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We consider a challenge to the use of race in undergraduate admissions at the University of Texas at Austin. While the University has confined its explicit use of race to the elements of a program approved by the Supreme Court in Grutter v. Bollinger,
Abigail Fisher and Rachel Michalewiez, both Texas residents, were denied undergraduate admission to the University of Texas at Austin for the class entering in Fall 2008. They filed this suit alleging that UT’s admissions policies discriminated against them on the basis of race in violation of their right to equal protection under the Fourteenth Amendment and federal civil rights statutes.
The procedural posture of this case defines the scope of our review. There are no class claims and both students deny intention to reapply to UT.
Our focus will be upon the process employed by UT to admit freshmen when Fisher and Michalewiez applied for the class entering Fall 2008, looking to earlier and later years only as they illuminate the rejection of these two applicants.
I. GRUTTER V. BOLLINGER
We begin with Grutter v. Bollinger because UT’s race-conscious admissions pro
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Grutter embraced the diversity interest articulated twenty-five years earlier by Justice Powell, who wrote separately in Regents of the University of California v. Bakke.
[The Law School’s] policy makes clear there are many possible bases for diversity admissions, and provides examples of admittees who have lived or traveled widely abroad, are fluent in several languages, have overcome personal adversity and family hardship, have exceptional records of extensive community service, and have had successful careers in other fields.14
The Law School’s policy also reaffirmed its “longstanding commitment” to “one particular type of diversity, that is, racial and ethnic diversity with special reference to the inclusion of students from groups which have been historically discriminated against, like Afriean-Americaris, Hispanics and Native Americans, who without this commitment might not be represented in [the] student body in meaningful numbers.”
In an effort to ensure representation of minorities, the Law School sought to enroll a “critical mass” of minority students, which would result in increased minority engagement in the classroom and enhanced minority contributions to the char
That the concept of critical mass bears a simple but deceptive label is evidenced by the division of the Justices over its meaning. In his dissent, Chief Justice Rehnquist saw critical mass as only the minimum level necessary “[t]o ensure that the[ ] minority students do not feel isolated or like spokespersons for their race; to provide adequate opportunities for the type of interaction upon which the educational benefits of diversity depend; and to challenge all students to think critically and reexamine stereotypes.”
In contrast, Justice O’Connor, writing for the Court, explained that critical mass must be “defined by reference to the educational benefits that diversity is designed to produce.”
1. Increased Perspectives. Justice O’Connor observed that including diverse perspectives improves the quality of the educational process because “classroom discussion is livelier, more spirited, and simply more enlightening and interesting when the students have the greatest possible variety of backgrounds.”19 In this respect, Grutter echoes Justice Powell’s recognition in Bakke that it is “essential to the quality of higher education” that a university be able to pursue “[t]he atmosphere of speculation, excitement and creation” that is “promoted by a diverse student body.”20 Indeed, diversity often brings not just excitement, but valuable knowledge as well. “[A] student with a particular background — whether it be ethnic, geographic, culturally advantaged or disadvantaged — may bring to a [university] 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.”21
2. Professionalism. The majority pointed to “numerous studies” showing that “student body diversity ... better prepares [students] as professionals.”22 The Court has “repeatedly acknowledged the overriding importance of preparing students for work and citizenship,”23 and today’s students must be prepared to work within “an increas*220 ingly diverse workforce.”24 Indeed, “major American businesses have made clear that the skills needed in today’s increasingly global marketplace can only be developed through exposure to widely diverse people, cultures, ideas, and viewpoints.”25 A diverse student body serves this end by “promoting] cross-racial understanding, help[ing] to break down racial stereotypes, and enabl[ing] students to better understand persons of different races.”26
3. Civic Engagement. The Court recognized that “[e]ffective participation by members of all racial and ethnic groups in the civic life of our Nation is essential if the dream of one Nation, indivisible, is to be realized.”27 A diverse student body is crucial for fostering this ideal of civic engagement, because “[i]n order to cultivate a set of leaders with legitimacy in the eyes of the citizenry, it is necessary that the path to leadership be visibly open to talented and qualified individuals of every race and ethnicity.”28 Maintaining a visibly open path to leadership demands that “[ajccess to [higher] education ... be inclusive of talented and qualified individuals of every race and ethnicity, so that all members of our heterogeneous society may participate in the educational institutions that provide the training and education necessary to succeed in America.”29 Each member of society “must have confidence in the openness and integrity of the educational institutions that provide this training.”30 Further, efforts to educate and to encourage future leaders from previously underrepresented backgrounds will serve not only to inspire, but to actively engage with many woefully underserved communities, helping to draw them back into our national fabric.
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Recognizing the pursuit of diversity, including racial diversity, to be a compelling interest in higher education, Grutter endorsed the right of public universities to increase enrollment of underrepresented minorities. Grutter also cautioned that, while it accepted diversity as a compelling interest, any sorting of persons on the basis of race must be by measures narrowly tailored to the interest at stake.
As we read the Court, a university admissions program is narrowly tailored only
Because a race-conscious admissions program is constitutional only if holistic, flexible, and individualized, a university may not establish a quota for minority applicants, nor may it evaluate minority applications “on separate admissions tracks.”
Both Bakke and Gratz firmly rejected group treatment, insisting that the focus be upon individuals and that an applicant’s achievements be judged in the context of one’s personal circumstances, of which race is only a part. So deployed, a white applicant raised by a single parent who did not attend high school and struggled paycheck to paycheck and a minority child of a successful cardiovascular surgeon may both claim adversity, but the personal hurdles each has cleared will not be seen to be of the same height.
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Finally, Grutter requires that any race-conscious measures must have a “logical end point” and be “limited in time.”
II. HISTORY OF THE UNIVERSITY’S ADMISSIONS POLICIES
Justice O’Connor’s vision may prove to be more aspirational than predictive. Regardless, universities will construct admissions programs wedded to their missions, which include bringing both meritorious and diverse students to campus. Each year, UT receives applications from approximately four times more students than it can enroll.
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Until 1996, UT selected students using two metrics. The first measure, still employed today, is the Academic Index (“AI”), a computation based on the student’s high school class rank, standardized test scores, and the extent to which the applicant exceeded UT’s required high school curriculum.
There were then no clear legal limits on a university’s use of race in admissions. The Supreme Court decided Bakke in 1978 but its guidance came in a fractured decision, leaving a quarter century of uncertainty.
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Race-conscious admissions ended in 1996 with Hopwood v. Texas, when a panel of this court struck down the use of race-based criteria in admissions decisions at UT’s law school.
Beginning with the 1997 admissions cycle, UT deployed a Personal Achievement Index (“PAI”) to be used with the Academic Index. In contrast to the mechanical formulas used to calculate the AI, the PAI was meant “to identify and reward students whose merit as applicants was not adequately reflected by their class rank and test scores.”
UT also implemented other facially “race-neutral” policies that, together with the AI and PAI, remain in use today. It created targeted scholarship programs to increase its yield among minority students, expanded the quality and quantity of its outreach efforts to high schools in underrepresented areas of the state, and focused additional attention and resources on recruitment in low-performing schools.
Despite these efforts, minority presence at UT decreased immediately. Although the 1996 admissions decisions were not affected by Hopwood, the publicity from the case impacted the number of admitted minorities who chose to enroll. In 1997, fewer minorities applied to UT than in
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In 1997, the Texas legislature responded to the Hopwood decision by enacting the Top Ten Percent Law, still in effect.
In its first year, the Top Ten Percent Law succeeded in increasing minority percentages at UT. African-American enrollment rose from 2.7% to 3.0% and Hispanic enrollment rose from 12.6% to 13.2%. However, the absolute number of minorities remained stable as a result of a smaller freshman class. Over time, both the number and percentage of enrolled Hispanics and African-Americans increased. The entering freshman class of 2004, the last admitted without the Grutier-like plan, was 4.5% African-American (309 students), 16.9% Hispanic (1,149 students), and 17.9% Asian-American (1,218 students) in a class of 6,796 students.
The Top Ten Percent Law did not by its terms admit students on the basis of race, but underrepresented minorities were its announced target and their admission a large, if not primary, purpose. In 2004, among freshmen who were Texas residents, 77% of the enrolled African-American students and 78% of the Hispanic students had been admitted under the Top Ten Percent Law, compared to 62% of Caucasian students.
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Hopwood’s prohibitions ended after the 2004 admissions cycle with the Supreme
As part of its examination, UT commissioned two studies to explore whether the University was enrolling a critical mass of underrepresented minorities. The first study examined minority representation in undergraduate classes, focusing on classes of “participatory size,” which it defined as between 5 and 24 students. UT analyzed these classes, which included most of the undergraduate courses, because they offered the best opportunity for robust classroom discussion, rich soil for diverse interactions. According to the study, 90% of these smaller classes in Fall 2002 had either one or zero African-American students, 46% had one or zero Asian-American students, and 43% had one or zero Hispanic students.
The University incorporated the findings of these two studies in its June 2004 Proposal to Consider Race and Ethnicity in Admissions.
Citing the classroom diversity study, the 2004 Proposal explained that UT had not yet achieved the critical mass of underrepresented minority students needed to obtain the full educational benefits of diversity. Accordingly, the 2004 Proposal recommended adding the consideration of race as one additional factor within a larger admissions scoring index. This recommendation was presented as “an acknowledgment that the significant differences between the racial and ethnic makeup of the University’s undergraduate population and the state’s population prevent the University from fully achieving" its mission.”
After more than a year of study following the Grutter decision, UT adopted a policy to include race as one of many factors considered in admissions. UT has no set date by which it will end the use of race in undergraduate admissions. Rather, it formally reviews the need for race-conscious measures every five years and considers whether adequate race-neutral alternatives exist. In addition, the district court found that the University informally reviews its admissions procedures each year.
The current policy has produced noticeable results. One magazine dedicated to diversity in higher education ranked UT “sixth in the nation in producing undergraduate degrees for minority groups.”
Because of the myriad programs instituted, it can be difficult to attribute increases in minority enrollment to any one initiative. In addition, demographics have shifted in Texas, so increases in minority enrollment likely in part reflect the increased presence of minorities statewide.
III. THE CHALLENGED POLICY
UT’s consideration of race is one part of the complex admissions process operating when Appellants were rejected. Given Appellants’ challenge, we must examine the whole of the process.
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UT is a public institution of higher education, authorized by the Texas Constitution and supported by state and federal funding. Accordingly, it begins its admis
Texas applicants are divided into two subgroups: (1) Texas residents who are in the top ten percent of their high school class and (2) those Texas residents who are not. Top ten percent applicants are guaranteed admission to the University, and the vast majority of freshmen are selected in this way, without a confessed consideration of race. In 2008, for example, 81% of the entering class was admitted under the Top Ten Percent Law, filling 88% of the seats allotted to Texas residents and leaving only 1,216 offers of admission university-wide for non-top ten percent residents.
The remaining Texas applicants, who were not within the top ten percent of their high school graduating class, compete for admission based on their Academic and Personal Achievement Indices.
The Personal Achievement Index is based on three scores: one score for each
This personal achievement score is designed to recognize qualified students whose merit as applicants was not adequately reflected by their Academic Index. Admissions staff assign the score by assessing an applicant’s demonstrated leadership qualities, awards and honors, work experience, and involvement in extracurricular activities and community service. In addition, the personal achievement score includes a “special circumstances” element that may reflect the socioeconomic status of the applicant and his or her high school, the applicant’s family status and family responsibilities, the applicant’s standardized test score compared to the average of her high school, and — beginning in 2004 — the applicant’s race.
None of the elements of the personal achievement score — including race — are considered individually or given separate numerical values to be added together. Rather, the file is evaluated as a whole in order to provide the fullest possible understanding of the student as a person and to place his or her achievements in context.
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Although the process for calculating AI and PAI scores is common to all parts of the University, each offer of admission to UT is ultimately tied to an individual school or major. Texas residents in the top ten percent of their high school class are guaranteed admission to the University, but they are not assured admission to the individual school or program of their choice.
Most majors and colleges in the University provide automatic admission to Top Ten Percent Law applicants, but certain “impacted majors” — including the School of Business, the College of Communication, and the Schools of Engineering, Kinesiology, and Nursing — are obligated to accept only a certain number of Top Ten Percent Law applicants.
Top Ten Percent Law applicants who do not receive automatic entry to their first choice program compete for admission to the remaining spaces, and if necessary to their second-choice program, on the basis of their AI and PAI scores. The admissions office places students into matrices for each preferred school or major, with students grouped by AI score along one axis and PAI score along the other axis. Liaisons for the majors then establish a cutoff line, which is drawn in a stair-step pattern. Applicants denied admission to their first-choice program are considered for their second choice, with cutoff lines readjusted to reflect the influx of those applicants. Any top ten percent applicants not admitted to either their first- or second-choice program are automatically admitted as Liberal Arts Undeclared majors. All other applicants not yet admitted to UT compete, again according to AI and PAI scores, for any remaining seats in the Liberal Arts Undeclared program.
Although this completes the admissions process for the fall portion of the freshman class, no Texas resident who submits a timely application is denied admission. Instead, those residents not admitted to the entering fall class are offered admission to either the summer program or the Coordinated Admissions Program (CAP). Marginal applicants who missed the cutoff for the fall class are offered admission to the summer program, which permits students to begin their studies at UT during the summer and then join the regularly admitted students in the fall. About 800 students enroll in the summer program each year. All remaining Texas applicants are automatically enrolled in CAP, which guarantees admission as a transfer student if the student enrolls in another UT system
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The Academic Index and Personal Achievement Index now employed by UT have been in continuous use since 1997. The lone substantive change came in 2005, following the Grutter decision, when the Board of Regents authorized the consideration of race as another “special circumstance” in assessing an applicant’s personal achievement score.
Race — like all other elements of UT’s holistic review — is not considered alone. Admissions officers reviewing each application are aware of the applicant’s race, but UT does not monitor the aggregate racial composition of the admitted applicant pool during the process. The admissions decision for any particular applicant is not affected — positively or negatively— by the number of other students in her racial group who have been admitted during that year.
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UT undoubtedly has a compelling interest in obtaining the educational benefits of diversity, and its reasons for implementing race-conscious admissions — expressed in the 2004 Proposal — mirror those approved by the Supreme Court in Grutter. The district court found that both the UT and Grutter policies “attempt to promote ‘cross-racial understanding,’ ‘break down racial stereotypes,’ enable students to better understand persons of other races, better prepare students to function in a multicultural workforce, cultivate the next set of national leaders, and prevent minority students from serving as ‘spokespersons’ for their race.”
Considering UT’s admissions system in its historical context, it is evident that the efforts of the University have been studied, serious, and of high purpose, lending support to a constitutionally protected zone of discretion. That said, the use of race summons close judicial scrutiny, necessary for the nation’s slow march toward the ideal of a color-blind society, at least as far as the government can see.
IV. STANDARD OF REVIEW
It is a given that as UT’s Grutter-like admissions program differentiates between applicants on the basis of race, it is subject to strict scrutiny with its requirement of narrow tailoring.
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Judicial deference to a university’s academic decisions rests on two independent foundations. First, these decisions are a product of “complex educational judgments in an area that lies primarily within the expertise of the university,” far outside the experience of the courts.
Yet the scrutiny triggered by racial classification “is no less strict for taking into account” the special circumstances of higher education.
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With a nod to Grutter’’s command that we generally give a degree of deference to a university’s educational judgments, Appellants urge that Grutter did not extend such deference to a university’s decision to implement a race-conscious admissions policy. Instead, they maintain Grutter deferred only to the university’s judgment that diversity would have educational benefits, not to the assessment of whether the university has attained critical mass of a racial group or whether race-conscious efforts are necessary to achieve that end.
As an initial matter, this argument in its full flower is contradicted by Grutter. The majority held that, like the examination into whether the University has a compelling interest, “the narrow-tailoring inquiry ... must be calibrated to fit the distinct issues raised by the use of race to achieve student body diversity in public higher education.”
Appellants would have us borrow a more restrictive standard of review from a series of public employment and government contracting cases, in which the Supreme Court “held that certain government actions to remedy past racial discrimination — actions that are themselves based on race — are constitutional only where there is a ‘strong basis in evidence’ that the remedial actions were necessary.”
In Ricci, white firefighters from New Haven, Connecticut sued under Title VII, challenging the city’s decision to disregard a promotions test after the results showed that white candidates significantly outperformed minority candidates.
The city had argued it only needed to show a fear of liability based on a good-faith belief — a rough analogy to the university admissions standard. Yet the Court found that an intent-based standard could not be squared with the statutory text. The Ricci Court turned to the strong-basis-in-evidence standard “as a matter of statutory construction to resolve any conflict between the disparate-treatment and disparate-impact provisions of Title VII.”
Although Ricci did not address the firefighters’ equal protection claim, the Court derived its standard from Richmond v. J.A. Croson Co.,
This recitation of history, quick as it is, makes plain that the cases Appellants cite have little purchase in this challenge to university admissions. The high standard for justifying the use of race in public employment decisions responds to the reality that race used in a backward-looking attempt to remedy past wrongs, without focus on individual victims, does not treat race as part of a holistic consideration. In doing so, it touches the third rail of racial quotas. Wygant and Croson both involved explicit quotas; in Ricci, the Court was concerned that the city’s use of race threatened to devolve into a de facto quota.
By contrast, Grutter recognized that universities are engaged in a different enterprise. Their holistic approach is part of a forward-looking effort to obtain the educational benefits of diversity. The look to race as but one element of this further goal, coupled with individualized consideration, steers university admissions away from a quota system. Grutter teaches that so long as a university considers race in a holistic and individualized manner, and not as part of a quota or fixed-point system, courts must afford a measure of deference to the university’s good faith determination that certain race-conscious measures are necessary to achieve the educational benefits of diversity, including attaining critical mass in minority enrollment.
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