Muntaqim v. Coombe Brief in Support of Plaintiff-Appellant and in Support of Reversal on Behalf of Amici Curiae
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February 4, 2005
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Brief Collection, LDF Court Filings. Muntaqim v. Coombe Brief in Support of Plaintiff-Appellant and in Support of Reversal on Behalf of Amici Curiae, 2005. 841356f1-be9a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/1d2a6f61-85f8-45c2-b1c7-f3021d2d8b55/muntaqim-v-coombe-brief-in-support-of-plaintiff-appellant-and-in-support-of-reversal-on-behalf-of-amici-curiae. Accessed November 23, 2025.
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01-7260
In the
United States Court of Appeals
For the Second Circuit
Jalil Abdul Muntaqim, a/k/a Anthony Bottom,
Plaintiff — Appellant,
— v. —
Phillip Coombe, Anthony Annucci, Louis F. Mann,
Defendants — Appellees.
On A ppeal From The U nited States D istrict Court
For The N orthern D istrict Of N ew Y ork
EN BANC BRIEF IN SUPPORT OF PLAINTIFF-APPELLANT JALIL ABDUL
MUNTAQIM, A/K/A/ ANTHONY BOTTOM, AND IN SUPPORT OF REVERSAL, ON
BEHALF OF AMICI CURIAE NAACP LEGAL DEFENSE & EDUCATIONAL FUND,
INC., COMMUNITY SERVICE SOCIETY OF NEW YORK, AND CENTER FOR LAW
AND SOCIAL JUSTICE AT MEDGAR EVERS COLLEGE
Theodore M. Shaw
Director-Counsel
Norman J. Chachkin
Janai S. Nelson
Ryan P. Haygood
Alaina C. Beverly
N aacp Legal Defense & Educational
Fund , Inc .
99 Hudson Street, Suite 1600
New'York, New York 10013-2897
(212) 965-2200
Juan Cartagena
Risa Kaufman
Community Service Society of New York
105 E. 22nd Street
New York, New York 10010
(212) 260-6218
Joan P. Gibbs
Esmeralda Simmons
Center for Law and Social Justice
at Medgar Evers College
1150 Carroll Street
Brooklyn, New York 11225
(718)270-6296
Attorneys for Amici Curiae
CORPORATE DISCLOSURE STATEMENT
Pursuant to Rule 26.1 of the Federal Rules of Appellate Procedure, the NAACP
Legal Defense & Educational Fund, Inc., Community Service Society of New York,
and the Center for Law and Social Justice at Medgar Evers College, by and through
the undersigned counsel, make the following disclosures:
Counsel for Plaintiffs-Appellants, all not-for-profit corporations of the State of
New York, are neither subsidiaries nor affiliates of a publicly owned corporation.
Janai S. Nelson, Esq.
NAACP Legal Defense &
Educational Fund, Inc.
99 Hudson Street, Suite 1600
New York, NY 10013
(212) 965-2237
jnelson@naacpldf.org
l
mailto:jnelson@naacpldf.org
TABLE OF CONTENTS
CORPORATE DISCLOSURE STATEM ENT.......................................................... i
TABLE OF AUTHORITIES............................................................................... ^
INTEREST OF AMICI CURIAE ................................................................................. j
BACKGROUND ................................................................................... 3
INTRODUCTION AND SUMMARY OF THE ARGUM ENT................................5
ARGUM ENT..................................................................................... 7
L Proof Required to Establish A Violation of Section 2
of the VRA (Court’s En Banc Question No. 3 ) ............................................. 7
A. Disparate Impact of New York Election Law §5-106..........................8
B. Totality of the Circumstances T e s t ..................................................... 8
i. Evidence of Discrimination in the Criminal Justice System . . 11
a- Type of Evidence (Court’s En Banc
Question No. 3lait ............................................................ \ \
b- Quantum of Proof (Court’s En Banc
Question No. 3IbB ............................................................20
c- Relevance of Evidence of Discrimination in
Federal and State Criminal Justice System
(Court’s En Banc Question No. 3 tc ) ) ..............................22
II. Additional Senate Factors ........................................................ 23
III. Evidence of Intentional Discrimination in the Enactment of
New York’s Felon Disfranchisement Law s.......................................................26
CONCLUSION .................................................................................................... 29
ii
TABLE OF AUTHORITIES
CASES
Baker v. Pataki.
58 F.3d 814, 816 (2d Cir. 1995), vacated in part. 1996 U.S. App. LEXIS
13133 (2d Cir. 1996)................................................................................. 12> 13
Baker v. Pataki.
85 F.3d 919 (2d Cir. 1996) ...................................................................... 13
Burton v. City of Belle Glade.
178 F.3d 1175 (11th Cir. 1999).................................................................. g
Campaign for Fiscal Equity v. New York
719 N.Y.S.2d 475 (2002), rev'd , 245 A.D.2d 1,
744 N.Y. S.2d 130 (1st Dept. 2002) ............................................. 24
Farrakhan v. Washington
338 F.3d 1009 (9th Cir. 1003), cert, denied. U S
125 S. Ct. 477 (2004)................................................... 777’ ............4 ,9 , 12
Farrakhan v, Washington
No. CS-96-76-RHW (E.D. Wash.) ........................................................3? 4
Goosby v. Town Board of the Town of Hempstead.
180 F.3d 476 (2d Cir. 1999) ................................................. jq
Hayden v. Pataki. 2004 WL 1335921 (S.D.N.Y. June 14, 2004)
(order granting motion for judgment on the pleadings), appeal docketed
No. 04-3886-PR................................................................ 7 ^ 7 7 “ ' 3
Johnson v. Bush
353 F.3d 1287 (11th Cir. 2 0 0 3 ).............................................................. 3> 4
Johnson v. DeGrandv
512 U.S. 997(1994)............................................................................... 9> 10
iii
McCleskev v. Kemp
481 U.S. 279(1987)................................................................................... 20
Muntaqim v. Coomhe.
366 F.3d 102 (2d Cir. 2004) .................................................................... 12
Rodriquez v. Pataki.
308 F. Supp. 2d 346 (S.D.N.Y. 2004), afFd, 125 S. Ct. 627 (2004) . . . . 3
Thornburg v. Gingles
478 U.S. 30 (1986).............................................................. 9, 10, 20, 21, 22
U.S. v. Armstrong.
517 U.S. 456 (1996)................................................................................... 20
CONSTITUTIONS AND STATUTES
N.Y. Const. (1821), art. II, § 2 ................................................................................. 27
N.Y. Const, art. II, § 2 (amended 1894) ..................................................... 28
N.Y Elect. Law §5-106 ..................................................................................... ....
Section 2 of Voting Rights Act, 42 U.S.C. § 1973 .........................................paSsim
S. Rep. No. 97-417 (1982), reprinted m 1992 U.S.C.C.A.N. 177, 179 .........passim
42 U.S.C. § 1973(a).................................................................................................. ... .
U.S. Const, amend. XV ................................................................ 28
OTHER AUTHORITIES
Brief for Plaintiff-Appellant In Banc ........................................................................ ...
Nathaniel Carter, William Stone and Marcus Gould, Reports of the
Proceedings and Debates of the Convention of 1821 at 1QS ..................... 26
iv
Constitutional Convention of 1846, Debates of 1846. at 1033 ........................ 27, 28
Jeffrey Fagan & Garth Davies, Street Stops and Broken Windows:
Terry, Race and Disorder in New York Citv. 28 Fordham Urb L J 457
458-462 (2000) ............................................................................................ ’ 17
Jeffrey Fagan, Valerie West, and Jan Holland, Reciprocal Effects of
Crime and Incarceration in New York City N eighborhoods 30 Fordham
Urb. L. J. 1551 (2 0 0 3 )............................................................................... 18> 19
The Franklin H. Williams Judicial Commission on Minorities, Equal Justice: A
Work in Progress, Five Year Report, 1991-1996 ...................................... 34
Tushar Kansal, The Sentencing Project, Racial Disparity in Sentencing-
A Review of the Literature ......................................................................... 13
Mark Levitan, Community Service Society, A Crisis of Black Male
Employment: Unemployment and Joblessness in New York
City 2003. 2, 6 (2004) ..................................................................................... 25
Manhattan Borough President’s Commission to Close the Health Divide,
Closing The Health Divide: What Government Can Do to Eliminate
Health Disparities Among Communities of Color in New York City
(October 2004)................................................................................. 24
Mason Tillman Associates, Ltd., Report: City of New York
Disparity Study (December 2004),
available at http://www.nvccouncil.info/pdf files/reports/citvnvrpt.pdf. . . 24
James Nelson, New York State Division of Criminal Justice Services,
Disparities in the Processing Felony Arrests in
NYS. 1990-1992 U 995^
Cong. Globe, 41 st Cong. 2d Sess., at 1447-81 ........................................................ 28
14, 15
http://www.nvccouncil.info/pdf_files/reports/citvnvrpt.pdf
New York State Judicial Commission on Minorities, New York
State Judicial Commission on the Courts, Report of the New York State
Judicial Commission on Minorities. Volume Two: The Public and the
Courts. 139-177 (Apr. 1991)............................................................ j
Office of the Attorney General of the State of New York, Civil
Rights Bureau, The New York City Police Department’s “Stop & Frisk”
Practices 0 9 9 9 ) ................................................. y
Cassia Spohn, U.S. Dep't of Justice, Thirty Years of Sentencing
Reform: The Quest for a Racially Neutral Sentencing Process 3 Crim J
427,444-450,475 (2000) ................................................... ’
vi
INTEREST OF AMICI CURIAE
Amici curiae are three non-profit, non-partisan legal organizations with lengthy
histories in advocacy and litigation in the area of voting rights. Amici curiae are also
the attorneys for the plaintiffs in Hayden v. Pataki. a class action brought on behalf
of Black and Latino prisoners, parolees, and community members to challenge New
York State s felon disfranchisement laws on the grounds that these laws
impermissibly deny and dilute the nght to vote of plaintiffs in violation of, inter aha,
the Fourteenth and Fifteenth Amendments to the U.S. Constitution and Section 2 of
the Voting Rights Act of 1965 (VRA). Havden is currently on appeal before this
Court.1
The NAACP Legal Defense and Educational Fund, Inc. (LDF) was founded in
1940 under the leadership of the late Associate Supreme Court Justice Thurgood
Marshall. Its primary purpose is to provide legal assistance to poor African
Americans. LDF has been involved in more cases before the United States Supreme
Court than any other legal organization, except for the U.S. Department of Justice,
including every seminal Supreme Court case on the issue of voting rights. In addition
to serving as co-counsel in Havden. LDF is also co-counsel for the plaintiffs in
Hayden v. Pataki, 2004 WL 1335921 (S.D.N.Y. June 14, 2004) (order granting
motion for judgment on the pleadings), appeal docketed. No. 04-3886-PR (2d Cir
July 13, 2004).
1
Farrakhan v. Washington, No. CS-96-76-RHW (E.D. Wash.), a case brought by
Blacks, Latinos and Native Americans challenging Washington State’s felon
disfranchisement laws. LDF is also a founding member of the Right to Vote
Campaign, a national collaborative of eight organizations seeking to challenge state
felon disfranchisement laws through litigation, legislative action, and public
education.
For more than 160 years, the Community Service Society of New York (CSS)
has worked to improve the lives and enhance the political participation of the poor.
CSS has challenged an array of barriers to and discrimination in voting in New York.
Since 2002 CSS has directly challenged New York laws and policies that impede poor
voters from participating in the political process because of felony convictions. In
addition to serving as co-counsel in Hayden. CSS, along with other civil rights
organizations, was instrumental in changing New York State policies for re
integrating eligible persons with felony convictions to the voting rolls.
The Center for Law and Social Justice (CLSJ) is a unit in the School of
Continuing Education and Community Programs at Medgar Evers College of the City
University of New York. Founded in 1985, CLSJ’s mission is to be a resource for the
liberation of people of African descent in order to achieve equitable distribution of
wealth and resources, as well as cultural, economic, political, and social equity. CLSJ
2
seeks to achieve its mission through research, education, advocacy and litigation
projects. CLSJ is widely recognized as one of the few community-based
organizations in New York City that is actively committed to ensuring the voting
rights of Black people, including incarcerated and formerly incarcerated persons.
CLSJ s work has been pivotal in protecting the right to vote of communities of color
and in determining the City Council, State Assembly and Senate, and U.S.
Congressional districts in New York City. In addition to serving as co-counsel in
Hayden, CLSJ was counsel to intervening Black voters residing in the three New York
counties covered by Section 5 of the VRA in Rodnouez v. Pataki 308 F. Supp. 2d 346
(S.D.N.Y. 2004), affd , 125 S. Ct. 627 (2004).
BACKGROUND
Whether Section 2 of the VRA, as amended, applies to felon disfranchisement
laws is a question that will shape the modem civil rights struggle to ensure equal
access to the franchise for all Americans. The Court’s resolution of this question not
only has direct bearing upon this case, but will be germane to the resolution of at least
three other felon disfranchisement cases currently before federal courts — Johnson
3
- - Bush, Farrakhan v. Washington.3 and Hayden4 — as well as to the development
of Section 2 jurisprudence in general.
In Johnson, a challenge to Florida’s permanent disfranchisement of individuals
with felony convictions who have completed their sentences, the Eleventh Circuit
vacated for reconsideration en banc a panel decision reversing a lower court decision
holding that Section 2 applies to felon disfranchisement laws. In Farrakhan. the Ninth
Circuit upheld the application of Section 2 to felon disfranchisement laws. Farrakhan
w Washington, 338 F.3d 1009, 1019-20 (9th Cir. 1003), cert denied. ___U .S .___ ,
125 S. Ct. 477 (2004). The Supreme Court denied a petition for certiorari and
remanded the case for further proceedings.
Finally, Hayden, a challenge to New York State’s felon disfranchisement laws
on behalf of Blacks and Latinos who are incarcerated or on parole for a felony
conviction, is pending on appeal before this Court from a dismissal on the pleadings.
The Hayden pleadings describe the pervasive history of discrimination that motivated
the enactment of New York’s felon disfranchisement laws. Moreover, the Havden
pleadings set forth the disparate impact of felon disfranchisement laws on New York
4
353 F.3d 1287 (11th Cir. 2003).
No. CS-96-76-RHW (E.D. Wash.).
See supra n . l .
4
State’s Black and Latino communities. Consideration of the Havden plaintiffs’ vote
denial and vote dilution claims under Section 2 was explicitly reserved on appeal,
pending the outcome of the instant case.
INTRODUCTION AND SUMMARY OF THE ARGUMENT
The resolution of the issues raised in this appeal will reflect this country’s
commitment to democracy and the eradication of racially discriminatory practices in
the electoral process. This Court will decide whether voting eligibility requirements
namely felon disfranchisement laws — that disparately impact racial minorities
may be challenged under legislation specifically enacted to rid this country of
discrimination in the electoral arena.5 As a threshold matter, Amici submit that the
VRA unequivocally applies to felon disfranchisement laws such as N.Y Elect. Law
§5-106 (hereinafter “§5-106”). Moreover, Amici assert that Congress’ power to
legislate against such practices where they yield racially disparate results is firmly
grounded in the Fourteenth and Fifteenth Amendments to the United States
Constitution. For purposes of this brief, however, we focus upon the specific
According to a 2005 report by the Sentencing Project, 4.7 million, or one in
forty-three adults, have currently or permanently lost their voting rights because of
felony convictions. Of that number, 1.4 million or 13 percent are Black men, a rate
seven times the national average. Given current rates of incarceration, three in ten of
the next generation of Black men can expect to be disfranchised at some point in their
lifetime an eventuality that, if allowed to occur, places Black people’s right to vote
and to elect representatives of their choice on a path to extinction.
5
questions posed by this Court in its order granting rehearing en banc regarding the
nature and quantum of proof required to support a challenge to felon disfranchisement
laws under Section 2 of the VRA (Court’s En Banc Question No. 3).
Like other Section 2 challenges, claims regarding the racially disparate impact
of felon disfranchisement laws — whether in the context of vote dilution or vote
denial are governed by the totality of the circumstances test articulated in Section
2 jurisprudence since the 1982 amendments to the VRA. Once the disparate impact
of a voting practice, procedure or qualification is established, the totality of the
circumstances test requires courts to consider various external and contextual factors
that interact with the electoral mechanism at issue. The most salient of these factors
in a felon disfranchisement challenge is the extent to which racial bias in the criminal
justice system interacts with the disfranchisement law to create the racially disparate
impact. Like any other factor considered within the totality of the circumstances, bias
in the criminal justice system is not measured through a qualitative or quantitative
formula, but rather involves a probing assessment of the nature, magnitude, and extent
of the bias, along with consideration of other relevant factors.
As demonstrated below, there are several objective measures of bias within the
criminal justice system in New York State, some of which have been analyzed in
governmental reports and data. Plaintiff should be allowed an opportunity to marshal
6
such evidence and have it weighed by the district court as part of the totality of the
circumstances analysis prescribed by the law of this Circuit and Section 2
jurisprudence generally. We, therefore, urge the Court not only to affirm the breadth
of the protections afforded by Section 2, but to establish a flexible standard by which
to guide future felon disfranchisement jurisprudence.
ARGUMENT
I. Proof Required to Establish A Violation of Section 2 of the VRA (Court’s
En Banc Question No. 3)
In its order granting rehearing en banc, this Court posed specific questions
about the proof required to support a felon disfranchisement challenge under Section
2 of the VRA. While these questions are framed in the context of vote dilution, they
are equally relevant to an evaluation of Plaintiff s vote denial claim, which is the only
claim being pursued in his en banc appeal.6 Indeed, the totality of the circumstances
Brief for Plaintiff-Appellant jn Banc at 3. As described above. Amici represent
plaintiffs in Hayden, a felon disfranchisement challenge currently on appeal before
this Court, which raises, inter aha, a vote dilution claim under the VRA. The vote
dilution claim, which specifically challenges the erosive effects of §5-106 on the
voting strength of Black and Latino communities, is brought on behalf of Black and
Latino registered voters in those communities. These individuals undeniably have
standing to pursue a vote dilution claim under Section 2 of the VRA given their
allegation that §5-106 denies them an equal opportunity to participate in the political
process in New York State because of the disproportionate disfranchisement of Blacks
and Latinos under the statute.
Because the vote dilution claim is no longer before the Court in the instant
matter, Amici respectfully submit that any decision rendered by this Court should
7
analysis required under Section 2 applies to both vote denial and vote dilution claims,
although, as discussed below, the factors most relevant to the inquiry will depend on
the electoral procedure at issue, the specific facts of the case, and the nature of the
violation.
A. Disparate Impact of N.Y. Elect. Law §5-106
As an initial matter, Section 2 s application is triggered upon sufficient
allegations of disparate impact, and relief under the statute is appropriate upon a
showing that the electoral mechanism at issue is either intentionally discriminatory or
has a discriminatory result on account of race. See 42 U.S.C. § 1973(a). In the instant
case, Plaintiff has alleged facts and statistical evidence of the racially disparate impact
of §5-106 sufficient to trigger application of the “results” test of Section 2.
The racially disparate impact of §5-106 is starkly demonstrated by the fact that
a staggering 80 ̂ or more of the persons denied the right to vote under the statute are
Black or Latino. Blacks comprise over 50% of the disfranchised population in New
York State and Latinos comprise approximately 30% of the same, despite the fact that,
collectively, Blacks and Latinos comprise only 31% of the state population. These
numerical truths demonstrate beyond cavil the disparate impact of §5-106.
B. Totality of the Circumstances Test
reserve for further inquiry whether a vote dilution claim may be pursued under the
8
Section 2 of the VRA prohibits the use of any “voting qualification or
prerequisite to voting or standard, practice, or procedure . . . which results in a denial
or abridgement of the right of any citizen of the United States to vote on account of
race or color.” 42 U.S.C. § 1973(a). The statute expressly requires courts to assess
the “totality of the circumstances,” 42 U.S.C. § 1973(b), to determine whether “a
certain electoral law, practice, or structure interacts with social and historical
conditions to cause an inequality in the opportunities enjoyed by black and white
voters to elect their preferred representatives.” Thornburg v. Gjngles 478 U.S. 30,
47 (1986); see also Johnson v. DeGrandv 512 U.S. 997, 1010 n.9 (1994). This
totality of circumstances analysis applies to both vote denial and dilution claims. 42
U.S.C. § 1973; S. Rep. No. 97-417, at 30 (1982), reprinted in 1992 U.S.C.A.N.N. 177,
179 (hereinafter “S. Rep.”) (“Section 2 remains the major statutory prohibition of all
voting rights discrimination”); Gingles, 478 U.S. at 42-46; Burton v. City o f R P11P
Glade, 178 F.3d 1175, 1197-98 ( 11th Cir. 1999); Farrakhan. 338 F.3d at 1015 n.l 1.
The Senate Judiciary Committee report (hereinafter “Senate Report”) lays out
a broad, non-exclusive list of factors that “typically may be relevant to a §2 claim” in
assessing whether a VRA violation has occurred (hereinafter “Senate factors”). Id
at 44; see S. Rep. at 28-29 (listing factors). However, the Supreme Court has
recognized that while the Senate factors provide guidance for a totality of
9
circumstances analysis, they are “neither comprehensive nor exhaustive.” Gingles.
478 U.S. at 45. Indeed, no particular or specific number of factors must be proven to
establish a Section 2 violation, id ; S. Rep. at 29, and courts are free to evaluate other
factors to determine whether a challenged electoral procedure violates Section 2. S.
Rep. at 207. The factors most relevant to the court’s analysis will depend on the
electoral procedure at issue, the nature of the claim, and the specific facts of the case.
See id at 206; see also Goosby v. Town Bd. of the Town ofHempsteaH 180 F.3d 476,
492 (2d Cir. 1999) (“[T]he ultimate conclusions about equality or inequality of
opportunity were intended by Congress to be judgments resting on comprehensive,
not limited, canvassing of relevant facts.”) (quoting Johnson. 512 U.S. at 1011).
Having put forth evidence of the significant disparate impact of §5-106,
Plaintiff may proffer additional evidence relevant to whether New York State’s felon
disfranchisement laws result in discrimination on account of race. One clearly
pertinent factor in this inquiry is evidence of racial disparities and bias in New York’s
criminal justice system. In addition, Plaintiff may show other evidence of official
discrimination that touches on the right of Blacks and Latinos who are incarcerated
or on parole for a felony conviction to participate in New York’s political process,
including, inter aha, evidence of intentional discrimination in the enactment of New
York’s felon disfranchisement statute; evidence of the effects of discrimination in the
10
areas of education, employment, health, and housing; and evidence of the tenuousness
of the felon disfranchisement statute to any legitimate State policy. Consistent with
the flexible approach mandated by Section 2, however, none of these factors is singly
dispositive, and the weight given to each is measured by its relevance to Plaintiffs
claim.7
i. Evidence of Discrimination in the Criminal Justice System
a- l ype of Evidence (Court’s En Banc Question No 3(a))
Proof of racially disparate outcomes in the underlying criminal justice system
is indispensable to the totality of circumstances analysis and a successful felon
disfranchisement challenge under the VRA. However, no court has yet explicitly
addressed the types and quantum of evidence necessary to establish that racial bias in
a criminal justice system operates to deny an equal opportunity to vote in Section 2
challenges to felon disfranchisement laws.
Evidence of racial disparities in New York’s criminal justice system that
contribute to §5-106’s racially disparate impact fits squarely within the analysis of
the Senate factors. For example, the Senate Report expressly notes the relevance of
While the totality of circumstances test applies equally to vote denial and vote
dilution claims, the factors relevant to the court’s analysis may vary depending on
which type of claim is at issue and the specific facts involved. Amici thus propose a
standard for a vote denial challenge to felon disfranchisement laws consistent with
Section 2 jurisprudence.
11
the extent to which members of the minority group in the state or political
subdivision bear the effects of discrimination in such areas as education, employment
and health, which hinder their ability to participate effectively in the political
process.” S. Rep. at 29. This factor clearly contemplates proof of discrimination in
a variety of areas to the extent that such discrimination limits equal opportunity to
participate in the political process. See Farrakhan. 338 F.3d at 1020.
Indeed, in Farrakhan, the Ninth Circuit held that the totality of circumstances
test “requires the court to consider the way in which the disfranchisement law interacts
with racial bias in Washington’s criminal justice system to deny minorities an equal
opportunity to participate in the state’s political process.” 338 F.3d at 1014 (emphasis
added). The court held that “a causal connection may be shown where the
discriminatory impact of a challenged voting practice is attributable to racial
discrimination in the surrounding social and historical circumstances.” Id at 1019.
The racially discriminatory evidence that the lower court in Farrakhan found
“compelling,” id at 1020, consisted of statistical evidence regarding disparities in
arrest, bail and pre-trial release rates, charging decisions, and sentencing outcomes.
Id at 1013.8
8
In the instant case, the Court’s prior panel decision recognized that racial
disparities m sentencing in New York were at the heart of Plaintiff s allegations that
§5-106 discriminated against Blacks and Latinos. Muntaqim v. Coomhe 366 F.3d
102, 105 n.3 (2d Cir. 2004). Moreover, in the second appeal of Baker v. Pataki this
12
To this end, the extent to which race, ethnicity and sentencing are correlated is
a relevant consideration. In 2000 the U.S. Department of Justice sponsored a major
national review of the research addressing race and sentencing that included 32 studies
of sentencing decisions in state courts and 8 studies at the federal court level using
data from the 1980s and 1990s. These studies revealed that race and ethnicity are
strong determinants in sentencing.9
While Plaintiff should have the benefit of full discovery on remand, a number
of prominent and well-known studies have analyzed the racial bias prevalent in New
York’s criminal justice system with respect to some of these factors. For example, the
1991 report of the New York State Judicial Commission on Minorities10 cited a report
Court was prepared to remand the case for further factual development on the strength
of allegations regarding, inter aha, the racial composition of the prison population and
racially discriminatory sentencing in the courts. 58 F.3d 814 816 (2d Cir 1995)
vacated in part, 1996 U.S. App. LEXIS 13133 (2d Cir. 1996); see also Baker v Pataki’
85 F.3d 919, 934-35 (2d Cir. 1996) (Feinberg, J.).
Cassia Spohn, U.S. Dep’t of Justice, Thirty Years of Sentencing Reform- The
Quest for a Racially Neutral Sentencing Process. 3 Crim. J. 427,444-450,475 (2000),
^ d a b l e at http://www.ncjrs.org/cnminaljustice2000/vol_3/03i.pdf (hereinafter
Spohn Review”). Three of the studies reviewed investigated sentencing decisions
by New York State courts. \ j l at 444-450; accord Tushar Kansal, The Sentencing
ProJect’ Eacial Dispantv in Sentencing: A Review of the Literaturr fr available at
http://www.sentencingproject.org/pdfs/dispanty.pdf (Jan. 2005) (“The most recent
generation of evidence suggests that while racial dynamics have changed over time,
race still exerts an undeniable presence in the sentencing process.”).
New York State Judicial Commission on the Courts, Repon of the New York
State Judicial Commission on Minorities. Volume Two: The Public and the CrmrtQ
13
http://www.ncjrs.org/cnminaljustice2000/vol_3/03i.pdf
http://www.sentencingproject.org/pdfs/dispanty.pdf
on bail disparities, which concluded that “race was found to affect both the decision
to release the defendant on bail and the amount of bail offered.”11 The Commission
also cited the New York State Committee on Sentencing Guidelines’s report
documenting significant differences in sentencing that turned on race.12 Each of these
reports firmly suggests that there is evidence of racial bias in many areas of the
criminal justice system that adversely impacts Blacks and Latinos.
Moreover, in 1995 the New York State Division of Criminal Justice Services
issued an empirical study of nearly 300,000 adult felony arrests addressing a number
of factors that resulted in the disproportionate representation of Blacks and Latinos
in New York State prison.13 Specifically, this report found: (1) statistically significant
differentials in detention rates for minorities and whites;14 (2) that minorities were
sentenced to prison more often than comparably situated whites;15 * and (3) that whites
139-177 (Apr. 1991).
14 at 142 (citing Nagel, The Legal/Extra-Leeal Controversy: Judicial Derisions
in Pretrial Release. 17 Law & Soc’y Rev. 481 (1983)).
14 at 164 (citing New York State Committee on Sentencing Guidelines, New
York State Sentencing Patterns: An Analysis of Disparity (1985)).
James Nelson, New York State Division of Criminal Justice Services,
Disparities in the Processing Felony Arrests in NYS. 1990-1997 MQQM (hereinafter
“Nelson Report”).
14 14 at vi.
13 14 at viii.
14
were sentenced to probation more than comparably situated minorities.16 Indeed,
statewide, for certain categories of defendants, one in five minority defendants
sentenced to prison would have been sentenced to a different sanction if they were
sentenced comparably to whites.17 Additionally, among certain probation-eligible
minority defendants, one in seven sentenced to prison in New York City and one in
three sentenced to pnson in the rest of the state would have been sentenced to a
different sanction if processed as similarly situated Whites.18 Relying on the Nelson
Report, the Franklin Williams Judicial Commission observed that “rampant racism
still infects our criminal justice system.”19
In 1999 the New York State Attorney General issued an historic report on stop
and frisk practices by the New York City police force which included a quantitative
analysis of nearly 175,000 “stops” in the City.20 * The data analyzed by the Attorney
General demonstrate that the decisions regarding stops in the City are marked by
racial disparities: Even when controlling for population and crime, the differences in
w Id at 27.
18 Id at 43.
The Franklin H. Williams Judicial Commission on Minorities, Equal Justice:
A Work in Progress, Five Year Report, 1991-1996 34 (1997).
Office of the Attorney General of the State of New York, Civil Rights Bureau,
The New York City Police Department’s “Stop & Frisk” Practices (1999)
15
stop rates for Blacks versus Whites and Latinos versus Whites remain statistically
significant. Blacks, who constitute only 25.6% of the City’s population, comprise
of all persons stopped” by the New York Police Department’s Street Crime
Unit.22
Indeed, even when it controlled for racial demographics, the Attorney General’s
report concluded that Blacks and Latinos are specifically targeted by the police in
areas where they comprise the smallest proportion of the population. In those
precincts, Blacks were stopped at a rate ten times greater than their percentage of the
overall population, and Latinos at a rate more than three times greater. Whites, by
contrast, were stopped at only half the rate of their population.23 Higher crime rates
in minority communities, as measured by race-specific arrest counts, also did not
explain why Blacks and Latinos are stopped at higher rates than Whites: “[A]fter
accounting for the effect of differing crime rates, Hispanics were ‘stopped’ 39% more
often than whites across crime categories. . . . [Bjlacks were ‘stopped’ 23% more
often than whites, across all crime categories.”24
Id at 121.
Id. at viii.
23 Id at 106.
Id. at ix-x.
16
Moreover, the breadth and depth of these empirical studies dwarf the sample
sizes in most national literature.25 Professor Jeffrey Fagan, Professor of Law and
Public Health at Columbia University, has used these data to study issues of mass
incarceration, policing, crime and health in New York City neighborhoods. In one
study,26 he examines “whether, after controlling for disorder, the city’s stop and frisk
policy is, in fact, a form of policing that disproportionately targets racial minorities”27 28
and found “little evidence to support claims that policing targeted places and signs of
physical disorder. Instead, “stops of citizens were more often concentrated in
minority neighborhoods characterized by poverty and social disadvantage.”29 As
Fagan notes, consistent with the findings of the Attorney General, when objective
measures of social disorder were analyzed, such as physical characteristics of
neighborhoods, stops had less to do with order-maintenance policing and more to do
with race and ethnicity.30 Accordingly, there is ample data that could be presented on
25 See Spohn Review, supra, at 444-452.
26 Jeffrey Fagan & Garth Davies, Street Stops and Broken Windows: Tprrv Rare
and Disorder in New York Citv. 28 Fordham Urb. L. J. 457, 458-462 (2000).
27 Id at 463.
28 Id
29 Id at 463-464.
30 Id at 489.
17
remand demonstrating that police practices in New York — the entry point to
prosecution in the criminal justice system — are racially biased.
The pattern of prosecution and incarceration in the City’s neighborhoods is
another relevant area of inquiry. Analyzing incarceration data in New York City in
five waves from 1985 to 1996, Fagan and his colleagues geocoded data on prison
admissions by the residential address of the incarcerated to show the spatial
concentration of incarceration.31 The study found that arrests and incarceration have
long been concentrated in only a few of the poorest neighborhoods, accounting for a
majority of New York’s prisoners and suggests that this concentration reflects a
correlation between race and policing.32 Moreover, the spatial concentration of
incarceration was independent of crime rates, including during a period from 1990 to
1996 when felony crimes declined by almost half across the City.33
These specific community impacts are so pervasive in minority neighborhoods
that Fagan characterizes them as endogenous or “grown from within, seeping into and
Jeffrey Fagan, Valerie West, and Jan Holland, Reciprocal F.ffects of Crime anH
Incarceration in New York City Neighborhoods. 30 Fordham Urb. L. J. 1551 (2003).
The sample in this study included 25% of all prison admissions and 5% of all jail
admissions in five waves, yielding annual samples of two to four thousand in the
former and three to four thousand in the latter. Id at 1567.
32 14
33 Id at 1569.
18
permanently staining the social and psychological fabric of neighborhood life in poor
communities in New York. 34 In the same vein, felon disfranchisement has an
identifiable community impact because of the excessive concentration of incarcerated
persons from predominantly Black and Latino neighborhoods who are ensnared by a
racially-flawed criminal justice system.
Thus, there is a significant body of research already available that provides a
substantial foundation for an analysis of Plaintiffs allegations concerning
discrimination in New York’s criminal justice system and its relation to §5-106’s
disparate impact on Blacks and Latinos. It is important to note that the studies that
have focused on sentencing outcomes (the Nelson Report and the research review by
Prof. Spohn, above) all control in some way for the seriousness of the offense and the
defendant s prior criminal history in order to assess how significantly race and
ethnicity factor into sentencing outcomes. The variables included in the important
work on policing practices (the Attorney General’s report and the report of Fagan, et
al., on stop and frisk practices) all control, at a minimum, for population and incidence
of crime to assess the significance of race and ethnicity in these discretionary
decisions by the police.
Id at 1589.
19
b- Quantum of Proof (Court’s En Banc Question No 3(b))
The appropriate quantum of proof of bias in the criminal justice system
sufficient to prevail under Section 2 in a felon disfranchisement challenge must be
grounded in the seminal case of Thornburg v. Gingles. and its progeny. These cases
have interpreted the amended Section 2 to create a results test that requires a searching
analysis of all relevant evidence concerning whether minority voters’ opportunity to
participate in the political process is effectively limited on the basis of race or
ethnicity.35
Although felon disfranchisement implicates issues related to criminal justice,
it is important to distinguish this civil challenge from the standards of proof required
in criminal proceedings and appeals. A vote denial plaintiff in a felon
disfranchisement challenge need not offer proof of discrimination in the criminal
justice system sufficient to overturn her criminal conviction or a sentencing decision.
To be sure, were Plaintiff challenging his conviction or sentence, he would have to
meet such standards and show ultimately that these decisions were made in
furtherance of a discriminatory purpose.36 This Section 2 challenge, however, is
35 Gingles. 478 U.S. at 62-63.
See McCleskey—v.—Kemp, 481 U.S. 279 (1987) (requiring proof of
discriminatory intent in an Equal Protection challenge to a death sentence); see also
U.S. v. Armstrong, 517 U.S. 456, 465 (1996) (summarizing case law requiring that
for selective prosecution claim, defendant must “demonstrate that the federal
20
simply not that case. Instead, Plaintiff asks this Court to examine the application of
a statute that unquestionably has a disparate impact to determine whether his right to
vote has been unlawfully denied. Success or failure on this claim will have no effect
on his conviction, the length of his sentence, or his chances for parole.
Section 2 jurisprudence also cautions against requiring the heightened
evidentiary standard of discriminatory intent used in criminal cases that focus on the
racial bias of the criminal justice apparatus. For example, under Gingles. evidence of
racially polarized voting is now a threshold evidentiary showing in all vote dilution
challenges to at-large electoral schemes. However, the plurality opinion in Gingles
rejected the proposition that racially polarized voting is present only when voting
behavior is caused by race, that is, when the race of Black voters is the determining
cause in their voting behavior and, conversely, when voting behavior by Whites is
explained primarily by their racial hostility to candidates preferred by Blacks.37
Instead, racially polarized voting is a function of patterns that are merely correlated
with the race of the voter:
[T]he reason why black and white voters vote differently is irrelevant to the
central inquiry of Section 2. . . . It is the difference between the choices made
prosecutorial policy . . was motivated by a discriminatory purpose’”).
37 Id at 63, 71-72.
21
by blacks and whites — not the reasons for that difference — that results in
blacks having less opportunity than whites to elect their preferred
representatives.38
The plurality in Gingles noted that requiring that racial intent or racial hostility be the
cause of racially polarized voting asks the wrong question under Section 2 and
converts the result standard Congress created into an intent standard that it sought to
undo.39
Similarly, Amici submit that the quantum of proof required in felon
disfranchisement challenges is a showing that race is significantly correlated to the
outcomes produced by the criminal justice system. For these reasons, this Court
should remand this case for further discovery with instructions to the district court to
re-open discovery and apply the totality of circumstances test to all of the evidence of
discrimination in the criminal justice system that may be marshaled by the Plaintiff,
in accordance with the mandates of Section 2.
c- Relevance of Evidence of Discrimination in Federal and
State Criminal Justice System (Court s En Banc Question
No. 3(c))
This Court’s query about whether to distinguish between the state and federal
criminal justice systems in weighing statistical and other evidence of racial
Id. at 63 (emphasis in original).
14 at 73. The Supreme Court has never disapproved the plurality’s approach.
22
discrimination should be answered in the negative. First, the factors contributing to
the discrimination in each system — including the existence of joint state and federal
policing task forces — are sufficiently commingled as to make any distinction
between the two systems irrelevant for purposes of Section 2’s totality of the
circumstances analysis. Moreover, it is clear that Section 2, as the “major statutory
prohibition of all voting rights discrimination,” 42 U.S.C. § 1973; S. Rep. at 30, was
enacted to stamp out racial discrimination in voting without regard to where it is
found.
II. Additional Senate Factors
In addition to evidence of discrimination in the criminal justice system, the
district court may consider other Senate factors in a Section 2 totality of the
circumstances analysis of felon disfranchisement laws. For example, the Senate factor
No. 5 is particularly relevant in this regard, as it considers the extent to which
members of the minority group in the state or political subdivision bear the effects of
discrimination in such areas as education, employment and health, which hinder their
ability to participate effectively in the political process.
A substantial body of evidence shows that Blacks and Latinos in New York
State and in New York City, in particular, bear the effects of discrimination in
education, health, housing and employment which hinder their ability to participate
23
in the political process. For example, Blacks and Latinos in New York City have been
found to be disadvantaged with respect to public education funding and, consequently,
denied a minimally adequate education.40
Government sponsored and scholarly reports have also found that Blacks and
Latinos in New York, especially in New York City, continue to suffer significant
disadvantages in housing, health, and public and private employment. See, e.g..
Manhattan Borough President’s Commission to Close the Health Divide, Closing The
Health Divide: What Government Can Do to Eliminate Health Disparities Am ong
Communities of Color in New York City (October 2004). In addition, a recent New
York City “disparity study” conducted under the supervision of Amicus CLSJ and the
DuBois-Bunche Center for Public Policy at Medgar Evers College for the New York
City Council identified statistically significant disparities between minority and white-
owned businesses in the City s award of prime contracts for construction, architecture
and engineering, professional services, standard services, and goods. See Mason
Tillman Associates, Ltd., Report: City of New York Disparity Study (December
See, Campaign for Fiscal Equity v. New York 7 1 Q N V S 9H47S (2002),
rev_d , 245 A.D.2d 1, 744 N.Y. S.2d 130 (1st Dept. 2002), a ff d in part and modified
mjiart, 100 N.Y.2d 893, 801 N.E.2d 326, 769 N.Y.S.2d 106 (2003) (holding that New
York State violated the state constitutional mandate to make available a “sound basic
education to all the children of the state by establishing an education financing
system that failed to afford New York City’s public school students, 84% of whom
are “racial minorities,” the opportunity for a meaningful high school education).
24
2004), available at http://www.nyccouncil.info/pdf_files/reports/citynyrpt.pdf.
Further, in 2003, according to a study undertaken by Amicus CSS, the citywide
unemployment rate for Blacks and Latinos was respectively 12.9 percent and 9.6
percent, as compared to 6.2 percent for Whites. Indeed, 50% of all Black males in that
year were unemployed. Mark Levitan, Community Service Society, A Crisis of Black
Male Employment: Unemployment and Joblessness in New York City 2003 2, 6
(2004). These disparities in educational and employment opportunities undoubtedly
contribute to the concentration of minority citizens in impoverished neighborhoods
which, as suggested above, become the focus of racially skewed police practices
leading to the dramatic impact of New York’s felon disfranchisement statute.
Moreover, Senate factor No. 9 concerns “[wjhether the policy underlying the
state or political subdivision’s use of such voting qualification, prerequisite to voting,
or standard, practice or procedure is tenuous.” Under the totality of circumstances
analysis, this Senate factor No. 9 would require a court to consider, among other
things, the extent to which felon disfranchisement serves an effective rehabilitative,
retributive, deterrent, and/or punitive function.
The above factors represent a relevant but not exhaustive list of factors for the
district court to consider in assessing whether felon disfranchisement results in
discrimination based on race.
25
http://www.nyccouncil.info/pdf_files/reports/citynyrpt.pdf
III. Evidence of Intentional Discrimination in the Enactment of New York’s
Felon Disfranchisement Laws
There is also considerable evidence that §5-106 was specifically enacted with
the intent to discriminate against Blacks. If presented below, that evidence should
also be considered under the totality of circumstances analysis by the court below on
remand.
As alleged in Hayden, the historical origins of New York’s felon
disfranchisement provisions are rooted in the Constitutional Convention of 1821__
a convention dominated by an express, racist purpose to deprive Blacks of the right
to vote. At that convention, the question of Black suffrage sparked heated debates,
during which delegates expressed their conviction that Blacks, as a “degraded” people,
and by virtue of their natural inferiority, were unequipped and unfit to participate in
the democratic process. Nathaniel Carter, William Stone and Marcus Gould, Reports
of the Proceedings and Debates of the Convention of 1821. at 198 (Albany: E. & E.
Hosford, 1821) (hereinafter “Debates of 1 8 2 1 One delegate to the 1821 convention
instructed his colleagues to “[ljook to your jails and penitentiaries. By whom are they
filled? By the very race, whom it is now proposed to cloth with power of deciding
upon your political rights.” Id at 191. Another delegate urged the other delegates to
[sjurvey your prisons your alms houses — your bridewells and your penitentiaries
and what a darkening host meets your eye! More than one-third of the convicts and
26
felons which those walls enclose, are of your sable population.” kb at 199.
Against this backdrop of racial hostility, the delegates to the 1821 convention
adopted a provision that permitted the legislature to exclude from the franchise those
“who have been, or may be, convicted of infamous crimes.” N. Y. Const. (1821), art.
II, § 2. As is made manifest by their own language, the delegates to the 1821
convention not only understood that enacting the felon disfranchisement provision
would result in the disproportionate disfranchisement of the “sable” or Black
population, but actively sought to preserve the franchise for Whites only: “[A]ll who
are not white ought to be excluded from political rights.” Debates of 1821. at 183.
Another delegate summed up the goals of the 1821 Constitutional Convention — to
exclude Blacks from “any footing of equality in the right of voting.” frL at 180.
Delegates to subsequent conventions continued to advocate for the denial of
equal suffrage rights to Blacks, including the 1846 Constitutional Convention, at
which one delegate pronounced that “[Blacks] were an inferior race to whites, and
would always remain so.” Constitutional Convention of 1846, Debates of 1846. at
1033 (hereinafter Debates of 1846 ). Moreover, the delegates were well aware of
and sought the same success as other slaveholding states in excluding Blacks from the
ballot. As one delegate suggested to the convention, “in nearly all the western and
southern states . . . the [Bjlacks are excluded . . . would it not be well to listen to the
27
decisive weight of precedents furnished in this case also?” Id at 181.
New York’s explicitly racially discriminatory suffrage requirements were
firmly in place until the passage of the Fifteenth Amendment, which sought to finally
bring equal manhood suffrage to New York. See U.S. Const, amend. XV. However,
two years after the passage of the Fifteenth Amendment, which New York attempted
to withdraw its ratification of, Cong. Globe, 41st Cong. 2d Sess., at 1447-81, an
unprecedented committee convened to amend the New York State Constitution’s
disfranchisement provision to require the State Legislature, at its following session,
to enact iaws excluding persons convicted of infamous crimes from the franchise. See
N Y- Const, art. II, § 2 (amended 1894). Until that point, enactment of such laws had
been permissive.
The corrosive effects of New York’s purposefully discriminatory felon
disfranchisement law still reverberate today in the incontrovertible disparate impact
of New York State Election Law § 5-106 on Blacks and Latinos. The pervasive
pattern of historical intentional discrimination against Blacks in voting in New York,
including repeated explicit statements by legislators about Blacks’ biological unfitness
for suffrage and, their perceived criminality, as well as the codification of mandatory
disfranchisement during an unprecedented special session at a time when overt denial
of the franchise to Blacks was newly outlawed by the Fifteenth Amendment provide
28
additional evidentiary support for a conclusion that Section 5-106 violates Section 2
of the VRA.
For the foregoing reasons, this Court should hold that Section 2 of the VRA can
constitutionally be applied to New York’s felon disfranchisement statute that results
m the denial of the nght to vote on account of race, and should reverse the district
court s grant of summary judgment with instructions to reopen discovery and evaluate
Plaintiff s claims within the totality of circumstances.
CONCLUSION
Respectfully submitted,
Theodore M. Shaw Juan Cartagena
Risa Kaufman
Community Service Society of N ew
York
105 E. 22nd Street
New York, New York 10010
(212) 260-6218
Director-Counsel
Norman J. Chachkin
Janai S. Nelson
Ryan P. Haygood
Alaina C. Beverly
N aacp Legal D efense & Educational
Fu n d , In c .
99 Hudson Street, Suite 1600
New York, New York 10013-2897
(212) 965-2200
Joan P. Gibbs
Esmeralda Simmons
Center for Law and Social Justice
at Medgar Evers College
1150 Carroll Street
Brooklyn, New York 11225
(718)270-6296
Attorneys for Amici Curiae
29
RULE 29(d) CERTIFICATE OF COMPLIANCE
The undersigned hereby certifies that this brief complies with the type-volume
limitations of Rule 32(a)(7)(B) of the Federal Rules of Appellate Procedure. Relying
on the word count of the word processing system used to prepare this brief, I hereby
represent that the brief of the NAACP Legal Defense & Educational Fund, Inc.,
Community Service Society of New York, and the Center for Law and Social Justice
at Medgar Evers College for Plaintiff-Appellant contains 6,772 words, not including
the corporate disclosure statement, table of contents, table of authorities, and
certificates of counsel, and is, therefore, within the 7,000 word limit set forth under
Fed. R. App. P. 29(d).
Janai S. Nelson, Esq.
NAACP Legal Defense &
Educational Fund, Inc.
99 Hudson Street, Suite 1600
New York, NY 10013
(212) 965-2237
jnelson@naacpldf.org
Dated: February 4, 2005
mailto:jnelson@naacpldf.org
CERTIFICATE OF SERVICE
I certify under penalty of peijury pursuant to 28 U.S.C. § 1746 that, on
February 4, 2005,1 caused two true and correct copies of the foregoing En Banc
Brief in Support of Plaintiff-Appellant Jalil Abdul Muntaqim, a/k/a Anthony
Bottom, in Support of Reversal, on Behalf of Amici Curiae NAACP Legal Defense
& Educational Fund, Inc., Community Service Society of New York, and Center
for Law and Social Justice at Medgar Evers College, to be served via United States
Postal Service priority mail, postage prepaid, to the following attorneys:
Jonathan W. Rauchway Elliot Spitzer
1550 Seventeenth Street, Suite 500 New York, New York 10271-0332
Denver, Colorado 80202
William A. Bianco
Gale T. Miller
Davis, Graham & Stubbs, LLP
York
120 Broadway - 24th Floor
Attorney General fo r the State o f New
J. Peter Coll, Jr.
Orrick, Herrington & Sutcliffe,
LLP
666 5th Avenue
New York, New York 10013-0001 General
Appeals and Opinions Bureau
The Capitol
Albany, New York 12224
Julie M. Sheridan
Assistant Solicitor General
Daniel Smirlock
Deputy' Solicitor General
New Y ork State Office of the Attorney
Attorneys fo r Plaintiff-Appellant
Counsel for Defendants-Appellees
NAACP Legal Defense &
Educational Fund, Inc.
99 Hudson Street, Suite 1600
New York, NY 10013
jnelson@naacpldf.org
mailto:jnelson@naacpldf.org