UNITED STATES OF AMERICA, PETITIONER V. PHILLIP PARADISE, JR, ET AL. No. 85-999 In the Supreme Court of the United States October Term, 1985 The Solicitor General, on behalf of the United States of America, petitions for a writ of certiorari to review the judgment of the United States Court of Appeals for the Eleventh Circuit in this case. Petition for a Writ of Certiorari to the United States Court of Appeals for the Eleventh Circuit PARTIES TO THE PROCEEDINGS The parties to the proceedings before the court of appeals were as follows: the United States of America, plaintiff-appellant; Phillip Paradise, Jr., and the class he represents, plaintiffs-appellees; the Alabama Department of Public Safety and its director, Bryon Prescott, defendants-appellees; and V.E. McClellan, William M. Bailey, D.B. Mansell, Dan Davenport, and the class they represent, defendants-intervenors-appellees. TABLE OF CONTENTS Questions Presented Parties to the Proceedings Opinions below Jurisdiction Statement Reasons for granting the petition Conclusion Appendix A Appendix B Appendix C Appendix D Appendix E Appendix F JURISDICTION The judgment of the court of appeals (App. infra, 83a-84a) was entered on August 12, 1985. On November 5, 1985, Justice Powell extended the time to petition for certiorari to and including December 10, 1985. The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1). QUESTIONS PRESENTED 1. Whether the district court's provision of supplemental relief to private plaintiffs in the form of a one-black-for-one-white promotion quota for state troopers constitutes a modification of the promotion requirements of two existing consent decrees and is justified by any post-decree discrimination or other changed circumstances. 2. Whether the one-black-for-one-white promotion quota imposed by the district court is permissible under Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e et seq., inasmuch as it accords preferential treatement to black applicants for promotion who have not been identified as actual victims of racial discrimination. 3. Whether the one-black-for-one-white promotion quota is permissible under the equal protection guarantees of the Fourteenth and Fifth Amendments to the United States Constitution.* STATEMENT This employmend discrimination case involves a challenge to a one-black-for-one-white promotion quota imposed by a district court, ostensibly pursuant to earlier consent decrees in this litigation. 1.The NAACP brought this class action suit against the Alabama state trooper force in January 1972. The United States was made a party plaintiff and Phillip Paradise, Jr., was permitted to intervene on behalf of a class of black plaintiffs, (Paradise), shortly thereafter. In the initial phase of the suit, the district ocurt determined that the Alabama Department of Public Safety and other state defendants (the Department) had engaged in a pattern and practice of discrimination in hiring; enjoined them from engaging in employment practices for the purpose or with the effect of discriminating on the basis of race or color; and ordered them to hire one black trooper for each white trooper hired until blacks comprised 25 percent of the state trooper force. NAACP v. Allen, 340 F.Supp. 703 (M.D.Ala 1972), aff'd, 493 F.2d 614 (5th Cir. 1974). /1/ Three years later, in August 1975, the court granted supplemental relief after concluding that the Department had artifically restricted the size of the trooper force and the number of new troopers hired in order to frustrate the court's 1972 order (see App. infra, 7a-8a). Further supplemental relief was granted in two consent decrees, one entered in February 1979 (id. at 74a-82a) and the other in August 1981 (id. at 65a-73a). 2. The 1979 consent decree resolved several issues then before the court, including the matter of promotions. The Department agreed to "have as an objective * * * an employment and promotion system that is radically neutral" (App., infra 75a) and "not to engage in any act or practice which has a purpose or effect of unlawfully discriminating against blacks * * * (or) which discriminates on the basis of race in hiring (or) promoting (ibid.) With respect to promotions, the Department specifically agreed to have as an objective the utilization of a promotion procedure which is fair to all applicants and which promotion procedure when used either for screening or ranking will have little or no adverse impact upon blacks seeking promotion to corporal" (id. at 77a). The Department also agreed, purusant to that objective, to develop within one year from entry of the decree, and to, submit for the other parties' reveiw and the court's approval a procedure for corporal promotions conforming with the 1978 Uniform Guidelines on Employee Selection Procedures, 43 Fed. Reg. 38290-38309, and having little or no adverse impact on blacks (App. infra, 77a-78a. Upon completion of validation of the promotion procedure for corporal promotions, the Department was to begin validation of promotion procedures for the positions of sergeant, lieutenant, captain, and major, in turn (id. at 78a). In the interim, the Department was to use the state merit system for all corporal promotions and to promote at least three black troopers to the rank of corporal (ibid). More detailed interim procedures set forth in an agreement between the parties and, purusant to the consent decree and that agreement, four black troopers and six white troopers were promoted to corporal positions in February 1980. Over two years after entry of the first consent decree, the Department moved for approval of a written examination for promoting corporals. Because the examination had not been validated in accordance with the standards set forth in the Uniform Guidelines, Paradise and the United States took the position that its use would not be justified if the results had an adverse impact on black applicants. However, in a second consent decree entered in August 1981 (App., infra, 65a-73a), the parties agreed that the examination would be administered and scored; that the scores would be used in conjunction with other factors to rank applicants on a promotion register; and that the promotion register would then be reviewed "to determine whether the selection procedure has an adverse impact against black applicants" (id. at 68a), either as to the initial group of promotions to be made or as to all promotions anticipated during the life of the register. If the selection procedure had little or no adverse impact on blacks, selections were to be made in rank order from the promotion register; if the selection procedure did have an adverse impact on blacks, the Department was to propose an alternative procedure for promotions to be made "in a manner that does not result in adverse impact for the initial group of promotions or cumulatively during use of the procedure" (id. at 69a). If the parties could not agree on an appropriate promotion procedure, the matter was to be submitted to the court for resolution (ibid.). The Department's 1981 examination was administered and scored and a promotion register was prepared. In June 1982, the Department advised the United States that there was a current need for 8-10 promotions to corporal, and that it was anticipated that a total of 16-20 corporal promotions would be made from the 1981 promotion register. We responded by advising the Department that, in our view, rank-ordered use of the unvalidated 1981 promotion procedure would result in a substantial adverse impact on black applicants for promotion, and, accordingly, the Department should submit an alternative proposal for making promotions in conformity with 1979 and 1981 consent decrees. No such proposal was submitted to us, and no promotions were made, during the next nine months. 3. In April 1983, Paradise filed a "motion to enforce" the terms of the 1979 and 1981 consent decrees, seeking a court order requiring the Department to promote qualified black troopers to all upper rank positions in equal numbers with white troopers until either approximately 25 percent of each rank above entry level is black or promotion procedures complying with the consent decrees have been developed and implemented. The United States agreed that the consent decrees should be enforced, but opposed imposition of a one-black-for-one-white promotion quota. V.E. McClellan and three other white troopers were permitted to intervene on behalf of a class composed of the top-ranked white applicants for promotion to corporal on the 1981 promotion register (McClellan). McClellan and the Department also opposed imposition of a promotion quota. In an order entered October 28, 1983, the district court found that use of the Department's 1981 selection procedure would have an adverse impact on blacks, prohibited its use, and ordered the Department to submit a proposal for making at least 15 corporal promotions in a manner that would not have an adverse racial impact. 580 F.Supp. 171 (M.D. Ala. 1983). The court indicated that, if the parties could not agree on a promotion plan, the issue of corporal promotions would be deemed submitted for resolution by the court pursuant to the 1981 consent decree. When the other parties objected to the proposal submitted by the Department pursuant to the court's October 1983 order, the court took the matter under advisement. 4. On December 15, 1983, the district court issued an order and memorandum opinion granting Paradise's "motion to enforce" and the relief requested. 585 F.Supp. 72 (App., infra, 55a-64a). The court found that as of the date of decision there were still only four blacks among the Departments' upper ranks (id. at 60a), and that the Department was still "without acceptable procedures for advancement of black troopers" into these ranks (ibid.). Based on these findings, the court entered an order enjoining the Department "from failing to promote from this day forward, for each white trooper promoted to a higher rank, one black trooper to the same rank, if there is a black trooper objectively qualified to be promoted to the rank" (id. at 56a). /2/ The court further ordered this promotion quota to "remain in effect as to each trooper rank above the entry-level rank until either approximately 25% of the rank is black or the (Department has) developed and implemented a promotion plan for the rank which meets the prior orders and decrees of the court and all other relevant legal requirements" (ibid.). Finally, the court gave the Department 35 days to submit for the court's approval a schedule for the development of promotion procedures for all ranks above the entry-level rank (ibid.). /3/ 5. The United States, the Department, and McClellan appealed to the United States Court of Appeals for the Eleventh Circuit. On August 12, 1985, the court of appeals affirmed the district court's order imposing the one-black-for-one -white promotion quota. 767 F.2d 1514 (App., infra, 1a-54a). The court of appeals held that the quota order did not constitute a modification of the 1979 and 1981 consent decrees, as those decrees are concerned with the impact of proposed promotion procedures "on blacks, and blacks alone," do not prohibit procedures adversely impacting on whites, and expressly authorized plaintiffs to apply for an order enforcing their terms or providing any other appropriate relief (id. at 26a). The court of appeals also held that the quota order did not exceed the district court's remedial authority under Title VII (id, at 28a-35a), rejecting our reading of this Court's decision in Firefighters Lcoal Union No. 1784 v. Stotts, no. 82-206 (June 12, 1984), as prohibiting the award of any affirmative equitable relief that benefits persons not found to have been actual victims of discrimination. While conceding that "a superficial reading of Stotts supports (the government's) position" (App., infra, 31a), the court viewed that case as "limited to its own facts and factually and legally distinguishable from the one at bar" (ibid.). Specifically, it distinugished the instant case from Stotts on the grounds that here (1) the challenged order does not require overriding a bona fide seniority system; (2) there were judicial findings of past intentional discrimination against blacks, and the consent decrees being enforced were intended to overcome that discrimination; (3) the case was brought primarily under the Fourteenth Amendement rather than under Title VII; and (4) the case involves the enforcement of a voluntarily negotiated consent decree rather than the modification of such a decree over the objection of one of the parties. Finally, the court of appeals held that the quota order does not violate the Equal Protection Clause (App., infra 35a-42a), because of "the long history of discrimination in the Department" (id. at 39a), and because of "the fact that the relief now at issue was designed to remedy the present effects of past discrimination" (id. at 40a) and "is substantially related to the objective of eradicating (those effects) and extends no further than necessary to accomplish (that) objective" (id. at 41a). The court of appeals agreed with the district court that the promotion quota "is a temporary measure designed only 'to eliminate a manifest and chronic radical imbalance' caused by the Department's conduct" (ibid.), and noted that "the district court's order does not require the discharge or demotion of a white trooper or the replacement of a white trooper with a black trooper," or the promotion of an unqualified black trooper (ibid.); the court of appeals also reasoned that "white troopers are not barred by (the district court's order) from advancement through the ranks" (ibid.). This case presents questions of substantial and recurring importance regarding the limitations upon the remedial authority of the federal courts in litigation involving public employers brought under Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e et seq., and the Fourteenth Amendement to the United States Constitution. At issue here is the validity under these provisions of a radical preference accorded to individudals who have not been identified as actual victims of racial discrimination at the expense of innocent third parties. Because this Court has agreed to hear several cases raising these issues this term, we suggest that the petition for certiorari be held pending disposition of those cases. /4/ 1. This court recently discussed the limitations that Section 706(g) of Title VII, 42 U.S.C. 20003-5(g), imposes upon a court's remedial authority in Firefighters Local Union No. 1784 v. Stotts, no. 82-206 (June 12, 1984). This petition seeks review of one of a series of recent lower court decisions upholding quota relief and giving the Court's decision in Stotts what we regard as an overly narrow and improper interpretation. The Court has recently agreed to hear two of those cases, Local No. 93, International Association of Firefighters v. City of Cleveland, cert. granted, No. 84-1999 (Oct. 7, 1985), and Local 28, Sheet Metal Workers' International Association v. EEOC, cert. granted No. 84-1656 (Oct. 7, 1985). Also pending before the Court is a case challenging the validity of a similar racial preference scheme under the Equal Protection Clause, Wygant v. Jackson Board of Education, cert. granted, No. 84-1340 (Apr. 15, 1985). The views of the United States as to the validity of such racial preferences under Title VII and under the Equal Protection Clause have been expressed in a brief as amicus curaie supporting the petitioner in Local 93 (at 6-30); in a brief on behalf of the EEOC in Local 28 (at 23-39); in a brief as amicus curiae supporting petitioners in Wygant (at 6-30); and in our petition for certiorari in Orr v. Turner, No. 85-177 (filed July 31, 1985) (involving statutory and constitutional challenges to a racially preferential consent judgment) (at 12-25). The instant case presents questions similar to those raised in Local 93, Local 28, and Wygant. In Local 93, petitioner challenges a racial preference incorporated in a Title VII consent judgment; in Local 28, another Title VII case, the racial preference was awarded by the court; and in Wygant, the racial preference under review is incorporated in a collective bargaining agreement and is challenged under the Fourteenth Amendment. In this case, we seek review of a racial preference imposed on nonconsenting parties as part of a court order purporting to enforce earlier decrees entered by consent. The decisions in Local 93, Local 28, and Wygant are likely to provide substantial clarification of the principles bearing on the resolution of the second and third questions presented in this petition, so that a remand after this Court has decided these cases is likely to be merited. Alternatively, this case itself may provide the Court with an opportunity for further clarification of those principles in the wake of its decisions in the three cases it has already agreed to hear. Accordingly, we suggest that the Court hold this petition pending deposition of Local 93, Local 28, and Wygant. 2. We do not repeat the discussion of the Title VII and constitutional questions contained in our filings in Local 93, Local 28, Wygant, and Orr, /5/ and add only the following observations pertaining to this case. a. As noted earlier, /6/ the court of appeals held the district court's order to be within its authority under Title VII and attempted to distinguish this case from Stotts on four grounds. Regarding the first "distinction," our briefs in Local 93 (at 17-18) and Local 28 (at 27) respond to the court of appeals' argument that Stotts does not apply unless seniority rights are abridged. Second, as we discuss in our brief in Local 93 (at 19-27) and our petition in Orr (at 19-21), Stotts cannot be distinguished on the basis that the race-conscious relief is embodied in a consent decree. /7/ Third, the fact that the district court here, unlike the court in Stotts, predicated its order on findings of past intentional discrimination is plainly beside the point, as we discuss in our brief in Local 28 (at 29-30). Section 706(g) broadly governs all relief entered in Title VII cases. Nothing in Title VII, in Stotts, or in any other decision of this Court even remotely suggests that the remedial power of a Title VII court differs depending upon whether the discrimination is intentional. Finally, the court of appeals' conclusion that the relief here was entered pursuant to the Fourteenth Amendment, as well as Title VII, and that this affords a basis for avoiding Stotts' victim-specific remedial principle is both factually and legally unsound. It seems apparent that the 1979 and 1981 promotion consent decrees that were modified (or enforced) here, unlike the intial 1972 quota order governing hiring, were premised exclusively on Title VII. /8/ In any event, the court of appeals' distinction ignores the principle that equitable remedies must be tailored to fit the scope of the constitutional violation they are imposed to correct by "restor(ing) the victims of discriminatory conduct to the position they would have occupied in the absence of such conduct." Milliken v. Bradley, 418 U.S. 717, 746 (1974); b. The court of appeals here also found the district court's quota order to be consistent with the Equal Protection Clause of the Fourteenth Amendment. Our views on why such orders violate the Equal Protection Clause are stated in our amicus brief in Wygant (at 6-30). Although the quota order challenged here represents the action of a federal court rather than the voluntary action of a state or local agency, as in Wygant, it nevertheless violated the Constitution's equal protection guarantees. As we argued in our brief on the merits (at 35) in Local 28 in relation to a quota imposed in part as a civil remedy for contempt by a defendant found quilty of intentional discrimination; a federal court is no less subject to these constitutional constraints and protections of the rights of innocent third parties. CONCLUSION The petition for a writ of certiorari should be held pending the Court's disposition of Local 93, Local 28, and Wygant. Respectfully submitted CHARLES FRIED Solicitor General WM. BRADFORD REYNOLDS Assistant Attorney General WALTER W. BARNETT MICHAEL CARVIN Attorneys December 1985 /1/ The former Fifth Circuit explicitly limtited its approval of the quota relief granted to the hiring context, "pretermit(ting) any intimation of a position as to promotion practices" (493 F.2d at 622 n.12). /2/ On February 6, 1984, eight black and eight white troopers were promoted to corporal pursuant to this order. /3/ The Department submitted such a schedule, and as of this date has developed promotion procedures for corporals and sergeants. Both procedures have been approved for use on a temporary basis for a limited number of promotions, and the one-black-for-one-white quota has been temporarily suspended for purposes of those promotions. The district court's order approving the procedure for corporals was appealed by McClellan, and was affirmed by the court of appeals along with the quota order (App. infra, 45a-54a). Pursuant to the temporary promotion procedures approved by the district court, the Department has promoted twelve troopers, of whom three (25%) is black, to corporal and four troopers, of whom one (25%) is black, to sergeant. This case is not moot, however, since no promotion procedures have been approved for permanent use, and the one-black-for-one-white quota remains in effect with respect to all other promotions. /4/ In our view, the quota order we challenge here constitutes a modification of the earlier consent decrees in this case (see Question Presented #1). The court of appeals, however, concluded that this quota order simply enforces the consent decrees rather than modifying them (see page 7, supra). That determination involves an incorrect interpretation of the consent decrees, which prohibit only procedures with an adverse impact and require the development of valid promotion procedures in accord with the Uniform Guidelines on Employee Selection Procedures. Although it was contemplated by the earlier consent decrees that specific numbers of blacks would be promoted, the one-for-one quota was greatly different, in kind and degree. Accordingly, the one-for-one quota is clearly a modification of the prior decrees because it requires more of the Department than simply avoiding such adverse impact. Thus, the issue here, as in Stotts, is whether a "disputed modification of a consent decree" (slip op. 13 n.9) may require racial quotas. In any event, the modification issue is inextricably interwoven with the Title VII issue presented here because the court of appeals purported to distinguish Stotts on the basis that the quota order enforced, rather than modified, the earlier consent decrees. Finally, if there was no modification of the order, this case would present the issue before this Court in Local 93, International Association of Firefighters v. City of Cleveland, cert. granted, No. 84-1999 (Oct. 7, 1985), and the court of appeals' decision in erroneous for the reasons we state in our amicus brief (pages 6-30) filed there. /5/ We have served copies of these filings on counsel for each of the other parties to the proceedings below. /6/ See pages 7-8, supra. /7/ As discussed earlier (see note 4, supra), the one-to-one promotion quota entered here was, in our view, "a disputed modification of (the earlier) consent decree(s)" (Stotts, slip op. 13 n.9 (emphasis added) and thus is factually indistinguishable from Stotts. In any event, even if the quota order is deemed to enforce the earlier consent decrees rather than modify them, the order is nonconsensual because the decrees that were negotiated by the parties did not include these promotion quotas and all parties except Paradise objected to "enforcing" the decrees in this manner. /8/ See App., infra, 77a-78a (discussing only adverse impact and the development of a valid "promotion procedure which is in conformity with the 1978 Uniform Guidelines of Selection Procedures (sic), 43 Fed.Reg.38290 * * * "); and App., infra, 68a-69a (same). APPENDIX