent's constitutional claims. The claims of those burdened by the race-conscious
actions of a university or employer who has never been adjudged in violation
of an antidiscrimination law are not any more or less entitled to deference than
the claims of the burdened nonminority workers in Franks v. Bowman Transportation
Co., supra, in which the employer had violated Title VII, for, in each case,
the employees are innocent of past discrimination. And, although it might be
argued that, where an employer has violated an antidiscrimination law, the expectations
of nonminority workers are themselves products of discrimination and hence "tainted," see
Franks, supra at 776, and therefore more easily upset, the same argument
can be made with respect to respondent. If it was reasonable to conclude
-- as
we hold that it was -- that the failure of minorities to qualify for admission
at
Davis under regular procedures was due principally to the effects of past
discrimination, than there is a reasonable likelihood that, but for pervasive
racial discrimination,
[p*366] respondent would have failed to qualify for admission even in the
absence of Davis' special admissions program. [n41]
Thus, our cases under Title VII of the Civil Rights Act have held that, in order
to achieve minority participation in previously segregated areas of public life,
Congress may require or authorize preferential treatment for those likely disadvantaged
by societal racial discrimination. Such legislation has been sustained even without
a requirement of findings of intentional racial discrimination by those required
or authorized to accord preferential treatment, or a case-by-case determination
that those to be benefited suffered from racial discrimination. These decisions
compel the conclusion that States also may adopt race-conscious programs designed
to overcome substantial, chronic minority underrepresentation where there is
reason to believe that the evil addressed is a product of past racial discrimination.
[n42] [p*367]
Title VII was enacted
pursuant to Congress' power under the Commerce Clause
and § 5 of the Fourteenth Amendment. To he extent that Congress acted under the Commerce Clause power, it was restricted in the use of race in governmental decisionmaking by the equal protection component of the Due Process Clause of the Fifth Amendment precisely to the same extent as are the States by § 1 of the Fourteenth Amendment. [n43] Therefore, to the extent that Title VII rests on the Commerce Clause power, our decisions such a Franks and [p*368] Teamsters v. United States, 431 U.S. 324 (1977), implicitly recognize that the affirmative use of race is consistent with the equal protection component of the Fifth Amendment, and therefore with the Fourteenth Amendment. To the extent that Congress acted pursuant to § 5 of the Fourteenth Amendment, those cases impliedly recognize that Congress was empowered under that provision to accord preferential treatment to victims of past discrimination in order to overcome the effects of segregation, and we see no reason to conclude that the States cannot voluntarily accomplish under § 1 of the Fourteenth Amendment what Congress under § 5 of the Fourteenth Amendment validly may authorize or compel either the States or private persons to do. A contrary position would conflict with the traditional understanding recognizing the competence of the States to initiate measures consistent with federal policy in the absence of congressional preemption of the subject matter. Nothing whatever in the legislative history of either the Fourteenth Amendment or the Civil Rights Acts even remotely suggests that the States are foreclosed from furthering the fundamental purpose of equal opportunity to which the Amendment and these Acts are addressed. Indeed, voluntary initiatives by the States to achieve the national goal of equal opportunity have been recognized to be essential to its attainment. "To use the Fourteenth Amendment as a sword against such State power would stultify that Amendment." Railway
Mail Assn. v. Corsi, 326 U.S. 88, 98 (1945) (Frankfurter,
J., concurring). [n44] We therefore [p*369] conclude
that Davis' goal of admitting minority students disadvantaged
by the effects of past discrimination is sufficiently
important to justify use of race-conscious admissions
criteria.