United States v. Osorio Brief Amici Curiae
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August 10, 1992

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Brief Collection, LDF Court Filings. United States v. Osorio Brief Amici Curiae, 1992. a4b122b2-c79a-ee11-be37-000d3a574715. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/206de5ab-5a46-48c6-9d5e-39252c39127c/united-states-v-osorio-brief-amici-curiae. Accessed August 19, 2025.
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IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF CONNECTICUT UNITED STATES OF AMERICA V. LUIS COLON OSORIO ) ) ) ) ) ) ) ) ) ) Cr. No. 2:9200032 (TFGD) BRIEF OF THE NAACP LEGAL DEFENSE AND EDUCATIONAL FUND, INC. AND NATIONAL LAWYERS GUILD AS AMICI CURIAE Respectfully submitted, JULIUS L. CHAMBERS (JC-3361) CHARLES S. RALSTON (CR-0391) NAPOLEON B. WILLIAMS, JR. (NW-9685) 99 Hudson Street, 16th Floor New York, NY 10013 (212) 219-1900 Attorneys for Amicus Curiae NAACP LEGAL DEFENSE AND EDUCATIONAL FUND, INC. JOHN BRITTAIN (CT 10678) 65 Elizabeth Street Hartford, CT 06105 (203) 241-4664 Attorney for Amicus Curiae NATIONAL LAWYERS GUILD TABLE OF CONTENTS Interest of Amici Curiae ..................................... 1 Argument ...................................................... 2 I. The evidence in this case establishes a violation of the federal jury selection act . . . . 2 II. The facts established by defendants show a violation of the sixth amendment to the constitution ....................................... 10 C o n c l u s i o n .......................................................16 Table of A u t h o r i t i e s ............................................ii i TABLE OF AUTHORITIES Cases: Pages: Alexander v. Louisiana, 405 U.S. 625 (1972)............... 1, 10 Ballard v. United States, 329 U.S. 187, 192 (1946) ...........4 Duren v. Missouri, 439 U.S. 357, (1979) ......... 10, 11, 13, 15 Glasser v. United States, 315 U.S. 60, 86 (1942) .... 3 , 4 Holland v. Illinois, 493 U.S. 474, 478-81 (1990) ........ 8 Mireles v. Turnrose, Civ. No. H-85-926 (PCD) ................... 14 Neal V . Delaware, 103 U.S. 370, 397 (1881) ................... 9 Patton v. Mississippi, 332 U.S. 463, 467-68 (1947) ...........9 Rabinowitz v. United States, 366 F.2d 34 44-55 (5th Cir. 1966) ..................................... 4, 5, 7 Santa v. Cimiano, No. 291 CV 01005 (PCD) ...................... 14 Taylor v. Louisiana, 419 U.S. 522, 526-31 (1975) . . . 3, 10, 11 Thiel v. Southern Pacific Co., 328 U.S. 217, 220 (1946) . 4, 7, 8 Turner v. Fouche, 396 U.S. 346 (1970)............................1 Statutes: Pages' Jury Selection and Service Act of 1968 Title 28 U.S.C. §§1861-186 ................................ 2 Other Authorities: Pages: H. Rept. No. 1076 (90th Cong., 2nd Sess.) 1968 U.S. Code Cong, and Administrative News p. 1792 1794-95 5 Subcommittee on Improvements in Judicial Machinery of the Senate Judiciary Committee, 90th Cong., 1st Sess., p. 605-06 ......................................... ii IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF CONNECTICUT UNITED STATES OF AMERICA V. LUIS COLON OSORIO ) ) ) ) ) ) ) ) ) ) Cr. No. 2:9200032 (TFGD) BRIEF AMICI CURIAE ON BEHALF OF THE NAACP LEGAL DEFENSE & EDUCATIONAL FUND, INC. AND THE NATIONAL LAWYERS' GUILD Interest of Amicus Curiae The NAACP Legal Defense and Educational Fund, Inc., is a non profit corporation organized under the laws of the State of New York as a legal aid society. It was formed to assist African Americans to secure their constitutional and civil rights through the courts. Of particular concern to the Legal Defense Fund has been racial discrimination against African Americans in the selection of juries. The Fund has represented both criminal defendants raising jury discrimination on direct appeal, e.q. . Alexander v. Louisiana. 405 U.S. 625 (1972), and African American who have been excluded from jury service, e.q.. Turner v. Fouche. 396 U.S. 346 (1970). In light of the Legal Defense Fund's historic concern with and involvement in issues of jury discrimination, we have filed this brief amici curiae to assist the Court in applying the applicable legal principles for resolving issues of racial discrimination in the composition of the master jury lists for grand juries and petit juries for this district. The National Lawyers Guild (Guild) is a national organization representing 10,000 lawyers, legal workers, law students and jailhouse lawyers in over 200 chapters throughout the United States. Since its founding in 1937, the Guild has provided legal support to virtually every struggle for racial, social and political justice. It has been particularly committed to the eradication of discrimination in the criminal justice system through litigation, training and day-to-day service by its members. ARGUMENT I. THE EVIDENCE IN THIS CASE ESTABLISHES A VIOLATION OF THE FEDERAL JURY SELECTION ACT The questions presented in the instant challenge raise important issues in the application and interpretation of the Jury Selection and Service Act of 1968, Title 28 U.S.C. §§1861-1869, in resolving challenges to the composition of master jury lists used in federal district courts for selecting grand and petit juries. In Section 1861 of the Act, Congress declared that: It is the policy of the United States that all litigants in Federal courts entitled to trial by jury shall have the right to grand and petit juries selected at random from a fair cross-section of the community in the district or division wherein the court convenes. In furtherance of this policy the Act established a comprehensive scheme for the selection of jurors. As Section 1861 makes clear, the overriding purpose of Act is to insure that the master jury lists used in the federal courts represent as close as reasonably possible a fair cross-section of the community. 2 The statute effectuates this goal by imposing an affirmative duty on federal judicial officials to create master lists that are representative of the community in the district or division in which the court sits. In determining a violation of Section 1861 of the Act, good faith compliance by federal officials or the officials' lack of discriminatory intent in complying with the Act's essential requirements is irrelevant. Cf. Glasser v. United States. 315 U.S. 60, 86 (1942); Tavlor v. Louisiana. 419 U.S. 522, 526-31 (1975). In §1863(b)(2) of the Act, Congress provided that names of prospective jurors shall be selected either from voter registration lists or the lists of actual voters of a political subdivision within the district or division. However, the section also mandates that a jury selection plan developed by the district court "shall prescribe some other source or sources of names in addition to voter lists where necessary to foster the policy and protect the rights secured by §§ 1961 and 1862 of this title." The policies and rights referred to are that a fair cross-section result and that "no citizen shall be excluded from service . . . on account of race, color, religion, sex, national origin, or economic status." 28 U.S.C. § 1862. That Congress intended to impose an affirmative obligation on federal courts to promulgate plans that will achieve as nearly fully representative jury lists as possible by the use of whatever sources as may be necessary, is demonstrated by the historical background and legislative history of the 1968 Act. In the period before 1968, the statutory requirements for selecting federal 3 juries went through a number of changes. First, from 1789 to 1948 state jury lists were relied upon; from 1948 to 1957 federal standards were established but state exemptions were honored; finally, in 1957 all references to state qualifications were removed (see, Rabinowitz v. United States. 366 F.2d 34 44-55 (5th Cir. 1966), and Gewin, The Jury Selection and Service Act of 1968; Implementation in the Fifth Circuit Court of Appeals. 20 Mercer Law Review 349, 351-57 (1969), for detailed discussions of the history of the federal jury selection statutes). Whatever the prevailing statutory standards, however, the Supreme Court consistently held that in federal courts a jury must be as close as possible to being "a body truly representative of the community," Glasser v. United States. 315 U.S. 60, 86 (1942).1 See also, Thiel v. Southern Pacific Co.. 328 U.S. 217, 220 (1946); Ballard v. United States. 329 U.S. 187, 192 (1946). 1In Glasser. decided when state jury lists were the source for federal juries, the Court held: If that requirement [of representation] is observed, the officials charged with choosing federal jurors may exercise some discretion . . . . But they must not allow the desire for competent jurors to lead them into selections which do not comport with the concept of the jury as a cross section of the community. Tendencies, no matter how slight, toward the selection of jurors by any method other than a process which will insure a trial by a representative group are undermining processes weakening the institution of jury trial, and should be sturdily resisted. That the motives influencing such tendencies may be of the best must not blind us to the dangers of allowing any encroachment whatsoever on this essential right. Steps innocently taken may one by one lead to the irretrievable impairment of substantial liberties. Ibid. (emphasis added). 4 It was in the context of these decisions that Congress amended the jury selection statutes in 1948 and 1957. Two concerns were uppermost; first, there was a desire to achieve uniformity in jury selection standards throughout the country; second, there was a growing awareness that, despite the Supreme Court's decisions, reliance on state lists or standards continued to result in African Americans being excluded from federal juries. See, Rabinowitz v. United States. 366 F.2d at 48-49. Despite these statutory changes, both problems persisted, and it was the latter, the exclusion of African Americans, that was involved in Rabinowitz. There, the Fifth Circuit, relying on the cross-section decisions of the Supreme Court, struck down the key- man method of jury selection as it operated in the Middle District of Georgia because the court found that the system had resulted in a substantial under representation of African Americans. The Rabinowitz decision was at the forefront in the deliberations on the Jury Selection and Service Act of 1968. See, e-g-, H. Rept. No. 1076 (90th Cong., 2nd Sess.) 1968, U.S. Code Cong, and Administrative News p. 1792, 1794-95; Hearings on S. 989 [28 U.S.C. §§ 1861 et seg. ] , Subcommittee on Improvements in Judicial Machinery of the Senate Judiciary Committee, 90th Cong., 1st Sess., p. 605-06 (Statement of Hon. Harrison L. Winter); 114 Cong. Rec. 3990 (90th cong., 2nd Sess.) (Remarks of Cong. Celler introducing the bill). In enacting the 1968 Act, Congress sought to solve jury selection problems once and for all by: (1) setting up a truly uniform method of selection; and (2) assuring random selection from lists representative of the community. It could not 5 be more clear that the 1968 Act was intended to be a reform that would codify and enforce decisions of the Supreme Court and those of the lower courts in cases such as Rabinowitz. The primary concern of Congress was to end continued instances of the exclusion, whether deliberate or inadvertent, of African. Americans and other minorities from full participation in federal juries. These goals were to be achieved in two ways. First, bases for disqualifying prospective juries were narrowly and specifically defined, thus limiting the influence and role of subjective judgment in the selection process. Second, all federal courts were to use the same basic source for names of potential jurors, recent voter registration rolls or lists of actual voters, thus eliminating recourse to any version of a key-man system, and providing a source that in most instances would be representative of the community. However, it is also clear from the legislative history that Congress was fully aware that, in a substantial number of instances, voter lists would have to be supplemented. In particular, it was cognizant of the relationship between the Voting Rights Act of 1965 and the 1968 Jury Act. Thus, Representative Kastenmeier stated during the House Debates: In the past, in some parts of the country, Negroes were largely excluded from the electoral process. The Voting Rights Act of 1965 has altered this situation significantly. Still, there are some areas where the percentage of Negroes registered to vote are much lower than that for whites. In such areas, the jury-selection plan must prescribe sources in addition to voter lists. 114 Cong. Rec. 3998 (90th cong., 2nd Sess.) (emphasis added). See also, H. Rept. No. 1076 (90th Cong., 2nd Sess.), 1968 U.S. Code Cong. Adm. News at 1799-1800. It was recognized, of course, that the fact that there were "minor" 6 deviations from a perfect cross-section of the community in the voter lists themselves would not require supplementation. However, if there were "substantial percentage deviations" from a fair cross-section, the Act required that they be corrected. Congress specifically left the definition of "substantial" to judicial decision.2 It is important to note that a challenge under § 1867 to the composition of the jury is to the overall plan on the ground of failure to comply with the Act. Thus, the fact that the particular venire and the jury selected might have percentages of African Americans or Hispanics reasonably close to that in the community is irrelevant. In Thiel v. Southern Pacific Company. 328 U.S. at 225, the Supreme Court held that it was "immaterial" that the jury that tried the case had five members of the class whose exclusion was challenged. The issue there, as here, was whether Congressional standards had been followed in the overall selection methods. See also, Rabinowitz v. United States. 366 F.2d at 34.3 Congress Congressman Celler, in introducing the bill in the House, stated: The bill uses the term "fair cross section of the community" recognizing that there will be minor deviations from a fully accurate cross section. The voting list need not perfectly mirror the percentage structure of the community, but any substantial percentage deviations must be corrected by the use of supplemental sources. The community would leave the definition of "substantial" to judicial decision. 114 Cong. Rec. 3990 (90th Cong., 2nd Sess.). See also, H.R. Rept. No. 1076 (90th Cong., 2nd Sess.) 1968 3There, the Fifth Circuit held that the government's position that since there were five blacks on the grand jury that indicated the defendants the indictment should not be quashed, evidenced "a 7 clearly intended that defendants, the United States, or any other party should have standing to challenge noncompliance with the Act without showing any prejudice in a particular case. Thus, the House Report in support of the bill states: A committee amendment to S. 989 eliminates the need to prove prejudice as a condition of judicial intervention when substantial noncompliance with the act is established. The committee believes that the "prejudice" requirement would unduly burden the procedure established by the bill for challenging noncompliance. Moreover, such burden goes beyond what has been required to sustain a constitutional challenge. See, e.q.. Thiel v. Southern Pacific Co.. 328 U.S. 217, 225. H.R. Rep. No. 1076 (90th Cong., 2nd Sess.), pp. 15-16; 1968 U.S. Code Cong. & Adm. News p. 1804. See also, S. Rep. 891 (90th Cong., 1st Sess.), pp. 33-34.* 4 The evidence in this case, we submit, demonstrates a substantial deviation from a cross section of the community. The total exclusion of residents of two major cities necessarily resulted in juries that were not representative of the community, particularly with regard to race, national origin, and economic status, and perhaps with regard to religion as well. 28 U.S.C. § 1862. Further, comparing the juries in the Hartford Division with juries in Connecticut state courts, where sources other than voter registration lists are used, vividly demonstrates the exclusion of basic misconception": The focus of the law is on the list from which the jury is drawn and not on the composition of a particular jury or grand jury. Ibid. See also Holland v. Illinois. 493 U.S. 474, 478-81 (1990). 4 See also, Peters v. Kiff. 407 U.S. 493 (1972). 8 discreet groups of minorities. The reasons for the under representation of grand juries in the Hartford Division proffered by Ms. Joan Haworth, a government witness, in her affidavit are legally insufficient. First, the affidavit acknowledges that Hispanics and African Americans are under represented in the voter registration rolls. Haworth Affidavit, p. 6. Therefore, the exclusive use of those rolls necessarily violates 28 U.S.C. § 1863(b)(2). Haworth, in her affidavit, at pp. 7-8, states "There is also a difference between the voting age population and those eligible to serve on a jury since the latter group includes only those persons who are registered to vote.11 (Emphasis added.) This assertion is wrong as a matter of law. All persons eighteen and over are eligible to serve as jurors unless disqualified by alien status, age, or inability to read, write, understand, or speak English, or by an infirmity resulting from being charged with or convicted of a felony. 28 U.S.C. § 1866(b). Second, the justifications given by Ms. Haworth for the under representation of minorities on the grand jury — lack of English language proficiency and a higher proportion of felony convictions — are not legally sufficient as presented. They are generalized, abstract claims. The Supreme Court has consistently and repeatedly in its decisions rejected generalized allegations purporting to prove that African Americans are under represented on juries because of lack of qualifications, higher conviction rates, etc. See, e.g.. Neal v. Delaware. 103 U.S. 370, 397 (1881); Patton v. Mississippi. 332 U.S. 463, 467-68 (1947). 9 These decisions establish that the burden is on the government to demonstrate that such factors are actual causes of the statistical disparities. The Haworth affidavit fails to do this. It merely sets out general statistics for various population groups without describing the effect these statistics have on the pool of persons eligible for jury service. For example, the fact that 48.3% of persons in Connecticut prisons are African American does not tell the whole story. Missing from the Haworth affidavit is a statement of the reduction of African Americans eligible for jury service. The amount of this reduction, however, can not be determined without identifying the number of inmates and the number of former inmates whose civil rights have not been restored (see 28 U.S.C. § 1865(b)(5)). Moreover, the Haworth affidavit does not establish that the minority prisoners were residents of the State prior to their incarceration. Only if such information is supplied will it be possible to reach any conclusion on the degree to which the number of minority residents of voting age population has been reduced by incarceration in prison. Such a showing is necessary to overcome the presumption that minority residents of voting age are presumptively eligible for jury service. See. Alexander v. Louisiana. 405 U.S. 625, 627 (1972)). II. THE FACTS ESTABLISHED BY DEFENDANTS SHOW A VIOLATION OF THE SIXTH AMENDMENT TO THE CONSTITUTION In Duren v. Missouri. 439 U.S. 357, (1979), the Supreme Court reaffirmed its holding in Taylor v. Louisiana. 419 U.S. 522 (1975), that a jury- selection process for criminal cases which 10 results in jury pools "not 'reasonably representative' of the community", Duren v. Missouri, supra. 439 U.S. at 358- 359, violates a criminal defendant right under the Sixth Amendment to the Constitution of the United States to a "jury selected from a fair cross section of the community". Id., at 359. The Court's decision in Duren v. Missouri, supra. held that the statute of the State exempting women from jury service upon request violated a defendant's rights under the Sixth Amendment as guaranteed through the Fourteenth Amendment. The Court went on to hold that the defendant in a criminal case has standing to challenge the violation of the fair cross section requirement irrespective of whether the defendant is a member of the class excluded by the jury selection process. See. Taylor v. Louisiana, supra. 419 U.S. at 526; Duren v. Missouri. supra. 439 U.S. at 539, n. 1. Compliance with the Sixth Amendment's command, the Court held, requires that: jury wheels, pools of names, panels, or venires from which juries are drawn must not systematically exclude distinctive groups in the community and thereby fail to be reasonably representative thereof. Tavlor v. Louisiana. supra. 419 U.S. at 538. This is a three- part test requiring a defendant to show: (1) that the group alleged to be excluded is a "distinctive" group in the community; (2) that the representation of this group in venires from which juries are selected is not fair and reasonable in relation to the number of such persons in the community; and (3) that this underrepresentation is due to systematic exclusion of the group in the jury- selection process. Duren v. Missouri, supra. 439 U.S. at 364. In the instant action, defendant Osorio satisfied the first 11 part of the test by showing the exclusion of two distinct groups, (1) non registered African American and Hispanic voters, and (2) all residents of the cities of Hartford and New Britain. With respect to the first group, defendant showed that the sole source of potential jurors on the Hartford Division Master Jury Wheel is the compilation of random samples of 10% of the names taken from each of the list of registered voters provided by the towns comprising the Hartford Division. These lists, as defendant proved, have an African American representation of 3.08% and a Hispanic representation of 0.77%. However, 6.34% of the voting age population of the Hartford Division are African American and 5.07% of the same population are Hispanic. See. DX 501; DX 502; DX 504; DX 513; DX 514. Thus, substantial numbers of African American and Hispanic residents of voting age are excluded by the jury selecting method used in the Hartford Division. Concerning the second group, it is undisputed that the Hartford Division's jury selecting method excludes residents of the cities of Hartford and New Britain. See. Testimony of R. Masotta; Testimony of K. Rowe; DX 511. Because the two cities are the largest two cities in the Hartford Division and together have more than 65% of the minority voting age population, the exclusion of the two cities from the jury wheel of the Hartford Division exacerbates substantially the exclusion of minorities from grand and petit juries. See. Testimony of J. Waldfogel; DX 503; DX 512. Defendant certainly satisfied the second part of the three- 12 prong test. In Duren v. Missouri, supra. where the Supreme Court held that Missouri's jury selecting method violated the Sixth Amendment, only 38% of the relevant population was excluded. By contract, the Hartford Division's jury wheel excludes 100% of the residents of the cities of Hartford and New Britain. Thus, defendant satisfied the second prong of the test with respect to the exclusion of resident of the two cities. Similarly, defendant satisfied the second part of the three prong test of Duren v. Missouri, supra. with respect to the exclusion of African American and Hispanic residents by showing that minority representation on the jury wheel was 3.08% African American and 0.77% Hispanic while minority representation in the voting age population was 6.34% African American and 5.07% Hispanic. This is a gross discrepancy between the percentage of minorities in the voting age population and the percentage of minority representation in jury wheel of the Hartford Division. The former percentage is almost four times the latter. In Duren v. Missouri, supra. the percentage of women in the community (54%) was only slightly over three times the percentage of women (15%) in the venires from which juries were drawn. Id.439 U.S. at 365. Thus, the discrepancy here is greater than the discrepancy in Duren which the Supreme Court disallowed. The third prong of the Duren test was satisfied by showing that both the underrepresentation of minorities and the underrepresentation of residents of Hartford and New Britain were due to systematic exclusion of the groups by the jury selection 13 process. Defendant's proof conclusively met this requirement with respect to residents of Hartford and New Britain. Defendant showed that no questionnaires were sent to any persons residing in either city and that no jurors were found on the Hartford Division Master Jury Wheel who were residents of Hartford or New Britain. See. testimony of R. Masotta and K. Rowe; DX 511. The systematic exclusion of residents of the two cities also systematically excluded minorities from the jury venires since the two cities contained more than 65% of the minorities of voting age in the Hartford Division. Additionally, the State's history of past discrimination against minorities in voting works, in conjunction with the Hartford Division's exclusive reliance on voting registration lists, to further the systematic exclusion of minorities from the jury wheel. The extent of registration of minorities is likely to be low as a result of (1) the State's use of a literacy test requirement until 1970, Conn. Gen. Stats. § 9-20 (1967), Public Act 768, Sec. 6 (1971), and (2) discriminatory purging of Hispanic voters in Hartford and New Britain. See. Santa v. Cimiano. No. 291 CV 01005 (PCD); Mireles v. Turnrose. Civ. No. H- 85-926 (PCD). A disproportionate and systematic exclusion of minorities from the Hartford's jury wheel is clearly caused by the use of the jury selection system by which juries are selected in the Hartford Division. However, no governmental interests can be cited in favor of the exclusion. 14 In Duren v. Missouri, supra. the State of Missouri sought unsuccessfully to justify its exclusionary jury selecting system on the ground of what it alleged to be significant state interests, id., 439 U.S. at 367- 368. In the instant action, however, no countervailing federal interest can be asserted to support the exclusion and underrepresentation of minorities since the Jury Selection and Service Act expresses the relevant federal interest. That Act, as we have emphasized previously, requires the jury selection plan of the Hartford Division "to prescribe some other source or sources of names in addition to voter lists where necessary to foster the policy and protect the rights secured by §§ 1961 and 1862 of this title." This has not been done and the resulting failure to insure that grand juries are drawn from a fair cross section of the community therefore constitutes a violation of the Sixth Amendment. CONCLUSION For the foregoing reasons, the indictment should be dismissed since the lists from which the grand jury was drawn were constituted in violation of 28 U.S.C. §§ 1861-63. Dated: New York, New York August lQ , 1992 Respectfully submitted, JULIUS L. CHAMBERS (JC-3361) CHARLES S. RALSTON (CR-0391) NAPLEON B. WILLIAMS, JR. (NW-9685) 99 Hudson Street, 16th Floor New York, NY 10013 (212) 219-1900 Attorneys for Amicus Curiae 15 NAACP LEGAL DEFENSE AND EDUCATIONAL FUND, INC. , .r,^pHN BRITTAIN ( C T 10678) K // li ft J 65 Elizabeth Street , "'r* A' Hartford, CT 06105 (203) 241-4664 Attorney for Amicus Curiae NATIONAL LAWYERS GUILD 16 CERTIFICATE OF SERVICE I hereby certify that a set of copies of the foregoing brief amicus curiae and motion to file brief amicus curiae has been mailed, postage prepaid, this 10th day of August, 1991, seperately to each of the following counsel at the addresses set forth below: David N. Rosen Rosen & DOlan 400 Orange Street New Haven, CT 06511 Attorneys for Defendant John Danaher Assistant U.S. Attorney United States Courthouse 450 Main Street Hartford, CT 06103 JoNel Newman Connecticut Civil Liberties Union Foundation 32 Grand Street Hartford, CT 06106 Susan Tipograph Linda Backiel 120 Duane Street New York, NY 10009 16