Lead Opinion
Following the 2010 Decennial Census, the General Assembly of North Carolina enacted redistricting plans for the North Carolina Senate and House of Representatives, and for the North Carolina districts for the United States House of Representatives. Plaintiffs challenge the legality of these plans, arguing that they violate the Constitutions of the United States and of North Carolina, controlling federal statutes, and applicable decisions of the Supreme Court of the United States (the Supreme Court) and the Supreme Court of North Carolina. The three-judge panel
In compliance with the Supreme Court’s mandate, we have reconsidered this case in light of Alabama. Specifically, Alabama requires a district-by-district analysis in which the federal equal population requirement is simply a “background” rule that does not influence the predominant motive analysis. Alabama, _ U.S. at _,
1. Procedural Background
The Constitution of North Carolinarequires decennial redistricting of the North Carolina Senate and North Carolina House of Representatives, subject to several specific requirements. The General Assembly is directed to revise the districts and apportion Representatives and Senators among those districts (“House Districts” and “Senate Districts” or, collectively, “State House and Senate Districts”). N.C. Const, art. II, §§ 3, 5. Similarly, consistent with the requirements of the Constitution of the United States, the General Assembly establishes North Carolina’s districts for the United States House of Representatives (Congressional Districts) after every decennial census. U.S. Const, art. I, §§ 2, 4; 2 U.S.C. §§ 2a, 2c (2012).
Redistricting in North Carolina has been challenged in this Court on multiple occasions.
The North Carolina Constitution “enumerates several limitations on the General Assembly’s redistricting authority.” Pender County,
Sec. 3. Senate districts; apportionment of Senators.
The Senators shall be elected from districts. The General Assembly, at the first regular session convening after the return of every decennial census of population taken by order of Congress, shall revise the senate districts and the apportionment of Senators among those districts, subject to the following requirements:
(1) Each Senator shall represent, as nearly as may be, an equal number of inhabitants, the number of inhabitants that each Senator represents being determined for this purpose by dividing the population of the district that he represents by the number of Senators apportioned to that district;
(2) Each senate district shall at all times consist of contiguous territory;
*488 (3) No county shall be divided in the formation of a senate district;
(4) When established, the senate districts and the apportionment of Senators shall remain unaltered until the return of another decennial census of population taken by order of Congress.
Sec. 5. Representative districts; apportionment of Representatives.
The Representatives shall be elected from districts. The General Assembly, at the first regular session convening after the return of every decennial census of population taken by order of Congress, shall revise the representative districts and the apportionment of Representatives among those districts, subject to the following requirements:
(1) Each Representative shall represent, as nearly as may be, an equal number of inhabitants, the number of inhabitants that each Representative represents being determined for this purpose by dividing the population of the district that he represents by the number of Representatives apportioned to that district;
(2) Each representative district shall at all times consist of contiguous territory;
(3) No county shall be divided in the formation of a representative district;
(4) When established, the representative districts and the apportionment of Representatives shall remain unaltered until the return of another decennial census of population taken by order of Congress.
N.C. Const, art. II, §§ 3, 5.
While the federal one-person, one-vote standard addresses every district statewide, our state law instructs that the state constitution’s equal population requirement must be read in the context of the geographic boundaries of counties, the state-recognized political subdivisions. In other words, the Whole County Provision, as recognized by this Court, requires that each State House and Senate District be confined to a single
In addition, the General Assembly followed the mandatory framework of our decision in Stephenson I, which harmonized the
Following the 2010 census, leaders of the North Carolina House of Representatives and the North Carolina Senate independently appointed redistricting committees. Each committee was responsible for recommending a plan applicable to its own chamber, while the two committees jointly were charged with preparing a redistricting plan for North Carolina’s Congressional districts for the United States House of Representatives.
Guided by the United States Supreme Court’s redistricting principles, in addition to the state constitution and the mandatory framework of this Court’s prior decisions, the redistricting committees sought information and suggestions from numerous sources, including the North Carolina Legislative Black Caucus and the North Carolina delegation to the United States Congress. In addition, these committees solicited input from various constituencies; invited public comment and conducted public hearings in multiple counties, including twenty-four of the forty counties then covered by section 5 of the Voting Rights Act;
The. General Assembly convened on 25 July 2011 to deliberate the redistricting plans drawn by the House and Senate committees. That same day, the leaders of the Democratic Party and the Legislative Black Caucus submitted other alternative maps. On 27 July, the General Assembly ratified the 2011 North Carolina Senate redistricting plan and the 2011 plan for the federal House of Representatives districts. On
On 3 November 2011, Margaret Dickson and forty-five other registered voters filed a complaint seeking to have the three redistricting plans declared invalid on both constitutional and statutory grounds. These plaintiffs filed an amended complaint on 12 December 2011. On 4 November 2011, the North Carolina State Conference of Branches of the NAACP, joined by three organizations and forty-six individuals, filed a complaint seeking similar relief. These plaintiffs filed an amended complaint on 9 December 2011. Following the filing of the original complaints, then-Chief Justice Sarah Parker of the Supreme Court of North Carolina appointed a panel of three superior court judges to hear these actions, pursuant to N.C.G.S. § 1-267.1. On 19 December 2011, the three-judge panel consolidated both cases for all purposes.
Plaintiffs argue that the redistricting violated their federal and state equal protection rights as well as the state constitution’s Whole County Provision. Underlying all of plaintiffs’ complaints is the implicit argument that the Supreme Court incorrectly decided Strickland and that the General Assembly impermissibly utilized a fifty percent plus one black voting age population in the challenged VRA districts.
On 6 February 2012, the three-judge panel allowed in part and denied in part defendants’ motion to dismiss. Plaintiffs filed a motion for partial summary judgment on 5 October 2012, and defendants filed a motion for summary judgment on 10 December 2012. The three-judge panel heard arguments on these motions on 25 and 26 February 2013.
While a ruling on the motions for summary judgment was pending, the three-judge panel issued an order determining that genuine issues of material fact existed as to two issues that could not be resolved by
In rendering its ruling, the three-judge panel conducted a district-by-district review of the constitutionality of each challenged district. After considering thousands of pages of evidence and testimony from numerous witnesses, the panel produced a detailed, one hundred seventy-one page document setting out its findings of fact and conclusions of law. In upholding the General Assembly’s redistricting plans, the panel recognized-that:
Redistricting in North Carolina is an inherently political and intensely partisan process that results in political winners and, of course, political losers....
Political losses and partisan disadvantage are not the proper subject for judicial review.... Rather, the role of the court in the redistricting process is to ensure that North Carolinians’ constitutional rights - not their political rights or preferences - are secure.
The three-judge panel first considered plaintiffs’ claims that the General Assembly’s redistricting plans violated the equal protection guarantees of the United States and North Carolina Constitutions. The panel’s first step was to determine which level of scrutiny to apply to each challenged district. It recognized that while generally “all racial classifications [imposed by a government] . . . must be analyzed by a reviewing court under strict scrutiny,” see Johnson v. California,
The three-judge panel determined that twenty-six
The three-judge panel made specific findings of fact for each of the twenty-six VRA districts. Based on its findings, the three-judge panel concluded that the twenty-six VRA districts survive strict scrutiny because they were narrowly tailored to achieve a compelling governmental interest in “avoiding/uiure liability under § 2 of the VRA and ensuring future
The three-judge panel concluded that avoiding section 2 liability was a compelling governmental interest because, based upon the panel’s exhaustive review of the entire record, “the General Assembly had a strong basis in evidence to conclude that each of the Gingles preconditions was present in substantial portions of North Carolina,” see Thornburg v. Gingles,
The three-judge panel next concluded that each of the twenty-six VRA districts was narrowly tailored to avoid section 2 liability and to ensure section 5 preclearance. See Shaw I,
First, the unanimous panel found that the enacted plans do not contain a greater number of VRA districts than are reasonably necessary to comply with the VRA because “the General Assembly had a strong basis in evidence for concluding that ‘rough proportionality’ was reasonably
Second, the panel found that the General Assembly did not unnecessarily “pack” VRA districts -with black voters when it endeavored to create all VRA districts with at least fifty percent TBVAP in order to avoid liability under section 2. See Strickland,
Third, the three-judge panel heard evidence on the following issue:
Assuming application of a strict scrutiny standard and, in considering whether the Enacted Plans were narrowly tailored, was each challenged VRA district drawn in a place where a remedy or potential remedy for racially polarized voting was reasonable for purposes of preclearance or protection of the State from vote dilution claims under the Constitution or under § 2 of the VRA?
Based on this evidence the panel made numerous detailed findings of fact, including one hundred eighty-eight findings on this issue set out in Appendix A of its judgment. The three-judge panel conducted an individualized analysis of each of the VRA districts, setting out how racially polarized voting was found in the locales. For example, the court noted
Finally, the three-judge panel found that the VRA districts are sufficiently compact and regular in shape to meet the requirement that they be narrowly tailored. Quoting Justice Kennedy, the panel stated: “ ‘Districts not drawn for impermissible reasons or according to impermissible criteria may take any shape, even a bizarre one,’ provided that the bizarre shapes are not ‘attributable to race-based districting unjustified by a compelling interest.’ ” Vera,
Ultimately, the three-judge panel concluded that plaintiffs failed to produce alternative plans that (1) contain VRA districts in rough proportion to the black population in North Carolina, (2) comply with the General Assembly’s decision, as supported by Strickland, to populate each VRA district with more than fifty percent TBVAP, or (3) comply with the state constitution’s Whole County Provision.
Accordingly, the three-judge panel concluded that
based upon the law and the undisputed facts, and allowing for the limited degree of leeway that permits the General Assembly to exercise political discretion in its reasonable efforts to address compelling governmental interests, the trial court finds that the General Assembly had a strong basis in evidence for concluding that the VRA districts in the Enacted Plans, as drawn, were reasonably necessary to protect the State from anticipated liability under § 2 of the VRA and ensuring preclearance under § 5 of the VRA.
Because it found that the twenty-six VRA districts were narrowly tailored to achieve a compelling governmental interest, the three-judge
Next, the three-judge panel considered the constitutionality of the four remaining challenged districts, which were non-VRA districts.
As it did for the twenty-six VRA districts, based upon the evidence received, the three-judge panel made specific findings of fact as to each non-VRA district, including Senate District 31 and House District 51. After conducting a detailed, district-by-district analysis, the panel made numerous specific findings of fact on whether race was the General Assembly’s predominant motive in drawing these districts.
Based upon its findings, the three-judge panel concluded that rational basis review was the appropriate level of scrutiny for each of the non-VRA districts and that “the General Assembly has articulated a reasonably conceivable state of facts, other than a racial motivation, that provides a rational basis for creating the non-VRA districts.” Moreover, the three-judge panel determined that plaintiffs failed to proffer, as required by Cromartie II, “any alternative redistricting plans that show that the General Assembly could have met its legitimate political objectives in alternative ways that are comparably consistent with traditional districting principles.” See Cromartie II,
The three-judge panel next addressed plaintiffs’ claim that the Senate and House plans violated the Whole County Provision of the North Carolina Constitution. The panel concluded that the enacted plans conform to the Whole County Provision, as interpreted and applied by this Court in Stephenson I and Stephenson v. Bartlett,
Plaintiffs entered timely notice of appeal pursuant to N.C.G.S. § 120-2.5. On 19 December 2014, this Court affirmed the three-judge panel’s decision, holding “that the General Assembly’s enacted plans do not violate plaintiffs’ constitutional rights.” Dickson,
Our review of the three-judge panel’s unanimous decision is limited. Though “[o]ur standard of review of an appeal from summary judgment is de novo,” In Re Will of Jones,
II. Overview of Alabama and Its Impact Here
Like the case before us, the Alabama case involved a challenge to the state legislature’s redistricting plans following the 2010 decennial census. Alabama, _ U.S. at _,
The plaintiffs in Alabama claimed that the legislature’s new districts created “racial gerrymanders” that violated the Equal Protection Clause of the Fourteenth Amendment. Id. at _,
First, the Supreme Court in Alabama held that the district court erred by considering the state “as a whole,” rather than conducting a “district-by-district” analysis of the racial gerrymandering claims. Id. at _,
Second, the Supreme Court held that the district court erred in ruling that one of the plaintiffs lacked standing without giving that plaintiff an opportunity to prove that it had standing. Id. at _,
Third, as previously noted, the Alabama legislative committee placed great emphasis on ensuring that no district deviated by more than one percent from the theoretical equal population ideal. The Supreme Court held that the district court improperly concluded that “[r]ace was not the predominant motivating factor” in the creation of any of the challenged districts because the court “placed in the balance, among other nonracial factors, legislative efforts to create districts of approximately equal population.” Id. at _,
This portion of the Alabama decision supports our holding here. The legislative committee in Alabama adopted guidelines that included compliance with the federal one-person, one-vote standard. In contrast, North Carolina’s constitutional equal population criteria are a component of and intertwined with the state constitution’s Whole County Provision, as explained above. See N.C. Const. art. II, §§ 3(1), 5(1); Stephenson I,
Last, in Alabama the Supreme Court held that the district court misinterpreted the requirements of section 5 of the VRA in finding that the challenged districts were “narrowly tailored” to satisfy strict scrutiny.
The three-judge panel’s conclusion here that the twenty-six challenged VRA districts survive strict scrutiny is consistent with the Supreme Court’s clarification of the section 5 narrow tailoring analysis. Our conclusion that the VRA districts are constitutional is not dependent on a section 5 analysis. Each of the challenged VRA districts subject to strict scrutiny was created because the State had a compelling interest in compliance with section 2, and each was narrowly tailored to accomplish that goal; therefore, each of the VRA districts is constitutional on
Significantly, the United States Supreme Court in Alabama did not modify its prior holding in Strickland, where it made clear that a state legislature may create majority-minority VRA districts with a fifty percent plus one TBVAP. Id. at 23,
III. Plaintiffs’ Federal Claims
We now consider plaintiffs’ claims brought under federal law. If a redistricting plan does not satisfy federal requirements, it fails even if it is consistent with the law of North Carolina. See U.S. Const. art. VI, § 2; N.C. Const. art. I, § 3. Nonetheless, as emphasized by Stephenson I, in making redistricting decisions, federal and state law must be read in harmony.
A court considering allegations of racial gerrymandering first must determine the appropriate level of scrutiny. Strict scrutiny, the highest tier of review, applies “when the classification impermissibly interferes with the exercise of a fundamental right or operates to the peculiar disadvantage of a suspect class.” White v. Pate,
A party challenging a redistricting plan has the burden of establishing that race was the predominant motive behind the state legislature’s action. Miller,
[t]he plaintiff’s burden is to show, either through circumstantial evidence of a district’s shape and demographics or more direct evidence going to legislative purpose, that race was the predominant factor motivating the legislature’s decision to place a significant number of voters within or without a particular district. To make this showing, a plaintiff must prove that the legislature subordinated traditional race-neutral districting principles, including but not limited to compactness, contiguity, and respect for political subdivisions or communities defined*506 by actual shared interests, to racial considerations. Where these or other race-neutral considerations are the basis for redistricting legislation, and are not subordinated to race, a State can “defeat a claim that a district has been gerrymandered on racial lines.”
Id. at 916,
As a court considers which level of scrutiny is appropriate, it should be mindful of the Supreme Court’s observation that “courts must ‘exercise extraordinary caution in adjudicating claims that a State has drawn district lines on the basis of race.’ ” Cromartie II, 532 U.S. at 242,
A court’s determination of the predominant motive underlying a redistricting plan is factual in nature. Cromartie I,
B. The VRA Districts
We turn first to the twenty-six state legislative VRA districts that the three-judge panel subjected to strict scrutiny. As to these districts, the panel reached two significant conclusions. First, the panel unanimously found that “it is undisputed that the General Assembly intended to create 26 of the challenged districts to be ‘Voting Rights Act districts’ ” that would include a TBVAP of at least fifty percent. This unchallenged finding of fact is binding on us. Koufman,
1. Predominant Motive
The challenges faced by the General Assembly while redistricting are easy to express but persistently difficult to resolve. The Fourteenth Amendment, by guaranteeing equal protection for all citizens regardless of race, essentially prohibits consideration of race during redistricting. U.S. Const, amend. XTV, § 1. Yet the Voting Rights Act, passed “to help effectuate the Fifteenth Amendment’s guarantee that no citizen’s right to vote shall ‘be denied or abridged ... on account of race, color, or previous condition of servitude,’ ” Voinovich v. Quilter,
Despite this cat’s cradle of factors facing the General Assembly, the three-judge panel found that no factual inquiry was required regarding the General Assembly’s predominant motivation in forming the twenty-six VRA districts beyond the General Assembly’s concession that the districts were drafted to be VRA-compliant. In light of the many other considerations potentially in play, we do not believe that this concession established that race ipso facto was the predominant motive driving the General Assembly. The three-judge panel assumed that because federal law requires racial considerations, race then predominates. Yet, it appears from the three-judge panel’s findings that the General Assembly was concerned with compliance with federal law more than addressing race per se. In other words, race was only a factor insomuch as required by federal law. Because of the three-judge panel’s truncated findings of fact on this issue, we do not know which additional factors may have influenced the creation and shape of these twenty-six districts and the extent of any such influence. As a result, we do not know whether race fairly can be described as the predominant factor in the formation of these districts and whether, in turn, strict scrutiny was the appropriate level of scrutiny. Moreover, in future cases such an assumption— that deliberate creation of VRA-compliant districts equates to race as the predominant motive in creating the districts — may well shortcut the fact-finding process at which trial courts excel, resulting in scanty records on appeal. Accordingly, we hold that the three-judge panel erred in concluding as a matter of law that, just because the twenty-six districts were created to be VRA-compliant, the General Assembly was motivated predominantly by race.
Nonetheless, this error is not fatal and does not invalidate the three-judge panel’s decision. First, the panel itself concluded that, “[t]o the extent that the most exacting level of review, strict scrutiny, is not warranted ...[,] under a lesser standard of review, such as a
The posture of the litigants here is distinguishable because plaintiffs, unlike their counterparts in Cromartie I, lost at summary judgment and are the appealing party; however, even if we were to follow Cromartie Is lead and reverse, plaintiffs could gain nothing on remand. The basis for our reversal would be that the three-judge panel erred in applying strict scrutiny before making adequate findings of fact. As the panel noted in its Judgment, if defendants’ plans survived strict scrutiny, they would surely survive a less rigorous review. On the other hand, if the three-judge panel on remand found facts and determined once more that strict scrutiny is proper, the panel has already conducted its analysis under that standard. If these plans survive strict scrutiny, they survive rational basis review.
2. Compelling Governmental Interest
We begin this analysis by considering the factors that defendants contend constitute a “compelling governmental interest.” See Stephenson I,
Although the Supreme Court has never held outright that compliance with section 2 or section 5 can be a compelling state interest, that Court has issued opinions that expressly assumed as much. To be specific, the Supreme Court in Shaw II assumed arguendo that compliance with section 2 could be a compelling state interest,
We next consider whether compliance with either section 2 or section 5 constitutes a compelling state interest under the facts presented here. Those goals may reach the level of a compelling state interest if two conditions are satisfied. First, the General Assembly must have identified past or present discrimination with some specificity before it could turn to race-conscious relief. Shaw II,
a. Compelling Interest Under Section 2 of the Voting Rights Act
Before we turn our attention to consideration of individual districts, we consider the application of section 2 of the VRA in the instant case. “The essence of a § 2 claim is that 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.” Gingles,
Unlike cases such as Gingles, in which minority groups use section 2 as a sword to challenge districting legislation, here we are considering the General Assembly’s use of section 2 as a shield. Defendants argue that, because the Gingles test considers race, the State has a compelling interest in preemptively factoring race into its redistricting process to ensure that its plans would survive a legal challenge brought under section 2. To establish that this state interest is legitimate, defendants must show a strong basis in evidence that the possibility of a section 2 violation existed at the time of the redistricting. See Shaw II,
Thus, to establish a compelling interest in complying with section 2 when the redistricting plans were developed, the legislature at that time must have had a strong basis in evidence that the TBVAP in a geographically compact area was fifty percent plus one of the area’s voting population. Such evidence would satisfy the first Gingles precondition. Pender County,
The three-judge panel’s decision included two extensive appendices. In the body of the Judgment and Memorandum, the panel described the legislative record that existed when the plans were enacted, then referred to Appendix A, where this information was presented in detail. Appendix A, titled “Findings of Fact Relevant to the Issue of Racial Polarization in Specific Locations where Voting Rights Act Districts were Placed in the Enacted Plans,” is incorporated by reference into the three-judge panel’s decision.
Appendix A is broken into three parts. Part I, titled “General Findings of Fact,” opens with a summary of the background of the case, then notes results of recent elections. For instance, the three-judge panel observed that all black incumbents elected to the North Carolina General Assembly or the United States Congress in 2010 were elected in districts that were either majority black or majority-minority coalition districts. In addition, no black candidate elected in 2010 was elected from a majority white crossover district, and two black incumbent state senators running in majority white districts were defeated in that election. No black candidate for the United States Congress was elected in a majority white district between 1992 and 2010, while from 2004 through 2010, no black candidate was elected to office in a statewide partisan election.
In this Part I of Appendix A, the court also considered an academic study of racially polarized voting conducted by Ray Block, Jr., Ph.D. This study, prepared for the Southern Coalition of Social Justice, is titled “Racially Polarized Voting in 2006,2008, and 2010 in North Carolina State Legislative Contests.” Dr. Block employed Justice Brennan’s conclusion in Gingles that racially polarized voting occurs when there is a consistent relationship between the race of the voter and the way in which that person votes, and found that such a relationship existed in the areas examined. He added that he also found evidence that “majority-minority districts facilitate the election of [black] candidates.” The court determined that Dr. Block’s study provided “substantial evidence regarding the presence of racially polarized voting in almost all of the counties[
The three-judge panel made additional findings of fact in Part I of Appendix A that we believe would be pertinent to a Gingles totality of circumstances test and that, by extension, indicate a strong basis in evidence that the Gingles preconditions existed. At the beginning of the redistricting process, the General Assembly noted that North Carolina had been ordered to create majority black districts as a remedy for section 2 violations in Bertie, Chowan, Edgecombe, Forsyth, Gates, Halifax, Martin, Mecklenburg, Nash, Northampton, Wake, Washington, and Wilson Counties. See Gingles v. Edmisten,
In addition, the three-judge panel found as fact that the documents submitted by plaintiffs included a law review article prepared by an attorney for the North Carolina NAACP. Anita S. Earls et al., Voting Rights in North Carolina 1982-2006,17 S. Cal. Rev. L. & Soc. Just. 577 (2008).
In Part II of Appendix A, the three-judge panel conducted an individualized analysis of each of the VRA districts created by the General Assembly in 2011. Generally, each finding of fact relates to one district. While four of the findings of fact deal with more than one district, in each such instance those districts are situated within the same county. Each finding of fact in this Part II follows a similar pattern. The finding of fact begins with data that explain how the information in Part I of the Appendix applies to the district under examination. The finding of fact lists the counties included in the district, along with that district’s TBVAP. This information is pertinent to the first Gingles precondition, that the minority group is able to demonstrate that it is sufficiently large and geographically compact to constitute a majority in a single-member district. See Pender County,
Plaintiffs have not challenged any of the three-judge panel’s findings of fact relating to the twenty-six VRA districts, and thus those findings axe binding on appeal. Koufman,
Moreover, the three-judge panel made additional findings of fact, recited above, that would be relevant to the Gingles totality of circumstances test for twenty-two of the challenged VRA districts.
Based upon the totality of this evidence, we are satisfied that the three-judge panel correctly found that the General Assembly identified past or present discrimination with sufficient specificity to justify the creation of VRA districts in order to avoid section 2 liability. See Shaw II,
b. Compelling Interest Under Section 5 of the Voting Rights Act
As noted above, forty of North Carolina’s one hundred counties were covered by section 5 at the time of redistricting. This section, which prevents retrogression, forbids “[a]ny voting qualification or prerequisite to voting, or standard, practice, or procedure with respect to voting that has the purpose of or will have the effect of diminishing the ability of any citizens of the United States on account of race or color... to elect their preferred candidates of choice.” 52 U.S.C.S. § 10304(b).
We concluded above that compliance with section 5 was a compelling state interest at the time the plan was adopted. Turning then to the facts of this case, we take into account the evidence recited above in our discussion regarding the State’s concern about possible section 2 liability. In addition, the appendices,to the three-judge panel’s Judgment and Memorandum of Decision indicate that all of North Carolina Senate Districts 5, 21, and 28, and all of North Carolina House Districts 5, 7, 12, 24, 42, and 57 are in counties covered by section 5. Also, section 5 covers most of the territory contained in Congressional District 1, Senate Districts 4 and 20, and House Districts 21,32, and 48. Moreover, all of the
3. Narrow Tailoring
Having determined that defendants had a compelling interest both in avoiding section 2 liability and in avoiding retrogression under section 5, we now consider whether the redistricting was sufficiently narrowly tailored to advance those state interests as to the twenty-six districts created to comply with the Voting Rights Act. See Stephenson I,
a. Narrow Tailoring Under Section 2 of the Voting Rights Act
In the context of redistricting,
the “narrow tailoring” requirement of strict scrutiny allows the States a limited degree of leeway in furthering such interests [as VRA compliance]. If the State has a “strong basis in evidence” for concluding that creation of a majority-minority district is reasonably necessary to comply with § 2, and the districting that is based on race “substantially addresses the § 2 violation,” it satisfies strict scrutiny.
Vera,
As discussed above, the three-judge panel found that the General Assembly designed each of the challenged districts to consist of a TBVAP exceeding fifty percent of the total voting age population in that district. The Supreme Court and this Court have held that doing so is permissible as a method of addressing potential liability under section 2.
The TBVAP percentage ranges from a low of 50.45% to a high of 57.33% in the twenty-six districts in question; however, the average TBVAP of the challenged districts is only 52.28%. Twenty-one of the twenty-six districts have TBVAPs of less than 53%, and only two of these districts, Senate District 28 and House District 24, exceed 55% TBVAP. We are mindful that a host of other factors were considered in addition to race, such as the Whole County Provision of the Constitution of North Carolina, protection of incumbents, and partisan considerations, and these factors were considered against a backdrop of the state constitutional requirement of plus or minus five percent population deviation. As a result, we are satisfied that these districts are sufficiently narrowly tailored. They do not classify individuals based upon race to an extent greater than reasonably necessary to comply with section 2 of the VRA, while simultaneously taking into account traditional district-ing principles.
Plaintiffs argue that creating districts with a TBVAP percentage exceeding fifty percent constitutes impermissible racial packing, citing id. at 983,
Although the burden is upon the State under strict scrutiny, the parties challenging the redistricting must also make a showing.
In a case such as this one where majority-minority districts (or the approximate equivalent) are at issue and where racial identification correlates highly with political affiliation, the party attacking the legislatively drawn boundaries must show at the least that the legislature could have achieved its legitimate political objectives in alternative ways that are comparably consistent with traditional districting principles. That party must also show that those districting alternatives would have brought about significantly greater racial balance.
Cromartie II,
We are aware of the Supreme Court’s warning that “if there were a showing that a State intentionally drew district lines in order to destroy otherwise effective crossover districts, that would raise serious questions under both the Fourteenth and Fifteenth Amendments. ” Strickland,
b. Narrow Tailoring Under Section 5 of the Voting Rights Act
We first note that, as discussed above, the twenty-six challenged VRA districts survive strict scrutiny on the basis of section 2 alone. Nevertheless, we conclude that the challenged VRA districts are also narrowly tailored to advance the State’s compelling interest in avoiding retrogression under section 5.
The “purpose of § 5 has always been to insure that no voting-procedure changes would be made that would lead to a retrogression in the position of racial minorities with respect to their effective exercise of the electoral franchise.” Beer v. United States,
In Alabama, the Supreme Court made it clear that section 5 “does not require a covered jurisdiction to maintain a particular numerical minority percentage” in covered jurisdictions. _ U.S. at _,
Plaintiffs argue that by increasing the TBVAP in the challenged VRA districts to at least fifty percent plus one, the legislature improperly relied upon section 5 to unnecessarily augment, not just maintain, black voters’ ability to elect their preferred candidate of choice. See Vera,
Plaintiffs’ argument seeks to undo the Supreme Court’s holding in Strickland, which affirmed this Court’s decision in Pender County. In Strickland the Supreme Court explicitly rejected State election officials’ claim that “[section] 2 required them to override state law and split Pender County, drawing District 18 with [a black] voting-age population of 39.36 percent rather than keeping Pender County whole and leaving District 18 with [a black] voting-age population of 35.33 percent.”
As the Supreme Court stated in Alabama, “legislators may have a strong basis in evidence to use racial classifications in order to comply with a statute when they have good reasons to believe such use is required, even if a court does not find that the actions were necessary for statutory compliance.”_ U.S. at _,
Finally, because plaintiffs challenge the General Assembly’s consideration of proportionality, the three-judge panel analyzed whether the legislature used proportionality in the enacted plans improperly to “link[ ] the number of majority-minority voting districts to minority members’ share of the relevant population.” See De Grandy,
endeavored to create VRA districts in roughly the same proportion as the ratio of Black population to total population in North Carolina. In other words, because the 2010 census figures established that 21% of North Carolina’s population over 18 years of age was ‘any part Black,’ the corresponding rough proportion of Senate seats, out of 50 seats, would be 10 seats, and hence 10 VRA. Senate districts. Likewise, of the 120 House seats, 21% of those seats would be roughly 25 House seats, and hence 25 VRA districts.
Based on these and other findings, the three-judge panel concluded that “the General Assembly had a strong basis in evidence for concluding that ‘rough proportionality’ was reasonably necessary to protect the State from anticipated liability under § 2 of the VRA and ensuring pre-clearance under § 5 of the VRA.”
Plaintiffs argue that this conclusion is erroneous as a matter of law because racial proportionality is neither a compelling governmental interest nor a requirement of the VRA. They contend that, because “[t]he VRA was not designed to guarantee majority-minority voting districts, but to guarantee that the processes, procedures, and protocols would be fair and free of racial discrimination,” the legislature’s redistricting was based upon an unconstitutional premise. Plaintiffs contend that, by focusing on proportionality at the statewide level, the General Assembly necessarily predetermined how many VRA districts to draw without first considering where potential liability existed for section 2 violations. Plaintiffs maintain that, as a result, the General Assembly’s
The VRA provides that “nothing in this section establishes a right to have members of a protected class elected in numbers equal to their proportion in the population.” 52 U.S.C.S. § 10301(b). Consistent with this proviso, the Supreme Court has repeatedly held that proportionality does not provide a safe harbor for States seeking to comply with section 2. LULAC,
In light of these standards, the record here demonstrates that the General Assembly did not use proportionality improperly to guarantee the number of majority-minority voting districts based on the minority members’ share of the relevant population. We believe that such an effort, seeking to guarantee proportional representation, proportional success, or racial balancing, would run afoul of the Equal Protection Clause. See De Grandy,
Thus, with regard to the VRA districts, we hold that, while the General Assembly considered race, the three-judge panel erred by concluding prematurely that race was the predominant factor motivating the drawing of the districts without first performing adequate fact finding. Nonetheless, because we held above that the three-judge panel correctly found that each of the twenty-six districts survives strict scrutiny, we need not remand the case for reconsideration under what may be a less demanding level of scrutiny.
C. Non-VRA Districts
We now turn to the four districts that the three-judge panel found were not drawn as VRA districts but which were challenged by plaintiffs as being the result of racial gerrymandering. For trial, the three-judge panel characterized the issue as follows: “For six specific districts (Senate Districts 31 and 32, House Districts 51 and 54 and Congressional Districts 4 and 12 - none of which is identified as a VRA district), what was the predominant factor in the drawing of those districts?” Although the plaintiffs did not challenge Senate District 31 or House District 51, the three-judge panel found an examination of Senate District 32 and House District 54 to be intertwined with the associated districts because of the groupings required under the state constitution’s Whole County Provision. Thus, the three-judge panel recognized that, because of the Whole County Provision, a determination of the predominant motive necessarily included the motivation in creating the required county pairings.
After receiving evidence, the three-judge panel made numerous specific findings of fact, district by district, as to whether race was the General Assembly’s predominant motive in drafting these districts. Looking first at the challenged Congressional Districts, the court found that race was not a factor in drawing Congressional Districts 4 or 12. In fact, the record indicates that the drafters of these two districts did not consider any racial data. The panel found that political goals were a factor in drawing these two Congressional Districts, as well as compliance with Cromartie II.
Ultimately, regarding the four challenged non-VRA districts, the three-judge panel concluded “that race was not the predominant motive in the creation of [these] districts.” The panel then applied rational basis review and concluded that the General Assembly’s creation of the non-VRA districts was constitutional. The three-judge panel noted that plaintiffs
have not proffered, as they must in this instance, any alternative redistricting plans that show that the General Assembly could have met its legitimate political objectives in alternative ways that are comparably consistent with traditional districting principles, and that any such alternative plan would have brought about significantly greater racial balance. (Citations omitted.)
The Supreme Court has recognized that compliance with federal law, incumbency protection, and partisan advantage are all legitimate governmental interests, see Shaw I,
IV. Plaintiffs’ State Claims
We now consider plaintiffs’ claims brought under state law. Initially, we note that our analysis here is unaffected by the holding in Alabama. Plaintiffs argue that the three-judge panel erred when it failed to find that the enacted Senate and House plans violate the Whole County Provision of the North Carolina Constitution. Article II, Section 3(3) of the Constitution of North Carolina provides that “[n]o county shall be divided in the formation of a senate district,” while Article II, Section 5(3) contains a similar provision with regard to each representative district.
The tension between the Whole County Provision and federal requirements is apparent. In 1983, a three-judge panel of the United States District Court for the Eastern District of North Carolina held that the Whole County Provision was unenforceable anywhere in the state. Cavanagh v. Brock, 577 E Supp. 176, 181-82 (E.D.N.C. 1983). This Court subsequently rejected Cavanagh’s analysis and held that the Whole County Provision remained enforceable to the extent that it could be harmonized with federal law. Stephenson I,
As previously noted, this Court has set out nine criteria for ensuring that House and Senate Districts satisfy both the Whole County Provision and the Voting Rights Act. Stephenson I,
In their discussion of the Whole County Provision, plaintiffs contend that the test of a plan’s compliance with Stephenson Is fifth and sixth criteria is the number of counties left undivided. They argue that the current plan violates Stephenson I because it divides counties and traverses county lines to an unnecessary extent. In support of their argument, plaintiffs submit charts indicating that their suggested “House Fair and Legal” plan results in five fewer divided counties and six fewer county line traversals than the enacted House plan, while maintaining the same number of groupings. Similarly, plaintiffs’ charts indicate that their suggested “Senate Fair and Legal” plan divides five fewer counties and contains eleven fewer traversals of county lines than the enacted Senate plan.
Defendants respond that plaintiffs have misinterpreted the requirements of Stephenson I. According to defendants, Stephenson I is satisfied by minimizing the number of counties contained within each multi-county grouping. In other words, a proper plan maximizes the number of possible two-county groupings before going on to create three-county groupings, maximizes the number of possible three-county groupings before creating four-county groupings, and so on. Defendants argue that plaintiffs have misread Stephenson I because, under Stephenson I, divisions of counties and traversals of county lines are relevant only if plaintiffs’ alternative maps are comparable to the State’s maps in terms of the number of counties within each grouping. In support of its argument, the State provides charts showing that the enacted House and Senate plans result in a greater number of groupings that contain fewer counties, as compared with the various proposed alternative plans, all of which create groupings that contain more counties than the enacted plans. To illustrate, the enacted House district plan contains eleven groupings consisting of one county and fifteen groupings consisting of two counties. The closest comparable alternative plan proposed by
While we are conscious of the efforts of the litigants to interpret Stephenson Ts requirements faithfully, after careful review of our opinions in Stephenson I and Pender County, we are satisfied that defendants’ interpretation is correct. Stephenson Ts fifth factor states that, when combining two or more counties to comply with the one-person, one-vote standard, “the requirements of the [Whole County Provision] are met by combining or grouping the minimum number of whole, contiguous counties necessary” for compliance.
In addition, the maps that plaintiffs employ to support their arguments regarding the Whole County Provision are not helpful because they are inconsistent with our holding in Pender County as affirmed by the Supreme Court in Strickland. In Strickland the Supreme Court held that the first Gingles precondition can be shown only where the minority population is fifty percent plus one of the TBVAP. Strickland,
Plaintiffs have also compared the General Assembly’s enacted plans with earlier redistricting plans approved in North Carolina; however, those plans were tailored to a particular time and were based upon then-existing census numbers and population concentrations. The requirement that the State maintain its one-person, one-vote standard as populations shift makes comparisons between current and previous districting plans of limited value. The utility of prior plans is further diminished by subsequent clarifications of the legal standards in effect when these earlier plans were promulgated. See, e.g., Pender County,
Separately, plaintiffs argue that this Court should consider the purported lack of compactness of the districts created by the General Assembly and the harm resulting from splitting precincts. While these may be valid considerations, neither constitutes an independent legal basis for finding a violation, and we are unaware of any justiciable standard by which to measure these local factors. See Vera,
V. Conclusion
We agree with the unanimous three-judge panel that the General Assembly’s enacted plans do not violate plaintiffs’ constitutional rights. We hold that the enacted House and Senate plans, as well as the federal Congressional plan, satisfy state and federal constitutional and statutory requirements and, specifically, that the three-judge panel’s decision fully complies with the Supreme Court’s decision in Alabama. Accordingly, we reaffirm the three-judge panel’s Judgment and Memorandum of Decision.
AFFIRMED.
Notes
. The three-judge panel, appointed by then-Chief Justice Sarah Parker of the North Carolina Supreme Court, consisted of Superior Corut Judges Joseph Crosswhite, Alma Hinton, and Paul Ridgeway. In their order, the three judges describe themselves as each being “from different geographic regions and each with differing ideological and political outlooks” and state that they “independently and collectively arrived at the conclusions that are set out [in their order].”
. Our opinion incorporates the parts of our prior opinion that are unaffected by or are consistent with the Alabama opinion.
. For example, regarding the 2010 redistricting, in addition to the two cases consolidated here, two cases currently pending in the United States District Court for the Middle District of North Carolina involve challenges to many of the same districts that are challenged here. See Harris v. McCrory, No. 1:13-cv-949 (M.D.N.C. heard Oct. 13-15, 2015) (challenging Congressional Districts 1 and 12); Covington v. North Carolina, No. 1:15-cv-399 (M.D.N.C. filed May 19, 2015); see also, e.g., Dean v. Leake,
. We note that the principles articulated in the Whole County Provision, including state equal population requirements, have been reflected in our various state constitutions since 1776. See Stephenson I,
. Effective 1 September 2014, section 5 of the VRA is codified at 52 U.S.C.S. § 10304 (LexisNexis 2014). Section 5 previously was codified at 42 U.S.C.S. § 1973c.
. Because a computer software glitch caused the State’s initial submission to the Department of Justice to be incomplete, the General Assembly enacted curative statutes on 7 November 2011. These statutes were precleared on 8 December 2011.
. The two issues separated for trial were:
A. Assuming application of a strict scrutiny standard and, in considering whether the Enacted Plans were narrowly tailored, was each challenged Voting Rights Act (“VRA”) district drawn in a place where a remedy or potential remedy for racially polarized voting was reasonable for purposes of preclearance or protection of the State from vote dilution claims under the Constitution or under § 2 of the VRA?
B. For six specific districts (Senate Districts 31 and 32, House Districts 51 and 54 and Congressional Districts 4 and 12 - none of which is identified as a VRA district), what was the predominant factor in the drawing of those districts?
. The twenty-six districts are: Senate Districts 4, 5,14, 20, 21, 28, 38, and 40; House Districts 5,7,12,21,24,29,31,32,33,38,42,48,57,99,102,106, and 107; and Congressional District 1.
. The three-judge panel noted that the Supreme Court has required state legislatures to present a strong basis in the record of the three Gingles preconditions, but it has never imposed the “totality of the circumstances” requirement upon a state legislature. Nonetheless, in its thorough and exhaustive review of the record, the three-judge panel considered both requirements in its analysis.
. There was insufficient information for Dr. Brunell to determine whether racially polarized voting occurred in Camden County.
. The non-VRA districts were Senate District 32, House District 54, and Congressional Districts 4 and 12.
. Because the Court expressly declined to “decide whether, given Shelby County v. Holder..., continued compliance with § 5 remains a compelling interest, "Alabama, _ U.S. at _,
. It is unclear if plaintiffs continue to challenge all thirty districts. In their brief filed subsequent to the Alabama remand, plaintiffs only specifically question two of the non-VRA districts. Nonetheless, we proceed with our analysis as if all thirty districts are challenged.
. “If compliance with § 5 were not a compelling state interest, then a State could be placed in the impossible position of having to choose between compliance with § 5 and compliance with the Equal Protection Clause.” LULAC,
. These counties were Beaufort, Bertie, Chowan, Craven, Cumberland, Durham, Edgecombe, Gates, Guilford, Granville, Greene, Halifax, Hertford, Hoke, Jones, Lenoir, Martin, Mecklenburg, Nash, Northampton, Pasquotank, Perquimans, Pitt, Robeson, Sampson, Scotland, Vance, Wake, Warren, Washington, Wayne, and Wilson.
. There was insufficient information for Dr. Brunell to determine whether racially polarized voting occurred in Camden County.
. The article included references to cases involving the following counties: Beaufort, Bladen, Cumberland, Duplin, Forsyth, Franklin, Granville, Halifax, Lenoir, Montgomery, Pasquotank, Person, Pitt, Richmond, Sampson, Scotland, Tyrrell, Vance, Wayne, and Washington.
. The districts not affected by this evidence are Senate 28, House 29, House 31, and House 57.
. The only districts not affected by at least one of these three pieces of evidence are Senate 28, House 29, House 31, and House 57.
. In light of Shelby County v. Holder, in which the Supreme Court declared section 4(b)’s “coverage formula” unconstitutional, this statute no longer applies in North Carolina. _ U.S. _,
Concurrence Opinion
concurring in part and dissenting in part.
I agree with the judgment of the Court as to plaintiffs’ challenge under the “Good of the Whole” Clause in Article I, Section 2 of the North Carolina Constitution; however, because I would conclude that the parties and the jurisprudence of this State would be better served by vacating the trial court’s Judgment and remanding this case to the trial court for more complete findings of fact consistent with the guidance provided in Alabama Legislative Black Caucus v. Alabama, I respectfully dissent.
The order of the United States Supreme Court (the Supreme Court) vacating and remanding this Court’s judgment in Dickson v. Rucho,
To that end, I am of the opinion that ALBC bolsters all the points made in my previous dissent, particularly with respect to the General Assembly’s use of proportionality as a benchmark, and provides authoritative guidance on how the trial court should have viewed the record of evidence before it. I stand by everything espoused in that dissent, and for that reason, portions of my previous dissent appear in this opinion.
The ALBC plaintiffs, like plaintiffs here, contended that their state legislature’s enacted redistricting plans constituted racial gerrymanders in violation of the Equal Protection Clause of the Fourteenth Amendment. ALBC,
I.
“Classifications of citizens solely on the basis of race ‘are by their very nature odious to a free people whose institutions are founded upon the doctrine of equality.’” Shaw v. Reno,
The burden to make this showing falls to the plaintiff:
The plaintiff’s burden is to show, either through circumstantial evidence of a district’s shape and demographics or more direct evidence going to legislative purpose, that*537 race was the predominant factor motivating the legislature’s decision to place a significant number of voters within or without a particular district. To make this showing, a plaintiff must prove that the legislature subordinated traditional race-neutral districting principles, including but not limited to compactness, contiguity, and respect for political subdivisions or communities defined by actual shared interests, to racial considerations.
Id. at 916,
If the plaintiff satisfies this initial burden of production,
a.
In my earlier dissent, I questioned this Court’s handling of the apparent deficiencies in the trial court’s findings of fact with respect to whether race was the predominant motivating factor for the General Assembly in the creation of the twenty-six VRA districts. See Dickson v. Rucho,
[t]he Plaintiffs collectively challenge as racial gerrymanders 9 Senate, 18 House and 3 U.S. Congressional districts created by the General Assembly in the Enacted Plans. Of those 30 challenged districts, it is undisputed that the General Assembly intended to create 26 of the challenged districts to be “Voting Rights Act districts” [hereinafter*538 “VRA districts”] and that it set about to draw each of these VRA districts so as to include at least 50% Total Black Voting Age Population [hereinafter “TBVAP”]. Moreover, the General Assembly acknowledges that it intended to create as many VRA districts as needed to achieve a “roughly proportionate” number of Senate, House and Congressional districts as compared to the Black population in North Carolina. To draw districts based upon these criteria necessarily requires the drafters of districts to classify residents by race so as to include a sufficient number of black voters inside such districts, and consequently exclude white voters from the districts, in an effort to achieve a desired racial composition of >50% TBVAP and the desired “rough proportionality.” This is a racial classification.
(Footnote call numbers omitted.) Accordingly, the trial court “conclude[d] . . . that in drawing [the] VRA districts ...[,] the shape, location and racial composition of each VRA district was predominantly determined by a racial objective and was the result of a racial classification sufficient to trigger the application of strict scrutiny as a matter of law.”
On remand, this Court holds, just as it did before, that the trial court’s finding that “no factual inquiry was required regarding the General Assembly’s predominant motivation in forming the twenty-six VRA districts beyond the General Assembly’s concession that the districts were drafted to be VRA-compliant” was insufficient to show “whether race fairly can be described as the predominant factor.” The majority then proceeds under the assumption that race was the predominant motivating factor and, accordingly, embarks on a strict scrutiny analysis. I maintain that, instead of perpetuating the trial court’s mistake in making “truncated findings of fact,” this Court should remand this case to the trial court to correct the deficiency because the citizens of this state would be better served if we held to our usual course and vacated the trial court’s Judgment and remanded the case to the trial court for proper findings of fact and conclusions of law based upon a correct interpretation of the law. When viewed in fight of the guidance provided mALBC, the deficiencies in the trial court’s findings with respect to predominance and the error of this Court in ignoring the same are clear.
One of the Alabama legislature’s goals in developing its redistricting plan was to come as close as possible to the ideal one-person, one-vote population with a deviation of no more than 1%. ALBC, 575 U.S.
While the precise issue identified in ALBC is not present in the case before us, the takeaway is relevant: the predominance test — whether “the legislature subordinated traditional race-neutral districting principles ... to racial considerations,” Miller,
Assuming that the trial court makes a proper predominance finding on remand, the trial court must properly apply the strict scrutiny standard. In its decision the trial court states that, if plaintiffs meet the threshold burden of establishing that “race was the overriding consideration behind a redistricting plan,” then
the state . . . has the burden of “producing evidence that the plan’s use of race is narrowly tailored to further a compelling state interest, and the plaintiffs bear the ultimate burden of persuading the court either that the proffered justification is not compelling or that the plan is not narrowly tailored to further it.” Shaw v. Hunt,861 F. Supp. 408 , 436 (E.D.N.C. 1994).
This conclusion is bolstered by the Supreme Court’s earlier statement in Miller that, “[t]o satisfy strict scrutiny, the State must demonstrate that its districting legislation is narrowly tailored to achieve a compelling interest.”
Here, the trial court attempted to distinguish Fisher on the ground that the General Assembly is entitled to some degree of deference given that redistricting is “an inherently political process.” The Supreme Court, however, has declined to defer to political decision makers and apply something less than strict scrutiny to race-based classifications:
But we have refused to defer to state officials’ judgments on race in... areas where those officials traditionally exercise substantial discretion. For example,.... in the redistricting context, despite the traditional deference given to States when they design their electoral districts, we have subjected redistricting plans to strict scrutiny when States draw district lines based predominantly on race.
Johnson v. California,
Even though the evidence, in my view, provides ample justification for the conclusion made by the trial court — that race predominated — it is important that the trial court do the work, as required by Miller and now ALBC, and properly determine whether the General Assembly subordinated traditional redistricting principles to racial considerations. Moreover, the trial court’s misunderstanding and misapplication of the strict scrutiny analytical framework provides additional justification for a decision to vacate the trial court’s decision and remand this case to the trial court for reconsideration in light of correct principles. See Fisher, id. at _,
b.
After the trial court concluded that race predominated in the General Assembly’s decision to create twenty-six VRA districts and that strict scrutiny applied, the trial court also side-stepped its compelling state interest analysis with respect to § 2. Specifically, the trial court’s findings were insufficient as they relate to determining whether the challenged districts met all three Gingles preconditions. The trial court concluded “that the General Assembly had a strong basis in evidence to conclude that each of the Gingles preconditions was present in substantial portions of North Carolina and that, based upon the totality of circumstances, VRA districts were required to remedy against vote dilution.”
Moreover, the trial court’s findings of fact in the Judgment and Memorandum of Decision and in Appendix A of the Judgment related to the third precondition are deficient. In Thornburg v. Gingles the Supreme Court held that, in order to establish a § 2 voting dilution claim, the minority group must demonstrate that (1) “it is sufficiently large and geographically compact to constitute a majority in a single-member district”; (2) “it is politically cohesive”; and (3) “the white majority votes sufficiently as a bloc to enable it . . . usually to defeat the minority’s preferred candidate.” Thornburg v. Gingles,
The trial court summarized the evidence relevant to the three preconditions that was before the General Assembly when it enacted the plans. Most of the evidence related to the existence of racially polarized voting in North Carolina. To a certain extent, explaining the evidence of racial polarization was appropriate because, in Gingles the Supreme Court explained:
The purpose of inquiring into the existence of racially polarized voting is twofold: to ascertain whether minority group members constitute a politically cohesive unit and to determine whether whites vote sufficiently as a bloc*544 usually to defeat the minority’s preferred candidates. . . . A showing that a significant number of minority group members usually vote for the same candidates is one way of proving the political cohesiveness necessary to a vote dilution claim, and, consequently, establishes minority bloc voting within the context of § 2. And, in general, a white bloc vote that normally will defeat the combined strength of minority support plus white “crossover" votes rises to the level of legally significant white bloc voting.
Gingles,
The closest the findings come to demonstrating that the majority bloc votes in a way that usually defeats the minority group’s preferred candidate is by recalling that
[ n]o African American candidate elected in 2010 was elected from a majority-white crossover district.... From 2006 through 2010, no African American candidate was elected to more than two consecutive terms to the legislature in a majority-white district. From 1992 through 2010,*545 no black candidate for Congress was elected in a majority-white district.
From 2004 through 2010, no African American candidate was elected to state office in North Carolina in a statewide partisan election.
(Numeral and internal citations omitted.) These generalized findings have limited value. There is no indication that this set of data applies to the challenged VRA districts or reflects voting patterns over a period of time rather than the results of a single election. It is unlikely that the data would apply to the challenged VRA districts because they are all majority-minority districts, and many have been so under previous plans. In addition, generalized findings of fact do not constitute a district-by-district analysis as required by ALBC.
The trial court’s findings clearly indicate racially polarized voting, and Supreme Court decisions establish that evidence of racially polarized voting is relevant to the second and third preconditions, see Gingles,
c.
The trial court’s narrow tailoring analysis also misses the mark in other respects. First, because the trial court failed to provide adequate findings of fact related to the third Gingles precondition, the trial court cannot rely on Strickland to conclude that creating VRA districts with a TBVAP greater than 50% was necessary to avoid liability under § 2. Second, ALBC disapproves of the use of mechanical numerical targets to avoid retrogression under § 5. Third, the General Assembly’s use of racial proportionality to establish the total number of VRA districts was impermissible under De Grandy. I will discuss each in turn.
la. Pender County this Court considered “whether [the first Gingles] precondition, that a minority group must be ‘sufficiently large and geographically compact to constitute a majority in a single-member district,’ requires that the minority group constitute a numerical majority of the relevant population, or whether a numerous minority can satisfy the precondition.” Pender County,
The trial court explained the Strickland holding as follows: “[W]hen the State has a strong basis in evidence to have a reasonable fear of § 2 liability, the State must be afforded the leeway to avail itself of the ‘bright line rule’ and create majority-minority districts, rather than cross-over districts, in those areas where there is a sufficiently large and geographically compact minority population and racial polarization exists.” Writing for the plurality in Strickland, Justice Kennedy made the following crucial observations:
*547 Our holding also should not be interpreted to entrench majority-minority districts by statutory command, for that, too, could pose constitutional concerns. States that wish to draw crossover districts are free to do so where no other prohibition exists. Majority-minority districts are only required if all three Gingles factors are met and if § 2 applies based on a totality of the circumstances. In areas with substantial crossover voting it is unlikely that the plaintiffs would be able to establish the third Gingles precondition — bloc voting by majority voters. In those areas majority-minority districts would not be required in the first place; and in the exercise of lawful discretion States could draw crossover districts as they deemed appropriate. States can — and in proper cases should — defend against alleged § 2 violations by pointing to crossover voting patterns and to effective crossover districts. Those can be evidence, for example, of diminished bloc voting under the third Gingles factor or of equal political opportunity under the § 2 totality-of-the-circumstances analysis. And if there were a showing that a State intentionally drew district lines in order to destroy otherwise effective crossover districts, that would raise serious questions under both the Fourteenth and Fifteenth Amendments. There is no evidence of discriminatory intent in this case, however. Our holding recognizes only that there is no support for the claim that § 2 can require the creation of crossover districts in the first instance.
Id. at 23-24,
As explained in ALBC, “Alabama believed that, to avoid retrogression under § 5, it was required to maintain roughly the same black population percentage in existing majority-minority districts.”
[ W]e conclude that the District Court and the legislature asked the wrong question with respect to narrow tailoring. They asked: “How can we maintain present minority percentages in majority-minority districts?” But given § 5’s language, its purpose, the Justice Department Guidelines, and the relevant precedent, they should have asked: “To what extent must we preserve existing minority percentages in order to maintain the minority’s present ability to elect the candidate of its choice?” Asking the wrong question may well have led to the wrong answer. Hence, we cannot accept the District Court’s “compelling interest/ narrow tailoring” conclusion.
Id. at _,
Similarly, the North Carolina General Assembly did not ask the right question. The trial court here found that “it is undisputed that
Under a § 5 retrogression analysis conducted in accordance with ALBC, the trial court must consider to what extent the number of minority voters within each existing majority-minority district must change, if at all. If, within an existing majority-minority district, the minority group is able to elect the candidate of its choice, based on the record of evidence related to voting patterns and other indicia, there are no grounds to increase the minority voter percentages under § 5. Conversely, if the minority group within an existing majority-minority district is no longer able to elect the candidate of its choice because of demographic shifts or other changes, then § 5 requires an increase in the percentage of minority voters within that district to avoid retrogression. Without asking the correct question — -“To what extent must we preserve existing minority percentages in order to maintain the minority’s present ability to elect the candidate of its choice?” — the trial court authorized the legislature to move minority voters into certain districts based solely on their race without justification.
Finally, the General Assembly endeavored “to create as many VRA districts as needed to achieve a ‘roughly proportionate’ number of Senate, House and Congressional districts as compared to the Black population in North Carolina.” The General Assembly reasoned that, because 21% of North Carolina’s voting age population identified as any part Black, roughly 21% of the Senate, House, and Congressional seats should be filled by candidates elected by voters in VRA districts, i.e., majority-minority districts. The trial court found that the General Assembly used rough proportionality as a “benchmark” for the number of VRA districts it would create, and the court concluded that this methodology was appropriate to avoid any potential § 2 liability. But as I noted in my previous dissent, this conclusion is based on a misapprehension of De Grandy.
In De Grandy the State of Florida argued “that as a matter of law no dilution occurs whenever the percentage of single-member districts in which minority voters form an effective majority mirrors the minority
Here, however, defendants’ public statements undermine their adherence to the applicable standards and demonstrate the central role proportionality played in the 2011 redistricting plan. On 17 June 2011, defendants announced a public hearing concerning redistricting issues, in which defendants expressed the intention to propose redistricting plans containing a sufficient number of majority-minority districts to provide substantial proportionality. Defendants proposed “that each plan include a sufficient number of majority African American districts to provide North Carolina’s African American citizens with a 'substantially proportional and equal opportunity to elect their preferred candidate of choice.” Defendants explained that “proportionality for the African American citizens in North Carolina means the creation of 24 majority African American House districts and 10 majority Senate districts. . . . Unlike the 2003 benchmark plans, the Chairs’ proposed 2011 plans will provide substantial proportionality for North Carolina’s African American citizens.”
In fight of its misreading of De Grandy, the trial court cites approvingly defendants’ use of proportionality as the “benchmark” for creating the Enacted Plans — beginning with proportionality as the goal and then working backwards to achieve that goal. Similarly, the trial court reasoned: “When the Supreme Court says ‘no violation of § 2 can be found’ under certain circumstances, prudence dictates that the General Assembly should be given the leeway to seek to emulate those circumstances in its Enacted Plans.” (Quoting De Grandy,
The majority concludes that “the record here demonstrates that the General Assembly did not use proportionality improperly to guarantee the number of majority-minority voting districts based on the minorily members’ share of the relevant population.” The majority is only able to draw this conclusion by overlooking the trial court’s determination— based upon “the undisputed evidence” — that the General Assembly used proportionality as a “benchmark.” The majority’s conclusion becomes more confusing given its statement that “[w]e believe that such an effort, seeking to guarantee proportional representation, proportional success, or racial balancing, would run afoul of the Equal Protection Clause.” (Citing De Grandy,
By characterizing the General Assembly’s consideration of race as a “precautionary consideration” used “as a means of protecting the redistricting plans from potential legal challenges under section 2’s totality of the circumstances test,” the majority appears to join the trial court in using race as a legislative safe harbor in derogation of the clear prohibition against reliance upon such criteria set forth by the Supreme Court of the United States. De Grandy,
Based on the foregoing, I would remand this case to the trial court for more complete findings of fact on the VRA districts with respect to whether the General Assembly subordinated traditional redistricting principles to racial considerations, with respect to the third Gingles precondition, and with respect to the proper application of the non-retrogression requirement. Even if race predominated the General Assembly’s motivations and §§ 2 and 5 constitute compelling state
On remand, the trial court should begin by determining how many majority-minority districts, if any, need to be created and where those districts should be located in order to comply with § 2 and § 5. In addition, after determining the total number of majority-minority districts needed to comply with the VRA, the trial court should determine, where necessary, the percentages of TBVAP in each district needed to ensure the minority group’s present ability to elect its candidate of choice and to avoid retrogression. In answering these questions on remand, the trial court should engage in the following district-by-district analysis in accordance with the directives provided in ALBC and existing law.
As to the former inquiry, the trial court must look to § 2 and consider whether defendants have established the existence of the three mandatory Gingles preconditions for each majority-minority district that defendants created, and if so, whether the totality of the circumstances establishes that each of these districts was required by § 2 (unless the creation of that district was mandated by a prior court order that remains in effect
As to the latter inquiry, the trial court must look to § 5 and determine on a district-by-district basis which actions, if any, were necessary to ensure non-retrogression in any district created pursuant to § 5. In doing so, the court should look to the districts as they existed under the prior redistricting plan to discern the TBVAP of each district and whether the minority group had the ability to elect its candidate of choice in that district. In the event the answer to that question is in the negative, then the
II.
Plaintiffs also challenged four non-VRA districts, which are districts with a TBVAP of less than 50% — Congressional Districts 12 and 4, Senate District 32, and House District 54. The discussion in ALBC concerning the proper analysis for determining whether race was the predominant motivating factor in drawing the districts supports the conclusion that the trial court viewed equalizing population among the districts as a traditional redistricting principle rather than as “part of the redistricting background, taken as a given.”
The Court in ALBC was clear in its instruction that “an equal population goal is not one factor among others to be weighed against the use of race to determine whether race ‘predominates.’ Rather, it is part of the redistricting background, taken as a given, when determining whether race, or other factors, predominate in a legislator’s determination as to how equal population objectives will be met.” Id. at _,
In concluding that the non-VRA districts were not drawn with race as the predominant motivation, the trial court explained:
Based upon these findings of fact, the trial court concludes that the shape, location and composition of the four non-VRA districts challenged by the Plaintiffs as racial gerrymanders was dictated by a number of factors, which included a desire of the General Assembly to avoid § 2 liability and to ensure preclearance under § 5 of the VRA, but also included equally dominant legislative motivations to comply with the Whole County Provision,*554 to equalize population among the districts, to protect incumbents, and to satisfy the General Assembly’s desire to enact redistricting plans that were more competitive for Republican candidates than the plans used in past decades or any of the alternative plans.
(Emphases added.) This statement reflects the trial court’s understanding that equalizing population was as relevant to its predominance analysis as other legislative motivations, including compliance with the Whole County Provisions, protection of incumbents, and creating districts in which Republicans would be more competitive. The trial court’s more specific findings of fact in Appendix B of the Judgment related to Congressional Districts 4 and 12 provide further evidence of the trial court’s view of equal population as a factor to be weighed. The trial court found that, in Congressional District 4, “[a]ll of the divisions were done to equalize population among the Fourth Congressional District and the adjoining Congressional districts, to make the district contiguous, or for political reasons. None of the [Vote Tabulation Districts] were divided based upon racial data.” Similarly, the trial court found that, in the Twelfth Congressional District, “[a]ll of [the] divisions were done to equalize population among the Twelfth Congressional District and other districts or for political reasons.” If the trial court were to remove equalizing population as a traditional redistricting factor in accordance with ALBC, it would be left to consider only whether these two factors were subordinated to racial considerations: making the Fourth Congressional District contiguous and political considerations. In the case of the Twelfth Congressional District, the trial court would be left with only political reasons to weigh against race. This balance is particularly troublesome in the case of Congressional District 12.
The shape of Congressional District 12 has been the subject of much litigation over the last two decades, and for good reason. See, e.g., Easley v. Cromartie,
With respect to Senate District 32, plaintiffs contend that the trial court’s findings actually undermine its conclusion that strict scrutiny does not apply because the non-VRA districts are not race-based. The trial court found the following relevant facts:
204. As was true under the 2000 Census, under the 2010 Census there is insufficient TBVAP in Forsyth County to draw a majority-TBVAP Senate district in Forsyth County. However, because of concerns regarding the State’s potential liability under § 2 and § 5, Dr. Hofeller was instructed by the redistricting chairs to base the 2011 Senate District 32 on the 2003 versions of Senate District 32.
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*556 207. The first version of Senate District 32 that was released by the General Assembly had a TBVAP of 39.32%. Subsequently, the [AFRAM]8 plan was released. Its version of District 32 was located in a three-county and three-district group (Forsyth, Davie, Davidson). The [AFRAM] District 32 had a TBVAP of 41.95%. The [AFRAM] District 32 was a majority-minority coalition district "with a non-Hispanic white population of 43.18%.
208. The redistricting chairs were concerned that any failure to match the TBVAP % found in the [AFRAM] District 32 could potentially subject the state to liability under § 2 or § 5 of the VRA. Therefore, Dr. Hofeller was instructed by the Redistricting Chairs to re-draw the State’s version of Senate District 32 so that it would at least equal the [AFRAM] version in terms of TBVAP.
As discussed above, the Supreme Court has held that when redistricting plans drawn in an attempt to preempt VRA § 2 litigation or obtain VRA § 5 preclearance are predominantly race-based, such plans attract strict scrutiny. See Vera,
The trial court acknowledged that compliance with the VRA was a motivating factor behind the enacted plans, but concluded that “comply[ing] with the Whole County Provision,... equalizing] population among the districts,... protecting] incumbents, and... satisfying] the General Assembly’s desire to enact redistricting plans that were more competitive for Republican candidates” were “equally dominant legislative motivations.” But, in the section of its fact-finding Judgment addressing Senate District 32, the trial court made no findings regarding these other considerations. While the evidence might support such a conclusion, the trial court’s actual findings do not. Accordingly, this Court should vacate the trial court’s Judgment and remand this case to the trial court to address whether race was the predominant motivation behind the shape, location, and composition of Senate District 32.
With respect to House District 54 and Congressional District 4, the trial court also found that race was not the predominant motivating
Because I conclude that the issue of whether race was the predominant motivating factor in drawing the non-VRA districts should be remanded to the trial court for more complete findings of fact taking into account the guidance provided by ALBC, I do not find it necessary to address the trial court’s application of the rational basis test or the majority’s approval of it.
III.
Plaintiffs contend that the trial court erred in concluding that the enacted House and Senate plans do not violate the provisions of the state constitution, which dictate that “[n]o county shall be divided in the formation of a senate district,” N.C. Const, art. II, § 3(3), and “[n]o county shall be divided in the formation of a representative district,” id. § 5(3). In Stephenson v. Bartlett,
[ 1.] ... [T]o ensure full compliance with federal law, legislative districts required by the VRA shall be formed prior to creation of non-VRA districts_In the formation of VRA districts within the revised redistricting plans on remand, we likewise direct the trial court to ensure that VRA districts are formed consistent with federal law and in a manner having no retrogressive effect upon minority voters. To the maximum extent practicable, such VRA districts shall also comply with the legal requirements of the WCP, as herein established ....
[ 2.] In forming new legislative districts, any deviation from the ideal population for a legislative*558 district shall be at or within plus or minus five percent for purposes of compliance with federal “one-person, one-vote” requirements.
[ 3.] In counties having a 2000 census population sufficient to support the formation of one non-VRA legislative district . . . , the WCP requires that the physical boundaries of any such non-VRA legislative district not cross or traverse the exterior geographic line of any such county.
[ 4.] When two or more non-VRA legislative districts may be created within a single county,... single-member non-VRA districts shall be formed within said county. Such non-VRA districts shall be compact and shall not traverse the exterior geographic boundary of any such county.
[ 5.] In counties having a non-VRA population pool which cannot support at least one legislative district... or, alternatively, counties having a non-VRA population pool which, if divided into districts, would not comply with the ... “one-person, one-vote” standard, the requirements of the WCP are met by combining or grouping the minimum number of whole, contiguous counties necessary to comply with the at or within plus or minus five percent “one-person, one-vote” standard. Within any such contiguous multi-county grouping, compact districts shall be formed, consistent with the at or within plus or minus five percent standard, whose boundary lines do not cross or traverse the “exterior” line of the multi-county grouping-, provided, however, that the resulting interior county lines created by any such groupings may be crossed or traversed in the creation of districts within said multi-county grouping but only to the extent necessary to comply with the at or within plus or minus five percent “one-person, one-vote” standard.
[ 6.] The intent underlying the WCP must be enforced to the maximum extent possible; thus, only the smallest number of counties necessary to comply with the at or withinplus or minus five percent “one-person, one-vote” standard shall be combined[.]
*559 [ 7.] . . . [CJommunities of interest should be considered in the formation of compact and contiguous electoral districts.
[ 8.] . . . [M]ulti-member districts shall not be used in the formation of legislative districts unless it is established that such districts are necessary to advance a compelling governmental interest.
[ 9.] Finally, we direct that any new redistricting plans, including any proposed on remand in this case, shall depart from strict compliance with the legal requirements set forth herein only to the extent necessary to comply -with federal law.
Stephenson II,
The majority concludes that its analysis of the Enacted Plans under the Whole County Provisions remains “unaffected” by ALBC. Yet, a Whole County Provisions analysis conducted in accordance with the framework set forth in Stephenson I, requires application of the nine rules listed above, the first of which is premised on designing any legislative districts required by the VRA. Stephenson I,
In view of the necessity for a remand to the trial court to address the equal protection claim, the trial court must also address the Whole County Provisions issue on remand given that the General Assembly, in attempting to comply with Stephenson I’s Rule 1, drew the VRA districts before applying Rules 2 through 9. Because I conclude that the trial court’s findings of fact fail to establish that the VRA districts are constitutional, the trial court must, after making a valid determination relating to the VRA districts, and to the extent necessary, revisit the Whole County Provisions issues as well. Simply put, to the extent that the VRA districts are unconstitutional, that fact would necessarily affect the result reached with respect to the General Assembly’s application of the rubric set forth in Stephenson I. See Pender County,
IV.
When addressing the parties’ arguments in support of and in opposition to the Enacted Plans, we cannot lose sight of the purpose of the VRA. The House Report accompanying the original Voting Rights Act of 1965 noted:
A salient obligation and responsibility of the Congress is to provide appropriate implementation of the guarantees of the 15th amendment to the Constitution. Adopted in 1870, that amendment states the fundamental principle that the right to vote shall not be denied or abridged by the States or the Federal Government on account of race or color.
The historic struggle for the realization of this constitutional guarantee indicates clearly that our national achievements in this area have fallen far short of our aspirations. The history of the 15th amendment litigation in the Supreme Court reveals both the variety of means used to bar Negro voting and the durability of such discriminatory policies [such as grandfather clauses, white primaries, racial gerrymandering, improper challenges, and the discriminatory use of tests].
The past decade has been marked by an upsurge of public indignation against the systematic exclusion of Negroes from the polls that characterizes certain regions of this Nation.
H.R. Rep. No. 89-439, at 8 (1965) (titled “Voting Rights Act of 1965”), as reprinted, in 1965 U.S.C.C.A.N. 2437, 2439-40 (citations omitted). In Gingles the Supreme Court noted the “historical pattern of statewide official discrimination” in North Carolina.
Here, even if the legislature considered traditional redistricting principles, such as compactness and the protection of incumbents or other political motivations, the fact remains that the General Assembly started with the premise that African-American voters in North Carolina should only be guaranteed the opportunity to elect candidates of their choice to 21% of the seats in each chamber. From there, the legislature worked backwards to avoid liability under § 2 and ensure precleaxance under § 5. The implications of such a premise reach beyond the challenged VRA districts, affecting the non-VRA districts as well.
When the legislature purposely carves out majority-minority districts, increasing or decreasing the TBVAP by a few percentage points while maintaining a greater than 50% TBVAP, the district-drawing process necessarily requires the identification of voters by race and the movement of the district lines to incorporate or exclude those voters accordingly. This scheme compels the question: Is the ability of the minority voters who are suddenly no longer represented by their preferred candidate of choice in a VRA district unimportant? If the only way to ensure that the minority group has the ability to elect the candidate of its choice is to create majority-minority districts, the General Assembly has the power to determine which of the voters in the minority group will be represented by the candidate of their choice, and which voters will not.
Operating under the constraints of a statutory regime in which proportionality has some relevance, States might consider.it lawful and proper to act with the explicit goal of creating a proportional number of majority-minority districts in an effort to avoid § 2 litigation.. . . Those governmental actions, in my view, tend to entrench the very practices and stereotypes the Equal Protection Clause is set against. As a general matter, the sorting of persons with an intent to divide by reason of race raises the most serious constitutional questions.
Id. at 1029,
For all the complexity of VRA jurisprudence, the bottom line is that the manipulation of district lines based on race to a greater extent than necessary to comply with the VRA is unconstitutional. The record in this case contains evidence tending to show that the General Assembly used numerical targets formulated by racial considerations to avoid liability under § 2 and ensure preclearance under § 5 without fully considering whether the decisions made were necessary to enable the minority group to elect its preferred candidate of choice in compliance with the VRA.
. The State took a contraiy view of the Supreme Court’s order vacating our previous judgment. During oral arguments, in response to Justice Hudson’s question, “What do you think that the U.S. Supreme Court wants us to do?”, the State replied: “The Supreme Court often remands cases when a landmark decision like Alabama comes out and quite often the court that gets the remand reaffirms their decision and the Supreme Court doesn’t take review of it. So, the Supreme Court did not make any opinions or judgments on the North Carolina plans. They just asked this Court to take a look at it as an initial matter and based upon the standards that they articulated mAlabama.... They want you to look to see if the test in Alabama is the same one that you applied in your previous decision. And whether under that test should these plans still be reaffirmed. They are giving you the first chance to malee that decision instead of them taking the time to look through the case. And again, that’s quite common in Supreme Court jurisprudence for remand to take place and for the lower court to reaffirm its decision and for the' Supreme Court of the United States not to take the appeal back.” Data disc: Oral Argument 31 August 2015 201PA12-3 Dickson v. Rucho.
. The Supreme Court declined to speak to the plaintiffs’ § 2 vote dilution claim. ALBC,
. “If, however, [the] plaintiff] ] cannot show that race was the ‘predominant factor’ to which traditional districting principles were ‘subordinated,’ and thus cannot meet the threshold for triggering strict scrutiny, it follows that the facially neutral classification (the electoral district) will be subject, at most, to rational basis review.” Quilter v. Voinovich, 981F. Supp. 1032, 1050 (N.D. Ohio 1997) (citing Miller,
. See, e.g., Bush v. Vera,
. The 2011 versions of each of these districts are challenged by plaintiffs as racial gerrymanders.
. The United States Supreme Court has repeatedly assumed, without deciding, that compliance with the VRA can be a compelling state interest in the strict scrutiny context, but that Court has not expressly decided the issue. See Shaw II,
. The trial court’s findings suggest that the General Assembly believed that it was obligated to create and maintain certain majority-Black districts in accordance with Gingles v. Edmisten,
. The trial court mistakenly refers to plaintiffs’ alternative redistricting map as being proposed by the Southern Coalition for Social Justice; it was actually drawn by the Alliance for Fair Redistricting and Minority Voting Rights (AFRAM).
. The Court in Gingles summarized the trial court’s findings on the types of voting discrimination mechanisms that persisted in North Carolina. The trial court found that “North Carolina had officially discriminated against its black citizens with respect to their exercise of the voting franchise from approximately 1900 to 1970 by employing at different times a poll tax, a literacy test, a prohibition against bullet (single-shot) voting and designated seat plans for multimember districts”; that “historic discrimination in education,
. The amici constitutional law professors point out that “[t]he distinction between the affirmative purpose of complying with federal law and a state’s negative interest in avoiding future liability is constitutionally significant. A legislature concerned about compliance with the Voting Rights Act is ultimately pursuing the same goal of protecting the minority voters whom ‘Acts such as the Voting Rights Act sought to help,’ ALBC,
