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709 F.Supp. 345,
57 USLW 2491, 53 Ed. Law Rep. 1144 (1989)
United States District Court,
S.D. New York.
Khadijah SHARIF, by her mother and next friend, Amida SALAHUDDIN,
et al.,
individually and on behalf of all others similarly situated,
Plaintiffs,
v.
NEW YORK STATE EDUCATION DEPARTMENT;Ê and Thomas Sobol, Commissioner of
Education, in his official capacity, Defendants.
No. 88 Civ. 8435 (JMW).
Feb. 3, 1989.
As Amended Feb. 7, 1989.
Isabelle Katz Pinzler, Kary Moss, Deborah Ellis, Joan Bertin,
Women's Rights Project, American Civil Liberties Union Foundation, (Helen
Hershkoff, John A. Powell, of counsel, American Civil Liberties Union), Vivenne
W. Nearing, Robert Lewin, Madelaine R. Berg, Elizabeth A. Sherwin, Lisa
Rosenthal, Mary S. Feinstein, Regan A. Shulman, Stroock & Stroock &
Lavan, Robert M. Levy, New York Civil Liberties Union, New York City, for
plaintiffs.
Marion R. Buchbinder, Anne B. Ehrenkranz, Asst. Attys. Gen., New
York City, for defendant.
Richard Hamburger, Block, Amelkin & Hamburger, Smithtown,
N.Y., for amicus Hewlett School Dist.
John F. Cannon, Edward W. Keane, Henry Christensen III, Sullivan
& Cromwell, New York City, Howard P. Willens, Christopher R. Lipsett,
Edward J. Janger, Michael S. Raab, Wilmer, Cutler & Pickering, Washington,
D.C., for amici College Bd. and Educational Testing Service.
OPINION AND ORDER
WALKER, District Judge:
This case raises the important question of whether New York State
denies female students an equal opportunity to receive prestigious state merit
scholarships by its sole reliance upon the Scholastic Aptitude Test
("SAT") to determine eligibility.ÊÊ
To the Court's knowledge, this is the first case where female students
are seeking to use the federal civil rights statute prohibiting sex
discrimination in federally‑funded educational programs to challenge a
state's reliance on standardized tests.ÊÊ
This case also presents a legal issue of first impression:Ê whether discrimination under Title IX can be
established by proof of disparate impact without proof of intent to
discriminate.
After careful consideration, this Court finds that defendants are
discriminating against female plaintiffs and their putative class in violation
of Title IX and the equal protection clause of the U.S. Constitution.ÊÊ For the reasons set forth below, this Court
enjoins the State Education Department and its Commissioner from awarding the
merit scholarships at issue solely on the basis of the SAT.
I. The Present Action
In November, 1988, plaintiffs‑‑ten high school
students, individually and behalf of all others similarly situated, and two
organizational plaintiffs [FN1] ‑‑brought an action for declaratory
and injunctive relief against the State Education Department ("SED")
and Commissioner of Education Thomas Sobol, in his official capacity, alleging
that New York's exclusive reliance on the SAT to award Empire and Regents
scholarships discriminates against female students in violation of the equal
protection clause of the Fourteenth Amendments to the U.S. Constitution, Title
IX of the Education Amendments of 1972, 20 U.S.C. ¤¤ 1681 et seq., as amended
by the Civil Rights Restoration Act of 1987, Pub.L. 100‑259, and the
regulations pursuant to Title IX, 34 CFR Part 106.ÊÊ Plaintiff's proposed class is composed of "all female high
school seniors in New York State who are or will be applicants for Regents
College Scholarships and Empire State Scholarships of Excellence."ÊÊ Am. Complaint at ¦ 4. [FN2]
FN1. The students bring the suit by their parents and next
friends. The organizational plaintiffs are the Girls Clubs of America and
National Organization for Women.
FN2. References are made as follows:Ê Amended Complaint ("Am. Complaint);Ê Affidavit ("Aff.");ÊÊ Testimony of Witness at January 23, 1989
hearing before this Court ("Witness T.");ÊÊ Exhibits ("Ex.");ÊÊ
Plaintiffs' Memorandum ("P.Mem.");ÊÊ Plaintiff's Reply Memorandum (P. Reply Mem."); Plaintiff's
Appendix ("P.App.");ÊÊ
Defendants' Memorandum ("D.Mem.").
In essence, plaintiffs contend that the SED's reliance upon the
SAT disproportionately impacts female students without advancing the
legislature's purpose of recognizing and awarding superior high school
achievement. Plaintiffs argue:Ê
"(1) the SAT was not designed to measure academic performance and
achievement, and cannot appropriately be put to that use, (2) but even if it
did, the SAT discriminates against female applicants for scholarships, because
it underpredicts academic performance for females as compared to
males."ÊÊ P.Mem. at 5.
On December 21, 1988, plaintiffs filed an order to show cause as
to why this Court should not issue a preliminary injunction enjoining SED's
practice of exclusive reliance on SAT scores in awarding Regents and Empire
scholarships.ÊÊ On that date, in a
conference before this Court, defendants represented that, to cover the
possibility of an adverse decision that would require the use of grade point
averages (variously "GPAs") to determine scholarship eligibility, the
SED would commence collection of GPAs immediately.
On January 12, 1989, defendants submitted a cross‑motion for
an order dismissing the complaint on the grounds that the Court lacks subject
matter jurisdiction, that venue is improper, and that the complaint fails to
state a claim on which relief can be granted.
On January 23, 1989, at a hearing, the Court accepted amici briefs
of the Educational Testing Service ("ETS") and the College Entrance
Board, and the Hewlett School District, and heard the testimony of educational
testing experts, college deans of admission, and SED administrators with
knowledge of the SED's programs of scholarship and testing practices.ÊÊ The Court has carefully examined the
submissions of the parties, assessed the credibility of the witnesses and reviewed
word by word the hearing transcript.
II. Background
A. Evolution of New York State Scholarship Awards
New York State, in one of the most extensive merit scholarship
programs in the country, each year makes 26,000 academic achievement awards to
New York's high school graduates.ÊÊ In
order to understand the program's current purpose, a brief recitation of the
program's evolution is appropriate.
1. Reliance Upon College Entrance Diplomas and Special Regents
Examinations
New York State's scholarship program began in 1913, when the
legislature first awarded 750 Regents Scholarships in the amount of $100 a year
for a period of four years.ÊÊ Act
approved Apr. 16, 1913, ch. 292, 1913 N.Y. Laws, ¤ 527. At that time, the $100
stipend was sufficient to cover the tuition charged at most colleges in the
State. [FN3]Ê Thus, the award was in the
nature of a full scholarship which would promote excellence in education by
enabling "the most deserving and meritorious students ... [to] obtain a
college or university training, many of whom would be deprived of such education
were it not for the wisdom of the State in providing these
scholarships."Ê [FN4]
FN3. Tenth Annual Report of the Education Department (March 16,
1914), D.Mem., Ex. 3.
FN4. Id. at 30.
The 1913 law authorized the State Board of Regents to make all
rules governing the award of the scholarships.Ê
Ch. 292, 1913 N.Y. Laws ¤ 72.ÊÊ
From 1913 until 1944, the State determined scholarship winners based
upon the results of general high school Regents examinations, which also were
the basis for granting the college entrance diploma.ÊÊ Lott, T. 64. [FN5]
FN5. The college entrance diploma was granted to pupils who
pursued courses in approved New York secondary schools and passed the Regents
examinations prescribed for such diploma.ÊÊ
D.Mem. at 7, n. 1.
By 1944, the SED recognized that it could no longer rely solely
upon general high school Regents examinations and college entrance diplomas in
awarding Regents Scholarships.ÊÊ First,
it was hard to rank students based upon the college entrance diploma because it
was "difficult under the statute to know just what subjects to take into
account in computing the averages of pupils." [FN6]Ê Second, the nature of the high school
general Regents exams had changed.ÊÊ
Instead of measuring levels of achievement in the variety of courses
taught in high school, the general Regents exams became a test of the bare
minimum that a student needed to know to graduate from high school, and thus
was a poor method for sorting students at the top of the spectrum.ÊÊ Lott T. at 73.ÊÊ Faced with these difficulties, in 1944 the SED developed a
separate, more challenging Regents scholarship examination.ÊÊ Meno Aff. ¦ 2. The examination, in use for
the next twenty years, was divided into two equal parts‑‑aptitude
and achievement‑‑and was six hours long.ÊÊ Lott T. at 68.
FN6. Tenth Annual Report of the Education Department at 468
(1914), D.Mem. Ex. 3.ÊÊ Moreover, at
that time the college entrance diploma was issued in two very different forms‑‑the
college entrance diploma in arts and the college entrance diploma in
science."Ê Id.
In 1974, New York State's scholarship program changed dramatically
following a revaluation by a Select Committee on Higher Education.ÊÊ At the time the Regents scholarship program
provided an annual award of $1,000 to a limited number of highly qualified
students.ÊÊ The Committee found that the
legislature's goal of substantially funding students' college educations as an
incentive for select students to attend college was no longer being met.
[FN7]Ê The Committee found that the
Regents scholarship examinations "can be criticized for actually rewarding
the family background and upbringing that enables students to study and perform
well, rather than an objective kind of merit."Ê [FN8]
FN7. Report of the Select Committee on Higher Education, State of
New York Legislative Document, No. 16, p. 9 (1974), D.Mem. Ex. 4.
FN8. Id. at 29.
Prompted by these concerns, the legislature restructured its
awards, creating two types of awards:Ê
first, "general awards" which provide substantial monetary
assistance, and second, "academic performance awards" which recognize
achievement.ÊÊ Act of 1974, ch. 942,
N.Y. Laws ¤¤ 604, 605.ÊÊ Classifying
Regents Scholarships as "academic performance awards," the
legislature reduced the awards to a stipend of $250, and increased the number
of awards to 25,000 to be allocated by county of residence.ÊÊ The legislature created additional awards
for the least competitive high schools to enable them to receive at least one
for every graduate from that school in the preceding year.Ê Ch. 942, 1974 N.Y. Laws ¤ 605(1).
In the "general awards" category, the legislature
created a Tuition Assistance Program ("TAP") to fund college students
based upon financial need.ÊÊ The
legislature made TAP awards available to all students enrolled in approved
programs and are given to those who demonstrate the ability to complete such
program's courses, and who satisfy financial need requirements established by
the Commissioner of Education.Ê Ch. 942,
1974 N.Y. Laws ¤ 604;Ê N.Y. Educ. Law. ¤
667(1) and (4) (McKinney 1988 & Supp.1989).
2. Reliance Upon the SAT
In 1977, as a cost‑cutting measure, the legislature
eliminated its funding for the Regents scholarship examinations.ÊÊ P.App. I, Ex. 3.ÊÊ Instead, the legislature directed that the scholarships be
awarded on the basis of "nationally established competitive
examinations."ÊÊ Act approved Apr.
12, 1977, ch. 63, 1977 N.Y. Laws ¤ 1.ÊÊ
The SED considered examinations, including:Ê (1) the SAT;Ê (2) the
American College Testing Program ("ACT"); (3) the Preliminary
Scholastic Aptitude Test ("PSAT");Ê
and (4) a combination of Achievement Tests, individual tests given in
particularized areas of study, including biology, chemistry and foreign
languages.ÊÊ Lott T. at 66.ÊÊ While the Achievement Tests measured
performance in a wide variety of courses in a high school curriculum, the SED
chose not to use them because few students take the exams and the SED did not
want to require them to do so for Regents scholarship purposes. [FN9]Ê The SED similarly rejected the ACT, a test
much like the SAT, because few students take the ACT in New York. [FN10]Ê The PSAT, a shorter version of the SAT given
in the junior year of high school, was not considered a viable option because
students took it too early in their high school careers.
FN9. For example, the most popular Achievement Test is taken by
only 25,000 students.ÊÊ Lott T. at 68‑69.ÊÊ The SED "felt it would be an
imposition on students to require them to pay the additional fee to have to
take these College Board achievement tests for scholarship purposes." Id.
FN10. The SED, however, allowed a student to use the ACT as an
alternative to the SAT, if the sole test that student had taken was the ACT.
By process of elimination, then, the SED chose the SAT, the test
taken by the greatest number of students. [FN11]Ê Unlike the Regents scholarship examinations, the entire SAT is
labeled an "aptitude" test, and the SAT only purports to test two
subjects‑‑Math and English.ÊÊ
D.Mem. at 8.ÊÊ Despite the SED's
claim that the Regents Scholarship exam and the SAT are very similar, D.Mem. at
9, the State's own witness, Lynn Richbart, [FN12] testified that about 30% of
the SAT questions would not have appeared on the Regents Scholarship exam.ÊÊ Richbart T. at 184.ÊÊ Richbart testified that SAT questions,
unlike Regents Scholarship questions, often require that students remember
concepts learned in earlier grade levels, or test students on material which is
outside the high school curriculum.ÊÊ
Richbart T. at 178‑182. [FN13]Ê
Moreover, the SAT requires students to be able to answer questions
designed specifically for the SAT, such as comparison and logic questions, that
are not present on the Regents Scholarship exams.ÊÊ Richbart T. at 182.ÊÊ In
addition, the SAT was never designed to test high school achievement.ÊÊ While high school performance may affect a
student's performance on the SAT, the SAT does not cover the high school
curriculum‑‑indeed there is no standard high school curriculum in
New York State‑‑nor has it ever been validated to test achievement
in high school.Ê See validation
discussion infra.
FN11. The SED has attempted to justify its choice by arguing that
some studies found a general correlation between scores obtained on the SAT and
scores obtained on the now abandoned Regents scholarship scholarship
exams.ÊÊ Lott. T. at 67, 70‑71.ÊÊ These studies are discredited, however,
because they did not draw any distinctions between men and women, but rather
grouped them together in examining the correlation between the tests.ÊÊ Lott. T. at 72.ÊÊ For problems inherent in such a practice, see infra.ÊÊ Moreover, like the SAT, the Regents scholarship
examinations were not validated as a measure of high school achievement.
FN12. Associate of Bureau of Mathematics Education, SED.
FN13. See also Shapiro T. at 44 (Regents questions are more
content specific).
In 1986, the legislature created the more selective Empire State
Scholarships of Excellence carrying an annual stipend of $2000 to be awarded to
the 1,000 highest ranking Regents Scholarship winners.ÊÊ Act approved and effective Apr. 18, 1986,
ch. 56, 1986 N.Y. Laws.ÊÊ The Governor's
approval memorandum to the legislative bill creating the Empire Scholarship
stated the purpose of these new awards as follows:
The Empire State Scholarship of Excellence Program will recognize
academic achievement and provide a significant inducement for New York's
brightest students to continue their studies in the State.ÊÊ These new scholarships will complement the
efforts we are undertaking to acknowledge and enhance the educational
performance of our brightest youth.Ê
(emphasis added).
1986 Legislative Annual, P.App. I, Ex. 3.ÊÊ Like the Regents scholarship, the Empire
Scholarship is distributed by county of residence, and is renewable for five
years.ÊÊ There is no minimum quota per
high school for Empire State Scholarships.
3. Reliance Upon SATs and GPAs:Ê
The 1987 Experiment
In response to allegations that the SED's practice of relying
solely upon the SAT in awarding Regents and Empire State Scholarships
discriminated against females who consistently scored below males, the Board of
Regents asked the Governor and legislature for $100,000 to develop a new
scholarship achievement examination.ÊÊ
The legislature declined to fund a special examination but, instead,
amended the Education Law to require that the awards be based upon in part upon
the student's grade point average ("GPA") as a measure of high school
achievement.ÊÊ Senator Kenneth Lavalle,
introducing the legislation, explained that the "statute intended to
correct a gross inequity that pervaded the New York educational system caused
by awarding of Regents College Scholarships and Empire State Scholarships of
Excellence based solely on the results of a nationally administered
standardized examination."Ê
[FN14]Ê Lavalle Aff. ¦ 2, P.
Reply Mem., Ex. 7.ÊÊ The SED specified
in its announcement of the new legislation to high school principals that the
law was changed "[i]n order to provide for a better balance of male and
female winners."ÊÊ P.App. I, Ex.
10.
FN14. The State claims that "the primary intent of the
legislation is to include a 'measure of high school performance' in the
scholarship eligibility criteria because it was believed that high school
performance is a better predictor of college performance than are SAT
scores."ÊÊ D.Mem. at 10.ÊÊ In support of its claim, the State cites
one isolated exchange from the Hearing on the Implementation of Changes in
Criteria for Awarding Regents Scholarships and Empire State Scholarships of
Excellence, New York State Senate and Assembly Standing Committees on Higher
Education, May 25, 1988, pp. 19‑21, P.App. I, attachment 4 (hereafter
"May Hearing").
The new legislation, for the first time, expressly stated that
awards are to be based on a measure of "high school
performance."ÊÊ Act approved and
effective Aug. 7, 1987, ch. 837, 1987 N.Y. Laws ¤¤ 1, 2.ÊÊ In doing so, the legislature altered the
criteria for scholarship eligibility‑‑on a one‑ year,
experimental basis‑‑to require the SED Commissioner to base awards
on a formula which at least includes a measure of high school performance, and
which may include nationally established competitive examinations.ÊÊ The amendment also required the Commissioner
to "complete a statistical review of the gender, racial and ethnic
composition of students awarded such scholarships within sixty days of the
announcement of such scholarship award."Ê
Id.Ê The legislation included a
sunset provision that provided that the amendment would automatically lapse
after one year if it were not affirmatively extended.
In May 1987, the SED examined possible measures of high school
performance that could be used to select scholarship winners equitably.ÊÊ May Hearing at 9.Ê The SED surveyed high school principals for information
concerning grade point averages and class rank.Ê Id. at 4.ÊÊ The
possibility of using class rank as a measure of high school performance was
dropped for three reasons: (1) it is not used by all schools;Ê (2) it adversely affects students in highly
selective schools;Ê (3) it cannot be
used to compare students from schools of difference size.Ê Id. at 19;Ê
Lott T. at 72.
The SED also found drawbacks to the use of grade point
averages.ÊÊ Because of the volume of
scholarship applications it receives yearly, approximately 100,000, the SED
would be unable to individually evaluate the GPA information submitted for each
candidate as is done by college admission committees. Byrne aff. ¦ 3;Ê Sharrow T. at 133.ÊÊ Also, the SED concluded that it was difficult to convert grade
point average information to a common scale because:Ê (1) there is a lack of comparability in the substance of the
courses for which grades are given;Ê (2)
school grading practices differ from district to district and different grading
scales are utilized;Ê (3) schools differ
in their practice and philosophy regarding weighing grades in order to take
into account course difficulty;Ê and (4)
reported grades may reflect grade inflation.ÊÊ
Meno Aff. ¦¦ 2‑5;Ê Sharrow
T. at 129;Ê Meno T. at 140.ÊÊ On the other hand, the SED's survey
indicated that there is a great deal of uniformity as to grading scales:Ê 85 percent of the public schools and 73
percent of the private schools used a numerical score of 1‑100.ÊÊ Results of High School Survey, P.App. I,
Ex. 8.
Despite comparability difficulties, the SED chose to use GPAs as
the best available measure of high school achievement.ÊÊ In awarding the Regents and Empire
Scholarships for the 1988 graduates, the SED gave equal weight to students' SAT
scores and GPAs, as the measure of high school performance.ÊÊ The SED, however, did not issue specific
instructions to schools as to how grades should be reported. [FN15]Ê As a result, some schools reported weighted
grades, taking into account course difficulty, while others reported students'
grades as they appeared on their transcripts.ÊÊ
Hamburger T. at 3‑ 4.ÊÊ
Such inconsistent reporting practices touched off a controversy among
school administrators who accused each other of cheating in weighting and reporting
grades.ÊÊ Meno T. at 139.
FN15. The GPA calculation was to be based upon three years of
English, three years of social studies, two years of math, one year of science,
and any three‑year sequence in the student's major.ÊÊ Lott T. at 103.ÊÊ However, the SED issued no guidelines as to how to compute
average GPAs.ÊÊ Kenneth Ormiston, SED
Bureau Chief, told one school:Ê
"when calculating grade point average, you may use either weighted
or unweighted grades."ÊÊ Letter of
Nov. 23, 1987, P.App. I, Ex. 11.ÊÊ After
receiving "hundreds of phone calls" about computation of grade point
averages, one SED official, Jim Brown, wrote to Ormiston, urging that the
policy be clarified.ÊÊ Brown Memo at 1,
App. I, Ex. 12.ÊÊ However, SED officials
did not issue clarifying instructions.ÊÊ
See Hearings at 82‑85.
In 1988, under the procedure using a combination of grades and
SATs weighted equally women received substantially more Regents and Empire
Scholarships than in all prior years in which the SAT had been the sole criterion.ÊÊ P.App. I, Ex. 2.ÊÊ In both 1987 and 1988, young women comprised approximately 54
percent of the applicant pool for the scholarship, yet the results in 1988 when
grades and SATs were used were markedly different.ÊÊ The results are summarized as follows:
ÊÊÊÊÊ
Winners of Empire State Scholarships Winners of Regents College
of Excellence Scholarships
Males Females Males Females
1988 62 38 51 49
1987 72 28 57 43
ÊWhen GPAs were used in
1988, the mean GPAs were:Ê 85 for
females and 84.4 for males.ÊÊ P.App. I,
Ex. 2.
In May 1988, the legislature held hearings to evaluate the new
practice of using both GPAs and SATs.ÊÊ
Although use of GPA information reduced the disparity between the number
of males and females receiving Scholarships, Commissioner Sobol recommended
that the practice be discontinued, as soon as a new scholarship exam was
developed, because:Ê (1) use of GPA
information put an increased burden on school staff;Ê (2) use of GPA did not provide an equitable way to compare students
from different schools;Ê and (3) use of
GPA would encourage students to avoid more challenging courses in order to
obtain better grades for Scholarship purposes.ÊÊ May Hearing at 17‑18.ÊÊ
Sobol requested funds for a new scholarship exam but also recommended
that, until a separate Regents Scholarship examination could be established,
GPAs continue to be used in conjunction with SAT scores.Ê Id. [FN16]
FN16. The Attorney for the SED addressed the Commissioner's
apparent about face at trial by explaining, "[a]t the time the statement
was made, the statute had not yet expired.ÊÊ
And he was assuming that if the statute was extended it would be made on
a grade point average."ÊÊ T. at
199.
Despite Commissioner Sobel's recommendation, the legislature
allowed to lapse the eligibility calculation "based on a formula which
includes high school performance and which may include nationally competitive
examinations."ÊÊ The standard
thereby reverted to awards "on the basis of nationally established
competitive examinations".ÊÊ In the
1988 legislative session, the SED received funds for a new scholarship
examination, but has not yet received approval for a developed test.ÊÊ Meno Aff. ¦ 9.ÊÊ In September, 1989, the SED determined that it would award
Regents and Empire Scholarships to 1989 high school graduates on the basis of
SAT scores alone.ÊÊ It is the SED's sole
reliance on SAT scores for 1989 graduates that plaintiffs complain denies them
equal protection under the fourteenth amendment to the U.S. Constitution and
violates Title IX of the Education Amendments of 1972.
B. Use of the SAT for Merit Scholarship Awards
1. ETS Recommendations and States' Practice
The Educational Testing Service ("ETS") developed the
SAT in order to predict academic performance in college.ÊÊ Willingham Aff. at ¦¦ 5‑6.ÊÊ The ability of the SAT to serve this
purpose has been statistically "validated."ÊÊ Willingham Aff. at ¦¦ 16‑19. [FN17]Ê It is undisputed, however, that the SAT
predicts the success of students differently for males and females.ÊÊ Willingham Aff. at 32.Ê In other words, while the SAT will predict
college success as well for males within the universe of males as for females
within the universe of females, when predictions are within the combined
universe of males and females, the SAT underpredicts academic performance of
females in their freshman year of college, and overpredicts such academic
performance for males. [FN18]Ê The SAT
has never been validated as a measure of past high school performance.
FN17. "Validity refers to the degree to which evidence
supports the inference and use of test scores."ÊÊ Title Aff. ¦ 11.
FN18. Emery T. at 47.ÊÊ See
also Title Aff. at ¦¦ 6, 10‑19, 29; Campbell Aff. at ¦¦ 6, 12‑17,
20;Ê Behnke Aff. at ¦¦ 2‑7.ÊÊ When the regression equation is based on
what is called a common regression line (with males and females together), a
male and female with the same SAT scores will obtain different grade point
averages, with the female's actual grade point average being somewhat higher
than her predicted average.ÊÊ The male's
actual grade point average will be somewhat lower than that predicted.Ê Campbell Aff. at ¦ 11‑14.
Both the ETS and the College Board, which administers the SAT,
specifically advise against exclusive reliance upon the SAT, even for the
purpose for which the SAT has been validated‑‑predicting future
college performance. [FN19]Ê Instead,
ETS researchers recommend that college admissions counselors use a combination
of high school grades and test scores because this combination provides the
highest median correlation with freshman grades.Ê Title Aff. at ¦¦ 25‑29.ÊÊ
Additionally, the National Association of College Admission Counselors'
("NACAC") Code of Ethics requires member institutions to refrain from
using minimum test scores as the sole criterion for admission, to use test
scores in conjunction with other data such as school record and
recommendations, and to refrain from using tests in any manner that may
discriminate against students. [FN20]Ê
Thus, many colleges refrain from using test scores exclusively to decide
admissions questions.ÊÊ See Stewart T.
at 58‑59;Ê Sharrow T. at 122;Ê Behnke Aff. at ¦¦ 2, 7, 8;Ê Mason Aff. at ¦¦ 5, 6, 7.
FN19. See 1988 Profile of SAT and Achievement Test Takers‑‑National
Report p. iii (ETS, 1988), P.App. I, Ex. 7.ÊÊ
The ETS argues only that "it would be incorrect to suggest ... that
the College Board and ETS guidelines are the product of any conclusion that the
SAT is biased in any way ..." ETS and College Board Amici Brief at 9.
FN20. Statement by NACAC on the role of Standardized Testing in
the College Admission Process, P.App. II, Part 3, Ex. X;Ê Richard Stewart, vice‑president of
committee for admissions practices, NACAC, T. at 58; NACAC Statement of
Principles of Good Practice (December 1988);Ê
Burtnett Aff. at ¦ 3.
Notwithstanding ETS and NACAC guidelines recommending against
using the SAT as the sole basis on which to award scholarships or offer
admissions, the SED adopted such a policy in 1974.ÊÊ New York State is one of only two states in the nation to rely
solely on SAT scores for the award of state‑sponsored merit scholarships
instead of factoring in other measurements, such as grade point average or high
school rank.ÊÊ May Hearing at 54;Ê Lee Aff. at ¦ 3.ÊÊ Most states rely, at least in part, upon GPAs.ÊÊ For instance, California's extensive merit
scholarship program, which gives nearly 17,000 awards annually, relies upon
self‑reported GPAs.ÊÊ Moss Aff. at
¦¦ 1, 3, 5‑6.
2. SAT as Measure of High School Performance
Both the Empire and Regents Scholarships are intended to reward
past academic achievement of high school students, and to encourage those
students who have demonstrated such achievement to pursue their educations in
New York State. Lott T. at 91;Ê Memo
Aff. at ¦ 9.ÊÊ It is undisputed,
however, that the SAT was developed and validated to serve a different purpose‑‑predicting
performance in college.
Professional standards governing educational testing require
statistical analysis ("validation") to be undertaken to ensure that a
test is properly used for its intended purpose.ÊÊ Shapiro T. at 51.ÊÊ For
example, the American Psychology Association's Standards on Psychological
Testing require that "evidence of validity should be presented for the
major types of inferences for which the use of a test is recommended."ÊÊ P.App. I, Ex. 6, at 13.ÊÊ Similarly, the College Board requires that
tests be validated periodically "to ensure that they predict the expected
outcome at a level acceptable for the institution's particular
purpose."ÊÊ 1987‑1988 ATP
Guide for High Schools and Colleges.ÊÊ
The SED has never validated the SAT for the purpose of measuring high
school performance.ÊÊ Lott. T. at 89.
[FN21]
FN21. Indeed, without a prescribed curriculum (as in New York
State), it would be very difficult to prove the content validity of the SAT.
Shapiro T. at 42.
Notwithstanding the absence of validation studies, it is the SED's
current position that the SAT provides a good measure of high school
performance because it "measures skills and knowledge primarily developed
in school." Byrne Aff. ¦ 17.ÊÊ The
SED does not dispute that the SAT does not measure performance in all high
school courses, but claims merely that the SAT partially tracks high school
English and Math courses and thus tests achievement.ÊÊ Lott T. at 89. [FN22]Ê
The SED concedes that the SAT does not measure achievement in other
subject matters such as science, social studies, and foreign languages.ÊÊ Moreover, the SED concedes that overall
GPAs are a better measure of high school performance than SATs.ÊÊ Lott. T. at 90;Ê See also Anastasi, P.App. II, Part 2, Ex. C.
FN22. The SED's claim that the SAT is an achievement test
contradicts the position taken by Commissioner Sobol himself, on June 23, 1988
in the Appeal of Yick Moon Lee.ÊÊ P.
Reply Mem., Ex. 4.ÊÊ In that case, Sobol
stated that SAT scores "are a measure of aptitude rather than
achievement."Ê (In Yick Moon Lee, a
student appealed to the Commissioner to enjoin the practice in his school of
using a combination of SAT scores and GPA to calculate class rank.ÊÊ Commissioner Sobol ordered that the
practice be discontinued because SAT scores do not measure "actual student
achievement.")
3. Statistical Impact on Men and Women Statewide
Males have outscored females on the verbal portion of the SAT
since 1972, with an average score differential of at least 10 points since
1981. Males have also consistently outscored females on the mathematics
portion, with an average differential of at least 40 points since 1967.
[FN23]Ê In 1988, for example, girls
scored 56 points lower than boys on the test.ÊÊ
The probability that these score differentials happened by chance is
approximately about one in a billion and the probability that the result could
consistently be so different is essentially zero.ÊÊ See Gray Aff. at ¦ 6.
FN23. 1988 Profile of SAT takers, The College Board, P.App. I, Ex.
7, p. iii.ÊÊ These undisputed results
are summarized in Appendix B, infra.
Statisticians have attempted to explain the score differentials
between males and females by removing the effect of "neutral"
variablesÊ [FN24], such as ethnicity,
socioeducational status (parental education), high school classes, and proposed
college major.ÊÊ However, under the most
conservative studies presented in evidence, even after removing the effect of
these factors, at least a 30 point combined differential remains unexplained.
[FN25]
FN24. It is debatable whether all of these factors are indeed
"neutral" and do not to some degree reflect systemic sex
discrimination.
FN25. Shapiro T. at 50;Ê
Willingham Aff., Ex. 6.ÊÊ See
also Clark and Grady at 18, P.App. II, Part 2, Ex. D;Ê and Gamache and Novick, P.App. II, Part 3, Ex. M.
As a result of the State's practice of basing scholarship awards
solely upon SAT scores, males have consistently received substantially more
scholarships than females.ÊÊ In 1987 for
example, males were 47 percent of the scholarship competitors, but received 72
percent of the Empire State Scholarships and 57 percent of the Regents
Scholarships. [FN26]Ê For Empire State
Scholarships, these results represent 15.8 standard deviations from the
mean;Ê for Regents Scholarships, the
difference represents 31.7 standard deviations.ÊÊ In other words, the probability that the Empire Scholarship
results would occur by chance is less than one in a billion, and the
probability of the Regents Scholarship results would occur by chance is even
less. Shapiro T. at 29. [FN27]
FN26. According to the SED's own estimates of the 1988‑89
competition, 56 percent of the winners of the Regents Scholarship will be male
if only SAT results are used to determine scholarship winners despite the fact
that 53 percent of all the competitors are female.ÊÊ Statistical review of the Awarding of the 1988 New York State
Scholarships (April 1988), p. App. I, Ex. 2.
FN27. As statistical significance is generally recognized to be
.05 standard deviations from the mean, there is no doubt that these figures are
statistically significant.ÊÊ The reason
why the regents results are more significant than the Empire results is that
sample size greatly affects calculations of standard deviations, and 25,000
Regents awards are given annually as compared to only 1,000 Empires awards.
III. Discussion
A. Procedural Issues
At the outset, defendants argue that this Court should dismiss
plaintiffs' complaint on three procedural grounds:Ê first, this Court is without authority to issue the relief
requested in this case because plaintiffs do not have standing to bring their
claims;Ê second, the Court lacks subject
matter jurisdiction;Ê and third, venue
is improper.ÊÊ The Court will consider
each of these arguments in turn.
1. Standing
In order to establish standing for the purposes of the
constitutional "case or controversy" requirement, the general rule is
that a plaintiff "must show that he personally has suffered some actual or
threatened injury as a result of the putatively illegal conduct of the
defendant," Gladstone Realtors v. Village of Bellwood, 441 U.S. 91, 99, 99
S.Ct. 1601, 1607, 60 L.Ed.2d 66 (1979), and that the injury is "likely to
be redressed by a favorable decision."Ê
Simon v. Eastern Kentucky Welfare Rights Organization, 426 U.S. 26, 38,
96 S.Ct. 1917, 1924, 48 L.Ed.2d 450 (1976).ÊÊ
Otherwise, the exercise of federal jurisdiction "would be
gratuitous and thus inconsistent with the Article III limitation."Ê Id. at 38, 96 S.Ct. at 1924.
More precisely, plaintiffs must demonstrate:Ê (1) that the "interest sought to be
protected is within the zone of interests protected or regulated by the statute
or constitutional guarantee in question," Association of Data Processing
Service Organizations Inc. v. Camp, 397 U.S. 150, 153, 90 S.Ct. 827, 830, 25
L.Ed.2d 184 (1970), (2) "injury in fact," and (3) "causation in
fact."
Plaintiffs have fulfilled the first standing requirement.ÊÊ The interest sought to be protected‑‑freedom
from discrimination in the award of state scholarships‑‑is within
the zone of interests to be protected by the fourteenth amendment and Title
IX.ÊÊ Education Amendments of 1972, 20
U.S.C. ¤ 1681.
The second requirement, injury in fact, is satisfied by a showing
of a likelihood of harm, if not actual harm.ÊÊ
In University of California Regents v. Bakke, 438 U.S. 265, 98 S.Ct.
2733, 57 L.Ed.2d 750 (1978) the Supreme Court found that a student had standing
to challenge a school's allegedly discriminatory admissions policy, not because
he could establish that he would have been admitted were it not for the
challenged policy, but rather because his chances for admission were reduced by
the policy.Ê Id. at 280‑81 n. 14,
98 S.Ct. at 2743 n. 14 (Powell, J., concurring).ÊÊ See also, McCleskey v. Kemp, 481 U.S. 279, 295 n. 8, 107 S.Ct.
1756, 1766 n. 8, 95 L.Ed.2d 262 (1987);Ê
Heckler v. Mathews, 465 U.S. 728, 738, 104 S.Ct. 1387, 1394, 79 L.Ed.2d
646 (1984);Ê Gladstone, Realtors v.
Village of Bellwood, 441 U.S. at 115, 99 S.Ct. at 1615.
Plaintiffs here allege that their chances for winning a state
merit scholarship are reduced by the SED's practice of basing such awards
solely on SAT scores and that, therefore, they are less likely to receive
benefits such as substantial public recognition, an enhanced ability to attract
additional scholarships, and an increased opportunity to attend the college or
university of their choice. [FN28]Ê
These allegations alone are sufficient to establish "injury in fact."Ê [FN29]
FN28. See Plaintiff's Affidavits, App. II:Ê Bonzon at ¦ 4;Ê Hart at ¦ 3;Ê Lewis at ¦
5;Ê Sharif at ¦¦ 3, 4;Ê Sultan at ¦ 2;Ê Greenblatt at ¦¦ 4, 5;Ê
Taylor at ¦ 8.
FN29. Defendants argue that plaintiffs do not have standing
because some female students' chances of winning scholarships will be reduced
if a combination of grades and SATs are used to determine the awards.ÊÊ D.Mem. at 23.ÊÊ This is irrelevant.ÊÊ The
fact is that as a group women's chances are improved.ÊÊ Plaintiffs would rarely succeed in educational testing cases if
courts accepted defendants argument, because changes in any test has differing
effects on a broad class of plaintiffs.
Moreover, while plaintiffs need only establish a likelihood of
injury, they have shown as to at least three plaintiffs a near certainty of
injury if the SED is not enjoined.ÊÊ
Defendants concede that plaintiffs Hart, Capodice, and Bozon probably
will qualify for Regents Scholarships if eligibility is determined by using
equally weighted GPA and SAT scores but will not qualify if SAT scores are the
sole criterion.ÊÊ T. at 19, 207;Ê Byrne Aff. at ¦ 10.ÊÊ These three plaintiffs alone are sufficient
to establish standing to challenge the awarding practices for both Regents and
Empire Scholarships since both are awarded from the same list of 25,000 names.
[FN30]Ê Because the claims raised by
plaintiffs necessarily implicate the entire system, and any relief would
require modification of that system, plaintiffs have standing to challenge both
the Regents and Empire Scholarships even though they personally may not be
eligible for the latter.
FN30. The state awards 25,000 Regents scholarships of $250 and
1000 Empire Scholarships of $2000 to the top Regents scholarship winners.
The final requirement, causation in fact, necessitates that the
injury be both "fairly traceable" to the defendant and
"redressable."Ê Allen v.
Wright, 468 U.S. 737, 753 n. 19, 104 S.Ct. 3315, 3325 n. 19, 82 L.Ed.2d 556
(1984).ÊÊ As with injury in fact,
causation in fact does not require a showing of complete certainty.ÊÊ In the Second Circuit:
All that is required is a showing that such relief be reasonably
designed to improve the opportunities of a plaintiff not otherwise disabled to
avoid the specific injury alleged.ÊÊ To
ask the plaintiffs to show more than that they would 'benefit in a tangible way
from the court's intervention,' would be to close our eyes to the uncertainties
which shroud human affairs.
Huntington Branch N.A.A.C.P. v. Town of Huntington, 689 F.2d 391,
394 (2d Cir.1982) (emphasis added) (plaintiffs seeking funding to construct
housing project had standing to challenge zoning ordinance, even though no
federal housing money was presently available).
In the present case, plaintiffs allege that the SED's reliance
upon the SAT is the direct cause of their injury.ÊÊ Injunctive relief compelling the SED to use an alternative
procedure with a less discriminating effect would redress their grievance.ÊÊ Defendants argue that because variables
other than sex might account for the disparate number of women receiving low
SAT scores‑‑and, consequently, not receiving scholarships‑‑there
is no causation.ÊÊ D.Mem. at 23.ÊÊ This, however, is a dispute on the merits
of plaintiffs' claim. Standing does not depend on whether plaintiffs actually
will prevail.ÊÊ See e.g., McCleskey, 481
U.S. 279, 107 S.Ct. 1756.
The fact that some of the named plaintiffs may not receive
scholarships if the injunction is granted presents no barrier to this
suit.ÊÊ The claim rests on the alleged
discriminatory nature of the system as a whole.ÊÊ In analogous circumstances, the Supreme Court held that a black
would‑be resident had standing to challenge discriminatory zoning
practices, because he intended to apply for housing, although he might not
actually obtain it.Ê Village of
Arlington Heights v. Metropolitan Housing Development Corp., 429 U.S. 252, 264,
97 S.Ct. 555, 562, 50 L.Ed.2d 450 (1977).ÊÊ
Here, as in Arlington, if the requested relief is granted, the
plaintiffs would no longer suffer the injury complained of.ÊÊ See also Pennell v. City of San Jose, 485
U.S. 1, 108 S.Ct. 849, 99 L.Ed.2d 1 (1988) (landlords had standing to challenge
rent control ordinance when there was a likelihood of enforcement of the
ordinance and concomitant probability that rent would be reduced below what
some landlords could afford);Ê Duke
Power Co. v. Carolina Environmental Study Group, 438 U.S. 59, 98 S.Ct. 2620, 57
L.Ed.2d 595 (1978) (standing to challenge act limiting liability in the event
of a nuclear accident where "substantial likelihood" that
construction of plants could not be completed without liability limit).
Since we find plaintiffs have sufficiently alleged injury in fact
and causation in fact and that plaintiffs are within the requisite zone of
interests, we conclude that plaintiff have standing.
2. Jurisdiction
Defendants argue that this Court lacks subject matter jurisdiction
over plaintiffs' equal protection claim against the SED.ÊÊ This argument is wholly meritless.
While it is true that the Eleventh Amendment bars suits against
states,Ê Pennhurst State School &
Hospital v. Halderman, 465 U.S. 89, 100, 104 S.Ct. 900, 907, 79 L.Ed.2d 67
(1984), the "important exception to this general rule [is that] a suit
challenging the constitutionality of a state official's action is not one
against the state."Ê Id. at 102,
104 S.Ct. at 909.ÊÊ Moreover, Congress
has specifically provided that a state shall not be immune from suit under
Title IX.Ê 42 U.S.C. ¤ 2000d‑7.ÊÊ Thus, this Court has jurisdiction pursuant
to 28 U.S.C. ¤¤ 1331 and 1343(a)(3) and (4).
3. Venue
Defendants also challenge the venue of this action.ÊÊ They argue that it is more properly brought
in the Northern District of New York where the defendants are located.ÊÊ The Court finds this argument unpersuasive.
Venue in this case is governed by 28 U.S.C. ¤ 1391(b), which
provides:
A civil action wherein jurisdiction is not founded solely on
diversity of citizenship may be brought only in the judicial district where all
defendants reside, or in which the claim arose, except as otherwise provided by
law.
Where the claim arose in more than one district, "a plaintiff
may chose between those two (or conceivably even more) districts that with
approximately equal plausibility‑‑in terms of the availability of
witnesses, the accessibility of other relevant evidence, and the convenience of
the defendant (but not of the plaintiff)‑‑may be assigned as the
locus of the claim." Leroy v. Great Western, 443 U.S. 173, 185, 99 S.Ct.
2710, 2717, 61 L.Ed.2d 464 (1979).
Applying the Leroy holding, in a similar case to this, Judge
Sofaer, formerly of this district, held that state security employees could
bring suit against state officials in the Southern District.Ê Cheeseman v. Carey, 485 F.Supp. 203
(S.D.N.Y.1980).ÊÊ While the state
decisions in question had been made in Albany, the court held that the Southern
District had a "substantial relationship" to the claim and, thus, the
claim "arose" in the Southern District as well the Northern
District.Ê Id. at 212.ÊÊ In Cheeseman, half of the plaintiff class
is located in the Southern District and thus, the court concluded, the
challenged practice had been "profoundly felt" in the district.
In this case, the effects of the SED's policy have similarly been
profoundly felt in the Southern District.ÊÊ
Female students attending New York City schools are harmed more than
elsewhere by the SED's exclusive reliance on SAT scores because they are even
less likely to qualify for their scholarships than their female counterparts
throughout the state.ÊÊ Moreover, these
students take the SAT in the Southern District.ÊÊ Thus, while plaintiffs' claims also arise in the Northern
District, they arise in the Southern District as well.
The Southern District is at least an "equally plausible
forum."ÊÊ New York City is more
accessible for the many expert witnesses who live outside New York.Ê Amici ETS and College Board have offices in
the City.ÊÊ It is not overly burdensome
for state officials to travel to New York.ÊÊ
Defendants have not demonstrated that evidence would somehow be less
accessible if this case is maintained in the Southern District.
Finally, the Court concludes that because speed of disposition is
important in this case, the interests of justice weigh against a transfer.ÊÊ This Court is familiar with the detailed
facts of the case, and substantial proceedings have already occurred before
this Court.ÊÊ See e.g., Cheeseman,
supra, 485 F.Supp. at 215.ÊÊ This is not
a case where plaintiffs may have chosen their place of venue to harass
defendants or to avoid precedents in the Northern District. ÊÊIt appears that plaintiffs merely have
chosen a forum that is convenient for the named plaintiffs, teenagers who live
in the New York City area.
It is well‑established that a plaintiff's choice of forum
"is entitled to great weight and will not be disturbed except upon a clear‑cut
showing that convenience and justice for all parties demands that the
litigation proceed elsewhere."Ê
Eastern Refractories v. Forty Eight Insulations, 668 F.Supp. 183, 187
(S.D.N.Y.1987), citing Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 67 S.Ct. 839,
91 L.Ed. 1055 (1947).ÊÊ Such a showing
has not been made. Accordingly, accordingly defendants' venue motion is denied.
B. The Preliminary Injunction
The standard for reviewing a request for a preliminary injunction
is well established.
In this circuit, a preliminary injunction can be granted if
plaintiff shows irreparable injury, combined with either a probability of
success on the merits, or a fair ground for litigation and a balance of the
hardships in his favor.
The Video Trip Corporation v. Lightning Video, Inc., 866 F.2d 50,
52 (2d Cir.1989) (emphasis added), citing Wainwright Securities, Inc. v. Wall
Street Transcript Corp., 558 F.2d 91, 94 (2d Cir.1977), cert. denied, 434 U.S.
1014, 98 S.Ct. 730, 54 L.Ed.2d 759 (1987).
A court need not certify a class prior to granting a preliminary
injunction.ÊÊ Defendants improperly rely
upon Hurley v. Ward, 584 F.2d 609 (2d Cir.1978), to support their contention
that any injunction must be limited to the individual named plaintiffs.Ê Hurley is inapposite because it was brought
by an individual plaintiff who did not even seek class certification and
members of the purported class were not similarly situated.
Contrary to defendants' argument, courts have consistently granted
relief that would have a class‑wide effect without first certifying a
class.ÊÊ Indeed, in this Circuit, courts
have held that where a judgment would run to the benefit not only of the named
plaintiffs but also of all others similarly situated, as it would here, class
designation is "largely a formality."Ê Galvan v. Levine, 490 F.2d 1255, 1261 (2d Cir.1973), cert.
denied, 417 U.S. 936, 94 S.Ct. 2652, 41 L.Ed.2d 240 (1974).ÊÊ See also Hurley, supra, 584 F.2d at 611‑612.
[FN31]
FN31. Moreover, the Supreme Court has held in connection with
statute of limitations questions that class‑wide relief is appropriate
unless and until the class is dismissed.Ê
Crown, Cork and Seal Co. v. Parker, 462 U.S. 345, 103 S.Ct. 2392, 76
L.Ed.2d 628 (1983);Ê American Pipe and
Construction Co. v. Utah, 414 U.S. 538, 551, 94 S.Ct. 756, 765, 38 L.Ed.2d 713
(1974).
Thus, this Court need not certify a class in this case before
determining whether plaintiffs have demonstrated the requirements for a
preliminary injunction:Ê irreparable
harm and a likelihood of success on the merits. [FN32]
FN32. While plaintiffs filed a motion for class certification of
January 30, 1989, the Court will not consider this motion until defendants'
have filed their response.
1. Irreparable Harm
Plaintiffs have demonstrated that if the SED is not enjoined from
its current practices, they will suffer irreparable harm.ÊÊ Defendants do not dispute that Regents and
Empire State scholarships are prestigious awards, and that students benefit
from receiving such awards.ÊÊ Rather,
they merely argue that Regents scholarships are worth less than Empire
scholarships, and because it is unlikely that any of the named plaintiffs would
receive Empire awards, plaintiffs have not shown irreparable harm.ÊÊ D.Mem. at 20.ÊÊ This is defendants' standing argument that was dismissed
above.ÊÊ To reiterate:Ê first, while named plaintiffs may not
receive Empire awards, some members of the putative class would qualify for such
awards;Ê second, all plaintiffs' chances
are reduced by the SED's actions;Ê and
third, defendants concede that at least three named plaintiffs will be harmed
by the SED's acts.ÊÊ Byrne Aff. ¦ 10.
"When an alleged deprivation of a constitutional right is
involved, most courts hold that no further showing of irreparable injury is necessary."Ê Mitchell v. Cuomo, 748 F.2d 804, 806 (2d
Cir.1984). Plaintiffs here go further than merely alleging deprivation of a
constitutional right‑‑they document the harm that would result if
the SED continued its practice of reliance upon the SAT. [FN33]Ê Thus, plaintiffs clearly have demonstrated
"irreparable harm."
FN33. See P. Mem. at 20‑23;Ê
Bonzon Aff. at ¦ 4;Ê Hart Aff. at
¦ 4; Lewis Aff. at ¦ 5;Ê Mackenzie Aff.
at ¦ 3;Ê Sharif Aff. at ¦¦ 3, 4;Ê Sultan Aff. at ¦ 2.ÊÊ Defendants have not disputed these
affidavits.
2. Likelihood of Success on Merits
a. Title IX
Plaintiffs invoke the protections provided by Title IX, which
prohibits sex discrimination in federally‑funded educational programs.
[FN34]Ê Plaintiffs do not claim that
defendants have intentionally discriminated against them based on their
sex.ÊÊ Rather, they claim that defendants'
practice of sole reliance upon SAT scores to award prestigious state
scholarships disparately impacts female students.ÊÊ To this Court's knowledge, this is thefirst disparate impact
case challenging educational testing practices under Title IX. [FN35]
FN34. Title IX provides, in pertinent part:
(a) No person in the United States shall, on the basis of sex, be
excluded from participation in, be denied the benefits of, or be subjected to
discrimination under any education program or activity receiving any federal
assistance.
20 U.S.C. ¤ 1681(a).ÊÊ
Recently, Congress broadened the scope of Title IX so that it applies
institution‑wide.ÊÊ Civil Rights
Restoration Act, 20 U.S.C. ¤ 1687 (became law on March 22, 1988).ÊÊ This Act directly reversed the Supreme
Court's decision in Grove City College v. Bell, 465 U.S. 555, 104 S.Ct. 1211,
79 L.Ed.2d 516 (1984), which had limited the coverage of Title IX to specific
programs or activities which actually receive federal funds.
FN35. The most common Title IX cases challenge regulations that
prohibit female students from participating in high school sports.ÊÊ In general, courts have had little
difficulty in concluding that such regulations deny female students equal
protection of the laws.ÊÊ See, e.g.,
Brenden v. Independent School District, 477 F.2d 1292 (8th Cir.1973);Ê Morris v. Michigan State Board of Education,
472 F.2d 1207 (6th Cir.1973);Ê Hoover v.
Meiklejohn, 430 F.Supp. 164 (D.Col.1977).
Neither the Supreme Court nor any court in the Second Circuit has
determined whether intent must be shown in Title IX cases. [FN36]Ê This Court, however, is not without
substantial guidance.ÊÊ Recognizing that
"Title IX was patterned after Title VI of the Civil Rights Act of
1964," Grove City College v. Bell, 465 U.S. 555, 566, 104 S.Ct. 1211,
1218, 79 L.Ed.2d 516 (1984) courts examining Title IX questions have looked to
the substantial body of lawÊ [FN37]
developed under Title VI, 42 U.S.C. ¤ 2000d, which prohibits race
discrimination in federally‑funded programs, and Title VII, 42 U.S.C. ¤
2000e, which prohibits discrimination in employment.ÊÊ See, e.g., Mabry v. State Board of Community Colleges and
Occupational Education, 813 F.2d 311, 317 (10th Cir.), cert. denied, 484 U.S.
849, 108 S.Ct. 148, 98 L.Ed.2d 104 (1987);Ê
Haffer v. Temple University, 678 F.Supp. 517, 539 (E.D.Pa.1987).
FN36. Judge Sweet of this district applied a disparate impact
analysis under Title IX in Fulani v. League of Women Voters Educ. Fund, 684
F.Supp. 1185 (S.D.N.Y.1988).ÊÊ However,
he carefully assumed that a disparate impact is appropriate under Title IX
without actually deciding that such was the case.Ê Id. at 1193.
FN37. Many of these cases have challenged teacher competency tests
as being racially discriminatory.ÊÊ See
generally Rebell, Disparate Impact of Teacher Competency Testing on
Minorities:Ê Don't Blame the Test‑Takers‑‑or
the Tests, 4 YALE L. & POL.REV. 375 (1986).
In Guardians Association v. Civil Service Commission, 463 U.S.
582, 103 S.Ct. 3221, 77 L.Ed.2d 866 (1983), the Supreme Court held that a
violation of Title VI itself requires proof of discriminatory intent.ÊÊ However, a majority also agreed that proof
of discriminatory effect suffices to establish liability when a suit is brought
to enforce the regulations promulgated under Title VI, rather than statute
itself.ÊÊ See also Alexander v. Choate,
469 U.S. 287, 293‑294, 105 S.Ct. 712, 716, 83 L.Ed.2d 661 (1985);Ê Latinos Unidos de Chelsea v. Secretary of
Housing, 799 F.2d 774, 785 n. 20 (1st Cir.1986).
Plaintiffs' amended complaint explicitly alleges both violations
of Title IX and its implementing regulations.ÊÊ
This Court finds no persuasive reason not to apply Title VI's
substantive standards to the present Title IX suit.ÊÊ Under analogous circumstances, one district court reasoned:
The Title IX regulations, like the Title VI regulations at issue
in Guardians, do not explicitly impose an intent requirement.ÊÊ As there is no reason that a Title IX
plaintiff should have a higher burden of proof than a Title VI plaintiff, see,
e.g., Cannon v. University ofChicago, 441 U.S. 677, 99 S.Ct. 1946, 60 L.Ed.2d
560 (1979) (interpretation of Title IX dependent upon interpretation of Title
VI);Ê Chowdhury v. Reading Hospital
& Medical Center, 677 F.2d 317 (3d Cir.1982), cert. denied, 463 U.S. 1229
[103 S.Ct. 3569, 77 L.Ed.2d 1411] (1983) ..., I hold that plaintiffs need not
prove discriminatory intent to succeed on their claim.
Haffer, 678 F.Supp. at 539‑540.
The Title IX implementing regulations, like the regulations
promulgated under Title VI, to which Title IX is frequently compared, are
consistent with this interpretation of the comprehensive reach of the
statute.ÊÊ Several Title IX regulations
specifically prohibit facially neutral policies.ÊÊ For example, the provision governing admissions procedures, 34
CFR ¤ 106.21(b)(2), prohibits a recipient from
administer[ing] or operat[ing] any test or other criteria for
admission which has a disproportionately adverse effect on persons on the basis
of sex unless the use of such test or criterion is shown to predict validly
success in the education program or activity in question and alternative tests
or criteria which do not have such a disproportionate adverse effect are shown
to be unavailable.
See also 34 C.F.R. ¤¤ 106.22, 106.23(b), 106.34(d),
106.37(b),Ê 106.52, and 106.53.(b).
[FN38]
FN38. The Tenth Circuit made a similar observation in Mabry, 813
F.2d at 316‑17 n. 6.
Based upon a reading of the Title IX regulations, as well as the
decisions that apply them, the Court finds that Title IX regulations, like the
Title VI regulations at issue in Guardians, prohibit testing practices with a
discriminatory effect on one sex.ÊÊ
Consequently, plaintiffs need not prove intentional discrimination.
In Title VII testing cases, the Supreme Court developed a three‑
pronged formulation to analyze disparate impact claims.ÊÊ Under this scheme, plaintiffs first must
show that a facially neutral practice has a disproportionate effect.ÊÊ After such a showing, the burden shifts to
defendants to prove a substantial legitimate justification‑‑a
"business necessity"‑‑for its practice.ÊÊ The plaintiff then may ultimately prevail
by offering either an equally effective alternative practice which has a less
of a discriminatory impact, or proof that the legitimate practices are a
pretext for discrimination.Ê Connecticut
v. Teal, 457 U.S. 440, 102 S.Ct. 2525, 73 L.Ed.2d 130 (1982);Ê Albemarle Paper Co. v. Moody, 422 U.S. 405,
95 S.Ct. 2362, 45 L.Ed.2d 280 (1975);Ê
McDonnell Douglas Corp. v. Green, 411 U.S. 792, 93 S.Ct. 1817, 36
L.Ed.2d 668 (1973);Ê Griggs v. Duke
Power Co., 401 U.S. 424, 91 S.Ct. 849, 28 L.Ed.2d 158 (1971);Ê Sheehan v. Purolator, 839 F.2d 99, 104 (2d
Cir.1988). [FN39]
FN39. Defendants' mistakenly rely upon Justice O'Connor's
plurality opinion in Watson v. Fort Worth Bank & Trust, 487 U.S. 977, 108
S.Ct. 2777, 2790, 101 L.Ed.2d 827 (1988), to argue that the Supreme Court now
requires a greater quantum of proof in disparate impact cases.ÊÊ The portion of Justice O'Connor's opinion
containing the alleged change in law was only joined by three other members of
the Court.ÊÊ Thus, it is not law.ÊÊ The Court's holding in Watson, that
subjective employment practices can be challenged under disparate impact
analysis, does not affect the outcome of this case.
In educational testing cases, instead of requiring defendants to
demonstrate a "business necessity," courts have required defendants
to show an "educational necessity."ÊÊ
For example, the Eleventh Circuit, in Georgia State Conf. of Branches of
NAACP v. State of Georgia, 775 F.2d 1403 (11th Cir.1985), held that defendants
had a burden of proving that their practices in question bore "a manifest
demonstrable relationship to classroom education."Ê Id. at 1418. See also Board of Education v.
Harris, 444 U.S. 130, 151, 100 S.Ct. 363, 375, 62 L.Ed.2d 275 (1979)
("educational necessity" analogous to "business necessity").
Applying the Title VII formulations to this Title IX case as
modified to take into account "educational necessity," this Court
finds that plaintiffs have demonstrated a likelihood of success on the merits.
Plaintiffs have met their burden of establishing a prima facie case through
persuasive statistical evidence and credible expert testimony that the
composition of scholarship winners tilted decidedly toward males and could not
have occurred by a random distribution.ÊÊ
See Gray Aff. at ¦ 6;Ê Shapiro T.
at 29‑30.Ê Defendants have failed
to attack plaintiffs' evidence of statewide disparate impact but have instead
focused in an ad hoc fashion on individual schools and counties.ÊÊ In a case alleging statewide
discrimination, such a focus does not rebut plaintiffs' statewide prima facie
case.
Plaintiffs, moreover, have established that the probability,
absent discriminatory causes, that women would consistently score 60 points
less on the SAT than men is nearly zero.ÊÊ
Gray Aff. at ¦¦ 5‑7.ÊÊ
Defendants concede that at least half of this differential cannot be
explained away by "neutral" variables.ÊÊ Based upon the totality of evidence, then, this Court finds that
plaintiffs have demonstrated that the State's practice of sole reliance upon
the SAT disparately impacts young women.
Thus, to prevail, defendants must show a manifest relationship
between use of the SAT and recognition and award of academic achievement in
high school.ÊÊ The Court finds that
defendants have failed to show even a reasonable relationship between their
practice and their conceded purpose.ÊÊ
The SAT was not designed to measure achievement in high school and was
never validated for that purpose.Ê
Instead, in arguing that the SAT somehow measures high school
performance, defendants rely upon anecdotal evidence that the SAT partially
tracks what is generally learned in high school Math and English courses. This
argument is meritless.
Plaintiffs have offered substantial evidence that the SATs do not
mirror high school Math and English classes.ÊÊ
The makers of the SAT describe the test as an "aptitude test;"Ê it does not purport to measure what is
learned in classrooms but to predict success in college.ÊÊ The testing format of the SAT measures
students' ability to take tests at least as much as it measures substantive
material.ÊÊ Defendants' claims that the
SAT is an achievement test are contradicted by defendant Sobol's own recent
pronouncement that SAT scores "are a measure of aptitude rather than
achievement."ÊÊ Appeal of Yick Moon
Lee (June 23, 1988), P. Reply Mem.Ex. 4.
Moreover, even if SATs provided a partial measurement of what is
learned in high school Math and English, these two courses constitute only 20
percent of a high school student's studies.ÊÊ
The SAT fails to provide any measure of what a student learns in foreign
language, science, and social studies courses. Moreover, there can be no
serious claim that a test given on one single morning can take into account a
student's diligence, creativity and social development and work habits in that
student's environment‑‑all part of high school achievement.ÊÊ After a careful review of the evidence,
this Court concludes that SAT scores capture a student's academic achievement
no more than a student's yearbook photograph captures the full range of her
experiences in high school.
Plaintiffs have offered an alternative to sole reliance upon the
SAT:Ê a combination of GPAs and
SATs.ÊÊ The SED's use of this
alternative in 1988 sharply reduced the disparate impact against females caused
by the use of the SAT alone.ÊÊ A
significantly greater number of female students received scholarships in 1988
than in each prior year in which the SED relied solely upon the SAT.ÊÊ P.App. I, Ex. 2.ÊÊ Defendants concede that females had a greater opportunity to
receive scholarships under the combination system. Defendants also concede that
grades are the best measure of high school achievement within the walls of a
single school.ÊÊ Instead, they argue
that since there is a disparity among schools and their grading systems it is
both unfair and impossible to use grades as part of the scholarship eligibility
determination.Ê Defendants plan instead
to develop a statewide achievement test.ÊÊ
While this Court does not dispute the apparent advantages of a statewide
achievement test‑‑if indeed a valid test can be developed‑‑it
does not agree that pending the implication of such a test, use of grades would
be either unfair or infeasible.
While a combination system‑‑using both GPAs and SATs‑‑is
not a perfect alternative, it is the best alternative presently available.ÊÊ The SED is concerned that students in
academically superior high schools not be disadvantaged by the use of GPAs.ÊÊ This concern is addressed by the
combination system because in effect grades would be weighted by SATs.ÊÊ The SAT component which cannot properly
itself measure achievement serves to balance the grade component that
does.ÊÊ In this way, the SED's concern
that use of grades alone will deprive good students in superior high schools of
scholarships is ameliorated.ÊÊ Also, as
a testing expert explained at the hearing, few students will be displaced if a
combination system is used:
What happens when you add GPA in with the SAT is you eliminate
people who had sufficiently high SATs but low grade point averages.ÊÊ And they get replaced by people with
slightly lower SATs who have higher‑‑very high grade point
averages.ÊÊ So the movement of
individuals is not really all that severe, it's ... really just taking
scholarships away from the high SAT performers who did not actually achieve in
high school ...
Shapiro T. at 36.ÊÊ More
importantly, the combination system would be "fair" in the larger
sense of the word, because it would better advance the state's goal of awarding
high school performance and would better provide all students‑‑not
just male students or students from selective schools‑‑with an
equal opportunity to compete for prestigious state scholarships.
Like its fairness argument, the SED's feasibility argument lacks
merit.ÊÊ The SED contends that if it
uses GPAs in awarding scholarships, the GPAs will not be in hand until February
24, 1988, the awards process will extend 16 weeks thereafter and, thus, it will
be difficult to inform winners prior to college acceptance dates.ÊÊ The Court rejects this argument.ÊÊ First, based upon evidence detailing the
time that is necessary to process scholarship applications, the Court finds
that the awards process can be completed in substantially less than 16 weeks.
[FN40]Ê Second, as of the hearing before
the Court on December 21, 1988, the defendants have been on notice that GPAs
may be needed and on that date represented to the Court that they had commenced
collection of GPAs.ÊÊ The defendants‑‑not
the plaintiffs or the Court‑‑selected February 24 as the date grade
calculations must be submitted to the SED, and then waited until January 13 to
notify schools of that fact.ÊÊ The Court
can only assume the SED did so consistent with using GPAs in a timely fashion
and, in any event, the SED cannot use its own delay to justify continued reliance
upon a discriminatory practice.
FN40. While the Court will not play the role of administrator and
detail the time saving techniques that the SED could use, the Court does note
that the SED could save considerable time if it notifies students of their
awards by listing names in a New York newspaper, a procedure used successfully
by the New York Board of Bar Examiners.
The SED cannot justify its discriminatory practice because any
alternative would be more difficult to administer.ÊÊ All states giving merit scholarships awards, with the exception
of New York and Massachusetts, use GPAs, without concern for either
administrative difficulties, grade inflation or the comparability of
grades.ÊÊ Lee Aff., P. Reply Mem. Ex.
5;Ê App. I, Ex. 14.ÊÊ Any administrative difficulties that the
SED experienced in 1988, when it used a combination system, were attributable
to the SED's own failure to implement and clarify specific guidelines for the
collections of grades, and to provide any enforcement mechanisms to guard
against cheating.ÊÊ While the Court,
like the amici Hewlett School District, does not condone cheating or
inaccuracies in grade reporting, it is not the Court's role to police the SED's
scholarship program.ÊÊ The Court notes,
however, that to verify accuracy, the SED could follow the practice of many
states and require school administrators to submit a signed certificate of
accuracy.
Faced with a conflict between the SED's administrative concerns on
the one hand, and the risk of substantial discriminatory harm to plaintiffs on
the other, the Court has little difficulty in concluding that the balance of
hardships tips decidedly in plaintiffs' favor.ÊÊ See Mitchell v. Cuomo, 748 F.2d 804, 808 (2d Cir.1984).ÊÊ The Court finds that plaintiffs have
offered a feasible alternative to sole reliance upon SATs.ÊÊ Accordingly, the Court finds that
plaintiffs have demonstrated a likelihood of success on the merits of their
Title IX claim and, thus, a preliminary injunction is warranted.
b. Equal Protection
Alternatively, a preliminary injunction is warranted because
plaintiffs also have established a likelihood that they will succeed on their
equal protection claim.ÊÊ The
classification of scholarship applicants solely on the basis of SAT scores
violates the equal protection clause of the Fourteenth Amendment because this
method is not rationally related to the state's goal of rewarding students who
have demonstrated academic achievement.
Under the lowest standard of equal protection review‑‑the
"rational relationship standard"‑‑"[t]he State may
not rely on a classification whose relationship to an asserted goal is so
attenuated as to render the distinction arbitrary or irrational."Ê City of Cleburne v. Cleburne Living Center,
473 U.S. 432, 446, 105 S.Ct. 3249, 3257, 87 L.Ed.2d 313 (1985).ÊÊ Although considerable deference is given to
the decisions of legislators and state administrators under the rational basis
test, the test "is not a toothless one."Ê Baccus v. Karger, 692 F.Supp. 290, 298 (S.D.N.Y.1988) (invalidating
New York bar rule that required applicants for bar admission to have commenced
the study of law after their 18th birthday), citing Schweiker v. Wilson, 450
U.S. 221, 234, 101 S.Ct. 1074, 1082, 67 L.Ed.2d 186 (1980).ÊÊ In a long line of cases, the Supreme Court
has applied rational basis scrutiny to strike down legislation where the
permissible bounds of rationality were exceeded.ÊÊ See e.g., Hooper v. Bernalillo County Assessor, 472 U.S. 612,
105 S.Ct. 2862, 86 L.Ed.2d 487 (1985);Ê
Williams v. Vermont, 472 U.S. 14, 105 S.Ct. 2465, 86 L.Ed.2d 11
(1985);Ê Metropolitan Life Insurance v.
Ward, 470 U.S. 869, 105 S.Ct. 1676, 84 L.Ed.2d 751 (1985);Ê United States Department of Agriculture v.
Moreno, 413 U.S. 528, 93 S.Ct. 2821, 37 L.Ed.2d 782 (1973).
For the reasons stated above, the SED's use of the SAT as a proxy
for high school achievement is too unrelated to the legislative purpose of
awarding academic achievement in high school to survive even the most minimal
scrutiny. The evidence is clear that females score significantly below males on
the SAT while they perform equally or slightly better than males in high
school. Therefore, the SED's use of the SAT as the sole criterion for awarding
Regents and Empire Scholarships discriminates against females and, since such a
practice is not rationally related to the legislative purpose, it
unconstitutionally denies young women equal protection of the laws and must be
enjoined on that ground as well.
IV. Conclusion
Defendants' practice of relying solely upon SAT scores in awarding
Regents and Empire Scholarships deprives young women of the opportunity to
compete equally for these prestigious scholarships in violation of both Title
IX and the Constitution's equal protection clause.ÊÊ Defendants are hereby ordered to discontinue such discriminatory
practices and, instead, to award Regents and Empire Scholarships in a manner
that more accurately measures students' high school achievement.ÊÊ For the present year, the best available
alternative is a combination of grades and SATs.ÊÊ The SAT component is justified, not asa measure of achievement,
but to weight the GPA component.ÊÊ The
Court, however, does not limit the SED's discretion to develop other
alternatives in the future, including a statewide achievement test.
SO ORDERED.
Appendix: Mean SAT Scores for College‑Bound Seniors*
Verbal Math
Males Females Males Females
1988 435 422 498 455
1987 435 425 500 453
1986 437 426 501 451
1985 437 425 499 452
1984 433 420 495 449
1983 430 420 493 445
1982 431 421 493 443
1981 430 418 492 443
ÊÊ
1980 428 420 491 443
1979 431 423 493 443
1978 433 425 494 444
1977 431 427 497 445
1976 433 430 497 446
1975 437 431 495 449
1974 447 442 501 459
1973 446 443 502 460
1972 454 452 505 461
1971 454 457 507 466
1970 459 461 509 465
Ê* 1988 Profile of the SAT
(ETS), P. App. 1, Ex. 7.