Justice Kennedy Deserves Praise, Part II

In my previous comment, I defended Justice Kennedy’s decision in the Texas redistricting case, LULAC v. Perry, to refrain from attempting to identify when (if ever) the effect of a partisan gerrymander might suffice to establish a constitutionally cognizable injury. In light of the Court’s historical difficulties with this especially complicated and politically sensitive question, and because the plaintiffs in LULAC attacked only the mid-decade timing of the Texas redistricting, Justice Kennedy acted responsibly in leaving this larger question unresolved.

Here, as promised, I wish to defend the other major portion of Justice Kennedy’s opinion in LULAC , the part where, writing for a five-member majority of the Court, he invalidated the Texas map’s District 23 as a violation of the Voting Rights Act.

The problem with District 23, as the majority saw it, was that it split in half the Laredo-based Latino community, which had been wholly within the district as drawn in the previous map. In the old District 23, moreover, Latinos had comprised a majority of the citizen voting-age population (57.5%) and had begun to exercise effective political control over that district, whereas in the new District 23 Latinos were reduced to a minority of the citizen voting-age population (46%). The split of Laredo ‘s Latinos, therefore, had the effect of diluting Latino voting power, thereby violating section 2 of the Act.

The state defended against this vote dilution claim by arguing that District 25 of the new map contained a majority of Latino voters and, because both the old map and new map contained six majority-Latino districts, there was no overall dilution of Latino voting power in the new map. Kennedy’s opinion for the Court, however, rejected this argument on the ground that the loss of voting power for the Latino community in Laredo could not be offset by an increase in voting power of Latinos elsewhere in the state. Only if those other Latinos were equally entitled under the Voting Rights Act to a district of their own, and only if it would be impossible for the map to provide each separate Latino community with its own majority-Latino district, would it be permissible for the mapmakers to trade off the loss to the Laredo Latinos with a gain to Latinos elsewhere. That situation, however, was not present in this case because the Latinos in the new District 25 were geographically dispersed and therefore not entitled to their own VRA-mandated district.

Chief Justice Roberts, in an opinion joined by Justice Alito, vigorously dissented from the Court’s reasoning and conclusion on this vote dilution claim. In essence, Chief Justice Roberts believed that the geographic dispersion of the Latino residents in the new District 25 was irrelevant to a proper analysis of the vote dilution claim. As long as the percentage of Latino-controlled districts in a map is roughly proportional to the percentage of Latinos in the overall population, then the Chief Justice would require dismissal of the vote dilution claim. Although he would prefer to conduct this proportionality inquiry on a regional, rather than statewide basis, Chief Justice Roberts argued that either way the inquiry was satisfied on the facts of this case. As he observed, Latinos controlled 19% of the state’s congressional delegation and comprised 22% of the state’s citizen voting-age population, figures which should satisfy any standard of rough proportionality.

The Chief Justice’s dissent is a rhetorical tour de force, as befits a justice who was one of the nation’s leading appellate litigators before becoming a judge. But for all the “style points” his dissent deserves (to use a phrase from the dissent itself), it fails in my judgment to refute the Court’s two main points: first, that the specific harm to the Laredo Latinos establishes the basis for a vote dilution claim, even if the map overall provides proportionality; and second, that the creation of the new District 25, with its Latino majority, cannot offset the distinctive harm to the Latino voters of Laredo.

To understand why the Court, rather than Chief Justice Roberts, is more persuasive on these points it is necessary to recall an Equal Protection claim that the plaintiffs presented as an alternative to their Voting Rights Act claim. Although it became unnecessary for the Court to adjudicate the merits of this alternative Equal Protection claim once the Court accepts the Voting Rights Act claim, as Justice Kennedy’s opinion for the Court explicitly observes, it hovers in the background and undoubtedly influences the reasoning of the Court’s opinion on the Voting Rights Act issues. This influence is hardly inappropriate, as it is standard operating procedure that statutes should be interpreted so as to avoid constitutional questions. Therefore, to the extent that section 2 of the Voting Rights Act is open to alternative interpretations-as it surely is, given its lofty but general, quasi-constitutional language-Justice Kennedy was entirely justified in suffusing the Court’s analysis of the section 2 vote dilution claim with Equal Protection overtones.

One very important virtue of Justice Kennedy’s approach, rather than relying directly on an interpretation of the Equal Protection Clause itself, is that, if Congress does not like the Court’s theory of a successful vote dilution claim as articulated in LULAC, it can always amend the Voting Rights Act to make its position clear. A congressional directive of this kind would give the Court the reason to take “a sober second look” before proceeding directly to interpreting the Constitution to entail a theory of vote dilution liability that Congress considers unwise.

The alternative Equal Protection claim is that Texas legislature engaged in intentional race discrimination when it split apart the Latino community in Laredo , removing almost 100,000 Latinos from the old District 23. Some commentators (myself included on occasion) have loosely described this Equal Protection claim as asserting a race-based gerrymander in violation of the Equal Protection Clause according to the doctrine first articulated in Shaw v. Reno. But, in truth, this intentional vote dilution claim regarding the splitting of District 23 is not a Shaw-derivative racial gerrymandering claim, but rather a different kind of Equal Protection claim, as Justice Scalia’s opinion in LULAC correctly observes. Shaw -based claims require no showing of vote dilution; rather, they originated in response to a kind of “affirmative action” undertaken to increase the voting power of racial minorities. There was, indeed, a separate Shaw-based claim in LULAC, but it involved the addition of Latino voters to District 25, not the subtraction of Latino voters from District 23, as Justice Scalia also correctly recognized. (That separate Shaw-based claim also was unnecessary to address, as Justice Kennedy properly noted for the Court, once District 23 was found invalid under the Voting Rights Act, thereby requiring the case to be remanded to make a new map.)

With respect to thinking about the Equal Protection challenge to the removal of Latino voters from District 23, on the ground that it was intentional vote dilution rather than Shaw -based gerrymandering, it appears that members of the Court may have become confused about the proof of intentional discrimination necessary to show an Equal Protection violation. Acknowledging as was inevitable that the Texas legislature knew full well that it was removing almost 100,000 Latino voters from District 23 and that it was doing so on purpose, the State’s attorney attempted to defend against a finding of intentional vote dilution on the ground that the reason the legislature was consciously treating Latino voters this way was to protect the incumbency of Representative Henry Bonilla-a reason that the state asserted to be a political rather than racial motive. Justice Scalia bought this argument, while other Justices (including Justice Kennedy and his colleagues in the majority) were evidently troubled by it.

But the State’s argument on this point seems to me to confuse the intent to disadvantage a racial minority, which triggers strict scrutiny under conventional Equal Protection analysis, with the reason (or motive) for the government’s intent to discriminate, which is the justification that the government asserts in an attempt to satisfy strict scrutiny. If the harm to Latinos in Laredo did not involve a reduction of their voting power caused by the redrawing of district lines, but instead another form of impediment to their exercise of electoral power, I think it would be easier for the Justices to recognize this distinction. For example, suppose that the Texas legislature required Latinos in Laredo to provide an additional form of voter identification not required of Anglo voters within District 23. That requirement undoubtedly would qualify as intentional race-based discrimination triggering strict scrutiny under the Equal Protection Clause. If the State attempted to defend this additional identification requirement on the ground that it was desiring to protect Representative Bonilla’s incumbency (because diminishing Latino turnout would increase his chances of winning), that justification would be subjected to strict scrutiny-and presumably would fail-but it would never succeed as an argument that the burden on Latino voters was not form of intentional race-based discrimination.

In the context of an intentional vote dilution claim of the kind involving the conscious and purposeful removal of Latino voters from District 23, the argument that this burden on the exercise of Latino voting power was undertaken with an incumbency-protection motive should meet the same fate as it would if the burden on voting rights was the imposition of a discriminatory identification requirement. This situation is different than a Shaw-based claim, where without diluting minority voting power the legislature decides to include a group of minority voters in one district rather than another because drawing the district lines this way is more favorable to an incumbent. In that non-dilution context, it is plausible to say, as the Court has in post-Shaw cases like Easley v. Cromartie, that this incumbency-motivated line drawing is not intentional race discrimination in violation of the Equal Protection Clause even though the mapmakers are obviously aware of racial demographics when they draw the lines.

But the treatment of the issue of intent for Shaw-based claims should have no bearing when the Equal Protection claim is one of intentional vote dilution. Purposefully manipulating district lines to undercut minority voting power is, regrettably (indeed, outrageously) a longstanding practice in U.S. history. The Supreme Court, most famously, confronted an especially egregious example of this intentional vote dilution in the 1960 case Gomillion v. Lightfoot. There, Alabama had manipulated Tuskegee ‘s boundary to prevent blacks from exercising political power in the city, and the Court had no difficulty determining that this mapmaking exercise was intentional race discrimination requiring a compelling justification from the state. (None was forthcoming in the case.) Although perhaps not as egregious as the dilution of black voting power in Gomillion, the dilution of Latino voting power in LULAC by splitting Laredo in half is the exact same kind of consciously imposed harm on a local minority community as occurred in Gomillion and should be subject to the same strict constitutional scrutiny. In other words, when a legislature willfully redraws district lines to undermine a local minority community’s political power, that deliberate burden should count as intentional race discrimination for Equal Protection purposes, whether the legislature’s motive for imposing this burden is a belief in the inferiority of the minority group or a desire to protect an incumbency whose reelection is opposed by most members of the minority group.

In any event, whatever is the appropriate resolution of this Equal Protection issue, an inclination towards this position appropriately informed Justice Kennedy’s consideration, on behalf of the Court, of the vote dilution claim under the Voting Rights Act. In a crucial passage in his opinion, where he explains why the proportionality inquiry ultimately cannot defeat the section 2 claim involving District 23, he observes that the removal of Latinos from the district “bears the mark of intentional discrimination that could give rise to an equal protection violation.” (Slip op. at 34.) This fact distinguishes the section 2 claim here from an ordinary vote dilution claim under VRA’s section 2, which requires no showing that the dilution was intentional. Even if a State’s constitution required a computer to draw district lines based solely on maximizing district compactness, without any consideration of racial demographics whatsoever (the computer selecting randomly among maps with equally compact districts), the resulting map could be challenged under section 2 if it failed to produce minority-controlled districts in circumstances where such districts could have been drawn. Demonstrating that the map has the effect of diluting minority voting power is enough to invalidate the map under section 2.

In an ordinary section 2 case, where only the effect of dilution is shown, the proportionality inquiry makes sense. Don’t invalidate the computer’s compactness-maximizing map just because it failed to produce a minority-controlled district that might have been drawn in one part of the state if it turns out that the percentage of minority-controlled districts in the map overall is roughly proportional to the percentage of minority citizen voting-age population overall. In this situation, the state’s minority voters have not suffered a discriminatory harm.

The circumstances are entirely different, however, where, as in LULAC, minority voters in a specific locality are deliberately targeted by the legislature to undermine their political power. In Justice Kennedy’s own words, the basic fact of the case that “the State divided the cohesive Latino community in Laredo]” because they “threatened Bonilla’s incumbency” meant that “[i]n essence the State took away the Latinos’ [political power] because Latinos were about to exercise it.” (Slip op. at 33. 34.) Where this kind of deliberate undermining of minority political power occurs, the proportionality inquiry of an ordinary section 2 claim is beside the point. Statewide proportionality, as Justice Kennedy explained, could not “overcome” the harm of vote dilution specifically inflicted upon the Latinos of Laredo.

This conclusion is entirely sound. If Latinos in Laredo were targeted with another kind of discriminatory burden-for example, a reduction of their share of scholarships to Texas state universities, so that Anglos in Rep. Bonilla’s district could receive a disproportionately large share of these scholarships-it would not matter that statewide the percentage of scholarships received by Latinos were proportional to the Latino percentage of the statewide population eligible to receive these scholarships. In the special case of a section 2 vote dilution claim predicated on the deliberate targeting of a local minority community, the proportionality inquiry similarly should have no place.

This conclusion also goes a long way toward explaining why the addition of Latino-controlled District 25 does not negate the vote dilution claim regarding District 23. In essence, the State’s reliance on District 25 to offset District 23 is just another version of the proportionality defense, writ small. But giving extra scholarships to Latino students in Austin could not justify depriving Latino students in Laredo of scholarships in order to bestow extra scholarships on Anglo students within Rep. Bonilla’s constituency. Similarly, giving greater voting power to Latinos in District 25 cannot compensate for diminishing the voting power of Latinos in Laredo in order to protect the political interests of Rep. Bonilla and the predominantly Anglo constituents who support him.

Chief Justice Roberts attempted to deflect this basic point by arguing that the Latinos of Laredo were no more entitled in the first place to a majority-Latino district than were the Latinos of District 25. He observed that the old District 23 was no more compact (or otherwise geographically compelling) than the new District 23 and, therefore, the State originally could have chosen equally between the contours of the old District 23 and the new District 25. But, contrary to the Chief Justice’s argument, it does not follow from this observation that, when replacing the predecessor map, the State now is permitted to substitute the new District 25 for the old District 23. Even if Latino students in Laredo were no more entitled to receive scholarships than Latino students in Austin before any of these scholarships were awarded, once they are awarded the Latino students of Laredo cannot be deprived of them on the ground that Rep. Bonilla wants his Anglo constituents to receive more of the scholarships allocated to students in his constituency.

In his opinion for the Court, Justice Kennedy makes much of the fact that the Latino community of Laredo had been exercising its political power within District 23 before that power was taken away to benefit Rep. Bonilla and his Anglo supporters. He was correct to do so. Even if those Laredo Latinos had not been entitled to that political power in the first place, once they have it, the State should not be permitted to take it away from them in order to increase the political power of Anglos whose political interests, as demonstrated by past voting patterns, are opposed to theirs.

To be sure, by deciding that it violates VRA’s section 2 for a state to deprive a local minority community of preexisting political power, the Court in LULAC appears to import the non-retrogression principle of VRA’s section 5 into a vote dilution claim under section 2. But I would suggest that this apparent importation of the non-retrogression principle is limited to the special circumstance in which a vote dilution claim under section 2 is predicated on the deliberate targeting of minority voting power. In other words, it is limited to only claims of intentional vote dilution under section 2 that resemble an Equal Protection claim. It would not apply to purely effects-based vote dilution claims.

Ultimately, then, it is the deliberate nature of the injury to Latino voters of Laredo that justifies the Court’s decision to sustain their Voting Rights Act claim and provides the basis for thinking that Justice Kennedy, rather than Chief Justice Roberts, got the better of the argument. Indeed, the Chief Justice entirely neglects this distinctive feature of the vote dilution claim in LULAC. He treats the removal of Latino voters from District 23 as nothing more than a conventional, purely effects-based claim under section 2. He nowhere considers whether the purposeful targeting of Laredo Latinos for a loss of voting power to protect Rep. Bonilla’s incumbency presents a special case of intentional vote dilution under section 2.

Perhaps even more surprisingly, Chief Justice Roberts never considers the alternative Equal Protection claim that underlies the idea of deliberate vote dilution as a distinctive form of section 2 violation. Having rejected the Voting Rights Act challenge to the new District 23, Chief Justice Roberts should have gone on to consider the Equal Protection claim itself, just as Justice Scalia did. At the very least, Chief Justice Roberts should have explained why he would not address the plaintiffs’ alternative claim of intentional vote dilution under the Equal Protection Clause (or, for that matter, the Shaw -based claim regarding District 25, which the Chief Justice also did not address). But there is only silence from the Chief Justice on this essential feature of the case.

Thus, for all its rhetorical power and flair, Chief Justice Roberts’ opinion fails to grapple with what is most important about the Voting Rights Act claim regarding the removal of Latino voters from District 23. In essence, then, he misses (or ignores) the Court’s main point.

It would be most unfortunate, however, if academic analysis and public commentary on LULAC also misses this main point, as easily could occur if the focus becomes whether in terms of craft Kennedy or Roberts was the more effective advocate of his position. Roberts may well be the better wordsmith, but Kennedy was ultimately stronger on the substance of the law.

Kennedy kept focused on the key fact that Latino voters had been deprived of voting power to increase the voting power of Anglos. In the end, nothing else mattered-nor should matter, as surely it is a proper interpretation of the Voting Rights Act to find this kind of deprivation unlawful.

The Importance of Randall’s Indecisiveness

Some proponents of campaign contribution limits, including the editorial page of the New York Times, are trying to spin yesterday’s Supreme Court decision their way. They point to the fact that the Court’s two new members, Chief Justice Roberts and Justice Alito, joined Justice Breyer’s opinion, which accepted the general legitimacy of contribution limits but found Vermont’s peculiar mix of restrictions to be beyond the pale. They think this means that in a future case, Roberts and Alito (or at least one of them) will join Breyer and the Court’s three most liberal members-Stevens, Souter, Ginsberg, who would have upheld even Vermont’s law-to sustain strict contribution limits that lack Vermont’s idiosyncratic set of defects.

Perhaps, but I wouldn’t bet on it.

To be sure, Roberts and Alito did not join with Justices Thomas and Scalia, who yesterday reconfirmed their view that all contribution limits are invalid. But it would have been extraordinary if Roberts and Alito had embraced that view. The case did not require a commitment to that position, and as newcomers to the Court the prudent course was to leave their options open.

More significant is the fact that the new Justices did not unconditionally endorse the Court’s existing jurisprudence on the topic of contribution limits. Justice Alito, for one, wrote a separate opinion just to say that his acceptance of the foundational campaign finance precedent, Buckley v. Valeo, was contingent on the fact that the litigants had not offered a basis for reexamining that precedent. To my mind, Alito’s explicitly conditional acceptance of Buckley signals his willingness to consider joining with Thomas and Scalia to overrule Buckley‘s general tolerance of contribution limits, should a case come to the Court in which a party presents an argument for this position.

Roberts did not join Alito’s separate statement or author one of his own. But Breyer’s opinion was written in a way that he did not have to. Breyer’s opinion noticeably did not rely on the Court’s recent reaffirmation of the general legitimacy of contribution limits, Nixon v. Shrink Missouri Government PAC from 2000, but instead depended exclusively on the 1976 Buckley precedent. To be sure, Breyer’s opinion cited Shrink and distinguished it factually, but that is a far cry from invoking its reasoning as the basis for yesterday’s decision.

See the beginning of Part III.B of Breyer’s opinion, pages 13-14, the critical passages where Breyer announces the law to be applied to Vermont ‘s contribution limits. There he states: “Following Buckley,” “as Buckley stated,” “as Buckley acknowledged.” The absence of Shrink from these passages is telling. Indeed, Justice Souter’s dissent chided Breyer for failing to follow Shrink.

Breyer’s opinion, in effect, says no more than that operating with the longstanding Buckley framework yields the conclusion that Vermont’s law is invalid. Roberts therefore remains free to say in a future case, “I joined Justice Breyer’s opinion in Randall on the assumption that Buckley was correct regarding contribution limits, an assumption that was not called into question by that case.”

Roberts, in other words, can say down the road, “My acceptance of Buckley on the issue of contribution limits was contingent in the same way that Justice Alito’s was.” Looking back on Randall from the vantage of that future case, one might retort, “But Chief Justice Roberts did not say so at the time.” He could respond, however, that he did not have to. Indeed, Justice Alito’s opinion made it unnecessary for him to do so, because Justice Alito already showed how joining Justice Breyer in Randall did not commit one to embracing Buckley unconditionally on the issue of contribution limits.

Nor does the fact that Roberts joined Breyer in invoking stare decisis to confirm the validity of Buckley with respect to expenditure limits mean that Roberts must accept the validity of Buckley regarding contribution limits. The Court was explicitly asked to revisit the expenditure side of Buckley in Randall. Roberts did so and found it sound. That conclusion, however, hardly compels him to believe that Buckley is equally sound on the subject of contribution limits, a matter not in play in Randall.

There are, it is true, passages in Breyer’s opinion that suggest a more affirmative endorsement of the constitutionality of contribution limits as a rule and, thus, could be read as committing Roberts, or even Alito who joined these passages, to that endorsement. “Th[e] sort of problems [affecting the Vermont law] are unlikely to affect the constitutionality of a limit that is reasonably high.” (Page 26.) “We also understand the legitimate need for constitutional leeway in respect to legislative line-drawing.” (Page 28.) These passages seem to go beyond a reliance on Buckley as precedent, towards expressing a view that an independently correct understanding of the Constitution would accept the validity of most contribution limits.

But I would be cautious against reading too much into these words. Alito, after all, saw no inconsistency between signing on to them and holding open the possibility of overruling Buckley down the road. And as for Roberts’ relationship to these particular passages, one must add the consideration that he, as the new Chief Justice who assigned the case to Breyer, might be especially reluctant to distance himself publicly from what Breyer wrote, since no other Justice in the majority was willing to join Breyer’s opinion in full.

We can presume that, in the almost four months drafting process since the oral argument, Chief Justice Roberts exacted some concessions from Breyer as the price of his joining the opinion. The absence of Shrink as controlling authority may have been one such prerequisite. So, too, may have been the notable omission of the so-called “equality rationale” as providing any justifiable basis for campaign finance regulations, a rationale that Breyer had invoked in his own previous writings on campaign finance. In any event, when examining the final draft of Breyer’s opinion, as it stood ready for public release, Chief Justice Roberts may have asked himself: “Is there anything in here that I absolutely need to disavow today in order to keep my options open in the future, including the option of joining with other members of the Court to overrule Buckley on the issue of contribution limits?” “No” is the answer that the Chief Justice honestly could have given himself to this question, and that fact alone provides sufficient basis for being cautious about the implications of his joining Breyer’s opinion without submitting a separate statement of his own.

Contrast, moreover, Justice Breyer’s actual opinion in Randall with a very different one he might have written. Suppose Justice Breyer had written: “Six years ago, in Shrink Missouri this Court expressly reaffirmed that Buckley was correct to uphold contribution limits unless they are excessively low, and today we once again confirm the correctness of what we said in both Buckley and Shrink.” That hypothetical opinion would have heralded an intent to commit the Court in the future to continuing its past practice of upholding contribution limits in all but the rarest of cases. “No change of doctrine, just its ongoing application” would have been an appropriate headline for this hypothetical opinion. Had Roberts and Alito joined an opinion of that nature, they would have put themselves on record as rejecting the Thomas/Scalia view that Buckley should be overturned in this respect. Indeed, if Roberts and Alito had joined that kind of opinion, we can well imagine that the three dissenters-Stevens, Souter, and Ginsburg-would have figured out a way to join it also, although obviously only in part, so that they could say that a majority of the Court authoritatively embraced the continuing validity of Buckley and Shrink as setting forth the correct rule regarding contribution limits.

But that did not happen, presumably because both Roberts and Alito wanted to keep all their options open. They weren’t going to sign on, with Thomas and Scalia, to a repudiation of Buckley on the issue of contribution limits. But they also weren’t going on to sign on to an acceptance of Buckley as correctly decided on this issue. Instead, they were willing to accept Buckley temporarily as longstanding precedent on this issue, but precedent that is subject to reconsideration in a properly presented case.

Thus, the significance of Randall is that it leaves the Court in limbo on the issue of contribution limits. When faced directly with the question whether Buckley should remain good law on this point, either Roberts or Alito (or both) may decide to adhere to that precedent-and join with Breyer and the three Randall dissenters to form a Court for that position. That day, should it come to pass, would indeed be a great victory for proponents of campaign finance regulation.

But it is at least as plausible that, when confronted squarely with the continuing validity of Buckley on the issue of contribution limits, Roberts and Alito join with Thomas and Scalia to replace Buckley‘s leniency on contribution limits with a much more stringent test. Justice Kennedy, who in his own separate opinion in Randall reiterated his significant doubts about the contribution side of Buckley , might sign on to this position as well. Roberts and Alito, and Kennedy, need not go all the way to the Thomas/Scalia position of believing all contribution limits to be invalid. Rather, it would be a repudiation of Buckley if a future case says that contribution limits are subject to strict scrutiny and are invalid as the norm, with the exceptional case being one in which they are upheld (the inverse, in essence, of the Shrink Missouri position). An opinion repudiating Buckley in this way might get five votes, to make it the authoritative position of the Court, with Thomas and Scalia adding a concurrence to say only that they would go even further.

At this point, given the indeterminacy of Randall, we can only guess which way the Court will move in its next contribution limits case. If the Court next faced, let’s say, a law that limited contributions from individuals to candidates to $500 and from parties to candidates to $2500-each limit per election (not per cycle) and adjusted for inflation, and each explicitly exempting the incidental expenditures of campaign volunteers, thereby avoiding the particular problems of Vermont’s law-would there be five votes on the Court to uphold this law? Who knows? Indeed, who knows whether there would be five votes to uphold the same $1000 limit that the Court upheld in Shrink Missouri? The pointed unwillingness of Roberts and Alito to sign onto an opinion that relied on Shrink necessarily casts that precedent in doubt.

Perhaps it is somewhat paradoxical, but Randall is hugely important precisely because it resolves so little. Its indecisiveness indicates that the Court is in a transitional period between the settled understanding of the Shrink Missouri era (which, despite its brevity, yielded the important McConnell v. FEC decision upholding the constitutionality of the McCain-Feingold law) and whatever new settled understanding comes next. Randall reveals that we can no longer take as a given the Court’s precedents on contribution limits. Instead, they are open to reexamination, and that in itself is a major development in the field of campaign finance regulation.

These precedents may yet be reaffirmed. But that is a victory that their fans will need to win in the future. As things stand today, one day after Randall was released, that victory is far from secure. The situation now is very different than if Randall itself had reaffirmed the validity of these precedents and all that remained would be applying them to future facts. Instead, the precedents themselves are contestable, and a valiant effort at spin control cannot negate this truth.

Voting Rights Act Preclearance: Why Process Matters

By Daniel P. Tokaji

Yesterday, civil rights advocates organized a “National Call-In Day” to urge a floor vote on Fannie Lou Hamer, Rosa Parks and Coretta Scott King Voting Rights Act Reauthorization and Amendments Act of 2006 (H.R. 9). This bill would renew the provisions of the Voting Rights Act of 1965 (VRA) that are set to expire in 2007. It would also make a significant change to the legal standard under Section 5 of the VRA.

In this post, I suggest that the lively debate over VRA renewal has overemphasized Section 5’s legal standard while underemphasizing the importance of the process followed under Section 5. Section 5 requires covered jurisdictions to preclear proposed electoral changes – including redistricting plans – with either the U.S. Department of Justice or a federal court before they may go into effect. That process, which isn’t changed by the proposed amendment, creates a considerable risk of partisan manipulation and may not be adequate to protect minority rights from the most pressing threats. That’s not to say that Section 5 should be allowed to expire. To the contrary, I think it should be renewed. But Congress would be well-advised to take a hard look at the preclearance process and not just the standard applicable under Section 5.

The Standard

I start with the proposed amendment to Section 5 that’s received the most attention: the standard for granting or denying preclearance. The amendment purports to reverse the Supreme Court’s decision in Georgia v. Ashcroft, by providing that compliance with Section 5 should be judged by a proposed redistricting plan’s impact on “the ability of any citizens of the United States, on account of race or color … to elect their preferred candidates of choice.”

There’s been considerable debate among academics and advocates over whether this change to the standard is a good idea. These competing views are nicely represented in this recent exchange between Bob Bauer and David Becker, as well as in several of the posts appearing on the Election Law blog’s ongoing conversation regarding VRA renewal. Briefly (and at the risk of oversimplification), the debate focuses on whether it’s acceptable to trade off “safe” minority districts, in which racial minorities have a high likelihood of electing a candidate of choice, for “influence” districts in which there are enough minorities to influence the selection of a candidate but not enough to control that selection. Georgia v. Ashcroft gives some flexibility for states to make such trade-offs. Critics argue that this flexibility is subject to abuse and that Georgia v. Ashcroft‘s fuzzy definition of an influence district fails to provide an administrable standard for judging compliance with Section 5.

While I think that this debate over the Section 5 standard is consequential, I’m not sure the stakes are quite as high as it might at first appear. That’s because the proposed amendment leaves much to be defined – as did Georgia v. Ashcroft. There seems to be wide agreement that Georgia v. Ashcroft left the standard for judging Section 5 compliance somewhat vague. What exactly is an “influence” district? And under what circumstances is it acceptable (or even obligatory) to trade off a safe minority district for influence districts?

On the other hand, critics of Georgia v. Ashcroft like Becker seem to acknowledge that safe minority districts shouldn’t be considered the be-all-and-end-all. They seem to agree that Section 5 analysis should also consider so-called “coalition” districts. As Rick Pildes explains, those are “ones in which the black registered voter population is less than 50% (typically 33%-39%) and the rest of the registered voters are non-Hispanic whites.” As Professor Pildes points out, the category of coalition districts is analytically distinct from either influence or safe districts. There’s language in the House Report to H.R. 9 indicating that coalition districts should be considered in the Section 5 analysis.

It’s important to bear in mind that the Justice Department and the courts will ultimately determine how an amended Section 5 standard is interpreted. And the phrases “ability … to elect” and “preferred candidates of choice” leave plenty of room for interpretation. Does the ability to elect mean minorities’ ability to control the outcome? By themselves? And does “preferred candidate[] of choice” mean only the first-choice candidate? I expect that the courts, including the Supreme Court, will ultimately interpret these terms in a way that leaves considerable flexibility for covered jurisdictions. If anything, the new Supreme Court – with Justice Alito and Chief Justice Roberts replacing Justice O’Connor and Chief Justice Rehnquist – is likely to have a stronger inclination to protect state sovereignty than the old Court. A state-sovereignty orientation would incline courts to read the new standard in such a way as to allow state and local jurisdictions flexibility (assuming, of course, that the Court upholds Section 5’s constitutionality).

Take, for example, a state in which two of ten congressional seats are presently “safe” black districts, in which minority-preferred candidates have a near-certain chance of being elected. Should the state be permitted to get rid of one of those safe districts, to create two others in each of which a minority-preferred candidate has a 50% of being elected? Or to create three districts, in each of which a minority preferred candidate has a 33% chance of being elected? I suspect that the Court will allow trade-offs of this sort, if and when the matter comes before it.

As a practical matter, however, application of the new standard will initially lie in the hands of the U.S. Department of Justice. It’s therefore not just the courts – in fact, not mainly the courts – that will be interpreting and applying the new Section 5 standard, assuming that it remains in the reauthorization bill and that it’s constitutionality is upheld. That power will instead lie, in the first instance, with the Justice Department.

The Process

This brings me to an aspect of Section 5 that has, in my opinion, received too little attention: the process that’s followed in preclearing proposed electoral changes. As noted above, Section 5 allows covered jurisdictions to obtain preclearance through either the Justice Department or a federal court (specifically, the U.S. District Court in Washington, D.C.). In the vast majority of cases, covered states and counties choose to seek preclearance from the Justice Department, which is much less costly and cumbersome than going to court. And in the overwhelming majority of those cases, including redistricting cases, preclearance is granted.

This is a process that leaves considerable room for partisan manipulation. In the 1990s, ideological conservatives and some Democrats claimed that the Justice Department was engaged in such manipulation, under the Bush I Administration. Specifically, it was alleged that Justice wrongly denied preclearance, in order to compel the creation of districts in which minorities constituted a majority (or even a supermajority) of the population. Why would a Republican Administration want to do such a thing? Because the creation of such districts would have the effect of making surrounding more districts more white – the “bleaching” effect – thus benefitting Republican candidates in the aggregate. While there’s considerable debate over the Justice Department’s motives, and over the extent to which the creation of such safe minority districts actually helped Republicans, it’s generally believed that they derived some benefit.

The 2000s have again seen claims that the Justice Department is manipulating the preclearance process, although those complaints now come from a different quarter. This time, the claims focus on controversial decisions of the Bush II Justice Department to preclear the Tom DeLay-backed Texas redistricting plan and Georgia’s photo ID bill. Internal memos leaked to the Washington Post reveal that the decisions to preclear both changes was made against the recommendations of career staff, who concluded that they would harm minority voters.

In an important respect, these new concerns are more serious than those raised in the 1990s. In the 1990s, the allegations of partisanship had to do with “false negatives” – that is, with the Justice Department’s supposedly wrongful decision to deny preclearance. But such false negatives are subject to correction: a covered entity may seek judicial preclearance from the district court in Washington (albeit at considerable expense) if it believes that Justice has erred in denying preclearance. On the other hand, where the Justice Department erroneously grants preclearance – a “false positive” – there’s no judicial remedy. That’s because the Justice Department’s decision to grant preclearance is final, and not subject to judicial review.

One point on which those across the political spectrum ought to be able to agree is that the present preclearance process is subject to partisan manipulation. In a sense, this reflects an oddity that has always existed under Section 5 – specifically, that an enforcement agency (the Justice Department) is charged with performing an adjudicative function. This process worked pretty well for many years, mostly because Democratic and Republican administrations were both committed to discharging their duties faithfully, in a way that would promote equal participation and representation by racial minorities. More recent developments, however, raise serious doubts about whether Justice can be trusted to administer its preclearance duties evenhandedly, without regard to partisan consequences. These doubts are only exacerbated by the proliferation of partisan election administration rules like Georgia’s photo ID law, which threaten to impede participation by racial minorities – to the benefit of the party in control of both the state house and the White House.

Although it’s less clear what should be done to fix the problem of partisan manipulation in the preclearance process, there are at least three changes that Congress should consider. One is to make Justice Department decisions to grant preclearance judicially reviewable. This would undoubtedly increase the costs of preclearance, but would reduce the risk of partisan manipulation of the process.

Another possibility, suggested by Professor Heather Gerken of Harvard, is to replace the current “top-down” model with a “bottom-up” approach. Under this approach, civil rights groups instead of the Justice Department would have the initial duty of monitoring changes and negotiating with covered entities if they object. This approach could reduce preclearance costs, and could be effective if civil rights groups are compensated for their efforts. But it wouldn’t eliminate the risks of partisan gamesmanship, since the Justice Department would still have to serve as a “backstop” making preclearance decisions when civil rights groups and covered jurisdictions can’t arrive at a negotiated agreement.

A third possibility is to take authority over some preclearance decisions out of the Justice Department’s hands, and place it in a bipartisan agency – one that, for example, consisted of two Democrats and two Republicans – with a majority required in order to grant preclearance. In the event of a deadlock, the dispute would ultimately wind up in court. This would probably drive up the costs of preclearance, since more cases would likely be resolved judicially rather than administratively. On the other hand, it would guard against the considerable risk of partisan manipulation, especially false positives, that exists under the current process.

As I’ve discussed at greater length in a forthcoming article, I think some combination of these three options is probably optimal. Alternatively, Congress might consider more limited measures of promoting transparency in the Justice Department’s decisionmaking, along the lines that Mark Posner has suggested. Whatever the approach ultimately selected, it’s imperative that the preclearance process and not just the standard receive attention.

A shorter version of this comment will appear as part of the ongoing discussion of VRA renewal on Rick Hasen’s Election Law blog.

Online Voter Registration is the Answer

Controversy currently rages in both Florida and Ohio over their new laws regulating voter registration efforts by third-party groups. Civil rights organizations and other non-partisan entities, like the League of Women Voters, have long engaged in voter registration drives in order to increase participation in the franchise by eligible citizens. The practice of recruiting new registrants, however, has intensified recently, especially during presidential elections in battleground states, and some of the newer groups involved in the process, like Moveon.org, clearly favor one political party and its candidates.

Reports of irresponsible and even mendacious practices in 2004 by some third-party groups led legislatures in Florida, Ohio, and elsewhere to believe that new regulations were necessary. There were stories, for example, of groups losing registration forms or submitting them late, thereby disenfranchising the voters they were purporting to empower. There were other allegations of incomplete or improperly completed forms submitted by third-party groups, raising the question whether a state would be required to count provisional ballots cast by voters whose registration forms had been rejected because of these errors. Worst of all, there were even accounts of third-party groups selectively destroying registration forms filled out by would-be voters who identified themselves as affiliated with the “wrong” political party. (In Nevada, it was alleged that a Republican-allied organization intentionally discarded forms listing a Democratic affiliation before submitting the forms of those who registered as Republicans.)

Now we hear cries that the new regulations designed to stop these abuses are too draconian. In Florida, the League of Women Voters itself has filed a lawsuit claiming that the penalties imposed for losing forms ($5000) and missing deadlines ($500) are excessive. In Ohio, the dispute targets a rule requiring any individual who participates in a voter registration drive and collects completed forms to personally deliver those forms to the state’s election officials.

These new rules may indeed be overkill. But, for all the fuss they have generated recently, it is important not to lose sight of the fact that they were responses to real and significant concerns. After all, we are talking about protecting a citizen’s right to vote.

When a third-party group loses a registration form or misses a deadline, that group should be held accountable. Ironically, those now criticizing the new regulations are often the loudest to attack local elections officials when they mistakenly misplace registration forms or otherwise inadvertently omit new registrants from their voter lists. If a third-party group is going to undertake the responsibility of participating in the registration process, its needs to accept the consequences of disenfranchising citizens because of its own mistakes.

Fortunately, by using internet technology, there is a way to enable third-party groups to conduct voter registration drives without requiring them to accept the risk of heavy penalties due to misplaced forms. The major problems reported in 2004 were caused by the gap between completing a form and delivering it, a gap created when the forms exist on old-fashioned paper and must be either mailed or hand-delivered to the government. Likewise, the criticisms of the new rules in Florida and Ohio result from the need to mail or hand-deliver printed registration forms.

These problems-and these criticisms-disappear if these (and other) states would implement online voter registration as an option. Electronic submission of registration forms over the internet need not entirely replace the submission of printed forms in person or by conventional mail, at least not for the foreseeable future. But online registration ought to be available now, or at least in time for 2008, to supplement traditional methods.

Online voter registration would make completion of the form and its delivery a single step: a click of the mouse on a “SUBMIT FORM” button that appears on the computer screen. A third-party group could give its workers laptops that access the internet using a cell-phone connection, thereby permitting these workers to register new voters door-to-door, in shopping malls, or anywhere else cell-phone connections are available. Receipt of these registration forms by the government would be instantaneous. Indeed, the new registrant could receive an immediate email reply confirming that the government received the registration form. The process would be much like ordering concert tickets online.

There would be no danger of the third-party groups losing registration forms or missing registration deadlines. Indeed, the third-party groups would not really be handling these registration forms at all. Instead, they would simply be facilitating their completion and submission by the new registrants themselves.

Although many states now enable their citizens to download registration forms off the internet, they still require new registrants to mail in or hand-deliver the printed form after signing it. But if it is a signature that these states want, it is possible to have the new registrants sign their names electronically, as shoppers now do in most grocery stores. In addition to giving their workers internet-accessible laptops, third-party groups could equip them with portable versions of these electronic signature readers. In fact, some current laptop models (often called “tablet PCs”) have the built-in capacity to digitize a signature written on its screen with an electronic pen.

Alternatively, if a citizen already has a signature on file with the government-for example, as part of obtaining a driver’s license-then the citizen can incorporate by reference this existing record. Arizona, which is one state that enables voters to register online, permits this cross-referencing of signatures on file. Sam Reed, Washington Secretary of State, has proposed that his state follow Arizona’s lead in this respect.

Online registration, moreover, could facilitate breaking the logjam in the incessantly contentious debate over voter identification. As I have suggested previously, digital photos taken at the time of online registration could be stored in electronic poll books, so that voters would not need to bring an ID when they go to cast their ballot at their polling place. (Spencer Overton, in his new book Stealing Democracy, echoes this observation.) Third-party groups armed with digital cameras in addition to their laptops could take these photos at no charge to the new registrant and, if necessary, show the registrant how to include the photo as part completing the online form.

Any concern about the ability of third-party groups to handle the task of facilitating online registration could be alleviated through a training process that would allow these groups’ workers to become “deputized” in much the same way that notaries public have been for years.

To be sure, not all third-party groups would want to avail themselves of the opportunity to facilitate online registration. The cost of internet-accessible laptops (and, if required, additional technology like electronic signature readers or digital cameras) might deter groups operating on a shoestring budget. But 2004 demonstrated that at least some groups are able and willing to devote these kinds of resources to voter registration drives. Deploying Blackberries, PDAs, and other high-tech gadgets, third-party groups in Ohio and elsewhere conducted sophisticated get-out-the-vote efforts, hoping to maximize turnout for their preferred candidate. If online registration were an option, there is no doubt that some groups would begin to supply their workers with the tools needed to take advantage of this possibility.

The ease of online registration would be enough to cause some groups to prefer it to the old-fashioned methods of submitting forms by mail or hand-delivery. Even so, the chance of being fined for failing to submit paper registration forms entrusted to their care would be an appropriate additional incentive for groups to choose the failsafe method of online registration. Especially because it is impossible for a third-party group to misplace a completed online form, these groups should be penalized if they disenfranchise a citizen by losing a paper registration form when they could have opted for the online alternative.

To serve as an adequate incentive, a fine would not need to be as large as those in Florida’s new law. Nor would it be necessary to require, as Ohio’s new rule does, that the same individual who collects a completed paper registration form to be the one who submits the form to the government. But the current debate risks spending too much time and energy over whether these new regulations for handling old-fashioned paper forms are unduly onerous.

Instead, advocates for making voter registration more accessible should be clamoring for the availability of online registration.

A Way to Rescue Redistricting Reform

Redistricting reform in Ohio is not dead, but it is in intensive care.

As many readers of this column already know, on May 25 Democrats in the Ohio House of Representatives defeated not only a reform proposal put forth by Republicans but also one that they, the Democrats, had developed in 2005. In the wake of this obstructionism, these House Democrats have been widely and strongly condemned by editorials in the state’s major newspapers.

Blame the Democrats,” blasted the Akron Beacon Journal. “Shameful,” said the Dayton Daily News. “Hypocrites,” cried the Cleveland Plain Dealer.

While it is tempting to pile on this criticism, it would be more constructive to explore whether there might be a way to save the dying patient.

Fortunately, there is still time. Democrats and Republicans, in both the House and the Senate, would need to agree on a proposal by August 9 in order to put it plan before the voters in November. Summer legislative sessions have been calendared in case they are needed. So, in this instance, the old cliché is true: where there’s a will, there’s a way.

But is there the will?

The Democrats say they favor redistricting reform, just not the particular version put forth by the Republicans. The reason they rejected their own proposal from May 2005? They’ve learned a lot, they say, as a result of the Reform Ohio Now campaign in November 2005, particularly about the importance of increasing the competitiveness of legislative races (more on this in a moment).

While many are skeptical of the Democrats’ sincerity-they just want their chance to gerrymander again (now that they foresee victory this fall), these skeptics say-I would prefer to take them at their word. If they are indeed willing to negotiate in good faith with Republicans in an effort to achieve genuinely bipartisan redistricting reform, this willingness should be pursued, because if both sides come to the table in search of a plan that is fair to the legitimate positions of both sides, then an agreement should be achievable by the August 9 deadline.

The key sticking point is how to prioritize between two redistricting criteria: (1) preservation of community boundaries (counties, cities, and townships); and (2) competitiveness of legislative elections. Republicans value the first over the second, whereas the Democrats prefer the second to the first.

The Democrats defeated the Republican plan crafted by Rep. Kevin DeWine because it explicitly subordinated competitiveness as a redistricting factor to the goal of keeping community boundaries intact-just as Rep. DeWine led the successful Republican campaign last fall to defeat the Reform Ohio Now proposal because it elevated competitiveness over the integrity of community boundaries.

It is evident, then, that in order for redistricting reform in Ohio to be genuinely bipartisan-and in order for redistricting reform to succeed, since neither side has the political power to unilaterally impose its own preferred version of reform-it is necessary that the reform proposal give equal weight to both competitiveness and preservation of community boundaries.

There are two different ways to give these two redistricting factors equal weight, one we can call procedural, the other substantive. The procedural way would be to leave it to the bipartisan redistricting commission to balance these two factors as the commission thinks best. Because the proposed commission has an equal number of Democrats and Republicans, with the remaining members chosen with the equal input of both parties, the commission should be trusted to balance these two factors in a way that would be fair to both parties. (Because the Democrats have not voiced any significant objection to the structure of the proposed commission, as detailed in the amended version of Rep. DeWine’s plan, this procedural approach to a bipartisan compromise might be the easier version to achieve.)

The substantive way would be write a rule into the redistricting plan that would require the commission to give equal weight to competitiveness and community integrity. This rule could be specified mathematically in the following way. First, all new districting maps under consideration by the commission would be scored according to the number of noncompetitive districts they contain. Although there are different ways to measure whether a district is competitive or not, one possible measure of noncompetitiveness is a district where the average gap between the votes received by the two major-party candidates is more than five percent. (This measure is the mirror image of the measure of “competitiveness” contained in the DeWine proposal, which defined a “competitive” district as one where the average gap between candidates was not more than five percent.) Second, all these plans would also be scored according to the number of fragmented political communities they contain. In other words, each segment of a county, city, or township contained within a legislative district that was not the entire county, city, or township would count as one fragment for the purpose of this second number.

These two numbers, then, would both be converted into percentages, so that they were comparable in scale. The number of noncompetitive districts would be divided by the total number of districts, with this ratio expressed as a percentage. Likewise, the number of community fragments would be divided by the total number of communities, with this ratio also expressed as a percentage. These two percentages would be added together to produce a combined “competitiveness/community-integrity” index. The plans with the lowest score according to this index would be the ones that did the best in terms of giving equal weight to the values of competitiveness and keeping communities intact.

An alternative method of putting the two factors on the same scale might be to measure the number of Ohio citizens affected by noncompetitive districts or fragmented communities. In other words, with respect to each map, one could total the number of citizens living in noncompetitive districts and then add up the number of citizens living in communities that are fragmented under the map in question. These two sums could be combined, and the maps with the lowest combined sums would be considered best. (Using this alternative method, it would be necessary to decide whether citizens should be considered twice if they are residents of two different communities fragmented by a map: for example, if both the city and county in which they reside are fragmented. Presumably not, since the point of a citizen-based formula for giving equal weight to competitiveness and community integrity is that each individual harmed by either kind of districting “flaw” should count the same in evaluating the relative merits of different maps.)

Perhaps using statistics there are even more sophisticated ways to express mathematically the equal consideration of these two redistricting factors. But the crucial point here is that it is possible to develop at least one way to do so. Therefore, it is possible to write a rule that embodies a genuinely bipartisan compromise between the Democratic and Republican positions on redistricting priorities.

My own preference would be to leave any specific rule of this kind out of the Constitution and let the bipartisan commission develop a rule of its own, according to the procedural solution described above. But if either side is distrustful of what the commission might do in the future, then it is possible to confine the commission to a substantive rule that is genuinely bipartisan in giving equal consideration mathematically to the two values that each party ranks in the opposite order of priority.

Either version of a bipartisan compromise-procedural or substantive-would be worthy of adoption in comparison with the current situation, which permits the party in power at the time of redistricting to subordinate both community integrity and competitiveness to the illegitimate manipulation of district lines in order to secure an unfair cushion of extra seats in the legislature. Because at least one of these two versions of bipartisan compromise ought to be achievable if both parties negotiate in good faith between now and August, if it turns out that one side nixes the deal because it would prefer a chance to manipulate the map, then that party truly would deserve to be condemned by all the newspapers of the state (as well as by all other institutions that speak out on behalf of the public interest).

What is more, that party’s candidates-including its candidate for Governor-would deserve the electorate’s retribution at the polls for blocking genuine bipartisan reform. Between now and August, both parties’ gubernatorial candidates should be forced to take a stand on a genuine bipartisan reform proposal, either procedural or substantive, that gives equal consideration to the values of community integrity and competitiveness. And because neither candidate for Governor should wish to appear on the wrong side of this reform issue, both of these candidates should lean hard on the members of their party in the House and Senate, insisting that the General Assembly reach a bipartisan compromise to benefit the people of Ohio as a whole.

If the two gubernatorial candidates can agree on the details of a redistricting reform plan, and if they both announce that adoption of this compromise plan is essential medicine for curing the state’s political system of the corruption that currently plagues it-and that therefore any candidate for a seat in the General Assembly who is against this compromise plan is an enemy of true reform-it would seem hard for members of the General Assembly seeking reelection to vote against this compromise in August.

It may be a long shot. But it is worth pursuing. Otherwise, redistricting reform in Ohio is dead.

Administering the New Voter ID Rule Reasonably

By David Stebenne

Voting in recent years has been awash in controversy and 2006 promises to be no different. Among the issues likely to arouse disputes is new legislation in such states as Georgia, Indiana and Ohio, requiring would-be voters to show a valid ID at the polling place as proof of their identity. Some versions of the new ID requirement are more stringent than others. Whereas Georgia and Indiana require a photo ID, Ohio’s new law would permit non-photo utility bills and various other financial or government documents to suffice.

Advocates for lower-income groups have sharply criticized both forms of the new ID rule as unduly burdensome. Lower income voters if they are employed often have less time and energy for voting than the rest of the population, thanks to the physically demanding nature of many blue-collar and pink-collar jobs, and their often long hours. They are also usually not nearly as well educated and thus, compared to the general population, less able to manage paperwork effectively. Giving the poor and nearly poor one more thing to remember if they wish to cast a ballot on Election Day can pose a significant obstacle to voting by them, or so the argument goes. The same basic concern applies as well to elderly voters, who tend to be more forgetful and to have fewer kinds of IDs, especially if they no longer drive. Requiring a valid ID has also been criticized as potentially intimidating to people who are fearful of the police and tend to associate the demand for identification with an accusation of wrongdoing.

On the other side of this argument lies a legitimate concern with preventing fraud and error in the voting process. While that concern never goes away, it tends to rise in proportion to voter turnout. The greater the propensity of the population to vote, and in particular, the higher the turnout among people unaccustomed to voting regularly, the more worry there tends to be about fraud and error. The history of voting in the USA suggests that this concern is a valid one. Eras marked by high voter turnout, and in particular heavy participation in the electoral process by those in the bottom half of the income distribution, have been marked by more fraud and error than periods of lower turnout.

The most recent past era in which those problems worsened began in the mid-1930s, when the popularity of Franklin Roosevelt’s New Deal policies among industrial workers sparked a very sharp jump in their voter turnout. Many of these newcomers to voting were the children of immigrants, and tended to lack any personal or family history of voting regularly in America. These kinds of blue-collar voters in places such as New York City and Chicago flocked to the polls during the Depression, and that pattern continued, with occasional dips, into the mid-1960s. Although a positive development in the sense that high voter participation rates are a sign of a healthy democracy, a more troubling aspect was an increase in voting fraud and error for which Chicago in particular became notorious.

Although one cannot be entirely sure, there are signs that the country has entered another, similar period of increased turnout among lower income voters, many of whom are either immigrants or their children, or people with deeper roots in the country who haven’t voted much, if at all, before. Coping with this upsurge of voting among the less well educated and less experienced in a way that guards against fraud and error is a real challenge, which the new voter ID approach promises to help meet.

What is needed, however, is a sustained effort on the part of election officials, leaders of the two major parties, and the media to work together to administer voter ID rules reasonably. Election officials need to convey a clear message that asking for ID won’t be used in improper ways, thereby reassuring those fearful that somehow this will lead, to give only two examples, to a demand on the spot that a would-be voter pay an outstanding library fine or traffic ticket before being allowed to cast a ballot. Some will say that this is a missed opportunity that could have been used to catch and penalize these kinds of wrongdoers, but if we view voting as something very basic to our republican form of government, the logic of taking such an approach appears compelling. Of course, some would-be voters may distrust these assurances of confidentiality, but such fears will likely decline over time, as word gets around that showing up to vote and presenting an ID doesn’t create other kinds of problems.

Leaders of the two major political parties need to resist the urge to turn the voter ID rule into a partisan issue, with the Democrats (who tend to attract more of these kinds of voters) favoring great leniency in applying the rule and Republicans extreme strictness, rather than the more moderate approach that would best serve the public. This is not a hypothetical concern. When the Voting Rights Act of 1965 was passed, and millions of black and Hispanic voters flocked to the polls in the Sunbelt for the first time, that partisan pattern of administration was the norm in many places. In Phoenix, to give only one example, a team of highly partisan (Republican) attorneys that included the young William Rehnquist intensely challenged new, would-be voters at polling places during the 1966 elections. This conduct was so controversial that it became an issue when Rehnquist was nominated to serve on the U.S. Supreme Court. The key point here is that the ID rule must be administered by polling officials and party representatives in a way that is sensitive to the legitimate concerns of new voters. Some training sessions on this topic for all poll workers would be a very positive step.

As for the media, its biggest potential contribution would be to remind voters during the week before the election about the need to bring a valid ID, and to explain what forms of ID would be readily accepted. A public-service campaign of this sort would go a long way, one suspects, to reducing the number of would-be voters who are turned away because they simply forgot to bring a valid ID with them when they went to vote.

Experienced politicos may well see these suggestions as hopelessly impractical because there is so much resistance to the voter ID rule in major metropolitan areas. What the opponents there lack thus far is a sense of the inevitability of this change over the long term, but that should change soon. Surveys show that a large majority of the voting age population favors the voter ID safeguard and eventually that sentiment will likely prevail. Even in states like Wisconsin where gubernatorial vetoes have blocked such legislation, it can (and likely will) be approved via statewide ballot measure precisely because the majority in that state favors the change. The trend will likely become pronounced first in the nation’s heartland, where moderate perspectives are always stronger than they are on the coasts, but the likelihood of an eventual national trend seems high. In fact, Congress is considering a nationwide photo ID rule for federal elections, proposed by Kentucky Senator Mitch McConnell. Given that situation, big city leaders ought to be working proactively to shape how such a rule would be administered, rather than simply trying to block it.

A similar sort of realism ought to persuade the most ardent supporters of voter ID to cooperate in the effort to develop reasonable rules for compliance, because the voter ID rule seems to have the greatest chance of long-term success if it is applied in a moderate but firm fashion. Excessive severity will likely undermine the kind of support for the rule that is needed over the long term in order to make enforcement effective at the local level, in big cities especially. The fairer enforcement of the rule appears to urban voters, the more likely they (and the voting officials there) are to comply with it.

Supporters of this new rule would do well to keep that in mind as we move nearer to voting this year.

Ballot Initiatives: Use By Political Parties

By Dale A. Oesterle

Those who put ballot initiative procedures into state constitutions thought that they were a counterpoint to political parties. When politicians ignored the wishes of the people, the people by using ballot initiatives could enact their views into law.

But politicians are a resourceful group, and they are figured out how to use ballot initiatives to advance their political party’s fortunes. They have discovered the “wedge” ballot proposal.

Here is how it works. A political party needs to energize its political base for an election so its core voters will show up at the polls. If they show up they will vote for the party’s candidates. To whip up excitement among these loyal but undependable voters the party puts a carefully selected initiative on the ballot. The initiative is on a hot button issue that the party’s core voters care very deeply about. The core voters will show up just to vote on the initiative and stay long enough in the voting booth to also vote for the party’s candidates for office.

Republicans used initiatives on gay marriage in the 2004 President race to turn out conservative voters. Some pundits claimed that the Ohio initiative on gay marriage gave President Bush the extra 60,000 votes he needed to claim the Electoral College votes of Ohio, the pivotal state in the election. In this year’s congressional elections, the gay marriage initiative is on another six state ballots. Republicans are also using initiatives on tax and spending limits to turn out their base conservative constituency in several other states.

The Democrats, although late to the tactic, have responded with ballot initiatives of their own. In the 2004 senatorial race in Colorado, the Democrats took back a seat held by the Republicans with the help of a ballot initiative promoting renewable energy sources. In six states this year, Democrats have successfully placed initiatives on the ballot that raise the minimum wage. In Missouri this year, a Democrat for the Senate is hoping for help from a ballot initiative permitting private funding of embryonic stem-cell research.

Academic research has found that ballot initiatives are effective in midterm elections. The authors of the studies have found that ballot initiatives can increase voter turnout by as much as eight percentage points. The studies of presidential campaign are mixed, however; some find no effect on voter turnout in some states while others find a small effect.

With political parties sponsoring initiatives, the most dramatic change will be in states, such as Ohio, that require petition signatures from at least one-half of the state counties to get an initiative on the ballot. Political parties have organizations ready to go in each county while citizen groups must struggle to create them. State, such as Ohio, will see a dramatic increase in ballot initiatives once political parties get involved.

But, as I noted above, politicians are a resourceful group, and they are already developing counter measures. The most obvious counter-measure is to match ballot initiative with ballot initiative. Both parties struggle to get offsetting ballot initiatives on the same ballot.

The more subtle counter-measure is to moot an opponent’s ballot initiative with legislation. In Michigan and Arkansas, for example, Republicans in the state legislature passed minimum wage increases to keep the Democrats’ initiative on minimum wages off the ballot. Around elections, then, we can expect to see state legislatures flip-flop on legislation. A state legislature controlled by one party that has blocked legislation promoted by the other will pass, on the eve of the election, the other party’s bills.

This counter-measure, of course, will further encourage a minority party to have several ballot initiatives in advance of any election.

[Editor’s Note: Here in Ohio, we are currently witnessing an interesting twist on the use of legislation in an effort to moot a ballot initiative: Republicans in the state’s General Assembly are proposing tax-reduction legislation to moot the Tax Expenditure Limitation initiative, promoted by their own gubernatorial candidate (current Secretary of State Kenneth Blackwell), but now widely viewed as a political liability. It remains to be seen whether this legislative effort will succeed in removing the initiative from Ohio’s ballot in November.]

Whether all these is good or bad is hard to say. One thing is for certain, however, political parties will remain very vigorous proponents of ballot initiatives in all future elections.

Democracy’s Revenge? Bush v. Gore and the National Popular Vote

By Peter M. Shane
Fellow, Election Law @ Moritz
Joseph S. Platt/Porter Wright Morris & Arthur Professor of Law; Director, Center for Interdisciplinary Law and Policy Studies
Moritz College of Law

Bush v. Gore struck many Americans, myself included, as an egregious affront to democracy. The judicial disenfranchisement of potentially thousands of Floridians through the unprecedented application of dubious constitutional doctrine seemed a plainly illegitimate exercise in judicial overreaching. It robbed Florida of the opportunity to rescue its exercise in election administration from ignominy. It insured that the uncontested winner of the 2000 national popular vote would not become President of the United States in 2001.

But democracy may have its revenge. At least, that’s the hope of a project called National Popular Vote.

NPV is a non-profit corporation, with a distinguished bi-partisan advisory board of political heavyweights, that believes it has figured out how, without a formal constitutional amendment, we can guarantee that the national popular vote winner will always win the electoral college.

The plan is elegantly simple. It requires a number of states whose collective electoral votes would amount to a majority in the electoral college to form an “interstate compact.” Through identical legislation enacted by all of its members, each state would promise – once the requisite number of states signed up – that it would appoint electors in each presidential election committed to voting for the national popular vote winner.

Thus, if the NPV Plan had been in effect in 2000, it would have meant that a number of states with electoral votes amounting to at least 270 would have enacted this legislation. Because Vice President Gore was the clear national popular vote winner, these states would have appointed electors committed to the Gore-Lieberman ticket. They would have done so irrespective of the outcome of the popular vote within any of the individual compact member states. And the electoral college winner would, therefore, have been Al Gore.

Securing sufficient support to bring the NPV Plan into being will entail significant effort, but nothing like the effort required to amend the Constitution. An amendment would require a vote by two-thirds of each House of Congress, including the support of a significant number of Senators and Representatives from states that currently benefit from disproportionate clout under the electoral college system. Their handiwork would then have to be ratified by three-quarters of the states, including yet more of the small ones.

By contrast, NPV could go into effect if adopted by as few as a dozen states. If ratified by a congressional majority, it would even become an “interstate compact” that one state could seek to enforce in the Supreme Court against any other state that neglected to follow the agreement. The Colorado State Senate has already adopted the measure.

In terms of sheer poetic justice, the beauty of NPV is that it takes advantage of what I have urged was a foundational error in Bush v. Gore. In a 2001 law review article, I disputed the majority’s assertion that “[t]he individual citizen has no federal constitutional right to vote for electors for the President of the United States unless and until the state legislature chooses a statewide election as the means to implement its power to appoint members of the Electoral College.” I argued, based on the history of the Fourteenth Amendment, that state voters are entitled under the Privileges and Immunities Clause to have their state’s legislative allocation of electoral votes reflect the popular vote in that state.

(Professor Pam Karlan, among the nation’s most prominent voting rights scholars, disagreed – but only with regard to the clause. She would attribute the same right to the Due Process Clause instead.)

If either the Karlan or Shane theory is correct, then implementing the NPV plan would entail a violation of the Fourteenth Amendment in any state in which the state popular vote reached a result different from the national popular vote. But, happily for NPV, two law professors’ articles probably amount to little against explicit Supreme Court precedent.

There is another constitutional difficulty to be faced. Namely, if the courts regard the NPV plan as depriving small states of influence they are constitutionally entitled to exercise, then NPV could be invalidated as an illegitimate attempt to do an end-run around the constitutional amendment process. On several occasions, including at least one involving an interstate compact, the Supreme Court has overturned legislative innovations that it regarded as tantamount to structural amendments to the Constitution.

Robert Richie, executive director of FairVote – The Center for Voting and Democracy – does not see the matter this way. He believes “the framers gave states the power to decide what’s best for their people,” including a preference for a President supported by a national plurality. He feels “confident in the legality of a rule change that treats all voters equally and is founded on the power given by the Constitution to the states.”

Only time will tell whether such confidence is justified. In the meantime, the lawyer side of me entertains some constitutional doubts. But the citizen side admires a creative effort to make democratic lemonade from the biggest judicial lemon since Korematsu.

Electoral Laments in Major and Minor Keys

So many things can-and do-go wrong with the administration of elections that it is important to distinguish the serious problems from the relatively minor inconveniences.

Last week’s primary elections in Ohio illustrate this point. The headline grabber was the week-long delay in announcing results in Cuyahoga County because machines purchased to read absentee ballots were unable to do so. It became necessary to count 15,000 absentee ballots by hand. (Just think if more Cleveland voters had really utilized their new ability to cast “no excuse” absentee ballots. Less than ten percent of the vote in this primary was by absentee ballots, but it might have been much higher.) The consequence was a colossal embarrassment for the county’s Board of Elections and a huge frustration for the campaigns and members of the public waiting eagerly to know the results.

But so far there has been no allegation that this unfortunate and annoying delay has compromised the integrity of any of the Cuyahoga County elections. Accordingly, the problem should be classified as relatively minor.

To be sure, hand counting 15,000 ballots is likely to be significantly less accurate than counting these same ballots by machine-when, that is, the machines work properly. In this respect, the problem could convert from being merely inconvenient to jeopardizing the integrity of the results, a consequence of an entirely different order of magnitude. But right now we can laugh at, rather than weep over, the ineptitude that this malfunction revealed.

More serious of the mishaps in Cuyahoga County was the failure of twenty percent of polling places to open on time, and at least one to miss the entire morning before opening in the afternoon. Delays of this kind disenfranchise voters who, because of work and/or family schedules, are unable to return later in afternoon or evening. If these delays fall disproportionately on voters with particular demographic profiles-urban rather than suburban, lower-income rather than higher-income-as they are likely to do, then this disenfranchisement risks the serious structural defect of causing the less popular candidate to prevail. In other words, this disenfranchisement, in addition to being a violation of the voter’s individual right, results in the undemocratic denial of majority rule.

Worse still was the loss of 70 memory cards that recorded the vote tallies from 200, or 14 percent, of the county’s 1435 precincts. The misplacement of these memory cards, even if temporary, is a break in the “chain of custody,” which would enable tampering with the results of the election. As of this morning, according to the Plain Dealer, as many as a dozen of these memory cards are still missing. What is perhaps even more remarkable, a full week after election day, the Board of Elections does not know how many of these memory cards remain unaccounted for: apparently, it may be as few as seven.

Maybe this time the loss of these vote tallies was only the result of gross negligence, but at some point incompetence slides into nefariousness, as when in 2004 several Cuyahoga County election officials allegedly decided to disregard the requirement that selection of sample precincts for an initial recount be random. This decision may have been motivated by a desire to save money or to avoid the time-consuming burden of a full recount of all the county’s precincts. Even so, taking matters into their own hands in this way reflects an astounding failure of senior election officials to appreciate the reason for the requirement that the sampling be random: to avoid the recount being rigged.

It is understandable-and forgivable-that election officials will make mistakes. They are only human. And not all electoral mistakes threaten the integrity of the election itself.

But malfeasance is a very different problem than mere mistakes, and there arguably has been malfeasance in the administration of elections in Cuyahoga County, including this past week’s lapses in the chain of custody over memory cards and the inability still to find at least seven, and up to twelve, of them. Malfeasance on the part of election officials, by its very nature, undermines confidence in the legitimacy of the elections: the system is inherently untrustworthy.

Primary ’06 revealed, or perhaps confirmed, a “people problem” in the administration of elections in Cuyahoga County. Machines may have failed, but the fundamental structural defect was that election officials could not be trusted to do even the simple things they were supposed to do, like keep track of the ballots to be counted. Unless and until the leadership of the county’s electoral system can instill among its officials a culture of responsibility, doubts will remain about the ability of the county to conduct elections that satisfy the basic standard of democratic legitimacy.

Meanwhile…

The Imperative of Redistricting Reform

Not all structural defects in the operation of democracy in Ohio concern the counting of votes. There is also the travesty that the geographic lines for determining the boundaries of legislative districts are drawn by one political party in order to maximize its ability to secure an unfair advantage over the opposing party. Democrats have done this when they have controlled the decennial redistricting process, as have Republicans most recently.

Now the Republicans have put forward a plan that would take this redistricting process away from the party in power and put it in the hands of an independent nonpartisan commission. Whether motivated by the fear that Democrats will be in control in 2011, or instead by a genuine desire to do what is right on behalf of Ohio’s electorate, it does not matter. The plan is a good one, it deserves to be adopted, and if Democrats block it because they smell Republican blood in this fall’s all-important elections, then these Ohio Democrats deserve every condemnation leveled against them.

The plan calls for the creation of a seven-member board, two members from each major party and the three remaining chosen by the unanimous agreement of these four. This composition ensures that the board will benefit from the “street smarts” of its partisan members, yet at the same time the balance of power will be held by a triumvirate of leading public figures who must be acceptable to both sides. (In casual conversation, I’ve suggested Dean Nancy Rogers of our own Moritz College of Law as an example of this sort of “esteemed neutral” who would win bipartisan support for appointment to this board.)

The plan also requires that this commission follow specified and public-spirited districting criteria, so that boundary lines are not manipulated to secure partisan advantage. News reports of the plan describe these criteria as giving equal weight to “competitiveness” as a factor along with traditional districting criteria like compactness and preservation of existing political boundaries (counties, municipalities, and so forth). But, by my reading of the plan, it permits consideration of competitiveness only after satisfaction of compactness and respect for political boundaries, and this feature is a salutary element.

The main problem with the redistricting proposal on the ballot in Ohio last November, as a result of the petition drive led by the group Reform Ohio Now, was that it elevated competitiveness as a priority above these other traditional districting criteria. The new plan sponsored by Rep. Kevin DeWine and other Republicans in the General Assembly appropriately considers competitiveness as a positive factor but only, in effect, as a tie-breaker among maps that score equally well in terms of compactness and preservation of political boundaries. This appropriate order of priorities will result in maps that make sense in terms of the localities being represented in the legislature. To the extent that the populaces of particular localities are closely divided between the two major political parties, the elections there will become more vigorously contested. Overall, democracy will be healthier, the structure of legislative representation more reflective of the people.

Adoption of this plan should be a no-brainer. It fixes a serious flaw in the current design of Ohio’s democracy. To the extent that this plan meets resistance, it is because of the contemptible willingness of partisan politicians to sacrifice the public good for their short-term selfish advantage.

On this issue, if no other, now is the time for Ohio’s politicians to rise above party interests and to exercise statesmanship and leadership for the benefit of the people as a whole. If they cannot do that here, then democracy in this state is seriously diseased-its maladies extend beyond an inability to count ballots properly to encompass an inability to give voters a meaningful choice of which legislative representatives to elect.

Welcome to the Machines: Election Day in Ohio

By Daniel P. Tokaji

The State of Ohio is among the states having its primary election today, which includes a closely-watched Republican gubernatorial contest between Secretary of State Ken Blackwell and Attorney General Jim Petro. Like other states having primaries this spring, the state is dealing with some significant changes in the law that are in effect for 2006 federal elections, including new voting machines in many counties. Whenever there are changes to a state’s election ecosystem, there are bound to be some problems, and the early reports from places around Ohio suggest that today is no exception.

A bit of background may be helpful in understanding the challenges that state and local election officials – not to mention voters – face in this election. One of the major changes in the Help America Vote Act of 2002 (“HAVA”) is to set certain minimum standards that voting equipment must meet, which I discussed in this weekly comment a few weeks ago. The most significant among these is probably the requirement that each polling place have at least one unit that’s accessible to people with disabilities by 2006.

In addition, HAVA offered financial incentives for states to get rid of punch-card voting equipment. Ohio took advantage of these incentives, and therefore has to either get rid of its punch cards – used by about 70% of voters in 2004 – or pay back the millions of dollars in federal funds it’s already received.

There’s also a new requirement of state law in Ohio that takes effect this year, requiring a “voter verified paper audit trail.” While HAVA requires a paper trail that can be used in the event of a manual audit, the Ohio legislature passed a law that goes further, requiring a particular type of paper trail. More specifically, electronic voting systems must print out a paper replica of the voter’s choices at the time of voting which the voter can see before completing the voting process. The most typical configuration is for the voter’s choices to print out behind a transparent plastic screen during the voting process, so that the voter can see but not touch it. Every county using electronic voting machines, as most in Ohio are, will have to have a device capable of printing a contemporaneous paper record of the electronically-cast ballot.

The end result of these changes in federal and state law is that many voters in Ohio will be voting on new equipment in this year’s election. The Secretary of State’s office has created this web site, which includes an interactive map showing what equipment is supposed to be in place in each of the state’s 88 counties. The new equipment includes a mix of electronic machines and optical-scan ballots. Some of the electronic VVPAT systems that should be in place today are ones that haven’t been used in real elections on any significant scale before this year.

The other major change in federal law taking effect this year is the implementation of computerized statewide voter registration lists, commonly known as “registration databases.” HAVA requires that each state have in place such a database by January 1, 2006. (The original deadline was 2004 but Ohio, like most other states, got a two-year extension.) Ideally, such statewide lists will increase accuracy and allow for the easier sharing of information among election officials. But as I’ve discussed here, it’s quite possible that this requirement will result in more glitches – including voters mistakenly being left off registration lists – at least in the short term. This change has gotten much less attention than voting machine changes, but it could be at least as important.

So how are these significant changes in Ohio’s election system working on on Day 1? It’s always perilous to make judgments about how well or poorly an election is going while that election is still going on. That’s partly because the word on the street about election problems may turn out to be apocryphal. It’s also because, even when the stories are true, the magnitude of the problems can be difficult to judge on election day. With these caveats, here’s a round-up of some of the stories that have emerged on this election day.

– Franklin County, in which Columbus is located, is using new electronic voting machines made by ES&S. The Ohio News Network reports that about 20% of the county’s polling places didn’t open on time this morning, and the Columbus Dispatch has this report saying the same. Election officials say this isn’t because of machine problems but rather because poll workers didn’t boot them up correctly. Earlier today, I wrote this post on my own experience voting on the county’s new touchscreen machine with the VVPAT.

– The past few weeks have seen a number of reports on equipment issues in Summit County, where Akron is located, including this one. Summit County is using a precinct-count optical scan system made by ES&S. According to this story in today’s Akron Beacon-Journal, there have been some issues regarding the misfeeding of ballots into optical-scan machines and voters being given the wrong ballot in at least one instance.

– There are also reports of some machines not working properly in Cuyahoga County, which includes Cleveland and is the state’s largest county. Cuyahoga is using an electronic touchscreen system made by Diebold in this election. It appears that some voters had to vote by paper due to difficulty getting the machines started, according to the Cleveland Plain-Dealer. There are also reports of problems with the equipment used to count the paper ballots used by absentee voters, and Cuyahoga County elections director Michael Vu says he’ll ask the Board of Elections to authorize a hand-count of those ballots.

– Also in Cleveland, there’s been this report of an apparent case of “poll rage” earlier today. A 61-year man was arrested after knocking over two machines at a polling place and assaulting another man outside. It’s not clear what made him fly off the handle, but you can survey the damage here. The fourth picture actually allows an inside view of the “toilet paper roll” used in the VVPAT systems employed in Cuyahoga County and others in the state.

– The Cincinnati Enquirer reports that, in Clermont County, there will be a Republican director but no Democratic deputy director to supervise the counting of votes. The counting process is typically overseen by officials from both parties but, due to a dispute on the Board of Elections, there apparently won’t be a Democrat participating. The two Republicans on the board reportedly refused to approve the deputy director favored by the two Democrats on the board.

What to make of all this? There have undoubtedly been some problems in implementing new voting equipment, as is to be expected. It’s less clear how well the new statewide registration list is working. The absence of news stories on the subject so far doesn’t necessarily mean that all is well, since this is something that the media is less likely to focus on. It will probably take some time to accurately assess how well the big changes in Ohio elections went in their first implementation.