58 F.3d 814 (2nd Cir. 1995), 565, Baker v. Cuomo
| Citation | 58 F.3d 814 |
| Party Name | Theodore BAKER, Raymond Strawder, Yohannes Jackson, Mark A. Simon and Malcolm Nelson, Plaintiffs, Milton Goodman, Anthony Canady, Tyrone Sanchez and Richard Jackson, Plaintiffs-Appellants, v. Mario CUOMO, Governor of the State of New York, Thomas A. Coughlin, Commissioner of New York State Department of Correctional Services, Defendants-Appellees. |
| Case Date | May 12, 1995 |
| Court | United States Courts of Appeals, U.S. Court of Appeals — Second Circuit |
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Argued Dec. 15, 1994.
Opinion Denying Rehearing
June 19, 1995.
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[Copyrighted Material Omitted]
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Andrew L. Shapiro, New Haven, CT, Yale Law School, (Brett Dignam, New Haven, CT, The Jerome N. Frank Legal Services Organization, of counsel, on the brief), for plaintiffs-appellants.
Laura M. Nath, New York City, Asst. Atty. Gen. (G. Oliver Koppell, Atty. Gen., Frederic L. Lieberman, Asst. Atty. Gen., of counsel, Patrick M. McGuirk, Student Intern), for defendants-appellees.
Before: NEWMAN, Chief Judge, FEINBERG and MESKILL, Circuit Judges.
FEINBERG, Circuit Judge:
Plaintiffs-appellants are black and hispanic convicted felons held in a New York State prison. As incarcerated felons, they are denied the right to vote under Sec. 5-106 of New York State's Election Law (Sec. 5-106) even though other felons, who are not incarcerated, may exercise that right. Plaintiffs challenged their disenfranchisement by filing pro se complaints in the United States District Court for the Southern District of New York alleging civil rights violations by defendants, then-Governor of New York State Mario Cuomo and Commissioner of New York State Department of Correctional Services Thomas A. Coughlin. In particular, plaintiffs claimed that because of the racial composition of the state prison population and because of racially discriminatory sentencing in the state criminal justice system, defendants' enforcement of Sec. 5-106 violated Sec. 2 of the Voting Rights Act as well as the Fourteenth and Fifteenth Amendments of the United States Constitution.
The district court, Vincent L. Broderick, J., dismissed plaintiffs' complaints sua sponte pursuant to Fed.R.Civ.P. 12(b)(6). We reverse and remand for further proceedings.
I. Background
In September 1993, nine black and hispanic New York State prisoners, proceeding in forma pauperis and invoking 42 U.S.C. Sec. 1983, filed substantially identical pro se complaints in the district court, on behalf of themselves and all individuals similarly situated, alleging violations of their federal civil rights. In particular, they alleged that defendants deprived them of their right to vote by enforcing Sec. 5-106. That section provides, in relevant part:
Qualifications of voters; reasons for exclusion
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2. No person who has been convicted of a felony pursuant to the laws of this state, shall have the right to register for or vote at any election unless he shall have been pardoned or restored to the rights of citizenship by the governor, or his maximum sentence of imprisonment has expired, or he has been discharged from parole. The governor, however, may attach as a condition to any such pardon a provision that any such person shall not have the right of suffrage until it shall have been separately restored to him.
3. No person who has been convicted in a federal court, of a felony, or a crime or offense which would constitute a felony under the laws of this state, shall have the right to register for or vote at any election unless he shall have been pardoned or restored to the rights of citizenship by the president of the United States, or his maximum sentence of imprisonment has expired, or he has been discharged from parole.
4. No person who has been convicted in another state for a crime or offense which would constitute a felony under the laws of this state shall have the right to register for or vote at any election in this state unless he shall have been pardoned or restored to the rights of citizenship by the governor or other appropriate authority of such other state, or his maximum sentence has expired, or he has been discharged from parole.
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5. The provisions of subdivisions two, three and four of this section shall not apply if the person so convicted is not sentenced to either death or imprisonment, or if the execution of a sentence of imprisonment is suspended.
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N.Y.Elec.Law Sec. 5-106 (McKinney) (emphasis supplied).
Each plaintiff further alleged that blacks and hispanics comprise a disproportionately high percentage of the New York State prison population and that defendants' enforcement of Sec. 5-106 "deprives plaintiff of his right to vote and promotes racial discrimination in voting practices ... [without a] compelling [state] interest."
Each plaintiff sought declaratory and injunctive relief, primarily requesting that the district court direct defendants "Cuomo and Coughlin to ensure and enable plaintiff and those similarly situated to vote in the November, 1993 New York City elections, and all future elections until a ruling is enter[ed] in this pending action[ ]." They also sought "nominal damages" of $1.50 per day if defendants did not enable them to vote.
Defendants never answered these complaints. While they were preparing to respond, the district court suggested that they instead await the outcome of the court's sua sponte action. Thereafter, in a memorandum opinion dated December 1993, the district court sua sponte consolidated the nine complaints and notified plaintiffs that unless they responded "to the considerations outlined" in its opinion, it would dismiss the claims under Fed.R.Civ.P. 12(b)(6) for failure to state a claim upon which relief may be granted. Baker v. Cuomo, 842 F.Supp. 718, 723 (S.D.N.Y.1993).
The district court's thoughtful memorandum opinion stated that this case "raises profound issues." Id. at 720. The court identified a number of potential legal bases for plaintiffs' claims, including violation of the Voting Rights Act and violation of the equal protection component of the Fourteenth Amendment. The court did not mention the Fifteenth Amendment as a possible ground of recovery. In justifying dismissal, the court stated that the issues raised had been "examined by the judiciary with uniform negative outcomes," id. at 720, and added that "awaiting responses by the defendants would consume resources with little likelihood of benefit to plaintiffs." Id. However, the opinion invited this court to take a different view, noting that an appellate court might choose to grant the relief sought in light of "the importance of voting rights and the weakness of contrary imperatives." Id. at 721. The court then considered the specific causes of action it had identified.
Regarding the equal protection claim, the court stated, "Voting is a fundamental political right[.] Disenfranchisement of felons under state law, however, has been consistently upheld." Id. (citations omitted). The court went on to note that both the "Equal Protection Clause and the federal Voting Rights Act" protect "members of minority communities." But, the court pointed out, "political empowerment of those convicted of crime [might] ... depriv[e] innocent citizens of the opportunity to guide the destiny of their municipalities or obtain representation at the county or state level." Id. at 720-21 (footnote omitted). In addressing the alleged Voting Rights Act violation, the court stated, "Disproportionate racial impact of felon disenfranchisement on a minority voting population does not establish a violation of the Voting Rights Act absent other reasons to find discrimination." Id. at 722.
The court gave plaintiffs 45 days to respond to its concerns and tolled defendants' time to move or answer pending the outcome of its sua sponte determination. The district court also denied a request by plaintiffs for appointment of counsel. Id. at 723. Finally, the court declined to consider class certification because "all complaints will be dismissed unless cause to the contrary can be shown." Id. at 720 n. 1.
In February 1994, four of the original plaintiffs, Milton Goodman, Richard Jackson, Tyrone Sanchez and Raymond Strawder, filed pro se amended complaints and supporting memoranda in response to the district court's order. These complaints were also substantially identical, although more detailed than the original complaints. The
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amended complaints clarified the bases of plaintiffs' claims for relief under Sec. 1983 for violations of the Voting Rights Act, the Fourteenth Amendment and the Fifteenth Amendment.
The relevant factual contentions raised in the amended complaints were as follows:
10) Upon information and belief, Blacks and Latinos combined comprise approximately 22 percent of New York State's population.
11) Upon information and belief, Blacks and Latinos comprise 82 percent of New York State's prison population.
12) Upon information and belief, approximately 75 percent of New York State's prison population consists of persons from [14 state] assembly districts ..., which are located in New York City.
13) In 1988, New York State's Chief Judge ... commissioned a committee titled The New York State Judicial Commission On Minorities ... to study the presence and effects of racism in the state's courts.
14) In April 1991, the [Commission] reported [in a "Report on Minorities"] that there was evidence of race-based disparity in the State Courts' conviction rate and sentence type....
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21) Prior to the September 1993, New York City Primary, plaintiff informed defendant Cuomo that N.Y.Election law Sec. 5-106(5) violated the equal protection clause of the Federal and State Constitutions, and requested that Cuomo take action to ensure plaintiff's right to vote in the upcoming City-wide Primary and Election.
22) In...
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