Edmisten v. Gingles Motion to Dismiss or Affirm
Public Court Documents
January 1, 1978
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Brief Collection, LDF Court Filings. Edmisten v. Gingles Motion to Dismiss or Affirm, 1978. 0f033071-b39a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/7701a993-5a70-4f08-ad21-5b7232eb4695/edmisten-v-gingles-motion-to-dismiss-or-affirm. Accessed November 23, 2025.
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Compl iments of . .
L egal efense H u n d
To: Julius Chambers
Lani Guinier
NAACP LEGAL DEFENSE AND EDUCATIONAL FUND, INC.
99 Hudson Street • New York, N.Y. 10013 • (212)219-1900
No. 83-1968
I n t h e
^ttpmnr (tart of tljr Imtrft
October T er m , 1983
R u f u s L , E d m isten , et al.,
V.
Appellants,
R a lph G in g les , et al.,
Appellees.
ON appeal from t h e u n ited sta tes d istric t court
FOR THE EASTERN DISTRICT OF NORTH CAROLINA
MOTION TO DISMISS OR AFFIRM
J u l i u s C h am bers
L a st G u in ie r *
NAAOP Legal Defense and
Educational Fund, Inc.
16th Floor
99 Hudson Street
New York, New York 10013
(212) 219-1900
L e s l ie J . W in n e r
Ferguson, Watt, Wallas,
and Adkins, P.A.
951 S. Independence Blvd.
Charlotte, North Carolina 28202
(704) 375-8461
Attorneys for Appellees
Ralph Gingles, et al.
Counsel of Record
1
QUESTIONS PRESENTED
I. In this action brought, under Section 2
of the Voting Rights Act, the District
Court found as a matter of fact that, under
the totality of relevant circumstances in
North Carolina, the use of the challenged
legislative districts results in black
voters in those districts having less
opportunity than do other members of the
electorate to participate in the political
process and to elect representatives of
their choice.
Were these findings of fact clearly
erroneous under Rule 52(a)?
II. Does administrative preclearance of a
legislative district under Section 5 of the
Voting Rights Act absolutely bar private
11 -
parties from litigating the legality of
that district under Section 2 of the Voting
Rights Act, in the face of clear statutory
language to the contrary?
- i i i -
TABLE OF CONTENTS
Page
NOTION TO DISMISS OR AFFIRM ............ 1
STATEMENT OF THE CASE ................... 2
I. THE DISTRICT COURT'S DETERMINATION
THAT NORTH CAROLINA'S GENERAL
ASSEMBLY DISTRICTS VIOLATE § 2 OF THE
VOTING RIGHTS ACT IS BASED ON THE
CORRECT STANDARD AND IS NOT CLEARLY
ERRONEOUS ........................... 8
A. The District Court Applied the
Correct Standard in Determining
That the Election Districts in
Question Have a Discriminatory
Result ....................... 8
B. The District Court's Ultimate and
Subsidiary Findings Are Not
Clearly Erroneous ........... 14
1. The Court Weighed the Par
ticular Circumstances Rele
vant to This Action in
Making Its Findings ...... 14
2. The District Court's Finding
oE Racially Polarized Voting
is Not Clearly Erro
neous .................. 22
3. The District Court's Ulti
mate Finding of Discrimina
tory Result is not Clearly
Erroneous ............... 35
I V
Page
II. THE DISTRICT COURT PROPERLY CON
SIDERED ALL THE STATE’S EVIDENCE .. 42
III. PRECLEARANCE UNDER SECTION 5
OF THE VOTING RIGHTS ACT DOES
NOT BAR APPELLEES' CLAIM UNDER
SECTION 2 .... ............. ....... 45
CONCLUSION ...... ....................... 56
V
TABLE OF AUTHORITIES
Cases: Page
Alexander v. Gardner-Denver Company,
415 U.S. 36 ( 1 974) ............... 51
Allen v. McCurry, 449 U.S. 90
( 1 980) .............. ............. 50
Chandler v. Roudebush, 425 U.S. 840
( 1 976) ............................ 51
Cooper v. Aaron, 358 U.S. 1 (1958) .... 45
Donnell v. United States, 682 F.2d
240 (D.C. Cir. 1 982) ............. 54
East Carroll Parish School Bd. v.
Marshall, 424 U.S. 636 (1976) ___ 12,27
Jones v. City of Lubbock, Tex., 727
F. 2d 364 (5th Cir. 1984) ....... 14,15
Kirksey v. Board of Supervisors, 554
F. 2d 139 (5th Cir. 1977) ...... 41
Kremer v. Chemical Construction
Corporation, 456 U.S. 461
( 1 982) . ......................... 50
Major v. Treen, 574 F. Supp. 325 (E.D.
La. 1 983)(three judge court) ... 34,40,48
- v i -
Page
Matter of Merrill, 594 F.2d 1064 (5th
Cir. 1979) .................... 50
Monroe v. Bd. of Commissioners, 391
U.S. 450 (1 968) ............... 45
Morris v. Gressette, 432 U.S. 491
( 1 977 ) ........................ 53,54
NAACP v. Gadsden Co. School Bd.
691 F.2d 978 (11th Cir. 1982) ___ 27,41
Porter and Dietsch, Inc. v. F.T.C.,
605 F.2d 294 (7th Cir. 1979),
cert., denied,
445 U.S. 950 ( 1 979) ............. 51
Pullman-Standard v. Swint, 456 U.S. 273
( 1 982) ....... ............ ..... 15
Rogers v. Lodge, 458 U.S. 613 (1982) ... 15,32
Rybicki v. State Bd. of Election of
Illinois, 574 F. Supp. 1147 (E.D. 111.
1983)(three judge court) ........ 14,40
Swann v. Ch ar 1 o 1.1. e-Mec kl enb urg Bd .
of Ed., 306 F. Supp., 1291 (W.D.N.C.
1969) aff’d , 402 U.S. 1 (1971) ..... 44
United States v. East Baton Rouge
Parish School Bd., 594 F.2d 56 (5th
Cir. 1979) ........................ 48
United States v. Marengo Co. Comm., 731
F.2d 1 546 ( 1 1th Cir. 1984) ..... 14,40
Velasquez v. City of Abilene Tex., 725
F. 2 d 1017 (5th Cir. 1984) ....... 14,1 5
V 1 1
Page
Whitcomb v. Chavis, 403 U.S. 124
(1971) ..................... ........ 40
White v. Regester, 412 U.S. 735
(1973) ............... ..... 12,13,41,42
Zimmer v. McKeithen, 485 F.2d 1297
(5th Cir. 1973) .... .......
Constitutional and Statutory Provisions
12,27
U.S. Const, amend. XIV ........... 32
Voting Rights Act Amendment of 1982,
Pub. L. No. 97-205, 96 Stat.
131 (1982) ................... passim
Voting Rights Act of 1965, 42 U.S.C.
§ 1 973(c) .... ................. passim
Rule 52(e) P.R. Civ. P• ••••••••••• 1 5
28 CFR § 51.41 ................... 53
28 CFR § 51.46 .... ...............
Legislative History
S. Rep. No. 97-417, 97th Cong.,2d
53
Sess. (1982) ...... ........ 9,10,13,17,
34,41,48,49,50
H.R. Rep. No. 97-227, 97th Cong.,
1st Sess. (1981) .................
Other Authorities
9,48
Wright, Miller and Cooper, Federal
Practice and Procedure:
Jurisdiction § 4416 et seq........ 50
1
No. 83-1968
IN THE
SUPREME COURT OF THE UNITED STATES
OCTOBER TERM, 1983
RUFUS L. EDMISTEN, et ai.,
Appellants ,
v .
RALPH CINGLES, et al. ,
Appellees.
On Appeal From the United States
District Court For the Eastern
District of North Carolina
MOTION TO DISMISS OR AFFIRM
Pursuant to Rule 16.1, Appellees,
Ralph Gingles, et al., move that the Court
dismiss the appeal or affirm the judgment
below on the ground that the guest ions on
2
which the decision of the case depends are
so unsubstantial as not to need further
argument.
Statement of the Case
Appellees filed this action on Sep
tember 16, 1981, challenging the 1981
apportionment of both houses of the North
Carolina General Assembly ("the General
Assembly") on the grounds, inter alia, that
the apportionments were illegal and
unconstitutional in that: (1) each had been
enacted pursuant to provisions of the North
Carolina Constitution which were required
to be but had not been precleared under
Section 5 of the Voting Rights Act of 1965,
1as amended, 42 U.S.C. § 1973c ("§ 5 of the
Forty of North Carolina's 100 coun
ties are covered by Section 5 of the
Voting Rights Act.
- 3 -
Voting Rights Act" or "Section 5"); and (2)
the use of multi-member districts illegally
submerged minority population concentra
tions and diluted minority voting strength
in violation of the Constitution and
Section 2 of the Voting Rights Act of 1963,
as amended, 42 U.S.C. § 1973.
After the Complaint was filed, the
State of North Carolina submitted the
provisions of the North Carolina Consti
tution, which prohibit dividing counties in
the formation of a legislative district,
for preclearance under Section 5. The
Attorney General, in a letter signed by
William Bradford Reynolds, objected to the
provisions, finding that the use of large
multi-member districts "necessarily
submerges cognizable minority population
concentrations into larger white elec
torates." Jurisdictional Statement at 6a.
The Attorney General, acting through
Reynolds, also found the 1981 House, Senate
and Congressional plans, as well as two
subsequent House plans and one subsequent
Senate plan, to be racially discriminatory.
Despite warnings from special counsel,
black citizens' groups, and various
legislators that the use of multi-member
districts could result in impermissible
dilution of black citizens' voting
strength, the General Assembly continued to
use this method in the House and in the
Senate. At an 8 day trial in July 1983
before all three judges, appellees chal
lenged six of the multi-member districts,
five in the House and one in the Senate.
Appellees also challenged the configuration
of one single member Senate District. Five
of the challenged districts consist
5
entirely of counties not covered by Section
5 and , therefore, were not subject to the
Attorney General's review.
On January 27, 1984, the Honorable J.
Dickson Phillips, Jr., writing for the
unanimous District Court,, found that black
citizens of North Carolina do not have an
equal opportunity to participate in the
State's political system and that use of
the challenged legislative districts
illegally minimizes their opportunity to
elect representatives of their choice. Ihe
District Court made extensive and meticu
lous findings that there currently exists:
a disparity between black and white voter
registration which is a legacy of past
intentional disfranchisement; severe socio
economic inequities which result from
past discrimination and which give rise to
a commonality of interests within geo
graphically identifiable black communities;
6
minimal electoral success of black candi
dates; the use of racial appeals in cam
paigns; and a persistent failure of most
white voters to vote for black candidates.
In short., the Court found that, while there
has been some progress, the gap between the
ability to participate of white and black
voters remains substantial.
Based on these finding the District
Court entered a unanimous Order which
declared that the apportionment of the
General Assembly in six challenged multi-
member districts and one single member
district violate Section 2 of the Voting
Rights Act, and enjoined elections in those
districts pending court approval of a
districting plan which does not violate
2Section 2.
Appellees did not challenge all
multi-member districts used by the State
nor did the District Court, rule that the
use of multi-member districts is per se
illegal. The District Court's Order leaves’
7
Appellants' petition for a stay of the
Order was unanimously denied by the
District Court , and was subsequently denied
by Chief Justice Burger, on February 24,
1984, and by the full Court on March 5,
31 984.
untouched 30 multi-member districts in the
House and 13 in the Senate. The District
Court's Order did not affect 48 of North
Carolina's 33 House of Representative
Districts and did not affect 27 of North
Carolina's 29 Senate Districts.
By subsequent orders, the District
Court approved the State's proposed
remedial districts for six of the seven
challenged districts, and primary elec
tions have been held in those districts.
The District Court has not acted on the
Defendants' proposed remedial apportion
ment of one district, former House
District No. 8, pending preclearance of
defendants' proposal under Section 5.
8
ARGUMENT
I. THE DISTRICT COURT’S DETER
MINATION THAT NORTH CAROLINA'S
GENERAL ASSEMBLY DISTRICTS VIOLATE
§2 OF THE VOTING RIGHTS ACT IS
BASED ON THE CORRECT STANDARD AND
IS NOT CLEARLY ERRONEOUS
A. The District Court Applied
the Correct Standard in Determining
That the Election Districts in Ques
tion Have a Discriminatory Result
Section 2 of the Voting Rights Act was
amended in 1982, by the Voting Rights
Amendments of 1982, 96 St at. 131 (June 29,
1982), to provide that a claim of unlawful
vote dilution is established if, "based on
the totality of circumstances," members of
a racial minority "have less opportunity
than other members to participate in the
political process and to elect repre
sentatives of their choice." 42 U.S.C.
§1973, as amended. The Committee Reports
accompanying the amendment make plain the
9
congressional intent to reach election
plans that minimize the voting strength of
minority voters. S. Rep. No. 97-417, 97th
Cong., 2d Sess. at 28 (1982) (hereafter
"Senate Report" or " S.Rep."); H. R. Rep.
No. 97-227, 97th Cong., 1st Sess. at 17-18
4(1981) (hereafter "House Report").
The Senate Report, at pages 27-30, sets
out a detailed and specific road map for
the application of the amended Section 2.
When called upon to apply the statute,
as amended, to a claim of unlawful dilu-
Appellants assert that the legislative
history of the 1982 amendments is unclear
because there is no conference committee
report. J.S. at 8. However, as the House
unanimously adopted S.1992, which had been
reported out of the Senate Committee on
the Judiciary and adopted by the Senate,
there was no need for a conference
committee or for a conference committee
report. See J.S. at 9a, n,7. In fact
there was no conflict between the intent
of the House and of the Senate. The
Senate adopted substitute language to
spell out more specifically the standard
which the House meant to codify. S. Rep.
at 27.
1 0
tion, the federal courts were directed by
Congress to assess the interaction of the
challenged electoral mechanism with the
relevant factors enumerated in the Senate
Report at 28-29.
It is apparent from the analysis of
Section 2 contained in the Memorandum
Opinion and from the detailed assessment of
the facts that the District Court under
stood and properly applied its Congres
sional charge to the facts of this case.
The actual standard applied by the
District Court is embodied in its Ultimate
Findings of Fact:
1 . Considered in conjunction with the
totality of relevant circumstances found by
the court -- the lingering effects of
seventy years of official discrimination
against black citizens in matters touching
registration and voting, substantial to
severe racial polarization in voting, the
effects of thirty years of persistent
racial appeals in political campaigns, a
relatively depressed socio-economic status
resulting in significant degree from a
century of d e jure and de facto segrega
tion, and the continuing effect of a
majority vote requirement -- the creation
of each of the multi-member districts
challenged in this action results in the
black registered voters of that, district,
being submerged as a voting minority in the
district and thereby having less oppor
tunity than do other members of the
electorate to participate in the political
process and to elect representatives of
their choice.
2 . Considered in conjunction with the
same circumstances, the creation of
single-member Senate District No. 2 results
in the black registered voters in an area
covered by Senate Districts Nos. 2 and 6
having their voting strength diluted by
fracturing their concentrations into two
districts in each of which they are a
voting minority and in consequence have
less opportunity than do other members of
the electorate to participate in the
political process and to elect represen
tatives of their choice. J.S. at 51a-52a,
Appellants assert that "the district,
court erred by equating a violation of
Section 2 with the absence of guaranteed
proportional representation." J.S. at 9.
This statement, supported only by a
sentence fragment from the opinion, J.S.
at 9-10, grossly distorts the standard
actually used by the District. Court, and
12
ignores the extensive discussion by the
District Court of the meaning and proper
application of Section 2 of the Voting
Rights Act. 3.S. at lla-18a. In that
discussion, the District Court explicitly
stated its interpretation of the standard
to be applied and the factors to be
considered:
In determining whether, "based
on the totality of circumstances,"
a state's electoral mechanism does
so "result" in racial vote
dilution, the Congress intended
that courts should look to the
interaction of the challenged
mechanism with those historical,
social and political factors
generally suggested as probative of
dilution in White v, Regester and
subsequently elaborated by the
former Fifth Circuit in Zimmer v.
McKeithen, 485 F.2d 1297 ("5th C i r.
TTTT) Ten banc) , a f f ' d on other
grounds sub nom. East Carroll
Parish School Board v. Marshall,
4 2 4 U . S. 636 ( 1 9 76) (per curiam) .
These typically include, per the
Senate Report accompanying the
compromise version enacted as
amended Section 2:
1 3
[Thereafter the District Court listed the
factors enumerated at pp. 28-29 of the
Senate Report.] 3.S. at 12a-13a.
The District Court. did not ignore
White v. Reqester, 412 U.S. 755 (1973), and
its progeny, nor did the District Court,
interpret. those cases to require pro
portional representation. See 3. S.
1 4 a -1 5 a . As the Court, explicitly said,
" [ T ] h e fact that. blacks have not been
elected under a challenged districting plan
in numbers proportional to their percentage
of the population [does not establish that,
vote dilution has resulted]." 3.S. at 15a.
In sum, the District Court examined
each factor specified by Congress in the
Senate Report and, without. limiting its
assessment to just, one factor, as appel
lants do, assessed them as a totality. The
The Courts of other circuits, as did
the Court, below, have interpreted the
amended Section to require the trial court
14
District Court clearly engaged in the
Congressionally mandated analysis and
applied the proper standard.
B. The District Court's Ultimate
and Subsidiary Findings of Fact
Are Not Clearly Erroneous
1 . The Court. Weighed The Particu
lar Circumstances Relevant To
This Action In Making Itg
Findings
Since the District Court applied the
proper standard to the facts before it, the
real question raised by appellants is
whether the three judges properly weighed
to examine the factors listed at pages
28-29 of the Senate Report and, consider
ing the totality of the circumstances,
determine whether the challenged election
method violates Section 2. U.S. v.
Marengo County Comm., 731 F.2d 1546,
1565-1566 (11th Cir. 1984); Jones v. City
of Lubbock, 727 F.2d 364, 384-385 (5th
Cir. 1984); Velasquez v. City of Abilene,
Tex., 725 F.2d 1017, 1022-23 (5th Cir.
1984); Rybj-cl<j- v» state Bd . of Elections,
574 F . Supp. 1147, 1148-50 (E.D. TIT.
1983)(three judge court).
the voluminous evidence. While the judges
heard eight days of testimony, examined
hundreds of documents, and made thirty-
three pages of factual findings, the
appellants base their argument, in essence,
on one fact: the electoral success of a
few black candidates in 1982. The ques
tion thus raised is whether, in assessing
the totality of circumstances, the District
Court's judgment as to the proper weight to
6give to this fact is clearly erroneous.
Rule 52(a), F.R.Civ.P., provides that,
neither the ultimate nor the subsidiary
findings of fact of the District Court may
be reversed unless they are clearly
erroneous. Rogers v. Lodge , 458 U.S. 613,
6 2 2-62 3 , 627 ( 1 982 ) Telearly erroneous
standard applies to finding that an at
large voting system is being maintained
for a discriminatory purpose and to the
underlying subsidiary findings); Pull
man-Standard v. Swint. , 456 U.S. 273,
287-293 (1982). See also Velasquez
v. City of Abilene, Tex. , 725 F. 2d 1017, 1021
(5th Cir. 1984); Jones v. City of Lubbock,
727 F.2d 364, 380.( 5th Cir. 1984).
16
The District Court analyzed each of
the factors suggested by Congress to
determine its bearing on the ability of
black citizens to elect candidates of their
choice to the General Assembly. One factor
is the extent of black electoral success.
With regard to that factor, it is plain
that before this action was commenced in
1981, a nominal number of blacks had been
elected to the General Assembly. The
District Court discussed the 1982 elections
and found them to be uncharacteristic.
After examining black electoral successes
and failures, Judge Phillips concluded:
[ T ]he success that has been
achieved by black candidates to
date is, standing alone, too
minimal in total numbers and too
recent in relation to the long
history of complete denial of any
elective opportunities to compel
or even arguably to support an
ultimate finding that a black
candidate's race is no longer a
significant adverse factor in the
political processes of the state
1 7
either generally or spe
cifically in the areas of the
challenged districts.
J.S. at 37a-38a. See also, J.S. at 37a
n . 2 7 .
This conclusion was considered along
with findings on the other factors enumer
ated in the Senate Report. These are
summarized as follows:
a. There is a current disparity in
black and white voter registration result
ing from the direct denial and chilling by
the State of registration by black citi
zens, which extended officially into the
1970's with the use of a literacy test and
anti-single shot voting laws and numbered
seat requirements. The racial animosities
and resistence with which white citizens
have responded to attempts by black
18
citizens to participate effectively in the
political process are still evident today.
J.S. at 22a-26a.
b. Within each challenged district
racially polarized voting is persistent,
severe, and statistically signi ficant. J.S.
at 38a-39a, 46a.
c. North Carolina has a majority
vote requirement which exists as a con
tinuing practical impediment to the
opportunity of black voting minorities in
the challenged districts. J.S. at 29a-30a.
d. North Carolina has a long history
of public and private racial discrimination
in almost all areas of life. Segregation
laws were not repealed until the late
1960's and early 1970's. Public schools
were not significantly desegregated until
the early 1970's. Thus, blacks over 30
years old attended gualitatively inferior
segregated schools. Virtually all neigh
1 9
borhoods remain racially identifiable, and
past discrimination in employment continues
to disadavantage blacks. Black households
are three times as likely as white house
holds to be below poverty level. The lower
socio-economic status of blacks results
from the long history of discrimination,
gives rise to special group interests, and
currently hinders the group's ability to
participate effectively in the political
process. J.S. at 25a-29a.
e. From the Reconstruction era to the
present time, appeals to racial prejudice
against black citizens have been used
effectively as a means of influencing
voters in North Carolina. As recently as
1983, political campaign materials reveal
an unmistakable intention to exploit white
voters' existing racial fears and prej
udices and to create new ones. J.S. at
3 1 a-32a.
20
f. The extent of election of blacks
to public office at all levels of govern
ment is minimal, and black candidates
continue to be at a disadvantage. With
regard to the General Assembly in particu
lar, black candidates have been signifi
cantly less successful than whites. J.S.
at 33a-34a, 37a-38a.
g. The State gave as its reason for
the multi-member districts its policy of
leaving counties whole in apportioning the
General Assembly. However, when the
challenged apportionments were enacted, the
State's policy was to divide counties when
necessary to meet population deviation
requirements or to obtain Section 5
preclearance. Many counties were divided.
The policy of dividing counties to resolve
some problems but not others does not
justify districting which results in racial
vote dilution. J.S. at 49a-50a.
21
The District. Court included the extent
to which blacks have been elected to office
as "one circumstance" to be considered, 42
U.S.C. §1 973(b) , made an intensely local
and detailed appraisal of all of the
relevant circumstances, and determined that
the challenged districts have a discrimi
natory result.
For this Court to reverse the District
Court's ultimate findings would require
this Court, to find (1) that, the District
Court's assessment of pre-1982 electoral
success was clearly erroneous; (2) that the
District Court's assessment that the 1982
elections were atypical was clearly erro
neous; and (3) that, in weighing the
totality of the circumstances, the relative
weight given by the Court. to one post
litigation election year was clearly
erroneous .
22
2. The District Court's Finding
of Racially Polarized Voting is
Not Clearly Erroneous.
Appellants assert that the electoral
success of some blacks in 1982 precludes
the District Court from finding severe
racially polarized voting. This is the
only subsidiary finding appellants chal-
7lenge.
In finding voting to be racially
polarized, the District Court engaged in a
detailed analysis of election returns from
each of the challenged districts extending
over several elections, supported by the
testimony of numerous lay witnesses and
Although appellants challenge this
finding as an error of law, the finding of
racially polarized voting is one of fact
covered by Rule 52(a). Jones v. Lubbock,
727 F.2d at 380. Appellants apparently
limit this challenge to those areas not
covered by §5. They do not discuss facts
from either House District No. 8 (Wilson,
Edgecombe, and Nash Counties) or Senate
District No. 2.
23
expert testimony regarding every election
for the General Assembly in which there had
been a black candidate in the challenged
multi-member districts „ for the three
election years preceding the trial. d. S .
38a-39a. Based on its exhaustive analysis
of the evidence, the District Court found
that racially polarized voting was severe
and persistent.
Appellants erroneously claim that the
District Court determined racial polari
zation by labeling every election in which
less than 30% of the whites voted for the
black candidate as racially polarized. J.S.
at 17. Although it is true that no black
candidate ever managed to get votes from
more than 3 0 % of white voters, this is not
the standard the District Court used.
Instead, the District Court examined
the measurement of racially polarized
voting to determine the extent to which
24
black and white voters vote differently
from each other in relation to the race of
the candidates. J.S. at 39a, n.29. The
District Court's assessment can be sum
marized in three findings:
a. The evidence shows patterns of
racial polarization. The Court found:
On the average, 81.7?o of white voters
did not vote for any black candidate
in the primary elections. In the
general elections, white voters almost
always ranked black candidates either
last or next to last in the multi-can
didate field except in heavily
Democratic areas; in these latter,
white voters consistently ranked black
candidates last among Democrats if not
last or next to last among all
candidates. In fact, approximately
two-thirds of white voters did not
vote for black candidates in general
elections even after the candidate had
won the Democratic primary and the
only choice was to vote for a Republi
can or no one. Black incumbency
alleviated the general level of
polarization revealed, but it did not
eliminate it. Some black incumbents
were reelected, but none received a
majority of white votes even when the
election was essentially uncontested.
25
3 . 5 . a t 4 0 a .
b. The correlation between the race
of the voter and the race of the
candidate voted for was statistically
significant at the .00001 level in every
election analyzed. Although correlation
coefficients above an absolute value of
.5 are relatively rare and those above
.9 are extremely rare, ail correlation
coefficients in this case were between
.7 and .98 with most above .9. J.S. at
38a~39a and n.30.
c. In all but two elections, the
black candidate lost among white voters
— that is the results of the election
would have been different if held only
in the white community than if held only
in the black community. J.S. at 39a-40a
and n.31. The District Court used the
term "substantively significant" in
these circumstances. Appellants posited
26
no alternative definition supported
either by case law or political science
literature. J.S. at 40a, n.32.
Appellants offered no statistical
analysis which contradicted the conclu
sions of the District Court. They did
not question the accuracy of the data or
assert that the methods of analysis used
by appellees' expert were not standard
in the literature. J.S. at 38a n.29. In
fact, appellants conceded that the
polarization of the voting was statis
tically significant for each of the
elections analyzed.
Nonetheless, appellants contest the
District Court's finding of racially
polarized voting citing examples from
only one post-1itigation election year,
1982. This is particularly inappro
priate, as the District Court concluded
that 1982 was "obviously aberrational"
27
and that whether it will be repeated is
sheer speculation. Among the aberra
tional factors was the pendency of this
lawsuit and the one time help of black
candidates by white Democrats who wanted
to defeat single member districts. J.S.
at 37a. This skeptical view of post-
litigation electoral success is sup
ported by the legislative history of the
Voting Rights Act and the case law.
Senate Report at 29, n.115; Zimmer v .
McKeithen, 483 F.2d 1297, 1307 (5th Cir.
1 973 ) ( e_n banc) a f f1 d on other grounds
sub nom East Carroll Parish School Board
v. Marshall, 424 U.S. 636 (1976); NAACP
v. Gadsden Co. School Board, 691 F.2d
at 983.
28
In addition to being drawn only
from post-litigation elections, the
examples given by appellants are
misleading and are taken out of context.
For example:
(a) Appellants point out that in the
1982 Mecklenburg House primary, black
candidate Berry received 5 0% of the
white vote. The District Court noted
this but stated that it "does not alter
the conclusion that there is substantial
racially polarized voting in Mecklenburg
County in primaries. There were only
seven white candidates for eight
positions in the primary and one black
candidate had to be elected. Berry, the
incumbent chairman of the Board of
Education, ranked first among black
voters but seventh among whites." J.S.
at 42a .
29
The other black candidate, Richard
son, was ranked last by white voters in
the primary but second, after Berry, by
blacks. In the general election,
Richardson was the only Democrat who
lost .
Similarly, in the 1982 Mecklenburg
County Senate race, the black candidate
who was successful in the primary was
the only Democrat who lost. in the
general election, ranking first among
black voters but sixth out of seven by
white voters for four seats.
b. Appellants point out that black
candidate Spaulding received votes from
47% of white voters in the 1982 general
election in Durham County. They neglect
to point out there was no Republican
opposition in that election, and that a
majority of white voters therefore
30
failed to vote for the black incumbent
even when they had no other choice.
J.S. at 44a .
Appellants also failed to point out
that in the Durham County primary for
1982 there were only two white candi
dates for three seats so at least one
black had to win. As the District. Court
noted, "Even in this situation, 63% of
white voters did not vote for the black
incumbent, the clear choice of the black
voters." J.S. at 44a.
(c) Appellants point out that in
Forsyth County two black candidates in
1982 were successful but fail to note,
as the District Court, did, that white
voters ranked the two black candidates
seventh and eighth out of eight candi
dates for five seats in the general
election while black voters ranked them
first and second. J.S. at. 43a.
31
(d) As another example, while noting
that black elected incumbents have been
re-elected, appellants fail to note that
white voters almost always continue to
rank them last and that black appointed
incumbents have uniformly been defeated.
The three judges who heard the evi
dence considered each of the facts which
appellants point out, together with the
surrounding circumstances, and con
cluded that these pieces do not alter
the conclusion of severe and persistent
racially polarized voting.
Appellants also assert that ra
cially polarized voting is probative
of vote dilution only if it always
causes blacks to lose. In fact, in 21
of the 32 election contests analyzed in
which the black candidate received
substantial black support, the black
32
candidate did lose because of racial
polarization in voting. That is, he
lost even though he was the top choice
of black voters because of the paucity
of support among white voters.
Appellants assert that whites must
uniformly win for racially polarized
voting to be probative. They support
this argument by citing Rogers v . Lodge,
supra , a case decided under the purpose
standard of the Fourteenth Amendment of
the United States Constitution.
Appellees do not believe that Rogers v .
Lodge stands for the proposition boldly
asserted by appellants, but the Court,
need not consider, in the context of
this case, whether the complete absence
of black electoral success is necessary
to raise an inference that an at large
system is being maintained for a
discriminatory purpose.
33
The instant case was decided under
the Voting Rights Act, and the statutory
language of Section 2 specifies that a
violation exists if black citizens have
"less opportunity" to elect representa
tives of their choice; it is not limited
to situations in which black candidates
have absolutely no chance of being
elected. 42 U.S.C . § 1 973(b). Racially
polarized voting can give rise to this
unequal opportunity, even if it does not
cause black candidates to lose every
single election.
Appellants' argument is, in es
sence, that any black electoral suc
cess necessarily defeats a Section 2
claim, an argument which defies the
intent of Congress. See S. Rep. at 29,
n . 11 5 , and discussion at p. 35, infra.
34
As the Court
Treen , 374 F.Supp.
1983) (three judge
noted in Major v .
325, 339 (E.D. La.
court) :
Nor does the fac t that several
blacks have gained elective
office in Orleans Parish detract
from plaintiffs' showing of an
overall pattern of polariza
tion... Racial bloc voting, in
the context of an electoral
structure wherein the number of
votes needed for election exceeds
the number of black voters, sub
stantially diminishes the
opportunity for black voters to
elect the candidate of their
choice .
The District Court considered all
of the evidence, including the facts to
which the appellants allude, and determined
that racially polarized voting is severe
and persistent in the districts in ques
tion. This finding is not clearly erro
neous.
35
3. The District Court's Ultimate
Finding of Discriminatory
Result is Not Clearly Erroneous
The task of the three District Court
judges was t. o examine historic and current
racial and political realities in North
Carolina, to determine if the challenged
legislative districts operate to deny black
citizens an equal opportunity to elect
representatives to the General Assembly.
The judges below engaged in an intensely
local appraisal of these factors and
appellants ask this Court. to rule that
their determination was clearly erroneous.
Appellants do not challenge the lower
court's findings on six of seven Section 2
factors, and, as discussed in part 18(2),
supra, the seventh subsidiary finding, that
voting in North Carolina is racially
polarized, is not clearly erroneous. Thus,
the question is whether the District Court
36
properly assessed the totality of circum
stances. In the Statement of the Case
appellants recite random black electoral
successes and then imply, without saying,
that under the circumstances, a finding of
discriminatory result is erroneous because
it is tantamount to a requirement of
proportional representation.
As was discussed in part IB(1), supra,
the District Court did not ignore the
election of blacks in its weighing of the
facts. Rather, after examining the extent
of minority election, the District Court
found, in addition to minimal election of
blacks to the General Assembly before this
litigation was initiated, that in the six
multi-member districts in question, black
candidates who won Democratic primaries
between 1970 and 1982 were three times as
37
likely to lose in general elections as were
their white Democratic counterparts. 3.S.
at 33a-34a.
In addition, the District Court found
that blacks hold only 9% of city council
seats (many from majority black election
districts); 1.3% of the county commission
seats; 4?o of sheriff's offices; and 1% of
the offices of the Clerk of Superior Court.
No black has been elected to statewide
office except three judges who ran unop-
posed as appointed incumbents. No black
has been elected to the Congress of the
United States as a representative of this
8state. J.S. at 33a.
On a county by county basis appellants
also paint a lopsided picture. In Forsyth
County appellants specify isolated in
stances of electoral success but ignore
8 North Carolina is 22.4?o' black in pop
ulation.
38
electoral failures such as: (1) the defeat
of appointed black incumbents which
resulted in no blacks being elected to the
House of Representatives from Forsyth
County in 1978 and 1980, years in which all
white Democrats were successful; (2) the
defeat in 1980 of the black who had been
elected to the County Commission in 1976
which resulted in a return to an ail white
County Commission; and (3) the defeat in
1 978 and 1 980 of the black who had been
elected to the Board of Education in 1976
returning the Board of Education to its
previous all white status.
In each of these instances the evi
dence showed that black Democrats were
defeated when white Republicans did well,
but white Democrats won consistently, even
in good Republican years.
39
In addition, appellants do not mention
that House District No. 8, which is 39 %
black in population and has four repre
sentatives, has never elected a black
representative, J.S. at 36a, or that
Mecklenburg County, which, with eight House
seats and four Senate seats, is the largest
district in the General Assembly and which
is over 2 3 % black in population, has this
century elected only one black senator
(from 1975-1979) and one black represen
tative (in 1982, after this lawsuit was
filed). J.S. at. 34a.
In Mecklenburg County, as in Forsyth
County, black Democrats who were successful
in Democratic primaries, in the House in
1980 and 1982 and in the Senate in 1982,
were the only Democrats to lose to white
Republicans. No white Democrat lost to a
9Republican in those elections.
9 Thus, this case is in no way similar
40
Rather than requiring guaranteed
election, and rather than simplistical1y
considering erratic examples of electoral
success, the District Court followed the
statutory mandate by considering black
electoral success and failure as one
factor in the totality of circumstances
leading to its conclusion of discriminatory
result. 42 U.S.C. § 1973(b).
Other courts have not required the
complete absence of black electoral success
in order to find a violation of Section 2.
United States v. Marengo County Commission,
731 F .2 d at 1 572 ; Major v. Treen, 574
F.Supp. at 351-352; Rybicki v. State Bd. of
Elections , 574 F.Supp. at 1151 and n.5.
This interpretation of the amended §2 is
consistent with pre-amendment case law
to Whitcomb v . Chavis , 403 U.S. 124,
150 — 152 (19 71 ) , in which black defeat was
caused by Democratic Party defeat, not by
race.
41
which held that some black electoral
success does not preclude a finding of
dilution. See White v. Regester, 412 U. S.
at 766; NAACP v. Gadsden Co. School Board,
691 F.2d at 983; Kirksey v. Board of
Supervisors , 5 54 F.2d 139, 143 (5th Cir.
1977).
The conclusion of the District Court,
that the election of some minority can
didates does not negate a finding of
discriminatory result, is consistent with
the clear intent of Congress as stated in
the Senate Report: "[T]he election of a few
minority candidates does not 'necessarily
foreclose the possibility of dilution of
the black vote', in violation of this
section." S. Rep. at n.115.
The determination of whether an
electoral system has an illegal discrimi
natory result requires findings of fact
which blend "history and an intensely local
42
appraisal of the design and impact of the
... multi-member district in the light of
past and present reality, political and
otherwise." White v. Regester, 412 U.S.
at 769-770. The District Court in this
action engaged in just this "intensely
local appraisal." The District Court's
findings are so meticulously supported by
the record as to warrant summary affirmance
by this Court.
II. THE DISTRICT COURT PROPERLY CON
SIDERED ALL THE STATE'S EVIDENCE
Appellants dispute the weight the
District Court gave to evidence that a
handful of black voters and a few black and
white politicians disagreed with the single
member district remedies proposed by
plaintiffs.
I n t heir J u r i s d i c t i o n a l S t at emeut
appellants allude to the testimony of one
black legislator and some white politicians
who supported retention of the multi-member
redistricting plans under which they were
elected and to the testimony of three black
witnesses who testified in opposition to
single member districts.
Appellants characterize this evidence
as substantial, J.S. at 21, and urge that
the Court below erroneously disregarded it.
In fact the District Court carefully
evaluated the testimony of all the State's
witnesses as a factor bearing upon the
claim of racial vote dilution. J.S. at
47a-48a. The Court found that the black
witnesses who testified for the State were
a "distinct minority" whose views "went
almost exclusively to the desirability of
the remedy sought by plaintiffs, and not to
44
the present existence of a condition of
vote dilution." _I_d. This finding is amply
supported by the record.
The appellants erroneously contend that
in evaluating a claim of racial vote
dilution, the District Court should have
found that evidence that the plaintiffs'
proposed remedy was not unanimously
endorsed by every member of the black or
white community outweighed all other
evidence of the objective factors identi
fied as relevant by Congress. This is
fundamentally inconsistent with the
Congressional mandate in amending Section 2
to eliminate racial vote dilution. It does
not raise a substantial question. Compare
Swann v. Char1otte-Mecklenburq Board of
Education, 306 F. Supp. 1291, 1293 (W.D.
N . C . 1 9 6 9 ) a f f ' d , 402 U .S. 1 ( 1 9 7 1 ) . C f .
45
Cooper v. Aaron, 358 U.S. 1, 16 (1958);
Monroe v. Bd . of Commissioners, 391 U.S.
450, 459 (1968).
III. PRECLEARANCE UNDER SECTION
5 OF THE VOTING RIGHTS
ACT DOES NOT BAR APPELLEES'
CLAIM UNDER SECTION 2
Appellants rely on the decision by the
Assistant Attorney General of the United
States to preclear the House and Senate
reapportionments pursuant to Section 5 of
the Voting Rights Act to contend that
appellees (plaintiffs below) were estopped
or precluded from pursuing their Section 2
claims in those districts composed of
46
counties covered by Section 5. This
argument is specious, and was rejected by
the District Court for three reasons:
(1) The statute expressly contem
plates a d_e novo statutory action by
private plaintiffs; (2) The substan
tive standard for a violation of
Section 5 is not coterminous with the
substantive standard under Section 2;
and (3) Section 3 preclearance is an
£21 Pa r te non-adversarial process that
has no collateral estoppel effect.
Section 5 of the Voting Rights Act
expressly contemplates a c[e novo action
such as in the instant case:
Neither an affirmative indication
by the Attorney General that no
objection will be made nor the
Attorney General's failure to
object, nor a declaratory
10 This argument is limited to House District
#8 and Senate District #2, the only
districts composed of counties covered by
Section 5.
47
judgment entered under this
section shall bar a subsequent
action to enjoin enforcement of
such qualification, prerequisite,
standard, practice, or procedure.
42 U.S.C. § 1973c.
The statute does not limit such actions to
purely constitutional claims or contain any
1 1qualifications barring Section 2 actions.
Private plaintiffs are entitled to bring a
subsequent action whether preclearance
results from "a declaratory judgment
entered under this section" or from "an
affirmative indication by the Attorney
General that no objection will be made."
Id. Moreover, the language in Section 5
Appellants were so informed by the
Assistant Attorney General in his April 30,
1982 preclearance letter to the State:
"Finally," he wrote, "we feel a respon
sibility to point out that Section 5 of the
Voting Rights Act expressly provides that
the failure of the Attorney General to
object does not bar any subsequent judicial
action to enjoin the enforcement of such
changes."
48
should be viewed in the light of the recent
amendments to Section 2, in which Congress
made clear that private citizens have a
statutory cause of action to enforce their
rights in both Section 5 covered and
uncovered jurisdictions. See House Report
at 32; Senate Report at 42. Plaintiffs are
therefore not barred from mounting a de
novo statutory or constitutional attack
upon a reapportionment plan notwithstanding
preclearance. Maj or v . Treen, supra, a t
327 n.1, citing United States v. East
Baton Rouge Parish School Bd., 594 F.2d 56,
59 n.9 (5th Cir. 1977).
Secondly, the failure of the Attorney
General to object under Section 5 cannot be
probative of whether there is a Section 2
violation unless the standards under these
two sections of the Voting Rights Act are
the same. There is nothing in the record
which demonstrates what standard the
49
Attorney General used in preclearing House
District #8 or Senate District # 2 . It is
particularly ambiguous since these two
districts were precleared in April 1982,
two months before the 1982 extension and
enactment of amendments to Section 2. It
is manifest, however, that the Attorney
General did not use the standard of a
statute yet to be enacted.
In addition, the legislative history
of the amendment of Section 2 suggests
that the use of the word "results" in the
statute distinguishes the standard for
proving a violation under the Section 2
totality of circumstances test from the
Section 5 regression standard for deter
mining discriminatory purpose or effect.
Senate Report at 68 and n. 224; 2 Voting
Rights Act: Hearings on S.53, S.1761,
S.1975, S.1992 and H.R. 3112 Before the
Subcomm. on the Constitution of the Senate
50
Comm. on the Judiciary, 97 th Cong., 2d
Sess. 80 (1982) (remarks of Sen. Dole), 128
Cong. Rec. H3841 (daily ed. June 23, 1982)
(remarks of Rep. Sensenbrenner, with which
Rep. Edwards concurs).
In short, nothing in the statute
itself, in the legislative history of the
recent, amendment of Section 2, in the case
, 1 2law of collateral estoppel, or in the
There are four criteria that must be
established before the doctrine of col
lateral estoppel can be invoked. 1) The
issue sought to be precluded must, be the
same as that involved in the prior liti
gation, 2) the issue must have been
actually litigated, 3) it. must have been
determined by a valid and final judgment,
and 4) the determination must, have been
essential to the judgment. See generally,
Wright, Miller and Cooper, Federal Practice
and Procedure: Jurisdiction § 4416 e"E7”
seq; Alien vT'HcCurry, 449 U.S. 90 (198077
The party asserting estoppel has the burden
of proving all elements of the doctrine,
especially the existence of a full and fair
opportunity to litigate the issue. Id. at
95. Matter of Me r r i11 , 594 F.2d 1064, 1066
( 51 h” Cir . 1979) ; Kremer v. Chemical
Construction Corporation. 456 U.S. 461, 481
(1982): "Redetermination of issues is
warranted if there is reason to doubt the
guality extensiveness, or fairness of pro-
51
treatment of other administrative agency
determinations where there is a statutory
1 3right to trial de novo, supports appellant-
cedures followed in prior litigation." Even
if all criteria are satisfied, relitigation
may be appropriate because of the potential
import of the first determination on the
public interest or the interest of persons
not part ies to the oriqinal action. Porter
and Dietsch, Inc. v. F.T.C., 605 F.2d 294,
300- (7th Cir. 1 9~79 ) c er t . ' den i ed , 445 U.S.
950 (1979).
This Court has held that a Title VII
plaintiff's statutory right to a trial de
novo is not foreclosed by submission of the
claim to final arbitration, Alexander v.
Gardner-Denver Company, 415 U.S. 36 ( 1 974) ,
even though the complainant is a party to
the administrative proceeding. Similarly,
a federal employee whose employment
discrimination claims were rejected by the
Veterans Administration and the Civil
Service Commission Board of Appeals and
Review was nevertheles entitled to a trial
de novo. Chandler v, Roudebush, 425 U.S.
840 (1976). Moreover, although admissible
as evidence at the de novo proceeding, the
agency decision was entitled only to the
weight deemed appropriate by the court.
Alexander v. Gardner-Denver, 415 U.S. at
59-60.
52
s' claim that. Section 5 preclearance
precludes subsequent litigation of a
violation under section 2.
The nature of the administrative
preclearance process itself exposes the
vacuity of appellants' preclusion argu
ment. Appellants concede that the Section
5 review was conducted e_x parte as a
14nonadversary proceeding. There was no
formal hearing consistent with fundamental
Jurisdictional Statement at 16: "In
fact, these districts were designed by
counsel and legislative drafters in daily
contact with the Assistant Attorney General
and members of the staff of the Civil
Rights Division." Indeed, other than this
admission, the record is devoid of the
reasoning or facts behind the Assistant
Attorney General's ultimate preclearance
decision. In his preclearance letters, the
Assistant Attorney General never even
mentions House District 8 and there is
absolutely nothing in the record to support
appellants' claim that the Attorney General
determined "that it was in the best
interests of the black voters not to
diminish black influence in (Senate)
District 6 in order to 'pack* (Senate)
District 2." J.S. at 16-17.
53
no tions of due process, and, unlike
appellants, who were in "daily contact with
the Assistant Attorney General," J.S. at
16, appellees could not be and were not
parties to the preclearance determination.
Nor were appellees entitled to appeal or
in any form seek judicial review of the
preclearance decision. Morris v. Gres-
sette, 432 U.S. 491 (1977).
The Justice Department Section 5
regulations provide that a covered juris
diction must submit voting changes for
preclearance review, but the reviewing
official is not required to publish an
opinion nor set forth reasons for the
preclearance decision. See 28 CFR §51.41.
The procedure is so informal that a
determination may be made without the
Justice Department taking any definitive
action at all. If a state submits a plan
and the Department takes no action within
sixty days, the plan is presumptively
approved. Id. A conference may be
requested by the submitting jurisdiction
on reconsideration of an objection, 28 CFR
§51.46, but none is required initially.
Parties opposing preclearance have no
formal role in the deliberations.
54
Morris v. Gressette arose in the
context of a claim that private plaintiffs
had a right to judicial review of the
administrative preclearance process. In
holding that private parties had no such
right to inguire into the reasoning behind
the Attorney General's decision, to review
the process by which he considered the
change or to appeal directly his determi
nation, this Court was persuaded that
Congress had provided, through the statu
tory grant of a trial de_ novo , for black
voters who disagree with the preclearance
decision and who have no other means of
protecting their interests. Morris v .
Gressette , 432 U.S. at 506-07. Indeed,
this is directly stated in the only other
case, Donnell v. United States, 682 F.2d
240, 247 (D.C. Cir. 1982), which appellants
cite to support their claim of pre-emption.
Neither Donnell nor Morris v. Gres-
55
s e 11 e supports the appellants' preclusion
arguments. Indeed, they affirmatively
recognize that the Attorney General may
have interests other than the interests of
minority voters and, more importantly, that
the voters' interests are explicitly
protected by the statutory right to a trial
de novo.
Thus, the District Court properly
found the Attorney General's preclearance
determination "has no issue preclusive
(collateral estoppel) effect in this
action." (Citation omitted) J.S. at 54a.
The decision below should be affirmed
summarily.
56
CONCLUSION
Because appellants did not raise any
substantial question which requires further
argument, the Court should affirm the
judgment of the District Court or dismiss
the appeal .
Respectfully submitted
JULIUS CHAMBERS
*LANI GUINIER
NAACP Legal Defense and
Educational Fund, Inc.
99 Hudson Street
16th Floor
New York, New York 10013
(212)219-1900
LESLIE J. WINNER
Ferguson, Watt, Wallas,
and Adkins, P.A.
951 South Independence
Boulevard
Charlotte, North Carolina
28202
(704) 375-8461
Attorneys for Appellees
♦Counsel of Record
Hamilton Graphics, Inc.— 200 Hudson Street, New York N.Y.— (212) 966-4177