加利福尼亚大学董事会诉贝基案.docx

加利福尼亚大学董事会诉贝基案438 U.S. 265（1978）是联邦最高法院的一个关于在招生程序中添加可允许的机会因素，但只应当根据联邦宪法第一修正案中保护大学学术自由的权利以通过多样性改进学习环境为目的的标志性裁决。Regents of the University of California v. Bakke,438U.S.265(1978)was a landmark decision of theSupreme Court of the United Stateson the permissible scopefactors in an admissions program, but only for the purpose of improving the learning environment through diversity in accordance with the universitys constitutionally protected First Amendment right to Academic Freedom (at page 311-315 of the opinion.)关于为了“班级中的多样性”的目的而考虑种族作为招生政策中的“一个”因素的辩护与加州大学戴维斯分校医学院最初关于目的的声明不同，其特殊招生程序是为了确保传统被歧视少数种族的录取。加州大学戴维斯分校医学院最初发展这个程序是为了减少在医学学校和医学专业中对于传统被歧视少数种族的历史不足，抵消社会种族歧视的影响，增加在目前得不到充分服务的社区实习的医师数量，通过民族多样性学生本身获得教育利益。The diversity in the classroom justification for considering race as one of the factors in admissions policies was different from the original purpose stated by UC Davis Medical School, whose special admissions program under review was designed to ensure admissions of traditionally discriminated-against minorities. UC Davis Medical School originally developed the program to (i) reduce the historic deficit of traditionally disfavored minorities in medical schools and the medical profession, (ii) counter the effects of societal discrimination, (iii) increase the number of physicians who will practice in communities currently underserved, and (iv) obtain the educational benefits that flow from an ethnically diverse student body.在本案的决定性投票中，持中立立场的Lewis Powell法官代表了多数人的观点。Lewis Powell法官说：“如果原告的目的是确保在它的学生中一个仅仅因为学生的种族或祖籍而组成的特定组别的特殊比例，这种优待目的是必须被否决的，不是因为这没有实质性，而是因为这根本无效。”（译者注：这似乎是根据1964年民权法案第七章第703条j款之规定）Powell说：“因为种族或祖籍优待任何一个团体的成员是由于它自己的原因而导致种族歧视”第四个目的，通过民族多样性学生本身获得教育利益，在Powell眼中是唯一一个确实是“对于一个高等教育机构来说可允许的目的”，因为这一原因，这没有在严格的仔细检查之下幸存。同样的，因为这个配额仅仅关注了民族多样性，他说这会“阻碍真正的多样性达到更远的地方”。因为医学院已经实施了一个配额系统（如一个增加的因素或者其他肯定性行动系统），Powell认为这是无效的。但是，Powell强调，“对于促进多样性的肯定性行动系统的适当的改进可以在严格的法律监视之下幸存”。There was a plurality opinion in this case with the determining vote lying with Justice Lewis Powell, who had an intermediate opinion. Justice Powell stated, If petitioners 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. Powell said, Preferring members of any one group for no reason other than race or ethnic origin is discrimination for its own sake. The 4th goal, obtaining the educational benefits that flow from an ethnically diverse student body, is the only goal that Powell said was clearly a “permissible goal for an institution of higher education, and for this reason, it did not survive strict scrutiny. Also, because this quota focused on solely ethnic diversity, he said it would hinder rather than further attainment of genuine diversity. Because the Medical School had applied a quota system (rather than a plus factor or other affirmative action system), Powell found it invalid. Powell noted, however, with emphasis that, a properly tailored affirmative action program designed to promote diversity could survive strict judicial scrutiny.历史阿兰.贝基，一位白人男子，在1973年和1974年向加州大学戴维斯分校医学院递交了入学申请，但是连续两年他都被拒绝了，即使那些比贝基的学习成绩明显要低的“特殊申请者”被录取了。按照规定，“少数种族”的成员或者“经济和/或教育处于不利地位的”的人被认为是特殊申请者，但是，即使许多处于不利地位的白人根据第二条的规定提出了申请，没有人成功。尤其是在1974年，特殊招生委员会明确宣称他们只会考虑来自明确指定的少数种族的申请者。Allan Bakke, a white male, applied toUniversity of California, Davis School of Medicinein 1973 and 1974, but was rejected in both years, although special applicants were admitted with significantly lower academic scores than Bakkes. These special applicants were admitted under provisions either for members of a minority groups (such asBlacksorHispanics), or as economically and/or educationally disadvantaged - but although many disadvantagedCaucasianshad applied under this second provision, none had been successful. In 1974, in particular, the special admissions committee explicitly stated they would consider only candidates who were from explicitly designated minority groups.在第二次被拒绝之后，贝基向州法院提起了诉讼，要求公开强制戴维斯分校医学院接受他的申请，宣称现行的特殊招生程序将其排除在外的原因是他的种族，违反了联邦宪法第十四修正案中的平等保护条款。After his second rejection, Bakke filed an action in state court formandatory,injunctive, anddeclaratory reliefto compel his admission to Davis, alleging that the special admissions program operated to exclude him on the basis of hisracein violation of theEqual Protection Clause of the Fourteenth Amendment.加州大学戴维斯分校医学院在一份声明中提出了反驳，他们说他们的特殊招生程序是合法的。UC Davis Medical Schoolcounter-claimedfor a declaration that its special admissions program was lawful.初审法庭发现特殊招生程序是按照种族配额执行的，因为在程序中来自少数种族的申请者在被评定时只有一个对手，而且在班级100个招生名额中有16个被预留给了他们。法院宣布加州大学戴维斯分校医学院不能在作出招生名额决定是不应该考虑种族因素，因此宣布特殊招生程序违反联邦宪法和1964年民权法案第七章。但是，法庭并没有要求戴维斯分校医学院批准贝基的入学申请，因为在审判中没有证据表明在没有特殊招生程序的情况下贝基会被录取。加利福尼亚州最高法院，执行了一个严格检查标准，判定特殊招生程序并不是对与公开强制州政府的整合医疗资源的意向和增加乐意为少数种族病人服务的医生的数量的目标的最低限度干扰。在无法通过联邦宪法或州法律的背景之下，法庭坚持了加州大学戴维斯分校医学院的特殊招生程序违反平等保护条款的决定。因为医学院无法满足举证证明在特殊招生程序不存在的情况下，贝基不会被录取的沉重的责任，法庭命令戴维斯分校医学院录取贝基。贝基在1978年的秋天在加州大学戴维斯分校医学院开始了学习，在1982年毕业，随后，在明尼苏达州的罗切斯特市Mayo诊所当了一名住院医。Thetrial courtfound 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 UC Davis Medical School could not take race into account in making admissions decisions, the court declared the program violated the Federal and State Constitutions and Title VI of the Civil Rights Act of 1964. The court did not order Bakkes admission, however, because there was no proof at trial that he would have been admitted but for the special program. TheCalifornia Supreme Court, applying astrict scrutinystandard, 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 facility, 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 UC Davis Medical Schools special admissions program violated the Equal Protection Clause. Because the Medical School could not satisfy its burden of demonstrating that, absent the special program, Bakke would not have been admitted, the court ordered his admission to the Medical School.1Bakke began his studies at the University of California Medical School at Davis in fall of 1978, graduated in 1982, and later served as a resident atMayo ClinicinRochester, Minnesota.判决值得注意的是，在本案中存在两种4人支持的对立意见以及Powell法官的意见。两种4人多数意见只对于Powell法官中的不同部分意见相同。It is important to note that there were two opposing 4-person plurality opinions and then Justice Powells. Each of the 4-person plurality opinions concurred only with parts of Justice Powells opinion and not the same parts.Brennan, White, Marshall, 和Blackmun法官的判决意见认为当在医学行业中作为对于特定少数种族的实质性习惯性表述的补救种族可以作为考虑因素之一。Justices Brennan, White, Marshall and Blackmun concluded in one plurality opinion that race could be used as a factor when it was for the purpose of remedying substantial chronic underrepresentation of certain minorities in the medical profession.大法官Burger, Stewart法官,Rehnquist法官赞同Steven法官的意见，认为种族是否可以作为一个因素并不是本案的争论焦点，特殊招生程序根据一个申请者的种族将其排除在外的行为违反了1964年民权法案第七章才是关键。Chief Justice Burger, Justice Stewart, and Justice Rehnquist joined Justice Stevens view that whether race could ever be a factor was not at issue in the case, but that the special admissions program under consideration violated Title VI because it excluded from consideration an applicant on the basis of race.Powell法官认为即使种族不可以作为排除一位申请者的主要因素，种族可以作为考虑申请时的许多因素之一。Justice Powell concluded that though race could not be the basis for excluding a candidate, race may be one of many factors in admissions considerations.庭前问题有两个：1，贝基被加州大学戴维斯分校医学院的为了少数种族设立的特殊招生程序因为他是白人而不予考虑是否违宪以及违反1964年民权法案第六章；2，如果这是违宪的，加州大学戴维斯分校医学院是否应当被要求接受他。The issue before the Court was twofold: 1. Whether Bakkes exclusion from consideration in UC Davis Medical School special admissions program for minorities because he was white was unconstitutional and a violation of section VI of the Civil Rights Act of 1964; and 2. if it was unconstitutional, should UC Davis Medical School be required to admit him.Powell法官认为将一个候选人排除在外仅仅因为他的种族是违宪的，无论出于什么目的，而且因为加州大学戴维斯分校医学院无法证明即使在不存在特殊招生程序的情况下，贝基依然不会被录取，加州大学戴维斯分校医学院应当被强制录取贝基。Justice Powell concluded that excluding a candidate from consideration solely on the basis of race was unconstitutional, no matter what the purpose, and since UC Davis Medical School could not prove that, even without the special admissions program, Bakke would never have been admitted anyway, UC Davis was compelled to admit Bakke.即使Steven法官的多数意见和Powell法官关于种族可以被作为考虑申请时的许多因素之一的主张不一致，但是双方关于加州大学戴维斯分校医学院因为贝基是白人而拒绝接受他是违宪的的意见一致。Steven法官的多数意见也和Powell法官关于加州大学戴维斯分校医学院应当被要求录取贝基的意见一致。Though the Stevens plurality opinion did not concur with Powells assertion that race could be one factor among many in admissions considerations, it did agree with Powell that the UC Davis special admissions program excluding Bakke because he was white was unconstitutional. Stevens plurality also concurred with that part of Powells opinion that UC Davis should be required to admit Bakke.因此，即使在关于正常情况下是否可以将种族作为一个考虑因素方面没有出现明显的多数意见，庭上出现了5:4多数（Steven法官的多数意见和Powell法官的意见）同意加州大学戴维斯分校的特殊招生程序违宪因为它因为种族因素将申请人排除在外。同样的5:4多数要求加州大学戴维斯分校录取贝基。Therefore, though there was no clear-cut majority view on using race as a factor in general, there was a 5-4 split in which the majority (the Stevens plurality and Powell) agreed that the UC Davis Special admissions program was unconstitutional because it excluded applicants on the basis of race. Similarly the same 5-4 split concurred that UC Davis be required to admit Bakke.有些人通过一个种族配额系统将种族作为排除申请人的理由。一个机构的被设计用来接受特定种族组别和排除来自其他种族组别的申请人的特殊招生程序实际上确保了机构将会接受一定配额的来自一定种族组别的成员，例如，机构为一个指定的种族设立了一个配额。宣读法庭裁决的Powell法官，宣布这一进程的名称毫无关系的。 Some refer to using race as a basis to exclude applicants as a racialquota system. An institutions special admissions program that is designed to admit people of a certain ethnic group and excludes consideration of candidates from other ethnic groups is in effect an assurance that the institution will admit a certain number of the members from a specified ethnic group, i.e. the institution meets a quota of members of those designated ethnic groups. Justice Powell, who announced the judgment of the court, stated that the appellation of the process is irrelevant (at page 289.)Powell法官发现将配额将少数种族申请人从和正常申请人的竞争中分开，而且因此违宪因为他们对非少数种族申请人进行了种族歧视。但是，Powell法官宣布大学可以将种族作为一个附加条件，他举出被当作一个法庭参考的例子的哈佛大学招生程序作为宪法允许的肯定性行动的例子。哈佛大学招生程序在“全局观察”中将申请人的所用情况都考虑在内，包括种族。Powell found that quotas insulated minority applicants from competition with the regular applicants and were thus unconstitutional because theydiscriminated against non-minority applicants. Powell however stated that universities could use race as a plus factor. He cited th