Mann v. City of Albany, Georgia Brief of the United States as Amicus Curiae
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September 16, 1988

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Brief Collection, LDF Court Filings. Mann v. City of Albany, Georgia Brief of the United States as Amicus Curiae, 1988. 08f978de-bc9a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/42a220f6-86ed-47a4-af84-4d669c7bc835/mann-v-city-of-albany-georgia-brief-of-the-united-states-as-amicus-curiae. Accessed May 03, 2025.
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No. 88-8468 IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT J. DALE MANN, Plaintiff-Appellant v. CITY OF ALBANY, GEORGIA, et al., Defendants-Appellees APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF GEORGIA BRIEF OF THE UNITED STATES AS AMICUS CURIAE WM. BRADFORD REYNOLDS Assistant Attorney General ROGER CLEGG Deputy Assistant Attorney General DENNIS J. DIMSEY ROBERT J. DELAHUNTY Attorneys Department of Justice P. O. Box 66078 Washington, D.C. 20035-6078 (202) 633-3870 CERTIFICATE OF INTERESTED PERSONS 2 . 3 . 4 . 5 . 6 . 7 . 8 . 9 1. Honorable Duross Fitzpatrick, Trial Judge C. Nathan Davis, Attorney for Appellant for Appellant j. Dale Mann, Appellant City of Albany, Georgia, Appellee Washington Long, Appellee James V. Davis, Thomas S. Chambliss, Attorneys for City of Albany Chevene B. King, Jr., Attorney for Washington Long of America These representations are made in order that the Judgesof this CoS?? lly evaluate possible disqualifications or recusal. C '— - / ' / A y tyu Robert J. Delahunty TABLE OF CONTENTS Page INTEREST OF THE UNITED STATES ..................... 2 STATEMENT OF JURISDICTION ......................... 2 STATEMENT OF THE ISSUES ............................. 2 STATEMENT OF THE CASE .............................. 6 STANDARD OF REVIEW ......................... . 6 SUMMARY OF ARGUMENT ........................... ARGUMENT: j. plaintiff is entitled to seek relief FROM THE 1976 COURT ORDER ......... 16 24 TT THF COURT-ORDERED QUOTA IS NOT "NARROWLY TAILORED" TO REMEDYING PAST DISCRIMINATION CONCLUSION TABLE OF AUTHORITIES Cases: a-f-rn-American Patrolmen's League v. Cit.y of Atlanta 817 F.2d 719 (11th Cir. 1987) .................. Arizona v. California, 460 U.S. 605 (1983) ....... Ashlev v. city of Jackson, 464 U.S. 900 (1983) Bernhard v. Bank of America Nat'l Trust & Savings Ass'n, 19 Cal.2d 807 (1942) ............ Blonder— Tongue Laboratories^. TTlinois Found., 402 U.S. Inc, v. University 313 (1971) ....... of Catelett v. Missouri Highway & Transp. Comm'_n 828 F.2d 1260 (8th Cir. 1987) ............ rh^P Nat'l Bank v. City of Norwalk, 291 U.S. 431 (1934) ......................... * Colby v. -t - C - Penny Co. , 811 F.2d 1119 (7th Cir 1987) ....................................... Commissioner v. Sunnen, 333 U.S. 591 (1948) Connecticut v. Teal, 457 U.S. 440 (1982) ...... Firefighters Local Union No,— 1784. v. Stotts, 467 U.S. 561 (1984) ......................... 11 9,10 8 8 8 20 12 10,13 12 20 24 i Cases (continued): Furnco Construction Co. v . Waters, 438 U.S. 567 (1978) ................................ General Bldg. Contractors Ass'n v. Pennsylvania, 458 U.S. 375 (1982) ................................ General TpIpphone Co. V. EEOC, 446 U.S. 318 (1980) --- Griffin v. State Board of Educ., 296 F. Supp. 1178 (E.D. Va. 1969) ............................... Hammon v. Barry. 813 F.2d 412, (D.C. Cir. 1987), cert, denied, 108 S. Ct. 2023 (1988) ............... Hansberrv v. Lee, 311 U.S. 32 (1940) ................. Harris v. Marsh. 679 F. Supp. 1204 (E.D.N.C. 1987) .... Hazelwood School Dist. v . United—States, 433 U.S. 299 (1977) ................................ H.K. Porter Co. v . Metropolitan Dade_County, 825 F.2d 324 (11th Cir. 1987), cert. pet. pending, No. 87-1001 (O.T. 1987) ................... *Tn re Birmingham Reverse Discrimination Employment Litigation. 833 F.2d 1492 (11th Cir. 1987), cert, granted, 108 S. Ct. 2843 (1988) ............. ■ J.A. Croson Co. v. City of Richmond, No. 87-998 (O.T. 1987) ............................ Janowiak v. City of South Bend, 836 F.2d 1034 (7th Cir. 1987), No. 87-1754 (O.T. 1987) .......... ♦Johnson v. City of Albany, 413 F. Supp. 782 (M.D. Ga. 1976) ................................... Johnson v. Transportation Agency, 107 S. Ct. 1442 (1987) ............................................ Litchfield v. Goodnow, 123 U.S. 549 (1887) .......... Lockoort v. Citizens for Community Action, 430 U.S. 259 (1977) ............................... Mann v. City of Albany, 687 F. Supp. 583 (M.D. Ga. 1988) ................................... Marino v. Ortiz, 108 S. Ct. 586 (1988) .............. 23 10 12 21 8 20 ,21-22 22 20 16 passim 16,24,25 21 passim passim 8 9 4 1,12 li Cases (continued): Martin v. Wilks, 108 S. Ct. 2843 (1988) NOS. 87-1614, 87-1639 & 87-1688 (O.T. cert, pending, 1987) ........ McDonald v . Santa Fe Trail Transp_.— Cô _, 427 U.S. 273 (1976) ................ McKinney v. Alabama, 424 U.S. 669 (1976) ....... Mullane v. Central Hanover Bank & Trust Co._, 339 U.S. 306 (1950) .......................... Patterson v. McLean Credit Union, 108 S. Ct. 1419 (1988) ....................................... Regents of the Univ. of California v . Bakke, 438 U.S. 265 (1978) .......................... 23 8,10 10 7 11,21 12,25 .gam Fox Publishing Co. v. United States, 366 U.S. 683 (1961) ................. Sea-Land Services. Inc, v . Gaudet, 414 U.S. 573 (1974) ........... Sheet Metal Workers v. EEOC, 478 U.S. 421 (1986) ..... ♦United States v. Jefferson County, 720 F.2d 1511 (11th Cir. 1983) ................................... United States v. Maine, 420 U.S. 515 (1975) .......... ♦United States v. Paradise, 107 S. Ct. 1053 (1987) .... Walters v. City of Atlanta, 803 F.2d 1135 (11th Cir. 1986) ................................... Watson v. Fort Worth Bank & Trust, 108 S. Ct. 2777 (1988) ........................................ ♦wi1liamson (2d Cir. v. Bethlehem Steel Corp._, 468 F. 2d 1201 1972), cert, denied, 411 U.S. 931 (1973) ... Wvgant v. Jackson Bd. of Educ,_, 476 U.S. 267 (1986) ... Constitution and statutes: Constitution of the United States: Due Process Clause of the Fifth Amendment Fourteenth Amendment ................... Due Process Clause ................... Equal Protection Clause .............. 12 passim passim 10,13 passim 24 19,20,22 8,10,13 21,23 6,8 4 6,8 7,24 iii Civil Rights Act of 1964, Title VII, as amended, passim 42 U.S.C. 2000e et seĝ . .................... 1 42 U.S.C. 2000e-5(f)(1) 2 28 U.S.C. 1291 ................................... ‘ ’ 4,7,23 42 U.S.C. 1981 ................................. . 4 42 U.S.C. 1983 ................................. Miscellaneous: ........... 12 Fed. R. Civ. P. 24 ................................. 12 Fed. R. Civ. P. 60(b)(6) .....**‘**2............Comment, Collateral Attacks on Employment Discrimination Consent Decrees, ........ 10,24 ^ l 3r Ji' Thp' Col lateral^Attach Doctrine and Rules of Process. 1987 U. Chi. Legal Forum 155 (1987) ..... BPstatement (Secondl of Judgments, 8 Section 34(3) at 345 (1982) • • • • • • • • • •* * * * * 8,9 Civil 4449 (1981) ............................. IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT No. 88-8468 J. DALE MANN, Plaintiff-Appellant v. CITY OF ALBANY, GEORGIA, et al., Defendants-Appellees APPEAL FROM THE UNITED STATES •pot? THF. MIDDLE DISTRICT DISTRICT COURT OF GEORGIA BRIEF OF THE UNITED STATES AS AMICUS CURIAE INTEREST OF THE UNITED STATES The united states is responsible for enforcement of Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e et seca, where, as here, the employer is a local government, 42 U.S.C. 2000e-5 (f)(1). «e have participated as a party or amicus curiae in cases involving related issues concerning the effect on nonparties of Title VII consent decrees. See, SUU. Marino v. Ortiz, 108 S. Ct. 586 (1988); Jn re Birminqham Reverse ni cor(mi nation nmolovment Litigation, 833 F.2d 1492 (11th Cir. 1987), cert, granted, 108 S. Ct. 2843 (1988). This case also implicates the legality of a promotion quota ordered by a district court, and we have also participated in cases of that Kind, see, e ^ , United States v. Paradise, 107 S. Ct. 1053 (1987) . 2 STATEMENT OF JURISDICTION This Court has jurisdiction under 28 U.S.C. 1291. STATEMENT OF THE ISSUES 1. Whether a plaintiff may collaterally attack a 1976 court-ordered affirmative action plan when he was neither a party to the original suit nor in privity with a party, but was denied a promotion in 1985 because of it. 2. Whether a court order requiring each job category m each city department to reach a fixed, 60%/40% proportion of whites and blacks, and to promote on a one-black-for-one-white basis until that proportion is achieved, is an unlawful racial quota. STATEMENT OF THE CASE 1. This is an employment discrimination suit brought by a white police officer who was denied a promotion in favor of a black police officer. The plaintiff has been a Major with the Albany, Georgia, Police Department since 1979 (R. 1-39-1)M In 1985, he and three other police officers applied for the vacant position of Assistant Chief (there is only one such position), which had previously been -occupied by a white man. The post was filled by the only black applicant, then-Major Washington Long, whom the City found to be qualified (R. 1-39-2). The Personnel Office informed the plaintiff that he could not have been selected because of the provisions of an affirmative action plan adopted pursuant to a permanent injunction, which requires half 1/ Record citations are by page number. volume number, document number, and 3 of all vacancies to be filled by qualified black applicants, if available. The Personnel Director's letter stated: "Due to the previous selection being white and the fact that there was a qualified black person who applied for the job, the selection had to be black to comply with the provisions of the Court Injunction. Therefore you could not be selected for the position" (attached to R. 1-1-2). The Personnel Office's letter referred to the district court's decision in Johnson v. City of Albany, 413 F. Supp. 782 (M.D. Ga. 1976), in which the court had found the City of Albany liable for racial discrimination in employment, and had issued a remedial injunction.2/ The injunction was designed (9/12/76 Permanent Injunction at 3, attached to R. 1-1; emphasis in original): 2J The Johnson litigation involved the claim that the City had engaged in employment discrimination in all its departments, including the Police Department, in violation of Title VII. The Johnson court made detailed findings concerning the City's discriminatory practices for the period from 1968 through 1975. For 1968, the court found that "in every respect white employees and applicants * * * were favored over black employees and applicants" (413 F. Supp. at 799). For the 1968-1973 period, the court found that, while pay differentials were being "corrected," overall there was "little if any change" (ibid.). As of the end of 1975, the court found that the City had altered its discriminatory practices "in some respects" (id. at 800), but that nonetheless its pattern or practice of discriminating against blacks, particularly by keeping them in low-paying jobs, "continues to the present day" (ibid.). With respect to the Police Department, the Johnson court found that the City had hired and promoted (up to the rank of Captain) by use of tests that did not comply with Supreme Court decisions or then-current EEOC Guidelines, and that had an adverse impact on blacks (413 F. Supp. at 792-793). The court also found that "[employment application forms and tests were used not to measure job aptitude but to give the false appearance of fairly considering all persons for employment and promotion and to perpetuate the past but continuing discriminatory practices" (id. at 799-800). 4 to correct the imbalance in employment opportunity that now exiles by first creating a plan having as a goal the achieving of a work force in which the proportion description, (c) by department, and £d) by i* by*the SS.f recent Albany? GeorgiS, Standard Metropolitan Area reoorts of the Bureau of the Census. Until that objective is reached the defendants ^ h iect only to th_ avaiTability of qualified ze2±±c m £ s , s*a]) flll at Teast- one-half of all ]ob vacancies by hiring or promoting black persons.[ ] The City did not appeal the Johnson decision. The plaintiff was not a party to that case. 2. Plaintiff filed suit under Title VII of the Civil Rights Act of 1964, Sections 1981 and 1983 of Title 42, and the Fourteenth Amendment. The City moved for summary judgment, which the trial court granted. Mann v. City of Albany, 687 F. Supp. 583 (M.D. Ga. 1988). In the first half of its opinion, the district court purported to apply this Court's decision in Tn re Birmingham Reverse Discrimination EmpinymP.nt Litiqatio_n, supra. Birmingham permitted a collateral attack on a Title VII consent decree, and the district court conceded that "the legal analysis for claims of reverse discrimination under both a consent decree and a court decree are the same" (R. 1-39-7). Nevertheless, it asserted that "the very distinctions * * * between the two are what dictate the V Based on SMSA statistics, the mandatory objective ordered by the injunction translates into a 60%/40% white/black quota (Townsend Aff., R. 1-24-2). 5 outcome of this case" (ibid.).4/ In the district court's view, res judicata would bar plaintiff from collaterally attacking the original decree if "the interests of the subsequent reverse discrimination plaintiff were adequately represented by a party to the original action" (R. 1-39-8). Reviewing the facts of the original Johnson litigation, the court concluded that the City had "adequately represented the interests" of the plaintiff in that action (R. 1-39-10). In the latter half of its opinion, the district court reasoned that even if the City had not "adequately represented" the plaintiff in Johnson, the original decree satisfied the conditions for lawful affirmative action prescribed in Johnson v. Transportation Agency. 107 S. Ct. 1442 (1987), and in United States v. Paradise, 107 S. Ct. 1053 (1987) (R. 1-39-12-15). The court found that the plan had a valid predicate because it was addressed to remedying the past racial discrimination which the district court had found in 1976 (id., at 10-11) . And it was "narrowly tailored" and did not "unnecessarily trammel" the rights of nonminorities (id^ at 11-12, 13-14) because, the court held, particular city departments could "come within the confines of the Order" by reaching their overall quotas*, and because "50-s of all promotions are automatically open to nonminorities, and the positions earmarked for black promotions are available to 4/ The court rejected appellant's argument that he was merely attacking the City's plan, as distinct from the Johnson court's order, since "any employment policy established by Albany and not disapproved of by Judge Owens was implicitly approved and adopted by the Order. Consequently, the Order and the Plan must be dealt with together" (R. 1-39-8). Our brief assumes that this is correct. 6 whites in the event that no qualified black candidate applies" (id. at 14) . STANDARD OF REVIEW Whether a collateral attack on a court decree will lie is a question of law, as is the question whether the court order meets the legal requirements for racial preferences. Accordingly, the standard of review is whether the district court erred, as a matter of law, in its rulings on these two questions. SUMMARY OF ARGUMENT The district court's conclusion that the plaintiff was barred from challenging the 1976 court order is erroneous, both under generally applied principles of res judicata and under the controlling law of this Circuit. Plaintiff was not a party to the lawsuit in which that order was entered nor was he in privity with any of the parties. Under the ordinary and accepted rules of res judicata, he should therefore have been allowed to litigate this case. Indeed, the right to one's day in court is rooted in our legal traditions and protected by the Due Process Clauses of the Fifth and Fourteenth Amendments; it should not be made to hinge on the particular contents of the decree from which the plaintiff is seeking relief. This Court applied these principles in In re Birmingham Reverse Discrimination Employment Litigation, supra, in upholding the legality of the collateral attack at issue there, and those principles apply with equal force and lead to the same conclusion in this case. The district court also erred in its alternative holding that the 12 year-old court-ordered quota — which mandates a 7 60%/40% white/black allocation of jobs in all municipal departments and job categories, and which the City construes to require a one-for-one promotion procedure even in upper level, single-incumbent Police Department jobs was consistent Title VII, 42 U.S.C. 1981, and the Equal Protection Clause, under the standards set forth in united States v. Paradise, 107 S. Ct. 1053 (1987), neither the quota itself, nor its application to the circumstances of this case is "narrowly tailored" to the purpose of remedying the City's past discrimination. Accordingly, the City was not entitled to summary judgment, and the case should be remanded. ARGUMENT I. PLAINTIFF IS ENTITLED TO SEEK RELIEF FROM THE 1976 COURT ORDER There should not be and is not one set of general res judicata rules for most civil cases (including most Title VII cases) and a different, more restrictive set of rules for "reverse discrimination" cases.5/ It follows from this established principle that the district court incorrectly held 5/ c^o Tn Birmingham Reverse Discrimination Employment , Litigation^ 833 FT2d^at~1498 pre^usi effect of a consent decree on nonparties, * novern limitations we presently place on res (judicata estoppel. We should not undertake such ion lightly ), als0PPatterson v. McLean Credit Union, 108 S. Ct. 1419, (1988) (per curiam). 8 the plaintiff to be barred from seeking relief from the 1976 court order. 1. Under the common law, a litigant is generally not bound by a judgment in a case in which he was neither a party nor the privy of a party,*/ and here, plaintiff was -neither part[y] nor priv[y]" to the earlier litigation. See In re Birminqham_Reyerse Discrimination Employment Litigation, 833 F.2d at 1498. Furthermore, the right of a nonparty and nonprivy to be heard is rooted not only in the common law but also in the Due Process Clauses of the Fifth and Fourteenth Amendments. "Some litigants — those who never appeared in a prior action — may not be collaterally estopped without litigating the issue. They have never had a chance to present their evidence and arguments on the claim. Due process prohibits estopping them despite one or more existing adjudications of the identical issue which stand squarely against their position." B1onder-Tongne Laboratories^ Inc, v. Tinivarsity of Illinois Founds, 402 U.S. 313, 329 (1971).7/ This general rule has been applied straightforwardly in cases brought under civil rights statutes.£/ * § 6/ see Litchfield v. Goodnow, 123 U.S. 549, 550-552 (188 ), Rernhard v. Rank of America Nat'l Trust & Savings Ass_n,^19 ^ Cal.2d 807, 811 (1942) (Traynor, J.); Restatement (Second)--- Judgments § 34(3), at 345 (1982). U See also McKinney v. Alabama, 424 U.S. 669, ^ “l ^ o f 76* ' HanshPrrv v. Lee. 311 U.S. 32, 40 (1940); Ashlgy v. City ,of .-rar.fcson 4 64 U.S. 900, 902 (1983) (Rehnguist, ,J. , (joined by Brennan J., dissenting from denial of certiorari), 18 C.A. Wright,'a . Miller, & E. Cooper, Federal Practice and Procedure § 4449, at 417 (1981). 8/ see Williamson v. (2d Cir. 1972), cert. Bethlehem Steel Corp,_, 468 F.2d 1201, 1203 denied, 411 U.S. 931 (1973) (private(continued...) 9 The district court held that the principles of res judicata and the constitutional mandate of due process were satisfied because the plaintiff had been "adequately represented" by the City in Johnson. Assuming that such adequate representation alone suffices to make a nonparty a privy, the district court's conclusion still rests on either or both of two implicit assumptions: first, that in defending itself, the City was in effect litigating on behalf of each of its citizens, so as to make it fair to bind them individually to the judgment; or, second, that the City had so vigorously litigated the issues in Johnson that the plaintiff could not advocate his own viewpoint more effectively here. The first of these assumptions is plainly incorrect. Private parties are not generally bound by government litigation to which they are strangers,^ even if the government is representing the public interest in the litigation and even if the private parties' interests coincide with the (...continued) ** ̂ . . .plaintiffs not bound by Attorney General's enforcement action since they were neither parties nor privies); Restatement rsecond) of Judgments § 41(1) (d), illustration 7, at 398 (suit by government agency against employer for racial discrimination does not preclude an employee adversely affected by defendant s employment practices from obtaining other relief); see also Cooper, The Collateral Attack Doctrine and the_Rules of Intervention: A Judicial Pincer Movement on Due Process, 1987 U. Chi. Legal F. 155, 164-165 (1987). 9/ A nonparty may be bound to a judgment if he is represented by a party who is an "official or agency invested by law with authority to represent the person's interests." Restatement (Second) of Judgments § 41(1)(d), at 393. That exception is inapplicable here. 10 government's.-^ The second assumption is also unfounded: even where prior parties have been diligent (if unsuccessful) advocates, nonparties are not precluded by the judgment from relitigating the issues.ii/ Nor does the "adversarial" character of the prior litigation mean that nonparties or nonprivies should be bound by the judgment. See McKinney v. Alabama, 424 U.S. 669, 674-676 (1976). Even if the City were an acceptable surrogate for plaintiffs at the liability stage of the 1976 litigation, there is no reason to suppose that, on the remedial guestions at issue here, the City's and plaintiff's interests ever had the same identity. Thus, plaintiff might propose nonguota remedies that were apparently not put forward by the City in 1976. See United 10/ see Sam Fox Publishing Co. v. United States, 366 U.S. 683, 689 (1961) ; Lockoort v. Citizens for Community Action, 430 U.S. 259, 263 n.7 (1977); Arizona v. California, 460 U.S. 605, 650, 652 (1983) (Brennan, J., concurring and dissenting); Colby v. .T. c. Penney Co. . 811 F.2d 1119, 1125 (7th Cir. 1987) (rejecting doctrine that judge-made rule of "adequate" or virtual representation bars nonparties and nonprivies from attacking judgment resulting from prior EEOC suit; Williamson v. Bethlehem Steel Co.. supra; cf. General Telephone Co. v. EEOC, 446 U.S. 31.8 333 (1980) •Further, even if a judgment against a city-defendant could sometimes bind its citizens, it would still be necessary for those citizens to have had fair notice of the pendency of the litigation and the opportunity to participate in it. See Mallmie v rSnt-r-al Hanover Bank & Trust Co. , 339 U.S. 306, 314 (1950) ;_ see also Comment, Collateral Attacks on Employment Discrimination consent Decrees. 53 U. Chi. L. Rev. 147, 160-163 (1986). Nothing in the record suggests that this condition for holding the plaintiff's suit barred by res judicata was satisfied. 11/ see Colby v. J .C. Penney Co., 811 F.2d at 1125 ("[i]f as in this case the EEOC loses, still the persons on whose behalf it sued cannot be bound by the judgment as if they had been parties to the EEOC's suit or members of a class in a class action certified under Rule 23"); cf. United States v. Maing, 420 U.S. 515, 527 (1975) (states could relitigate issues previously litigated by other states). 11 States v. Paradise. 107 S. Ct. 1053, 1082 (1987) (O'Connor, J., dissenting). To give just one example: since the findings of discrimination by the Albany Police Department rested at least in part on the adverse impact caused by its unvalidated tests, the plaintiff can argue that instead of a quota (now in its 12th year of operation), the Department should have been ordered to develop and implement job-related promotion procedures .-3̂ / Cf. Afro-American Patrolmen's League v. City of Atlanta, 817 F.2d 719, 722 (11th Cir. 1987). The lack of a commonality of interest between plaintiff and the City is demonstrated in a still more fundamental way. Whatever the commonality of interests between plaintiff and the City in 1976 when the order was entered — and the existence of such commonality is dubious, see United States v. Jefferson County. 720 F.2d 1511, 1516 (11th Cir. 1983) — there is no commonality of interests now, when the continuing validity and possible modification of the 1976 order are at issue. Both the l a w a n d the facts regarding this case have developed during the 12-year interval, and the City's decision not to seek to have the original order modified to reflect those changed As noted above, the Johnson court found that the Police Department had used discriminatory tests to promote up to the rank of Captain. A nonquota remedy for that unlawful conduct could require the Department to develop and implement valid, job- related tests. For positions beyond Captain, such as the position at issue here, a nonquota remedy could require nondiscriminatory selection procedures, whether these involved objective tests or other procedures. il/ The Johnson decision was issued before any of the major Supreme Court "affirmative action" cases were decided (the first such case decided on the merits was Regents of the Univ. of California v. Bakke. 438 U.S. 265 (1978)). 12 circumstances-^i/ underscores the distinctness, indeed the adversity, of the City's and plaintiff's interests. Res judicata rules should surely be interpreted to allow a nonparty directly injured by a prior decree to bring relevant changes to a court's attention through a collateral attack — otherwise, unlawful conditions may be unremediable. See Commissioner v. Sunnen, 333 U.S. 591, 599-600 (1948).-3^/ It might be claimed that the policy of encouraging an end to Title VII litigation entails denying a "reverse discrimination" plaintiff the right to attack the court decree collaterally. But again, there is no reason why the policy favoring finality in judgments should be more powerful in the Title VII context than in other civil cases (or, to be more precise, why that policy should be more powerful in "nonreverse" than "reverse" Title VII 11/ The City could have but has not sought such a modification from the district court under Fed. R. Civ. P. 60(b)(6). Cf. Griffin v. State Bd. of Educ.. 296 F. Supp. 1178, 1182 (E.D. Va. 1969) (three-judge district court). 15/ while of course a plaintiff might also seek to intervene in the prior litigation rather than attacking the decree collaterally, he should not therefore be barred from bringing his own suit, since nonparties can refrain from intervening in litigation that affects them. See Fed. R. Civ. P. 24; see also Chase Nat'l Bank v. City of Norwalk. 291 U.S. 431, 441 (1934) ("[t]he law does not impose on any person absolutely entitled to a hearing the burden of voluntary intervention in a suit to which he is a stranger. * * * Unless duly summoned to appear in a legal proceeding, a person not a privy may rest assured that a judgment recovered therein will not affect his legal rights"); accord, Sea-Land Services. Inc, v. Gaudet, 414 U.S. 573, 593 (1974). We are defending the position that intervention is not mandatory in Martin v. Wilks. Supreme Court Nos. 87-1614, 87-1639, and 87- 1668, in which the Supreme Court will review this Court's decision in the Birmingham case, which implicitly rejected the mandatory intervention concept; we have previously defended the same position in Marino v. Ortiz. supra; and we are lodging with the Court a copy of our brief in the Marino case. 13 discrimination suits), if Congress has not provided otherwise. Moreover, the interest in protecting the finality of Title VII judgments can be satisfactorily secured simply by application where appropriate of the doctrines of stare decisis, comity, and the law of the case, without requiring in addition a harsh and unusual preclusion rule.-i^/ 2. In light of the preceding discussion, it is also unsurprising that the district court's decision is clearly at odds with this Circuit's precedent. In In re Birmingham Reverse Discrimination Employment Litigation, supra, this Court refused to create an exception from general preclusion law for collateral attacks by nonparties and nonprivies upon consent decrees. 833 F.2d at 1498. The Court held that because the "plaintiffs were neither parties nor 16/ See united States v. Maine, 420 U.S. at 527; Colby v. jUC^ Pennev Co.. 811 F.2d at 1124; cf. Williamson v. Bethlehem Steel Co. 468 F.2d at 1204 (stare decisis did not bar private plaintiffs from relitigating suit brought by Attorney General). It might also be argued that the courts should give prior judgments more preclusive effect than consent decrees. See united States v. Jefferson County, 720 F.2d at 1517-1518 n.16 ^ (noting this possibility). But there are no apparent reasons why court orders and consent decrees are not equivalent for this purpose. Court orders can result from weakly or parochially defended suits, and consent decrees can result from arms -length bargains; and if nonparties can collaterally attack the latter, they should also be free to attack the former. Similarly, a governmental employer might be unwilling, for reasons having to do only with the relative strength of local political forces, to seek to have a prior court order modified. Like the defendant in the Birmingham case, see pp. 13-15, infra, such a government would have only a "stakeholder's" — or contrary -- interest in the jobs governed by that decree. Again, it would accord better with due process to allow nonparties to attack such an order, just as they could attack the Birmingham consent decree. Note also that the policy of encouraging voluntary compliance with Title vil — which has led some courts to give preclusive effect to consent decrees — does not benefit the City here, because the plaintiff is challenging a litigated order. 14 privies to the consent decrees, * * * their independent claims of unlawful discrimination are not precluded." Ibid^ In reaching that conclusion, the Court applied "the same principles of res judicata and collateral estoppel that govern ordinary judgments" Mbid.l. Guided by these principles, and stressing that there, as here, "[plaintiffs'] Title VII claims did not accrue until after the decrees became effective and the challenged promotions were made" (jjL. at 1498-1499),12/ the Court refused to adopt an "impermissible collateral attack doctrine" barring such suits. Recognizing the public policy that favors voluntary affirmative action plans, the Court nevertheless held that the doctrine "would amount to an exception to the res judicata and collateral estoppel law that we presently apply" (idj. at 1498). The Court rested its conclusion in part on the "due process underpinnings of preclusion law" (ibidj.) . The Court in the Birmingham case noted that "one might argue that the individual plaintiffs as City employees shared an identity of interest with the City such that they are now bound." 833 F.2d at 1499. But it rejected that argument on two grounds: first, because Birmingham had not been shown to have litigated the claims against it vigorously; and second, because "it is not clear that the plaintiffs and the City shared any identity of interest at all. The City's various interests in this dispute 17/ The apparent unavailability of intervention in this case makes further indefensible a collateral attack bar. See Jefferson County, 720 F.2d at 1518. _ See also n£5, SSXBX-' Coodgt rpHo roi l ateral Attack Doctrine and the Rules of intervention: A Judicial Pincer Movement on Due Process, 1987 . Chi. Legal F. at 174-176. 15 conceivably may have conflicted in part with the plaintiffs' single interest in preserving preexisting promotion opportunities" fibid.). This Court reached the same conclusion for similar reasons in United States v. Jefferson County, 720 F.2d at 1516, 1517-1519. The Court's reasoning is naturally understood to require that a collateral attack on the Title VII court decree here, like that on the Title VII consent decree in the Birmingham case, should be governed by the ordinary rules of res judicata. Similarly, the plaintiff here should be entitled to challenge the 1976 decree, since the due process concerns that weighed decisively with this Court in Birmingham would overcome any interest in "finality" as much here as they did there. While the City may have litigated the original case vigorously, it is still conceivable that the City's interests and the plaintiff's did not (certainly they do not now) coincide. The City sought to prevent liability for past racial discrimination — a matter in which the plaintiff had no direct interest. The plaintiff is seeking relief from the continued operation of the remedy a decree which the City might well have found less objectionable than the plaintiff does, which it did not appeal, which it has not subsequently attempted to have modified, and which it is now defending against plaintiff's challenge. In every respect that matters, the City's interests in the continued effectiveness of the 1976 court order are irreconcilable with the plaintiff's. 16 II. THE COURT-ORDERED QUOTA IS NOT "NARROWLY TAILORED" TO REMEDYING PAST DISCRIMINATION The district court also held that, even if the plaintiff is not bound by the 1976 decree, the quota is nevertheless lawful. The district court examined the quota under the tests of the plurality opinion in United States v. Paradise, supra, which is undoubtedly the Supreme Court precedent most closely on point (see R. 1-39-12-13).-^/ However, under those standards, it is plain that the district court was in error. 2. in Paradise. the Court upheld against attack on equal protection grounds a district court order awarding relief in the form of a one-black-for-one-white promotion requirement as an interim measure for promotions among the Alabama state troopers. Applying "strict scrutiny" (107 S. Ct. at 1064) (plurality opinion) — without deciding that that standard was required / 18/ The district court's opinion evinced some confusion, however. The court also tested the quota under the two-pronged standards of Johnson v. Transportation Agency, 107 S. Ct. 1442 (1987), see R. 1-39-10-12, without acknowledging that Johnson, is purely a Title VII case, not a constitutional case (see 107 S. Ct. at 1446 n.2), and that the constitutional constraints on race-conscious action may well be more stringent than those of Title VII. Moreover, Johnson addresses only voluntary, not court—ordered, affirmative action plans. 19/ We have asked the Supreme Court to rule this Term in Croson Co. v. City of Richmond, Supreme Court No. 87-998, that ^strict scrutiny" should be the controlling standard for judicial review of all governmental classifications by race, whether their purpose is remedial or nonremedial. While this Court has already adopted a "strict scrutiny" standard in H.K. Porter Co^V. Metropolitan Dade County. 825 F.2d 324, 330 (11th Cir. 1987), cert. pet. pending, Supreme Court No. 87-1001, nonetheless, in light of the pendency before the Supreme Court this Term of J .A. Croson, H.K. Porter, and this Court's Birmingham decision, the Court may wish to "hold" this appeal, pending the outcomes of those cases. 17 — the Court first held that the district court's order served a compelling interest in remedying the troopers' "pervasive, systematic, and obstinate" discrimination (id̂ _ at 1065). Further, the Court held that the district court's order was supported by its interest in securing compliance with its judicial decrees, since the order "was imposed upon a defendant with a consistent history of resistance to the District Court's orders, and only after the Department failed to live up to its court-approved commitments" (107 S. Ct. at 1066; plurality opinion; emphasis in original). Turning to the question whether the decree (issued in late 1983) was "narrowly tailored," the Court examined "the necessity for the relief and the efficacy of alternative remedies; the flexibility and duration of the relief, including the availability of waiver provisions; the relationship of the numerical goals to the relevant labor market; and the impact of the relief on the rights of third parties." Paradise, 107 S. Ct. at 1067 (plurality opinion). The Court found the order necessary to the goals of eliminating defendant's "long term, open, and pervasive" discrimination (including its failure to promote any blacks at all between 1972 and 1979, despite a 1972 injunction barring such discrimination) and of ensuring compliance with prior 1979 and 1981 decrees requiring defendant to adopt a promotion procedure without adverse impact (ibid.). The Court next stressed that the order was flexible and temporary (id. at 1070), and as to the relationship between the numerical relief and labor market figures, the Court determined not to 18 "second-guess the lower court's carefully considered choice of the figure necessary to achieve its many purposes, especially when that figure is hedged about with specific qualifying measures designed to prevent any unfair impact that might arise from rigid application" (id^ at 1072). Finally, the Court ruled that the rights of third parties were not unnecessarily trammeled, since "the temporary and extremely limited nature of the [one-for-one] requirement substantially limits any potential burden on white applicants for promotion. It was used only once at the rank of corporal and may not be utilized at all in the upper ranks. Nor has the court imposed an 'absolute bar' to white advancement" (id^ at 1073). See also id^ at 1076 (Powell, J., concurring); Sheet Metal Workers v. EEOC, 478 U.S. 421, 481 (1986) (plurality opinion); id. at 485 (Powell, J., concurring in part and in judgment). 2. The one-for-one promotion requirement at issue here, like the interim quota in Paradise, is designed to serve the compelling governmental interest in remedying past racial discrimination. However, the requirement at issue here is clearly distinguishable from that in Paradise because it fails strict scrutiny's second, "narrow tailoring" prong. First, we stress at the outset that the quota here did not have the further purpose, apart from remedying discrimination, of bringing a recalcitrant defendant into compliance with longstanding but disobeyed court orders. On the contrary, the district court itself observed that the City's plan "has been 19 operating smoothly for several years" (R. 1-39-14, n.6). Hence the latitude which the Paradise Court allowed the district judge in dealing with a defendant that "engaged in persistent violation of constitutional rights and repeatedly failed to carry out court orders" should not be given here (Paradise, 107 S. Ct. at 1075 (Powell, J., concurring)). Second, the one-for-one requirement is also not necessary to achieve the purpose of eliminating the effects of past discrimination. The most obvious such measure would be to require the Police Department to implement nondiscriminatory, job-related promotion procedures for higher-level police appointments.21/ Unlike Paradise and Sheet Metal Workers ("in light of petitioners' long record of resistance * * * stronger measures were necessary," 478 U.S. at 481 (plurality opinion)), there is nothing here to suggest that such an approach would be 2 0/ 20/ The City's most recent semiannual report to the district court also indicates that it has actively sought to comply with the 1976 order. See Semiannual Progress Report f °f 1988, Section 7 "Summary of Hires Since September 1976 (57.2% black and 42.8% white hires). 21/ This is not to say that the City should have to implement a job-related objective test for such positions. "It is self- evident that many jobs, for example those involving managerial responsibilities, require personal qualities that have never been considered amenable to standardized testing." Watgon v. Fort worth Bank & Trust, 108 S. Ct 2777, 2791 (1988) (plurality opinion); see also icL at 2787 ("[o]pinions often differ when managers and supervisors are evaluated, and the same can be sai for many jobs that involve * * * complex and subtle tasks like the provision of professional services"). A nondiscriminatory, job-related promotion procedure for a high-ranking police 30b, such as that at issue here, can reasonably allow for the exercise of such judgment. Ibid. 20 unavailing.22/ This approach is also clearly preferable to an intrusive court-ordered quota of indeterminate duration, not only because it is nondiscriminatory, but also because "'[c]ourts are generally less competent than employers to restructure business practices, and unless mandated to do so by Congress they should not attempt it."' Watson v. Fort Worth Bank & Trust, 108 S. Ct. at 2791 (plurality opinion (quoting Furnco Construction Co^ v. Waters, 438 U.S. 567, 578 (1978))).23/ Third, the one-for-one requirement is not "ephemeral fParadise. 107 S. Ct. at 1070 (plurality opinion)) — indeed, it has already been in effect for 12 years, and neither the district court nor the City seems to contemplate an end to it. By contrast, in Paradise, "the [district] court suspended the order when the Department proposed procedures that appeared likely to have no adverse impact on minority applicants. It thus appears * * * that the one-for-one requirement is likely to be, 22/ mdeed, as the Johnson district court noted (see n.2, supra), the City's discrimination, while continuing, was diminishing even before its 1976 judgment. Furthermore, while the City was indeed very laggard (even as of 1975) in eliminating its discriminatory employment practices, it does not appear to have violated any court orders, and its post-1975 hiring policies suqqest that it no longer discriminates against black applicants. Racial preference has generally been upheld as necessary only in the face of systemic, flagrant, or repeated acts of discrimination. See Sheet Metal Workers v. EE0£, 478 U.S. 421, 448 (1986) (plurality opinion) ; id.*. at 486-487 (Powell, J ., concurring in part and in judgment); Catlett v. Missouri Highway & Transp. Comm'n, 828 F.2d 1260, 1268-1269 (8th Cir. ), Harris v. Marsh. 679 F. Supp. 1204, 1313 (E.D.N.C. 198 ). 23/ See also Connecticut v. Teal, 457 U.S. 440, 463-464 (1^82) (Powell, J., dissenting) ("simple quota hiring [is] an arbitrary method of employment [that is] itself unfair to individual applicants, whether or not they are members of minority groups. And it is not likely to produce a competent work force ). 21 as the court intended, a 'one-time occurrence'" (idL at 1076 (Powell, J., concurring)). Here, the district court has allowed the one-for-one requirement to stay in place until the Police Department reaches the mandatory 60%/40% white/black ratio — an event that even with wholly nondiscriminatory selection procedures could still lie in the remote future.21/ The better course, followed by the district court in Paradise, would be to lift the quota once the Department implements race-neutral, job- related procedures. Fourth, the district court's 1976 order aimed at achieving parity between the racial proportions of the general working-age population and the racial proportions with each job classification within each city department. But such racial balance, if sought for its own sake, is unconstitutional as post-1976 decisions have made p l a i n . M o r e o v e r , unlike the 24/ indeed the City may even assume that its plan requires it to maintain! not merely to achieve, a 60%/40% racial balance m its workforce. See 9/27/76 letter from the City's counsel to Judge Owens (the trial judge in the Johnson case) (R. 1-24-2) (stating that one-for-one hiring rule will not apply to a job classification "so long as it remains in proportion )• it is, of course, impermissible to seek to maintain a racial balance indefinitely. See Johnson v. Transportation Agency, 107 S. Ct. at 1456. The district court asserted (see R. 1-39-13) that particular departments can "come without the confines of the Order" if they achieve the 60%/40% ratio. There is, however, no record evidence that any department has yet been released from the quota and, in all events, the Police Department has certainly not, despite no recent evidence of discrimination. 25/ See e.q.. Regents of the Univ. of California v. Bakke, 438 U S 265* 307 (1978) (opinion of Powell, J.); Wygant v. Jackson Bd.of Educ.. 476 U.S. 267, 294 (1986) (O'Connor, J., concurring in part and in judgment); Hammon v. Barry, 813 F.2d 412, 422-423, 430-431 (D.C. Cir. 1987), cert, denied, 108 S. Ct. 2023 (1988); Janowiak v. City of South Bend, 836 F.2d 1034, 1041-1042 (7th Cir 1987), cert, pending, Supreme Court No. 87-1754; Harris v.(continued...) 22 ultimate goal in Paradise of 25% black representation in the state troopers, which "reflected] the percentage of blacks in the relevant labor market," see Paradise, 107 S. Ct. at 1071 (plurality opinion), the 40% objective here seems to be unrelated to the relevant labor market, and to be based only on the figures in the working-age population at large. Since the relevant labor market for upper-level police positions is likely to be very different from the ordinary population, the 60%/40% requirement is inappropriate for that job category. Finally, the one-to-one requirement does not have "diffuse" effects — see Paradise. 107 S. Ct. at 1074 (plurality opinion), id. at 1076 (Powell, J., concurring) — as applied to high- ranking, single-incumbency jobs like the present one. The particular job at issue here is a single-slot position, only a small handful of senior police officers (four) applied for it; and once a race-based promotion is made into it, rejected applicants get a second chance only if the incumbent either retires before they do or is promoted higher.22/ In these 25/ (...continued) _ . _Marsh, 679 F. Supp. at 1312; see also Watson v. Fort Worth Bank _& Trust, 108 S. Ct. at 2787-2788 & n.2 (plurality opinion) (noting express Congressional disapproval of quotas under Title VII), Sheet Metal Workers v. EEOC, 478 U.S. at 421 (Powell, J ., concurring) ("neither the Constitution nor Title VII requires a particular racial balance in the workplace"). 26/ see Hazelwood School Dist. v. United States, 433 U.S. 299, 308 n.13 (1977) ; Watson v. Fort Worth Bank & Trust, 108 S. Ct. at 2787 (plurality opinion). 22/ These effects may be felt by black applicants, too; the letter plaintiff received from defendant implied that the next time the position became open it would be available for a white.(continued...) 23 circumstances, the effects of applying the quota will necessarily be concentrated on a small number of readily identified individuals and — rather than "only postpon[ing]" their promotions fid, at 1073) (plurality opinion) — may permanently bar their career advancement. Such effects are not "diffuse."28/ In sum, then, the long-term and interim quotas here are quite strikingly different from those in Paradise and fail to pass the "strict scrutiny" standard employed t h e r e . S e e also Wyqant. 476 U.S. at 280-281 & nn.6-8. It follows that the district court's grant of summary judgment in the City's favor 27 (...continued) Thus, the order does not end discrimination, but broadens and institutionalizes it. 2J3/ See also Sheet Metal Workers v. EEOC. 478 U.S. at 481 (plurality opinion) (emphasizing that order "did not disadvantage existing union members" or stand as "absolute bar" to union admission) (emphasis in original); see also id. at 488 n.3 (Powell, J., concurring in part and in judgment) ("hiring goal in a particularly specialized area of employment [may] have the same pernicious effect as the layoff goal in Wyqant"). 29/ we have discussed only the apparent constitutional deficiencies of the plan in this brief. We would note briefly, however, that the Title VII requirements for a court-ordered affirmative action plan are quite similar to the constitutional requirements, and, for the reasons discussed above, are apparently not met here either. Compare Sheet Metal Workers v. EEOC, supra. with United States v. Paradise, supra. Plaintiff's Section 1981 claim is certainly colorable as well. That statute, of course, protects whites as well as blacks, see McDonald v. Santa Fe Trail Transp. Co.. 427 U.S. 273 (1976). Moreover, the courts have never carved an affirmative action exception out of this statute in the manner they have for Title VII; and indeed the Supreme Court has recognized that Section 1981 and Title VII are not coextensive, General Bldg. Contractors Ass'n v. Pennsylvania. 458 U.S. 375 (1982). 24 was erroneous, since the City offered no defense other than the existence of the 1976 court order. ^ CONCLUSION For the foregoing reasons, the judgment of the district court should be reversed, and the case remanded for further proceedings. Alternatively, the Court may wish to delay issuing its decision in this case until the Supreme Court issues its decisions in J.A. Croson Co. v. City of Richmond, Supreme Court 30/ while plaintiff is entitled to have the plan removed as violative of, inter alia, the Equal Protection Clause, the nature of the relief which should be ordered still remains to be considered. Plaintiff is entitled to be considered for the promotion without regard to his race, but it does not follow that he will be able to show that he is entitled to the promotion itself, since he may not have been picked in any event. Cf. R. 1-39-14 n.6.Furthermore, the Court may reasonably decline to penalize Assistant Police Chief Long for the City's compliance with the 1976 decree, and so decide against rescinding the promotion at issue. See Firefighters Local Union No. 1784 v. Stotts, 467 U.S. 561, 579 n.ll (1984); Walters v. City of Atlanta, 803 F.2d 1135, 1148-1150 (11th Cir. 1986) (allowing "bumping" of incumbent for one-of-a-kind job but characterizing it as extraordinary remedy); Comment, Collateral Attacks on Employment—Discrimination Consent Decrees. 53 U. Chi. L. Rev. at 177 — 178; cf* in—L®. Birmingham Reverse Discrimination Employment Litigation, 833 F.2d at 1502-1503 (Anderson, J., dissenting). We caution that a general rule that plaintiffs in cases of this kind could obtain no retrospective relief could chill incentives to bring meritorious suits against unconstitutionally discriminatory decrees. Moreover, even if the City was attempting here to comply with a court order, it may well have been at fault for not having sought to have that order modified to meet changed circumstances and to prevent undue hardship to innocent third persons.The most prudent course in fashioning a remedy may therefore be to remand that issue in the first instance to the district court, allowing it to make appropriate findings, balance the equities, and devise such relief as seems suited to the facts of this case. 25 No. 87-998, and in Martin v. Wilks, Supreme Court Nos. 87-1614, 87-1639, and 87-1688. Respectfully submitted, WM. BRADFORD REYNOLDS Assistant Attorney General ROGER CLEGG Deputy Assistant Attorney General Attorneys Department of Justice P.0. Box 66078 Washington, D.C. (202) 633-3870 20035-6078 CERTIFICATE OF SERVICE I hereby certify that two copies of the enclosed Brief for the United States as Amicus Curiae were served by mail on each of the following attorneys: C. Nathan Davis 510 West Broad Avenue Albany, Georgia 31702 G. Stephen Parker Southeastern Legal Foundation, Inc. 2900 Chamblee-Tucker Road Building #4 Atlanta, Georgia 30341 James V. Davis P.O. Box 128 Albany, Georgia 31702 Thomas S. Chambless Watson, Spence, Lowe & Chambless P.O. Box 2008 Albany, Georgia 31703-2001 Chevene B. King Jr. P.O. Drawer 3468 Albany, Georgia 31706 '•(xaA OJi/x. Robert J. pelahunty Attorney This 16th day of September 1988