New York State Defenders Association Public Defense Backup Center 194 Washington Avenue Albany, NY 12210

RACIAL AND ETHNIC DISPARITIES IN ARRESTS AND CONVICTIONS IN THE COUNTIES REPRESENTED BY MEMBERS OF THE NEW YORK STATE LEGISLATIVE CAUCUS OF BLACK, PUERTO RICAN, HISPANIC AND ASIAN LEGISLATORS New York State Defenders Association Public Defense Backup Center 194 Washington Avenue Albany, NY 12210 May 19, 2014

TABLE OF CONTENTS Background 1 Counties Represented by Caucus Members Examined 1 Caveats 2 Bronx County 3 Honorable Gustavo Rivera, NYS Senate Honorable Carmen E. Arroyo, NYS Assembly Honorable Marcos A. Crespo, NYS Assembly Honorable Carl E. Heastie, NYS Assembly Honorable Victor Pichardo, NYS Assembly Honorable Jose Rivera, NYS Assembly Honorable Luis R. Sepulveda, NYS Assembly Erie County 5 Honorable Crystal Peoples-Stokes, NYS Assembly Kings County 7 Honorable Martin Malave Dilan, NYS Senate Honorable Velmanette Montgomery, NYS Senate Honorable Kevin Parker, NYS Senate Honorable John Sampson, NYS Senate Honorable Karim Camara, NYS Assembly Honorable Maritza Davila, NYS Assembly Honorable Walter T. Mosley, NYS Assembly Honorable Felix Ortiz, NYS Assembly Honorable N. Nick Perry, NYS Assembly Honorable Annette Robinson, NYS Assembly Monroe County 9 Honorable David Gantt, NYS Assembly Nassau County 11 Honorable Earlene Hooper, NYS Assembly Honorable Michaelle Solages, NYS Assembly New York County 13 Honorable Adriano Espaillat, NYS Senate Honorable Bill Perkins, NYS Senate Honorable Jose Serrano, NYS Senate Honorable Herman Farrell, Jr., NYS Assembly i Page

Honorable Robert Rodriguez, NYS Assembly Honorable Gabriela Rosa, NYS Assembly Honorable Keith L. T. Wright, NYS Assembly Onondaga County 15 Honorable Samuel Roberts, NYS Assembly Queens County 17 Honorable Jose Peralta, NYS Senate Honorable James Sanders, Jr., NYS Senate Honorable Malcolm Smith, NYS Senate Honorable Jeffrion Aubry, NYS Assembly Honorable Barbara Clark, NYS Assembly Honorable Vivian Cook, NYS Assembly Honorable Ron Kim, NYS Assembly Honorable Francisco Moya, NYS Assembly Honorable Nily Rozic, NYS Assembly Honorable William Scarborough, NYS Assembly Honorable Michele Titus, NYS Assembly Suffolk County 19 Honorable Phil Ramos, NYS Assembly Westchester County 21 Honorable Ruth Hassell-Thompson, NYS Assembly Honorable Andrea Stewart-Cousins Albany, Columbia, Delaware, Greene, Otsego, Schoharie & Ulster Counties 23 Honorable Peter Lopez, NYS Assembly Conclusion 37 Appendix: Average Percent Poverty by Legislative District 38 ii

BACKGROUND The New York State Legislative Caucus of Black, Puerto Rican, Hispanic and Asian Legislators was a leading voice in the call for passage of the Public Defense Reform of 2009. That bill was modeled on the 2006 recommendations of then-chief Judge Kaye s Commission on the Future of Indigent Defense Services. The Kaye Commission called for the state takeover of the funding and administration of public defense services. Specifically, it advocated for the creation of an independent, politically-insulated public defense commission to oversee and administer a new system, and an end to the unconstitutional system that existed then and which continues today. Earlier this legislative session NYSDA called on the Legislature and the Caucus to ask the Governor to settle a pending class action lawsuit over the unconstitutionality of the public defense system, and to revive Judge Kaye s call for state takeover and the independent public defense commission. In conversation with Caucus staff NYSDA was asked to prepare an analysis of the jurisdictions served by its members to better frame the issue of over-representation of people of color in arrests and convictions. NYSDA prepared this report using information from the Division of Criminal Justice Services (DCJS) and the US Census Bureau. The report contains a preliminary assessment of arrest and disposition data for the 17 counties represented by Caucus members, demonstrates racial/ethnic disparities in the arrests and convictions experienced by people of color in those counties, and illustrates the disproportionate number of individual people of color who must rely on New York s dysfunctional, under-resourced, county-bycounty public defense system. NYSDA hopes that this data will help rekindle the demand, made in 2009 by the Caucus and others, for creation of a statewide, fully and adequately state-funded public defense system administered by an Independent Public Defense Commission. COUNTIES REPRESENTED BY CAUCUS MEMBERS EXAMINED Each Caucus member's county is examined. Where the district extends beyond one county's border, each county is presented separately. When the data are taken collectively, they show that from 2011 thru 2013, there have been over 1 million felony and misdemeanor arrests of non-white individuals within the 17 Caucus Counties. Of those one million arrests, more than 600,000 were of African-Americans; more than 375,000 were of Hispanics/Latinos. By comparison, just over 300,000 White individuals were arrested during that same time period, 5 fewer than African-Americans and fewer than Hispanics/Latinos. These numbers are striking even more so when you realize the aggregate population of Whites and Non-Whites in these counties is fairly similar: 7,152,975 White Non-Hispanic and 7,231,283 Non-Whites (2.5M African- Americans; 3M Hispanics; 1.3M Asians; 300K other race). Non-White defendants accounted for 78% of the over 240,000 felony level convictions in the 17 Caucus Counties and 75% of the nearly 500,000 misdemeanor level convictions from 2011 thru 2013. White defendants accounted for only 22% of felony level convictions and 25% of the misdemeanor level convictions. More specifically, there were twice as many felony convictions of African-American defendants as there were felony convictions of White defendants. 1

These numbers speak to the vast over-representation of defendants of color within New York State s criminal justice system. For example, African-Americans account for only 18% of the population in New York County, however, 49% of felony arrests and 45% of the misdemeanor arrests in New York County are of African-Americans. In Monroe County, African-Americans account for 12% of the county population, however, African-American defendants account for 53% of the felony arrests and 46% of the misdemeanor arrests within that county. Even in Caucus Counties where African-Americans comprise less than 1 of the overall population, like Ulster (7%) and Suffolk (8%), they still account for more than one quarter of the felony arrests (Ulster:25%; Suffolk: 29%) and approximately one-fifth of the misdemeanor arrests (Ulster:16%; Suffolk:25%). Once African-American and Hispanic/Latino defendants are arrested and funneled into New York State s criminal justice system, there is a significant likelihood that they will be convicted. In Onondaga County, 69% of African-American defendants charged with a felony were convicted as were 68% of Hispanic felony defendants. In Monroe County, the number jumps to 75% for African-American felony defendants and reaches 79% for Hispanic defendants. Given the level of poverty amongst constituents within the Caucus districts, sometimes as high as 4 (Appendix), a significant majority of these felony and misdemeanor defendants will find themselves represented by overworked, underfunded attorneys working within public defender offices, legal aid societies and assigned counsel programs. CAVEATS The following charts provide an overview of outcomes for defendants of color in the Caucus Counties. Because the population of many of the Caucus Counties includes only a very small percentage of people of Asian ethnicity, any evaluation of the arrest and conviction data with regard to that group is difficult or impossible. In some Caucus Counties, the low raw numbers of people of Asian, and in some instances Hispanic, ethnicity also make evaluation problematic. Without much more information, the data here do not allow for meaningful evaluation or comparison, or even speculation, between counties as to the cause of arrest or conviction rates. Many factors may be at play: policing and plea bargain policies; political pressures; resources, experience, skill, and practice culture of both prosecuting and defense attorneys; personality and practices of judges; and others too numerous to list. What the data here do show is that in each of the Caucus Counties, a disproportionate number of people of color are processed through the criminal justice system. 2

NEW YORK STATE SENATE HONORABLE GUSTAVO RIVERA BRONX COUNTY NEW YORK STATE ASSEMBLY HONORABLE CARMEN E. ARROYO HONORABLE MARCOS A. CRESPO HONORABLE CARL E. HEASTIE HONORABLE VICTOR PICHARDO HONORABLE JOSE RIVERA HONORABLE LUIS R. SEPULVEDA From 2011 thru 2013, more than 225,000 non-white individuals were arrested for misdemeanors and felonies in Bronx County. During that same time period, over 100,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in Bronx County accounted for just over 10,000 felony and misdemeanor arrests and only slightly more than 5,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 11% of Bronx County is White, only 4% of arrests for felonies and misdemeanors were of White defendants. Additionally, Hispanic residents comprised 54% of the county population however Hispanics only represented 49% of the felony and misdemeanor arrests. Conversely, Black residents comprised 3 of the county population but Black defendants accounted for 45% of the felony and misdemeanor arrests from 2011 thru 2013 within Bronx County. 10 Bronx County Population & Arrests by Race/Ethnicity 2011-2013 8 4 3 45% 45% 54% 49% 49% 11% 4% 4% 4% 1% 1% 2% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 3

Black defendants in Bronx County accused of felony level offenses were convicted in 55% of the cases, while Hispanic defendants were convicted in 59% of felony cases 1. Interestingly, White defendants were convicted in of felony cases within Bronx County from 2011 thru 2013. 7 5 4 3 1 4 55% Bronx County Felony Dispositions 45% 57% 43% 53% 54% 56% 47% 46% 44% In Bronx County, slightly less than half of all misdemeanor cases did not result in a conviction (51%), but for African-Americans the trend reversed with slightly more than half of misdemeanor cases resulting in convictions (51%). 7 5 4 3 1 52% 48% 51% 49% Bronx County Misdemeanor Dispositions 48% 52% 41% 59% 47% 53% 49% 51% 1 The category here and throughout includes cases that were dismissed or Adjourned in Contemplation of Dismissal as well as cases where the district attorney declined to prosecute or there was an acquittal at trial. 4

NEW YORK STATE ASSEMBLY ERIE COUNTY HONORABLE CRYSTAL PEOPLES-STOKES From 2011 thru 2013, more than 40,000 non-white individuals were arrested for misdemeanors and felonies in Erie County. During that same time period, over 22,000 defendants of color were convicted of misdemeanors and felonies. White defendants in Erie County accounted for just over 41,000 felony and misdemeanor arrests and slightly more than 23,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 81% of Erie County is White, only 42% of arrests for felonies and 55% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 14% of the county population but accounted for 48% of the felony arrests and 36% of misdemeanor arrests from 2011 thru 2013 within Erie County. Additionally, Hispanic residents comprised only 5% of the county population but Hispanic defendants represented 9% of the felony arrests and 7% of misdemeanor arrests. 10 Erie County Population & Arrests by Race/Ethnicity 2011-2013 8 81% 4 42% 55% 48% 36% 14% 9% 5% 7% 3% 2% 2% 2% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop % Fel. Arrest % Misd. Arrest % 5

Black defendants in Erie County accused of felony level offenses were convicted in 58% of the cases, below the county average of 63% of felony cases resulting convictions, while Hispanic defendants were convicted in 64% of felony cases. Interestingly, White defendants were convicted in 68% of felony cases within Erie County from 2011 thru 2013. Erie County Felony Dispositions 8 68% 58% 64% 67% 65% 63% 4 32% 42% 36% 33% 35% 37% In Erie County, 56% of all misdemeanor cases resulted in a conviction and that trend was consistent for White defendants (57%), Black defendants (54%), Hispanic defendants (55%) and Asian defendants (54%). Erie County Misdemeanor Dispositions 45% 57% 43% 54% 55% 54% 46% 45% 46% 46% 54% 56% 44% 3 15% 6

KINGS COUNTY NEW YORK STATE SENATE HONORABLE MARTIN MALAVE DILAN HONORABLE VELMANETTE MONTGOMERY HONORABLE KEVIN PARKER HONORABLE JOHN SAMPSON NEW YORK STATE ASSEMBLY HONORABLE KARIM CAMARA HONORABLE MARITZA DAVILA HONORABLE WALTER MOSLEY HONORABLE FELIX ORTIZ HONORABLE N. NICK PERRY HONORABLE ANNETTE ROBINSON From 2011 thru 2013, more than 243,000 non-white individuals were arrested for misdemeanors and felonies in Kings County. During that same time period, over 112,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in Kings County accounted for just over 33,000 felony and misdemeanor arrests and just under 15,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 36% of Kings County is White, only 11% of felony arrests and 12% of misdemeanor arrests were of White defendants. Conversely, Black residents comprised 32% of the county population but accounted for 63% of the felony arrests and 62% of misdemeanor arrests from 2011 thru 2013 within Kings County. Of all groups, the Hispanic population and arrest percentages were most closely aligned: of the county population; 23% of felony arrest; and 22% of misdemeanor arrests. 10 8 4 36% 32% 11% 12% Kings County Population & Arrests by Race/Ethnicity 2011-2013 63% 62% 23% 22% 11% 3% 3% 2% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 7

Black defendants in Kings County accused of felony level offenses were convicted in 57% of the cases, a percentage less than both White defendants and Hispanic defendants who were convicted in 61% of their cases. 7 5 4 3 1 61% 39% 57% Kings County Felony Dispositions 43% 61% 39% 5 5 46% 54% 58% 42% The majority of misdemeanor level cases in Kings County do not result in a conviction. However, both Black and Hispanic defendants were convicted in misdemeanor level cases slightly more often than White defendants in Kings County from 2011 thru 2013 (44% and 42%, respectively). Kings County Misdemeanor Dispositions 8 4 58% 56% 56% 42% 44% 44% 32% 68% 36% 64% 43% 57% 8

NEW YORK STATE ASSEMBLY HONORABLE DAVID GANTT MONROE COUNTY From 2011 thru 2013, more than 32,000 non-white individuals were arrested for misdemeanors and felonies in Monroe County. During that same time period, over 18,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in Monroe County accounted for just over 21,000 felony and misdemeanor arrests and just over 13,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 73% of Monroe County is White, only 34% of arrests for felonies and 42% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 14% of the county population but accounted for 53% of the felony arrests and 46% of misdemeanor arrests from 2011 thru 2013 within Monroe County. Additionally, Hispanic residents comprised only 7% of the county population but Hispanic defendants represented 12% of the felony arrests and 11% of misdemeanor arrests. 10 Monroe County Population & Arrests by Race/Ethnicity 2011-2013 8 73% 4 34% 42% 53% 46% 14% 12% 7% 11% 3% 1% 1% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 9

Felony level defendants in Monroe County were convicted in more than three-quarters of the cases from 2011 thru 2013. Interestingly, White defendants accused of felonies were convicted 8 of the time, compared to Hispanic felony defendants at 79% and Black felony defendants at 75%. 9 75% 8 75% Monroe County Felony Dispositions 79% 81% 8 77% 45% 3 25% 21% 19% 23% 15% In Monroe County, slightly more than half of all misdemeanor cases result in a conviction (52%). However, White defendants accused of misdemeanors were more likely to be convicted (57%) compared to Black defendants (47%), Hispanic defendants (49%) and Asian defendants (47%). Monroe County Misdemeanor Dispositions 10 88% 8 4 57% 43% 53% 47% 49% 51% 53% 47% 52% 48% 13% 10

NEW YORK STATE ASSEMBLY HONORABLE EARLENE HOOPER HONORABLE MICHAELLE SOLAGES NASSAU COUNTY From 2011 thru 2013, more than 31,000 non-white individuals were arrested for misdemeanors and felonies in Nassau County. During that same time period, over 22,000 defendants of color were convicted of misdemeanors and felonies. White defendants in Nassau County accounted for just over 21,000 felony and misdemeanor arrests and just over 15,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 65% of Nassau County is White, only 34% of arrests for felonies and 44% of the misdemeanor arrests were of White defendants. Additionally, Hispanic residents comprised 15% of the county population but Hispanic defendants represented only 8% of the felony and misdemeanor arrests. Conversely, Black residents comprised 11% of the county population but accounted for 41% of the felony arrests and 31% of misdemeanor arrests from 2011 thru 2013 within Nassau County. Nassau County Population & Arrests by Race/Ethnicity 2011-2013 10 8 4 65% 44% 41% 34% 31% 11% 15% 13% 15% 8% 8% 8% 4% 3% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 11

Felony level defendants in Nassau County were convicted in 85% of cases across all racial/ethnic categories. However, Black defendants were convicted in 86% of felony level cases and Hispanic defendants were convicted in 88% of felony level cases. 10 8 82% Nassau County Felony Dispositions 86% 88% 83% 85% 85% 4 18% 14% 12% 17% 15% 15% In Nassau County, 65% of all misdemeanor cases result in a conviction. However, Hispanic defendants accused of misdemeanors were convicted in 74% of cases, while White and Black defendants were convicted in 65% of the misdemeanor cases. 8 65% 65% Nassau County Misdemeanor Dispositions 74% 5 5 62% 65% 4 35% 35% 26% 38% 35% 12

NEW YORK COUNTY NEW YORK STATE SENATE HONORABLE ADRIANO ESPAILLAT HONORABLE BILL PERKINS HONORABLE JOSE SERRANO NEW YORK STATE ASSEMBLY HONORABLE HERMAN FARRELL, JR. HONORABLE ROBERT RODRIGUEZ HONORABLE GABRIELA ROSA HONORABLE KEITH WRIGHT From 2011 thru 2013, more than 218,000 non-white individuals were arrested for misdemeanors and felonies in New York County. During that same time period, over 127,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in New York County accounted for over 37,000 felony and misdemeanor arrests and just over 18,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 48% of New York County is White, only 12% of arrests for felonies and 16% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 13% of the county population but accounted for 49% of the felony arrests and 45% of misdemeanor arrests from 2011 thru 2013 within New York County. Additionally, Hispanic residents comprised 26% of the county population but Hispanic defendants represented 35% of the felony arrests and 34% of misdemeanor arrests. 10 New York County Population & Arrests by Race/Ethnicity 2011-2013 8 4 48% 49% 45% 35% 34% 26% 12% 16% 13% 11% 3% 4% 3% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 13

Felony level defendants in New York County were convicted in 68% of cases across all racial and ethnic categories from 2011 thru 2013. However, Black defendants were convicted in 7 of felony level cases compared to 67% of Hispanic defendants and 68% of White defendants. Asian defendants were convicted in 61% of cases, below the county average. 8 68% 7 New York County Felony Dispositions 67% 61% 61% 68% 4 32% 3 33% 39% 39% 32% In New York County, 56% of all misdemeanor cases resulted in a conviction from 2011 thru 2013. However, Black defendants were convicted in 63% of cases, a larger percentage than White defendants (46%), Hispanic defendants (53%) and Asian defendants (4). 7 5 4 3 1 46% 54% New York County Misdemeanor Dispositions 63% 37% 53% 47% 4 48% 52% 56% 44% 14

NEW YORK STATE ASSEMBLY HONORABLE SAMUEL ROBERTS ONONDAGA COUNTY From 2011 thru 2013, more than 16,000 non-white individuals were arrested for misdemeanors and felonies in Onondaga County. During that same time period, over 9,600 defendants of color were convicted of misdemeanors and felonies. However, White defendants in Onondaga County accounted for just over 19,000 felony and misdemeanor arrests and just over 10,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 79% of Onondaga County is White, only 47% of arrests for felonies and 57% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 11% of the county population but accounted for 44% of the felony arrests and 35% of misdemeanor arrests from 2011 thru 2013 within Onondaga County. Additionally, Hispanic residents comprised only 4% of the county population but Hispanic defendants represented 7% of the felony arrests and 5% of misdemeanor arrests. 10 8 4 79% Onondaga County Population & Arrests by Race/Ethnicity 2011-2013 57% 47% 44% 35% 11% 4% 7% 5% 3% 2% 2% 3% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 15

Felony level defendants in Onondaga County were convicted in 68% of cases across all racial and ethnic categories from 2011 thru 2013. Interestingly, it was Asian defendants (71%) with the highest percentage rate, followed by Black defendants (69%) and Hispanic defendants (68%). Onondaga County Felony Dispositions 8 66% 69% 68% 71% 57% 68% 4 34% 31% 32% 29% 43% 32% In Onondaga County, 56% of all misdemeanor cases resulted in a conviction from 2011 thru 2013. Again, Asian defendants () had a higher conviction percentage than White defendants (56%), Black defendants (55%) and Hispanic defendants (54%). 7 5 4 3 1 Onondaga County Misdemeanor Dispositions 56% 55% 54% 44% 45% 46% 4 5 5 56% 44% 16

QUEENS COUNTY NEW YORK STATE SENATE HONORABLE JOSE PERALTA HONORABLE MALCOLM SMITH HONORABLE JAMES SANDERS, JR. NEW YORK STATE ASSEMBLY HONORABLE JEFFRION AUBRY HONORABLE BARBARA CLARK HONORABLE VIVIAN COOK HONORABLE RON KIM HONORABLE FRANCISCO MOYA HONORABLE NILY ROZIC HONORABLE WILLIAM SCARBOROUGH HONORABLE MICHELE TITUS From 2011 thru 2013, more than 149,000 non-white individuals were arrested for misdemeanors and felonies in Queens County. During that same time period, over 77,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in Queens County accounted for just over 26,000 felony and misdemeanor arrests and over 13,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 28% of Queens County is White, only 13% of arrests for felonies and 16% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 18% of the county population but accounted for 43% of the felony arrests and 36% of misdemeanor arrests from 2011 thru 2013 within Queens County. Additionally, Hispanic residents comprised only 28% of the county population but Hispanic defendants represented 32% of the felony arrests and 25% of misdemeanor arrests. 10 Queens County Population & Arrests by Race/Ethnicity 2011-2013 8 4 43% 28% 13% 16% 18% 36% 28% 32% 35% 23% 11% 12% 4% 1% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 17

Felony level defendants in Queens County were convicted in 67% of cases across all racial and ethnic categories from 2011 thru 2013 and that trend was consistent for White defendants (67%), Black defendants (68%) and Hispanic defendants (68%). Asian defendants (62%) in felony level cases had a slightly lower conviction percentage. 8 67% 68% 68% Queens County Felony Dispositions 62% 68% 67% 4 33% 32% 32% 38% 32% 33% Fewer than half of all misdemeanor level cases resulted in conviction in Queens County from 2011 thru 2013. However, Black defendants were convicted in 51% of misdemeanor cases, the only racial/ethnic group to experience conviction in more than half of the cases. 7 5 4 3 1 47% 53% Queens County Misdemeanor Dispositions 51% 49% 46% 54% 58% 56% 42% 44% 48% 52% 18

SUFFOLK COUNTY NEW YORK STATE ASSEMBLY HONORABLE PHIL RAMOS From 2011 thru 2013, more than 33,000 non-white individuals were arrested for misdemeanors and felonies in Suffolk County. During that same time period, over 23,000 defendants of color were convicted of misdemeanors and felonies. However, White defendants in Suffolk County accounted for just over 42,000 felony and misdemeanor arrests and over 29,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 72% of Suffolk County is White, only 48% of arrests for felonies and 58% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 7% of the county population but accounted for 29% of the felony arrests and of misdemeanor arrests from 2011 thru 2013 within Suffolk County. Additionally, Hispanic residents comprised only 17% of the county population but Hispanic defendants represented 21% of the felony arrests and of misdemeanor arrests. 10 Suffolk County Population & Arrests by Race/Ethnicity 2011-2013 8 72% 48% 58% 4 29% 7% 21% 17% 4% 2% 1% 2% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 19

Felony level defendants in Suffolk County were convicted in 84% of cases across all racial/ethnic categories. However, Asian defendants were convicted in 89% of felony level cases, while White defendants (84%), Black defendants (84%) and Hispanic defendants (85%) were convicted slightly less often. Suffolk County Felony Dispositions 10 8 84% 84% 85% 89% 83% 84% 4 16% 16% 15% 11% 17% 16% Misdemeanor level defendants in Suffolk County were convicted in 65% of cases across all racial/ethnic categories. However, Asian defendants were convicted in 56% of misdemeanor level cases, while White defendants (65%), Black defendants (64%) and Hispanic defendants (66%) were convicted more often. 7 5 4 3 1 Suffolk County Misdemeanor Dispositions 65% 64% 66% 35% 36% 34% 56% 44% 4 65% 35% 20

NEW YORK STATE SENATE WESTCHESTER COUNTY HONORABLE RUTH HASSELL-THOMPSON HONORABLE ANDREA STEWART-COUSINS From 2011 thru 2013, more than 37,000 non-white individuals were arrested for misdemeanors and felonies in Westchester County. During that same time period, over 26,000 defendants of color were convicted of misdemeanors and felonies. By contrast, White defendants in Westchester County accounted for over 13,000 felony and misdemeanor arrests and just over 10,000 misdemeanor and felony convictions. When you examine each racial/ethnic group s county population percentage compared to their felony and misdemeanor arrest percentage, you can see that while 58% of Westchester County is White, only 24% of arrests for felonies and 29% of the misdemeanor arrests were of White defendants. Conversely, Black residents comprised 13% of the county population but accounted for 45% of the felony arrests and 4 of misdemeanor arrests from 2011 thru 2013 within Westchester County. Additionally, Hispanic residents comprised 22% of the county population but Hispanic defendants represented 29% of the felony and misdemeanor arrests. 10 8 4 58% 24% 29% Westchester County Population & Arrests by Race/Ethnicity 2011-2013 13% 45% 4 22% 29% 29% 5% 1% 1% 2% 1% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 21

Felony level defendants in Westchester County were convicted in 81% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted less often (79%), while White defendants (83%), Hispanic defendants (83%) and Asian defendants (82%) were convicted slightly more often. 9 75% 45% 83% Westchester County Felony Dispositions 79% 83% 82% 78% 81% 3 15% 17% 21% 17% 18% 22% 19% Misdemeanor level defendants in Westchester County were convicted in 72% of cases across all racial/ethnic categories. However, Asian defendants were convicted in 63% of misdemeanor level cases, while White defendants (72%), Black defendants (71%) and Hispanic defendants (72%) were convicted more often. 8 Westchester County Misdemeanor Dispositions 72% 71% 72% 63% 71% 72% 4 28% 29% 28% 37% 29% 28% 22

NEW YORK STATE ASSEMBLY ALBANY, COLUMBIA, DELAWARE, GREENE, OTSEGO, SCHOHARIE & ULSTER COUNTIES HONORABLE PETER LOPEZ From 2011 thru 2013, more than 20,000 non-white individuals were arrested for misdemeanors and felonies in the seven counties within the NYS 102 nd Assembly District. During that same time period, over 12,000 defendants of color were convicted of misdemeanors and felonies. There were over 38,000 arrests of White Defendants in both misdemeanor and felony cases from 2011 thru 2013 in the NYS 102 nd Assembly District, while over 24,000 White defendants were convicted of misdemeanors and felonies. ALBANY COUNTY There were over 12,000 arrests of non-white individuals for misdemeanors and felonies in Albany County from 2011 thru 2013, while just over 13,000 White defendants were arrested during the same time period. However, there are only approximately 73,000 non-white residents in Albany County compared to more than 230,000 White residents. 10 Albany County Population & Arrests by Race/Ethnicity 2011-2013 8 76% 4 41% 56% 46% 34% 12% 9% 5% 7% 5% 1% 1% 2% 2% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 23

Felony level defendants in Albany County were convicted in 81% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted less often (79%), while White defendants (82%), Hispanic defendants (85%) and Asian defendants (9) were convicted slightly more often. (Note there were fewer than 100 Asian defendants during this three year time period.) 10 8 82% 79% Albany County Felony Dispositions 85% 9 86% 81% 4 18% 21% 15% 1 14% 19% Misdemeanor level defendants in Albany County were convicted in 71% of cases across all racial/ethnic categories and that trend was consistent for White defendants (71%), Black defendants (71%), and Hispanic defendants (73%). Asian defendants were convicted less than the average at 66%, however there were just over 100 Asian misdemeanor defendants in three years. 8 Albany County Misdemeanor Dispositions 71% 71% 73% 66% 68% 71% 4 29% 29% 27% 34% 32% 29% 24

COLUMBIA COUNTY There were just over 1,000 arrests of non-white individuals for misdemeanors and felonies in Columbia County from 2011 thru 2013, while just over 2,900 White defendants were arrested during the same time period. However, there are only approximately 7,000 non-white residents in Columbia County compared to more than 55,000 White residents. Columbia County Population & Arrests by Race/Ethnicity 2011-2013 10 8 88% 67% 75% 4 25% 18% 4% 4% 7% 5% 2% 1% 2% 1% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 25

Felony level defendants in Columbia County were convicted in 8 of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted less often (72%), while White defendants (84%) were convicted slightly more often. (Note: the small number of both Hispanic and Asian defendants makes any comparison of this data problematic.) 9 8 7 5 4 3 1 84% 16% Columbia County Felony Dispositions 72% 28% 81% 19% 67% 33% 38% 63% 8 Misdemeanor level defendants in Columbia County were convicted in 68% of cases across all racial/ethnic categories, with White defendants convicted in 7 of their cases and Black defendants convicted in 67% of their cases from 2011 thru 2013. (Note: the small number of both Hispanic and Asian defendants makes any comparison of this data problematic.) 8 7 Columbia County Misdemeanor Dispositions 65% 67% 71% 66% 68% 4 3 35% 33% 29% 34% 32% 26

DELAWARE COUNTY There were just over 300 arrests of non-white individuals for misdemeanors and felonies in Delaware County from 2011 thru 2013, while just over 2,700 White defendants were arrested during the same time period. However, there are only approximately 3,200 non-white residents in Delaware County compared to more than 44,000 White residents. Delaware County Population & Arrests by Race/Ethnicity 2011-2013 10 93% 87% 91% 8 4 6% 2% 4% 3% 5% 4% 1% 1% 1% 1% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 27

Felony level defendants in Delaware County were convicted in 88% of cases across all racial/ethnic categories. However, with fewer than 100 combined Black, Hispanic and Asian defendants convicted of felonies, compared to over 500 White defendants, any comparison of this data is problematic. Delaware County Felony Dispositions 10 8 89% 76% 92% 67% 67% 88% 4 11% 24% 8% 33% 33% 12% Misdemeanor level defendants in Delaware County were convicted in 74% of cases across all racial/ethnic categories. However, with fewer than 100 combined Black, Hispanic and Asian defendants convicted of felonies, compared to over 1,000 White defendants, any comparison of this data is problematic. 9 75% 73% Delaware County Misdemeanor Dispositions 83% 81% 75% 76% 74% 45% 3 15% 27% 18% 19% 25% 24% 26% 28

GREENE COUNTY There were over 700 arrests of non-white individuals for misdemeanors and felonies in Greene County from 2011 thru 2013, while over 3,000 White defendants were arrested during the same time period. However, there are only approximately 6,300 non-white residents in Greene County compared to more than 42,000 White residents. Greene County Population & Arrests by Race/Ethnicity 2011-2013 10 8 87% 78% 82% 4 13% 11% 6% 5% 7% 5% 1% 2% 1% 2% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 29

Felony level defendants in Greene County were convicted in 87% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted slightly less often (86%) than White defendants (88%). However, with fewer than 100 Hispanic or Asian defendants convicted of felonies any comparison of this data is problematic. 10 8 Greene County Felony Dispositions 10 88% 86% 85% 75% 87% 4 25% 12% 14% 15% 13% Misdemeanor level defendants in Greene County were convicted in 78% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted slightly less often (76%) than White defendants (78%) and Hispanic defendants (8) were convicted more often than both. However, with fewer than 100 Asian defendants convicted of felonies any comparison of this data is problematic. 9 75% 78% 76% Greene County Misdemeanor Dispositions 8 75% 72% 78% 45% 3 22% 24% 25% 28% 22% 15% 30

OTSEGO COUNTY There were just over 500 arrests of non-white individuals for misdemeanors and felonies in Otsego County from 2011 thru 2013, while just over 3,900 White defendants were arrested during the same time period. However, there are only approximately 4,500 non-white residents in Otsego County compared to more than 57,000 White residents. Otsego County Population & Arrests by Race/Ethnicity 2011-2013 10 93% 86% 89% 8 4 8% 6% 2% 3% 4% 4% 1% 1% 1% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 31

Felony level defendants in Otsego County were convicted in 82% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted less often (68%) than White defendants (83%). With fewer than 100 combined Hispanic and Asian defendants convicted of felonies any comparison of this data is problematic. 10 8 83% Otsego County Felony Dispositions 92% 68% 10 10 82% 4 32% 17% 18% 8% Misdemeanor level defendants in Otsego County were convicted in 84% of cases across all racial/ethnic categories. Interestingly, Black defendants were convicted slightly less often (8) than White defendants (84%). However, with fewer than 100 Hispanic or Asian defendants convicted of felonies any comparison of this data is problematic. Otsego County Misdemeanor Dispositions 10 8 84% 8 89% 8 72% 84% 4 16% 11% 28% 16% 32

SCHOHARIE COUNTY There were just over 100 arrests of non-white individuals for misdemeanors and felonies in Schoharie County from 2011 thru 2013, while just over 1,700 White defendants were arrested during the same time period. However, there are only approximately 1,900 non-white residents in Schoharie County compared to more than 30,000 White residents. Schoharie County Population & Arrests by Race/Ethnicity 2011-2013 10 94% 91% 93% 8 4 6% 1% 3% 3% 2% 2% 1% 1% 1% 1% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 33

Felony level defendants in Schoharie County were convicted in 81% of cases across all racial/ethnic categories. However, with fewer than 100 combined Black, Hispanic and Asian defendants convicted of felonies, and only just over 200 White defendants, any comparison of this data is problematic. 10 8 81% Schoharie County Felony Dispositions 8 69% 10 10 81% 4 31% 19% 19% Misdemeanor level defendants in Schoharie County were convicted in 77% of cases across all racial/ethnic categories. However, with fewer than 100 combined Black, Hispanic and Asian defendants convicted of felonies, compared to over 700 White defendants, any comparison of this data is problematic. 10 Schoharie County Misdemeanor Dispositions 10 8 77% 72% 73% 75% 77% 4 23% 28% 27% 25% 23% 34

ULSTER COUNTY There were over 4,200 arrests of non-white individuals for misdemeanors and felonies in Ulster County from 2011 thru 2013, while over 10,000 White defendants were arrested during the same time period. Ulster County Population & Arrests by Race/Ethnicity 2011-2013 10 8 82% 64% 73% 4 25% 16% 5% 9% 1 9% 2% 1% 3% 1% 1% White Black Hispanic Asian/Indian Other/Unk County Pop. % Fel. Arrest % Misd. Arrest % 35

Felony level defendants in Ulster County were convicted in 8 of cases across all racial/ethnic categories, with Black defendants (8) and White defendants (8) consistent with that trend. Interestingly, Hispanic defendants were convicted slightly more often (86%). However, with fewer than 100 Asian defendants convicted of felonies any comparison of this data is problematic. 10 8 8 8 Ulster County Felony Dispositions 86% 67% 81% 8 4 33% 14% 19% Misdemeanor level defendants in Ulster County were convicted in 66% of cases across all racial/ethnic categories, with White and Hispanic defendants both being convicted at 67% while Black defendants (62%) were convicted less often. However, with fewer than 100 Asian defendants convicted of misdemeanors any comparison of this data is problematic. Ulster County Misdemeanor Dispositions 8 67% 62% 67% 61% 62% 66% 4 33% 38% 33% 39% 38% 34% 36

CONCLUSION The data presented in this report is a preliminary examination of the over-representation of people of color within New York State s criminal justice system for the counties whose constituents are represented by members of the New York State Legislative Caucus of Black, Puerto Rican, Hispanic and Asian Legislators. Across the state, even in counties where a significant percentage of residents are people of color, arrest statistics demonstrate that people of color are being arrested at a rate that exceeds their percentage of the county population. The numbers are staggering: within the past three years, over 1 million people of color were arrested for felonies and misdemeanors in just the 17 Caucus Counties. With county level felony conviction rates as high as 88% and county level misdemeanor conviction rates as high as 84%, once people of color are arrested and their cases proceed to the court system, there is an overwhelming likelihood that they will be found guilty or induced to plead guilty. While there are many factors that influence case outcomes e.g., arrest practices, prosecutorial charging practices, judicial sentencing practices public defense providers have a critical role to play by providing a rigorous defense and safeguarding clients constitutional rights. However, this role is compromised by the patchwork system of county-run public defense in New York State that, as the Kaye Commission noted, inadequately funds local offices and allows the State to shirk its constitutional responsibilities. NYSDA asks Caucus Members to renew the call, made this year on Gideon Day (March 18, 2014), for the State to settle the Hurrell vs. Harring class action lawsuit over the unconstitutionality of the public defense system and use the occasion for the overhaul of public defense services that the Kaye Commission recommended and that justice requires now. New York needs a statewide, fully and adequately state funded public defense system overseen by an Independent Public Defense Commission. 37

APPENDIX: Average Poverty Percentage by Legislative District for the New York State Legislative Caucus of Black, Puerto Rican, Hispanic and Asian Legislators New York State Senators Senate District Average % Below Poverty w/in District by Zip Code* Martin Malavé Dilan (D) Senate District 18 30.2% Adriano Espaillat (D) Senate District 31 19. Ruth Hassell-Thompson (D) Senate District 36 19. Velmanette Montgomery (D) Senate District 25 24.1% Kevin S. Parker (D) Senate District 21 19.1% José R. Peralta (D) Senate District 13 15.4% Bill Perkins (D) Senate District 30 25.7% J. Gustavo Rivera (D) Senate District 33 33. John L. Sampson (D) Senate District 19 23. James Sanders, Jr. (D) Senate District 10 17.8% José M. Serrano (D) Senate District 29 21.4% Malcolm A. Smith (D) Senate District 14 10.6% Andrea Stewart-Cousins (D) Senate District 35 8.6% New York State Assemblymembers Assembly District Average % Below Poverty w/in District by Zip Code* Carmen E. Arroyo (D) Assembly District 84 40.2% Jeffrion L. Aubry (D) Assembly District 35 14.6% Karim Camara (D) Assembly District 43 21.3% Victor Pichardo (D) Assembly District 86 33.3% Barbara M. Clark (D) Assembly District 33 6.6% Vivian E. Cook (D) Assembly District 32 14.4% Marcos A. Crespo (D) Assembly District 85 32.9% Herman D. Farrell, Jr. (D) Assembly District 71 27.2% David F. Gantt (D) Assembly District 137 33.4% Carl E. Heastie (D) Assembly District 83 16.1% Earlene Hooper (D) Assembly District 18 7.7% Ron Kim (D) Assembly District 40 18. Peter D. Lopez (R) Assembly District 102 11.6% Maritza Davila (D) Assembly District 53 28.6% Walter T. Mosley, III (D) Assembly District 57 20.3% Francisco P. Moya (D) Assembly District 39 18. Félix W. Ortiz (D) Assembly District 51 20.8% Crystal D. Peoples-Stokes (D) Assembly District 141 25.7% 38

N.Nick Perry (D) Assembly District 58 16.9% J. Gary Pretlow (D) Assembly District 89 13.5% Phillip R. Ramos (D) Assembly District 6 5.7% Jos Rivera (D) Assembly District 78 27.6% Sam Roberts (D) Assembly District 128 15.4% Annette M. Robinson (D) Assembly District 56 29.8% Robert J. Rodriguez (D) Assembly District 68 25.2% Gabriela Rosa (D) Assembly District 72 24.3% Nily Rozic (D) Assembly District 25 12.7% William Scarborough (D) Assembly District 29 11. Luis R. Sepulveda (D) Assembly District 87 23. Michaelle C. Solages (D) Assembly District 22 4.3% Michele R. Titus (D) Assembly District 31 19.7% Keith L.T. Wright (D) Assembly District 70 25.3% New York State TOTAL 12.4% * - % of All Residents Living Below Poverty Level 39