MAYOR OF PHILADELPHIA v. EDUCATIONAL EQUALITY LEAGUE ET AL.
No. 72-1264
SUPREME COURT OF THE UNITED STATES
Argued December 10, 1973—Decided March 25, 1974
415 U.S. 605
John Mattioni argued the cause and filed briefs for petitioner.
Edwin D. Wolf argued the cause and filed a brief for respondents.
MR. JUSTICE POWELL delivered the opinion of the Court.
In 1965 the voters of Philadelphia approved a public education supplement to their city charter establishing the present structure of the Philadelphia Board of Education (the School Board or Board). The supplement, which appears as Art. XII of the city charter,1 vests in the Mayor a double appointment power with regard to the School Board. The Mayor appoints the nine
The Nominating Panel consists of 13 members. Under the terms of the city charter, the Mayor appoints four members of the Panel from the citizenry at large. Each of the remaining members must be the highest ranking officer of one of nine categories of citywide organizations or institutions, such as a labor union council, a commerce organization, a public school parent-teachers association, a degree-granting institution of higher learning, and the like.2 Although the city charter describes with
The members of the Nominating Panel serve two-year terms. A new Panel is appointed and convened in every odd-numbered year, when, in the ordinary course, three vacancies occur on the School Board.3 Thus, since 1965 there have been five Panels. Mayor James J. H. Tate, whose term expired in 1972, appointed the 1965, 1967, 1969, and 1971 Panels. The present Mayor, Frank Rizzo, appointed the 1973 Panel.
Respondents include the Educational Equality League,4 the president of the League, another citizen of Philadelphia, and two students attending the city‘s public schools. Shortly after Mayor Tate‘s appointment
Respondents did not challenge the racial composition of the School Board, which consisted of two Negroes and seven whites when respondents filed their complaint and which now consists of three Negroes and six whites.5 They did not allege that the 1971 Panel discriminated in its submission of School Board nominees to the Mayor.6 Such an attack would have been difficult to
Following two days of hearings, the District Court dismissed respondents’ complaint. Educational Equality League v. Tate, 333 F. Supp. 1202 (ED Pa. 1971). In its findings of fact, the court noted that approximately 34% of the population of Philadelphia and approximately 60% of the students attending the city‘s various schools were Negroes. Id., at 1202-1204. The court found the following racial composition of the Nominating
On the basis of its finding of fact, the District Court concluded that respondents had failed to prove that the 1971 Panel was appointed in violation of the
The Court of Appeals for the Third Circuit reversed. Educational Equality League v. Tate, 472 F. 2d 612 (1973).11 Relying on statistical data about the Panel rejected by the District Court and going outside that court‘s findings of fact in other respects, the Court of Appeals concluded that respondents had established an unrebutted prima facie case of unlawful exclusion of Negroes from consideration for service on the 1971 Panel. Id., at 618. Moreover, although the Mayor‘s office had changed hands while the case was sub judice and although there was nothing in the record addressed to the appointment practices of the new Mayor with regard to the Nominating Panel, the Court of Appeals directed the issuance of extensive injunctive relief against the new Mayor. Id., at 619. In particular, the Court of Appeals ordered the District Court to undertake an ongoing supervision of the new Mayor‘s appointments to the 1973 Panel and future Panels. Ibid.12
I
The Mayor‘s principal contention is that judicial review of the discretionary appointments of an executive officer contravenes basic separation-of-powers principles. The Mayor cites cases concerning discretionary appointments in the Federal Executive Branch, such as Marbury v. Madison, 1 Cranch 137 (1803), and Myers v. United States, 272 U. S. 52 (1926). He notes that Pennsylvania, like the Federal Government, has a tripartite governmental structure, and he argues that the principles shaping the appropriate scope of judicial review are the same at the state level as at the federal level.
Neither the District Court nor the Court of Appeals addressed this argument at length. The District Court expressed its “reservations” about exerting control over “an elected chief executive in the exercise of his discretionary appointive power . . . ,” 333 F. Supp., at 1206, but that court based its dismissal of respondents’ complaint on the absence of proof of discrimination. The Court of Appeals brushed aside the “reservations” of the District Court, concluding that the Nominating Panel was not intended to operate as part of the Mayor‘s staff and thus that the appointments were not discre-
We disagree with the Court of Appeals’ conclusion that the appointments at issue are not discretionary. The court‘s view that the Panel is not a part of the staff of the mayor is not self-evident, as we understand the functions of the Panel. But in any event this is irrelevant to whether the Mayor‘s power to appoint the Panel is discretionary. Executive officers are often vested with discretionary appointment powers over officials who by no stretch of the imagination are members of the staff of the appointing officer. The appointment of judges is a familiar example. Likewise, the appointments to the Panel are discretionary by any reasonable measure. With regard to the four seats on the Panel devoted to the citizenry at large, the city charter holds the Mayor accountable only at the polls. And, although the charter narrows the Mayor‘s range of choice in filling the other nine seats, it remains true that the final selection of the membership of the Panel rests with the Mayor, subject always to the oversight of the voters.
II
The Court of Appeals bottomed its conclusion that the
First, the Court of Appeals relied on an alleged statement by Mayor Tate in 1969 that in filling the vacancies then open on the School Board he would appoint no Negroes in addition to the two already on it. 472 F. 2d, at 615-616. Respondents presented two items as evidence of this statement. During cross-examination of Deputy Mayor Zecca, counsel for respondents directed Mr. Zecca‘s attention to a 1969 newspaper article dealing with the alleged statement. Deputy Mayor Zecca denied the accuracy of the newspaper account;15 the
In our view, the Court of Appeals’ reliance on the alleged 1969 statement was misplaced. Assuming the admissibility and reliability of such double hearsay,19 we are unable to conclude that an ambiguous statement purportedly made in 1969 with regard to the racial composition of the then School Board proves anything with regard to the Mayоr‘s motives two years later in appointing the 1971 Nominating Panel. The Court of Appeals noted that if the Mayor had in 1969 decided to exclude Negro nominees from appointment to the Board, “an inference may be drawn that the Mayor in similar manner excluded blacks from consideration as members
Second, the Court of Appeals cited the District Court‘s finding that Deputy Mayor Zecca had been unaware of many “black-oriented organizations” that could qualify under the categories of organizations and institutions set out in the city charter. Id., at 616. The court thought that, given Mr. Zecca‘s important position in the appointment process in 1971, his ignorance would “support an inference that the selection process had a discriminatory effect.” Id., at n. 13. This is another speculative inference. Deputy Mayor Zecca did not make the appointments to the Panels. That task belonged to Mayor Tate. It is unlikely that an elected mayor would be ignorant of any viable citywide organization or institution, particularly if he had held office for a number of years. Thus Deputy Mayor Zecca‘s unfamiliarity with certain organizations may not be imputed automatically to the official holding the appointment power. Moreover, there has been no showing in this record that Mr. Zecca‘s unawareness of organizations or institutions was restricted to what the Court of Appeals referred to as “black-oriented organizations.” Id., at 616. The Deputy Mayor may well have been equally uninformed of the existence of many other Philadelphia organizations and groups.
As a third indicator of the exclusion of Negroes, the Court of Appeals again went outside the District Court‘s findings. As noted earlier, the District Court rejected as unreliable, percentage comparisons of the racial com-
Statistical analyses have served and will continue to serve an important role as one indirect indicator of racial discrimination in access to service on governmental bodies, particularly where, as in the case of jury service, the duty to serve falls equally on all citizens. E. g., Carter v. Jury Comm‘n of Greene County, 396 U. S. 320 (1970); Hernandez v. Texas, 347 U. S. 475 (1954); Avery v. Georgia, 345 U. S. 559 (1953). See McDonnell Douglas Corp. v. Green, 411 U. S. 792, 805 (1973) (employment discrimination). But the simplistic percentage comparisons undertaken by the Court of Appeals lack real meaning in the context of this case. Respondents do not challenge the qualifications for service on the Panel set out in the charter, whereby nine of the 13 seats are restricted to the highest ranking officers of designated categories of citywide organizations and institutions. Accordingly, this is not a case in which it can be assumed that all citizens are fungible for purposes of determining whether members of a particular class have been unlawfully excluded. At least with regard to nine seats on the Panel and assuming, arguendo, that percentage comparisons are meaningful in a case involving discretionary appointments, the relevant universe for comparison purposes consists of the highest ranking officers of the categories of
In sum, the Court of Appeals’ finding of racial discrimination rests on ambiguous testimony as to an alleged statement in 1969 by then Mayor Tate with regard to the 1969 School Board, not the 1971 Panel; the unawareness of certain organizations on the part of a city official who did not have final authority over or responsibility for the challenged appointments; and racial-composition percentage comparisons that we think wеre correctly rejected by the District Court as meaningless. In our view, this type of proof is too fragmentary and speculative to support a serious charge in a judicial proceeding.20
III
The Court of Appeals prefaced its discussion of appropriate relief by noting that it would be “the district court‘s function to determine the precise nature
Mayor Tate was succeeded by Mayor Rizzo on January 3, 1972. The Court of Appeals issued its opinion on January 11, 1973. Accordingly, the injunctive orders mandated by the court with regard to the 1973 and future Panels would have run against Mayor Rizzo, not Mayor Tate. As its sole reason for directing such relief against Mayor Rizzo, the Court of Appeals noted that Mr. Zecca continued as Deputy Mayor under the Rizzo administration. Id., at 619 n. 21. But petitioner alleges, and respondents do not deny, that under Mayor Rizzo‘s stewardship, Mr. Zecca no longer has any responsibility with regard to Panel appointments. Moreover, the entire case has been focused on the appointments made by Mayor Tate. Nothing in the record speaks to the appointment policies of Mayor Rizzo with regard to the Panel. Thus, the record does not support the premise that Mayor Rizzo‘s appointment record for the Panel will track that of his predecessor.
Where there have been prior patterns of discrimination by the occupant of a state executive office but an intervening change in administration, the issuance of prospective coercive relief against the successor to the office must rest, at a minimum, on supplemental findings of fact indicating that the new officer will continue the practices of his predecessor. E. g., Spomer v. Littleton, 414 U. S. 514 (1974). The Court of Appeals did not have the benefit of such findings at the time it instructed
IV
We turn, finally, to the dissent‘s argument that this case should be remanded to the District Court for resolution of state law issues under the court‘s pendent jurisdiction or, in the alternative, for abstention so that the case may be tried from scratch in state court. This approach ignores what the parties have briefed and argued before us, espouses on behalf of respondents state law claims of barely colorable relevance to the instant suit, and would produce a result inconsistent with a commonsense application of the pendent jurisdiction and abstention doctrines.
As the dissent concedes, post, at 642, its state law arguments were neither raised in the petition, argued in the briefs, nor articulated in oral argument before this Court. To address them would require us to disregard the admonitiоn of Supreme Court Rule 23.1 (c) that “[o]nly the questions set forth in the petition or fairly comprised therein will be considered by the court.” See also, e. g., Mazer v. Stein, 347 U. S. 201, 206 n. 5 (1954); National Licorice Co. v. NLRB, 309 U. S. 350, 357 n. 2 (1940); General Talking Pictures Corp. v. Western Electric Co., 304 U. S. 175, 177-178 (1938). Moreover, the assertion that pendent jurisdiction is appropriate and that pendent state claims should be decided first presumes that the state claims have color and make it possible for the case to be “decided without reference to questions arising under the Federal Constitution . . . .” Siler v. Louisville & Nashville R. Co., 213 U. S. 175, 193 (1909). That is not true here. In their complaint, respondents set out the following four points of state law and no others: that the 1971 Panel was convened on May 28, whereas the Charter required May 25; that the Mayor appointed the chairman of the Panel, although the Charter allegedly restricts that appointment responsibility to the Panel itself; that one of the Mayor‘s appointees was not the highest ranking officer of the organization he represented; and that the Mayor appointed certain city officials to the Panel, in alleged contravention of the Charter. A decision for respondents on all of these issues would not have approached resolving the case nor would it have provided a basis for granting the relief to which respondents laid claim. These state law claims were wholly tangential to the principal theme of respondents’ lawsuit—an alleged violation of the Equal Protection Clause of the
At the opening of the evidentiary hearings, the District Court asked counsel for respondents to describe the basis of the suit. Counsel responded that “the single issue in the case, as we have presented it, is whether there has been racial discrimination in violation of the
“In order to represent adequately the entire community, the four other members of the Educational Nominating Panel shall be appointed by the Mayor from the citizenry at large.” (Emphasis added.)
As should be immediately apparent, the emphasized phrase, on which the dissent relies and which it apparently views as a requirement of racial balance, speaks only to the four at-large seats. The phrase does not address the nine seats restricted to the head of designated categories of citywide organizations and thus plainly does not address the Panel “as a whole.” Thus, assuming the language is capable of carrying the meaning that the dissent would import to it and overlooking the fact that respondents did not set it out as an independent ground in their complaint or elsewhere, the provision is simply incapable of resolving a lawsuit addressed at all 13 seats on the Panel. As the District Court noted, “failing to appoint at-large members to adequately represent the entire community [is] not relevant in determining whether racial discrimination was involved with the appointments [to the Panel] . . . .” 333 F. Supp., at 1207.22
The judgment is reversed.
It is so ordered.
APPENDIX TO OPINION OF THE COURT
Philadelphia Home Rule Charter
ARTICLE XII
PUBLIC EDUCATION
CHAPTER 1
THE HOME RULE SCHOOL DISTRICT
Section 12-100. The Home Rule School District. A separate and independent home rule school district is hereby established and created to be known as “The School District of Philadelphia.”
Section 12-101. The New District to Take Over All Assets and Assume All Liabilities of the Predecessor School District.
(a) succeed directly the now existing school district for all purposes, including, but not limited to, receipt of all grants, gifts, appropriations, subsidies or other payments;
(b) take over from the now existing school district all assets, property, real and personal, tangible and intangible, all easements and all evidences of ownership in part or in whole, and all records, and other evidences pertaining thereto; and
(c) assume all debt and other contractual obligations of the now existing school district, any long term debt to be issued, secured and retired in the manner now provided by law.
CHAPTER 2
THE BOARD OF EDUCATION
Section 12-200. The Board Created; Its Function. There shall be a Board of Education of the School District of Philadelphia which shall be charged with the administration, management and operation of the home rule school district.
Section 12-201. Members of the Board; Method of Selection. There shall be nine members of the Board of Education who shall be appointed by the Mayor from lists of names submitted to him by the Educational Nominating Panel. . . .
Section 12-202. Eligibility for Board Membership. Members of the Board of Education shall be registered voters of the City. No person shall be eligible to be appointed . . . to more than two full six-year terms.
Section 12-203. Terms of Board Members. The terms of members of the Board of Education shall begin on the first Monday in December and shall be six
Section 12-204. Removal of Members of the Board. Members of the Board of Education may be removed as provided by law.
Section 12-205. Vacancies on the Board. A vacancy in the office of member of the Board of Education shall be filled for the balance of the unexpired term in the same manner in which the member was selected who died or resigned. If a member of the Board is removed from office, the resulting vacancy shall be filled as provided by law.
Section 12-206. Educational Nominating Panel; Method of Selection.
(a) The Mayor shall appoint an Educational Nominating Panel consisting of thirteen (13) members. Members of the Panel shall be registered voters of the City and shall serve for terms of two years from the dates of their appointment.
(b) Nine members of the Educational Nоminating Panel shall be the highest ranking officers of City-wide organizations or institutions which are, respectively:
(1) a labor union council or other organization of unions of workers and employes organized and operated for the benefit of such workers and employes,
(2) a council, chamber, or other organization established for the purpose of general improvement and benefit of commerce and industry,
(3) a public school parent-teachers association,
(4) a community organization of citizens established for the purpose of improvement of public education,
(6) a league, association, or other organization established for the purpose of improvement of human and inter-group relations,
(7) a non-partisan committee, league, council, or other organization established for the purpose of improvement of governmental, political, social, or economic conditions,
(8) a degree-granting institution of higher education whose principal educational facilities are located within Philadelphia, and
(9) a council, association, or other organization dedicated to community planning of health and welfare services or of the physical resources and environment of the City.
(c) In order to represent adequately the entire community, the four other members of the Educational Nominating Panel shall be appointed by the Mayor from the citizenry at large.
(d) In the event no organization as described in one of the clauses (1) through (9) of subsection (b) exists within the City, or in the event there is no such organization any one of whose officers is a registered voter of the City, the Mayor shall appoint the highest ranking officer who is a registered voter of the City from another organization or institution which qualifies under another clause of the subsection.
(e) A vacancy in the office of member of the Educational Nominating Panel shall be filled for the balance of the unexpired term in the same manner in which the member was selected who died, resigned, or was removed.
(f) The Educational Nominating Panel shall elect its own officers and adopt rules of procedure.
(a) The Mayor shall appoint and convene the Educational Nominating Panel (1) not later than May twenty-fifth of every odd-numbered year, and (2) whenever a vacancy occurs in the membership of the Board of Education.
(b) The Panel shall within forty (40) days submit to the Mayor three names of qualified persons for every place on the Board of Education which is to be filled. If the Mayor wishes an additional list of names, he shall so notify the Panel within twenty (20) days. Thereupon the Panel shall within thirty (30) days send to the Mayor an additional list of three qualified persons for each place to be filled. The Mayor shall within twenty (20) days make an appointment . . . .
(d) The Educational Nominating Panel shall invite business, civic, professional, labor, and other organizations, as well as individuals, situated or resident within the City to submit for consideration by the Panel the names of persons qualified to serve as members of the Board of Education.
(e) Nothing herein provided shall preclude the Panel from recommending and the Mayor from appointing or nominating persons who have previously served on any board of public education other than the Board of Education created by these charter provisions.
MR. JUSTICE WHITE, with whom MR. JUSTICE BRENNAN and MR. JUSTICE MARSHALL join, and with whom MR. JUSTICE DOUGLAS joins in Part II, dissenting.
I
Although the majority describes the “gravamen” of the respondents’ complaint as grounded on the Equal
The District Court, after trial at which evidence was developed on both the constitutional and state claims, decided the constitutional claim adversely to the respondents. As to the state claim, the court stated:
“Further, plaintiffs would have us construe
Section 12-206 (c) of the Educational Supplement to hold that the phrase ‘representative of the community’ refers to racial balance. However, the interpretation of this statute would more properly be decided by the State courts, and we take no position thereto.”2 Educational Equality League v. Tate, 333 F. Supp. 1202, 1206-1207 (ED Pa. 1971).
Although the court did not directly reach the state claim, it thought that the legislative history of the Educational Supplement “serves as the background for the facts of which plaintiffs complain,” id., at 615, particularly the evidence that the chairman of the Educational Home Rule Charter Commission, which drafted the Educational Supplement, contemplated that the composition of the Panel would “constitute a balanced representation or cross-section of the people of the entire community—all of the community‘s ethnic, racial, economic, or geographic element and segments.” Id., at 614-615.
There is no question in this case that the District Court had jurisdiction over this
“The Court will not pass upon a constitutional question although properly presented by the record, if there is also present some other ground upon which the case may be disposed of. . . . Thus, if a case can be decided on either of two grounds, one involving a constitutional question, the other a question of statutory construction or general law, the Court will decide only the latter. Siler v. Louisville & Nashville R. Co., 213 U. S. 175, 191; Light v. United States, 220 U. S. 523, 538.” Id., at 347.
In Siler v. Louisville & Nashville R. Co., 213 U. S. 175 (1909), a state order regulating rates was attacked as unconstitutional, under the
“Where a case in this court can be decided without reference to questions arising under the Federal Constitution, that course is usually pursued and is not departed from without important reasons. In this case we think it much better to decide it with regard to the question of a local nature, involving the construction of the state statute and the author-
ity therein given to the commission to make the order in question, rather than to unnecessarily decide the various constitutional questions appearing in the record.” 213 U. S., at 193.
This course was taken despite the fact that the Court was without benefit of a construction of the statute by the highest state court of Kentucky. Id., at 194. This method of adjudication “avoids decision of constitutional questions where possible, and it permits one lawsuit, rather than two, to resolve the entire controversy.” C. Wright, Federal Courts 63 (2d ed. 1970). See H. Hart & H. Wechsler, The Federal Courts and the Federal System 922 (2d ed. 1973).
The рolicy of directly proceeding to a local law issue to avoid deciding a constitutional question, ruled upon in Siler, and which achieved doctrinal status in Ashwander, is “well settled.” Hillsborough v. Cromwell, 326 U. S. 620, 629 (1946). Since the District Court and Court of Appeals passed by the state law claim, and directly proceeded to the federal constitutional issue, I would vacate the judgment of the Court of Appeals and remand to the District Court for assessment of the state law claim.3
The basic relief sought by respondents was to bar the 1971 Panel appointed by Mayor Tate from submitting nominees for the Board to the Mayor, and an order directing the Mayor to appoint a Nominating Panel “fairly representative of the racial composition of the school community.” This relief would be equally avail-
If the District Court had proceeded to the state law claim, it might have decided that it was without merit, or even perhaps frivolous, in which case it would, in any event, have been required to answer the constitutional question. Perhaps if this Court believed the state court claim were of a truly insubstantial nature, the suggestion for a remand might appear not to be worth the candle, and productive of unnecessary delay. I do not believe this to be the case, however.
The respondents’ view of state law was that the Mayor, here with the assistance of Deputy Mayor Zecca, was required to compile a list of all organizations which qualified under the nine categories set up by the city charter, and from this group to select the chief exeсutive officer of one of those organizations in each category with the view of achieving a balanced racial composition on the Panel as a whole. This view was supported by the fact that the chairman of the Educational Home Rule Charter Commission, which drafted the Supplement, stated that the composition of the Panel should constitute a balanced cross section of the entire community, on racial, as well as other grounds. Minutes from the meetings of the Charter Commission were relied upon to support this reading of the charter.
On the other hand, petitioner reads the charter quite differently. Deputy Mayor Zecca testified that the description of certain categories almost dictated which organization was to have representation on the Nominating Panel. Category one on the Nominating Panel required representation of “a labor union council or other organization of unions of workers and employes organized and operated for the benefit of such workers and employes.” Mr. Toohey, the head of the AFL-CIO
Respondents and petitioner thus squarely joined issue on the intent of the charter.4 Respondents thought any
The majority only comes to grips with the state law claim of racial discrimination in a footnote, stating: “The statement by the chairman relied on by the dissent was coupled with the thought that one of the commission‘s principal purposes was to preserve the Mayor‘s accountability at the polls for his appointments. The commission apparently believed that the appropriate check on the Mayor‘s actions was the court of public
As the majority opinion indicates, one of the grounds relied upon by the Court of Appeals in finding racial discrimination in the appointment of the Panel, under the
Of course, the District Court on remand might decide that it should leave to the state courts resolution of the state law issue, and abstain. In such event, the proper course to follow would be to retain jurisdiction over the constitutional issue pending resolution of the state claim in another forum. The decision to abstain is by no means required and whether that course meets the test of “special circumstances,” see Lake Carriers’ Assn. v. MacMullan, 406 U. S. 498, 509 (1972), is far from certain. I raise this possibility only for the purpose of stressing that even if abstention were to be deemed appropriate, a question on which I indicate no view, the District Court should still refrain from deciding the constitutional issue. The paramount concern of avoiding constitutional questions, where possible, persists. The Court has noted that application of the abstention doctrine inevitably gives rise to delay and expense, England v. Medical Examiners, 375 U. S. 411, 418 (1964), but the policies underlying the Ashwander doctrine should prevail even at this late date in the litigation.
The bearing of the Ashwander doctrine was not raised by the parties to this litigation, either in the District Court, the Court of Appeals, or in this Court. However, this Court clearly has “the power to notice a ‘plain error’ though it is not assigned or specified,” Brotherhood of Carpenters v. United States, 330 U. S. 395, 412 (1947), and this holds true whether the error has or has not been briefed or argued in this Court. Silber v. United States, 370 U. S. 717 (1962).
In Alma Motor Co. v. Timken Co., 329 U. S. 129 (1946), the Court of Appeals had before it not only a constitutional question which it decided, but also a nonconstitutional question, which alone would have disposed
“This Court has said repeatedly that it ought not pass on the constitutionality of an act of Congress unless such adjudication is unavoidable. This is true even though the question is properly presented by the record. If two questions are raised, one of non-constitutional and the other of constitutional nature, and a decision of the non-constitutional question would make unnecessary a decision of the constitutional question, the former will be decided.” Id., at 136.
The presence of the nonconstitutional ground had not been raised below, or in this Court until after argument, but the Court observed:
“We agree that much time has been wasted by the earlier failure of the parties to indicate, or the Circuit Court of Appeals or this Court to see, the course which should have been followed. This, however, is no reason to continue now on the wrong course. The principle of avoiding constitutional questions is one which was conceived out of considerations of
sound judicial administration. It is a traditional policy of our courts.” Id., at 142.
II
Since the majority fails to accept my views on the matter of reaching the constitutional question, I feel compelled to express my thoughts on the merits of the claim of racial discrimination.
On the record in evidence before it, the Court of Appeals found that the 1971 Nominating Panel was discriminatorily chosen. Although the sufficiency of the evidence to support that conclusion is arguable, I would not substitute our own view of the facts and overturn the Court of Appeals’ judgment in this respect. Negroes constituted 34% of the population, and 60% of the public school students were Negroes. The purpose of the ordinance establishing the Nominating Panel was to stimulate and invite participation by all groups in the community, including Negroes and other minorities. It is, therefore, especially significant, even from this distant vantage point, that despite the evident intent of the ordinance to have municipal authoritiеs seek out city-wide associations and interest groups, the city official most responsible, short of the Mayor, for the composition of the Panel confessed ignorance of many of the organizations from which nominations to the Panel might have been made and which might have put forward meritorious suggestions for School Board membership. There was also highly probative evidence with respect to the Mayor‘s statement that he intended to appoint no more Negroes to the School Board. These facts, when seen through the eyes of judges familiar with the context in which they occurred, may have special significance that is lost on those with only the printed page before them. Sometimes a word, a gesture
The Court complains that the testimony about the Mayor‘s statement concerning school membership for Negroes was inadmissible hearsay and was thus entitled to no credence. Ante, at 618 and n. 19. But nowhere in this record can one find a denial by Mayor Tate that he did not say what the testimony indicated. His declaration that he was not going to appoint any more Negroes to the School Board was a statement of future intention and as such was quite plainly admissible in evidence.
“[W]henever the intention is of itself a distinct and material fact in a chain of circumstances, it may be proved by contempоraneous oral or written declarations of the party.
“The existence of a particular intention in a certain person at a certain time being a material fact to be proved, evidence that he expressed that intention at that time is as direct evidence of the fact, as his own testimony that he then had that intention would be.” Mutual Life Insurance Co. v. Hillmon, 145 U. S. 285, 295 (1892).
As an eminent commentator has observed:
“[I]t is now clear that out-of-court statements which tend to prove a plan, design, or intention of the declarant are admissible, subject to the usual limitations as to remoteness in time and apparent sincerity common to all declarations of mental state, to prove that the plan, design, or intention of the
declarant was carried out by the declarant.” C. McCormick, Evidence § 295, p. 697 (2d ed. 1972).
More importantly, the statement evidencing the Mayor‘s attitude toward Negroes and their appointment to the School Board was simply not hearsay. At the time that the challenged statement was assertedly made and when it was later related by the witness who saw the Mayor make it on television,6 Mayor Tate was still in office and a party to the lawsuit. The statement was an admission on his part, and as such it was not hearsay. This elementary proposition of evidence law has most recently been recognized by the draftsmen of the Proposed Rules of Evidence for the United States Courts and Magistrates. Rule 801 (d) (2) expressly acknowledges that an admission by a party-opponent is not hearsay if the statement is offered against the party and was actually made by him in either his individual оr representative capacity. The Advisory Committee‘s Note succinctly outlines the reasons justifying the rule:
“Admissions by a party-opponent are excluded from the category of hearsay on the theory that their admissibility in evidence is the result of the adversary system rather than satisfaction of the conditions of the hearsay rule. Strahorn, A Reconsideration of the Hearsay Rule and Admissions, 85 U. Pa. L. Rev. 484, 564 (1937); Morgan, Basic Problems of Evidence 265 (1962); 4 Wigmore § 1048. No guarantee of trustworthiness is required in the case of an admission. The freedom which admissions have enjoyed from technical demands of searching for an assurance of trustworthiness in some against-interest circumstance, and from the restrictive influences of the opinion rule and the 6 Tr. of Oral Arg. 31.
rule requiring firsthand knowledge, when taken with the apparently prevalent satisfaction with the results, calls for generous treatment of this avenue to admissibility.”
The District Court, therefore, was in error in refusing to admit the Mayor‘s statement in evidence, and the Court of Appeals was correct in considering it and giving it the weight it deserved. Its conclusion was that the statement supported an inference that there was racial discrimination in the formation of the Nominating Panel. But this Court now says that the inference is not a strong one and is insufficient, along with the other evidence, to sustain the judgment. It is at precisely this point, however, that I would not profess superior insight as to the meaning of “local” facts and override the judgment of the Court of Appeals with respect to the issue of discrimination.
My disagreement with the Court does not go beyond what I consider its improvident exercise of a factfinding role in this particular case. I do not question the long-established principle that this Court has a special responsibility, if not an affirmative duty, to ensure by independent review of the facts that the Constitution is not frittered away.
“This Court‘s duty is not limited to the elaboration of constitutional principles; we must also in proper cases review the evidence to make certain that those principles have been constitutionally applied.” New York Times Co. v. Sullivan, 376 U. S. 254, 285 (1964).
Similarly,
“That the question is one of fact does not relieve us of the duty to determine whether in truth a federal right has been denied. . . . If this requires
an examination of evidence, that examination must be made. Otherwise, review by this Court would fail of its purpose in safeguarding constitutional rights.” Norris v. Alabama, 294 U. S. 587, 589-590 (1935).
The constitutional obligation of this Court, therefore, is to scrutinize a record in a case raising federal constitutional questions with detachment and circumspection, and always with an eye toward the impact of factual determinations on the federal right asserted.
But this has never been thought to be a license to rummage through a record looking for shreds of evidence that will discredit the judgment under review and suggest a contrary conclusion. Quite assuredly, reasonable men can, will, and often should differ as to questions of fact as well as law. Likewise, the records in many cases coming to this Court contain complicated, interwoven questions of what have been designated as “law and fact.” See H. Hart & H. Wechsler, supra, at 601-610. “[I]t is almost impossible[, however,] to conceive how this Court might continue to function effectively were we to resolve afresh the underlying factual disputes in all cases containing constitutional issues.” Time, Inc. v. Pape, 401 U. S. 279, 294 (1971) (Harlan, J., dissenting).
In this case, two interrelated “factual” questions are presented: did the Mayor make the statement evidencing his attitude toward appointing Negroes to the School Board and, if so, is the inference strong enough to support the judgment of the Court of Appeals? The District Court apparently assumed the statement was made, but ruled it inadmissible hearsay that the court should not consider. The Court of Appeals, however, accepted the making of the statement and reached the conclusion, based on the statement, that “[i]f the Mayor decided, prior to receiving nominees from the Panel to exclude
The District Court, having failed to consider the case with the Mayor‘s statement in evidence, provides no crutch for this Court. If the District Court‘s assessment of the presence of racial discrimination is deemed a critical factor, the proper course would be to remand the case to the District Court, rather than to reject, on its own motion, the weight given to that testimony by the Court of Appeals. In United States v. Matlock, ante, at 177-178, where we determined that the District Court had erroneously excluded evidence as hearsay, we determined the evidence should be admitted, but remanded the case to the District Court to determine what weight should be given to the evidence. In the present posture of this case the Court is in no position to rely on any view of the relevant and admissible facts other than its own.
I am also unconvinced that we must reverse every ultimate factual conclusion of the courts of appeals whenever we disagree with them or simply because we would not have arrived at the same conclusion had we been deciding the issue in the first instance. Where ample evidence supports the court of appeals’ judgment and reasonable
I must dissent.7
Notes
This was a “short and plain statement of the claim,” and was a general assertion that there had been racially discriminatory appointments in violation of the Charter. As the Court stated in Conley v. Gibson, 355 U. S. 41, 48 (1957), “[t]he Federal Rules reject the approach that pleading is a game of skill in which one misstep by counsel may be decisive tо the outcome and accept the principle that the purpose of pleading is to facilitate a proper decision on the merits.” A fair reading of the complaint shows that this general claim was supported by allegations of racial discrimination in the body of the complaint and that other violations of the Supplement were asserted “[i]n addition” to the allegations of racial discrimination.
“Nine members of the Educational Nominating Panel shall be the highest ranking officers of City-wide organizations or institutions which are, respectively:
“(1) a labor union council or other organization of unions of workers and employes organized and operated for the benefit of such workers and employes,
“(2) a council, chamber, or other organization established for the purpose of general improvement and benefit of commerce and industry,
“(3) a public school parent-teachers association,
“(4) a community organization of citizens established for the purpose of improvement of public education,
As to another subsidiary state law point, the court stated:
“Similarly, while it is clear that the Mayor has not appointed the chief executive officer of the various organizations selected for representation on the Panel as required by the Educational Supplement, such violations have no bearing on the charges of racial discrimination and should also be decided by the State courts.”
This case raises entirely separate issues than were posed in Mine Workers v. Gibbs, 383 U. S. 715 (1966), where a state claim was pendent to a federal statutory claim. Under such circumstances, the Ashwander doctrine is inapplicable, since there is no federal constitutional claim, and once having decided the federal claim, upon which jurisdiction is premised, the court must determine whether it is proper to resolve the pendent state claim as well.
The general claim of discrimination was not abandoned at trial. As the transcript shows, the statutory claim remained “one of the pieces” in the “picture” of racial discrimination. After evidence was taken, respondents continued to press this claim in their post-trial brief, which stated:
“The evidence presented clearly demonstrates that the entire scheme of appointments violated the central principle of the Panel as expressed by the framers of the Supplement. It is clear from the documents introduced by the defendant that the Panel method of selecting School Board members was adopted after great consideration of a number of alternatives. It is equally clear that the Commission intended that the Panel mechanism function as a substitute for or counterpart of popular election; it should therefore constitute a balanced representation of the people of the entire community.”
The statement of counsel at the opening of the trial obviously did not fully reflect or anticipate the evidence at trial or the issues tendered and accepted by the District Court. That court, rather than deciding the state law issues as part of the constitutional claim, expressly left them for resolution in the state courts. The fact that a state law claim is presented with a constitutional argument does not remove the claim as an alternative ground of decision.
In arguing that the claim was insubstantial, the majority attacks a straw man. It assumes that the claim could only have been based on
I do agree with the Court that the remedy against the incumbent Mayor Rizzo was improvident. See Spomer v. Littleton, 414 U. S. 514 (1974).
“BY MR. WOLF:
“Q. Mr. Zecca, we were discussing earlier a statement by Mayor Tate in 1969 that he would not appoint any additional Negroes to the School Board and you said you didn‘t recall that statement.
“A. I said I don‘t think that he made such a statement.
“Q. Well, all right.
“May I show you a very bad copy of a page of the Philadelphia Inquirer, Saturday, May 3, 1969, and the article says he indicated, referring to the Mayor, he would not appoint another Negro to the Board because the Negro community has good representation in the two Negroes now serving on the Board.
“Do you recall that article?
“. . . . .
“THE WITNESS: I don‘t recall the article specifically but it doesn‘t say he is not going to name another member.
“It said that he indicated that he wouldn‘t name another member; and this is, of course, the reporter‘s version of this, but the quote said the Negro community has good representation in the two Negroes now serving on the Board.
“They may have asked him whether he was going to appoint any more Negroes to the Board and he said the Negro community has good representation on the Board as it is; just like it has excellent representation right in this story.
“BY MR. WOLF:
“Q. You don‘t recall, however, this having happened?
“A. No.”
“At that time [in 1969] the Mayor made a public statement that he was not going to appoint any more Negroes to the Board because, in his feeling, they had adequate representation and that he was going to appoint someone from the nominees to the Board of Education.” App. 41a.
The dissenting opinion, based in part on this single ambiguous piece of testimony, argues that this “highly probative evidence” was not hearsay. Post, at 644. It may have been admissible for what it was worth as an exception to the hearsay rule, but hearsay it certainly was—and its probative value was so dubious that the District Court ignored it. Mayor Tate was not called as a witness by either side and accordingly did not testify. Thus, it is hardly surprising that “nowhere in this record can one find a denial by Mayor Tate that he did not say what the testimony indicated.” Post, at 645.
The relevant interchange was as follows:
“THE COURT. Do I understand you to say that it is your interpretation of the wording of the charter in connection with the makeup of the panel that it should be representative of the community generally? Is that what you are saying?
“MR. WOLF. The language is ‘represent adequately the entire community,’ and what I want to try to make clear in the course of my presentation is that we are not going around looking for a hook to hang our case on.
“We expect to present to you a picture, and we think that each of these items will fit into the picture, and paint an image of racial discrimination.
“We think that one of the pieces that will be in that picture is the statutory context, which is that this committee, this panel, should represent adequately the entire community. We are not arguing that that means X number of whathaveyou; we are just saying that that is relevant.
“If it weren‘t there, maybe there would be a stronger argument to be made that you should not expect a large number of Blacks there, but it is supposed to represent adequately the entire community, and that means something. It dоesn‘t mean anything exactly, but it means something. It points you in a direction to suggest that you should find—
“THE COURT. And this is one of the sticks in the bundle that I should weigh.
“MR. WOLF. That‘s right. You should find some Blacks on there under the statute.” Tr., Aug. 25, 1971, pp. 75-76.
The dissent also refers to a statement by the chairman of the commission that drafted the Panel with regard to a “balanced cross section of the entire community . . . .” The statement by the chairman relied on by the dissent was coupled with the thought that one of the commission‘s principal purposes was to preserve the Mayor‘s accountability at the polls for his appointments. The commission apparently believed that the appropriate check on the Mayor‘s actions was the court of public opinion. Moreover, it is instructive to quote the chairman‘s statement. After noting that the Panel should serve as a substitute for public election of the School Board, the chairman said:
“It follows that the panel‘s composition should be so arranged in the charter that it can always constitute a balanced representation or cross-section of the people of the entire community—all of the community‘s ethnic, racial, economic, or geographic elements and segments.”
To convert that statement, as would the dissent, into nothing more than a mandate for racial balance between Negroes and whites is to disregard wholly what the chairman actually said.
Assuming, arguendo, that there is substance to the state claims perceived by the dissent, there would still be serious question about the appropriateness оf pendent jurisdiction. The dissent concedes that “the sufficiency of the evidence to support [respondents’ federal case] is arguable . . . .” Post, at 644. The dissent is, therefore, urging avoidance by a district court of a federal claim in favor of state law matters in a case where the federal issue is dubious yet is the only basis for federal jurisdiction. This amounts to an argument that the state tail should wag the federal dog, e. g., H. Hart & H. Wechsler, The Federal Courts and the Federal System 925 (2d ed. 1973), and we do not view it as an efficacious application of the pendent jurisdiction doctrine. Alma Motor Co. v. Timken Co., 329 U. S. 129 (1946), on which the dissent relies in concluding that this case should be remanded for resolution of state issues, was a case in which the alternative ground for decision was a federal statute over which a district court would have jurisdiction without regard to the presence of federal constitutional issues. It plainly is not in point here. In the instant case, the alternative ground championed by the dissent is not by itself capable of conferring federal jurisdiction.
See, e. g., McNeese v. Board of Education, 373 U. S. 668 (1963); Harrison v. NAACP, 360 U. S. 167, 180 (1959) (DOUGLAS, J., joined by Warren, C. J., and BRENNAN, J., dissenting); ALI Study of the Division of Jurisdiction Between State and Federal Courts § 1371 (g), commentary at 297 (1969).
See Gunther, The Subtle Vices of the “Passive Virtues“—A Comment on Principle and Expediency in Judicial Review, 64 Col. L. Rev. 1, 16-17 (1964).
