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