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What is a Theoretical Framework? | A Step-by-Step Guide

Published on 14 February 2020 by Shona McCombes . Revised on 10 October 2022.

A theoretical framework is a foundational review of existing theories that serves as a roadmap for developing the arguments you will use in your own work.

Theories are developed by researchers to explain phenomena, draw connections, and make predictions. In a theoretical framework, you explain the existing theories that support your research, showing that your work is grounded in established ideas.

In other words, your theoretical framework justifies and contextualises your later research, and it’s a crucial first step for your research paper , thesis, or dissertation . A well-rounded theoretical framework sets you up for success later on in your research and writing process.

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Table of contents

Why do you need a theoretical framework, how to write a theoretical framework, structuring your theoretical framework, example of a theoretical framework, frequently asked questions about theoretical frameworks.

Before you start your own research, it’s crucial to familiarise yourself with the theories and models that other researchers have already developed. Your theoretical framework is your opportunity to present and explain what you’ve learned, situated within your future research topic.

There’s a good chance that many different theories about your topic already exist, especially if the topic is broad. In your theoretical framework, you will evaluate, compare, and select the most relevant ones.

By “framing” your research within a clearly defined field, you make the reader aware of the assumptions that inform your approach, showing the rationale behind your choices for later sections, like methodology and discussion . This part of your dissertation lays the foundations that will support your analysis, helping you interpret your results and make broader generalisations .

• In literature , a scholar using postmodernist literary theory would analyse The Great Gatsby differently than a scholar using Marxist literary theory.
• In psychology , a behaviourist approach to depression would involve different research methods and assumptions than a psychoanalytic approach.
• In economics , wealth inequality would be explained and interpreted differently based on a classical economics approach than based on a Keynesian economics one.

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To create your own theoretical framework, you can follow these three steps:

• Identifying your key concepts
• Evaluating and explaining relevant theories
• Showing how your research fits into existing research

1. Identify your key concepts

The first step is to pick out the key terms from your problem statement and research questions . Concepts often have multiple definitions, so your theoretical framework should also clearly define what you mean by each term.

To investigate this problem, you have identified and plan to focus on the following problem statement, objective, and research questions:

Problem : Many online customers do not return to make subsequent purchases.

Objective : To increase the quantity of return customers.

Research question : How can the satisfaction of company X’s online customers be improved in order to increase the quantity of return customers?

2. Evaluate and explain relevant theories

By conducting a thorough literature review , you can determine how other researchers have defined these key concepts and drawn connections between them. As you write your theoretical framework, your aim is to compare and critically evaluate the approaches that different authors have taken.

After discussing different models and theories, you can establish the definitions that best fit your research and justify why. You can even combine theories from different fields to build your own unique framework if this better suits your topic.

Make sure to at least briefly mention each of the most important theories related to your key concepts. If there is a well-established theory that you don’t want to apply to your own research, explain why it isn’t suitable for your purposes.

3. Show how your research fits into existing research

Apart from summarising and discussing existing theories, your theoretical framework should show how your project will make use of these ideas and take them a step further.

You might aim to do one or more of the following:

• Test whether a theory holds in a specific, previously unexamined context
• Use an existing theory as a basis for interpreting your results
• Critique or challenge a theory
• Combine different theories in a new or unique way

A theoretical framework can sometimes be integrated into a literature review chapter , but it can also be included as its own chapter or section in your dissertation. As a rule of thumb, if your research involves dealing with a lot of complex theories, it’s a good idea to include a separate theoretical framework chapter.

There are no fixed rules for structuring your theoretical framework, but it’s best to double-check with your department or institution to make sure they don’t have any formatting guidelines. The most important thing is to create a clear, logical structure. There are a few ways to do this:

• Draw on your research questions, structuring each section around a question or key concept
• Organise by theory cluster
• Organise by date

As in all other parts of your research paper , thesis, or dissertation , make sure to properly cite your sources to avoid plagiarism .

To get a sense of what this part of your thesis or dissertation might look like, take a look at our full example .

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While a theoretical framework describes the theoretical underpinnings of your work based on existing research, a conceptual framework allows you to draw your own conclusions, mapping out the variables you may use in your study and the interplay between them.

A literature review and a theoretical framework are not the same thing and cannot be used interchangeably. While a theoretical framework describes the theoretical underpinnings of your work, a literature review critically evaluates existing research relating to your topic. You’ll likely need both in your dissertation .

A theoretical framework can sometimes be integrated into a  literature review chapter , but it can also be included as its own chapter or section in your dissertation . As a rule of thumb, if your research involves dealing with a lot of complex theories, it’s a good idea to include a separate theoretical framework chapter.

A literature review is a survey of scholarly sources (such as books, journal articles, and theses) related to a specific topic or research question .

It is often written as part of a dissertation , thesis, research paper , or proposal .

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Centria Guide for Thesis and Academic Writing 2022

• Thesis contract and forms
• Implementation plan
• Data management plan
• Master´s thesis
• Checklist for the thesis supervisor
• Research-based thesis
• Practice-based thesis
• Diary-based thesis
• Research-based development project, MASTER
• Starting points for writing the theoretical framework
• Concept definitions
• Introduction
• Conclusions and discussion
• Text layout
• Chapter heading and numbering
• Figures, tables and pictures
• Reference concerns more than one sentence
• Publication has two or more authors
• More than one publication by the same author
• Reference to a publication by several authors
• Publication has no author
• Web sources
• Direct quotations
• Secondary sources
• Checking the thesis for plagiarism
• Use of pictures
• Books (printed books, eBooks, audiobooks)
• Report, brochure and blog
• Laws and regulations
• Standards and patents
• Audio and video recordings (videos, TV programmes, podcasts etc.)
• E-mails and phone calls
• Sheet music
• Current Care Guidelines
• Social media (Facebook, X)
• Company intranet and web pages
• Special cases
• 8 UPLOADING THESIS TO THESEUS
• Responsible conduct of research
• Ethical review in the human sciences
• Ethical recommendations for thesis writing
• Research consent
• Research permits
• Handling personal data
• 10 ARTIFICIAL INTELLIGENCE
• Master's thesis
• Internal release
• Maturity test in EXAM
• Master's degree maturity test
• 13 LITERATURE

11 ASSESSMENT

The assessment of the thesis focuses on the following:

• purpose and objectives • theoretical framework and references • planning the thesis work • implementation and outcome of the thesis • written presentation • process management

The evaluation criteria are described in the assessment scale. The assessment covers the entire thesis writing process and thus the grade is not only based on the average of each sub-area. In the assessment scale, the criteria for assessing a research-based and a practice-based thesis are presented separately.

The assessment form has a section for a written assessment statement in which each criterion can be dealt with in more detail. In the form there is also space for the assessment by the working life instructor. The students also evaluate their own performance using a separate self-assessment form.

If the thesis is done in pairs or groups, it must be possible to demonstrate the contribution of the thesis authors. 

• << Previous: 10 ARTIFICIAL INTELLIGENCE
• Next: Research-based thesis >>
• Last Updated: Apr 29, 2024 8:29 AM
• URL: https://libguides.centria.fi/centriaguideforthesis

The Conceptual Assessment Framework

• First Online: 01 January 2015

Cite this chapter

• Russell G. Almond 7 ,
• Robert J. Mislevy 8 ,
• Linda S. Steinberg 9 ,
• Duanli Yan 8 &
• David M. Williamson 8  

Part of the book series: Statistics for Social and Behavioral Sciences ((SSBS))

2532 Accesses

1 Citations

This chapter describes the Conceptual Assessment Framework (CAF), which can be considered the specification or blueprint of an assessment under ECD. It is the result of a design process beginning with an examination of the claims an assessment needs to ground and the evidence it needs to back them. The chapter begins discussing the design process and the critical ECD concept of claims. The next sections discuss the six models of the CAF: proficiency models, task models, evidence models, assembly models, presentation models, and delivery models. The closing section discusses how these models work together to form the complete assessment.

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Some of the issues discussed in this example are similar to those arising in the redesign of Educational Testing Service’s (ETS’s) Test of English as a Foreign Language (TOEFL™) (Chapelle et al. 2008). Indeed, this example draws on conversations with members of the TOEFL redesign team. However, the purposes of this hypothetical example and TOEFL are not the same, so the eventual design decisions are not, nor should they expected to be, the same.

See Schum (1994) for in-depth discussions of the elements of arguments and their broader relation to probabilistic inference.

Rather than “correct,” we should say “targeted value for training.” Statisticalmodels bootstrapped from experts’ judgments can be more accurate than theexperts themselves (Bowman 1963).

In British usage, this would be called the rubric for the task.

The delivery model appears as the surrounding box in Fig.  12.1 .

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Florida State University, Tallahassee, Florida, USA

Russell G. Almond

Educational Testing Service, Princeton, New Jersey, USA

Robert J. Mislevy, Duanli Yan & David M. Williamson

Pennington, New Jersey, USA

Linda S. Steinberg

You can also search for this author in PubMed   Google Scholar

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Correspondence to Russell G. Almond .

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© 2015 Springer Science+Business Media New York

About this chapter

Almond, R., Mislevy, R., Steinberg, L., Yan, D., Williamson, D. (2015). The Conceptual Assessment Framework. In: Bayesian Networks in Educational Assessment. Statistics for Social and Behavioral Sciences. Springer, New York, NY. https://doi.org/10.1007/978-1-4939-2125-6_12

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Designing theoretical and conceptual framework Contributions to thesis writing evaluation

the key argument of this paper is that both conceptual and theoretical frameworks serve different purposes and they are different-conceptually, methodologically and with regard to the scope of their application. conceptual framework is the researcher's idea on how the research problem will have to be explored.

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Ronald Mensah

This article critically discusses, the relationship between conceptual framework and theoretical framework drawing on their differences and similarities. The article has made it very clear that whereas the theoretical framework is drawn from the existing theoretical literature that you review about your research topic, a conceptual framework is a much broader concept that encompasses practically all aspects of your research. The latter refers to the entire conceptualisation of your research project. It is the big picture, or vision, comprising the totality of research. Methodologically, the paper used systematic and experiential literature review to draw supporting scholarly literature by authorities in the field and made inferences, sound reasonings and logical deductions from these authorities. The primary aim of this paper is to help researchers and students to understand the convergence and the divergence of theoretical and conceptual frameworks in order to appropriately be applied in research and academic writing discourses. Understanding the conceptual framework affects research in many ways. For instance, it assists the researcher in identifying and constructing his/her worldview on the phenomenon to be investigated. Also, it is the simplest way through which a researcher presents his/her asserted remedies to the milieu he/she has created. In addition, this accentuates the reasons why a research topic is worth studying, the assumptions of a researcher, the scholars he/she agrees with and disagrees with and how he/she conceptually grounds his/her approach. Paying attention, to the theoretical framework and its impact on research, it can be mentioned that theoretical framework provides a structure for what to look for in the data, for how you think of how what you see in the data fits together, and helps you to discuss your findings more clearly, in light of what existing theories say. It helps the researcher to make connections between the abstract and concrete elements observed in the data. In conclusion, both theoretical framework and conceptual framework are good variables which are used to inform a study to arrive at logical findings and conclusions. It is therefore recommended by researchers that; a good theoretical framework should be capable of informing the concepts in a research work.

Jeanette Berman

The author of this paper provides an example of a conceptual framework that supported her doctoral study and written dissertation in the field of educational psychology. The study was carried out prior to the more recent explicit emphasis on conceptual frameworks in postgraduate research texts and academic literature. The instigation for the development of an explicit conceptual framework was a change in supervisors and their need to be meaningfully included in the journey of the student. The conceptual framework supported the explanation of the multiple theoretical frameworks and literature base, as well as the professional educational context of the study. It also explicitly responded to the literature search in each area, clearly articulating theory and practice in school curriculum and assessment. This in turn supported the definition of research themes and research questions, and the research methodology (data gathering and analysis), from which the meaningful consideration of ...

Sains Insani

Nabilah Abdullah

Constructing a conceptual framework has always been a problem for many postgraduate students. Even though the students are exposed to many different tools as well as guided with 21st-century skills along the process of conducting research, many of them are seeking helps to complete their postgraduate studies in stages. A solid conceptual framework is an output of conducting a literature review. The construction of a conceptual framework involves multiple research skills. To meet the requirement of thesis completion, supervisors are always emphasizing the implementation of these skills as well as finding the best practice while addressing challenges of guiding them to understand and construct a conceptual framework. Meanwhile, the supervisors must get a better picture of how their postgraduate students undergo the process of constructing a conceptual framework from their literature review. Hence, the thesis supervisors need to understand a better way for helping them to achieve the ...

Abey Dubale

Dayana Mastura, FCCA(UK), MBA

Otolaryngology online

Balasubramanian Thiagarajan

This book has been authored with PhD scholars in mind. The author believes that this would be a good starting point for these scholars. The following chapters have been included: Chapters: 1. Introduction to Thesis Writing 2. Choosing a Topic and Developing a Thesis Statement 3. Conducting Literature Review 4. Methodology and Data Collection 5. Writing the Introduction and Background of Your Thesis 6. Presenting Your Findings and Analysis 7. Writing the Discussion and Conclusion of Your Thesis 8. Formatting and Structuring Your Thesis 9. Referencing and Citations 10. Defending Your Thesis: Preparing for the Viva Voce 11. Revising and Editing Your Thesis 12. Time Management and Staying on Track 13. Overcoming Writer's Block and Staying Motivated 14. Using Technology and Tools to Enhance Your Thesis Writing Process 15. Publishing Your Thesis and Next Steps. 16. Data visualization 17. Statistical tools This book also contains tips about choosing an ideal thesis topic. It also warns the student about the various pitfalls involved in choosing a research topic. The topic on referencing citations would be very useful for even a novice researcher. This book also introduces the researcher to the myriad of software tools that are available to the scholar. Using these software tools would make the life of the researcher that much easier.

Ewnetu Tamene

The impetus of this paper is the irreplaceable role yet confusing use of the term " conceptual framework " in research literature. Even though, there is a consensus among scholars of various field of study that conceptual framework is essential element of research endeavors, yet it is used interchangeably with theoretical framework, that create confusion. As a PhD student on the pre-proposal work, this makes me more anxious. Then my intent is to explore its conceptual meaning and purposes by bringing together similar meanings from different scholars with a view to shed some light on its understanding and its use in research. Hence, in attempting to address this, the following key terms; Concept, conceptual framework research design and theoretical framework are defined briefly as to help decipher the conceptual ties among them and illuminate the conceptual meaning and purpose of conceptual framework. The schematic representation of conceptual framework is developed based on the conceptual meaning provided by scholars. In doing this it is attempted to show conceptual meaning of conceptual framework in relation to research design, paradigms and philosophical assumptions that delineate it from theoretical framework. Conceptual framework serves essential role in inductive research design, while theoretical framework serves similar role in deductive research design.

Martin Otundo Richard

ABSTRACT A number of researchers either in scientific, social or academic researchers have found it difficult to differentiate between the theoretical and conceptual framework and their importance. This is a simple overview of the basic differences and some similarities between the theoretical and conceptual framework that is aimed at helping the learners and other researchers get a fast grasp of what can help them use the two effectively in their studies. A summary has been provided at the last part of the document that can aid one get the required information in his or her research.

Njinga & Sepé Journal

REVISTA (JOURNAL) NJINGA e SEPE (ISSN:2764-1244)

The primary objective of this research paper is to introduce a conceptual framework that can serve as a guide for research development in the Field of languages and applied linguistics, particularly in the context of teaching at higher education. This conceptual framework was devised by doctoral students during the early stages of their research. One of the key aims of the conceptual framework is to help Doctorate students grasp the significance of having a well-defined conceptual framework in research. It enables them to understand how a conceptual framework serves as a foundation for their studies and helps them organize and structure their research effectively. Furthermore, the research paper emphasizes the importance of critically evaluating existing conceptual frameworks in modern research. By engaging in this critical analysis, Doctorate students can identify the strengths and weaknesses of different frameworks and gain insights into how to develop a more comprehensive and dynamic conceptual framework. Another crucial aspect covered in the research paper is the assessment of the impact of a conceptual framework on research outcomes. This text highlights the importance of understanding how a conceptual framework affects research and its outcomes. It states that a research paper aims to provide guidelines for creating and utilizing a conceptual framework, specifically for Doctorate students. The paper includes explanatory texts that explain the theory behind the framework, ensuring a comprehensive understanding of its principles and concepts. Overall, the text presents a conceptual framework for research development in languages and applied linguistics, particularly in the context of teaching at a Higher education.

Serafin Talisayon

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Thesis at TAMK (student's guide)

1 introduction, 1.2 degree objectives, 2 thesis topic, objective and purpose, 3 thesis process, 3.1 steps in thesis process, 3.2 thesis types, 3.3 topic approval, supervision and thesis plan, 3.4 method studies and thesis seminars, 3.5 thesis and data protection, 3.6 peer review, 4 theses in double degrees, 5 working life cooperation, 5.1 thesis contract, 5.2 working-life representative’s role in thesis process, 5.3 research ethics guidelines.

• 5.4 Thesis and copyrights

6 Thesis reporting

6.1 written thesis report, 6.2 oral thesis presentation, 6.3 thesis publicity, 6.4 thesis publication, 6.5 archiving a thesis, 7 thesis assessment, 8 maturity test.

• 8.1 Maturity test and its language
• 8.2 Writing the maturity test
• 8.3 Assessment of the maturity test

The thesis is an independent study performance in your studies. Its scope within bachelor's degrees is 15 credits (cr) and 30 cr in master's degrees. The thesis is graded separately on the degree certificate.

The thesis process includes contact teaching, seminars, thesis supervision and independent work. The content requirements are further specified within each degree programme.

The thesis may be written by one student or by two students in cooperation. The degree programme specific guidelines and appropriateness have to be considered. Multidisciplinary theses covering two or more degree programmes are also possible. In case assessments will be made separately for the students, the independent share of each student must be reported in a field- or thesis-specific way.

In some special circumstances, it is possible for a thesis to be partially or fully transferred. Credit transfer is agreed upon separately on a degree programme basis and is subject to its own set of rules.

The objective of the bachelor's degree is to develop and demonstrate your capabilities in applying your knowledge and skills in practical expert tasks pertaining to the professional studies. The objective of the master's degree is to develop your professional skills and ability to apply research information in demanding specialist and management assignments of your field.

The thesis requirement levels have been stipulated within the European Qualifications Framework (EQF) and the Finnish National Framework for Qualifications and Other Competence Modules (FiNQF). Thesis guidelines are also available in TAMK’s Degree Regulations .

At universities of applied sciences thesis topics are usually based on working-life needs. They can be related to TAMK’s projects, be given by an outside commissioner or you may suggest the topic yourself. The topic is good when you find it interesting, it answers practical needs, is relevant to the professional field and its potential development, takes into account your capabilities, is financially interesting and of current interest. Courage, creativity and originality are assets when choosing the thesis topic.

The objective is that every student learns to gather information independently, analyse data critically, solve problems, reason and debate, study and develop work practices and communicate in writing as well as orally in an articulate manner.

The thesis always has a research or development objective. The objective can be, for example, to develop the workplace orientation practices for new staff. The practical measures to reach the above-mentioned objective are called the purpose of the thesis. Construction of an orientation file and mapping of different orientation practices are examples of thesis purposes. Further field-specific examples of the thesis objective and purpose will be given within each degree programme.

Questions for structuring, framing and directing the thesis implementation need to be posed. In the context of quantitative research these questions are generally called research problems. In the context of qualitative research they are called research tasks.

Good information searching skills help you in the thesis process. You can update your skills in the trainings organized by the library. 

The thesis advances by stages from topic selection to assessment and publication of the finished thesis. The main features of the process are described in the figure below (figure 1), gate model for the thesis. Reaching each stage makes it possible to pass through the gate and to proceed to the next stage. Details of the thesis process will be specified in the process chart (in Finnish), following subchapters and course implementation plans of each degree programme.

FIGURE 1. Gate model for the thesis

The thesis supervision and management system Wihi was introduced at TAMK on 1 January 2021. Theses which are begun in 2021 or later are documented on Wihi. Thesis communication and file exchange mainly take place through it. Students have credits at phases 3, 4 and 5 (courses 1-3).

To complete the phase 3 or the Thesis Planning course (5 cr), students must have an approved thesis plan, thesis contract or permit and possibly other study performances defined by the degree programme. The phase 4 (Thesis Implementation course) calls for implementation of the empirical, theoretical and/or functional part. As the thesis progresses, the two above-mentioned courses are automatically entered from the Wihi system to the study register with a temporary marking (s).

The thesis process phase 5 or the Thesis Reporting course calls for written reporting, plagiarism check, publication, maturity test and possibly other study performances required by the degree programme. When the thesis and process are ready, they are assessed numerically (1-5) as a whole based on the thesis assessment criteria. The final grade is automatically transferred to the study register to all the three completed courses.

There are various types of theses, including research, functional theses, projects, theoretical theses, art project theses or case-like theses. Theses may consist of various reporting, planning, manufacturing and development tasks performed for the needs of the society and practical working life.

In bachelor’s degrees there is possible choose diffrent kind of thesis types, they are research, practice-based, portfolio, artwork or diary theses. The form of the thesis may vary from degree programme to degree programme, and it is always good to discuss your interest with the thesis supervisor before making the final choice of the method. In master's degrees, the form of the thesis is typically research-based and the aim is to develop working life. The thesis typically includes careful examination of prior research, literature and other materials.

A research thesis produces researched, new knowledge for working life by answering a limited research problem or research task. The data is collected either empirically or theoretically. The material is analyzed and the results are reported in the thesis report. Depending on the field of study, the thesis can be qualitative (e.g. analysis of interviews), quantitative (e.g. analysis of an electronic survey) or a literature review based on systematic information retrieval. In the practice-based thesis, the starting point is a concrete task arising from working life, which is answered by developing operations in the target organisation. The end result of development is often an output, which can be, for example, a product, service, instructions, plan, event, game, code or modelling. In addition to the output, the thesis includes a thesis report and evaluating the development of operations. 

A portfolio-based thesis is a portfolio of samples describing the student's own learning and development from project work or other outputs. Students can also further develop their previous project work. In the portfolio, the student critically evaluates work samples and professional development. In addition to text, the electronic portfolio may contain images, video and other multimedia elements. The portfolio thesis includes a thesis report that backgrounds, explains and evaluates the portfolio development process.  As part of the thesis, the author prepares evaluation criteria for the outputs presented.

An artwork thesis is possible in cultural degrees. It consists an artistic or production-technical project and a thesis report. The artistic or production-technical part is, for example, a composition, concert, film, production, commissioned work, stage work, script, artwork, exhibition, sound work, performance or experiment. The written report of the thesis creates information and deepens and reflects on the project part so that the thesis is a coherent and coherent whole. From the perspective of the needs of the professional field, the work of art is relevant and innovative. It also develops the student's artistic and professional-technical skills.  

A diary-based thesis is a planned and scheduled way to implement the thesis by developing one's own work or the practices of one's own workplace. It consists of a diary part, in which the student describes and analyzes his activities, and a thesis report part, which consists of the goals and purpose of the work, a description of the diary method, a summary and reflection of the results of the activity. The work turns out to combine theory and apply it to practice. In his/her diary, the student describes his/her daily activities and cooperation with stakeholders, analyses these weekly and reflects the activities and cooperation to theory. In the diary form thesis, the period during which the diary is written is clearly defined. Typically, the duration of diary work is 10-15 weeks, and it can be completed in one semester.

The topic of the thesis is approved by a person appointed by the head of the school or manager of a degree programme. The topic must be approved before you start doing the thesis.

A supervisor is always appointed for the thesis. You always agree on personal thesis supervision with the supervising teacher. The supervision is especially important at the initial stage as the objective, purpose, extent and structure are considered and specified. Supervision gives you advice on acquiring relevant literature and selecting a proper approach, working procedures and potential methods for acquiring necessary material.

The thesis supervisor is bound by professional secrecy and prohibition of use regarding the student's thesis idea drafts, thesis plans, research data and all classified information during and after the thesis process.

A thesis plan is drawn up for every thesis. The thesis plan includes the topic, literary background, objective, purpose of the thesis, implementation plan and schedule. The objective of discussing the plan is to specifically assist in setting of a proper framework for the thesis as well as in method solutions. The plan is enclosed to the thesis contract (see the thesis contract section 5.1).

The thesis process includes method studies, orientation studies and seminars. If needed, you may also complete method studies as free-choice studies or optional advanced studies in master’s degree programmes. You may update and deepen your information search skills in courses arranged by the library.

To back up the thesis process, seminars and negotiations are organised with the thesis supervisor and commissioner, as agreed within each degree programme. As a student, you will present your work and receive feedback and development suggestions from both supervisors and other students at these meetings. Between these discussions you will work on your thesis. You are responsible for keeping in touch with the supervisor and commissioner and, if necessary, you will receive individual, group or online supervision. The ready thesis is presented as agreed on in the degree programme. See instructions for thesis presentation in section 6.2.

RDI and thesis projects must be carried out in compliance with the requirements set out in the EU’s General Data Protection Regulation (GDPR). Under the GDPR, processing is a broad concept that refers to all operations performed of personal data, such as collection, processing, storage and disposal.

When students process personal data in connection with their thesis, they are responsible for the  lawful  processing of personal data. Although students generally serve as data controllers and are responsible for data protection compliance when processing personal data in connection with their thesis or other assignment, the thesis supervisor must advise students on the appropriate processing of personal data. TAMK students follow the common instructions of Tampere University and TAMK.

Instructions for students concerning data protection

Instructions for supervisors concerning data protection

Data protection in research

Peer review offered by another student serves to support you by offering constructive feedback and development suggestions with relation to the thesis. Peer review takes place through joint meetings, seminars or online. Each degree programme offers further instructions on peer review.

Working as a peer reviewer during the thesis process trains you to have a critical attitude to contents, discern the essential, analyse as well as comment. It also helps to develop your capability to accept criticism and respond to thesis-related questions in an argumentative manner. In seminars peer review often produces ideas and perspectives useful for all team members.

If you complete the thesis of a double degree at the other higher education institution, it will be published in accordance with TAMK's thesis guidelines regardless of its language. In this case you will also complete the maturity test in accordance with TAMK's guidelines.

The thesis has to conform to the needs of working life and develop professional practices, knowledge and skills. Working life representative can represent a company, a public organization, or TAMK's development project. 

The thesis project always involves a thesis contract:

The thesis contract is concluded between the working life partner, university of applied sciences and you. Some cooperation partners require a thesis permit or research permit. Degree programmes provide more detailed guidelines on it.

You can request all parties’ digital signatures on the contract by using the  AtomiSign . Sign in with Microsoft. Click "New signing request", fill in the requested information, add the thesis contract to be signed and enclose the thesis plan. At Options, select “SMS authentication” as the authentication method. At “Participants”, enter the contact information of the thesis author(s) (including yourself), the supervisor and the working life partner. Send the request. If necessary, you can find more detailed instructions below:

Save the signed thesis contract or thesis permit form on Wihi for archiving with the heading Thesis Contract .

A research permit usually means the organisation's permission to contact its staff or members in matters related to the thesis or other research. Each organisation has its permit policies. Some organisations have specific permit forms which must be filled in. The target organisation can also grant the permit to the thesis author by email. In this case, the permit applies in accordance with the thesis contract (attached to the email).

With commissioned theses, the commissioner appoints a contact person to represent the commissioner. The company, organisation or community representative together with you and thesis supervisor participate in defining the thesis objectives and planning the implementation.

The working-life representative is responsible for potential thesis cooperation within the enterprise or institution. If possible the representative will offer content supervision and information needed for writing the thesis and will be responsible for other matters stipulated in the thesis contract. The representative will also provide you with a written statement on the thesis.

Universities of applied sciences are committed to the guidelines for research ethics , issued by the National Advisory Board on Research Ethics. They apply to all theses made at universities of applied sciences. A prerequisite for ethical acceptability, reliability and credibility is that the thesis has been conducted in accordance with good scientific practice. All authors are personally responsible for following these instructions in their work.

Good scientific practice is that you

• Respect honesty, general diligence and accuracy in research, saving and presentation of results and evaluation of research and its results.
• Apply ethically sustainable information gathering, research and evaluation methods and implement the open nature of scientific knowledge when publishing your research results. Responsible and ethical use of AI (artificial intelligence) applications means that you must always describe the use of AI and how you have used it. 
• Take due account of the work and achievements of other researchers by respecting their work and giving their achievements the value and importance they deserve in your research and publication of your results.
• Make sure your thesis is planned, implemented and reported in detail to meet the requirements for scientific information.
• Make sure the position, rights, responsibilities and share of the authorship of the members of your research team, as well as the issues of ownership and retention of research results are defined and recorded prior to initiation of the research or recruitment of a researcher into the group.

An obstacle to high-quality research may be lack of professional ethics of the researcher. This can manifest itself as violations of good scientific practice. They can be categorised as disregard for good scientific practice and fraud in scientific activity. Disregard for good scientific practice is manifested by gross negligence and recklessness in conducting the research. Disregard may occur in understatement of others’ efforts in a publication, inadequate reference to previous research results or negligent reporting of the used methods. Fraud in scientific activity and theses implies misleading which can be accomplished by forging, distortion, unauthorised borrowing or stealing.

In the thesis, plagiarism may lead to rejection of the entire thesis. An anti-plagiarism software (eg Turnitin) can be used to search for possible plagiarism during the thesis process.

The instructions above have been compiled from the Finnish National Board of Research Integrity’s website . For more information on ethical issues in the health care sector, see also the National Advisory Board on Social Welfare and Health Care Ethics’  publication   Shared values in health care, common goals and principles (2001).

Arene updated ethical recommendations for theses at universities of applied sciences on 9 January 2020. They can be found through the link below: Ethical Recommendations for Theses in Universities of Applied Sciences  (webpage in Finnish, publication also in English).   

In completing your thesis, you have to follow the guidelines on data protection in studies – general instructions for students and teaching staff . The guidelines written in the spirit of the Privacy Protection Act specify data protection responsibilities of supervisors and students as regards theses. Both supervisors and students have to follow the guidelines.

5.5 Thesis and copyrights

In the thesis process, copyright issues are relevant firstly when using existing material (source material) and evaluating the conditions for using the material and secondly when estimating what rights are generated for author(s) of the thesis and the potential need for transfer of these rights. In addition to or instead of copyright, use of material may also be restricted by regulations concerning protection of privacy, business or professional secrecy, trademarks, contractual encumbrances or good scientific practice.

Although thesis made at universities of applied sciences are often commissioned from the outside, the copyright of the thesis mainly remains with the student and normally it is not necessary to transfer it to the commissioner. The commissioner naturally has the opportunity to utilise information and development suggestions of the thesis without copyright. If the thesis itself or its attachments include material that the commissioner needs to use in a copyright-relevant manner (edit or distribution rights), the transfer of rights must be agreed separately. Such material may for example be a separate guidebook, educational material, computer program or programming work, visual material, drawings and sound or image recordings. In this case, the parties (ie the student and commissioner) must on a case-by-case basis consider the form of the contract, extent of the transfer of rights and potential compensation.

TAMK has a collective licence by Kopiosto (national copyright organisation) for use of digital material for educational purposes (teachers and students), for example in theses.

Further information:  Continued use of the Creative Commons licence (in Finnish). Notes on using the Creative Commons licence

A written report is always made on each TAMK thesis. In Finnish-language degree programmes, the thesis may be written in some other language than the language of instruction when appropriate and when TAMK’s supervisor has a command of the language. In foreign-language degree programmes the language of instruction must be used when writing the thesis (see  Degree Regulations ). The report includes essential matters as regards choice of the topic, theoretical bases, method or implementation, results and conclusions. The contents emphases of the report may vary within each degree programme.

Thesis reports are compiled in a uniform manner at TAMK. Its wording must be explicit and in accordance with good matter-of-fact style. The instructions for writing are available in a seprate  Report Guide , in which you can also find the thesis report template with specific settings. 

It is possible to present the thesis as a poster in addition to the written report. A poster is a placard consisting of text and graphic presentations which depict the key points of the thesis.

You present your thesis at a public thesis presentation seminar or another agreed event. It can also be presented at an event agreed on with the commissioner. The presentation practices vary between the degree programmes. Virtual presentation is also possible.

Prepare for the oral thesis presentation by clarifying the following:

• who are the listeners?
• what do the listeners already know about the subject?
• where is the presentation held?
• which presentation tools do you need and how much time do you have for your presentation?

Prepare the structure of your presentation carefully. It includes:

• an interesting start (background, 5-25 % of the available time)
• structured and carefully selected main content (70-80% of the time)
• ending (conclusions or summary, 5-10% of the time)

Prepare concise and interesting illustration material and learn how to use the technical visualisation devices in advance.

The presentation situation is led by a chairperson selected from the student group or by the supervising teacher. At the beginning of the presentation, you and your subject will be introduced to the audience. As a performer, you engage listeners by asking questions, telling examples or asking for comments. As a performer you speak to the audience. Prepare to answer questions.

A thesis report is a public document and as a rule it should not contain any classified information. The publicity guarantees objective and equal thesis assessment.

If your thesis includes classified information, it may not be included into the thesis report to be assessed. See separate instructions for this.

As the author you determine the means of thesis publication: electronically either in open Theseus or in restricted Theseus. 

Before publishing your thesis, you should check that the title is spelled correctly and in the same way both on the cover page and in the abstract. You need to have your Finnish abstract and the foreign-language abstract checked by a language teacher, as defined in the degree programme.  Check also that you have the same title in Wihi’s thesis data as in the final thesis version on Theseus. The title is transferred from Wihi to the transcript of records. Make sure that there are no extra dots, lines or colons in the title on Wihi. If there are two clauses in the title, they are separated by || without any spaces. (Eg Professionals’ interaction skills||Qualitative research)

Tampere Universities recommends that you  submit  your thesis in the  open collection  of  Theseus Open Repository  in PDF/A format. 

Theseus is a joint open internet-based library for theses made at universities of applied sciences, created to allow easier access to theses. You are responsible for saving your thesis into Theseus. If the thesis has several authors, one saves it on behalf of the others.

You (students) have all copyrights to all parts of the saved thesis.If the thesis includes parts that cannot be saved to Theseus (for example a CD), deliver them to the library. Saving and publishing a thesis in Theseus requires that it has been approved and you allow it to be published. More information on submitting the thesis to the Library can be found in the  Library's guide .

If the commissioner doesn't allow your thesis to be public, you can also submit your thesis to the  restricted collection of Theseus . Those theses are readable only from certain computers in the library and in the legal deposit libraries which are National Library of Finland, Åbo Akademi Library, Turku University Library, Jyväskylä University Library, Oulu University Library and Library of University of Eastern Finland.

Making paper copies for personal use

You can make hardcover paper copies of your thesis, for example, to the commissioner or yourself. You pay the costs for binding your thesis.

Please, print the thesis one-sided. The covers are hard, dark grey and include the text “Thesis” and Tampere University of Applied Sciences’ logo. You can purchase the covers from the Kuntokatu campus bookshop and when the shop is closed at the CampusRavita café. The machine for binding theses is located in the vicinity of the bookshop.  NB: library will not accept printed versions.

Theses are permanently archived documents in accordance with the Archive Department’s decision (16.9.2014). Universities of applied sciences must ensure that theses are retained in accordance with good information management practice and ensure their availability also in the future. Theses are permanently archived in TAMK's document management system.

You have to submit your thesis for publication and archiving before you receive your degree certificate.

Archiving of theses takes place when the thesis is published. If the thesis is saved in Theseus, no separate archive copy is needed. Archive copies of bound theses are entered into TAMK’s document management system. When the thesis is received, the library informs the Study Services.

You can find guidelines on submitting the archive copy on the library’s website .

See also  Archive Department’s decision on permanent thesis retention (in Finnish)

You and the thesis supervisor agree on when the thesis is ready for assessment. The finished thesis is submitted to the supervisor and commissioner to be examined in accordance with the guidelines of the degree programme.

The supervisor gives the written assessment within the period stipulated in the Degree Regulations. It is good to have a second thesis assessor. Approved theses are graded on the scale 1-5 by using TAMK's assessment criteria and assessment form when all thesis performances have been approved.

Each form of the thesis has its own assessment criteria:

Emphases on the assessment criteria may vary between degree programmes.

You should become familiar with the assessment criteria in advance in order to take them into account from the very beginning. In order for the thesis to be approved the minimum grade for all assessed sectors must be 1. When two authors are involved, the contribution of each must be clearly discernible if they are to be assessed separately. If the student is dissatisfied with the grade, the student may request an amendment as stipulated in the Degree Regulations. The teacher should store the assessment statement and study performances for a year at the minimum after the results have been published.

Assessment criteria for the thesis' began before the autumn 2023:

You must, in order to graduate, write a maturity test on the field of the thesis. The thesis is to demonstrate your language and text skills needed in expert work and communication. 

8.1 M aturity t est and i ts l anguage  

The maturity test can be taken in English if you have received your school education in some language other than Finnish or Swedish or completed his/her school education abroad. As regards Finns, the language of school education is the language in which the person has completed the comprehensive school or the general upper secondary school, if the person has completed the general upper secondary school. If the person has completed a vocational upper secondary qualification, the language of school education is however determined based on the comprehensive school leaving certificate. ( TAMK Degree Regulations ) In Double Degree programs, the student writes a maturity test even if the thesis is accepted.

Government Decree on Polytechnics  (in Finnish)

8.2 Writing the maturity test 

In the bachelor’s degree, you write a maturity test most often as a bulletin, but an article draft is also possible. Agree with your instructor beforehand about whether you are writing a bulletin or an article draft. Master's degree students write a maturity test as a draft article, as agreed upon in each degree programme. 

The length of the bulletin is between 3,500 and 4,000 characters, including spaces. Write the text in good style with full sentences. Create the text for a wide audience. Avoid special terminology and explain the terms or abbreviations you use. The bulletin does not use pictures, figures, tables or bullet-point lists. Think about the most important results of your thesis and focus on presenting them. Note that the bulletin is not the same as the summary of the thesis. Think about what readers are interested in or what is touching in your thesis. What's new and contemporary? What is impressive?

Plan your bulletin so that it presents things in order of priority. More detailed information about the structure and writing instructions for the bulletin and the article drafting guide are at the end of this page.

The maturity test is written according to the instructions given in the degree programme. The response time is up to 115 min. The supervisor of the thesis will provide more detailed instructions.

The students will mainly take the maturity test in TUNI EXAM system as a personal exam (grading scale Pass/Fail and partial course grade).  The length of the maturity test is 115 minutes. The language reviser must be added to the exam. The code of the course in Exam is NN00GB64-3001.

General EXAM instructions

Students can take the maturity test also in TUNI Moodle if they have a justified reason to write the maturity test remotely.  The student must discuss with the thesis supervisor before writing the maturity test in Moodle.The course in TUNI Moodle is KN-2024-1 Kypsyysnäyte/Maturity test (1-7/2024, TAMK)  Students need an enrolment key from their supervisor. The maturity test is written according to the instructions given in Moodle. By taking the maturity test remotely, the student accepts the appearance of their name in Moodle.

The thesis supervisor requests access to the Moodle maturity test course from IT-helpdesk. The supervisor guide is available through Moodle course. The student gets their key from the supervisor.

8.3 Assessment of the maturity test 

The thesis supervisor assesses the factual content and the language of the maturity test. The language is assessed by the teacher of the language in question. The test is graded either approved or failed.

The grading of the language of the maturity test is based on the following criteria: 

• Structuring (including the overall structure of the text, paragraph division, titles) 
• Comprehensibility (including text independence, argumentation, arguments and justification, word choice) 
• Clarity (including the structure of sentences, use of professional terms, word choices) 
• Style (proper style) and language (including proper grammar, spelling, guideline-based layout). 

The characteristics of accepted and rejected maturity tests are described in attachment. The supervisor marks the numerical evaluation of the thesis in the study register after the maturity test and other partial studies agreed in the degree programme, including the authenticity of the text, have been approved.

News As Maturity Test

Article Draft As Maturity Test

Additional information about research methods:   https://www.fsd.tuni.fi/en/services/research-methods-web-resource/

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Tampere University and Tampere University of Applied Sciences (TAMK) constitute the Tampere Universities community. Our areas of priority in research and education are technology, health and society. Tampere University: +358 (0)294 5211 Tampere University of Applied Sciences : +358 (0)294 5222

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Hypothesis and theory article, development and evaluation of a framework for the performance-based testing of ict skills.

• 1 DIPF | Leibniz Institute for Research and Information in Education, Frankfurt am Main, Germany
• 2 University of Wuppertal, Wuppertal, Germany
• 3 Centre for International Student Assessment (ZIB), Frankfurt am Main, Germany
• 4 Goethe University Frankfurt am Main, Frankfurt, Germany
• 5 Centre for Educational Measurement (CEMO) at the University of Oslo, Oslo, Norway

This paper addresses the development of performance-based assessment items for ICT skills, skills in dealing with information and communication technologies, a construct which is rather broadly and only operationally defined. Item development followed a construct-driven approach to ensure that test scores could be interpreted as intended. Specifically, ICT-specific knowledge as well as problem-solving and the comprehension of text and graphics were defined as components of ICT skills and cognitive ICT tasks (i.e., accessing, managing, integrating, evaluating, creating). In order to capture the construct in a valid way, design principles for constructing the simulation environment and response format were formulated. To empirically evaluate the very heterogeneous items and detect malfunctioning items, item difficulties were analyzed and behavior-related indicators with item-specific thresholds were developed and applied. The 69 item’s difficulty scores from the Rasch model fell within a comparable range for each cognitive task. Process indicators addressing time use and test-taker interactions were used to analyze whether most test-takers executed the intended processes, exhibited disengagement, or got lost among the items. Most items were capable of eliciting the intended behavior; for the few exceptions, conclusions for item revisions were drawn. The results affirm the utility of the proposed framework for developing and implementing performance-based items to assess ICT skills.

Introduction

Information and communication technology (ICT) skills are considered a key competence for lifelong learning ( European Communities, 2007 ), successful participation in the labor market ( van Deursen and van Dijk, 2011 ), and participation in political and societal debates. ICT literacy has thus been termed a “survival skill” ( Eshet-Alkalai, 2004 ) with significance across the lifespan ( Poynton, 2005 ). Consequently, a lack of such skills leads to disadvantages in various life contexts. Knowledge tests or self-report questionnaires can be used to measure ICT skills (e.g., Richter et al., 2010 ; Goldhammer et al., 2016 ). However, emphasis should be placed on hands-on ICT skills–what individuals are actually capable of (International Computer and Information Literacy Study (ICILS); Jung & Carstens, 2015 ).

ICT skills refer to the capability to successfully solve tasks requiring the use of ICT. ICT skills therefore comprise skills and knowledge that refer to operating technology. ICT skills are frequently described as relying on capabilities not specific to the ICT domain, such as reading (e.g., International ICT Literacy Panel, 2002 ; Calvani et al., 2009 ; Fraillon and Ainley, 2010 ). In assessments such as ICILS, ICT tasks are presented as cognitive tasks that require “accessing” or “managing” information, for instance–but how exactly the ICT tasks relate to these conventional skills is not often considered. This of course makes it impossible for item development to be informed by theories addressing conventional skills, like reading, and to predict item difficulties by means of theoretically derived item properties (cf. Embretson, 1983 ). In light of these considerations, the first of this paper’s three goals is to identify what conventional skills are involved in ICT skills and to systematically apply established psychological theories regarding those skills to the ICT context. This makes it possible to identify task characteristics that can determine the item difficulties of information tasks.

Most frameworks describe how they organize the domain of interest–for instance, in terms of different cognitive tasks ( International ICT Literacy Panel, 2002 ; Eshet-Alkalai, 2004 ; Calvani at al., 2009 ; Fraillon and Ainley, 2010 )–but do not describe how the overarching framework itself is ultimately translated into items and a suitable assessment format. ICT skills are best assessed in a performance-based manner using computers, which can be expected to generate the best construct representation ( Sireci and Zenisky, 2006 ). Highly authentic items involving software used in everyday life cannot be easily integrated into larger assessments ( Parshall et al., 2002 ). Simulation environments, in contrast, can be resource-intensive to develop, and designers must make difficult decisions about which aspects to include in the simulation and which to omit ( Mislevy, 2013 , p.108). Such decisions are important in order to avoid construct underrepresentation on the one hand and adding irrelevant variance to the measured construct on the other ( Messick, 1994 ). Balancing these aspects is crucial for the development of appropriate design principles for the simulated environment and procedures for scoring response behavior. Thus, the second goal of this study is to address various design questions in order to propose how a simulated environment suitable for measuring ICT skills in a performance-based way should look.

While the first two goals focus on conceptual issues, the third goal concerns validation. Whether these conceptual issues have been adequately addressed were evaluated by analyzing item difficulties and aspects of test-taker’s behavior. Behavioral indicators were identified and thresholds for malfunctioning defined that allow for drawing direct conclusions about the reason for malfunctioning and provide direction for item revision.

Intended Test Score Interpretation

According to Kane (2013) , validation starts with an interpretation and use argument. Therefore, we seek to first describe the intended interpretation of test scores before developing the assessment framework. This assessment framework should focus not on specialized professional tasks, but on tasks that average users engaging with ICTs could potentially come across. However, even such everyday ICT tasks have a wide range of complexity. A simple task might be to open or send an email, while more complex tasks might also ask test-takers to decide what to do with an email (e.g., forward it or not). A simple task requires rather basic skills, such as knowledge about the technical environment. A more complex task would additionally require evaluating the content of the email, a higher-level skill, and might also require the application of ICT-specific knowledge such as knowledge about characteristics of spam. Thus, while a simple task encompasses one aspect of an everyday activity, a more complex task more comprehensively captures a typical everyday activity. This study focuses on such complex tasks, which require test-takers to make ICT-specific decisions in an ICT environment. Consequently, the mere command of skills for operating technology does not suffice to solve such ICT tasks successfully; higher-level skills are required. Consequently, in the present study, we intend for test scores to be interpreted as representing higher-order ICT skills.

In addition to “ICT skills”, other terms such as digital competence (e.g., Calvani et al., 2009 ) or ICT literacy (e.g., International ICT Literacy Panel, 2002 ) are also used. In a review, Siddiq et al. (2016) describe similarities between these concepts, such as a joint focus on retrieving and processing or producing information. Therefore, the various concepts refer to comparable situations and problems users face when operating ICTs. Ferrari et al. (2012) identify overlaps in conceptualizations of what they call “digital competence” based on policy documents and academic papers. For instance, many conceptualizations addressed information management and problem-solving. The term used often also defines the framework’s overarching goal: Thus, van Deursen and van Dijk (2009 , 2014) use the term “Internet skills” and focus on skill-related problems in using the Internet. Eshet-Alkalai (2004) asks what so-called “survival skills” are necessary to accomplish Internet-based tasks, identifying highly specific skills such as “branching literacy”. In the present paper, we present a framework with the goal of developing a suitable assessment of skills necessary for accomplishing everyday ICT tasks, which we refer to as “ICT skills”. The specific skills and situations targeted are described in greater detail in First Goal: Developing an Assessment Framework .

First Goal: Developing an Assessment Framework

The construction of a performance-based test can follow either a task- or a construct-centered approach. While a task-centered approach focuses on the targeted actions to be performed, the construct-driven approach asks which skills and knowledge are required to perform these actions, with the nature of the construct guiding item development ( Messick, 1994 ). The development of digital skills assessments can also follow tool-oriented approaches, which involve the application of specific software to initially structure the domain (cf. Ferrari et al., 2012 ). As this study focuses not on all tasks that may occur in ICT environments, but on tasks that require higher-order ICT skills, a construct-driven approach is needed to ensure that test scores can be interpreted as intended. Furthermore, the ICT skills we seek to measure are assumed to be independent of specific software. Relevant skills and their interplay with knowledge are defined in the following sections.

Components of ICT Skills

To solve tasks that require higher-order ICT skills, it is not enough to apply only ICT-specific knowledge. Additional skills are required to solve information problems in ICT environments. In the relevant literature, these skills are defined as “key competencies”, including reading, problem-solving, numeracy, logical, inferential, and metacognitive skills ( Calvani et al., 2009 , p.186); as “cognitive skills”, including reading, numeracy, critical thinking, and problem-solving ( International ICT Literacy Panel, 2002 , p.1); or as “conventional literacies” ( Fraillon and Ainley, 2010 , p.8). While the need for numerical skills, for instance, depends strongly on task content, we assume that problem-solving and comprehension skills are important for all kinds of tasks. This is because, first, information from the environment must be encoded, and second, the information problem must be solved by interacting with the environment.

Please note that this does not preclude the notion that other conventional skills might be important in specific ICT tasks. Instead, focusing on only a few skills that are assumed to play a role in almost all ICT tasks makes it possible to apply established psychological theories from these research areas to the context of ICT. This allows us to take a construct-driven approach and base item development on theoretically derived item properties. Such a procedure is important in order to ensure that test scores reflect the intended construct. Drawing on established theories from the domains of comprehension and problem-solving skills also emphasizes the fact that ICT skills should not be considered completely new skills. Rather, they involve skills that were important even before technological environments came into widespread use.

Comprehension of Text and Graphics

Nearly all ICT tasks require the processing of symbolically represented information to some degree. Even tasks that do not involve higher-order reading processes (such as installing a software program on a computer) require decoding, syntactic parsing, and the semantic integration of words (“Do you want to proceed?”). When using the Internet, text comprehension comes into play, as detailed in models such as the construction-integration (CI) model by Kintsch (1998) . This model describes the text comprehension process as a cyclical interplay between bottom-up and top-down processes. Beginning with the physical representation of the text, processes (such as letter and word recognition, semantic parsing, and local coherence processes) are employed to build a propositional representation of the text content (textbase model). This model is integrated with prior knowledge in a top-down fashion, resulting in a situation model. As informational content can also be in the form of pictures or sounds, one can distinguish between the processing of visual-verbal (e.g., written language), visual-pictorial (e.g., iconic material), auditory-verbal (e.g., spoken language), and auditory-pictorial (e.g., sounds) information (cf. Integrated Model of Text and Picture Comprehension; Schnotz, 2005 ). The importance of processing pictorial information is further supported by Eshet-Alkalai (2004) , who proposed photo-visual literacy as one aspect of digital literacy. In ICT environments, such comprehension processes are important for such tasks as identifying menu items or folders, discovering editing functions, or checking search result pages.

Problem-Solving

In ICT environments, problem-solving is required when performing tasks such as search queries or working with unfamiliar systems. According to Simon and Newell (1971) , problem-solving takes place in a problem space, with nodes for different states of knowledge and the use of operators required to reach the next node. Problem-solving comprises the construction of the problem space as well as the solution. Within the problem-solving process, a problem-solver decides which node to choose as a point for further investigation and which operator might be best to achieve a desired goal. For example, such models can describe how users decide whether to go back and enter a new search term or to navigate to a web page listed in the search results. Brand-Gruwel et al. (2009) propose a model for solving such information problems using the internet (known as the IPS-I model). In this model, the solution process is divided into different steps, such as defining the information problem, organizing or ultimately presenting the relevant information.

Interplay with ICT-specific Knowledge

Kintsch (1998) proposed that different cognitive processes take place depending the amount of available knowledge. According to Funke and Frensch (2007) , domain-specific knowledge is also highly important when solving problems. Hence, knowledge is assumed to guide both comprehension and problem-solving processes. It is further assumed that ICT skills are rooted in the three aforementioned skills: comprehension of text and graphics, problem-solving, and ICT-specific knowledge. Tasks that require conventional skills but no ICT-specific knowledge are not of interest for this study, as the resulting test scores would not capture ICT-specific skills. Tasks that require only ICT-specific knowledge and no conventional skills are also not the focus of this study. Such tasks are rather routine and do not require higher-order ICT skills. Therefore, in order for test scores to be interpreted as intended, task success must depend on ICT-specific knowledge (e.g., knowledge about characteristics of spam). Moreover, the item difficulty should be determined based on the difficulty level of the ICT-specific knowledge and the difficulty of integrating this knowledge into the task solution. This can be a starting point for developing items that can be interpreted as intended and have a certain level of difficulty.

Task Characteristics for the Development of ICT Skills Items

In addition to the skills and knowledge involved, the coverage of the content domain and generalizability also matter for assessment development ( Messick, 1994 ). The broadness of the ICT skills construct necessitates an organization scheme to ensure that test scores include all important aspects of the construct. Various frameworks have been suggested to organize the broad domain of ICT skills, all of which have different aims and purposes (for an overview, see Ferrari et al., 2012 ; Siddiq et al., 2016 ). One very influential framework was proposed by the International ICT Literacy Panel (2002) , which defines ICT literacy as being in command of a set of “critical components” (p. 3) for solving information tasks, which are identified as “access(ing)”, “manage(ing)”, “integrate(ing)”, “evaluate(ing)”, and “create(ing)” information. The ICT Literacy Panel’s framework has inspired other developments in recent years (cf. National Higher Education ICT Initiative, 2003 ; ICILS, Fraillon and Ainley, 2010 ) and overlaps with other conceptualizations of ICT skills ( Eshet-Alkalai, 2004 ; Calvani et al., 2009 ). In light of the critical importance of this framework, we chose to take the information tasks defined in this model as the basis for our item development. As these are general information tasks unrelated to ICT-specific knowledge, current ICT topics (e.g., “fake news”) can be taken as item content and knowledge that must be integrated in order to solve the items. In addition, we seek to describe which ICT-specific demands the five cognitive ICT tasks of accessing, managing, integrating, evaluating, and creating impose on the user. Items representing these five tasks would be considered to adequately capture the target domain (cf. Kane, 2013 , p.24).

In previous conceptualizations, skills and tasks were defined in a rather operational way. It was not defined what, for instance, constitutes an easy or hard task in terms of accessing and what makes it harder or easier in terms of ICT skills. However, addressing such questions is important to make sure that item difficulties vary sufficiently and solely due to construct-related task characteristics. Only then do the items capture individual differences in the target construct of ICT skills. In the following sections, task characteristics are derived based on the previously described skills that will be used to guide item development in order to systematically manipulate item difficulty. Table 1 summarizes the example items described below, the ICT-specific knowledge required, and the estimated difficulty.

TABLE 1 . Prototypical items.

Accessing describes “knowing about and knowing how to collect and/or retrieve information” ( International ICT Literacy Panel, 2002 , p. 17). ICT-specific demands often involve navigating ICT environments in a variety of ways, which creates a risk that users may feel disorientated on the Internet ( van Deursen, 2010 ; van Deursen and van Dijk, 2014 ). Unfamiliar navigational structures impede navigation ( Chen et al., 2011 ). The breadth, depth and topology of the hypertext structure also matters ( DeStefano and LeFevre, 2007 ). A prototypical item to measure individual skill in accessing information might be a task requiring the use of a search engine for a library database to find a reasonable selection of books on a certain topic (cf. Table 1 ). In such an example, task structures encouraging the use of more specific search queries, such as utilizing various filtering options or more than one search field might facilitate a more effective search process. If such structures are not available in the ICT environment at hand, the problem-solving process is less well-defined. As a result, less proficient users might perform an insufficiently structured search query. In such a case, prior knowledge about search engines and experience in specifying search queries have to be applied to solve the task. Consequently, accessing tasks should be harder if such prior knowledge is important for the task solution. Such a search engine task only requires ICT skills if conventional skills have to be used together with ICT-specific knowledge in order to solve the task. If a task requires only comprehension skills and/or problem-solving skills but not ICT-specific knowledge, it does not capture ICT skills. For instance, an information search task carried out at a library up until the mid-1990s would have meant accessing a card catalog, printed volumes of abstracts indexing journal articles, or a Microfiche catalog. Succeeding in such a task would have almost certainly depended on comprehension and problem solving skills, but not ICT-specific knowledge.

Managing refers to “applying an existing organizational or classification scheme” ( International ICT Literacy Panel, 2002 , p. 17). ICT-specific demands in managing information involve handling complex systems in order to accomplish an information management task. If the software is unfamiliar, users need to adapt their previous knowledge to the task ( Calvani et al., 2009 ). The ease of transferring knowledge to an unfamiliar user interface depends on the similarity of structures, surfaces and contexts ( Day and Goldstone, 2012 ), or whether general concepts exist ( Singley and Anderson, 1985 ). A prototypical item that can be used to measure individual skill in managing information might require moving e-mails into a folder structure and/or renaming a folder (cf. Table 1 ). A basic understanding of folder structures in email inboxes and the possibility to move emails out of the inbox are required. In harder items, it could be necessary to create a new folder first before it can be named correctly, or the functions needed to complete these tasks might be not visible on the home screen. In such a case, knowledge and experience with such programs would support the solution process. The difficulty level of the knowledge necessary for task solution (e.g., about formats for saving documents or printing options) should drive item difficulty in managing tasks.

Integrating

Integrating requires “interpreting and representing information. It involves summarizing, comparing and contrasting” ( International ICT Literacy Panel, 2002 , p. 17). Metzger (2007) describes ICT-specific demands related to the enormous amount of accessible information, which requires users to integrate information obtained from different sources. The ease with which a user is able to create coherence (cf. Kintsch, 1998 ) with respect to information from different sources depends on the number of information units (like websites, documents, or e-mails), the degree to which information is comparable, and the degree of inconsistency between documents ( Perfetti et al., 1999 ). The integration process is more complex if the sources differ in terms of breadth ( Bhavnani et al., 2003 ) or contain conflicting information ( Hämeen-Anttila et al., 2014 ). A prototypical item would be to select a specific language course by comparing the websites of different courses with respect to several criteria, such price, dates, and reviews by former participants (cf. Table 1 ). In easy integration tasks, the information units to be compared can easily be identified. In harder tasks, more knowledge must be applied to guide the integration process, such as knowledge about where information is located on websites.

Evaluating information involves “making judgments about the quality, relevance, usefulness, or efficiency of information” ( International ICT Literacy Panel, 2002 , p. 17). To deal with the growing amount of information on the Internet ( Edmunds and Morris, 2000 ), users have to evaluate the value of incoming information ( Whittaker and Sidner, 1996 ). ICT-specific demands in this area include evaluating the trustworthiness of information ( Lorenzen, 2001 ), as material published on the Internet is not necessarily subject to peer-review processes or editorial control. A model of task-based relevance assessment and content extraction (TRACE model; Rouet, 2006 ) has been proposed to describe how the information provided is combined with prior knowledge and evaluated. The evaluation of information might depend on the ease of identifying relevant criteria, such as the truth, guidance, accessibility, scarcity, and weight of information ( Simpson and Prusak, 1995 ), but also structural (e.g., domain names) and message-related (e.g., objectivity) features ( Hahnel et al., 2016 ), or quality cues such as title and authority ( Rieh, 2002 ). A prototypical item to measure individual skill in evaluating information would be to judge the relevance a set of e-mails in one’s personal inbox for a third party (cf. Table 1 ). In addition to the e-mails’ content, test-takers may also need to incorporate knowledge about characteristics of spam and available information about the senders of the e-mails. Task characteristics that support the identification of certain information as irrelevant, such as by helping to identify spam emails, make such items easier.

Creating describes “generating information by adapting, applying, designing, inventing, or authoring information” ( International ICT Literacy Panel, 2002 , p. 17). Choosing from among countless editing options to present information in a suitable way places unique demands on ICT users. Software for designing or painting has substantially expanded the possibilities to create and transform knowledge into graphical material compared to the pre-computer era. Nevertheless, using this kind of software might require particular cognitive skills ( Horz et al., 2009 ; Cox et al., 2010 ). Bulletin boards, blogs and e-mails necessitate a different writing style ( McVey, 2008 ) compared to traditional off-line writing, and users are no longer solely recipients but also producers of user-generated content ( van Dijck, 2009 ). A prototypical item that can be used to measure individual skill in creating information would be to adapt the text of an e-mail to appropriately address a specific recipient (cf. Table 1 ). Creating tasks might be more difficult when the task instructions are ill-defined (see the cognitive process theory of writing; Flower and Hayes, 1981 ). When completing harder items, test-takers not only need to adapt to the setting based on their knowledge about norms, for example, but must also independently identify the need for adaptation in the first place.

Cognitive Tasks in Item Development

Tasks encountered in everyday life might not clearly fall within any one of these cognitive tasks. For example, when dealing with items in a real-life email inbox, it is likely that multiple emails will concern the same topic, meaning that integration processes are required. Moreover, one of those emails might also require evaluation skills. Consequently, the task of dealing with a real-life inbox would require both integration and evaluation processes. Similar examples can be found for different combinations of cognitive tasks. Even though such combined tasks are typical in everyday life, assessment items should focus on a single cognitive task, avoiding a mixture of cognitive tasks within any one item. Only then will an item’s difficulty stem from a single cognitive task, such as integrating or evaluating information. Such a procedure appears to have advantages for the specificity of items, which is necessary to ensure that test scores appropriately reflect all five cognitive tasks.

Second Goal: Item Implementation

Issues in performance assessment.

Messick (1994) identified various issues in performance assessment. These issues focus on the central question of how to develop an assessment that maximizes construct representations and minimizes the irrelevant variance over and above the construct-relevant variance. These two problems are considered important because they can threaten construct validity. The crucial task of ensuring that test scores accurately measure the targeted skills guides not only item writing but also development. The following section begins by addressing emerging development issues and then makes decisions about them with an eye to ensuring that test scores can be interpreted as intended.

The first issue refers to the question of whether authentic or simulation-based environments should be used. ICT skills can be measured directly if the assessment uses the same technology that would be used in the situation making up the assessment target. In this case, the test situation would elicit the cognitive processes underlying the specific ICT skills intended to be assessed. However, according to Mislevy, a “higher fidelity of real-world situation does not necessary make for better assessment” ( Mislevy, 2013 p.108). In the context of ICT skills assessment, reasons for favoring simulation environments rather than tasks in fully authentic settings can include the variety of existing operating systems, versions, and programs. Individual’s response behavior and associated test scores can only be compared if the test-takers are equally unfamiliar or familiar with an operating system or a certain software program. This requires either having each test-taker use the software he or she is most familiar with or utilizing simulation environments that abstract away from the systems test-takers use in everyday life. Simulation environments create a highly controlled testing situation that allows for measuring and comparing not only response outcomes but also interaction behavior. This is not possible in test formats in which different test-takers complete the tasks in different settings or test-takers have different levels of familiarity with the system. Furthermore, simulation environments can likely be used for a longer period of time, while real-life operating systems become outdated as soon as a newer version is released, or meaning that tasks involving these newer versions are no longer comparable to previous assessments. Moreover, we argue that adapting to new systems (such as the simulation environment) is an integral part of ICT skills. Hence, using a simulation environment should not add irrelevant variance to the construct and not conflict with the construct interpretation.

However, how to construct a simulation environment–which is always limited to certain extent–in order to evoke authentic processes that arise in ICT environments should be carefully thought out. Test developers need to decide which aspects of the target task should be modeled in the simulation environment and which can be omitted ( Mislevy, 2013 ). First, the item’s level of task complexity should be defined. Messick (1994) describes task complexity along a continuum from structured to open-ended tasks. Structured tasks are efficient, while open-ended tasks might have higher domain coverage. However, open-ended and other highly complex tasks tend to be administered as standalone measures rather than as part of larger assessments (cf. Parshall et al., 2002 , p.10). Note that this continuum from structured to open-ended assessment can refer both to the presented task and to the response mode (cf. Messick, 1994 ). We first consider the presented stimulus. A highly structured task guides cognitive processes in the intended direction, resulting in either a correct or an incorrect solution. In contrast, an open-ended task allows for a variety of reactions, including behavior that is largely unrelated to the targeted cognitive processes and therefore not of interest to the test developers. In problem-solving theory, the complexity of a task is described not in terms of structured vs. open-ended tasks but in terms of well-vs. ill-defined problems ( Simon and Newell, 1971 ; OECD, 2012 ). When solving ill-defined problems, test-takers must first construct the problem space before they can engage in problem-solving activities, with both steps understood as part of problem-solving. Such open-ended tasks or ill-defined problems bear the risk that some test-takers might get lost, especially if they are not sure of how to solve the task. This could particularly affect test-takers who solve the item incorrectly. Highly structured tasks might be easier to solve than open-ended tasks because they provide guidance to test-takers in constructing a problem space.

Moreover, irrespective of the complexity of the stimulus, response modes can vary in the degree to which they are constrained ( Messick, 1994 ), and can range from highly selective to constructive ( Scalise and Gifford, 2006 ). Selective response formats within ICT environments can still be highly authentic–think of selecting the format in which a document should be saved from a drop-down menu. Constructive formats, on the other hand, might have test-takers enter text into an input field, edit a text, or produce a diagram. While it is quite easy to log test-taker’s behavior in simulated tasks, making sense of and interpreting such behavior can be quite challenging. Consequently, interpreting test-taker’s behavior in constructive tasks should be considered from an early stage (cf. Mislevy et al., 2002 ). Focusing on the intended interpretation during the item construction phase can provide clear directions on how to score test-taker’s behavior when completing the assessment ( Mislevy et al., 2002 ).

The aforementioned points focus on how authentic cognitive processes can be evoked during test-taker’s interaction with a simulation environment. Simulation environments are always limited to certain extent, and test-takers becoming aware of these limitations might disrupt the emergence of authentic cognitive processes to a certain extent.

Design Principles

In order to evoke authentic processes, the implementation of ICT skills items should therefore seek to 1) give test-takers the impression that they are working within a complete environment for as long as possible, and 2) guide test-takers to the critical aspects of the task. Implementation issues can arise concerning the construction of the stimulus and the response format. While highly structured tasks provide more guidance to test-takers, less structured tasks may be necessary to represent certain construct-relevant aspects. Remaining oriented (cf. van Deursen, 2010 ; van Deursen and van Dijk, 2014 ) is an ICT-specific demand related to accessing information and conducting an unstructured search in a browser and might therefore represent an important construct-related aspect. In such a case, clear task instructions should ensure that the intended cognitive processes are indeed evoked despite the relative lack of guidance within the task.

A further problem with less structured tasks is that test-takers might spend far more time on the item than intended, especially if they are unable to find the correct solution. Time limits on the item level could help out here. However, this could have the disadvantage of disrupting test-takers from the simulation by providing feedback on their performance. Therefore, we instead seek to avoid breaking away from the simulation environment for as long as possible in order to avoid breaking the simulation effect for the test-taker. This includes having the test-taker proceed autonomously from one item to the next. Nevertheless, clear task instructions and as much guidance as possible should prevent test-takers from losing their way. In addition, as long as test-taker’s behavior remains closely linked to the task, they should not encounter restrictions in the task environment. On the other hand, aspects that are completely unrelated to the task solution can be omitted.

To fully represent the ICT skills construct, a variety of different cognitive tasks (e.g., access and evaluation tasks) involving different tools (e.g., spreadsheet and email software) are needed. However, covering such a broad spectrum of performance tasks can lead to a very heterogeneous item set. This can be very demanding for the test-taker, because the instructions have to be read carefully and the functioning of different tools in an unknown simulation environment have to be understood. If test-takers give up at early stages of item processing because they are disengaged or discouraged, this would conflict with the intended test score interpretation. Restricting items to only construct-related aspects should prevent items from becoming too complex and thus discouraging test-takers. In turn, this should prevent irrelevant variance from being added to the construct.

In addition, the response format should not disrupt the simulation effect, but should rather evoke the same cognitive processes as in realistic settings. For example, responses should be given within the simulated environment rather than on a separate answer sheet (e.g., in the form of multiple-choice questions on a separate platform). Test-taker’s behavior within an item can be captured with constructive (typing) but also selective (clicking a button or using a drop-down menu) response formats. Hence, forwarding an e-mail after evaluating its relevance for another person should be preferred to simply checking the e-mails that should be forwarded in a multiple-choice format. Such authentic response formats should not add irrelevant variance to the construct. In order to maintain the simulation effect, options for both correct and incorrect response behavior should be included in the simulated environment, while aspects irrelevant to the correct or incorrect item solutions can be omitted. Clearly distinguishing between different cognitive tasks and clearly focusing on ICT-specific knowledge and skills in the item development phase can help test developments clearly specific what the target behavior is and how it should be scored. Table 1 contains information on the response formats chosen for the prototypical items.

Third Goal: Application and Evaluation of the Framework

After specifying a framework for how items measuring ICT skills should be developed and implemented, we then applied the framework to develop and implement an ICT skills performance test for 15-year-old students.

Empirical Research Questions

The first and second goals of this paper concerned developing items based on a theory-based assessment framework and providing first evidence that the resulting test scores can be interpreted as intended (i.e., construct interpretation). The third goal is to also provide empirical evidence that the test scores validly measure the intended construct.

Item Difficulties

All five cognitive ICT tasks are considered important for fully capturing the broad construct of ICT skills. Consequently, each cognitive ICT task should be addressed with items representing the full difficulty range (i.e., easy, medium, and hard). For instance, if the items for a particular cognitive task all exhibited high difficulty, the assessment framework would not be helpful for manipulating item difficulty systematically. Thus, our first empirical research question examines whether the items for the five cognitive ICT tasks are comparable and equally distributed across the difficulty range. This research question tests validity evidence based on the internal structure ( American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ).

Research Question 1 : Are the items for all five cognitive ICT tasks comparable and equally distributed across the item difficulty range?

Test-Taking Process

Messick (1994) differentiates between performance and product. As behavior constitutes the link between the cognitive processes executed during the item solution process and the item scores, our second research question asks: Do test-takers exhibit the expected response behavior? This research question examines validity evidence based on response processes ( American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ).

Response processes should be represented in the test scores ( Embretson, 1983 ; Messick, 1994 ). If, for instance, some test-takers solve an item without taking into account all of the presented information, they did not execute the intended cognitive process, meaning that the derived scores would not be a valid measure of these cognitive processes. Cognitive processes become somewhat visible in test-taker’s interactions with items.

Research Question 2a : Does the number of test-takers’ interactions with items indicate that the intended cognitive processes were executed in all items?

Disengagement can also threaten the validity of test score interpretations. Disengagement is especially problematic in low-stakes assessments and can be identified by analysing response behavior ( Goldhammer et al., 2017 ; Wise, 2017 ). If a considerable number of test-takers exhibit rapid guessing behavior, meaning that they gave up at an early stage of item processing, this could point to motivational issues among test-takers for certain items ( Goldhammer et al., 2017 ; Wise, 2017 ). Scores from these items would then also represent motivational aspects, adding irrelevant variance to the construct ( Messick, 1994 ).

Research Question 2b : Does time use within items indicate that many test-takers gave up too early on certain items?

Performance assessments with no time limits on the item level also bear the risk that some test-takers will spend too much time on certain items, especially if they cannot find the correct solution. If test-takers get lost within an item and simply run up the time clock while no longer interacting with it productively, test efficiency is threatened. In particular, test-takers might spend more time on less structured items–both those who solve the item correctly and those who solve it incorrectly. This does not threaten the validity of the test score interpretation, because exploring the environment can be seen as part of the ICT skills construct, but can be problematic in terms of test efficiency. Moreover, one goal of item construction was to ensure the test-takers do not get lost within items.

Research Question 2c : Does time use in items indicate that many test-takers spent too much time on certain items?

Seven item developers reciprocally reviewed item drafts to ensure that only items fitting within the framework and focusing on one of identified cognitive ICT tasks were included. Items were initially developed to capture one of the five cognitive tasks. They were then contextualized (cf. Messick, 1994 ) and embedded within either a personal, educational, or occupational situation. Moreover, some items reflected solely individual tasks, while others involved communicating with others, like sending an email. The item developers also specified the expected item difficulties and provided justifications for these (cf. Table 1 ). For item construction, the CBA ItemBuilder software was used ( Rölke, 2012 ) to created simulated environments (e.g., a browser, e-mail inbox, word processing software, etc.) and implement the scoring rules. Cognitive interviews were conducted to ensure the user-friendliness of the testing environment and the clarity of all elements of the newly developed items (for a fully implemented item, see: Engelhardt et al., 2017 ; for further information about the study, see: Wenzel et al., 2016 ).

Sample and Data Collection

The sample consisted of N = 773 students from 34 schools in Germany. Volunteer schools equipped with suitable computers were selected from the two federal states of Baden-Württemberg and Rhineland-Palatinate. Students were 15.29°years old ( SD = 0.66) on average and about half of them were male (male: 51%, female: 46%, not specified: 3%). Each test-taker received randomized subsets of items, as it would have taken too much time for test-takers to answer all 70 items. Eleven different item subsets were assembled based on a balanced incomplete booklet design ( Frey et al., 2009 ). Test-takers worked on each item for an average of M = 108.24 s ( SD = 42.00). The items were scored dichotomously (correct/incorrect) immediately after a response was given, and indicators of response behavior (i.e., number of interactions, time spent on task) were automatically extracted from the log data file. Omitted items (no test-taker interaction at all) were excluded from the analyses based on response behavior (test-taker interactions and time use).

Data Analyses

A one-dimensional Rasch model was fitted using the R package TAM ( Kiefer et al., 2016 ; R Core Team, 2014 ), with the mean of the ability distribution set to 0 and the slope of the item characteristic curves set to 1 (in other words, the ability variance was freely estimated). One item was excluded due to an insufficient item fit (outfit: 2.18; cf. De Ayala, 2013 ); for all other items, the item fit was acceptable (range of infit: 0.87–1.11; range of outfit: 0.67–1.25). The expected a priori (EAP) reliability for the remaining 69 items was 0.70. To answer the first empirical research question, Levene’s test for homogeneity of variance was conducted for the items assessing the five cognitive tasks, with the item difficulties as the dependent variable and the cognitive tasks (access, manage, integrate, evaluate, create) as independent variables. Similarly, an ANOVA was calculated to examine whether the mean item difficulties differed between the five cognitive tasks.

To answer the second empirical research question, we examined two behavioral indicators to detect malfunctioning items, test-taker interactions and time use. To address Research Question 2a, the number of test-takers interactions among test-takers who solved the item correctly was examined, because these test-takers should have applied the intended cognitive processes. First, the smallest number of interactions that led to a correct solution was calculated for each item. This number was compared to an item-specific threshold, the theoretical minimum of interactions necessary to solve the item if executing the intended cognitive processes. If some test-takers required fewer interactions than the theoretical minimum, this indicates that some test-takers were able to solve the item correctly without performing the intended cognitive processes. Consequently, scores on this item could not be validly interpreted with respect to these intended cognitive processes.

Second, the amount of time test-takers who solved the item incorrectly engaged with each item was used as an indicator to detect malfunctioning items. The first quartile was used to identify item disengagement (Research Question 2b) in order to evaluate the behavior of a considerable number of test-takers. Their time use was compared to the fastest test-taker who solved the item correctly (cf. Goldhammer et al., 2017 ), which served as an item-specific threshold. If many test-takers spent far less time on this item and thus gave up at early stages, this could indicate disengagement, which threatens the validity of the test score interpretation.

To identify whether test-takers tended to get lost in certain items (Research Question 2c), the third quartile of time use was used to capture a considerable number of test-takers who spent a longer amount of time on the item. This indicator was compared to an item-specific threshold representing the slowest test-taker who solved the item correctly. In order to ensure that this measure was not affected by outliers who spent an inordinate amount of time on the item, outliers were excluded following the boxplot logic. Rather the examining the maximum time spent among test-takers who achieved a correct answer, the highest whisker was used as the threshold.

Results and Conclusions for Item Revision

The 69 items had an average difficulty of M = 0.38 ( SD = 1.56) and were distributed across a wide difficulty range ( Min = -2.84; Max = 4.27). Based on the results of the ANOVA (F (4, 64) = 1.12, p = 0.356) and the Levene test (F (4, 64) = 0.13, p = 0.971), the hypothesis of comparable item difficulties and homogeneous variances of the item parameter estimates across the five cognitive tasks could be confirmed (see also Figure 1 ).The results provide empirical support that the item development and construction process was successful with regard to the representativeness of all five cognitive tasks. Hence, test scores can be interpreted as representing ICT skills, defined as encompassing the five aforementioned cognitive ICT tasks. This represents support for the validity of the test score interpretation based on internal structure ( American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ).

FIGURE 1 . Empricial item difficulties for items assessing the five cognitive tasks.

Figure 2 (cf. Research Question 2a) compares the theoretically assumed correct solution behavior (dashed line) and the empirically observed number of interactions (bar) for each of the 69 items. The dashed line describes the minimum number of test-takers’ interactions with items necessary for a correct item solution if all expected cognitive processes were executed. The interesting part of this figure concerns the cases in which the left ends of the bars (shortest correct item solution in the observed data) cross the dashed line.

FIGURE 2 . Empirical number of test-taker interactions in correct item responses.

In four items, test-takers achieved a correct solution with fewer interactions than expected. For two of these items (those with an expected minimum of 3 and 6, respectively), the log data file indicated that the test aborted just after the item was solved correctly. Thus, navigation to the next item was not included in the count of test-taker interactions for these test-takers, but was included in the item-specific threshold. This does not indicate a problem with item construction, and presumably occurred due to the global time limit, which stopped the test after 60 min. However, this was not the case for the other two items (those with an expected minimum of 8 and 11, respectively). These two items concerned the cognitive task of integrating information and were of medium difficulty (0.06 and 0.47). Both tasks asked test-takers to visit two different websites, compare the information available on each, and choose one. Thus, it was possible to solve this item with a lucky guess after having visited only one of the two websites. This happened in 9.45% and 25.56% of the correct solutions, respectively, indicating that these items should be revised for validity issues, because many test-takers did not perform the expected cognitive processes but were still able to the item correctly. Different options for revision are possible. 1) To encourage test-takers to apply the intended cognitive process (integration of information), test-takers could be more clearly instructed to first visit both websites. 2) The item scoring could be adjusted to include behavior as well: a correct response can only be coded if only if a test-taker selected the correct website after having visiting both. This second option should be implemented to ensure that scoring is valid. Please note that lucky guesses would still be possible in this case, but the inclusion of behavior in item scoring at least increases the chance of obtaining a valid test score. Whether the instructions should be adjusted (Option 1) depends on what the item score is intended to capture: only whether test-takers can compare websites or also whether test-takers recognize that they need to visit both websites in order to solve the task correctly. The latter could also be understood as part of the ICT skills construct, and its inclusion might increase the difficulty of an integrate item.

Figure 3A (Research Question 2b) compares the time spent on the item among test-takers who solved the item incorrectly (bars) compared to the fastest test-taker who solved the item correctly (bisecting, dashed line) for each of the 69 items. Items are sorted on the y -axis according to the fastest correct solution. The interesting part of this figure concerns cases in which the left ends of the bars (first quartile of time spent on item) intersect the dashed line. This indicates that a considerable number of test-takers (more than 25%) gave up on this item before the first person was able to achieve a correct solution.

FIGURE 3 . Empirical time use for incorrect item responses compared to fastest (A) and slowest (B) correct response.

According to Figure 3A , many test-takers gave up at an early stage for six items. These six items were all rather time-consuming (compare position on y -axis) in terms of the fastest correct item solution. Five of the six items were also rather hard (item difficulties greater than 2.37). Three of these six items concerned the cognitive task of integrating information, two items managing, and one item accessing. The test-taker’s reasons for giving up might have been 1) these item’s expected time intensity; 2) negative expectations of success due to the expected item difficulty, described by Goldhammer and colleagues ( Goldhammer et al., 2017 ) as “informed disengagement” (p. 21); or 3) because these items might have seemed cognitively demanding for test-takers, which is likely at least for the integrate items, because dealing with information overload is an ICT-specific challenge in such items ( Simpson and Prusak, 1995 ; Edmunds and Morris, 2000 ; Chen et al., 2011 ). Irrespective of the reason, such behavior calls into question the validity of the resulting test scores, because a higher test score would then also represent the decision to grapple with time-consuming, hard, or cognitively challenging items. Shortening or reducing the complexity of these six items could help to remove irrelevant variance (cf. Messick, 1994 ), which would also have the side effect of improving test efficiency due to the amount of time required to solve such items.

Figure 3B (Research Question 2c) compares the time spent on each item among those who solved it incorrectly (bar) compared to the slowest person who solved it correctly (bisecting, dashed line), not including outliers, for each of the 69 items. Items were sorted on the y -axis according to this slowest correct solution. The interesting part of this figure concerns cases in which the right ends of the bars intersect the dashed line, as this would indicate that many test-takers got lost when trying to solve the item. According to Figure 2 , this was the case for one item, an access item. As ICT-specific challenges in accessing information include a feeling of disorientation on the Internet ( van Deursen, 2010 ; van Deursen and van Dijk, 2014 ), this behavior does not threaten the validity of test score interpretation. Still, this item could be revised in order to increase efficiency.

General Discussion

The goal of this study was to propose a theoretical framework to inform theory-driven item development and implementation for the performance-based assessment of ICT skills. The described framework extends previous work by anchoring five cognitive ICT tasks, which had previously solely been defined operationally, into established theories. These five cognitive tasks were described in terms of what drives item difficulty and what important ICT-specific knowledge should be included in corresponding items. Proceeding from a definition of the construct intended to be measured, guiding principles for item implementation were derived and an empirical evaluation of the framework was conducted.

The proposed framework allowed us to evenly measure the targeted construct of ICT skills, as indicated by comparable ranges of item difficulties for all five cognitive ICT tasks (Research Question 1). Behavioral indicators were developed and extracted to evaluate the suitability of the framework and the guiding principles for item implementation. Based on the empirical analyses, most test-takers behaved as intended in most–but not all–items. These results allow conclusions to be drawn both in terms of concrete item revisions and with respect to assumptions for the item development process. Two items should be revised to ensure that the intended cognitive processes are executed (Research Question 2a). For these two items, scoring should consider not only the outcome of the task completion process (correct/incorrect response), but also behavior indicating whether important cognitive processes were actually performed. This conclusion can be applied more generally to performance assessment items to ensure the validity of the test score interpretation. Six items could be revised to ensure that motivational issues, like avoiding grappling with challenging or time-intensive items, are not represented in the test scores (Research Question 2b). This could be achieved by reducing needless item complexity. As a guiding principle, item revision should be rooted in a stronger focus on the ICT-specific difficulty. As a positive side effect, reducing complexity could also increase efficiency in terms of testing time. Getting lost (and thus wasting testing time on unproductive behavior) seemed to only be a problem for one item, even though no time limits were set on the item level (Research Question 2c). Based on the empirical results, giving up on items at early stages (Research Question 2b) seems to be a more serious problem than getting lost (Research Question 2c).

Indicators Derived from Test-Taking Behavior

Computer-based performance assessments are nowadays the rule rather than the exception, and allow test developers to focus not only on the outcome (e.g., scored response) but also solution behavior during the task solution process ( Messick, 1994 ). When focusing on task performance, log data files or even already extracted indicators may be available. In this study, test-taker interactions and processing times were used. These indicators are often available in computer-based studies and can be calculated for any item independent of its content. For more homogeneous items like questionnaire data, the complete log data file might provide a more detailed picture of response processes. In such a case, for instance, the log data could be filtered based on theoretical process models ( Kroehne and Goldhammer, 2018 ). However, the ICT skills items used in this study are very heterogeneous. ICT skills items encompass different cognitive tasks, such as accessing or evaluating information; are based on different applications, such as email software or websites; require different numbers and kinds of interactions (clicking or typing); and are differently time-consuming. This means that different log data files are produced for each ICT skills item. Hence, analyses can be only conducted for each item separately or by using general indicators, as was the case in this study.

In order to draw conclusions about malfunctioning items and necessary item revisions, item-specific indicators as well as item-specific thresholds for detecting malfunctioning items were calculated. These indicators and thresholds are generic and can be applied to any performance item for which test-taker interactions and processing times are available. Three approaches were used: (a) The empirical minimum number of test-taker interactions among test-takers obtaining a correct answer (indicator) was compared to an item-specific theoretical minimum of test-taker interactions necessary for a test-taker executing all intended cognitive processes (threshold). This approach makes it possible to identify items in which the intended cognitive processes were not executed. (b) The first quartile of time spent on a given item was calculated for persons who solved the item incorrectly (indicator) and compared to the fastest person who solved the item correctly (threshold). This approach (cf. Goldhammer et al., 2017 ) makes it possible to identify items in which a considerable number of test-takers gave up at a very early stage–potentially due to disengagement. (c) The third quartile of time spent on a given item was calculated for persons who solved the item incorrectly (indicator) and compared to the slowest person who solved the item correctly (threshold), not taking into account outliers. This approach makes it possible to identify items in which a considerable number of test-takers got lost.

In the present study, all three indicators pointed to items that should be revised. Interestingly, infit and outfit statistics did not identify these items, supporting the notion that heterogeneous, performance-based items might require more detailed, item-specific analyses. As an advantage compared to item fit statistics, the indicators used in this study also lead to conclusions on how to revise these problematic items in order to improve the validity of the test score interpretation. More effortful and item-specific in-depth analyses can now be conducted and could focus on whether sub-goals were reached or which kinds of mistakes test-takers made.

In this study, the two indicators and three approaches applied led to the identification of different items. In items in which cognitive processes are reflected by test-taker interactions, such as navigating through a simulated environment, interactions might be a good indicator of malfunctioning. Note, however, that interactions do not necessary indicate that test-takers reasoned about the material because interactions can be also performed rather quickly (cf. rapid guessing behavior) or can occur unintended, without representing a unique cognitive step, such as when a user inadvertently clicks next to a button rather than on it. In items in which cognitive processes are not at all linked to navigational steps, but rather involve the mental processing of information, test-taker interactions might be less meaningful. In such cases, processing times might be more informative, although they do not necessarily mean that the test-taker reasoned about the item for this full amount of time. These indicators are of course non-exhaustive and do not guarantee that items function well. They also do not replace classical analyses like item fits or differential item functioning, but rather complement them. We assume that such analyses are very useful to get a first impression of whether performance items have been successfully constructed or whether and how to revise those items.

Further Evidence for the Validity of Test Score Interpretations

This study provided evidence for the validity of the targeted test score interpretation based on the internal structure by analyzing and comparing the distributions of item difficulties for all five cognitive tasks, and based on response processes by analyzing response behavior in terms of interactions and testing time ( American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ). However, these empirical analyses cannot be regarded as sufficient evidence for the validity of the test score interpretation.

The assessment framework suggests further test of the validity of the test score interpretations that should be conducted. First, the fact that the definition of ICT skills refers to other constructs suggests analyzing convergent sources of validity evidence, namely the relations with ICT-specific variables as well as problem-solving and reading comprehension (validity evidence based on relation to other variables; American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ). In an empirical study ( Engelhardt et al., 2020 ), positive relations between ICT skills items and reading and problem-solving skills as well as technical knowledge were reported. As expected, the effect of technical knowledge tended to be stronger for harder items, but not the effect of the conventional skills of reading and problem-solving skills, supporting the assumption that ICT-specific knowledge rather than reading or problem-solving skills requirements should drive item difficulty. Furthermore, the assumed role of problem-solving skills with respect to interacting with the environment was supported, because item-specific effects of problem-solving were moderated by the number of unique test-taker interactions.

The developed ICT skills test is intended to measure higher-order ICT skills. Higher-order ICT skills include not only skills in operating technology (e.g., sending an email) but also making ICT-specific decisions (e.g., how to treat an email based on knowledge about characteristics of spam). Whether these decisions do indeed contribute to item difficulty was investigated in an experimental validation study ( Engelhardt et al., 2017 ). Manipulating the difficulty of these decisions did indeed change the item difficulties–in both directions–without changing the construct interpretation. Items in which such decisions were eliminated were not only easier but partially measured a different construct. This supports the notion that ICT-specific decisions drive item difficulty and are also important for test score interpretation. This study provided validity evidence based on response processes ( American Educational Research Association, American Psychological Association, and National Council on Measurement in Education [AERA, APA and NCME], 2014 ). Consequently, these two empirical studies provide support that ICT skills items contain difficulties resulting from the need to apply ICT-specific knowledge. They thus empirically support the interplay between conventional skills and ICT-specific knowledge described above (see Interplay with ICT-specific Knowledge ).

Target Group of the Assessment

In the present research, the ICT skills items were developed to measure ICT skills in a defined population, 15-year-old students. This target group naturally influenced item development, for example, regarding the linguistic presentation of the items, their contextualization, and the targeted difficulty level. According to prior empirical research, younger individuals have higher photo-visual skills and fewer operational or formal skill-related problems compared to older individuals, but perform worse when it comes to evaluating information ( Lorenzen, 2001 ; Eshet-Alkalai and Amichai-Hamburger, 2004 ; van Deursen and van Dijk, 2009 ; Eshet-Alkalai and Chajut, 2010 ). Therefore, it is likely that the item difficulties would change if the items developed here were presented to individuals from different age groups or with different levels of education. In addition, a different sample might take more or less time to solve the items due to the differences mentioned above–for instance, more or fewer problems with operational or formal skills. Accordingly, if these items were to be used in a different age group, further evidence on the validity of the intended test score interpretations would need to be collected. If the item difficulty of a few items had to be adjusted, one approach might be to change the amount of ICT-specific knowledge required (cf. Engelhardt et al., 2017 ). Further adaptations for different target groups could concern the linguistic presentation of the items and their contextualization. Consequently, item development and outcomes may also depend on sample characteristics such as age or education level. However, we consider the assessment framework, design principles, and even the presented strategies for considering test-taker behavior to be independent of the sample characteristics.

In the present study, we demonstrated that allegedly new domains such as ICT skills can be related back to theories concerning well-established constructs. Design principles completed the foundation of the item development process. We assume that the presented approach to item development and implementation is useful not only for assessing ICT skills, but also other contemporary constructs, such as 21st century skills, assessed in computer-based simulations. Moreover, we assume that the presented strategies for analyzing test-taking behavior, namely comparing empirical test-taker interactions and processing times to a theoretically defined minimum, could be useful for screening item functioning and that the presented approaches can be applied to performance items from other domains.

Data Availability Statement

The raw data supporting the conclusions of this article will be made available by the authors, without undue reservation.

Ethics Statement

Ethical review and approval was not required for the study on human participants in accordance with the local legislation and institutional requirements. Written informed consent to participate in this study was provided by the participants' legal guardian/next of kin.

Author Contributions

LE, JN, FG, AF, HH, KH, and FW developed the Assessment Framework which served as basis for the development and implementation of items. LE wrote the first draft of the manuscript and discussed it with JN, FG, AF, HH, KH, and FW. LE developed and applied the approaches for the empirical analyses and discussed them with JN, FG, and AF, who also contributed to the revision in terms of language and content. LE, JN, FG, AF, HH, KH, and FW approved the final version of the manuscript for submission.

This work was supported by the German Federal Ministry of Education and Research (grant numbers: 01LSA010, 01LSA010A, 01LSA010B). The publication of this article was funded by the Open Access Fund of the Leibniz Association.

Conflict of Interest

The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

Acknowledgments

Some of this manuscript’s content was previously published as part of LE’s dissertation ( Engelhardt, 2018 ).

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Keywords: information and communication technology skills, assessment framework, performance items, validation, behavioral indicators

Citation: Engelhardt L, Naumann J, Goldhammer F, Frey A, Horz H, Hartig K and Wenzel SFC (2021) Development and Evaluation of a Framework for the Performance-Based Testing of ICT Skills. Front. Educ. 6:668860. doi: 10.3389/feduc.2021.668860

Received: 17 February 2021; Accepted: 27 April 2021; Published: 13 May 2021.

Reviewed by:

Copyright © 2021 Engelhardt, Naumann, Goldhammer, Frey, Horz, Hartig and Wenzel. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

*Correspondence: Lena Engelhardt, [email protected]

• Review article
• Open access
• Published: 04 May 2021

Research frameworks, methodologies, and assessment methods concerning the adaptive reuse of architectural heritage: a review

• Yuan Li   ORCID: orcid.org/0000-0002-6747-8549 1 , 2 ,
• Long Zhao 1 , 2 ,
• Jingxiong Huang 1 , 2 &
• Andrew Law 3  

Built Heritage volume  5 , Article number:  6 ( 2021 ) Cite this article

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With the growing trend towards preserving global architectural heritage, the adaptive reuse of built heritage buildings is becoming increasingly popular; as commentators have noted, this popularity can in part be attributed to the economic, cultural, and social benefits they provide to urban communities. In considering adaptive reuse, urban developers and planners seek to reach an equilibrium in the battle between time and space. Both academically and practically, the adaptive reuse of heritage buildings requires compatible, appropriate, and scientific means for assessing built heritage assets; however, currently, research in this area is still relatively meagre. To address this gap, this paper investigates research frameworks, methodologies, and assessment methods that concern the adaptive reuse of architectural heritage. In this paper, we examine the current literature on the paradigms for applying mixed methodologies: the multi-criteria decision model (MCDM) and the preference measurement model (PMM). Specifically, in examining the extant literature, we explore the ways in which these methods are discussed, compared, and evaluated, and the positive functions of these methods are also highlighted. In addition, this review examines a range of cases to better clarify the research frameworks, methodologies, and assessment methods used in the study of the adaptive reuse of architectural heritage.

1 Introduction

The adaptive reuse of architectural heritage is about negotiating the transition from the past to the future to secure the historical transfer of heritage assets while also meeting the needs of the contemporary world (Chapman 2004 ). As a focus in scholarship, the adaptive reuse of architectural heritage has become increasingly linked to political and scientific deliberations (Panwar and Thapliyal 2017 ). Academic debates concerning the adaptive reuse of architectural heritage usually refer to those discussions that consider the delicate relationship between heritage preservation and sustainable development, social experiments or approaches to heritage management, adaptive reuse guidelines and the enforcement of preservation plans, and debates concerning the political, economic, and environmental implications of architectural heritage.

While there are many debates in these fields, commentators generally agree that architectural heritage often makes up the core of urban historical resources and is often the carrier of urban cultural values. Moreover, commentators within these debates also often concur that the adaptive reuse of architectural heritage gives new life to old buildings and has the potential to help future generations understand their genealogies, including a greater understanding of historical change (Misirlisoy and Gunce 2016 ). Academically speaking, the value of heritage buildings can be evaluated through multiple lenses. Indeed, some of these lenses include methods for defining standards and innovative protection technologies for restoration and repair, guidelines for the overall management of adaptive reuse, and the establishment of appropriate decision-making systems for selecting the best strategy for adaptive reuse. However, as we have seen, the main problem concerning the adaptive reuse of architectural heritage in the field of conservation is the lack of methods to analyse architectural and historical values, which very often leads to a reliance on individual experience in the process of functional implementation (Günce and Misirlisoy 2014 ).

Based on the above discussion, this study is concerned with research frameworks for, methodological approaches to, and assessment methods for the adaptive reuse of architectural heritage. The study is divided into four sections. Section 2 discusses the research value of architectural heritage in terms of space and a linear spatiotemporal structure. Section 3 presents a discussion of the research frameworks that are associated with different methodological approaches to and assessment methods for adaptive reuse. Section 4 provides a comprehensive review of the extant literature (2010–2020), and specifically, we investigate the progressive evolution of adaptive reuse and sustainable development with a focus on assessment methods so that we might begin to understand their differences and their applications within a multidisciplinary background. Based on this review, this paper offers a detailed analysis of the key methodologies and methods that facilitate the adaptive reuse of architectural heritage. Furthermore, this study also discusses the effectiveness and limitations of the selected methods we recommend. Finally, in Section 5 , we conclude the paper with some outgoing thoughts and suggestions regarding ongoing issues in relation to the assessment methods we analyse.

2 Adaptive reuse of architectural heritage: the space between past and present

Theoretically speaking, architectural heritage has historic, documentary, archaeological, economic, social, and even political and spiritual or symbolic value (Dümcke and Gnedovsky 2013 ). Architectural heritage can be a symbol of cultural identity and continuity (Feilden 2007 ) within the physical environment, but architectural heritage can also work as a social, cultural, and historical sponge that absorbs everything relevant to the culture, traditions, beliefs, thoughts, religion, ideology, and habits of a society. Heritage, like history, is not a mirror image of the past but is a contemporary use or representation of the past for the present (Sham 2015 ; Law and Qin 2017 ). Architectural heritage is therefore important for discussions concerning the ways in which we remember the past (Wang 2017 ). Thus, architectural heritage plays a role in tracing urban evolution and represents heritage conservation endeavours within a social frame. When adaptive reuse approaches are applied to heritage buildings (Fig.  1 ), they not only protect the building but also seek to conserve the effort, skill, and dedication of the original builders (Bullen and Love 2009 , 2011 ). The adaptive reuse of architectural heritage seeks to reach a balance between the conservation of buildings and the need to meet contemporary demands, especially spatial and economic demands. Through compatible reuse and appropriate assessment methods, architectural heritage buildings can retain their original facades, historical patterns, layouts, architectural elements, and historical associations while also making a valuable contribution to a modern urban environment and meeting the functional requirements associated with that environment.

Historic blocks and their components in the modern era with an adaptive reuse and sustainable development orientation ( a Zhangzhou Old Town 2015; b Pingyao Old Town 2018; c George Town 2019). (Source: The author)

The concept of adaptive reuse itself has a sustainability orientation, which needs to be guided by scientific frameworks, methodologies, and methods. Using a bibliometric analysis combined with Scopus and VOSviewer, 208 papers (from 2010 to 2020) were selected using the words ‘sustainable AND heritage AND reuse’. As shown in Fig.  2 below, many studies have attempted to combine heritage, adaptive reuse, and sustainable development into a holistic approach to conservation and development. It is worth noting that beginning in approximately 2018–2020, scholars have begun to pay attention to ‘strategic approaches’, ‘assessment methods’, ‘multi-criteria analyses’, ‘decision-making processes’, ‘design strategies’, ‘human engineering’, etc. (Marked yellow in Fig.  2 ). These studies are extensions of previous studies on ‘sustainable development’, ‘sustainability’, ‘adaptive reuse’, and ‘historical preservation’ between 2010 and 2017; specifically, as we suggest below, these studies have maintained a considerable degree of relevance to the current field of adaptive reuse in that they have advanced its theoretical development. Therefore, we contend below that the study of research frameworks, methodologies, and assessment methods related to ‘sustainable development’, ‘sustainability’, and ‘adaptive reuse’ will be an important aspect of the development of the extant field in the next few years. As shown in Fig.  3 below, the item density in previous studies reflects these growing topics, which are increasing gradually as hot spots; indeed, as the scatter gram demonstrates, these hot spots are based on ‘sustainable development’, ‘sustainability’ and ‘adaptive reuse’.

Research topics and progress concerning sustainable development, architectural heritage, and adaptive reuse from 2010 to 2020. (Source: The author 2021)

Item density in previous studies, 2010–2020. (Source: The author 2021)

Essentially, value plays a dominant role in the process of adaptive reuse. The use of heritage assets based on systematic value evaluations will benefit the sustainability of regional and historical cultural resources. Researchers such as İpekoğlu ( 2006 ) state that the factors that cause architectural heritage to be defined as peculiar urban heritage assets and the evolutionary change in architectural heritage on spatiotemporal linear structures should be considered holistically. Indeed, İpekoğlu contends that ‘evaluation studies … are essential in the context of conservation plans, [and] are inevitable phases to determine the principles of the plans’ (İpekoğlu 2006 , 386–394). For example, Yıldırım and Turan ( 2012 ) propose two types of reuse methods in the study of traditional houses in Sanliurfa, Turkey. In their study, the implementation of adaptive reuse is approached in terms of 1) compatible reuse and 2) most appropriate reuse. Considering the religious histories and heritage value of traditional Sanliurfa houses, the author conducted an assessment of compatible reuse based on four dimensions: artistic value, historical value, social value, and scientific value. Hettema and Egberts ( 2019 ) analyse and compare three small shipyards in northwest Europe and propose that the reuse of shipyards provides an opportunity to restore the historical relationship between the town and water. Other types of adaptable reuse methods have been developed by the Danish landscape architect Ellen Braae, who uses a qualitative methodology based on differentiation, continuation, cultivation, and optimisation.

Overall, heritage conservationists and researchers hold the belief that a successful adaptation involves a degree of respect for the existing historical character of a heritage building while also allowing for a change in function that will enhance the character of a building (instead of destroying it) (Department of the Environment and Heritage, Australian Government 2004 ). As Pendlebury ( 2008 ) states, architectural conservation has paradigmatically shifted from a singular focus on protection or preservation to an adaptive reuse approach related to sustainable development and regional growth; from Pendlebury’s perspective then, heritage is essentially a cultural practice and social process. Therefore, before the implementation of any adaptive reuse project, it is necessary to conduct a comprehensive assessment of the architectural heritage, as strategies respond to new functions.

3 Current frameworks for research on adaptive reuse through the lens of sustainable development

Many current research frameworks proceed with concern for issues of adaptive reuse at the urban or state scale. Discussions concerning research frameworks often present an interdisciplinary and multi-dimensional conceptual model. In essence, the adaptive reuse of architectural heritage provides innovation opportunities for the social, cultural, functional, environmental, and financial needs of the community where the heritage site is located. Moreover, the adaptive reuse of architectural heritage often offers sustainable development solutions to improve local economies, environments and social conditions (Shehata et al. 2015 ); in this regard, issues of adaptive reuse are tied up with broader discussions about creating balances among social, cultural, functional, environmental, and economic sustainability-based goals. Although researchers have proposed a range of research frameworks for consideration, it is still difficult to strike a balance between the various goals we have addressed in the delivery of adaptive reuse projects. Moreover, the increasing emphasis on adaptive reuse is partly due to the criticisms that many have raised against the practice of renewal and the reutilisation of heritage buildings; indeed, as commentators have argued, current attempts to adapt heritage buildings are too narrow in their scope, and they often fail to reflect the breadth and depth of local history, culture, and society.

Sustainable development, however, is also a complex and contested issue, but on most occasions, discussions and explorations about adaptive reuse always stand on the ground of sustainability theories. Here, in what follows, we select a range of research frameworks as the basis for understanding adaptive reuse in the context of sustainable development. In particular, in taking this approach, we seek to highlight the discussions, debates, and critiques in the scholarship that are based on Campbell’s planner’s triangle of sustainable planning, social sustainability, the UNESCO historic urban landscape (HUL) approach, the EU’s holistic four domain approach, and the heritage conservation policy matrix. These models and approaches primarily focus on sustainability within discussions of different dimensions, and characteristically, they are subordinate to an integral, holistic, and object-based approach. As conceptual action guides, or perhaps more precisely, methodological frameworks, they highlight multiple values in achieving a positive vision of sustainable development through the process of justification and assessment in the study of adaptive reuse issues.

Any framework that contributes to the reuse of heritage buildings should incorporate criteria that ensure that adaptive reuse will not affect heritage values and that it will reconcile historic preservation and sustainable design. In terms of sustainability, adaptive reuse is grounded in an integrated and coordinated research framework. Very often, in regard to sustainability issues, a typical debate involves weighing the reciprocal relationships among social, economic, and environmental actors; furthermore, such research often seeks to balance issues of justice and development conflicts through cooperation and the distribution of different benefits. Such a relationship, as shown in Fig.  4 , is represented by Scott D. Campbell’s planner’s triangle, which explores the links between sustainability and urbanisation that reflect perceptions of sustainability as both tensile and resilient in multilevel governance. The planner’s triangle for sustainable development involves three basic priorities for planning. Adaptive reuse requires a macro perspective, including considerations of economic development, environmental protection, social justice, and equity. Campbell ( 2016 ) states that resources, property, and development are three interrelated points of conflict. These points of conflict are subject to the positive orientations of society and political institutions, including social welfare, environmental issues, the economy, supervision, and environmental justice. Correspondingly, cross-conflict collaboration is represented by diagonal lines on the triangle. These corresponding links (in italics) play a role in building the relationships between the three points of conflict. In architectural heritage planning, it is helpful to alleviate and resolve the social issues caused by these conflicts. This triangular framework also provides a holistic reference plan for planning, collaborating on, and evaluating the adaptive reuse of architectural heritage. According to this view, sustainability can be treated as an ongoing process of resolving conflicts among these three broad planning goals, and the adaptive reuse of architectural heritage has been amplified to become a way to solve social problems, especially those arising in the renewal of old urban areas, old industrial areas and abandoned industrial towns. Campbell’s triangle, when applied to the topic of the adaptive reuse of architectural heritage, encompasses internal linkages, external sustainability variables, and interchangeable goals that are in line with the descriptions of UNESCO’s sustainable development agenda.

Planner’s triangle for sustainable development by Scott D. Campbell. (Source: Campbell 2016 ; Modified and Redrawn by the author 2019)

The assessment of the adaptive reuse of architectural heritage is a comprehensive multi-interest process that involves not only the maintenance of historical, economic, scientific, and aesthetic values, etc., but also includes mid- to long-term development visions combined with planning strategies. As Fayad and Kendal ( 2020 ) argue, ideal strategic planning practices are often closely linked to local histories and look forward to future visions and demands. From the perspective of planners, Townsend ( 2015 ) believes that contemporary strategic planning theories and adaptive reuse have the same goals and require a comprehensive method for evaluation. In fact, for Townsend, this comprehensive approach is based on an interdisciplinary approach, which emphasises the internal and external connections across nature, place, the economy, the community, and psychology. Returning to the topic of the adaptive reuse of architectural heritage, the process of reuse needs to be based on a comprehensive assessment of the values, histories, visions, and communities that exist around the architectural heritage. As shown in Fig.  5 , Townsend’s five main indicators include a range of sub-indicators that integrate planning practices and the adaptive reuse of architectural heritage as a whole. On a conceptual level, Townsend’s circle includes different dimensions and is a logical model of coordination and symbiosis. Moreover, Townsend’s circle suggests a model for the structure of planning and conservation methods in which place, planning (participatory and interdisciplinary action), assessment and conservation can be conceived within a broader sustainability framework. With a greater consideration of the adaptive reuse of architectural heritage in the planning process, changes and shifts are continuously integrated into an overall development agenda; here, within Townsend’s model, the formation of a final plan would work with multiple sustainable development indicators to resolve the complex issue of the adaptive reuse of architectural heritage within a particular urban history and geography (place). In Townsend’s circle, planning aligns with adaptive reuse, which imposes an integrated focus to ensure that scientific and rational goals are met while also conserving the tangible and intangible features that are significant to the sustainability of the city and its overall urbanscape.

Contemporary strategic planning theory aligns with the objectives of adaptive reuse by Townsend. (Source: Townsend 2015 ; Redrawn by the author 2021)

In addition to Campbell’s planner’s triangle and Townsend’s circle, other scholars have highlighted the human dimension and have focused on the social relevance of conservation and sustainability. In doing so, as outlined below (Fig.  6 ), Vallance et al. ( 2011 ) present a threefold, progressive model of social sustainability (development sustainability, bridge sustainability, and maintenance sustainability) for the exploration, development, bridging, and maintenance of social sustainability. This model captures the essence of sustainability in social realms and emphasises the reciprocal relationships between both society and sustainability, as well as the conceptual and practical conflicts that emerge. The maintenance of sustainability in Suzanne Vallance et al.’s framework is relevant to the socio-cultural aspect of overall social sustainability; specifically, Vallance et al.’s framework concerns the preservation of socio-cultural patterns and practices in the context of constant social and economic change (Vallance et al. 2011 ). Consequently, within this framework, daily lives are maintained and sustained through a collaborative process that involves different aspects of the urban fabric, as well as the adapted buildings the stakeholders live in. Fundamentally, this approach to sustainability as a cultural tool incorporates development sustainability and bridge sustainability to enable social sustainability; indeed, within this framework, issues that have been neglected in the economic and environmental dimensions are smoothed and reconciled.

Three strands of social sustainability. (Source: Vallance et al. 2011 ; Redrawn by the author 2020)

The UNESCO Recommendation on the Historic Urban Landscape (the HUL approach) ( 2011 ), as a flexible instrument with culture- or heritage-led development concepts, encompasses ideas of adaptation, dissemination, and monitoring (Boom 2018 ). It provides a holistic framework for the conservation and utilisation of large-scale heritage spaces. The adaptive use of architectural heritage has become an important factor in maintaining the landscape quality of historic towns. The HUL approach emphasises the importance of cultural diversity, dynamic integrity, and creativity, which creates higher standards for the adaptive reuse of architectural heritage at different scales in the city. The positioning of heritage properties has also risen from regional historical relics to key assets for the socio-economic and cultural development of places, cities, countries, and even the whole of humankind. In fact, the HUL approach emphasises the principles of harmony and continuity, which not only take into account ideas of the dynamic integration, harmony, and sustainability of interventions and heritage in the adaptive reuse process but also consider the continuity of historical backgrounds, cultural contexts, meanings, and heritage values. In terms of the particular implementation of this approach, specific assessment methods should be selected according to the characteristics and reuse potential of the architectural heritage in question. The HUL approach was fuelled by the sustainability vision of the 2011 UNESCO recommendation, which has been considered to be a comprehensive combination of a cluster of links between sustainable development and heritage conservation; furthermore, the HUL approach was also based on the concept of dynamic integrity, which is based on the notion that sustainability should strike balances between urban growth and quality of life (UNESCO 2011 ; Veldpaus 2015 ), heritage and the economy, and the time and space in multi-dimensional cross relations. This approach has been extended to heritage sites around the world to address the economic-versus-preservation conflicts that emerge in the process of managing heritage resources in dynamic and constantly changing environments. The HUL approach supports community efforts to seek long-term developments and adaptations to changing situations while preserving heritage characteristics and the intrinsic historic and aesthetic values associated with local history, collective memory, and the environment. As an important tool in making informed decisions for administrators and policymakers, the HUL approach is based on the interconnections between nature and culture, authenticity and integrity, tangibility and intangibility, public and private needs, and the historic and universal values present in the complex layering of the urban landscape and issues relating to cultural diversity.

The Cultural Heritage Counts for Europe consortium (Europa Nostra 2015 ) proposes a diagram for a holistic four-domain (cultural, social, environmental, economic) approach concerning sustainable development with various values, as shown in Fig.  7 ; this framework provides an impact assessment and serves as a basis for supporting the delivery of an ‘integrated policy approach to heritage’ in the European Union that guarantees that the multiple benefits of cultural heritage are realised in practice (Whitehand 2014 , pp. 477). The four domains cover a wide range of vibrant key fields or ‘creator’ attributes of sustainable development with actions related to credibility, availability, reliability, creativity, and innovation. Based on the framework presented in Fig.  7 , the sustainable development of Europe’s cultural heritage is constructed by a range of practical strategies, which include conservation-related construction (authenticity, the liveability of heritage assets); effective marketing strategies (investments, cultural tourism, marketing tools, small and medium-sized enterprises); the fostering of cultural creative quarters (start-ups, indirect and direct jobs, the promotion of creative industries) in regions, cities, towns, and areas; the nurturing of education and lifelong learning (history, civic belonging, skills, cooperation and personal development); and the construction of social capital (social cohesion, connections, interactions, participation and engagement, mutual understanding and integration).

The holistic four-domain approach diagram. (Source: Europa Nostra 2015 ; Redrawn by the author 2020)

Srinivas ( 2015 ) proposes a matrix for heritage conservation policy in order to achieve a good heritage conservation performance. In his opinion, there are two criteria for a good heritage conservation performance: first, the appreciation of the significance of heritage through the consideration of tangible and intangible attributes and second, the construction of conservation practices within larger processes of planning and urban development. In Fig.  8 , the x-axis measures dimensions concerning the combination of conservation and development from the perspective of heritage development and macro development within cities. The y-axis measures the direct and indirect benefits generated from policy-based heritage conservation at the community level and the city level separately. However, as Srinivas states, the contributing factors in the four quadrants are still insufficient, and a further complementary factor is needed. Even so, the x-axis and y-axis compose a coherent institutional framework. Indeed, the x-axis shows the consideration of development components in the policymaking process, while the y-axis outlines the real effects if policymaking is compatible with the interests of cities and communities.

Heritage conservation policy matrix. (Source: Srinivas 2015 ; Redrawn by the author 2019)

Macroscopically, however, the tensions, barriers, contradictions, conflicts, and imbalances, whether accidental or incidental, within architectural heritage interests are not hard to address within current approaches. At the same time, increasing pressure due to societal issues in historic cities has compounded the difficulty of resolving these tensions, barriers, contradictions, and conflicts. Many studies and projects conducted worldwide have provided abundant examples of how we might deal with these problems. In what follows, this paper offers an academic analysis of current research frameworks with disparate disciplinary roots; specifically, we examine the current methodologies and assessment methods from the macro and micro perspectives while also focusing on issues of sustainability so that we can begin to generate a strong model of and assessment process for the adaptive reuse of architectural heritage.

4 Methodology in research and assessment methods of adaptive reuse

Based on our discussions of space and the current research frameworks, in what follows, we suggest that methodology and assessment methods, as an assemblage for sustainable development and a secure foundation for decision-making, are indispensable components of a holistic strategy for adaptive reuse.

4.1 Discussions based on the mixed methodology during the research process

Mixed methodologies are very often employed by researchers in adaptive reuse studies. Compared with discrete quantitative and qualitative data collection approaches and analyses, mixed method-based approaches feature highly integrated collaborative analyses for the overall interpretation of quantitative and qualitative data (Wisdom and Creswell 2013 ). Moreover, the integration of qualitative and quantitative methodologies can occur at any stage of the research process through research models based on mixed methods; furthermore, this integrative approach allows for the construction of a holistic framework that can then be utilised for adaptive reuse assessments and an analysis of architectural heritage (Glogowska 2011 ). Based on this methodology in the study of adaptive reuse, an assessment would need an objective collection of quantitative data and describable qualitative data, which would then allow data from one source to complement and enhance the other during the analysis and discussion. Hence, at its most basic level, the advantage of complementarity, completeness, and validity means that this mixed-method approach can allow for a detailed exploration of complex phenomena, yielding valid and reliable insights that can guide practice.

Creswell ( 2010 ) outlines a mixed-method research framework that is made up of five domains (five MMR: essence, philosophical and theoretical issues, procedures, adoption and use, politicisation); this method particularly deals with key developments, issues, and priorities in the research process. Moreover, Cameron ( 2011 ) provides a five-Ps framework for mixed-method research that includes paradigms, pragmatism, praxis, proficiency, and publishing. In discussing the internal logic of the elements within mixed-method research, Morgan ( 2007 , pp. 48–76) summarizes an ‘abductive-intersubjective-transferable’ approach to explain and tease out such relationships; this approach links different kinds of data through data interchange and teamwork to generate cooperative and inclusive research results. Thus, the frameworks of Creswell and Cameron and the ‘pragmatic approach’ of Morgan each provide rather flexible and scientific starting points for the development and progression of research projects.

Using mixed methodologies is not a new approach. In the last two decades, an increasing number of studies have involved the combination of qualitative and quantitative methodologies in the field of architectural studies, urban planning, landscape architecture, heritage conservation and tourist development. Oppermann ( 2000 ) contends that in the research process, different types of data sets and investigators can be brought together through multiple methods (particularly in the study of tourism from interdisciplinary perspectives). Amaratunga et al. ( 2002 ) discuss the application of mixed methodologies in the field of the built environment. Likewise, Silva and Mosimane ( 2012 ) employ mixed-methods assessments in conservation-based rural development studies. McGehee and Andereck ( 2004 ) adopt this methodology in the study of sustainable tourism. González-Tennant ( 2013 ) adopts mixed methods in the study of social justice and the development of new heritage and dark tourism. Chilisa and Tsheko ( 2014 ) open the discourse on mixed-methods research on sustainable intervention outcomes relating to indigenous research. Molina-Azorín and Font ( 2016 ) and Khoo-Lattimore et al. ( 2019 ) adopt mixed methods in tourism research based on the sustainability and sustainable development perspectives. Berta, Bottero and Ferretti ( 2016 ) focus on industrial heritage and urban regeneration with a mixed-methods approach to studying the integration of urban design and economic evaluations. Overall, the above studies represent a broader concern and a scholarly trend that favours mixed methods in that such methods allow for the creation of in-depth information and the mapping of the trajectory of particular research approaches to specific research issues. However, researchers utilising mixed methods in the investigation of the adaptive reuse of architectural heritage are still limited in many respects, and in the next sections, we offer additional ways in which singular projects can be broadened.

4.2 Discussions based on the multi-criteria decision model (MCDM)

In responding to the interdisciplinary nature of adaptive reuse, projects need to be assessed in detail and comprehensively (Wang and Zeng 2010 ); therefore, deciding on new reuse functions for architectural heritage is a difficult problem. Indeed, the decision-making process is complex and diverse since many factors need to be considered (Misirlisoy and Gunce 2016 ). Some researchers use semi-structured interviews to handle these issues (Elsorady 2020 ); however, in many cases, researchers often choose a numerical model to quantify problems and propose solutions. According to Mazzanti ( 2002 ), analyses of the adaptive reuse of heritage building functions should consider architectural, historical, economic, social, environmental, and/or cultural values. Such an approach, therefore, requires a multi-criteria decision model (MCDM) based on multi-attribute value theory (MAVT), which can then be used to decide the best use and select the best function (Ferretti et al. 2014 ).

Among the models applied in the previous literature, the analytic hierarchy process (AHP), proposed by Saaty ( 1988 ), has been widely tested and used to resolve different decision-making problems. Decision situations to which the AHP can be applied include choice, ranking, prioritization, resource allocation, benchmarking, quality management and conflict resolution (Forman and Gass 2001 ). Ribera et al. ( 2020 ) chose the monumental Palazzo Genovese in Italy and used an AHP model to analyse the social, cultural, and economic value of the reuse function of this architectural heritage through multiple dimensions to obtain the highest valuation and best use. Fedorczak-Cisak et al. ( 2020 ) believe that many of the criteria used to evaluate reuse are interrelated and have a nonlinear nature, which requires a network-based model. Specifically, they use the FWINGS framework (fuzzy extensions on weighted influence non-linear gauge systems) to rank the uses (including issues relating to society, economics, and energy efficiency) of a heritage building in Poland. Bottero et al. ( 2019 ) focus on the issue of the adaptive reuse of heritage with a multi-criteria decision-making framework that supports particular perspectives and presents a novel application of the preference ranking organization method for the enrichment of evaluations (PROMETHEE). This method was also employed by Nadeau and Landry ( 1986 ) to design and implement adaptive reuse functions and strategies for heritage buildings in Italy. The model evaluated the performance of nine heritage buildings in seven types of adaptive reuse functions, after which the ranking of the adaptive reuse functions of those heritage buildings was formulated as a reference for decision-making.

However, Pavlovskis et al. ( 2019 ) believe that the accuracy of traditional MCDMs needs to be improved, and they particularly suggest the use of BIM (building information modelling) to build a 3D model as a data source. Combining scores from different experts to establish a weighted aggregated sum product assessment (WASPAS) model, Pavlovskis et al. ( 2019 ) rank the alternative reuse functions of heritage buildings. Vardopoulos ( 2019 ) combines fuzzy theory with DEMATEL (decision making trail and evaluation laboratory) to evaluate the reuse functions of the FIX Brewery in Greece. Importantly, this model was also used to support decision-making based on the criteria of social, cultural, economic, and environmental factors. Considering the hierarchical dependence existing in the traditional AHP method, Chen et al. ( 2018 ) use a fuzzy Delphi method to interview experts. In addition to this approach, they also employ a structural modelling method known as an analytic network process (ANP), which was developed by Saaty and Vargas ( 2006 ), to explore the best reuse alternatives and strategies for a heritage building in Taipei. They use ANP to determine the priority of the criteria and cases, and specifically, they clarify the impact of the change through sensitivity analyses. Their results reveal that community activities are the most suitable reuse alternative for heritage buildings, followed by commercial, educational, exhibition-based, and mixed-use functions.

Figure  9 illustrates several comparative MCDM applications involving the adaptive reuse of heritage buildings. MCDM is applied in the adaptive reuse of heritage buildings mainly to deal with complex decisions involving multiple criteria. These models are based on expert opinion and quantify the specific results obtained from the value analysis mentioned before. In addition to considering a set of possible decision-making alternatives with their defined characteristics, these models can also process data describing the attributes and indicator values of heritage buildings; moreover, these models allow for the ranking of alternatives according to indicators or attribute values corresponding to different reuse functions to obtain an optimal solution. In general, the wide application of MCDM within research on the adaptive reuse of heritage buildings proves the necessity of decision-making when considering the reuse and changing functions of a heritage building. The application of MCDM also demonstrates the possibility of multi-group participation and can solve qualitative decision-making problems by providing quantitative data. Thus, MCDM is an important tool for decision-making institutions, evaluators, and other agents when facing adaptive reuse agendas for a heritage site.

MCDM applications involving the adaptive reuse of heritage buildings. (Source: The author 2020)

However, although scholars may have introduced fuzzy set methods to improve the degree of objectivity and the accuracy of the models’ evaluation results, MCDMs still rely on expert opinion. Indeed, score determination and the accuracy of the assessment results may be affected by the invited scorers (Mualam and Alterman 2020 ). Considering the representativeness of the decision-making issues and the experts’ opinions, MCDM is mostly used to determine the rank of adaptive reuses of heritage buildings or to provide a reference scheme. Advanced researchers have frequently developed five-level models for selecting projects based on ANP, or they have used fuzzy theory to evaluate adaptive reuse projects in the face of uncertainty in the evaluations.

4.3 Discussions based on the preference measurement model (PMM)

Over the past two decades, due to the rise of ‘bottom-up’ research methods in the field of heritage protection, public participation in the decision-making process has become a new issue for investigators (Yung and Chan 2011 ). In particular, researchers have been troubled by expert scoring methods, which do not seem to capture the expressions and interests of stakeholders. Moreover, investigators have also noted that the public may lack adequate knowledge about heritage conservation, which can prevent the public from participating in decision-making mechanisms (Coeterier 2002 ). The European Leader Association for Rural Development ( 2016 ) stated that ‘[the] bottom-up (BU) processing approach means that local actors participate in decision-making about the strategy and in the selection of the priorities to be pursued in their local area’. This approach is therefore focused on community participation, and it is worth noting that the bottom-up processing approach is not considered to be an alternative to (or even in opposition to) the top-down (TD) processing approach; rather, the bottom-up processing approach is seen as incorporating the TD approach, with ideas from both of these approaches being combined and interacting. Both approaches are united in that they both seek to identify the coupling mechanisms among adaptive reuse, preservation, sustainability, and architectural heritage.

Khadka and Vacik ( 2012 ) compare the top-down and bottom-up approaches in the identification of criteria and indicators; in particular, Khadka and Vacik suggest that some of the content, for example, the involvement of multi-way cooperation and the combination of the TD and BU approaches, can be used in research processes for adaptive reuse, as shown in Table  1 . Moreover, these authors suggest that a range of steps are present in the BU process, which encompasses expert-driven and community-driven inputs that can be treated as mutual references. Sokołowicz and Przygodzki ( 2020 ) provide a good example of these new bottom-up methods. They introduce interdisciplinary research methods to supplement the decision-making process related to the adaptive reuse of heritage buildings from an economic perspective. Visitors’ willingness to pay (WTP) can be measured and used to maximise the value of heritage buildings as supplementary content. Specifically, Sokołowicz and Przygodzki ( 2020 ) take a twentieth-century post-socialist train station in Poland as a case study and use a three-stage assessment method to understand residents’ and visitors’ views of these heritage buildings and their preferences for adaptive reuses. Having conducted the study, they propose that research into people’s WTP should be the first step for further in-depth research on the adaptive reuse of heritage buildings.

According to the people-centred (PC) approach, ‘cultural heritage has been created by people and it has been created for people’ (ICCROM 2015 ). Taking a people-centred approach in adaptive reuse studies not only includes increasing participation in the management, decision-making mechanisms, reuse, and space optimization of architectural heritage but also includes involving individuals or groups that are related to the heritage properties. The inclusion of people forms an integral part of the overall system of sustainable development (ICCROM 2015 ) and retains the focus on sustainable development’s more qualitative and humanistic characteristics. Contextualized within the background of PC development, existing research is very frequently conducted through questionnaires and/or interviews. In addition to common direct scoring methods, there are semantic differential (SD) methods, stated preference (SP) tools, and means-end chain (MEC) apparatuses.

In practice, the direct scoring and SD methods ask interviewees to score existing scenarios in order to find their preferences based on different algorithms. Of the two, ‘the direct scoring method asks decision-makers to specify numerical values for the expected performance of decision alternatives measured against multiple objectives’ (Suedel, Kim, and Banks 2009 , 3). Najd et al. ( 2015 ) conduct a study of public perceptions to identify the visual preferences of international tourists for the historic centre of Kuala Lumpur. They use a five-point Likert scale (1 = not preferred and 5 = most preferred) to explore visitors’ preferences ( n  = 308) in combination with photo-based questionnaires (objective evaluations) and text-based short descriptions (subjective evaluations) based on a convenience sampling method. The qualitative and quantitative data are analysed through a descriptive analysis, data reduction techniques, principal component analysis with Varimax rotation and Kaiser normalization, and content analysis. From the perspective of an analytical method, their approach is based on the human perspective so as to explore the optimal use and rational protection of architectural heritage. Consequently, the results of their study remind developers that the appearance and legibility of architectural heritage play an important role in demonstrating the characteristics of historic districts. In the historic environment, architectural heritage is the most obvious factor contributing to legibility. Once the adaptive reuse of architectural heritage is carried out, the architectural heritage itself and its surrounding environment must continue to conform to its historical characteristics in order to preserve the legibility of the heritage assets (Najd et al. 2015 ). Stober et al. ( 2018 ) use a Likert scale to investigate the preferences of domestic tourists for visiting pustara settlements. Their approach differs from that of Deghati Najd, Ismail, and Maulan, et al. in that they focus on quantitative data while employing absolute and relative frequencies. Indeed, Stober, Brkanić, and Lončar employ this approach so that they can generate categorical data and use the median and interquartile ranges to calculate numerical data; moreover, this approach allows them to test the normality of the distributions of the numeric variables and the differences between the numeric variables in independent groups. Furthermore, by employing three or more groups of variables, Stober, Brkanić, and Lončar can use the Shapiro-Wilk test, the Mann-Whitney U test, and the Kruskal-Wallis test. With their analysis of the visitors’ responses, they rank the most interesting heritage content in the area. To some extent, the total score acts as a reference concerning the functional adjustment of architectural heritage and can also be used to guide the restoration of heritage buildings.

According to Osgood et al. ( 1957 ), SD analysis mainly includes three factors: evaluation, potency, and activity. In practical applications, the number of factors to be included, including either one or three at the same time, may be selected on the basis of the research purposes. However, it is customary to use three or more measures for each factor. SD methods allow for the adoption of an auxiliary decision-making effect on the adaptive reuse of different heritage buildings based on real-world experiences. At the core of the SD method is the semantic differential scale, which creates a series of two-way adjective scales based on comparisons of different scenarios. This scale requires respondents to answer a series of pre-set questions to capture their feelings related to their understanding of particular words. It is essentially a method of quantitative subjective evaluation used to obtain respondents’ preferences for decision-making references. Kang and Zhang ( 2002 ) conduct semantic differential analysis on the soundscapes of open urban public spaces, and they conduct their study in three stages. Specifically, Kang and Zhang utilise a pilot study, more detailed interviews, and several soundscape walks to examine the differences between designers and the general public. Ma et al. ( 2018 ) conduct a systematic review concerning semantic differential method applications to indoor and outdoor sounds through the use of meta-analysis; specifically, their study analyses the human perceptual dimensions of sound and their corresponding content. Through a systematic review, their study provides suggestions for the use of the SD method in the investigation of specific issues; indeed, in their research, the SD method is adopted to evaluate sounds and their corresponding acoustic indexes within indoor and outdoor environments in combination with the psychological perceptions of the occupants; these methods therefore provide data to support the spatial optimization of an acoustic environment or habitat. This approach also has implications for adaptive reuse in that it provides insights into perception evaluations 1) of individuals and groups for spaces or of individuals and groups for heritage values and 2) of individuals and groups for the historical background of the environment in the assessment process. Shao et al. ( 2019 ) use SD methods to conduct a survey with 16 adjectives to identify the views of 84 participants concerning 18 buildings from Asian and European countries. Through participants’ opinions on comparisons of adaptive reuse designs and through the results of semi-structured interviews, they propose that adaptively reusing old buildings may be better than building new buildings. In addition, according to the SD survey, architects have a responsibility to lead efforts towards sustainable and creative lifestyles in the future.

However, SD methods are based on factual and realistic behaviours, which do not play a role in the evaluation of preferences for the adaptive reuse of heritage buildings that the public has not visited or cannot visit. In contrast, SP methods can be used to design virtual scenarios based on the different levels of different influencing factors to build a discrete choice model for respondents. At the core of the SP method is random utility theory. This theory is based on the idea that researchers can build a discrete choice model by selecting several element items and levels and can then collect visitors’ behaviour preferences for virtual scenes using conditional logit models or multinomial logit models to fit respondents’ preferences for different scenarios. These models obtain utility values corresponding to different element levels and assist decision-making by calculating the utility values of different adaptive reuse schemes for heritage buildings (Kroes and Sheldon 1988 ). Glumac and Islam ( 2020 ) use Eindhoven as a case study and use SP methods to generate a model (including six attributes of housing preferences) to measure users’ preferences for adaptive reuses of heritage buildings. The research results show the occupants’ preferences for space and experiences after renovations. Additionally, the researchers verify their results for the users’ preferences. Based on their research and verification results, the researchers explore adaptive reuse frameworks to be able to promote an efficient and economically sustainable framework. The reuse of architectural heritage provides references for evaluation methods, utilisation intensity, and occupants’ acceptance. Oppio et al. ( 2017 ) establish an SP model to support the design of adaptive reuse strategies for three—mostly unused—castles in northern Italy by carrying out choice experiments. These experiments use the attributes of multi-functionality, conservation, exclusivity, interaction, and the costs of inhabitants and tourists in order to understand the preferences of residents and tourists and their willingness to pay for different adaptive reuse functions.

In contrast to the SD method mentioned above, the MEC method uses interviews as the main tool in the research process. Means-end chain theory predominantly represents three cognitive levels of abstraction that are hierarchical in nature: attributes (means), consequences, and values (ends) (McIntosh and Thyne 2005 ). This method is based on the idea that personal value is the ultimate outcome that motivates goal-seeking behaviour in people. This method uses a series of pre-set questions to obtain the interviewee’s preferences for product attributes and the resulting product benefits. This forms a chain of means and ends, and as a result, the researcher can learn how interviewees are attracted to different attributes in order to understand their preferences. The application of means-end chain theory is also related to the adaptive reuse of architectural heritage within a heritage preservation context in that this theory is often used to examine and investigate tourist perceptions and preferences (Katahenggam 2020 ; Lin and Fu 2020 ), visitor meanings and motivations (Wassenberg et al. 2015 ; Ho et al. 2015 ; Jiang et al. 2015 ; Esfandiar and Bapiri 2016 ), and heritage tourism experiences (Willson and McIntosh 2010 ; Abascal 2019 ; Bapiri et al. 2020 ; Tu 2020 ). Wassenberg, Goldenberg, and Soule employ the MEC method to investigate the links visitors make between sites (such as botanical gardens) in terms of their attributes, consequences, and values by conducting in-person interviews. Based on means-end theory, they form a means-end content code list, which they then apply to the participants’ responses to create hierarchical value maps (HVMs) (Klenosky 2002 ; Jiang et al. 2015 ; Abascal 2019 ). As McIntosh and Thyne ( 2005 ) state, the MEC method is employed by researchers to evaluate personal values related to tourism activities and experiences. These values are derived from the subjective evaluations of tourists. Through discourse and textual analysis, the influence of tourists’ individual values on their behaviour can be inferred to provide a further reference for spatial optimization. To some extent, such an application is similar to the adaptive reuse of architectural heritage in that both approaches use the MEC method to achieve their aims or obtain benefits; the MEC method can therefore be used by preservationists, architects, and planners to justify technical means and methods for adaptive reuse. Abascal ( 2019 ) employs the MEC method and convergent mixed-method approaches to identify the link between visitors’ perceptions and their intentions towards participation; as was done in Wassenberg’s research, an HVM is also created in Abascal’s study to interpret the perceptions and understand the motivations of individuals. Bapiri et al. ( 2020 ) combine visitor-employed photography (VEP) and the MEC method to identify chains of attributes, consequences, and values. Finally, based on the impact factors of visitor behaviour, Bapiri, Esfandiar, and Seyfi address issues around the fostering of heritage properties by extracting the personal meanings attributed to such cultural heritage sites.

Studies of human preferences also include further research on their decision-making preferences and heritage buildings. The comparison of preference measurement methods in Table 2 shows the differences between current investigations in studies of the adaptive reuse of heritage buildings. Of these methods, the SP method investigates the characteristics of preferences in the virtual environment (Abdullah et al. 2011 ). This method can accurately measure the influence of the different adaptive reuses of heritage buildings on visitors’ preferences and has good predictive power. In contrast, the SD method and the MEC method adopt different perspectives. The SD method is easier to discuss given its use of opposite adjectives in pairwise comparisons, while the MEC method involves the analysis of personal values and behaviour through interviews.

5 Conclusion

Overall, with urbanisation moving the global economy forward, increasing preservation, sustainable development within historic cities, and the changes in architectural heritage are perhaps only the outward manifestation of the problems we have discussed in this paper. Conventionally, architectural heritage practices are traditionally associated with four treatment techniques. These include preservation, rehabilitation, restoration, and reconstruction. Therefore, through an appropriate research framework, methodology, and assessment method, promising approaches to adaptive reuse that contain standards and guidelines can be applied and developed during a preservation project. This review brings together a cross-disciplinary collection of the major research frameworks and mixed research methodologies and a range of assessment methods (related to the adaptive reuse of architectural heritage) to construct a systematic description of and framework for analysis. By reviewing past research results from a range of interdisciplinary fields, this paper offers new ways to extend the adaptive utilisation of architectural heritage. On the one hand, this paper provides a variety of research methods for comprehensively and systematically assessing adaptive reuse, which facilitates the selection and adaptation of conservation strategies, such as minimal interventions, the reversibility of actions, liveability, sustainability, compatibility, and accessibility. On the other hand, this paper has sought to expand the depth and orientation of the existing research on the adaptive reuse of architectural heritage. The research frameworks, mixed research methodologies, and assessment methods (MCDM and PMM) could be extended to different architectural heritage scales and adaptive reuse studies with different perspectives in the future.

Availability of data and materials

Not applicable.

Abbreviations

Analytic hierarchy process

Analytic network process

Building information modelling

Decision making trail and evaluation laboratory

European Union

Mixed-Method Research Framework with Five Domains

Fuzzy extensions on weighted influence non-linear gauge system

Historic urban landscape

Multi-attribute value theory

• Multi-criteria decision model

Means-end chain

People-centred

• Preference measurement model

Preference Ranking Organization Method for Enrichment of Evaluations

Semantic differential

Stated preference

United Nations Educational, Scientific and Cultural Organization

Visitor-employed photography

Weighted aggregated sum product assessment

Willingness to pay

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Acknowledgements

This work was supported by the Natural Science Foundation of China (grant numbers 41671141), the Natural Science Fund of Fujian Province of China (2020J01011), Xiamen Science and Technology Bureau (grant numbers 3502Z20183005), Xiamen Construction Bureau (grant numbers XJK2019-1-9).

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Li, Y., Zhao, L., Huang, J. et al. Research frameworks, methodologies, and assessment methods concerning the adaptive reuse of architectural heritage: a review. Built Heritage 5 , 6 (2021). https://doi.org/10.1186/s43238-021-00025-x

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Multidisciplinary Design Under Uncertainty Framework of a Spacecraft and Trajectory for an Interplanetary Mission

Design under uncertainty (DUU) for spacecraft is crucial in ensuring mission success, especially given the criticality of their failure. To obtain a more realistic understanding of space systems, it is beneficial to holistically couple the modeling of the spacecraft and its trajectory as a multidisciplinary analysis (MDA). In this work, a MDA model is developed for an Earth-Mars mission by employing the general mission analysis tool (GMAT) to model the mission trajectory and rocket propulsion analysis (RPA) to design the engines. By utilizing this direct MDA model, the deterministic optimization (DO) of the system is performed first and yields a design that completed the mission in 307 days while requiring 475 kg of fuel. The direct MDA model is also integrated into a Monte Carlo simulation (MCS) to investigate the uncertainty quantification (UQ) of the spacecraft and trajectory system. When considering the combined uncertainty in the launch date for a 20-day window and the specific impulses, the time of flight ranges from 275 to 330 days and the total fuel consumption ranges from 475 to 950 kg. The spacecraft velocity exhibits deviations ranging from 2 to 4 km/s at any given instance in the Earth inertial frame. The amount of fuel consumed during the TCM ranges from 1 to 250 kg, while during the MOI, the amount of fuel consumed ranges from 350 to 810 kg. The usage of the direct MDA model for optimization and uncertainty quantification of the system can be computationally prohibitive for DUU. To address this challenge, the effectiveness of utilizing surrogate-based approaches for performing UQ is demonstrated, resulting in significantly lower computational costs. Gaussian processes (GP) models trained on data from the MDA model were implemented into the UQ framework and their results were compared to those of the direct MDA method. When considering the combined uncertainty from both sources, the surrogate-based method had a mean error of 1.67% and required only 29% of the computational time. When compared to the direct MDA, the time of flight range matched well. While the TCM and MOI fuel consumption ranges were smaller by 5 kg. These GP models were integrated into the DUU framework to perform reliability-based design optimization (RBDO) feasibly for the spacecraft and trajectory system. For the combined uncertainty, the DO design yielded a poor reliability of 54%, underscoring the necessity for performing RBDO. The DUU framework obtained a design with a significantly improved reliability of 99%, which required an additional 39.19 kg of fuel and also resulted in a reduced time of flight by 0.55 days.

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A risk assessment framework for the future of forest microbiomes in a changing climate

• C. E. Willing   ORCID: orcid.org/0000-0002-7563-242X 1 , 2   na1 ,
• P. T. Pellitier   ORCID: orcid.org/0000-0002-0226-0784 1   na1 ,
• M. E. Van Nuland 1 , 3 ,
• J. Alvarez-Manjarrez   ORCID: orcid.org/0000-0002-5581-7443 1 , 4 ,
• L. Berrios   ORCID: orcid.org/0000-0003-3888-9928 1 ,
• K. N. Chin 1 ,
• L. M. Villa   ORCID: orcid.org/0009-0006-7513-7580 1 ,
• J. J. Yeam   ORCID: orcid.org/0000-0002-4309-986X 1 ,
• S. D. Bourque 5 ,
• W. Tripp 5 ,
• V. O. Leshyk 6 &
• K. G. Peay   ORCID: orcid.org/0000-0002-7998-7412 1  

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• Microbiology

Microbes inhabiting the above- and belowground tissues of forest trees and soils play a critical role in the response of forest ecosystems to global climate change. However, generalizations about the vulnerability of the forest microbiome to climate change have been challenging due to responses that are often context dependent. Here we apply a risk assessment framework to evaluate microbial community vulnerability to climate change across forest ecosystems. We define factors that determine exposure risk and processes that amplify or buffer sensitivity to change, and describe feedback mechanisms that will modulate this exposure and sensitivity as climatic change progresses. This risk assessment approach unites microbial ecology and forest ecology to develop a more comprehensive understanding of forest vulnerability in the twenty-first century.

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Acknowledgements

We thank J. Dudney, R. Cruz de Hoyos, A. Guzman and R. Jackson for helpful feedback on this manuscript, and A. Venturini for help with translating our abstract into Portuguese for our readership. Additionally, we would like to thank D. Martinez for her input on potential synergies between Indigenous and Western science in the context of this article.

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Department of Biology, Stanford University, Stanford, CA, USA

C. E. Willing, P. T. Pellitier, M. E. Van Nuland, J. Alvarez-Manjarrez, L. Berrios, K. N. Chin, L. M. Villa, J. J. Yeam & K. G. Peay

University of Washington, School of Environmental and Forest Sciences, Seattle, WA, USA

C. E. Willing

Society for the Protection of Underground Networks (SPUN), Dover, DE, USA

M. E. Van Nuland

Micología Integral, Instituto de Biología, Universidad Nacional Autónoma de México, Mexico City, Mexico

J. Alvarez-Manjarrez

Karuk Tribe, Happy Camp, CA, USA

S. D. Bourque & W. Tripp

Center for Ecosystem Science and Society, Northern Arizona University, Flagstaff, AZ, USA

V. O. Leshyk

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C.E.W., P.T.P. and K.G.P. jointly conceived of the paper. C.E.W. and P.T.P. jointly wrote the paper with input from all co-authors. C.E.W. and P.T.P. share first authorship. C.E.W., L.M.V., S.D.B. and W.T. conceived of and wrote Box 1 . V.O.L. designed Fig. 1 with input from C.E.W. and P.T.P. C.E.W. designed Fig. 2 with input from M.E.V.N. and P.T.P. Figure 3 was designed by M.E.V.N., C.E.W. and J.A.-M. P.T.P. wrote Box 2 with input from call co-authors. Figure 4 was designed by C.E.W. and P.T.P. All authors have read and approved the final version of the paper.

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Willing, C.E., Pellitier, P.T., Van Nuland, M.E. et al. A risk assessment framework for the future of forest microbiomes in a changing climate. Nat. Clim. Chang. (2024). https://doi.org/10.1038/s41558-024-02000-7

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SEAS master's project, thesis address life cycle and carbon impact of maple syrup production

Image Caption Maple sap being transformed to maple syrup at a sugar shack.

In Fall 2022, the Center for Sustainable Systems (CSS) at the University of Michigan School for Environment and Sustainability (SEAS) received a $500,000 research grant through the  United States Department of Agriculture’s (USDA) Acer Access and Development Program to conduct a life cycle assessment (LCA) for maple syrup production. As a result of the grant, SEAS students worked on a master’s project and thesis centered on maple syrup production. Both of these projects were advised by CSS researcher and SEAS adjunct lecturer Geoffrey Lewis. 

SEAS students Jenna Weinstein, Zhu Zhu, Yuan-Chi Li and Thu Rain Yi Win were part of the master’s project team, which involved collaborating with maple syrup producers to produce a life cycle assessment model of maple syrup retail distribution.

SEAS student Spencer Checkoway worked in tandem with the master’s project team on his own thesis, which is focused on the carbon footprint of maple syrup production. 

According to Checkoway, a public life cycle assessment on maple syrup production had never been conducted prior to the LCA initiated by this grant funding.

Zhu, who is focused on the sustainable systems track at SEAS like his fellow master’s project colleagues, was interested in the master’s project because of the skills they could develop working on a LCA.

“I was very interested in understanding how to conduct a life cycle assessment and how to decarbonize the production cycle,” he said. 

Likewise, Weinstein felt like it was a great way to apply what she had learned in her sustainable systems classes to a real-world project. 

“Sustainable system courses focused on long-term thinking about the system impacts,” she said. “We are not just thinking about production in the scope of glass versus plastic, but we are thinking about the distribution impacts throughout each decision of the life cycle process.” 

Before looking at the impacts of maple syrup production or conducting an LCA, Weinstein noted that the team had to first understand what maple syrup entails by focusing on stakeholder engagement. 

Weinstein said the interviews with maple syrup producers were important because they allowed the students to shape their master’s project to the needs of the producers and to the skills they wanted to develop. 

“I have realized that even the most quantitative projects should still begin with stakeholder engagement to give context to whatever quantitative model you are creating in order to create an output that meets community needs,” she said. “If all an LCA is telling us is to use reverse osmosis, we are not getting at the deeper issue.”

Zhu saw that it was important for the team to understand each component of maple syrup from the producers so they could figure out what variables to include in the quantitative analysis component of the project.

“We did interviews with maple syrup producers to get data about packing materials, from the weight of materials to where they got materials,” he said. “We also wanted to know about their transportation methods.” 

The team used the original survey data they collected through interviews with maple syrup producers to model the LCA, Weinstein said.

“Based on the themes that we saw in the interviews, some people [on the team] focused on the theme of package distribution and addressing the central question of what are life cycle impacts of different package types,” she said. 

According to Weinstein, this model allows producers to input the decisions they are making in their sugar bush about their fuel sources, where it is located and the materials they are using. The model outputs an analysis of the life cycle and carbon impacts of the production.

Lewis said a life cycle assessment is an important component of the project because it will help to produce an online carbon footprint calculator tool, which is a deliverable the CSS promised in the grant application.

“In order to do [the online calculator tool] we have to understand the process of maple syrup production, and that varies by size of the producer,” he said. “We had to make sure the calculator can accommodate all variables, from how much wood a producer is using to how much tubing was installed, so anyone who makes syrup can go into the calculator with their parameters and equipment to determine the emissions per gallon of syrup they are producing.”

While the master’s project focused on modeling a maple syrup distribution model, Checkoway focused on the carbon footprint of maple syrup production for his thesis. 

Like the master’s project team, Checkoway began by meeting with maple syrup producers at maple syrup conferences in Michigan. He noted that the maple syrup producer community is an extremely collaborative and open community.

“I met with producers to build data around what sugar makers are doing and what practices they are performing,” he said. “These conferences are like trade shows, specific to maple syrup technology. There is a real exchange of information on topics from reverse osmosis to how to yield more sap or increase the production rates.”

Checkoway collected data focusing on carbon footprints and accounting. 

“Producers submitted each step of their production, as well as what equipment and fuel they were using,” he said. “They also submitted the water and solid waste they produced.”

With these data, Checkoway has worked on a carbon accounting model and published two reports for his thesis. According to Checkoway, this model will help to inform the online calculator tool.

“I built submodels that producers can access and use for specific processes to account for their carbon and energy emissions,” he said.  

Checkoway highlighted that the work funded by the grant, to aid in decarbonizing maple syrup production, is not complete. 

“The grant is funding three years of research,” he said. “The goal is to collect data from producers over three full seasons and produce an LCA to see how things are changing over those three years.”

Lewis hopes that the models created by the master’s project and thesis can be used to compare maple syrup production to the production of other sweeteners.

“Down the line, we could use these models to make comparisons with other sweeteners like corn syrup,” he said.

Checkoway said his thesis and the master’s project can create a collective body of work that allows maple syrup producers to make rational decisions about the sustainability of their product. 

“I hope that producers can look at [the models and calculator] and become aware of the climate impact of maple syrup to understand how they can mitigate those impacts,” he said. 

Weinstein views this project as an opportunity to empower maple syrup producers to make informed decisions with easily accessible information.

“We are trying to make it as easy as possible to give [producers] access to the best information possible,” she said. “This is a tool for them to take on the work of reducing their impacts to whatever extent they are willing to.” 

Lewis would like this project to raise the profile of maple syrup production, what is involved in making syrup, and how production can be done in a more sustainable way. 

“It takes a lot of energy to make maple syrup,” he said. “But what has been great about doing this project is that people always smile when they hear us talk about maple syrup.”

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A newly drawn congressional map in Louisiana was struck down by a panel of federal judges who found that the new boundaries, which form a second majority Black district in the state, amounted to an “impermissible racial gerrymander” that violated the Equal Protection Clause of the U.S. Constitution.

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Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 1 of 135 PageID #: 4891 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF LOUISIANA MONROE DIVISION PHILLIP CALLAIS, ET AL CIVIL DOCKET NO. 3:24-CV-00122 DCJ-CES-RRS THREE-JUDGE COURT VERSUS NANCY LANDRY, in her official capacity as Louisiana Secretary of State INJUNCTION AND REASONS FOR JUDGMENT Opinion of the Court by David C. Joseph and Robert R. Summerhays, District Judges. The present case involves a challenge to the current congressional redistricting map enacted in Louisiana on the grounds that one of the congressional districts created by the Louisiana State Legislature District 6 — is an impermissible racial gerrymander in violation of the Equal Protection Clause of the Fourteenth Amendment. This challenge reflects the tension between Section 2 of the Voting Rights Act and the Equal Protection Clause. The Voting Rights Act protects minority voters against dilution resulting from redistricting maps that “crack” or “pack” a large and "geographically compact" minority population. On the other hand, the Equal Protection Clause applies strict scrutiny to redistricting that is grounded predominately on race. The challenged Louisiana redistricting scheme originated in response to litigation brought under Section 2 of the Voting Rights Act in a separate suit filed in the United States District Court for the Middle District of Louisiana, challenging Louisiana's prior redistricting scheme under Section 2 of the Voting Rights Act. Page 1 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 2 of 135 PageID #: 4892 Robinson, et al v. Ardoin, No. 3:22-cv-211; consolidated with Galmon et al v. Ardoin, No. 3:22-cv-214 (M.D. La.) ("Robinson Docket”). There, the district court concluded that the Robinson plaintiffs were likely to succeed on the merits of their claim that Louisiana's prior redistricting plan violated Section 2 of the Voting Rights Act. In response, the Legislature adopted the present redistricting map (created by Senate Bill 8) ("SB8"), which established a second majority-Black congressional district to resolve the Robinson litigation. The plaintiffs here then filed the present case challenging this new congressional map on the grounds that the second majority- Black district created by the Legislature violates the Equal Protection Clause. This matter was tried before the three-judge panel from April 8-10, 2024. Having considered the testimony and evidence at trial, the arguments of counsel, and the applicable law, we conclude that District 6 of SB8 violates the Equal Protection Clause. Accordingly, the State is enjoined from using SB8 in any future elections. The Court's Opinion below constitutes its findings of fact and conclusions of law. The Court sets a status conference with all parties to discuss the appropriate remedy. A. I. PROCEDURAL AND HISTORICAL BACKGROUND The Hays Litigation "Those that fail to learn from history are doomed to repeat it." Winston Churchill Following the 1990 census, the Louisiana State Legislature (the "Legislature") enacted Act 42 of 1992, which created a new congressional voting map. Prior to the Act 42 map, Louisiana had seven congressional districts, one of which included a majority-Black voting population. Act 42 created a second majority-Black district. Page 2 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 3 of 135 PageID #: 4893 The existing majority-Black district encircled New Orleans, and the other, new one, "[l]ike the fictional swordsman Zorro, when making his signature mark, slash[ed] a giant but somewhat shaky 'Z' across the state.” Hays v. State of La., 839 F. Supp. 1188, 1199 (W.D. La. 1993), vacated sub nom. Louisiana v. Hays, 512 U.S. 1230, 114 S. Ct. 2731, 129 L.Ed.2d 853 (1994) ("Hays I"). Several voters challenged the scheme. After a trial, a three-judge panel of the Western District of Louisiana concluded that Act 42's plan violated the Equal Protection Clause of the Fourteenth Amendment of the United States Constitution, and accordingly enjoined the use of that plan in any future elections. Id. In 1993, while an appeal of the district court's findings in Hays I was pending before the Supreme Court of the United States, the Legislature repealed Act 42 and passed Act 1, creating a new map. Hays v. State of La., 862 F. Supp. 119, 125 (W.D. La. 1994), aff'd sub nom. St. Cyr v. Hays, 513 U.S. 1054, 115 S. Ct. 687, 130 L.Ed.2d 595 (1994), and vacated sub nom. United States v. Hays, 515 U.S. 737, 115 S. Ct. 2431, 132 L.Ed.2d 635 (1995) ("Hays II). The 1993 map, like the 1992 map, had two majority-African American districts. Id. One encircled New Orleans, while the other was long and narrow and slashed 250 miles in a southeasterly direction from Shreveport down to Baton Rouge. This district was described as resembling “an inkblot which has spread indiscriminately across the Louisiana map.” Id. Page 3 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 4 of 135 PageID #: 4894 5 LO 4 6 (Act 1) 7 3 1 2 PE22 (Map from Hays II). The Supreme Court vacated Hays I and remanded the case for further proceedings in light of the passage of Act 1. See Louisiana v. Hays, 512 U.S. 1230, 114 S. Ct. 2731, 129 L.Ed.2d 853 (1994). The panel of our colleagues making up that three-judge court determined that the Legislature had once again allowed race to predominant in the map's creation and declared Act 1 unconstitutional. Hays II at 121. The case was again appealed to the Supreme Court. Without addressing the merits of the case, the Supreme Court determined that the plaintiffs lacked standing to challenge Act 1 as they did not reside in the challenged district. United States v. Hays, 515 U.S. 737, 115 S. Ct. 2431, 132 L.Ed.2d 635 (1995). On remand, the three-judge panel permitted an amended complaint to address the standing issue. The court then reiterated its findings from Hays II that Act 1 Page 4 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 5 of 135 PageID #: 4895 constituted a racial gerrymander and was not narrowly tailored to further a compelling state interest. The court therefore found that Act 1 violated the Equal Protection Clause of the Fourteenth Amendment of the United States Constitution and ordered the state to implement a redistricting plan drawn by the court. Hays v. Louisiana, 936 F. Supp. 360 (W.D. La. 1996) (“Hays III”). B. 2020 Census and Events Leading up to the Robinson Litigation Based on the 2020 Census, Louisiana's population stood at 4,657,757 with a voting-age population of 3,570,548. JE6; JE15. As a result, the state qualified for six congressional districts one less district than it had during the Hays litigation, but the same number it was allotted after the 2010 Census. JE15. Prior to the start of the legislative session on redistricting, members of the Legislature traveled across the state conducting public hearings, called “roadshows,” to give the public the opportunity to voice their views on the redistricting process. See JE-3; see also Tr., Vol. III, 513:14–514:17. The roadshows were “designed to share information about redistricting and solicit public comment and testimony.” Robinson v. Ardoin, 605 F.Supp.3d 759, 767 (M.D. La. 2022), cert. granted before judgment, 142 S. Ct. 2892, 213 L.Ed.2d 1107 (2022), and cert. dismissed as improvidently granted, 143 S. Ct. 2654, 216 L.Ed.2d 1233 (2023), and vacated and remanded, 86 F.4th 574 (5th Cir. 2023) ("Robinson Injunction Ruling"). The Louisiana Senate Governmental Affairs and House Governmental Affairs conducted ten hearings as part of the roadshow across the state. Tr., Vol. II, 476:18– 25; Tr., Vol. III, 513:18–514:7. These hearings allowed citizens to testify on their redistricting preferences. Id. Senator Royce Duplessis, who served as Vice Chair of Page 5 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 6 of 135 PageID #: 4896 the House and Governmental Affairs Committee at the time, attended the roadshows and testified that “the purpose of the road shows was to give the public the opportunity to share their thoughts and what they wanted to see in redistricting.” Tr., Vol. III, 514:8–17. Louisiana ultimately enacted a new congressional map, created by House Bill 1 ("HB1"), on March 31, 2022. JE1. As with Louisiana's prior congressional map, HB1 had one majority-Black district. Louisiana Governor John Bel Edwards vetoed HB1, but the Legislature overrode that veto. Robinson Injunction Ruling at 767. 1 Act 5 (HB1) 1st ES (2022)- Congressional Districts 2022 Enacted Map (JE16). Page 6 of 60 EXHIBIT

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 7 of 135 PageID #: 4897 C. The Robinson Litigation On the same day that HB1 was enacted, a group of plaintiffs led by Press Robinson¹ (the “Robinson Plaintiffs"), and a second group of plaintiffs led by Edward Galmon, Sr.2 (the "Galmon Plaintiffs"), filed suit against the Louisiana Secretary of State in the United States District Court for the Middle District of Louisiana. Robinson Injunction Ruling at 768. The Middle District consolidated the Robinson and Galmon suits and allowed intervention by the President of the Louisiana State Senate, the Speaker of the Louisiana House of Representatives, and the Louisiana Attorney General. Id. at 768-69. The Robinson and Galmon Plaintiffs alleged that the congressional map created by HB1 diluted the votes of Black Louisianians in violation of Section 2 of the Voting Rights Act of 1965, 52 U.S.C. § 10301. Robinson Injunction Ruling at 768. This dilution was purportedly accomplished through "packing' large numbers of Black voters into a single majority-Black congressional district...and 'cracking' the remaining Black voters among the other five districts...to ensure they [would be] unable to participate equally in the electoral process.” Id. at 768. Both sets of plaintiffs sought a preliminary injunction that would prohibit the Secretary of State from using the HB1 map in the 2022 congressional elections, give the Legislature a deadline to enact a map that complied with the Voting Rights Act, and order the use 1 Press Robinson, Edgar Cage, Dorothy Nairne, Edwin Rene Soule, Alice Washington, Clee Earnest Lowe, Davante Lewis, Martha Davis, Ambrose Sims, National Association for the Advancement of Colored People ("NAACP") Louisiana State Conference, and Power Coalition for Equity and Justice. 2 Edward Galmon, Sr., Ciara Hart, Norris Henderson, and Tramelle Howard. Page 7 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 8 of 135 PageID #: 4898 of a map proposed by the plaintiffs in the event the Legislature failed to enact a compliant map. Id. at 769. The Middle District held an evidentiary hearing in the Robinson matter, beginning May 9, 2022. Robinson Injunction Ruling at 769. On June 6, 2022, the court issued a preliminary injunction finding that the Robinson and Galmon Plaintiffs were likely to prevail on their Section 2 vote dilution claims. Id. at 851-52. The Middle District further determined that a new compliant voting map could be drawn without disrupting the 2022 election. Id. at 856. Accordingly, the Middle District entered an order enjoining the Secretary of State from conducting elections using the HB1 map, ordered the Legislature to enact a new voting map that included a second majority-Black voting district by June 20, 2022, and stayed the state's nominating petition deadline until July 8, 2022. Robinson Injunction Ruling at 858. In the event the Legislature failed to enact a new map before the deadline, the Middle District set an evidentiary hearing for June 29, 2022, regarding which map should be used in its place. Robinson Docket, [Doc. 206]. On June 9, 2022, the Middle District denied a motion to stay the injunction pending appeal. Robinson v. Ardoin, No. CV 22-211-SDD-SDJ, 2022 WL 2092551 (M.D. La. June 9, 2022). While the United States Court of Appeals for the Fifth Circuit initially stayed the injunction review on the same day, Robinson v. Ardoin, No. 22-30333, 2022 WL 2092862 (5th Cir. June 9, 2022), it vacated the stay a few days later. Robinson v. Ardoin, 37 F.4th 208, 232 (5th Cir. 2022). On June 28, 2022, the Supreme Court of the United States again stayed the Middle District's injunction. Ardoin v. Robinson, 142 S. Ct. 2892, 213 L.Ed.2d 1107 (2022). On June 26, 2023, Page 8 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 9 of 135 PageID #: 4899 after the Supreme Court issued its decision in Alabama v Milligan, 599 U.S. 1, 143 S. Ct. 1487, 216 L.Ed.2d 60 (2023), the court vacated the stay in Robinson as improvidently granted, allowing review of the matter to continue before the Fifth Circuit. Ardoin v. Robinson, 143 S. Ct. 2654, 216 L.Ed.2d 1233 (2023). In response to the Supreme Court's action in vacating the stay, the Middle District reset the remedial evidentiary hearing to begin October 3, 2023. Robinson Docket, [Doc. 250]. The Louisiana Attorney General sought mandamus from the Fifth Circuit, which vacated the evidentiary hearing. In re Landry, 83 F.4th 300, 308 (5th Cir. 2023). On November 10, 2023, the Fifth Circuit issued its decision on the Secretary of State's appeal of the Middle District's preliminary injunction. Robinson v. Ardoin, 86 F.4th 574 (5th Cir. 2023) ("Robinson Appeal Ruling"). Although noting that the Robinson Plaintiffs' arguments were “not without weaknesses," the Circuit Court found no clear error with the Middle District's factual findings, nor with its conclusion that the HB1 map likely violated Section 2, and held that the preliminary injunction was valid when it was issued. Robinson Appeal Ruling at 599. However, because the 2022 election had already occurred and because the Legislature had time to enact a new map without disrupting the 2024 election, the Fifth Circuit concluded that the district court's preliminary injunction was no longer necessary. Id. Accordingly, the Fifth Circuit vacated the injunction to give the Legislature the opportunity, if it desired, to enact a new redistricting plan before January 15, 2024. Id. at 601. The Fifth Circuit opinion did not provide any parameters or specific direction as to how the Legislature was to accomplish this task. Id. If no new re-districting plan was Page 9 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 10 of 135 PageID #: 4900 enacted before January 15, 2024, the Fifth Circuit directed the district court, “to conduct a trial and any other necessary proceedings to decide the validity of the HB1 map, and, if necessary, to adopt a different districting plan for the 2024 elections.” Id. The Middle District thereafter set a remedial evidentiary hearing for February 5, 2024. Prior to that date, and as detailed below, the Legislature enacted SB8, creating a new congressional districting map. Upon notice of SB8's enactment, the Middle District cancelled the remedial hearing. Robinson Docket, [Doc. 343]. D. Legislative Response Among the first actions of newly inaugurated Governor Jeff Landry was to call the 2024 First Extraordinary Session on Monday, January 8, 2024 (the "Special Session"). JE8. This call directed the Legislature to, among other things, “legislate relative to the redistricting of the Congressional districts of Louisiana.” Id. On the first day of the Special Session, Governor Landry addressed the joint chambers. After detailing his extensive efforts in Robinson to defend the congressional map enacted in 2022, he stated: "we have exhausted all legal remedies and we have labored with this issue for far too long." JE35 at 11. “[N] ow, once and for all," he continued, “I think it's time that we put this to bed. Let us make the necessary adjustments to heed the instructions of the court. Take the pen out of the hand of a non-elected judge and place it in your hands. In the hands of the people. It's really that simple. I would beg you, help me make this a reality in this special session, for this special purpose, on this special day.” Id. Page 10 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 11 of 135 PageID #: 4901 The product of the Special Session was SB8, which was passed on January 22, 2024. JE10. The Court has reviewed the entire legislative record, including the January 15 Joint Session, the January 15 House and Governmental Affairs Committee hearing, the January 16 Senate and Governmental Affairs Committee hearing, the January 17 Senate floor debate, the January 17 House and Governmental Affairs Committee hearing, the January 18 House floor hearing, the January 18 House and Governmental Affairs Committee hearing, the January 19 House of Representatives floor debate, and the January 19 Senate floor debate. PE23-29. Numerous comments during the Special Session highlight the intent of the Legislature in passing SB8. Senator Glen Womack, the Senate sponsor of SB8, stated at the legislative session that redistricting must occur because of the litigation occurring in the Middle District of Louisiana. PE41, at 18. Specifically because of that litigation, Senator Womack opined that “we had to draw two majority minority districts." PE41, at 20. Later in the Special Session, Senator Womack, in addressing the odd shape of SB8's District 6 (shown below), admitted that creating two majority-Black districts is "the reason why District 2 is drawn around the Orleans Parish and why District 6 includes the Black population of East Baton Rouge Parish and travels up I-49 corridor to include Black population in Shreveport.” PE41, at 26. Senator Womack also professed: "we all know why we're here. We were ordered to draw a new black district, and that's what I've done." JE31, 121:21-22 Likewise, in the House of Representatives, Representative Beau Beaullieu was asked during his presentation of SB8 by Representative Beryl Amedee, “is this bill Page 11 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 12 of 135 PageID #: 4902 intended to create another Black district?" and Representative Beaullieu responded, . "yes, ma'am, and to comply with the judge's order." JE33, 9:3-8. Representative Josh Carlson stated, even in his support of SB8, that “the overarching argument that I've heard from nearly everyone over the last four days has been race first" and that "race seems to be, at least based on the conversations, the driving force” behind the redistricting plan. Id. at 97:18-19, 21-24. But, Representative Carlson acknowledged that racial integration made drawing a second majority-Black district difficult: - And so the reason why this is so difficult is because we are moving in the right direction. We don't have concentrated populations of of certain minorities or populations of white folks in certain areas. It is spread out throughout the state. Compared to Alabama, Alabama has 17 counties that are minority-majority, and they're all contiguous. Louisiana has seven parishes that are minority-majority and only three are contiguous. That's why this process is so difficult, but here we are without any other options to move forward. Id. at 98:2-12. Representative Rodney Lyons, Vice Chairman of the House and Governmental Affairs Committee, stated that the "mission that we have here is that we have to create two majority-Black districts.” JE31, 75:24-76:1. Senator Jay Morris also remarked that “[i]t looks to me we primarily considered race." JE34, 7:2-3. Senator Gary Carter went on to express his support for SB8 and read a statement from Congressman Troy Carter on the Senate floor: My dear friends and colleagues, as I said on the steps of the capital, I will work with anyone who wants to create two majority-minority districts. I am not married to any one map. I have worked tirelessly to help create two majority-minority districts that perform. That's how I know that there may be better ways to create to craft both of these districts. There are multiple maps that haven't been reviewed at all. Page 12 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 13 of 135 PageID #: 4903 However, the Womack map creates two majority-minority districts, and therefore I am supportive of it. And I urge my former colleagues and friends to vote for it while trying to make both districts stronger with appropriate amendment. We do not want to jeopardize this rare opportunity to give African American voters the equal representation they rightly deserve. JE30, 16:10-25. Louisiana Attorney General Murrill also gave the legislators advice during the Special Session. She told them that the 2022 enacted map, HB1, was a defensible and lawful map. JE28, 36:24-37:1. She stated, “I am defending that map, and so you won't hear me say that I believe that that map violated the redistricting criteria,” Id. at 42:23, and “I am defending it now." Id. at 46:3-4. She further declared "I am defending what I believe to have been a defensible map.” Id. at 53:2. She also informed legislators that the Robinson litigation had not led to a fair or reliable result. Id. at 61:20-62:12, 62:24-63:3, 63:6-17. SB8 was the only congressional map to advance out of committee and through the legislative process. The map was passed on Friday, January 19, 2024, and signed by the Governor as Act 2 on January 22, 2024. JE10. SB8's second majority-minority district, District 6, stretches some 250 miles from Shreveport in the northwest corner of the state to Baton Rouge in southeast Louisiana, slicing through metropolitan areas to scoop up pockets of predominantly Black populations from Shreveport, Alexandria, Lafayette, and Baton Rouge. The figure below, which shows the map enacted by SB8, demonstrates the highly irregular shape of Congressional District 6. Page 13 of 60

EXHIBIT JE14 Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 14 of 135 PageID #: 4904 1 दार M 1 1 PE14. When converted to a black and white map and placed next to the Hays II map, the similarities of the two maps become obvious. 4 (ACK 1) 5 7 Black and White Version of PE14 (left) and PE22 (right). Page 14 of 60 3

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 15 of 135 PageID #: 4905 E. The Parties and Their Claims The Plaintiffs, Philip Callais, Lloyd Price, Bruce Odell, Elizabeth Ersoff, Albert Caissie, Daniel Weir, Joyce LaCour, Candy Carroll Peavy, Tanya Whitney, Mike Johnson, Grover Joseph Rees, and Rolfe McCollister, challenge SB8. [Doc. 156]. Plaintiff Philip Callais is a registered voter of District 6. Id. Plaintiff Albert Caissie, Jr. is a registered voter of District 5. Id. Plaintiff Elizabeth Ersoff is a registered voter of District 6. Id. Plaintiff Grover Joseph Rees is a registered voter of District 6. Id. Plaintiff Lloyd Price is a registered voter of District 6. Id. Plaintiff Rolfe McCollister is a registered voter of District 5. Id. Plaintiff Candy Carroll Peavy is a registered voter of District 4. Id. Plaintiff Mike Johnson is a registered voter of District 4. Id. Plaintiff Bruce Odell is a registered voter of District 3. Id. Plaintiff Joyce LaCour is a registered voter of District 2. Id. Plaintiff Tanya Whitney is a registered voter of in District 1. Id. Plaintiff Danny Weir, Jr., is a registered voter of District 1. Id. Each of the Plaintiffs is described as a “non-Black voter.” [Doc. 1]. The State Defendants are Secretary of State Nancy Landry, in her official capacity, and the State of Louisiana, represented by Attorney General Elizabeth Murrill. [Doc. 156]. The State intervened as a defendant on February 26, 2024. [Doc. 79]. Press Robinson, Edgar Cage, Dorothy Nairne, Edwin Rene Soule, Alice Washington, Clee Earnest Lowe, Davante Lewis, Martha Davis, Ambrose Sims, National Association for the Advancement of Colored People Louisiana State Conference, and Power Coalition for Equity and Justice (collectively "Robinson Intervenors") are African American Louisiana voters and civil rights organizations. Page 15 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 16 of 135 PageID #: 4906 [Doc. 156]. They were Plaintiffs in Robinson, et al v. Landry, No. 3:22-cv-0211-SDD- SDJ (M.D. La.) and intervened here as defendants to defend SB8. [Doc. 156]. They intervened permissively in the remedial phase of this litigation on February 26, 2024, and permissively in the liability phase on March 15, 2024. [Docs. 79, 114]. Davante Lewis lives in District 6. Tr., Vol. III, 567:23-568:1. The voting districts for the other individual Robinson Intervenors was not established in the record. Plaintiffs assert that: (1) the State has violated the Equal Protection Clause of the Fourteenth Amendment by enacting a racially gerrymandered district; and (2) the State has violated the Fourteenth and Fifteenth Amendments by intentionally discriminating against voters and abridging their votes based on racial classifications across the State of Louisiana. [Doc. 1, ¶ 5]. The Plaintiffs request that the Court issue a declaratory judgment that SB8 is unconstitutional under the Fourteenth and Fifteenth Amendments, issue an injunction barring the State of Louisiana from using SB8's map of congressional districts for any election, and institute a congressional districting map that remedies these violations. Id., p. 31. F. The Three-Judge Panel and Trial On February 2, 2024, Priscilla Richman, the Chief Judge of the Fifth Circuit Court of Appeals, issued an Order Constituting Three-Judge Court. [Doc. 5]. Chief Judge Richman designated Judge Carl E. Stewart, of the Fifth Circuit Court of Appeals, Judge Robert R. Summerhays, of the Western District of Louisiana, and Judge David C. Joseph, of the Western District of Louisiana, to serve on the three- judge district court convened under 28 U.S.C. § 2284. Id. On February 17, 2024, Plaintiffs filed a Motion for Preliminary Injunction. [Doc. 17]. On February 21, 2024, Page 16 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 17 of 135 PageID #: 4907 the Court issued a Scheduling Order setting the hearing on the Preliminary Injunction consolidated with trial on the merits—to commence on April 8, 2024, in Shreveport, Louisiana. [Doc. 63]. The hearing commenced on April 8, 2024, and ended on April 10, 2024. Collectively, the parties introduced thirteen (13) witnesses and one hundred ten (110) exhibits. II. EVIDENTIARY RECORD A. Fact Witnesses 1. Legislators a. Alan Seabaugh Alan Thomas Seabaugh is a Louisiana State Senator for District 31, located in northwest Louisiana. Senator Seabaugh took office in January 2024. He had previously served as a Louisiana State Representative for thirteen years. Tr. Vol. I, 42:16-17. Senator Seabaugh testified that the only reason the Legislature was attempting to pass a redistricting plan during the Special Session was the litigation pending in the Middle District of Louisiana, and specifically “Judge Dick saying that she - if we didn't draw the second minority district, she was going to. I think that's the only reason we were there." Id. at 47:22-48:1. When asked if having a second majority-Black district was the one thing that could not be compromised in the plans being considered, Senator Seabaugh testified “that's why we were there." Id. at 50:2. Senator Seabaugh ultimately voted no to SB8 and indicated that he believed the 2022 map (HB1) was a good map. Id. at 52:19-22. On cross examination, Senator Seabaugh acknowledged that, in determining how to draw the new districts, Page 17 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 18 of 135 PageID #: 4908 protecting the districts of Mike Johnson and Stephen Scalise - two of Louisiana's representatives in the United States House of Representatives, serving as Speaker and Majority Leader, respectively – were important considerations. Id. at 60:8-20. b. Thomas Pressly Thomas Pressly is a Louisiana State Senator for District 38, which is located in the northwest corner of Louisiana. Senator Pressly took office in January 2024. He had previously served as a Louisiana State Representative for four years. Tr., Vol. I, 66:1-6. Senator Pressly testified that during the Special Session, “the racial component in making sure that we had two performing African American districts was the fundamental tenet that we were looking at. Everything else was secondary to that discussion." Id. at 69:16-19. Senator Pressly acknowledged that political considerations were also factored into the ultimate redistricting plan, stating: - [t]he conversation was that we would – that we were being told we had to draw a second majority-minority seat. And the question then was, okay, who - how do we do this in a way to ensure that we're not getting rid of the Speaker of the House, the Majority Leader, and Senator Womack spoke on the floor about wanting to protect Julia Letlow as well. Id. at 72:1-7. Senator Pressly testified that he did not believe that his district in the northwest corner of Louisiana shares a community of interest with either Lafayette or Baton Rouge, both located in the southern half of Louisiana, based on either natural disaster concerns or educational needs. Id. at 73:1-23. Senator Pressly spoke against SB8 during the Special Session and testified that he believed the 2022 map should be retained. Id. at 77:6-8. Page 18 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 19 of 135 PageID #: 4909 C. Mandie Landry Mandie Landry is a Louisiana State Representative for House District 91, located in New Orleans. She took office in January 2020. Tr., Vol. II, 366:2-3. Representative Landry testified that the Special Session was convened because the Republicans were afraid that if they did not draw a map which satisfied the court, then the court would draw a map that would not be as politically advantageous for them. Id. at 368:8-10. Representative Landry indicated that she understood Governor Jeff Landry to favor the map created by SB8, in part because he believed the map would resolve the Robinson litigation in the Middle District, and in part because the new map would cause Congressman Garrett Graves a Republican incumbent with whom Landry was believed to have a contentious relationship – to lose his seat. Id. at 369:10-15. d. Royce Duplessis Royce Duplessis is a Louisiana State Senator representing Senate District 5, which is located in the New Orleans area. He took office in December 2022 and previously served as a Louisiana State Representative for over four years. Tr. Vol. III, 512:21-24. Senator Duplessis testified that his understanding of the reason for the Special Session was “to put an end to the litigation and adopt a map that was compliant with the Judge's order." Id. at 519:22-23. Though he was not a member of the Senate's redistricting committee, Senator Duplessis co-sponsored a separate bill during the Special Session, namely SB4, which also created two majority-Black districts. Id. at 521:1-2. SB4 was ultimately voted down in committee in favor of SB8. Id. at 523:14-23. Senator Duplessis testified that he believed SB8 passed Page 19 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 20 of 135 PageID #: 4910 because Governor Landry supported SB8 for political reasons. Id. at 525:1-7. Senator Duplessis voted in favor of SB8 because he believed it complied with the Voting Rights Act, it met the criteria ordered by the court, and was a fair map which would satisfy the people of Louisiana. Id. at 527:23 -528:9. Senator Duplessis testified that he was very proud of the passage of SB8 because: It was always very clear that a map with two majority black districts was the right thing. It wasn't the only thing, but it was a major component to why we were sent there to redraw a map. Id. at 530:15-19. 2. Community Members a. Cedric Bradford Glover Cedric Bradford Glover is a resident of Shreveport, Louisiana, who previously served a total of five terms in the Louisiana House of Representatives, and two terms as mayor of Shreveport. Tr., Vol. II, 454:12-20. Mayor Glover testified that he believes SB8's District 6 reflects common communities of interest, specifically the I- 49 corridor, the communities along the Red River, higher education campuses, healthcare systems, and areas of economic development. Id. at 457:17-458:21. b. Pastor Steven Harris, Sr. Steven Harris, Sr. resides in Natchitoches, Louisiana, where he serves as a full-time pastor and a member of the Natchitoches Parish School Board. Tr., Vol. II, 463:5-6. Pastor Harris' ministerial duties require him to travel to Alexandria, Shreveport, Lafayette, Baton Rouge, and places in between. Id. at 463:18-20. Pastor Harris, who lives and works in District 6, testified that there are communities of interest among the areas in which he regularly travels, specifically churches and Page 20 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 21 of 135 PageID #: 4911 educational institutions. Id. at 466:24 467:16. Pastor Harris testified that he — believes Baton Rouge has more in common with Alexandria and Shreveport than with New Orleans, due to the different culture, foods, and music. Id. at 467:20-468:14. C. Ashley Kennedy Shelton Ashley Kennedy Shelton resides in Baton Rouge and founded and runs the Power Coalition for Equity and Justice (the “Coalition"), one of the Robinson Intervenors. Tr., Vol. II, p. 474:8-11. The Coalition is a 501(c)(3) civic engagement organization which seeks to create “pathways to power for historically disenfranchised communities." Id. at 474:24-475:1. She testified that the Coalition has been involved with the redistricting process since the 2020 census by educating the community about the redistricting process, as well as encouraging community involvement in that process. Id. at 475:21. Ms. Shelton initially supported SB4, another map offered in the Special Session which also contained two majority- minority districts, but that map did not move out of committee. Id. at 482:1-2. Ms. Shelton, along with the Coalition, went on to support SB8 because it: centered communities that have never been centered in any of the current congressional districts that they are within. And so when you look at the district that's created in SB8, the communities across that district are living in poverty, have poor health outcomes, lack of access to economic opportunity, similar hospitals, similar size airports. Like there is this there is this opportunity to really center these communities in a way that they have not had the attention in the current districts that they exist within. Id. at 483:6-15. - Page 21 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 22 of 135 PageID #: 4912 d. Davante Lewis Davante Lewis, one of the Robinson Intervenors, is a resident of Baton Rouge, Louisiana, and currently serves as a commissioner for the Louisiana Public Service Commission and chief strategy officer of Invest in Louisiana. Tr., Vol. III, 542:23-25. Commissioner Lewis testified that he has been involved in politics since he was a teenager and has taken part in the redistricting process on numerous occasions as a lobbyist. Id. at 548:3-15. During the Special Session, Commissioner Lewis initially supported SB4, another bill which also included two majority-minority districts but failed to pass out of committee. Id. at 553:15-22. Commissioner Lewis, who is now a resident in District 6, testified that he was happy with the passage of SB8 because “it accomplishes the goals that I wanted to see which was complying with the rule of law as well as creating a second [B]lack-majority district." Id. at 576:16-18. Commissioner Lewis believes that he shares common interests with voters living in other areas within District 6, namely economies, civic organizations, religious organizations, educational systems, and agriculture. Id. at 578:14-25. On cross- examination, Commissioner Lewis admitted that District 6 intersects four of the five public service commission districts in the state. B. Expert Witnesses a. Dr. Stephen Voss The Court accepted Plaintiffs' witness Dr. Stephen Voss as an expert in the fields of: (i) racial gerrymandering; (ii) compactness; and (iii) simulations.³ Tr., Vol. 3 Plaintiffs retained Dr. Stephen Voss to answer three questions: (1) whether SB8 represents an impermissible racial gerrymander, where race was the predominant factor in Page 22 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 23 of 135 PageID #: 4913 I, 92:13-25; 93:1-19; 111:6-7; 123:7-9. Dr. Voss was born in Louisiana, lived most of his life in Jefferson Parish, and earned his Ph.D. in political science at Harvard University, where his field of focus was quantitative analysis of political methodology. Id. at 85:12-13; 87:8-21. Dr. Voss began his testimony by comparing the districts created by SB8 to past enacted congressional maps in Louisiana and other proposals that the Legislature considered during the Special Session. Tr., Vol. I, 97:19-98:2. Dr. Voss described District 6 as a district: that stretches, or I guess the term is "slashes," across the state of Louisiana to target four metropolitan areas, which is the majority of the larger cities in the state. It then scoops out from each of those predominant – the majority black and predominantly black precincts from each of those cities. Id. at 93:25; 94:1-5. Dr. Voss explained that the borders of District 6, which include portions of the distant parishes of Lafayette and East Baton Rouge, track along Black communities, including precincts with larger Black population percentages while avoiding communities with large numbers of white voters. Id. at 94:18-95:10. Dr. Voss reiterated that the boundaries of District 6 were drawn specifically to contain heavily Black-populated portions of cities while leaving more white-populated areas in the neighboring districts. Id. at 96:7-16; PE3; PE4. Dr. Voss also testified that, compared to other maps proposed during the Special Session and other past congressional maps, SB8 split a total of 18 of Louisiana's 64 parishes, Tr., Vol. I, the drawing of district lines; (2) whether SB8 sacrificed traditional redistricting criteria in order to create two majority-minority districts; and (3) whether the Black population in Louisiana is sufficiently large and compact to support two majority-minority districts that conform to traditional redistricting criteria. Tr., Vol. I, 91:3-25 (Voss). Page 23 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 24 of 135 PageID #: 4914 97:19-99:11, and, at 62.9 percent of Louisiana's population, had the highest percentage of individuals affected by parish splits. Id. 98:3-99:11; PE6. Dr. Voss also studied the compactness of SB8 under three generally accepted metrics: (i) Reock Score; (ii) Polsby-Popper score; and (iii) Know It When You See It (“KIWYSI”). Tr., Vol. I, 100:22-103:5. Dr. Voss found that across all three measures of compactness, SB8 performed worse than either HB1 (the map that was enacted in 2022) or the map that HB1 replaced from the previous decade. Id. at 104:25-105:4; PE7. Thus, SB8 did not produce compact maps when judged in comparison to other real-life congressional maps of Louisiana. Tr., Vol. I, 107:16-21. Dr. Voss also found that SB8's majority-Black districts were especially non-compact compared to other plans that also included two majority-minority districts. Id. at 106:17-24. According to Dr. Voss, SB8's District 6 scored worse on the Polsby-Popper test than the second majority-Black districts in other proposed plans that created a second majority-Black district. Id. at 106:17-24. Dr. Voss further testified that SB8's and District 6's uniquely poor compactness was not necessary if the goal was to accomplish purely political goals. “If you're not trying to draw a second black majority district, it is very easy to protect Representative Julia Letlow. Even if you are, it's not super difficult to protect 4 According to Dr. Voss, a district's "Reock score" quantifies its compactness by measuring how close the district is to being a circle. Tr., Vol. 1, 100:23-6. A district's "Polsby- Popper" score is intended to take into account a district's jagged edges and “tendrils.” Id., 101:25-102:19. Finally, the “Know It When You See It” method uses a metric derived by panels of judges and lawyers and a representative sample of people looking at the shape of a district and giving their quantification of compactness. Id., 102:20-104:2. The KIWYSI method originated from individuals' subjective judgments, but the metric itself is standardized and uses specific software to compute a numerical figure representing compactness. Id., 103:15-104:2. Page 24 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 25 of 135 PageID #: 4915 Additionally, Representative Julia Letlow,” he testified. Tr., Vol. I, 108:17-21. according to Dr. Voss, the Legislature did not need to enact a map with two majority- minority districts in order to protect Representative Letlow's congressional seat: "[Representative Letlow] is in what historically is called the Macon Ridge...[a]nd given where she is located, it is not hard to get her into a heavily Republican, heavily white district." Id. at 111:15-23. Dr. Voss testified similarly with respect to Representative Garrett Graves, concluding that the Legislature did not need to enact a second majority-minority district in order to put Representative Garrett Graves in a majority-Black district. Id. at 112:2-16. Thus, Dr. Voss concluded that neither the goal of protecting Representative Letlow's district, nor the goal of targeting Representative Graves, would have been difficult to accomplish while still retaining compact districts. Id. at 110:15-22. Dr. Voss testified extensively about simulations, explaining that he used the Redist simulation package (“Redist”) to analyze the statistical probability of the Legislature creating SB8 without race predominating its action.5 Id. at 113:14-115:6. Using Redist, Dr. Voss compared “lab-grown” simulations of possible maps to SB8 in order to analyze the decisions the Legislature made during the redistricting process, Id. at 114:2-23, so that he could judge whether the parameters or constraints under which he created the simulations could explain the deviations evident in SB8. Id. at 118:15-23. Dr. Voss testified that he performed tens of thousands of both “race- 5 According to Dr. Voss, Redist uses Sequential Monte Carlo ("SMC”) simulation in order to generate a representative sample of districts that could have been drawn under certain parameters. Id., 113:8-114:10. Page 25 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 26 of 135 PageID #: 4916 conscious" and "race-neutral” simulations, and that none of these simulations randomly produced a map with two Democratic districts. Id. at 138:9-14. On that basis, Dr. Voss opined that the non-compact features of SB8 are predominantly explained by racial considerations. Id. at 139:17-23. Concluding that District 6 performs worse on the Polsby-Popper score than the second majority-Black district in the other plans; worse on the Reock score than the other plans that created a second majority-Black district, with a very low score; and worse on the KIWYSI method than the other plans and the majority-Black districts they proposed, Id. at 106:18-24, Dr. Voss ultimately opined that SB8 represents an impermissible racial gerrymander. Id. at 92:23-24. b. Dr. Cory McCartan Dr. Cory McCartan was proffered by the Robinson Intervenors in rebuttal to Dr. Voss and was qualified by the Court as an expert in the fields of redistricting and the use of simulations. Tr., Vol. I, 187:5-14. Though Dr. McCartan criticized Dr. Voss for a number of his methodologies, the Court notes that Dr. McCartan conducted no tests or simulations of his own, Id. at 215:18-21, and his testimony was often undercut by his own previous analysis. First, Dr. McCartan criticized Dr. Voss's simulations on grounds that Dr. Voss did not incorporate the relevant redistricting criteria used by actual mapmakers. Id. at 198:10-24. Dr. McCartan also questioned the efficacy of simulations in detecting racial gerrymandering. Id. at 196:13-25; 197:1-12. Yet Dr. McCartan had previously led the Algorithm Assisted Redistricting Methodology (“ALARM”) Project team, which traversed the country simulating multiple districts in multiple states, Page 26 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 27 of 135 PageID #: 4917 - including Louisiana, and authored a paper which declared that simulations are well- suited to assess what types of racial outcomes could have happened under alternative plans in a given state. Id. at 227:9-21. Dr. McCartan also testified that he himself used the ALARM project to detect partisan, or political gerrymandering – ultimately finding that Louisiana had only one plausible district favoring the Democratic party. Id. at 216:23-25. And on cross-examination, Dr. Voss confirmed that Professor Kosuke Imai, who helped develop the Redist software, applied these same simulation techniques in the racial gerrymandering context. Id. at 150:18-151:1. On this point, therefore, the Court finds Dr. McCartan's testimony unpersuasive. Dr. McCartan also criticized Dr. Voss for not imposing a constraint in his simulations for natural or geographic boundaries. Id. at 200:1-6. Yet Dr. McCartan acknowledged that in his work with ALARM to generate Louisiana congressional map simulations, his team did not impose any kind of requirement for natural or geographic boundaries. Id. at 230:24-231:1. Dr. McCartan also criticized Dr. Voss for not adding incumbent protection as a constraint in the simulations, but when pressed, could not testify that this extra constraint would trigger the creation of a second majority-minority district. Id. at 238:11-16 (McCartan). Similarly, Dr. McCartan could not give a convincing reason why it was appropriate for his own team to use a compactness constraint of 1.0, while testifying that this same criterion made Dr. Voss's simulations unrepresentative. Id. at 231:5- 16. Dr. Voss, on the other hand, explained why adjustments to the compactness criterion made the simulation results less reliable. Id. at 162:22-24, 163:21-165:19. Finally, Dr. McCartan confirmed that both his simulations on Louisiana Page 27 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 28 of 135 PageID #: 4918 congressional maps and Dr. Voss's simulations generated plans that were more compact than the enacted version of SB8, which was far worse than the Polsby- Popper compactness scores of both Dr. McCartan's and Dr. Voss's simulations. Id. at 233:20-24 (McCartan). Dr. McCartan also acknowledged that his own partisan gerrymandering simulations yielded no more than 10 out of 5,000 maps with a second Democratic seat. Id. at 235:4-236:12. was the In evaluating the testimony of Dr. Voss and Dr. McCartan, the Court finds Dr. Voss's testimony to be credible circumstantial evidence that race predominant factor in crafting SB8. Though Dr. McCartan provided some insight into the uses of simulations in detecting the presence of racial gerrymandering, his testimony indicated that his own team had performed simulations under conditions not unlike Dr. Voss's, and with conclusions that supported Dr. Voss. Dr. McCartan's other criticisms of Dr. Voss were either not well-founded or rebutted. c. Michael Hefner Plaintiffs proffered Michael Hefner as an expert demographer, and he was qualified by the Court as such. Tr., Vol. II, 270:23-15; 271:1-5. Mr. Hefner is from Louisiana and has lived his whole life in various parts of the state. Id. at 258:3-6; [Doc. 182-8]. Having worked in the field of demography for 34 years, most of Mr. Hefner's work consists of creating redistricting plans for governmental entities, including municipalities and school boards, throughout the State of Louisiana after decennial censuses; conducting precinct management work for Louisiana parish governments; working on school desegregation cases in Louisiana; and conducting site-location analyses in Louisiana. Tr., Vol. II, 257:9-22; Doc. 182-8. Mr. Hefner Page 28 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 29 of 135 PageID #: 4919 testified that he came to the following conclusions during his analysis for this case: (1) given the geographic distribution and concentration of the Black population in Louisiana, it is impossible to create a second majority-minority district and still adhere to traditional redistricting criteria, Tr., Vol. II, 271:11-22, 282:21-283:6; and (2) race predominated in the drafting of SB8. Id. at 271:23; 272:1-14. Mr. Hefner explained that the Black population in Louisiana is highly dispersed across the State and is concentrated in specific urban areas, including New Orleans, Baton Rouge, Alexandria, Lafayette, and Shreveport.6 Tr., Vol. II, 281:7-15; 283:19-285:1; 339:20-340:4 (Hefner); see also Mr. Hefner's Heat Map, [Docs. 182-9, 182-10]. Using a heat map he created based on data representing the Black voting age population (“BVAP”) across the State from the 2020 census, Mr. Hefner testified that outside the New Orleans and East Baton Rouge areas, the Black population is highly dispersed across the state. Tr., Vol. II, 281:4-15. Mr. Hefner opined that, given this dispersion, it is impossible to draw a second majority-minority congressional district without violating traditional redistricting criteria. Id. at 282:22-283:6. Focusing on SB8, Mr. Hefner testified that SB8 is drawn to trace the areas of the state with a high BVAP to create a second majority-minority district, Tr., Vol. II, 283:15-285:1, echoing the testimony of Dr. Voss. Specifically, Mr. Hefner stated that District 6's borders include the concentrated Black populations in East Baton Rouge, Alexandria, Opelousas, Natchitoches, Mansfield, Stonewall, and up to Shreveport, Id. 6 According to Mr. Hefner, the highest concentration of African American voters is in New Orleans; the second highest concentration is in East Baton Rouge; and the third highest concentration is in Shreveport. Tr., Vol. II, 281:4-15. Page 29 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 30 of 135 PageID #: 4920 at 283:15-285:1, but carved concentrated precincts out of the remainder of the parishes to avoid picking up too much population of non-Black voters. Id. at 283:15- 285:1. Taking Lafayette Parish as an example, Mr. Hefner testified that District 6 includes the northeast part of the parish, where voting precincts contain a majority of Black voters, while excluding the remainder of the parish, in which the precincts are not inhabited by predominantly Black voters. Id. at 283:22-284:4. Likewise, in Rapides Parish, District 6 splits Rapides Parish to include only the precincts in which there is a high concentration of Black voters, for the purpose of including the overall BVAP in the district. Id. at 284:4-8. Mr. Hefner also testified that SB8's compactness score is extremely small. In fact, it is so low on the Polsby-Popper and Reock metrics that it is almost not compact at all. Id. at 302:21-303:2; PE21. Explaining that District 6 is extremely long and extremely strung out, Tr., Vol. II, 303:18-20, Mr. Hefner testified that SB8 scored lower than HB1 on both the Polsby-Popper and Reock tests. Id. at 302:16-303:25; PE21. Mr. Hefner testified that District 6 is not reasonably compact, Tr., Vol. II, 304:11-14; its shape is awkward and bizarre, Id. at 304:23-305:6; it is extremely narrow at points, Id. at 305:18-306:2; its contiguity is tenuous, Id. at 293:23-24; and it splits many parishes and municipalities, including four of the largest parishes in the State (Caddo, Rapides, Lafayette, and East Baton Rouge), each of which are communities of interest. Id. at 295:7-8. Finally, Mr. Hefner testified that the Plaintiffs' redistricting plan, introduced as Illustrative Plan 1, was a reasonable plan 7 The Polsby-Popper scale goes from 0 (no compactness) to 1 (total compactness). Mr. Hefner testified that District 6 had a Polsby-Popper score of 0.05. Id., 303:13-20. Page 30 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 31 of 135 PageID #: 4921 that can be drawn in a race-neutral manner; adheres to the use of traditional redistricting principles; preserves more communities of interest; provides more compact election districts; preserves the core election districts; and balances the population within each district. Id. at 272:17-25; 273:1-2. a. Anthony Fairfax Mr. Anthony Fairfax testified on behalf of the Robinson Intervenors to rebut the testimony of Mr. Hefner, and was qualified by the Court as an expert in redistricting and demography. Tr., Vol. II, 379:6-15. Contradicting Mr. Hefner, Mr. Fairfax testified that traditional redistricting principles could be used to create maps with a second majority-Black district. Id. at 381-383:24. But on rebuttal, Mr. Fairfax admitted that the map he used did not account for where people lived within parishes, and his map therefore failed to take account of where Black voters are located in each parish. Id. at 407:4-125; 408:1-12. Therefore, on the issue of parish splitting, Mr. Fairfax's testimony was unpersuasive. Rather, as Mr. Hefner testified, Fairfax's analysis fails to show the Court whether District 6 specifically targeted those pockets of high populations of Black voters. Id. at 292:13-293:3. Tellingly, in discussing preservation of communities of interests, parishes, and municipalities, Mr. Fairfax agreed with Mr. Hefner that SB8 split more parishes and municipalities than HB1, Id. at 385:14-18; 389:5-9, and that SB8 split more parishes and municipalities than the previously enacted plan. Id. at 385:11-15; 389:2-9. Page 31 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 32 of 135 PageID #: 4922 III. APPLICABLE LAW To obtain permanent injunctive relief, the plaintiffs must establish by a preponderance of the evidence: “(1) actual success on the merits; (2) that it is likely to suffer irreparable harm in the absence of injunctive relief; (3) that the balance of equities tip in that party's favor; and (4) that an injunction is in the public interest.”8 Crown Castle Fiber, L.L.C. v. City of Pasadena, Texas, 76 F.4th 425, 441 (5th Cir. 2023), cert. denied, 144 S. Ct. 820 (2024); see also Winter v. Nat. Res. Def. Council, Inc., 555 U.S. 7, 20, 32, 129 S. Ct. 365, 172 L.Ed.2d 249 (2008). The Equal Protection Clause of the Fourteenth Amendment provides that: "[N]o state shall ... deny to any person within its jurisdiction the equal protection of the laws." U.S. CONST. AMEND. XIV, § 1. The intent of the provision is “to prevent the States from purposefully discriminating between individuals on the basis of race." Shaw v. Reno, 509 U.S. 630, 642, 113 S. Ct. 2816, 2824, 125 L.Ed.2d 511 (1993) ("Shaw P'). As applied to redistricting, the Equal Protection Clause bars “a State, without sufficient justification, from ‘separat[ing] its citizens into different voting districts on the basis of race." Bethune-Hill v. Virginia State Bd. of Elections, 580 U.S. 178, 187, 137 S. Ct. 788, 797, 197 L.Ed.2d 85 (2017) (citing Miller v. Johnson, 515 U.S. 900, 911, 115 S. Ct. 2475, 132 L.Ed.2d 762 (1995)). Thus, the Equal Protection Clause prohibits the creation and implementation of districting plans that include racial gerrymanders, with few exceptions. “A racial gerrymander [is] the 8 The Court consolidated the preliminary injunction hearing with the full trial on the merits. See [Doc. 63]. Page 32 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 33 of 135 PageID #: 4923 deliberate and arbitrary distortion of district boundaries for [racial] purposes.” Shaw I, 509 U.S. at 640 (citing Davis v. Bandemer, 478 U.S. 109, 164, 106 S. Ct. 2797, 2826, 92 L.Ed.2d 85 (1986) (Powell, J. concurring in part and dissenting in part), abrogated on other grounds by Rucho v. Common Cause, 588 U.S. 684, 139 S. Ct. 2484, 204 L.Ed.2d 931 (2019)). Courts analyze racial gerrymandering challenges under a two-part burden-shifting framework. First, a plaintiff bears the burden to prove that “race was the predominant factor motivating the legislature's decision to place a significant number of voters within or without a particular district." Miller, 515 U.S. at 916. This requires a plaintiff to show that "the legislature 'subordinated' other factors - compactness, respect for political subdivisions, partisan advantage, what have you to 'racial considerations."" Cooper v. Harris, 581 U.S. 285, 291, 137 S. Ct. 1455, 1464, 197 L.Ed.2d 837 (2017) (citing Miller, 515 U.S. at 916). The plaintiff may make the requisite showing “either through circumstantial evidence of a district's shape and demographics or more direct evidence going to legislative purpose, that race was the predominant factor motivating the legislature's decision...." Alabama Legislative Black Caucus v. Alabama, 575 U.S. 254, 267, 135 S. Ct. 1257, 1267, 191 L.Ed.2d 314 (2015) (citing Miller, 515 U.S. at 916). If Plaintiff meets the burden of showing race played the predominant factor in the design of a district, the district must then survive strict scrutiny. Cooper, 581 U.S. at 292. At this point, the burden of proof “shifts to the State to prove that its race-based sorting of voters serves a 'compelling interest' and is 'narrowly tailored' to that end." Cooper, 581 U.S. at 285 (citing Bethune-Hill, 580 U.S. at 193). "Racial Page 33 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 34 of 135 PageID #: 4924 gerrymandering, even for remedial purposes" is still subject to strict scrutiny. Shaw I, 509 U.S. at 657. Where the state seeks to draw a congressional district by race for remedial purposes under Section 2, the state must have a “strong basis in evidence" for "finding that the threshold conditions for section 2 liability are present" under Gingles. And, to survive strict scrutiny, “the district drawn in order to satisfy § 2 must not subordinate traditional districting principles to race substantially more than is 'reasonably necessary' to avoid § 2 liability.” Bush v. Vera, 517 U.S. 952, 979, 116 S. Ct. 1941, 1961, 135 L.Ed.2d 248 (1996). A. IV. FINDINGS OF FACT AND CONCLUSIONS OF LAW Racial Predominance The Court first addresses whether Plaintiffs have met their burden of showing that race predominated in drawing District 6. Racial awareness in redistricting does not necessarily mean that race predominated in the Legislature's decision to create a second majority-minority district. Shaw I, 509 U.S. at 646. When redistricting, a legislature may be aware of race when it draws district lines, just as it is aware of other demographic information such as age, economic status, religion, and political affiliation. Shaw I, 509 U.S. at 646. Race consciousness, on its own, does not make a district an unconstitutional racial gerrymander or an act of impermissible race discrimination. Id. But while districts may be drawn for remedial purposes, Section 2 of the Voting Rights “never require[s] adoption of districts that violate traditional redistricting principles.” Allen v. Milligan, 599 U.S. 1, 29 – 30, 143 S. Ct. 1487, 1492, 216 L.Ed.2d 60 (2023) (internal citations omitted). Indeed, to survive strict scrutiny, Page 34 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 35 of 135 PageID #: 4925 “the district drawn in order to satisfy § 2 must not subordinate traditional districting principles to race substantially more than is ‘reasonably necessary' to avoid § 2 liability." Vera, 517 U.S. at 979. As discussed above, racial predominance may be shown through either circumstantial evidence, direct evidence, or both. Ala. Legis. Black Caucus, 135 S. Ct. at 1267. Here, the Robinson Intervenors and the State argue that political considerations predominated in drawing the boundaries of District 6. They argue that the State had to create a second majority-minority district based on the district court's ruling in the Robinson litigation and that District 6 was drawn with the primary purpose of protecting key Republican incumbents, such as Speaker Mike Johnson, Majority Leader Steve Scalise, and Representative Julia Letlow. It is clear from the record and undisputed that political considerations incumbents — played a role in how District 6 was drawn. Plaintiffs, however, contend that considerations of race played a qualitatively greater role in how the State drew the contours of District 6 than these political considerations. 1. Circumstantial Evidence - the protection of In the redistricting realm, appearances matter. A district's shape can provide circumstantial evidence of a racial gerrymander. Shaw I, 509 U.S. at 647. In the past, the Supreme Court has relied on irregular district shapes and demographic data to find racial gerrymandering.9 See Shaw v. Hunt, 517 U.S. 899, 910-16 (1996) ("Shaw II"); Miller, 515 U.S. 900; Vera, 517 U.S. 952. 9 Significantly, "[s]hape is relevant not because bizarreness is a necessary element of the constitutional wrong or a threshold requirement of proof, but because it may be Page 35 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 36 of 135 PageID #: 4926 " Here, as described by Dr. Voss, District 6 'slashes' across the state of Louisiana” and includes portions of four disparate metropolitan areas. But – critical to our analysis District 6 only encompasses the parts of those cities that are inhabited by majority-Black voting populations, while excluding neighboring non- minority voting populations. Tr., Vol. I, 93:25; 94:1-5; 94:18-95:10; 96:7-16; PE3; PE4. His description encapsulates what the following maps show on their face: Act 2 - 1st ES (2024) - Congressional Districts - East Baton Rouge Precincts as of 01-10-2024 Baton Rouge Close Up of 2024 Enacted Map (JE17). persuasive circumstantial evidence that race for its own sake, and not other districting principles, was the legislature's dominant and controlling rationale in drawing its district lines." Miller, 515 U.S. at 912-913; See Shaw v. Hunt, 861 F. Supp. 408, 431 (E.D.N.C. 1994); Hays I; but see DeWitt v. Wilson, 856 F. Supp. 1409, 1413 (E.D. Cal. 1994). Thus, a district's bizarre shape is not the only type of circumstantial evidence on which parties may rely. Id. Page 36 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 37 of 135 PageID #: 4927 T ++ - Act 2 - 1st ES (2024) - Congressional Districts - Lafayette O- 6 # 10 Lafayette Close Up of 2024 Enacted Map (JE17). Precincts as of 01-10-2024 Act 2 - 1st ES (2024) - Congressional Districts - Rapides Precincts as of 01-10-2024 Alexandria Close Up of 2024 Enacted Map (JE17). Page 37 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 38 of 135 PageID #: 4928 Act 2 - 1st ES (2024) - Congressional Districts - Caddo ✓ Precincts as of 01-10-2024 Shreveport Close Up of 2024 Enacted Map (JE17). Like Shaw II and Vera, this case presents evidence of “mixed motives" in creating District 6 ― motives based on race and political considerations. Unlike a single motive case, any circumstantial evidence tending to show neglect of traditional districting principles, such as compactness and respect for parish lines, caused District 6's bizarre shape could seemingly arise from a “political motivation as well as a racial one.” Cooper v. Harris, 581 U.S. at 308 (citing Hunt v. Cromartie, 526 U.S. 541, 547 n.3, 119 S. Ct. 1545, 1549, 143 L.Ed.2d 731 (1999)). In mixed motive cases such as this one, the Supreme Court has noted that “political and racial reasons are capable of yielding similar oddities in a district's boundaries." Id. Accordingly, this Court faces “a formidable task: It must make ‘a sensitive inquiry' into all ‘circumstantial and direct evidence of intent' to assess whether the plaintiffs have Page 38 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 39 of 135 PageID #: 4929 managed to disentangle race from politics and prove that the former drove a district's lines." Id. Turning to the record, Mr. Hefner's “heat map” is particularly helpful as circumstantial evidence of the motives driving the decisions as to where to draw the boundaries of District 6. The “heat map” shows that outside of the New Orleans and East Baton Rouge areas, the state's Black population is highly dispersed across the state. Tr., Vol. II 281:4-15. Mr. Hefner opined that District 6 was designed as such to collect these highly dispersed BVAP areas in order to create a second majority- minority district. Id., 283:15-285:1. Map 15-SB 8 Plan with African American Populations PE 16. wanstor Brotior LA Morahouse La Clalbome LA Union LA West Carro LA Eat Car Lincoln LA Outor in LA RICHIED LA Madson LA Bienville LA Jackson LA Red River LA De Soto Sabine LA WIR LA Caldwell LA Frankle LA Tansas LA Catahoula LA Lasane LA Grant LA Rapidas vemon LA Avoyotes Brand L 4M LA Eppards LA 6 si fallar L (5) evangana La ALA Jon Davi Cairasu LA St Martin LA R22 Rohe LA 3 Camaron LA voiton LA St. Mary LA Page 39 of 60 pngpanca LA Washington La $ Taramany LA in LA St. Jean he Boptet LA St James (4 Oriesca La Assumption Chorios LA Tamabeans LA Lafourche LA

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 40 of 135 PageID #: 4930 When Mr. Hefner's heat map is superimposed on SB8, the "story of racial gerrymandering" becomes evident. See Miller, 515 U.S. at 917 (“... when [the district's] shape is considered in conjunction with its racial and population densities, the story of racial gerrymandering ... becomes much clearer”). That exhibit shows that District 6 sweeps across the state to include the heavily concentrated Black population neighborhoods in East. Baton Rouge, Alexandria, Opelousas, Natchitoches, and Mansfield. Most telling, District 6 juts up at its northern end to carve out the Black neighborhoods of Shreveport and separates those neighborhoods from the majority white neighborhoods of Shreveport and Bossier City ("Shreveport- Bossier"). Tr., Vol. II, 283:15-285:1. Map 21-Shreveport Area in Caddo Parish Greenwood 4 Dainhard 6 Shin-report Cand LA Stonewolf DeSoto LA PE 18. SCOR CALIFOR Page 40 of 60 Reity lite Eastwood Houghton Hower City Bossier LA Doyling Webster LA Bienville LA Fryerson %18 AP BIK 0% to 40% 40% to 50% 50% to 60% 61% to 100% Other 10,000 20,000 30,000 Feet

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 41 of 135 PageID #: 4931 District 6 also dips down from its northwest trajectory and splits the majority of Black neighborhoods of Lafayette from the rest of the city and parish. Specifically, District 6 includes Lafayette's northeast neighborhoods, which contain a predominantly Black population, while leaving the rest of the city and parish in neighboring District 3. Id. at 283:22-284:4. In sum, the “heat maps" and demographic data in evidence tell the true story – that race was the predominate factor driving decisions made by the State in drawing the contours of District 6. This evidence shows that the unusual shape of the district reflects an effort to incorporate as much of the dispersed Black population as was necessary to create a majority-Black district. 2. Direct Evidence - The Court next looks to the direct evidence of the Legislature's motive in creating District 6 in other words, what was actually said by the individuals who had a hand in promulgating, drafting, and voting on SB8. The direct evidence buttresses the Court's conclusion that race was the predominant factor the legislators relied upon in drawing District 6. The record includes audio and video recordings, as well as transcripts, of statements made by key political figures such as the Governor of Louisiana, the Louisiana Attorney General, and Louisiana legislators, all of whom expressed that the primary purpose guiding SB8 was to create a second majority-Black district due to the Robinson litigation. As discussed supra, the Middle District, after the preliminary injunction hearing in Robinson, found a likelihood of success on the merits of the Robinson Plaintiffs' claim that a second majority-minority district was required by Section 2 of the Voting Rights. Although the preliminary injunction was Page 41 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 42 of 135 PageID #: 4932 vacated by the Fifth Circuit to allow the Legislature to enact a new map, legislators chose to draw a map with a second majority-Black district in order to avoid a trial on the merits in the Robinson litigation. See, e.g., Tr. Vol. III, 588:11-17 (“Judge Dick has put us in a position and the Fifth Circuit, the panel that reviewed that decision, and the whole court, when I asked them to go en banc, by declining to go on en banc, have put us in a position pus [sic] of where we are today where we need to draw a map."); JE28, 46:5-101 (same); see also Tr. Vol. III, 589:1-3 ("The courts, never the less, have told us to draw a new map. And they have indicated that we have a deadline to do that or Judge Dick will draw the map for us."); JE28 at 36:14-17 (same); JE36 at 33 (Senator Price: “Regardless of what you heard, we are on a court order and we need to move forward. We would not be here if we were not under a court order to - get this done."); JE36 at 1 (Senator Fields: “[B]oth the district and the appeals court have said we need to do something before the next congressional elections.”); JE31, 26:12-24 (Chairman Beaullieu: “Senator Womack, why are we here today? What what brought us all to this special session as it as it relates to, you know, what we're discussing here today?”; Senator Womack: “The middle courts of the district courts brought us here from the Middle District, and said, ‘Draw a map, or I'll draw a map.’ Chairman Beaullieu: “Okay."%; Senator Womack: "So that's what we've done."; Chairman Beaullieu: “And - and were you - does - does this map achieve that middle court's orders?"; Senator Womack: “It does."); PE41, 75:24-76:2 (Representative Lyons, Chairman of the House and Governmental Affairs Committee, stating “[T]he mission we have here is that we have to create two majority-Black districts."); PE41, 121:19-22 (Senator Womack stating that “... we all know why we're here. We were Page 42 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 43 of 135 PageID #: 4933 ordered to - ... to draw a new Black district, and that's what I've done."); PE41, 9:3-8 (Representative Amedee: "Is this bill intended to create another black district?" Representative Beaullieu: “Yes, ma'am, and to comply with the judge's order."); JE31, 97:17-19, 21-24 (Representative Carlson: “the overarching argument that I've heard from nearly everyone over the last four days has been race first race seems to be, at least based on the conversations, the driving force...."). SB 8's sponsor, Senator Womack, also explicitly admitted that creating two majority-Black districts was "the reason why District 2 is drawn around the Orleans Parish and why District 6 includes the Black population of East Baton Rouge Parish and travels up the I-49 corridor to include Black population in Shreveport." PE41 at 26. The Court also acknowledges that the record includes evidence that race- neutral considerations factored into the Legislature's decisions, such as the protection of incumbent representatives. See JE29 at 2-3 (Senator Womack discussing that SB8 protects Congresswoman Julia Letlow, U.S. Speaker of the House Mike Johnson, and U.S. House Majority Leader Steve Scalise); Tr. Vol. I, 71:11-18, 79:1-4 (Senator Pressley testifying that “[w]e certainly wanted to protect Speaker Johnson ... We wanted to make sure that we protected Steve Scalise. Julia Letlow is on Appropriations. That was also very important that we try to keep her seat as well."); Id. at 60:8-61:15 (Senator Seabaugh testifying that the fact that the Speaker and Majority Leader are from Louisiana is “kind of a big deal” and that protecting Speaker Page 43 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 44 of 135 PageID #: 4934 Johnson, Majority Leader Scalise, and Representative Letlow was “an important consideration when drawing a congressional map.”). 10 However, considering the circumstantial and the direct evidence of motive in the creation of District 6, the Court finds that “racially motivated gerrymandering had a qualitatively greater influence on the drawing of the district lines than politically motivated gerrymandering.” Vera, 517 U.S. at 953. As in Shaw II and Vera, the State first made the decision to create a majority-Black district and, only then, did political considerations factor into the State's creation of District 6. The predominate role of race in the State's decisions is reflected in the statements of legislative decision-makers, the division of cities and parishes along racial lines, the unusual shape of the district, and the evidence that the contours of the district were drawn to absorb sufficient numbers of Black-majority neighborhoods to achieve the goal of a functioning majority-Black district. If the State's primary goal was to protect congressional incumbents, the evidence in the record does not show that District 6 in its current form was the only way to achieve that objective. As explained by the Supreme Court: 10 At bottom, it is not credible that Louisiana's majority-Republican Legislature would choose to draw a map that eliminated a Republican-performing district for predominantly political purposes. The Defendants highlight the purported animosity between Governor Jeff Landry and Representative Garrett Graves to support their contention that political considerations served as the predominant motivating factor behind SB8. However, given the slim majority Republicans hold in the United States House of Representatives, even if such personal or intra-party animosity did or does exist, it is difficult to fathom that Louisiana Republicans would intentionally concede a seat to a Democratic candidate on those bases. Rather, the Court finds that District 6 was drawn primarily to create a second majority-Black district that they predicted would be ordered in the Robinson litigation after a trial on the merits. Thus, it is clear that race was the driving force and predominant factor behind the creation of District 6. Page 44 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 45 of 135 PageID #: 4935 One, often highly persuasive way to disprove a States contention that politics drove a district's lines is to show that the legislature had the capacity to accomplish all its partisan goals without moving so many members of a minority group into the district. If you were really sorting by political behavior instead of skin color (so the argument goes) you would have done - or, at least, could just as well have done - this. Such would-have, could-have, and (to round out the set) should-have arguments are a familiar means of undermining a claim that an action was based on a permissible, rather than a prohibited, ground. Cooper, 581 U.S. at 317. In the present case, the record reflects that the State could have achieved its political goals in ways other than by carving up and sorting by race the citizens of Baton Rouge, Lafayette, Alexandria, and Shreveport. Put another way, the Legislature's decision to increase the BVAP of District 6 to over 50 percent was not required to protect incumbents and supports the Plaintiffs' contention that race was the predominate factor in drawing the district's boundaries. In sum, Plaintiffs have met their initial burden, and the burden now shifts to the State to prove that District 6 survives strict scrutiny. B. Strict Scrutiny When a Plaintiff succeeds in proving racial predominance, the burden shifts to the State to "demonstrate that its districting legislation [was] narrowly tailored to achieve a compelling interest." Bethune-Hill, 580 U.S. at 193 (citing Miller, 515 U.S. at 920). 1. Compelling State Interest The State argues that compliance with Section 2 of the Voting Rights Act is a compelling state interest. The Supreme Court has repeatedly assumed without deciding that compliance with the Voting Rights Act is a compelling interest. See Shaw II, 517 U.S. at 915; Cooper, 581 U.S. at 292; Bethune-Hill, 580 U.S. at 193. To Page 45 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 46 of 135 PageID #: 4936 show that the districting legislation satisfies the "narrow tailoring” requirement “the state must establish that it had 'good reasons' to think that it would transgress the act if it did not draw race-based district lines." This “strong basis (or 'good reasons') standard” provides “breathing room” to the State “to adopt reasonable compliance measures that may prove, in perfect hindsight not to have been needed.” Cooper, 581 U.S. at 293 (quoting Bethune-Hill, 581 U.S. at 293) (emphasis added). Moreover, the Supreme Court has often remarked that “redistricting is primarily the duty and responsibility of the State,” not of the courts. Abbott v. Perez, 585 U.S. 579, 603, 138 S. Ct. 2305, 2324, 201 L.Ed.2d 714 (2018) (citing Miller, 515 U.S. at 915). Turning to the present case, the State argues that it had a “strong basis” in evidence to believe that the district court for the Middle District was likely, after a trial on the merits in Robinson, to rule that Louisiana's congressional map violated Section 2 of the Voting Rights Act and order the creation of a second majority-Black district. See Robinson Appeal Ruling at 583 (vacating the district court's preliminary injunction and granting the Legislature the opportunity to draw a new map instead of advancing to a trial on the merits of HB1); See also Robinson Docket, [Doc. 315] ("If the Defendant/Intervenors fail to produce a new enacted map on or before [January 30, 2024], this matter will proceed to a trial on the merits on [February 5, 2024], which shall continue daily until complete"); see, e.g., JE36 at 4 (Senator Price: "We all know that we've been ordered by the court that we draw congressional districts with two minority districts. This map will comply with the order of both the Fifth Circuit Court of Appeals and the district court. They have said that the Legislature must pass a map that has two majority black districts."); JE33, 5:1-7 Page 46 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 47 of 135 PageID #: 4937 (Representative Beaullieu: "As Senator Stine said earlier in this week, ‘It's with a heavy heart that I present to you this other map,' but we have to. It's that clear. A federal judge has ordered us to draw an additional minority seat in the State of Louisiana."); JE34, 11:3–7 (Senator Carter: “[W]e came together in an effort to comply with a federal judge's order that Louisiana provide equal representation to the African Americans in the State of Louisiana, and we have an opportunity to do that."); JE36 at 18 (Representative Marcelle: “Let's not let Judge Dick have to do what our job is, which is to create a second minority-majority district."); JE30, 20:22-21:4 (Senator Duplessis: "It's about a federal law called the Voting Rights Act that has not been interpreted just by one judge in the Middle District of Louisiana who was appointed by former president Barack Obama, but also a U.S. Fifth Circuit Court of Appeals that's made up of judges that were appointed by predominantly Republican presidents, and a United States Supreme Court that has already made rulings."); Tr. Vol. I, 47:22-48:1 (Senator Seabaugh: "Well, the – really, the only reason we were there was because of the other litigation; and Judge Dick saying that she - if we didn't draw the second minority district, she was going to. I think that's the only reason we were there."); Tr. Vol. I, 69:24-70:4 (Senator Pressly: "We were told that we had to have two performing African American districts. And that we were that that was ― the main tenet that we needed to look at and ensure that we were able to draw the court - draw the maps; otherwise, the Court was going to draw the maps for us"). The Court assumes, without deciding, that compliance with Section 2 was a compelling interest for the State to attempt to create a second majority-Black district in the present case. However, even assuming that the Voting Rights Act is a Page 47 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 48 of 135 PageID #: 4938 compelling state interest in this case, that compelling interest does not support the creation of a district that does not comply with the factors set forth in Gingles or traditional districting principles. See e.g., Shaw II, 517 U.S. at 915 ("We assume, arguendo, for the purpose of resolving this suit, that compliance with Section 2 could be a compelling interest" but hold that the remedy is not narrowly tailored to the asserted end); Vera, 517 U.S. at 977 (plurality opinion) (“[W]e assume without deciding that compliance with [the Voting Rights Act], as interpreted by our precedents, can be a compelling state interest” but hold that the districts at issue are not "narrowly tailored" to achieve that interest (citation omitted)); Ala. Legis. Black Caucus, 575 U.S. at 279 (“[W]e do not here decide whether ... continued compliance with § 5 [of the Voting Rights Act] remains a compelling interest" because "we conclude that the District Court and the legislature asked the wrong question with respect to narrow tailoring.”). Indeed, the Supreme Court has made clear that, in the context of a constitutional challenge to a districting scheme, “unless each of the three Gingles prerequisites is established,“ ‘there neither has been a wrong nor can be a remedy" and the districting scheme does not pass muster under strict scrutiny. Cooper v. Harris, 581 U.S. at 306 (quoting Growe v. Emison, 507 U.S. 25, 41, 113 S. Ct. 1075, 1084, 122 L.Ed.2d 388 (1993)). With respect to traditional districting requirements, the Supreme Court has consistently warned that, "§ 2 never require[s] adoption of districts that violate traditional redistricting principles. Its exacting requirements, instead, limit judicial intervention to 'those instances of intensive racial politics' where the 'excessive role [of race] in the electoral process ... den[ies] minority voters Page 48 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 49 of 135 PageID #: 4939 equal opportunity to participate."" Allen v. Milligan, 599 U.S. at 29–30 (internal citations omitted). 11 Accordingly, whether District 6, as drawn, is “narrowly tailored" requires the Court to address the Gingles factors as well as traditional districting criteria. a. Consideration of the Gingles Factors The Supreme Court in Gingles set out how courts must evaluate claims alleging a Section 2 violation of the Voting Rights Act. Gingles involved a challenge to North Carolina's districting scheme, which purportedly diluted the vote of its Black citizens. Gingles, 478 U.S. at 34–36. Gingles emphasized precisely what Section 2 guards against. “The essence of a § 2 claim," the Court explained, “is that a certain electoral law, practice, or structure interacts with social and historical conditions to cause an inequality in the opportunities enjoyed by black and white voters.” Id. at 47. This inequality occurs where an "electoral structure operates to minimize or cancel out” minority voters' “ability to elect their preferred candidates." Id. at 48. This risk is greatest “where minority and majority voters consistently prefer different candidates” and where minority voters are submerged in a majority voting population that “regularly defeat[s]" their choices. Ibid. 11 The concern that Section 2 may impermissibly elevate race in the allocation of political power within the states is, of course, not new. See, e.g., Shaw I, 509 U.S. at 657 ("Racial gerrymandering, even for remedial purposes, may balkanize us into competing racial factions; it threatens to carry us further from the goal of a political system in which race no longer matters."); Allen v. Milligan, 599 U.S. at 41-42. To ensure that Gingles does not improperly morph into a proportionality mandate, courts must rigorously apply the "geographically compact” and “reasonably configured” requirements. Id. at 44 (Kavanaugh concurrence, n. 2). Page 49 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 50 of 135 PageID #: 4940 But Section 2 of the Voting Rights Act explicitly states that, “nothing in this section establishes a right to have members of a protected class elected in numbers equal to their proportion in the population.” 52 U.S.C. § 10301. And the Supreme Court has repeatedly admonished that Gingles does not mandate a proportional number of majority-minority districts. Indeed, “[i]f Gingles demanded a proportional number of majority-minority districts, States would be forced to group together geographically dispersed minority voters into unusually shaped districts, without concern for traditional districting criteria such as county, city, and town lines. But Gingles and this Court's later decisions have flatly rejected that approach.” Allen v. Milligan, 599 U.S. at 43–44 (Kavanaugh concurring) (citing Abbott, 585 U.S. at 615; Vera, 517 U.S. at 979; Gingles, 478 U.S. at 50; Miller, 515 U.S. at 917–920; and Shaw I, 509 U.S. at 644–649). Instead, Gingles requires the creation of a majority-minority district only when, among other things: (i) a State's redistricting map cracks or packs a large and "geographically compact" minority population and (ii) a plaintiff's proposed alternative map and proposed majority-minority district are “reasonably configured" – namely, by respecting compactness principles and other traditional districting criteria such as county, city, and town lines. Allen v. Milligan, 599 U.S. at 43 (Kavanaugh concurring) (citing Cooper, 581 U.S. at 301–302; Voinovich v. Quilter, 507 U.S. 146, 153–154, 113 S. Ct. 1149, 122 L.Ed.2d 500 (1993)). In order to succeed in proving a Section 2 violation under Gingles, Plaintiffs must satisfy three specific "preconditions." Gingles, 478 U.S. at 50. First, the “minority group must be sufficiently large and [geographically] compact to constitute Page 50 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 51 of 135 PageID #: 4941 a majority in a reasonably configured district.” Wisconsin Legislature v. Wisconsin Elections Comm'n, 595 U.S. 398, 402, 142 S. Ct. 1245, 1248, 212 L.Ed.2d 251 (2022) (per curiam) (citing Gingles, 478 U.S. at 46–51). Case law explains that a district will be reasonably configured if it comports with traditional districting criteria, such as being contiguous and reasonably compact. See Ala. Legis. Black Caucus, 575 U.S. at 272. “Second, the minority group must be able to show that it is politically cohesive." Gingles, 478 U.S. at 51. Third, “the minority must be able to demonstrate that the ... white majority votes sufficiently as a bloc to enable it to defeat the minority's preferred candidate." Ibid. Finally, a plaintiff who demonstrates the three preconditions must also show, under the "totality of circumstances,” that the political process is not “equally open” to minority voters. Id. at 38-38 and 45-46 (identifying several factors relevant to the totality of circumstances inquiry, including "the extent of any history of official discrimination in the state ... that touched the right of the members of the minority group to register, to vote, or otherwise to participate in the democratic process."). Each of the three Gingles preconditions serves a different purpose. The first, which focused on geographical compactness and numerosity, is “needed to establish that the minority has the potential to elect a representative of its own choice in some [reasonably configured] single-member district.” Growe, 507 U.S. at 40. The second, which concerns the political cohesiveness of the minority group, shows that a representative of its choice would in fact be elected. Ibid. The third precondition, which focuses on racially polarized voting, “establish[es] that the challenged districting thwarts a distinctive minority vote" at least plausibly on account of race. Page 51 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 52 of 135 PageID #: 4942 Ibid. Finally, the totality of circumstances inquiry recognizes that application of the Gingles factors is “peculiarly dependent upon the facts of each case." 478 U.S. at 79. Before a court can find a violation of Section 2, therefore, they must conduct "an intensely local appraisal" of the electoral mechanism at issue, as well as “searching practical evaluation of the ‘past and present reality.”” Ibid. In the present case, the State simply has not met its burden of showing that District 6 satisfies the first Gingles factor – that the “minority group [is] sufficiently large and [geographically] compact to constitute a majority in a reasonably configured district." The record reflects that, outside of southeast Louisiana, the State's Black population is dispersed. That required the State to draw District 6 as a “bizarre” 250- mile-long slash-shaped district that functions as a majority-minority district only because it severs and absorbs majority-minority neighborhoods from cities and parishes all the way from Baton Rouge to Shreveport. As discussed below, this fails to comport with traditional districting principles. b. Traditional Districting Principles The first Gingles factor requires that a minority population be “[geographically] compact to constitute a majority in a reasonably configured district." Allen v. Milligan, 599 U.S. at 18 (quoting Wisconsin, 595 U.S. at 402). This requires consideration of traditional districting principles. Traditional districting principles consist of six criteria that arose from case law. The first three are geographic in nature and are as follows: (1) compactness, (2) contiguity, and (3) preservation of parishes and respect for political subdivisions. Shaw I, 509 U.S. at 647. The Supreme Court has emphasized that “these criteria are Page 52 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 53 of 135 PageID #: 4943 important not because they are constitutionally required – they are not, cf. Gaffney - v. Cummings, 412 U.S. 735, 752, n. 18, 93 S. Ct. 2321, 2331, n. 18, 37 L.Ed.2d 298 (1973) – but because they are objective factors that may serve to defeat a claim that a district has been gerrymandered on racial lines.” Id. The other three include preservation of communities of interest, preservation of cores of prior districts, and protection of incumbents. See Miller, 515 U.S. at 916; Karcher v. Daggett, 462 U.S. 725, 740 (1983). ... shall Joint Rule 21 - enacted by the Legislature in 2021 – contains criteria that must be satisfied by any redistricting plan created by the Legislature, separate and apart from compliance with the Voting Rights Act and Equal Protection Clause. JE2. Joint Rule 21 states, relevantly, that “each district within a redistricting plan contain whole election precincts as those are represented as Voting Districts (VTDs)" and "[i]f a VTD must be divided, it shall be divided into as few districts as possible." Id. at (G)(1)-(2). Joint Rule 21 further requires the Legislature to “respect the established boundaries of parishes, municipalities, and other political subdivisions and natural geography of this state to the extent practicable.” Id. at (H). However, this requirement does not take precedence over the preservation of communities of interest and "shall not be used to undermine the maintenance of communities of interest within the same district to the extent practicable.” Id. The Supreme Court case of Miller v. Johnson demonstrates how traditional districting criteria applies to a racial gerrymandering claim. 515 U.S. at 910–911. There, the Supreme Court upheld a district court's finding that one of Georgia's ten congressional districts was the product of an impermissible racial gerrymander. Id. Page 53 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 54 of 135 PageID #: 4944 At the time, Georgia's BVAP was 27 percent, but there was only one majority- minority district. Id. at 906. To comply with the Voting Rights Act, Georgia's government thought it necessary to create two more majority-minority districts thereby achieving proportionality. Id. at 920-921. But like North Carolina in Shaw I, Georgia could not create the districts without flouting traditional criteria. Instead, the unconstitutional district "centered around four discrete, widely spaced urban centers that ha[d] absolutely nothing to do with each other, and stretch[ed] the district hundreds of miles across rural counties and narrow swamp corridors.” Miller, 515 U.S. at 908. The Court called the district a geographic “monstrosity." Allen v. Milligan, 599 U.S. at 27-28 (citing Miller, 515 U.S. at 909). C. Communities of Interest Perhaps more than any other state of its size, the State of Louisiana is fortunate to have a rich cultural heritage, including diverse ethnicities, customs, economic drivers, types of agriculture, and religious affiliations. While the Court is not bound by the decisions in the Hays litigation - made some thirty years ago and involving a different though similar map, and different Census numbers – much of the "local appraisal" analysis from Hays I remains relevant to an analysis of SB8. There, the Hays court concluded that the distinct and diverse economic interests encapsulated in the challenged district, namely cotton and soybean plantations, centers of petrochemical production, urban manufacturing complexes, timberlands, sawmills and paper mills, river barge depots, and rice and sugarcane fields are strung together to form the eclectic and incoherent industrial base of District 4. These diverse segments of the State economy have little in common. Indeed, their interests more often conflict than harmonize. Page 54 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 55 of 135 PageID #: 4945 Hays I, 839 F. Supp. at 1201. Though this was written 30 years ago, the same is true today. And like the predecessor districts drawn in Hays, it is readily apparent to anyone familiar with Louisiana history and culture that Congressional District 6 also violates the traditional north-south ethno-religious division of the State. Along its circuitous route, this new district combines English-Scotch- Irish, mainline Protestants, traditional rural Black Protestants, South Louisiana Black Catholics, Continental French-Spanish-German Roman Catholics, sui generis Creoles, and thoroughly mixed polyglots, each from an historically discrete and distinctive region of Louisiana, as never heretofore so extensively agglomerated. Id. Indeed as succinctly stated by the Hays court, the differences between North Louisiana, Baton Rouge, and Acadiana in term of culture, economic drivers, types of agriculture, and religious affiliations are pronounced. 12 This is so well known that 12 Among other strong cultural and ethnic groups divided by SB8, the French Acadian ("Cajun") and Creole communities in Southwest Louisiana have a strong identity and a shared history of adversity. The Acadians, for their part, were expelled from Nova Scotia by the British and Anglo-Americans during the French and Indian War, and some settled into the southwestern parishes of Louisiana (“Acadiana"). See Carl A. Brasseaux, The Founding of New Acadia: The Beginning of Acadian Life in Louisiana, 1765-1803 (Chapter 5) (Louisiana State University Press 1987). This historical event is well-known in Louisiana and referred to as Le Grand Dérangement. See William Faulker Rushton, The Cajuns From Acadia to Louisiana (Farrar Straus Giroux 1979). The Acadian refugees made their homes in the foreign swamps and bayous of southern Louisiana and from there, built a rich and persisting culture – marked by their distinct dialect of French, and their cuisine, music, folklore, and Catholic faith. See Brasseaux, The Founding of New Acadia. In 1921, Louisiana's Constitution eliminated any reference to the French language and instead required only English to be taught, used, and spoken in Louisiana schools, which detrimentally affected the continuation of Cajun French. Roger K. Ward, The French Language in Louisiana Law and Legal Education: A Requiem, 57 La. L. Rev. 1299 (1997). https://digitalcommons.law.lsu.edu/cgi/viewcontent.cgi?article=5694&context=lalrev. Remarkably, after years of cultural suppression, the late 1960s/early 1970s witnessed collective activism to revive Cajun French and culture in the area. Id. at 1299; see also https://www.nationalgeographic.com/culture/article/reviving-the-cajun-dialect. Thankfully, Louisiana's 1974 Constitution safeguarded efforts by Cajun cultural groups to “ensure [their] preservation and proliferation." Id. at 1300. To this day, Acadiana celebrates its Page 55 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 56 of 135 PageID #: 4946 any Louisiana politician seeking statewide office must first develop a strategy to bridge the regional cultural and religious differences in Louisiana. 13 There is no doubt that District 6 divides some established communities of interest from one another while collecting parts of disparate communities of interest into one voting district. Among other things, District 6 in SB8 splits six of the ten parishes that it touches. As the Court succinctly states in Hays, “there is no more fundamental unit of societal organization in the history of Louisiana than the parish.” Hays I, 839 F. Supp. at 1200. District 6 also divides the four largest cities and metropolitan areas in its path along clearly racial lines. Among these are three of the four largest cities in Louisiana ―i.e., Baton Rouge, Lafayette, and Shreveport. And the maps in the record are clear that the division of these communities is based predominantly on the location of majority-Black voting precincts. Indeed, SB8, just like the congressional districts in Hays I, "violates the boundaries of nearly all major municipalities in the State." Hays Francophone ties with festivals such as Festival International de Louisiane, which features Francophone musicians and artisans from around the world, and Festival Acadiens and Créoles, the largest Cajun and Creole festival in the world. Further, to preserve the language, organizations such as CODOFIL support the preservation of the French language in Louisiana, and on a smaller scale, many community members form “French tables” where only French is allowed to be spoken. The unique community of Acadiana, among many others in Louisiana, with a deep connection and awareness of its past, certainly constitutes a community of interest. Race predominating, SB8 fails to take into account Louisiana's diverse cultural, religious, and social landscape in any meaningful way. 13 Attempting to bridge the north-south religious divide, one of Louisiana's most famous politicians, Huey Long, began his stump speech by claiming, that, “when I was a boy, I would get up at six o'clock in the morning on Sunday, and I would take my Catholic grandparents to mass. I would bring them home, and at ten o'clock I would hitch the old horse up again, and I would take my Baptist parents to church." A colleague later said, “I didn't know you had any Catholic grandparents.” To which he replied, “Don't be a damned fool. We didn't even have a horse." Page 56 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 57 of 135 PageID #: 4947 I, 839 F. Supp. at 1201. The law is crystal clear on this point. As the Supreme Court held in Allen v. Milligan, it is unlawful to “concentrate [] a dispersed minority population in a single district by disregarding traditional districting principles such as compactness, contiguity, and respect for political subdivisions,” reaffirming that “[a] reapportionment plan that includes in one district individuals who belong to the same race, but who are otherwise separated by geographical and political boundaries," raises serious constitutional concerns. 599 U.S. at 27 (citing Shaw I, 509 U.S. at 647). Based upon the foregoing, the Court finds that SB8's District 6 does not satisfy the "geographically compact" and "reasonably configured" Gingles requirement. d. Respect for Political Boundaries Subdivisions and Natural Nor does SB8 take into account natural boundaries such as the Atchafalaya Basin, the Mississippi River, or the Red River. Just as in Miller, District 6 of SB8 "centers around four discrete, widely spaced urban centers that have absolutely nothing to do with each other, and stretches the district hundreds of miles across rural counties and narrow swamp corridors.” 515 U.S. at 908; Allen v. Milligan, 599 U.S. at 27-28 (citing Miller v. Johnson). Specifically, District 6's population centers around the widely-spaced urban centers of Shreveport, Alexandria, Lafayette, and Baton Rouge - each of which is an independent metropolitan area – and are connected to one another only by rural parishes having relatively low populations. Importantly, none of these four cities or the parishes in which they are located are, by themselves, large enough to require that they be divided to comply with the “one person, one vote" Page 57 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 58 of 135 PageID #: 4948 requirement of the Fourteenth Amendment. Reynolds v. Sims, 377 U.S. 533, 566, 84 S. Ct. 1362, 1384, 12 L.Ed.2d 506 (1964). e. Compactness - The record also includes statistical evidence showing that District 6 is not "compact" as required by traditional districting principles. Specifically, Dr. Voss testified that, based on three measures of compactness (i) the Reock Score; (ii) the Polsby-Popper score; and (iii) the Know It When You See It ("KIWYSI") score the current form of District 6 in SB8 performs worse than the districts in either HB1 (the map that was enacted in 2022) or the map that HB1 replaced from the previous decade. Tr., Vol. I, 100:22-103:5; 104:25-105:4; PE7. Thus, SB8 does not produce compact maps when judged in comparison to other real-life congressional maps of Louisiana. Tr., Vol. I, 107:16-21. Dr. Voss also opined that SB8's majority-Black districts were especially non-compact compared to other plans that also included two majority-minority districts. Id. at 106:17-24. According to Dr. Voss, SB8's District 6 scored worse on the Polsby-Popper test than the second majority-Black districts in other proposed plans that created a second majority-Black district. Id. at 106:17-24. In sum, District 6 does not satisfy the first Gingles precondition nor does it comply with traditional districting principles. Accordingly, SB8 and, more specifically, District 6 cannot withstand strict scrutiny. That being said, while the record is clear that Louisiana's Black population has become more dispersed and integrated in the thirty years since the Hays litigation (and Louisiana now has only six rather than the seven Congressional districts it had at that time), this Court does not decide on the record before us whether it is feasible to create a second majority- Page 58 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 59 of 135 PageID #: 4949 Black district in Louisiana that would comply with the Equal Protection Clause of the Fourteenth Amendment. However, we do emphasize that Section 2 of the Voting Rights Act never requires race to predominate in drawing Congressional districts at the sacrifice of traditional districting principles. Allen v. Milligan, 599 U.S. at 29–30 (internal citations omitted). V. REMEDIAL PHASE The Court will hold a status conference to discuss the remedial stage of this trial on May 6, 2024, at 10:30 a.m. CST. VI. CONCLUSION As our colleagues so elegantly stated in Hays II, the long struggle for civil rights and equal protection under the law that has taken place in Louisiana and throughout our country, includes: countless towns across the South, at schools and lunch counters, at voter registrar's offices. They stood there, black and white, certain in the knowledge that the Dream was coming; determined that no threat, no spittle, no blow, no gun, no noose, no law could separate us because of the color of our skin. To say now: "Separate!” “Divide!” “Segregate!” is to negate their sacrifice, mock their dream, deny that self-evident truth that all men are created equal and that no government may deny them the equal protection of its laws. Hays II at 125. The Court agrees and finds that SB8 violates the Equal Protection Clause as an impermissible racial gerrymander. In light of the foregoing, the Court GRANTS PLAINTIFFS' REQUEST FOR INJUNCTIVE RELIEF. The State of Louisiana is prohibited from using SB8's map of congressional districts for any election. Page 59 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 60 of 135 PageID #: 4950 A status conference is hereby set on May 6, 2024, at 10:30 a.m. CST to discuss the remedial stage of this trial. Representatives for each party must attend. THUS, DONE AND SIGNED on this 30th day of April 2024. Patteaux ROBERT R. SUMMERHAYS UNITED STATES DISTRICT JUDGE WESTERN DISTRICT OF LOUISIANA avid Joseph DAVID C. JOSEPH UNITED STATES DISTRICT JUDGE WESTERN DISTRICT OF LOUISIANA Page 60 of 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 61 of 135 PageID #: 4951 Carl E. Stewart, Circuit Judge, dissenting: Contrary to my panel colleagues, I am not persuaded that Plaintiffs have met their burden of establishing that S.B. 8 is an unconstitutional racial gerrymander. The totality of the record demonstrates that the Louisiana Legislature weighed various political concerns—including protecting of particular incumbents—alongside race, with no factor predominating over the other. The panel majority's determination that S.B. 8 is unconstitutional is incredibly striking where, as here, Plaintiffs did not even attempt to address or disentangle the various political currents that motivated District 6's lines in S.B. 8.1 While this inquiry should end at racial predominance, I would further hold that S.B. 8 satisfies strict scrutiny because the Supreme Court has never imposed the aggressive incursion on state sovereignty that the panel majority advocates for here. Indeed, the panel majority's requirements for permissible electoral map trades in the substantial "breathing room” afforded state legislatures in reapportionment for a tightly wrapped straight-jacket. Therefore, I respectfully dissent. I. Factual Background The Supreme Court has undoubtedly recognized that in a "more usual case," alleging racial gerrymandering, a trial court "can make real headway by exploring the challenged district's conformity to traditional districting principles, such as compactness and respect for county lines." 1 Notably, none of the plaintiffs in this case demonstrated that S.B. 8 had a discriminatory effect on them based on their race. None of them testified or otherwise entered any evidence into the record of their racial identity, which conflicts with the well- recognized principle that actionable intentional discrimination must be against an "identifiable group." See Fusilier v. Landry, 963 F.3d 447, 463 (5th Cir. 2020). As an aside, nearly all of the plaintiffs in this case lack standing to allege this racial gerrymandering claim because they do not reside in District 6. See United States v. Hays, 515 U.S. 737, 744-45 (1996).

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 62 of 135 PageID #: 4952 Cooper v. Harris, 581 U.S. 285, 308 (2017). Notably, the panel majority has proceeded full steam ahead in this direction without proper regard for the atypical nature of this case and trial record. Because of this, the panel majority has mis-stepped with regard to their approach, resulting in numerous errors and omissions in both their reasoning and holding. One such omission derives from the fact that none of the prior redistricting cases arrive from the same genesis as this one. This case involves important distinctions, worth noting, that make it anything but a "usual" racial gerrymandering case. See Cooper, 581 U.S. at 308. First, the State has made no concessions to racial predominance. 2 Second, the State affirmatively invokes a political motivation defense. 3 Third, the State constructively points—not to a Justice Department demand letter as "a strong basis in evidence" but—to the findings of an Article III judge.4 The panel majority has failed to adequately grapple with each of these relevant factors, I will address them herein. I start with the 2020 Census because understanding the setting is necessary in deciding this nuanced and context-specific case. The Supreme Court has said as much. It has held that the "historical background of the decision is one evidentiary source, particularly if it reveals a series of official 2 See Miller v. Johnson, 515 U.S. 900, 918 (1995) ("The court supported its conclusion not just with the testimony . . . but also with the State's own concessions."). 3 E.g., Cooper, 581 U.S. at 308 (2017) (citing Hunt v. Cromartie, 526 U.S. 541, 547 n.3 (1999) ("Cromartie l'")) (emphasizing the importance of inquiries into asserted political or partisanship defenses since bizarrely shaped districts “can arise from a 'political motivation' as well as a racial one"). 4 See Miller, 515 U.S. at 918 ("Hence the trial court had little difficulty concluding that the Justice Department spent months demanding purely race-based revisions to Georgia's redistricting plans, and that Georgia spent months attempting to comply.") (internal citation and quotation marks omitted).

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 63 of 135 PageID #: 4953 actions taken for invidious purposes. The specific sequence of events leading up to the challenged decision also may shed some light on the decisionmaker's purposes." Village of Arlington Heights v. Metro. Hous. Dev. Corp., 429 U.S. 252, 267 (1977) (internal citations omitted). Effectually, it is a mistake to view this case in a vacuum-as if the Louisiana Legislature's redistricting efforts and duties burgeon in January 2024. Instead, viewing the case within the lens of the appropriate backdrop―the United States and Louisiana Constitutions, Robinson v. Ardoin, 5 and Governor Landry's call to open the 2024 Extraordinary Legislative Session—the Legislature had an obligation to reapportion. The U.S. Constitution sets out that “[t]he House of Representatives shall be composed of Members chosen every second Year by the People of the several States." It further vests state legislatures with the primary responsibility to craft federal congressional districts, namely through the Election Clause. U.S. Const. art. I, § 4, cl. 1. Article III, § 6 of the Louisiana Constitution charges the Louisiana Legislature with the duty to reapportion the single-member districts for the U.S. House of Representatives after each decennial census. La. Const. art. III, § 6. In April 2021, the results of the 2020 Census were delivered to Louisiana and the state's congressional apportionment remained six seats in the U.S. House of Representatives. Robinson Interv. FOF, ECF 189-1, 11 (citing Robinson I, 605 F. Supp. 3d 767). The 2020 Census data would drive the state of Louisiana's redistricting process. See La. Const. art. III, § 6; Robinson 1, 605 F. Supp. 3d at 767. 5 Robinson v. Ardoin, 605 F. Supp. 3d 759, 767 (M.D. La. 2022) ("Robinson I"), cert. granted before judgment, 142 S. Ct. 2892 (2022), and cert. dismissed as improvidently granted, 143 S. Ct. 2654 (2023), and vacated and remanded, 86 F.4th 574 (5th Cir. 2023). 3

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 64 of 135 PageID #: 4954 "Leading up to their redistricting session, legislators held a series of 'roadshow' meetings across the state, designed to share information about redistricting and solicit public comment and testimony, which lawmakers described as absolutely vital to this process." Id. "The drawing of new maps was guided in part by Joint Rule No. 21, passed by the Louisiana Legislature in 2021 to establish criteria that would ‘promote the development of constitutionally and legally acceptable redistricting plans."" Robinson 1, 605 F. Supp. 3d at 767. “The Legislature convened on February 1, 2022 to begin the redistricting process; on February 18, 2022, H.B. 1 and S.B. 5, the bills setting forth new maps for the 2022 election cycle, passed the Legislature." Id. at 767-68. Following the promulgation of H.B. 1, a select group of Black voters brought a claim under § 2 of the Voting Rights Act of 1965 ("VRA") to invalidate the congressional maps. See id. at 760. The events of that litigation as it proceeded through in the Middle District of Louisiana and the Fifth Circuit propelled the newly elected Governor Jeff Landry to call an Extraordinary Legislative Session in January 2024. See JE 35 at 10–14. Ultimately, S.B. 8 "was chosen over other plans with two majority-Black districts that were more compact and split fewer parishes and municipalities because those plans failed to achieve the overriding goal of protecting the seats of United States House Speaker Mike Johnson, Majority Leader Steve Scalise, and Representative Julia Letlow at the expense of Representative Garret Graves." Robinson Interv. Post-trial Memo, ECF 189 at 1; Robinson Interv. FOF, ECF 189-1, at 33–35, ¶¶ 135–142. While the panel majority repeatedly concedes that the Hays litigation is three decades old and relies on now-antiquated data, its opinion nevertheless presses forward by drawing parallels and making conclusions that are devoid of crucial context. The panel majority avers that "much of 4

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 65 of 135 PageID #: 4955 the 'local appraisal' analysis from Hays I remains relevant to an analysis of S.B.8," claiming that S.B. 8's District 6 succumbs to the same violations of the “traditional north-south ethno-religious division of the State.” Majority Op. 53-54. Unlike Hays, where the cartographer tasked with drawing the map conceded that he "concentrated virtually exclusively on racial demographics and considered essentially no other factor except the ubiquitous constitutional ‘one person-one vote' requirement,” the record before this court is filled with evidence that political factors were paramount in the drawing of S.B. 8. Additionally, the racial makeup of the state has changed drastically over the past three decades. As the Middle District of Louisiana adeptly concluded: "6 By every measure, the Black population in Louisiana has increased significantly since the 1990 census that informed the Hays map. According to the Census Bureau, the Black population of Louisiana in 1990 was 1,299,281.285. At the time, the Census Bureau did not provide an option to identify as more than one race. The 2020 Census results indicate a current Black population in Louisiana of 1,464,023 using the single-race Black metric, and 1,542,119 using the Any Part Black metric. So, by the Court's calculations, the Black population in Louisiana has increased by at least 164,742 and as many as 242,838 since the Hays litigation. Hays, decided on census data and demographics 30 years ago, is not a magical incantation with the power to freeze Louisiana's congressional maps in perpetuity. Hays is distinguishable and inapplicable. Robinson I, 605 F. Supp. 3d at 834. Given this pivotal context, I deem it a grievous error for the panel majority to place the Hays map and S.B. 8 map 6 Hays v. State, 936 F. Supp. 360, 368 (W.D. La. 1996).

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 66 of 135 PageID #: 4956 side-by-side and imply that the similarities in district shape alone are dispositive. The panel majority is correct, however, that "[this] Court is not bound by the decisions in the Hays litigation." Majority Op. 53. II. Racial Predominance Because of the interminable interplay between satisfying the Fourteenth Amendment and complying with § 2 of the VRA, it is axiomatic that electoral districting involves some racial awareness. Redistricting violates the Equal Protection Clause of the Fourteenth Amendment when race is the "predominant" consideration in deciding “to place a significant number of voters within or without a particular district." Miller, 515 U.S. at 913, 916. However, the Supreme Court has highlighted that: [Electoral] districting differs from other kinds of state decision-making in that the legislature always is aware of race when it draws district lines, just as it is aware of age, economic status, religious and political persuasion, and a variety of other demographic factors. That sort of race consciousness does not lead inevitably to impermissible race discrimination. Shaw v. Reno, 509 U.S. 630, 646 (1993) (“Shaw I"); see also Miller, 515 U.S. at 915–16 (“Redistricting legislatures will . . . almost always be aware of racial demographics; but it does not follow that race predominates in the redistricting process."). The Court again reemphasized in Easley v. Cromartie that “race must not simply have been a motivation for the drawing of a majority-minority district but the predominant factor motivating the legislature's districting decision." 532 U.S. 234, 241 (2001) ("Cromartie II") (internal citations and quotation marks omitted). Consequently, in my view, the panel majority has not properly assessed "predominance" under the relevant caselaw. Specifically, the Supreme Court has directed "courts, in assessing the sufficiency of a challenge to a districting plan, [to] be sensitive to the 6

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 67 of 135 PageID #: 4957 complex interplay of forces that enter a legislature's redistricting calculus.” Miller, 515 U.S. at 915-16. This sensitive inquiry requires a careful balancing of the legislative record and evidence adduced at trial to unpack the motivations behind the lines on the map. The Court in Miller explained that: The distinction between being aware of racial considerations and being motivated by them may be difficult to make. This evidentiary difficulty, together with the sensitive nature of redistricting and the presumption of good faith that must be accorded legislative enactments, requires courts to exercise extraordinary caution in adjudicating claims that a State has drawn district lines on the basis of race. Id. at 916. The Supreme Court in Alabama Legislative Black Caucus v. Alabama reaffirmed the characterizations of "predominance" and the associated burden of proof. 575 U.S. 254, 272 (2015) Plainly, “a plaintiff pursuing a racial gerrymandering claim must show that race was the predominant factor motivating the legislature's decision to place a significant number of voters within or without a particular district." Id. (quoting Miller, 515 U.S. at 916) (internal quotation marks omitted). Here, Plaintiffs have shown racial awareness-to be sure. But identifying awareness is not the end of the inquiry. To prove racial predominance, a "plaintiff must prove that the legislature subordinated traditional race-neutral districting principles . . . to racial considerations." Miller, 515 U.S. at 916. The relevant "traditional race- neutral districting principles," which the Court has listed many times, include "compactness, contiguity, respect for political subdivisions or communities defined by actual shared interests," incumbency protection, and political affiliation. Miller, 515 U.S. at 901; Bush v. Vera, 517 U.S. 952, 964, 968 (1996). A plaintiff's burden in a racial gerrymandering case is "to show, either through circumstantial evidence of a district's shape and 7

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 68 of 135 PageID #: 4958 demographics or more direct evidence going to legislative purpose, that race was the predominant factor motivating the legislature's decision." Miller, 515 U.S. at 916. Plaintiffs have failed to show racial predominance through either direct or circumstantial evidence or any combination thereof. A. Circumstantial Evidence

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 69 of 135 PageID #: 4959 Like the plaintiffs in Cromartie I, Plaintiffs here seek to prove their racial gerrymandering claim through circumstantial evidence—e.g., maps showing the district's size, shape, an alleged lack of continuity, and statistical and demographic evidence. See 526 U.S. at 541–43. In their post- trial memorandum, Plaintiffs maintain that the "bizarre shape of District 6 reveals racial predominance." ECF 190 at 15. In opposition, the State raises its "political motivation" defense by alleging that: (1) “the Governor and the Legislature made a political judgment to reclaim the State's sovereign right to draw congressional maps rather than cede that responsibility to the federal courts” and (2) “the contours of the S.B. 8 map were themselves motivated by serious political calculations." State's Post Trial Memo at 5-6. Because "political and racial reasons are capable of yielding similar oddities in a district's boundaries," the Court in Cooper entrusted trial courts with "a formidable task: [to] make ‘a sensitive inquiry' into all 'circumstantial and direct evidence of intent' to assess whether the plaintiffs have managed to disentangle race from politics and prove that the former drove a district's lines." Cooper, 581 U.S. at 308 (quoting Cromartie I, 526 U.S. at 546). Here, the trial record underscores that Plaintiffs have made no effort to disentangle race consciousness from the political factors motivating District 6's precise lines. Therefore, the panel majority cannot undertake the "sensitive inquiry" required. Because Plaintiffs have fallen short, the panel majority takes a myopic view of the record and pieces together slithers of circumstantial evidence without comprehensively analyzing all pieces of evidence to the contrary to craft a "story of racial gerrymandering." See Majority Op. at 39 (citing Miller, 515 U.S. at 917). 6

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 70 of 135 PageID #: 4960 First, I begin by explaining how the panel majority's narrow perspective incorporates no evidence that District 6's lines were drawn solely based on race. Second, I address how Plaintiffs' inconsistent demographic testimony is deficiently limited in scope to support the conclusion that race predominated. Third, I discuss how Plaintiffs' similarly impaired simulation data fails to meet the demanding burden as required by binding precedent. i. The Shape of District 6 A point of agreement amongst the panel in this case is that “[a] district's shape can provide circumstantial evidence of a racial gerrymander." Majority Op. 35. However, we diverge based on how we apply this significant point, as the panel majority confuses evidence that the Legislature sought to create a second majority-Black district with evidence that race was the “dominant and controlling” factor in the drawing of S.B. 8's contours. 10

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 71 of 135 PageID #: 4961 The Supreme Court has acknowledged that notwithstanding the fact that circumstantial evidence—like a district's unusual shape-can give rise to an inference of an “impermissible racial motive," such a bizarre shape “can arise from a 'political motivation' as well as a racial one.” Cooper, 581 U.S. at 308; Cromartie I, 526 U.S. at 547 n.3.7 As such, the inquiry does not stop at a rudimentary examination of the district's lines in some precincts. In Cooper, the Court further clarified this point by articulating that "such evidence [of a ‘highly irregular' shape] loses much of its value when the State asserts partisanship as a defense, because a bizarre shape” may be attributed best to political or personal considerations for a legislator instead of racial considerations. See 581 U.S. at 308. The panel majority's and Plaintiffs' inability to coherently parse these considerations is particularly striking as there have been several instances in Louisiana "where legislators wanted a precinct in their district because their grandmother lived there." See, e.g., Trial Tr. 177 (testimony of Dr. Voss). Nonetheless, the panel majority ignores this crucial step of the circumstantial evidence analysis, eliding to other “mixed motive” cases. Majority Op. 38. 7 See also Shaw v. Hunt, 517 U.S. 899, 905 (1996) (“Shaw II") (acknowledging that "serpentine district" was "highly irregular and geographically non-compact by any objective standard"); Miller v. Johnson, 515 U.S. 900, 913 (1995) ("Shape is relevant . . . because it may be persuasive circumstantial evidence that race for its own sake, and not other districting principles, was the legislature's dominant and controlling rationale in drawing its district lines."). 11

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 72 of 135 PageID #: 4962 However, a closer comparison between the instant case and those prior "mixed motive" cases reveals how inapt these comparisons are. In Shaw I, the Court stated that in "exceptional cases," a congressional district may be drawn in a “highly irregular” manner such that it facially cannot be "understood as anything other than an effort to segregate voters on the basis of race." Shaw I, 509 U.S. at 646-47 (internal citation and quotation marks omitted); see also Richard H. Pildes, Richard Niemi, Expressive Harms, "Bizarre Districts," and Voting Rights: Evaluating Election-District Appearances After Shaw v. Reno, 92 Mich. L. Rev. 483 (1993). Since that utterance in Shaw I, the Court has never struck down a map based on its shape alone. Nonetheless, the panel majority functionally does so here on the basis of severely cabined analyses of select precincts in the metropolitan areas within the district. See Plaintiffs' Br. 9-10; Majority Op. 38. 12 12

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 73 of 135 PageID #: 4963 The panel majority cites to Vera as a basis for its conclusion that the circumstantial evidence in this case is sufficient to show racial predominance. A closer look at that case demonstrates how inapt that comparison is. In Vera, the Court considered a challenge to three districts in Texas's reapportionment plan following the 1990 census. 517 U.S. at 956. There, as here, the Texas Legislature admitted that it intentionally sought to draw three districts "for the purpose of enhancing the opportunity of minority voters to elect minority representatives to Congress." See Vera v. Richards, 861 F. Supp. 1304, 1337 (S.D. Tex. 1994). However, the record there was replete with specific, direct evidence that several members of the Texas Legislature were moving around Black neighborhoods and precincts into the new Congressional districts that they then hoped to run for. Id. at 1338-40. The Court noted that the Texas Legislature used a computer program called "REDAPPL" to aid in drawing district lines. 517 U.S. at 961. The software incorporated racial composition statistics for the proposed districts as they were drawn on a “block-by-block" level. Id. (noting that the “availability and use of block-by-block racial data was unprecedented”). With all of this in mind, the Court then rejected the state's incumbency protection defense because the district court's "findings amply demonstrate[d] that such influences were overwhelmed in the determination of the districts' bizarre shaped by the State's efforts to maximize racial divisions." 517 U.S. at 975. None of that is present in this case. This is not a case like Vera, where the political motives of self-interested electoral hopefuls directly attributed to the precise placement of the electoral map lines that comprised those racially gerrymandered districts. There is no § 5 preclearance letter in which the state legislature, speaking with one voice, explains that the odd shapes in the map result solely from “the maximization of minority voting 13

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 74 of 135 PageID #: 4964 strength." See id. The panel majority is correct in noting that this is a mixed motive case. But to note this and then to subsequently make a conclusory determination as to racial predominance is hard to comprehend. Particularly so where broad swaths of the record are not addressed. In fact, a quick comparison of District 6 (depicted in lime green below) to the "highly irregular" districts from Vera (depicted in black outlines) underscores how the district's shape alone is insufficient evidence to prove racial predominance.³ Simply put, one of these is not like the others. 8 While the following images are not at a 1:1 scale, the striking visible differences between District 6 in S.B. 8 and the districts in Vera-which more clearly evince an intent to carve up communities and neighborhoods under the guise of invidious racial segregation—show how just examining a few portions of the district is insufficient to parse out whether race predominated. See 861 F. Supp. at 1336 (noting the borders "change from block to block, from one side of the street to the other, and traverse streets, bodies of water, and commercially developed areas in seemingly arbitrary fashion"). 14

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 75 of 135 PageID #: 4965 LIVE கெண் W Jack 15

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 76 of 135 PageID #: 4966 District 6's shape is not meaningfully comparable to the series of substantially thinner, sprawling, salamander-like districts that have been deemed impermissible racial gerrymanders. In spite of these glaring differences, the panel majority erroneously concludes that a racial gerrymander occurred here in spite of several inconsistencies in Plaintiffs' expert testimony and a limited review of the legislative and trial records. See Cromartie II, 532 U.S. at 242-43. It ignores the Court's explicit determinations that evidence of race-consciousness considered in conjunction with other redistricting principles “says little or nothing about whether race played a predominant role" in the reapportionment process. Id. at 253-54 (emphasis in original); Miller, 515 U.S. at 916 (legislatures "will ... almost always be aware of racial demographics" in the reapportionment process); Shaw I, 509 U.S. at 646 (holding same). It also ignores the well- established principles that “[p]olitics and political considerations are inseparable from districting and apportionment . . . [and] that districting inevitably has and is intended to have substantial political consequences.” Gaffney v. Cummings, 412 U.S. 735, 753 (1973); see also Vieth v. Jubelirer, 541 U.S. 267, 285 (2004) (plurality opinion) (acknowledging that districting is "root-and-branch a matter of politics"); Trial Tr. 80 (testimony of Sen. Pressly) (admitting that adjudging political considerations of competing prospective legislative actions are “root and branch"). Where there is a “partisanship” or “political motivation” defense, more is required. 16

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 77 of 135 PageID #: 4967 The panel majority errs in its analysis of the metropolitan areas in District 6 because it relies solely on the fact that the Legislature created a second majority-Black district to show racial predominance. In Shaw I, the Court declined to adopt the view that the panel majority offers here—that evidence of “the intentional creation of majority-minority districts, without more, always gives rise to an equal protection claim." 509 U.S. at 649 (cleaned up). Compare id. (expressing no view as to whether this action constitutes a de facto equal protection violation), with id. at 664 (White, J., dissenting) (“[T] hat should not detract attention from the rejection by a majority [of the Court] of the claim that the State's intentional creation of majority-minority districts transgressed constitutional norms."); see also United Jewish Orgs. of Williamsburgh, Inc. v. Carey ("UJO"), 430 U.S. 144, 165 (1977) ("It is true that New York deliberately increased the nonwhite majorities in certain districts in order to enhance the opportunity for election of nonwhite representatives from those districts. Nevertheless, there was no" equal protection violation); cf. Vera, 517 U.S. at 959 (“We thus differ from Justice Thomas, who would apparently hold that it suffices that racial considerations be a motivation for the drawing of a majority- minority district" for strict scrutiny to apply) (emphasis in original). In Bethune-Hill v. Virginia State Board of Elections, the Court explained that "[e]ven where a challenger alleges a conflict [with traditional redistricting principles], or succeeds in showing one, the court should not confine" its racial predominance “inquiry to the conflicting portions of the lines.” 580 U.S. 178, 191 (2017). 9 Vera, 517 U.S. at 958. 17

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 78 of 135 PageID #: 4968 Here, the panel majority makes the mistake of stopping at the district's contours in the major metropolitan areas in the state without fully considering or crediting the abundance of evidence demonstrating these choices were political. See Majority Op. 40 ("In sum, the 'heat maps' and demographic data in evidence tell the true story-that race was the predominate factor driving decisions made by the State in drawing the contours of District" Six). Because the panel majority's plain eye examination loses much of its value in the face of the state's "political motivation" defense, I now will contextualize the relevant circumstantial evidence of legislative intent in this case, including claims of political motivation. ii. Expert Testimony 18

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 79 of 135 PageID #: 4969 Plaintiffs' circumstantial evidence elicited through expert testimony fails to demonstrate that race was the Legislature's controlling motive in drawing S.B. 8. The panel majority makes much ado of Mr. Michael Hefner's dot density map 10 and testimony that the districting decisions shaping District 6 in Lafayette, Alexandria, Baton Rouge, and Shreveport could only be explained by racial considerations. While the Court has accepted evidence of a district's shape and demographics to prove racial predominance, it has required the plaintiff to disentangle race from political considerations. See Cromartie I, 526 U.S. at 546. Here, Plaintiffs' expert testimony fails to account for several valid, non-racial considerations that explain the district's shape to impermissibly conclude that race predominated. Cf. Chen v. City of Houston, 206 F.3d 502, 506 (5th Cir. 2000) ("[T]he plaintiffs' burden in establishing racial predominance is a heavy one."). Plaintiffs point to the district's low compactness scores and testimony from two experts opining that the Legislature subordinated traditional redistricting criteria to prove their case via circumstantial evidence. Plaintiffs' Br. 8-12. Notwithstanding my own evidentiary determination that several traditional principles of redistricting do explain District 6's shape in S.B. 8,11 I now explain that Plaintiffs' offered circumstantial evidence is insufficient to prove the predominance of race. See Chen, 206 F.3d at 506. a. Demographic Evidence 10 Majority Op. 38-39. 11 See infra Part I.B.i-ii. 19 19

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 80 of 135 PageID #: 4970 The legislative record in this case is inundated with both direct and circumstantial evidence that political considerations predominated in the drafting and passing of S.B. 8. 12 Plaintiffs assert that their demographer, Mr. Hefner, provided testimony that the “awkward and bizarre shape" of the district suggests that race predominated over traditional redistricting criteria. Trial Tr. 304–05. He testified that the district was "very elongated," "contorted," and narrow at points to attach two centers of high BVAP together in one district. Trial Tr. 286. However, Mr. Hefner also acknowledged that incumbency and compliance with the VRA are also important traditional redistricting criteria. ¹³ Trial Tr. 293. He also explained that political dynamics frequently factor into redistricting. Trial Tr. 321. Ultimately, he concluded that the Louisiana Legislature "can't create a second majority-minority district and still adhere to traditional redistricting criteria” and that “race predominated in the drafting” of S.B. 8. Trial Tr. 271– 72. Put another way, no permissible redistricting factor could explain S.B. 8's configuration. 12 See id. 13 Q. Are there additional criteria that can be considered? A. Yes. Incumbency can be considered as to not putting incumbents against each other. Preservation of political entities. It's similar to communities of interest but some specified as political entries, which would be parishes, precincts, municipalities, those that have political boundaries. Also, too, race plays a factor as well, because that's part of what the Voting Rights Act calls attention to for consideration. So those are some of the other criteria that we generally take a look at as we're drafting redistricting plans. Trial Tr. 293 (emphasis added). 20 20

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 81 of 135 PageID #: 4971 But there are several logical gaps in Mr. Hefner's testimony. Mr. Hefner limited his examination of S.B. 8 to the factors of communities of interest, compactness, and preservation of core districts. Thus, he "did not review incumbency." Trial Tr. 272. When asked about the importance of incumbency on redistricting, he opined that a legislature should avoid pitting incumbents against each other to prevent very contentious and unproductive political bodies that fail to “serve the needs of the people." Trial Tr. 335. Mr. Hefner's failure to consider the other politically motived incumbency protection rationales provided by S.B. 8's sponsor 14 demonstrates the unreliability of his testimony. He further constrained his analysis to S.B. 8, H.B. 1, and Plaintiffs' Illustrative Plan 1. He did not review any "of the other plans with two majority black districts" proposed in the 2024 redistricting session, nor did he review "any of the amendments that were offered on [S.B. 8] in the 2024 redistricting session.” Trial Tr. 317–18. 14 See supra Part II.B.i.a. 21 24

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 82 of 135 PageID #: 4972 The gaps in Mr. Hefner's analysis severely undercut his opinion that race predominated over respecting communities of interests and political subdivisions. It strains credulity to say that one factor was controlling over all others while simultaneously ignoring several overriding factors. While Mr. Hefner criticized S.B. 8 for the number of parish and community splits it contained, he did not criticize the other maps he examined for that purpose. For instance, his opinion that race predominated in the drafting of S.B. 8 was based in part on the amount of parish splits and divisions of cultural subdivisions tracked by the Louisiana Folklife Program as compared to prior maps. Trial Tr. 337. However, on cross-examination, Mr. Hefner conceded that a district in H.B. 1 split the same number of folklife areas as District 6 in S.B. 8. Trial Tr. 337-38. Additionally, Intervenors' expert, Mr. Fairfax, provided credible testimony that showed that S.B. 8 distributed its parish and municipal splits amongst the districts more equitably in comparison to H.B. 1. Trial Tr. 385–89. Mr. Hefner did not account for such distinguishing factors, which tended to challenge his broad conclusion that two majority-minority districts could not be drawn in Louisiana while adhering to traditional redistricting principles. 22 22

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 83 of 135 PageID #: 4973 Further inconsistencies persisted in his testimony. Mr. Hefner did not offer the same critiques of the shapes of districts in Plaintiffs' Illustrative Plan 1. In fact, he opined that that map "adhered to traditional redistricting principles.' .”15 Notwithstanding this point, Mr. Hefner agreed that District 5 of Illustrative Plan 1 spanned approximately 230 miles from end to end. 16 By Mr. Hefner's own calculus, District 5 of the plan is a district that is virtually not compact at all. District 6 of S.B. 8 ranges nearly the same length, but he did not agree that S.B. 8 “adhered to traditional redistricting principles." These shifting goalposts based upon whether Plaintiffs or the Intervenors posited the question further demonstrates that little to no weight can be placed on his testimony. Thus, the obvious tension between his opinions based on which party it benefits substantially diminishes its weight here, but the panel majority erroneously accepts portions of his testimony to justify its conclusion. It does so even though none of Mr. Hefner's testimony attempts to unpack the entanglement of the two factors of race and politics plainly present in this case. 15 Q. Let me just ask it this way. What does Plaintiffs' Illustrative Plan Number 1, Exhibit PE-14, what does that represent? A. That plan is a congressional plan that preserves District 2 as a traditional majority-minority district. It generally follows what has been in place for the past couple of census cycles. And the division of the rest of the state into districts largely follows. It's somewhat similar to the traditional boundaries that have been used in the past. Some deviations, but generally overall it follows that general configuration. Q. Based on your review of this map, does it adhere to traditional redistricting principles? A. In my opinion it does. Trial Tr. 275-76. 16 The Plan's District Five contained a district spanning roughly 230 miles from Washington Parish in the Southeastern tip of the state all the way up to the Northern portion of the state, with Ouachita Parish serving as a main population center. See Trial Tr. 341. 23 23

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 84 of 135 PageID #: 4974 Mr. Hefner testified that he did not speak to any legislators from the 2024 session or consult any sources within the Legislature informing him of the legislative imperatives underlying S.B. 8. See Trial Tr. 321 ("Q. And do you have any other basis for knowing what any particular legislator thought about the district lines in [S.B. 8] or why they supported them? A. I did see some [television] interviews of some legislators after [S.B. 8] was approved.”). Thus, his ultimate conclusion that race predominated over any permissible factor is factually unsupported because he failed to examine several traditionally accepted factors of redistricting. Most glaring is his failure to examine, analyze, or otherwise critique S.B. 8's incumbency protection considerations or the Legislature's rejection of amendments that solely sought to increase BVAP within the district and added additional parish splits. RI 42; Trial Tr. 573-74 (describing how the legislature struck down an amendment "increased the BVAP in both District 2 and District 6" in a bipartisan vote because it added additional parish splits to the map); Trial Tr. 575 (noting the Legislature's bipartisan rejection of efforts to just "mov[e] black precincts around for no particular reason other than to do so"). 24 24

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 85 of 135 PageID #: 4975 The legislative history of S.B. 8 demonstrates that the Legislature took great consideration to avoid merely lumping enough Black Voting Age Population ("BVAP") into two districts to satisfy the Robinson I court. Mr. Hefner's failure to account for the history of amendments to S.B. 8 demonstrates how his narrative of racial predominance in the Legislature disintegrates upon review of the record. The Legislature rejected amendments that solely sought to increase BVAP in specific districts and were voted down and discouraged by the bill's proponents and author. See Trial Tr. 317–18. As the legislative record shows, Senator Heather Cloud of Avoyelles Parish introduced an amendment that introduced an additional split in District 6, increasing the number of parish splits in S.B. 8 to sixteen, one more split than H.B. 1. Although Mr. Hefner criticizes the number of parish splits in S.B. 8 to serve as evidence that the Legislature racially gerrymandered here, he admittedly did not know that Senator Cloud's amendment was offered to further protect Congresswoman Letlow's seat by moving her own constituents into Letlow's district. JE 29 at 5-6. This extra parish split also narrows District 6 before it traverses through Alexandria. It also explains why the district is narrower at that point and― in Mr. Hefner's view—bears tenuous contiguity. ¹7 See Trial Tr. 293–94. .17 17 On a related note, the legislative record also established that Rapides Parish is accustomed to split representation in a single-member district capacity. Senator Luneau of Rapides Parish noted that in the reapportionment process for State Senate districts, his home parish answered to "six different [state] senators." JE 34 at 9-10. Prior jurisprudence demonstrates that further segmentation of parishes accustomed to splitting to achieve partisan goals. In Theriot v. Parish of Jefferson, the Fifth Circuit held that no racial gerrymander occurred where “the Parish was not unaccustomed to splitting districts in order to achieve political goals." 185 F.3d 477, 483 (5th Cir. 1999). Thus, the contours of the Rapides Parish area in S.B. 8 cannot seriously be considered to be the product of racial gerrymandering—as Plaintiffs allege—without more evidence than mere conjecture. 25 25

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 86 of 135 PageID #: 4976 Senator Cloud described her amendment at the Senate and Governmental Affairs Committee hearing as an amendment seeking to protect the only Republican Congresswoman in Louisiana's Congressional Delegation. JE 29 at 13–14. Senator Cloud's amendment was the only one made during the legislative process that withstood detailed examination by both houses of the Louisiana Legislature. RE 42; JE 29 at 5-6. The only other amendment that passed in committee was offered by Representative Les Farnum of Calcasieu Parish. Trial Tr. 571-72. Representative Farnum introduced an amendment before the House and Governmental Affairs Committee that sought to make his constituents in Calcasieu Parish in one whole district. Trial Tr. 572. While the amendment advanced out of committee, it was removed from the bill after substantial bipartisan opposition prompted a floor vote to strip the amendment from S.B. 8. Trial Tr. 573-74. Particularly revealing is that S.B. 8's legislative history demonstrates how the Legislature actively sought to prevent the gross contravention of traditional redistricting principles in favor of just getting specific districts to certain BVAP concentrations. See id. (detailing the Legislature's denial of amendment to subdivide Baton Rouge into three congressional districts in favor of increasing BVAP in District 2 by some amount). 26 26

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 87 of 135 PageID #: 4977 The history of amendments to the bill do not fit the creative narrative that Mr. Hefner paints in this case to show racial predominance. In the light of all this information publicly available in the legislative record, Mr. Hefner cabined his analysis to just the final enacted version of S.B. 8 and two other maps, without seeking to get the full scope of the legislative environment that created S.B. 8. Notably, the Court said in Cooper that where political concerns are raised in defense of a map, evidence of non-compactness "loses much of its value . . . because a bizarre shape. . . can arise from a 'political motivation' as well as a racial one.” 581 U.S. at 308. Furthermore, "political and racial reasons are capable of yielding similar oddities in a district's boundaries.” Id. Here, Senator Glen Womack of Catahoula Parish, the author of S.B. 8, addressed those reasons at numerous points during the legislative session. His intent was clear and consistent. JE 31 at 121-22 (statement of Sen. Womack) (“We were ordered to draw a [second majority-Black] district, and that's what I've done. At the same time, I tried to protect Speaker Johnson, Minority Leader Scalise, and my representative Congresswoman Letlow."). He stated that he sought to draw "boundaries in th[e] bill" to "ensure that Congresswoman Letlow remains both unimpaired with any other incumbents and in a congressional district that should continue to elect a Republican to Congress for the remainder of this decade." JE 29 at 2 (Sen. Womack's Remarks Before January 16, 2024 Senate Governmental Affairs Committee Hearing). Based on this strong evidence of legislative will directed at preserving political and personal interests during the redistricting process, I would hold that Plaintiffs' circumstantial demographic evidence cannot be taken in whole or in part to satisfy its burden of showing that race predominated in the drafting of S.B. 8. b. Simulation Evidence 27 27

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 88 of 135 PageID #: 4978 Neither does Plaintiffs' simulation evidence move the needle for them toward satisfying their stringent burden of proof.. The panel majority likewise credits the marginally relevant testimony of Plaintiffs' other expert, Dr. Stephen Voss. Dr. Voss opined that simulation techniques demonstrate that (1) S.B. 8 constitutes an impermissible racial gerrymander because no other legislative imperatives would create districts in those forms; (2) the Louisiana Legislature “compromised" various “traditional redistricting criteria" in drawing S.B. 8, and; (3) there "is not a sufficiently large and compact African American population to allow [two majority-Black] districts that would conform to traditional redistricting criteria.” Trial Tr. 91. When posed with the question of S.B. 8's political goals, Dr. Voss opined that "[i]f you're not trying to draw a second Black majority district, it is very easy to protect Representative Julia Letlow." Trial Tr. 108. This commentary misses the mark entirely. Neither through simulations nor testimony, Dr. Voss did not demonstrate that it is possible to achieve all of S.B. 8's main political goals and generate extremely compact districts. On cross-examination, he admitted that he did not "explore” directing the software to prevent "double bunking" or pairing of two specific incumbents. See Trial Tr. 175 (cross-examination of Dr. Voss). 28

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 89 of 135 PageID #: 4979 As such, Dr. Voss's conclusion that only racial considerations account for District 6's shape flies in the face of his testimony that permissible considerations include regional representation, incumbency protection, and various other personally politicized considerations held by legislators in redistricting. Compare Trial Tr. 177–78 (admitting that the Legislature's rationales given ordinarily constitute valid reasons justifying a map's shape), with Trial Tr. 180 (attempting to distinguish those factors' application in this case). At most, Dr. Voss only measured or weighed two political motives at the same time: (1) “sacrificing" Congressman Graves and (2) protecting Congresswoman Letlow. Trial Tr. 110 (stating that the Legislature could have complied with these two specific goals and presented a map that is less offensive to traditional redistricting principles); Trial Tr. 111-12 (stating same). With the aid of his simulations, he argued that it would be easy to protect Congresswoman Letlow by pulling her westward into a North Louisiana district even if a second majority-Black district stretched up the Mississippi River into Northeast Louisiana. But pulling her district westward draws her closer to the population bases supporting Speaker Johnson's prominence in his district Northwest Louisiana based district. 29

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 90 of 135 PageID #: 4980 Dr. Voss neglected to address protecting the Speaker of the House and Majority Leader at the same time as protecting Congresswoman Letlow and cutting out Congressman Graves. See id. On direct, Dr. Voss stated that out of his 20,000 simulations, he did have difficulty with securing Congresswoman Letlow and Speaker Johnson without risking Majority Leader Scalise's seat. Trial Tr. 140. Then on cross examination, Dr. Voss conceded that his simulations could not consistently guarantee safe seats for Speaker Johnson, Majority Leader Scalise, and Congresswoman Letlow. Trial Tr. 140 (conceding that many simulations jeopardized Scalise's seat and others pitted the Speaker against Letlow). Attempting to rationalize why he could not account for these valid considerations, Dr. Voss testified on redirect that some unknown number of simulations generated plans without two majority-Black districts that also achieved these political goals. This testimony, while sensible in the abstract, is nonsensical when applied to the appropriate legislative and constitutional context. Article III, § 6 of the Louisiana Constitution specifies that "the legislature shall reapportion the representation in each house as equally as practicable on the basis of population shown by the census." It is indelibly clear- seemingly to everyone except Plaintiffs' experts-that redistricting is a "root-and-branch" political matter. See Vieth, 541 U.S. at 285; Shaw, 509 U.S. at 662 (White, J., dissenting) (“[D]istricting inevitably is the expression of interest group politics."). We are tasked with evaluating legislation that is the product of the legislative body's choice resulting from a political process. For this reason, failing to evaluate a politically charged defense that frequently yields oddly shaped districts for personal and political goals of the legislators involved cannot be adequate proof that meets the demanding standard required of Plaintiffs. 30 30

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 91 of 135 PageID #: 4981 - Numerous current and former elected officials from both major political parties testified that the legislative aims raised in the 2024 session were (1) satisfying the VRA, (2) protecting senior incumbents with influential national positions, and (3) maintaining the sovereign prerogative of the legislature. See, e.g., JE 31 (Rep. Carlson) (“I can assure you this . . . we're not here today because we're caving to any kind of political pressure. The fact of the matter is, like it or not, Judge Dick has said, ‘Either you do your job and draw the map, or I'll draw the map for you,' period."); Trial Tr. 47-48 (“[T]he only reason we were there was because of the other litigation; and Judge Dick saying that she if we didn't" comply with the VRA "she was going to" draw the State's map for them); Trial Tr. 81-82 (testimony of Sen. Pressly) (stating that Judge Dick would draw the maps if the Legislature did not, and would not consider political benefits to any party or persons); Trial Tr. 368. In my view, Intervenor's expert, Dr. Cory McCartan, credibly demonstrated how the limitations of Dr. Voss's purported race-conscious simulations actually failed to account for race in any meaningful manner. Trial Tr. 196-97. Dr. McCartan noted the substantial difference between stating that "a simulation that uses a tiny bit of racial information doesn't produce black districts, and the extrapolating from there to say that if you produce two black districts, it must be extreme racial gerrymandering." Trial Tr. 196–97. The panel majority avoids this potent adverse testimony by distinguishing Dr. McCartan's work with his ALARM team from the present case. Majority Op. 26–28. 31

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 92 of 135 PageID #: 4982 The panel majority's brief discussion of the limitations on Dr. Voss's simulation evidence is in tension with the nature of the pivotal inquiry that this panel was convened to undertake: To evaluate whether the Legislature and not a rebuttal witness's own team-had subjugated all traditional redistricting principles to yield a certain result-i.e., the challenged district. Dr. McCartan's testimony credibly shows that simulations cannot prove the “impossibility" that Dr. Voss sought to prove, 18 and that Dr. Voss's simulation methods added additional restraints that in turn stopped generating results which would more closely resemble the factors that the Legislature actually considered in this case. Trial Tr. 196. 18 Dr. Voss even acknowledged this, stating that in Louisiana "the number of plans that meet all [traditional redistricting principles] is probably bigger than the number of atoms in the entire universe." Trial Tr. 200-201; see also Trial Tr. 130. 32

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 93 of 135 PageID #: 4983 Setting aside the panel majority's attempts to justify the relevance of Dr. Voss's simulations, 19 the simulation evidence in this case is precisely the type of inconclusive evidence that insufficiently pits S.B. 8 in "endless beauty contests" with other potential maps the Legislature could have drawn but never would have realistically considered for a myriad of reasons other than race. See Vera, 517 U.S. at 977. Absent from the panel majority's analysis of Dr. Voss's simulation testimony was his admission that “the population tolerances required from real maps without splitting precincts," as required by Joint Rule 21, 20 "may not be achievable with a simulation method" and likely does not yield "feasible maps” in “many cases.” Trial Tr. 152-53. This admission again demonstrates how this evidence fails to encapsulate the pressing factors that the Legislature actually considered. In sum, this evidence does not satisfy Plaintiffs' burden. 19 Trial Tr. 179 (redirect examination of Dr. Voss); Majority Op. at 28. 20 The Louisiana Legislature passed Joint Rule 21 in 2021 to establish criteria that would "promote the development of constitutionally and legally acceptable redistricting plans." Joint Rule 21 (2021), https://www.legis.la.gov/legis/Law.aspx?d=1238755. 33

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 94 of 135 PageID #: 4984 Through Voss's and Hefner's testimony, Plaintiffs present a simple syllogism. (A) An unconstitutional racial gerrymander occurs where traditional redistricting criteria and other permissible factors cannot account for the shape of the offending district. (B) District 6's shape in S.B. 8 cannot be explained by any permissible reapportionment factors. (C) Thus, S.B. 8 constitutes an unconstitutional racial gerrymander. The glaring gap in the expert testimony results from the fact that both Voss and Hefner did not account for numerous valid justifications for District 6's shape. Thus, it is disingenuous to conclude that no permissible factors—such as protecting incumbents, 21 eliminating the Governor's political opponents, 2 connected ethno-religious networks, 23 the linkage of the District's communities via the 1-49 corridor and Red River Basin, 24 veritable cultural similarities, 25 and shared educational and health resources amongst residents of District 6, 26 among others—justify or explain District 6's shape. 22 21 Q. And so you mentioned the difference in configuration between your Bill S.B. 4 and S.B. 8. Did you have any impression about any rationale behind those different configurations? A. So during the whole time I spent in redistricting, you don't have to be a redistricting expert to know that any time a new map is drawn, it's kind of like playing musical chairs. There is going to be someone who is negatively impacted from an incumbency standpoint. And of the six congressional districts, the question was always if there was going to be a second majority black district drawn, who would be negative -- who would be most negatively impacted by this if we are -- again, we have --a new map has to be drawn. So I believe that ultimately played into what map the Legislature chose to support. - Trial Tr. 525-26; see also Trial Tr. 71 (testimony of Sen. Pressly) ("There were certainly discussions on ensuring -you know, we've got leadership in Washington. You have the Speaker of the House that's from the Fourth Congressional District and we certainly wanted to protect Speaker Johnson. The Majority Leader, we wanted to make sure that we protected, Steve Scalise. Julia Letlow is on Appropriations. That was also very important that we tried to keep her seat as well."); Trial Tr. 79 (testimony of Sen. Pressly); Trial Tr. 63 (testimony of Sen. Seabaugh) (stating same). 34

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 95 of 135 PageID #: 4985 22 See, e.g., Trial Tr. 527 (testimony of Sen. Duplessis) (“[A]s [redistricting] relates - to incumbency, there will be someone who is negatively impacted, so the choice had to be made the political decision was made to protect certain members of congress and to not protect one member of congress and it was clear that that member was going to be Congressman Garret Graves."); Trial Tr. 369-71 (testimony of Rep. Landry) (stating same); Trial Tr. 60–61 (testimony of Sen. Seabaugh) (agreeing that "protecting" Speaker Johnson, Majority Leader Scalise, and Congresswoman Letlow “is an important [political] consideration when drawing a congressional map"). Q. Let me ask that again. Do you have an understanding if one of the current congressional incumbents was drawn out of his or her seat, so to speak, in Senate Bill 8? A. Congressman Graves was targeted in the map, correct. Q. And were you surprised that Congressman Graves was targeted in the map? A. No. Everyone -- everyone knew that. All the legislators, the media reported it. They have had a long-standing contentious relationship. Q. And when you say "they," who are you referring to? A. The Governor and Congressman Graves. Trial Tr. 369-71 (testimony of Rep. Landry). 23 Trial Tr. 466-67 (testimony of Pastor Harris). 24 Q. So in your experience as an elected official and a community leader, does Congressional District 6 in S.B. 8 reflect common communities of interest? A. Yes, it does. Q. And how so? A. Well, I think the two that come most quickly to mind would be the 1-49 corridor and the Red River. Obviously, Shreveport itself was founded by the clearing of the Red River. One of the big things that helped make this area grow was navigation thereof. We had leadership over the course of the last 50 years that's worked very hard towards trying to bring that back. You now have a series of lock and dams, five of them, between here and where the river flows into the Mississippi. That essentially mirrors the eastern side of that district. When you add to it, the connecting factor of 1-49, that essentially makes Shreveport, Mansfield, Natchitoches, all one general commuting area, all of those are connecting factors. Trial Tr. 457-58 (testimony of former Mayor Glover) (emphasis added). 25 See, e.g., Trial Tr. 467-68 (testimony of Pastor Harris) (explaining that Baton Rouge, Alexandria, Lafayette, Natchitoches, and Shreveport share far more cultural commonalities than any of those cities and New Orleans). 26 See, e.g., Trial Tr. 457-58 (testimony of Mayor Glover) (explaining that the shared Willis-Knighton, Ochsner/LSUS, and Christus medical systems within District 6 provide the bulwark of medical care to the persons of the region). 55 35

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 96 of 135 PageID #: 4986 Plaintiffs' position ignores that the record as a whole establishes that incumbency protection was the most often stated motivating factor27 behind S.B. 8. Instead, they adhere closely to a minority of voices within the Louisiana Legislature. 28 Respectfully, I strongly disagree with the panel majority's narrow reading of the conflicting demographic and statistical opinions offered to fashion its conclusion that race was "the legislature's dominant and controlling rationale in drawing its district lines." See Miller, 515 U.S. at 913. iii. Any Allegory to Hays or Application of its Outdated Rationales is Misguided 27 As evidenced by the fact that all other, more compact maps from the 2024 legislative session that also sought to comply with the VRA died in committee. See, e.g., Trial Tr. 482 (testimony of Ms. Thomas). 28 Trial Tr. 533 (testimony of Sen. Duplessis) ("I think some of the members of the Shreveport delegation may have voted against [S.B. 8], but it passed overwhelmingly."). 36

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 97 of 135 PageID #: 4987 Similarly difficult to comprehend is the panel majority's position that Hays provides this court with a helpful allegory to make its determination. In Hays I and Hays II, the district court invalidated congressional maps with two majority-minority districts as impermissible racial gerrymanders on Equal Protection grounds. See Hays I, 839 F. Supp. at 1195; see also Hays v. Louisiana, 936 F. Supp. 360, 368 (W.D. La. 1996) (Hays IV). In Hays I, the district court was confronted with an equal protection challenge to a district bearing similarities to District 6. The panel described the contested district as "an inkblot which has spread indiscriminately across the Louisiana map.” 936 F. Supp. at 364. Throughout Mr. Hefner's and Dr. Voss's testimonies, they repeatedly stated, suggested, and opined that Louisiana's configuration of minority populations today does not allow the Legislature to draw a map with two minority-Black districts without violating the Constitution. But when confronted with these assertions on cross-examination, each quickly equivocated stating that they either "can't offer an opinion on" whether "it's impossible to create a congressional plan with two majority- Black districts that perform well on traditional redistricting principles," Trial Tr. 318-320, or that the simulations could not account for other traditional redistricting principles that the Legislature considered in drafting S.B. 8, Trial Tr. 160-61. Aside from the limited testimony parroting the dated proposition derived from the Hays litigation, Plaintiffs ignore the fact that Hays does not account for drastic changes in the state's population dynamics that have occurred since the late 1990s. 29 The decennial census has occurred three times since the ink dried on the last iteration of the Hays case. 29 See supra, p. 4. 34 37

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 98 of 135 PageID #: 4988 It is for this reason, among others, that the Middle District of Louisiana rejected every formulation of the argument that the "Hays maps [were] instructive, applicable, or otherwise persuasive." See 605 F. Supp. 3d 759, 852 (M.D. La. 2022); see also id. at 834. Not only was this sentiment accepted by the Fifth Circuit, 30 but it was also accepted by the Louisiana Legislature during the 2024 redistricting session. Members of the House and Governmental Affairs Committee repeatedly rejected the assertion that Hays preempts S.B. 8's design of District 6. JE 31 at 117–18. During the testimony of Mr. Paul Hurd, counsel for Plaintiffs in this case, Representative Josh Carlson of Lafayette Parish clarified that Robinson presented the Legislature with the "complete opposite scenario than [Hays] 20 years ago." See JE 31 at 117. Despite several attempts to analogize S.B. 8 to the Hays cases, no legislator on the committee bought the argument that the State could not draw a map that included two majority-Black districts. See JE 31 at 115–18. 30 See 86 F.4th at 597 (determining that the Middle District of Louisiana's preliminary injunction holdings were not clearly erroneous). 38 38

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 99 of 135 PageID #: 4989 In response to this repudiation of Hays-like rationales to abandon S.B. 8, Plaintiffs' own counsel conceded that a congressional map with two majority-minority districts was constitutionally valid during his testimony during the 2024 legislative session. JE 31 at 118. During that same House and Governmental Affairs Committee meeting, Mr. Hurd testified that “I believe that my districting plan that I've handed in and I did it for an an example is as close as you can get to a non-racially gerrymandered district and get to two majority-minority districts, and it does." JE 31 at 31 (page 118). He further stated that “[t]here are abilities to draw a [second] compact contiguous majority-minority district" in the State of Louisiana. Id. This evidence in the record demonstrates precisely how Plaintiffs' circumstantial case fails to meet their burden. Their case is directly rooted to expert demographic and simulation testimony that merely repackages an outdated and factually unsupported thesis: that any congressional map with two majority-Black districts must be unconstitutional for the reasons derived from data and occurrences from nearly three decades ago. See Hays 1, 839 F. Supp. at 1195; Robinson, 605 F. Supp. 3d at 852. To avoid addressing these inconsistencies apparent from the record, the panel majority blends the circumstantial and direct evidence together to conclude that race played a qualitatively greater role in S.B. 8's drafting. A look at the direct evidence shows how this conclusion is unwarranted based on the totality of the legislative record. 39

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 100 of 135 PageID #: 4990 B. Direct Evidence: Legislators' Intent The panel majority states that it “acknowledges that the record includes evidence that race-neutral considerations factored into the Legislature's decisions." Majority Op. 43. However, it disregards the mountain of direct evidence showing that the political directives "could not be compromised," as each of the other proposed bills that did not achieve those goals were not seriously considered by the Legislature. See Bethune- Hill, 580 U.S. at 189. The panel majority embraces only the quotes from the legislative session that refer to the Legislature's decision to exercise its sovereign prerogative to draw its maps under the Louisiana Constitution following Robinson I. Majority Op. 41-42. It cites some language from Senator Womack, the bill's sponsor, stating that he drew the map to create two majority-Black districts as direct evidence of racial predominance. It quotes the statements from select members of the Legislature at functionally every time they mention Robinson I and the Governor's decision to place the task of drawing new electoral maps into the hands of the Legislature. 31 31 Indeed, it is clear that the district court ordered the Legislature to draw a map consisting of two majority-Black districts. As result, Plaintiffs assert that race was not only the predominant factor, but the only factor. Assuming arguendo, how then can we reconcile the assertion that race was the only factor considered when drawing S.B. 8 with the existence of several other maps, including S.B. 4 which contained even more compact districts than the adopted map? How is it possible that each proposed map, and the ensuing amendments, resulted in distinct district renderings? Neither Plaintiffs nor the majority broach this issue because they would be forced to confront what is clear: that factors beyond race, including political considerations, went into the drawing of the maps that included two majority-Black districts, including S.B. 8. 40

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 101 of 135 PageID #: 4991 These statements-either alone or crammed together with the circumstantial evidence—are insufficient to show racial predominance. The panel majority's conflation of evidence of race consciousness for the purpose of avoiding successive § 2 violations under the VRA with racial predominance is unprecedented. Its decision to do so after it acknowledges that evidence of race consciousness does not constitute evidence of racial predominance is also somewhat hard to comprehend. Majority Op. 34 (citing Shaw 1, 509 U.S. at 646; Milligan, 599 U.S. at 29). Through contextualizing the totality of the legislative record, I will show precisely why those statements referencing Robinson I do not prove racial predominance. i. Legislative Record Unlike Cooper-which turned on "direct evidence of the General Assembly's intent in creating the [challenged district], including many hours of trial testimony subject to credibility determinations," "32 this case involves limited trial testimony regarding legislative intent. Although a "statement from a state official is powerful evidence that the legislature subordinated traditional districting principles to race when it ultimately enacted a plan creating [] majority-black districts," the Court has never expressly accepted statements evincing an intent to create a majority- minority district alone as prima facie evidence that a racial gerrymander occurred. See Shaw II, 509 U.S. at 649; see also Miller, 515 U.S. at 917–19. 32 Cooper, 581 U.S. at 322. 41

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 102 of 135 PageID #: 4992 a. Incumbency Protection First and foremost, it strains credulity to relegate the potent evidence of political considerations and incumbency protection to a minor factor in the Legislature's decisions in this case. The trial record emphatically shows that S.B. 8's sponsor, Senator Womack, spoke continuously and fervently about his aims to protect certain incumbents― as well as to encase specific communities of interest within District 6. The record shows that while the Legislature considered race, it only considered it alongside other political and geographic considerations. See Cromartie II, 532 U.S. at 236. The legislative record reveals that Senator Womack's personal goals necessitated the protection of certain members of Louisiana's Republican delegation in Congress. See, e.g., JE 31 at 25. On January 16, 2024, the first day of the 2024 legislative session, Senator Womack introduced his bill to the Senate and Governmental Affairs Committee. See generally JE 29 (transcript of committee meeting). In his opening statement, Senator Womack averred that “[t]he boundaries in this bill I'm proposing ensure that Congresswoman Letlow remains both unimpaired with any other incumbents and in a congressional district that should continue to elect a Republican to Congress for the remainder of this decade." JE 29 at 1. He continued to assert that the bill ensured four safe Republican seats and a “Louisiana Republican presence in the United States Congress [that] has contributed tremendously to the national discourse." JE 29 at 2. He described the personal pride that resulted from the fact that the state's congressional delegation included the Speaker of the U.S. House of Representatives, Mike Johnson, and House Majority Leader Steve Scalise. Id. He went on to state that “[] his map ensures that the two of them will have solidly Republican districts at home so that they can focus on the national leadership that we need in Washington, DC." JE 29 at 2. 42

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 103 of 135 PageID #: 4993 After the bill passed to the House and Governmental Affairs Committee for a hearing on January 18, 2024, Senator Womack stated that he sought to protect Representatives "Scalise, as well as Johnson, Letlow," and "Higgins." JE 31 at 25. Senator Womack left one "odd man out" of the delegation. He directly stated that one member of the state's Republican delegation that was not part of the “Republican team.” See id. And that one member was Congressman Garret Graves. See id. Thus, it is convincing to credit Senator Womack's unwavering assertions that these political considerations were the "primary driver[s]" of S.B. 8. See id. In that same committee hearing, the line of questioning shifted to comparing S.B. 8 to the rejected S.B. 4 map proposed by Senator Ed Price of Ascension Parish and Senator Royce Duplessis of Orleans Parish. While comparing his map to S.B. 4, Senator Womack agreed that his bill proposed districts that were less compact than S.B. 4. Id. But he attributed the less compact shape of District 4 in S.B. 8-which impacted District 6's compactness—to his attempt to comply with the VRA while also protecting Speaker Johnson and Congresswoman Letlow in North Louisiana and Majority Leader Scalise in Southeast Louisiana “[a]t the same time." See JE 31 at 22–25; 31. He continued to state that his map diverged from S.B. 4's configuration which he believed to threaten Congresswoman Letlow's chances of remaining in the House of Representatives. See JE 31 at 25-26. 43

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 104 of 135 PageID #: 4994 This is precisely because S.B. 4 proposed that District Five would constitute a more compact, second majority-minority district that enveloped Congresswoman Letlow's home precinct. 33 Trial Tr. 524 (testimony of Sen. Duplessis) ("The map that I co-authored with Senator Price, the second majority-Black district went from Baton Rouge up to northeast Louisiana, the Monroe area.”). Senator Womack agreed with the characterization that while the Legislature's Democratic caucus supported S.B. 4 for a myriad of reasons, he offered this "political map" to protect his personal political interests as well as Louisiana's standing in the national conversation. See JE 31 at 26. In an exchange with House and Governmental Affairs Committee Chairman Gerald Beaullieu of Iberia Parish, Senator Womack explained that he sought to protect the national interests of the state's conservative majority leadership through protecting its most established leaders. JE 31 at 26–27. Senator Womack declared that “[i]t's bigger than just us," and that Louisiana's more influential members of Congress should be protected to elevate the state based on his view of the state's "poor position." JE 31 at 27. Before amendments were offered, Senator Womack and Chairman Beaullieu agreed that S.B. 8 was "able to accomplish what the [Middle District of Louisiana] has ordered through [the] map, and also . . . protect[s] the political interest[s]” raised by Senator Womack. Id. 33 Trial Tr. 524 (testimony of Sen. Duplessis) (“I recall the [population] numbers being very similar" between S.B. 4 and S.B. 8, with “[t]he main difference between the two maps. . . [being] just the [ir] geographic design[s]"). Opponents of S.B. 8 suggested that the bill does not actually seek to protect Letlow because it "“puts too many votes in the south" or Florida Parishes of District Five. JE 34 at 6 ("I applaud [Sen. Womack] for having stated that [protecting Congresswoman Letlow] is one of the objectives of this bill, but this bill doesn't do that."). These assertions were mere conjecture that: (A) proposed no other reasonable or possible alternative map and sought to risk the probable liability after a full trial in the Middle District of Louisiana; (B) did not consider the fact 44

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 105 of 135 PageID #: 4995 The panel majority minimizes the political reasoning behind the map's contours but cites this exact quote from the exchange between Chairman Beaullieu and Senator Womack as direct evidence of racial predominance. Majority Op. 43. The panel majority ignores key pieces of information from the trial record to suggest its conclusion of "racial gerrymandering,” where none exists. Regrettably, it subjugates the copious evidence of the overarching political motives in the Legislature. Respectfully, the panel majority ignores wholesale references to partisan politics and incumbent protection in its direct evidence analysis, only to throw it in as an aside before reaching its ultimate conclusion. See Majority Op. 43. It ❝acknowledge[d]" that "race-neutral considerations factored into the Legislature's decisions, such as the protection of incumbent representatives." Majority Op. 43. It then cites trial testimony from Senator Pressly and Senator Seabaugh agreeing that protecting the Republican leadership in Washington played a part in the legislative session. Id. (citing Trial Tr. 60, 71, 69). This narrow examination of the trial record stops short of corroborating whether Plaintiffs actually satisfied their burden of disentangling race from politics. Furthermore, the evidence the panel majority pieces together from trial is far from the only evidence of political motives adduced from the numerous fact witnesses serving in the Legislature. that the alternative maps introduced in the legislative session placed Congresswoman Letlow in far less favorable positions. See Trial Tr. 560 (testimony of Commissioner Lewis) (stating that S.B. 4 and H.B. 5 placed Congresswoman Letlow in the second majority-Black district). 45 45

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 106 of 135 PageID #: 4996 Take for instance the trial testimony of Representative Mandie Landry of Orleans Parish, who testified to the "fear among Republicans that if they" failed to pass a map before the Robinson I trial “that the [Middle District of Louisiana] would draw one that wouldn't be as politically advantageous for them." Trial Tr. 367–68. She then said the quiet part out loud that "everyone knew that" Governor Landry "wanted Congressman Graves out." Trial Tr. 370. Her unrefuted testimony demonstrated that S.B. 8 was "the Governor's bill" and that the Republican delegation's leadership supported it. See id. Representative Landry also noted that there were "a couple dozen bills [addressing] other issues that we understood were the Governor's bills," each tracking an item addressed in the Governor's call for a special session. 34 Trial Tr. 371 (explaining that the Legislature was "also discussing the [Louisiana] Supreme Court maps” and a bill to abolish the jungle primary system to move to "closed primaries" limited to registered party voters); see also JE 8 at 1-2 (calling for the Legislature to convene to draft new legislation and amendments relative to the election code, Louisiana Supreme Court districts, Congressional districts). 34 The relevance of Governor Landry's involvement in S.B. 8 cannot be overstated and is not even mentioned in a footnote by the majority. The best evidence of his involvement can be gleaned from his remarks to the Legislature at the opening of the 2024 Extraordinary Legislative Session. To assert that the Louisiana Legislature confronted this redistricting issue solely at the behest of the district court is plainly unsupported based on the Governor's statements and contradicts the language of Article III, § 6 of the Louisiana Constitution which states that “the legislature shall reapportion the representation in each house as equally as practicable on the basis of population shown by the census." Governor Landry—a lawyer, a former Congressman of District 3, and the former Attorney General of Louisiana who "did everything [he] could to dispose of [the Robinson] litigation," and who was well aware of the redistricting process-seized the initiative and called upon the Legislature to exercise its sovereign prerogative (and the legislative obligation) to draw the map. During his remarks, when he stated that the district court handed down an order, he specified that the order was for the Legislature to “perform our job... our job that our own laws direct us to complete, and our job that 46 46

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 107 of 135 PageID #: 4997 From Representative Landry's time in the House Chamber during prior legislative sessions and the 2024 legislative session, she noted "hundreds" of discussions with House Republicans that made clear that any legislation that contradicted the political dynamics around S.B. 8 were non- starters. Trial Tr. 375. Representative Landry testified that these political discussions "had been going on since the Governor was elected among us and [in] the media" and "increased [in frequency] as we got closer to [the Governor's] inauguration.” Trial Tr. 370-71. our individual oaths promise we would perform." JE 35 at 10. He continued by asserting that "[w]e do not need a federal judge to do for us what the people of Louisiana have elected you to do for them. You are the voice of the people, and it is time that you use that voice. The people have sent us here to solve problems, not to exacerbate them, to heal divisions, not to widen them.” JE 35 at 11. 47

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 108 of 135 PageID #: 4998 Louisiana Public Service Commissioner Davante Lewis also testified at trial as to the overarching, dominant political objectives of the 2024 legislative redistricting session. With years of experience working in the state capitol as a legislative aide, lobbyist, and elected official, he provided ample evidence of what transpired during the 2024 legislative session. Trial Tr. 562 (stating that he “knew the entire [Senate] committee” because he "had worked with them" in the Legislature for "over eight years”). Commissioner Lewis explained that there were two other redistricting maps that did not advance to the full floor for votes: S.B. 4, sponsored by Senators Price and Duplessis, and H.B. 5, sponsored by Representative Marcelle. Trial Tr. 560. He stated that both of those maps placed Congresswoman Letlow in the second majority-Black congressional district, with Congressman Graves in a safe Republican seat. See Trial Tr. 560 ("Q. How many majority black districts were in the map[s]? A. Two. Q. Who currently represents those districts? A. It would be Congressman Carter and Congresswoman Letlow."); Trial Tr. 524 (“The main difference between the two maps ... was just the geographic design of the map."). Commissioner Lewis recounted that he testified in favor of S.B. 4 before the Senate and Governmental Affairs Committee on January 16, 2024. Trial Tr. 560-61. He testified that S.B. 4 did not advance out of committee on that day. Trial Tr. 563. He stated that the vote "came down on party lines," and that “[a]ll Republicans voted against it." Trial Tr. 563. From this testimony, it is safe to say that more compact bills that included two majority-Black districts but did not protect the right Republican incumbents were effectively dead on arrival. A clear example of this sentiment in action in the legislative record comes from Representative Marcelle's statements in front of the House and Governmental Affairs Committee on January 17, 2024. Less than twenty- 48 48

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 109 of 135 PageID #: 4999 four hours after S.B. 4 was shot down in committee on purely partisan lines, Representative Marcelle voluntarily pulled H.B. 5 from consideration. She stated that her reasons for doing so were based on "knowing what the politics are at play." JE 37 at 6. She further stated that any "[b]ill that was very similar” to H.B. 5 and S.B. 4 would “probably never make it to the floor." JE 37 at 6. 35 Senator Duplessis's trial testimony provides even more context dating back to the initial 2022 legislative redistricting session. As a member of the House and Governmental Affairs for that session, Senator Duplessis "traveled for months across the state and conducted roadshows and listened to the community" to assess what they would like to see in the redistricting process.³ Trial Tr. 513-14. He witnessed countless perspectives from voters across the state that called for fair maps that would reflect the state's population and comply with the VRA. See Trial Tr. 515. Recalling the session that followed the roadshow process, Senator Duplessis explained that legislation featuring an electoral map that included two majority-Black districts were "all voted down" in committee. Trial Tr. 515. In spite of the populace's clear expression for the Legislature to pass fair maps 36 the Legislature ultimately chose H.B. 1. He continued to explain 35 See, e.g., Power Coalition, Legislative Redistricting Roadshow Comes to Alexandria on Tuesday, November 9, 2021, (Nov. 9, 2021), https://powercoalition.org/legislative-redistricting-roadshow-comes-to-alexandria-on- tuesday-november-9-2021/. 36 Indeed, the Legislature's deliberative process was informed by community perspectives that demonstrated the unity of interests behind an electoral map that included two majority-Black districts. This sharply contrasts with the situation in Vera. See 861 F. Supp. at 1334 ("The final result seems not one in which the people select their representatives, but in which the representatives have selected the people."). Members of both major political parties in the Legislature attended the nearly dozen roadshows across the state and heard this ubiquitous message. 49 49

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 110 of 135 PageID #: 5000 that the Legislature convened for a special redistricting session in June 2022 after the preliminary injunction decision in Robinson I. Trial Tr. 517. He testified that several bills introduced in that special session would have complied with the VRA as ordered by the Middle District of Louisiana and adhered to traditional districting principles. Trial Tr. 518. Ultimately, none were adopted in that session for the same reasons that S.B. 4 and H.B. 5 failed; they were not supported by the Governor and the Republican delegation's leadership. Senator Duplessis further contended that the Governor's influence over S.B. 8 led to its quick passage in the Legislature. Trial Tr. 525. Noting the Governor's position "coming off an election with no runoff," Senator Duplessis testified that “[the Governor's] support would have a lot of influence on what does and doesn't get passed." Trial Tr. 525. He stated that after Senator Womack's bill was filed "it became clear that that was the map that Governor Landry would support." Id. He continued to state that one does not "have to be a redistricting expert to know that any time a new map is drawn," that “[t]here is going to be someone who is negatively impacted from an incumbency standpoint." Id. On the floor of the Legislature during the 2024 session, Senator Duplessis noted that Senators Womack and Stine consistently talked about “the importance of protecting certain elected officials." JE 30 at 20; Trial Tr. 527. When questioned about this statement at trial, he stated that "the political decision was made to protect certain members of Congress and to not protect one member of Congress and that it was clear that that member was going to be Congressman Garret Graves." Trial Tr. 527. After the floor was open to amendments to S.B. 8 in the House and Governmental Affairs Committee, Senator Womack and Representative Michael Johnson of Rapides Parish noted that S.B. 8 was not drafted "in a 50

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 111 of 135 PageID #: 5001 vacuum" and that the congressional map would affect people in Senator Womack's own State Senate district. JE 31 at 45–46. Senator Womack accepted that while some Republicans may give him "a lot of heat" for the decision to draw a map that included two majority-minority districts, he agreed with Representative Johnson that S.B. 8 “present[s] a map that achieves all the necessary requirements [of a valid map] and . . . [is] the best instrument that [he] could come up with." JE 31 at 46. Thus, the legislative record in this case reveals the true "dominant and controlling" factors driving the adopted map's boundaries. See Miller, 515 U.S. at 913One such factor was the need to protect every member of Louisiana's Republican delegation in the U.S. House of Representatives except for Congressman Graves. That was the criterion that "could not be compromised." See Bethune-Hill, 580 U.S. at 189 (quotation omitted). On this point, not even S.B. 8's detractors—either at trial or during the legislative session-attempted to debunk or attack this offered rationale. See Trial Tr. 71 (testimony of Sen. Pressly) ("There were certainly discussions [in the Republican Delegation] on ensuring” that Speaker Johnson, Majority Leader Scalise, and Congresswoman Letlow were protected); Trial Tr. 76-77 (agreeing that a “Republican would be likely to lose in a second majority- Black district" like the other maps proposed in the Legislature); Trial Tr. 61 (testimony of Sen. Seabaugh). With all of this context, it becomes indelibly clear that Governor Landry's and the Republican delegation's decisions to protect Speaker Johnson, Majority Leader Scalise, and Congresswoman Letlow and cut out Congressman Graves shows that political motivations "could not be compromised" during the redistricting process. See Bethune- Hill, 580 U.S. at 189. Thus, the overwhelming evidence of the goal of incumbency protection in the legislative record shows that Plaintiffs have 51

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 112 of 135 PageID #: 5002 failed to meet their burden to prove racial predominance in this "mixed motive" case, as required by Supreme Court precedent. 52 52

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 113 of 135 PageID #: 5003 b. Other Traditional Redistricting Principles Respected in S.B. 8 The evidence in the record as to the communities of interest contained within S.B. 8 substantially undermines the assertion that race predominated in the bill's drafting. The Supreme Court has warned that “where the State assumes from a group of voters' race that they ‘think alike, share the same political interests, and will prefer the same candidates at the polls,' it engages in racial stereotyping at odds with equal protection mandates." Miller, 515 U.S. at 920. Notably, this record is flush with community of interest evidence that rebuts the allegations of racial stereotyping. See Theriot, 185 F.3d at 485. There are tangible communities of interest spanning District 6. The panel majority cannot plausibly conclude that the evidence compels a determination that there are no tangible communities of interest contained in District 6. Unlike in Miller in which the Court was presented with a comprehensive report illustrating the fractured political, social, and economic interests within the district's Black population, this court was only presented with trial testimony subject to credibility determinations. Miller, 515 U.S. at 919. 53 53

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 114 of 135 PageID #: 5004 "A district may lack compactness or contiguity-due, for example, to geographic or demographic reasons-yet still serve the traditional districting goal of joining communities of interest." Cromartie I, 526 U.S. at 555 n. (Stevens, J., concurring). A determination that race played a predominant role-over incumbency protection, communities of interest, compactness, and contiguity—is crucial to Plaintiffs' case. However, the Plaintiffs rely on this court solving every conflict of fact in their favor and accepting their inferences in order to hold that they have satisfied their burden of proof. The Court has advised courts that “[w]here there are such conflicting inferences one group of them cannot, be[] labeled as 'prima facie proof."" Wright v. Rockefeller, 376 U.S. 52, 57 (1964). If one inference were to be "treated as conclusive on the fact finder," it would "deprive him of his responsibility to choose among disputed inferences. And this is true whether the conflicting inferences are drawn from evidence offered by the plaintiff or by the defendant or by both.” Id. The record does not support the panel majority's view that Plaintiffs' evidence has established a prima facie case compelling this panel, despite conflicting inferences which could be drawn from that evidence, to hold that the State drew S.B. 8 solely on the basis of race. See id. 54 54

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 115 of 135 PageID #: 5005 The panel majority clings to rationales from Hays, averring that its descriptions of cultural divides are still true today. It bears repeating that― considering the long passage of time and trends of cultural integration over the last few decades-it is unreasonable and untenable for this court to conclude "much of the local appraisal analysis from Hays I remains relevant to an analysis of S.B.8." See Majority Op. at 53–54. Citing the map's divisions of the Acadiana region, the majority contends that S.B. 8 "fails to take into account Louisiana's diverse cultural, religious, and social landscape in any meaningful way." Majority Op. 55 n.11. But the panel majority's narrow view rooted from its cursory consultation of select cultural historical sources and Hays sharply conflicts with decades of electoral history. 55 55

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 116 of 135 PageID #: 5006 Several witnesses that testified in this case stated that Louisiana's political subdivisions and geographical and cultural hotspots are routinely split in different electoral districts. Instead of evaluating it based on the evidence in this case, the panel majority condemns S.B. 8 for its multiple divisions of the "strong cultural and ethnic groups" in the Acadiana area. 37 At first glance, the panel majority's aim is noble and sensible. But the complexity of relationships between populations within the Acadiana area, as well as its geographic composition, do not promote one unitary community of interest. In 1971, the Louisiana Legislature passed a resolution officially recognizing and protecting the "traditional twenty-two parish Cajun homeland." ." 38 The Acadiana Delegation in the Legislature provides the following map of Acadiana and segments the often referred- to Cajun Heartland (in darker red) from the rest of Acadiana. 3 39 37 The panel majority also paints with a broad brush to describe the region, but its high-level discussion assumes that two distinctive cultures that have learned how to live harmoniously in a large shared geographic region morphs those distinctive communities into a homogenous, unitary community of interest. Cajun and Creole populations have different histories, languages, food, and music. In my view, the intriguing relationship between Cajuns and Creoles may lend itself to noting that they do not neatly fit into a unitary community of interest. Somewhat respecting this notion, the Legislature has consistently segmented the Acadiana area into multiple congressional districts over the past few decades. 38 Acadiana Legislative Delegation, (last visited April 29, 2024), https://house.louisiana.gov/acadiana/#:~:text=Acadiana%20often%20is%20applied%20 only, sometimes%20also%20Evangeline%20and%20St. 39 Id. ("Acadiana often is applied only to Lafayette Parish and several neighboring parishes, usually Acadia, Iberia, St. Landry, St. Martin, and Vermilion parishes, and sometimes also Evandeling and St. Mary; this eight-parish area, however, is actually the 'Cajun Heartland, USA' district, which makes up only about a third of the entire Acadiana region."). 56 56

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 117 of 135 PageID #: 5007 Under the delegation's definition, the Acadiana parishes contain portions of three of the state's five major population centers: Lake Charles, Lafayette, and the outskirts of Baton Rouge. 40 Acadiana stretches from the marsh lands in St. Mary Parish all the way up to Avoyelles Parish in the Red River Basin. Importantly, the majority ignores the fact that the twenty-two parishes that lie within this corner of the state have been segmented into multiple single-member congressional districts since the 1970s. 41 The following map demonstrates the congressional districts for the majority of the 1970s. Notably it splits Acadiana into three congressional districts: 40 See id. 41 Even if the panel majority restricts its description of Acadiana into the "Cajun Heartland" parishes, see supra n.40, it also cannot account for the fact these have been routinely split into multiple congressional districts for decades. The following maps are retrieved from shapefile data compiled and organized by professors from the University of California at Los Angeles. Jeffrey B. Lewis, Brandon DeVine, Lincoln Pitcher, & Kenneth C. Martis, Digital Boundary Definitions of United States Congressional Districts, 1789-2012 (2013) (datafile and code book generating district overlays), https://cdmaps.polisci.ucla.edu. 57

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 118 of 135 PageID #: 5008 LOUISIANA MISSISSIPPI Jackson Haftesb Like Chats Lafayeth Gulfport b New Continuing to the 1980s, the Legislature continued to segment Acadiana for another decade: LOUISIANA 58 596 MISSISSIPPI Jackson Hab Gupon

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 119 of 135 PageID #: 5009 Even the congressional districts drawn by the Hays panel were no different on this front, also splitting up the Acadiana area into multiple districts:42 MANA Abs andis MISSISSIPPI Jackson Habebe Eaton Ro Charles Lafayette Guport New Orle Neither did the congressional districts enacted after the turn of the millennium keep Acadiana whole: 43 MISSISSIPPI Mow Jackson Akinanda Habbu aton Ro Chalm Lafayetle Guport h New Cri 42 936 F. Supp. 360, 372 (W.D. La. 1996) (“The State of Louisiana is directed to implement the redistricting plan drawn by this court and ordered implemented in Hays II.”). The judicially created map split Acadiana into districts 3, 5, 6, and 7. 43 See Act 10, H.B. 2 (2001) (splitting Acadiana into four congressional districts). 59 59

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 120 of 135 PageID #: 5010 Another decade passes, and the Legislature carves up Acadiana once more. The Legislature continued this trend after the 2010 census. The electoral map enacted in 201144 likewise split Acadiana into four districts: Uits Satire Uncoln Bl Jackson Rapides Fangers Bard Al Catchat La Salk Lond Fukk Poda Calcas Jun Cavia 2 M Labelle Cancan WCam FD We EF T Ugl Temary If the majority's formulation is correct, then none of these maps, including H.B. 1 (depicted below), 45 had adequately accounted for Louisiana's diverse cultural landscape in any meaningful way. 44 Act 2, H.B. 6 (2011) (same). 45 districts). Act 5, H.B. 1 (2022) (dividing Acadiana into four single-member congressional 60 60

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 121 of 135 PageID #: 5011 Dr Seb Render Engele Scan Avay hand Ponte C Laney Carrel L.Carol F Tersal St. St. Tammany Flag Thus, dating back decades, it is safe to say Acadiana has been a community that is “not unaccustomed to splitting” in order to achieve a variety of other goals in Congressional reapportionment. Cf. Theriot, 185 F.3d at 483; Theriot v. Parish of Jefferson, 966 F. Supp. 1435, 1444 (E.D. La. 1997). For this reason, S.B. 8's division of Acadiana cannot persuasively be interpreted to prove that race predominated in its drafting. See H.B. 1, Act 5 (2022) (dividing the Acadiana region into four Congressional districts); H.B. 6, Act 2 (2011) (doing the same). Absent from the majority's analysis is discussion of precedent making clear that an electoral map that splits a community of interest is not strong evidence of racial predominance if the community is accustomed to being split into multiple districts. Cf. Theriot, 185 F.3d at 485. Furthermore, the legislative record in this case shows that the Legislature considered a number of other communities of interest and apportioned them appropriately into single-member districts.4 46 46 See also supra notes 21-26. 61

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 122 of 135 PageID #: 5012 Here is what the record demonstrates as to the communities of interest factor. In testimony before the House and Governmental Affairs Committee, Senator Womack and numerous other members of the Louisiana House of Representatives noted that District 6 in S.B. 8 contained numerous communities of interest. Representative Larvadain of Rapides Parish noted that District 6 respected regional education and employment interests, noting that Rapides area residents lie within a "community of interest with Natchitoches and Caddo" parishes. JE 31 at 21. He further noted that residents of Point Coupee Parish in District 6, which lies almost midway between Opelousas and Baton Rouge, utilize health systems services and hospitals in Saint Landry Parish's more densely populated seat of Opelousas. JE 31 at 21-22. As another note, S.B. 8's District 4 contains the two major military bases in the state under the watch of the most powerful member of the U.S. House of Representatives, Speaker Johnson. Trial Tr. 384 (noting that assets like military bases, along with colleges or universities are information that legislators and electoral demographers consider as communities of interest). The majority does not grapple with any of this. Instead, it clings tightly to Mr. Hefner's dot density map and testimony on the contours of the district's lines in certain areas instead of truly examining whether Plaintiffs had disentangled politics and race to prove that the latter drove District 6's lines. See Cromartie I, 526 U.S. at 546; Theriot, 185 F.3d at 486 ("Our review of the record leads us to conclude that the inclusion or exclusion of communities was inexorably tied to issues of incumbency."). Thus, the majority cannot convincingly hold that Plaintiffs have met their burden of debunking the State's “political motivation" defense. 62

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 123 of 135 PageID #: 5013 III. Strict Scrutiny In my view, the panel majority adopts an incomplete interpretation of the legislative record and inconsistent circumstantial evidence to hold that S.B. 8 constitutes a racial gerrymander. Following that determination, the panel majority asserts that S.B. 8 fails strict scrutiny. Notwithstanding my writings above that demonstrate that S.B. 8 does not constitute an impermissible racial gerrymander, I now explain how the majority's second major determination also lacks a substantial basis in the record. A. Compliance with the VRA is a Compelling State Interest To survive an equal protection challenge to an election redistricting plan which considers race as a factor, the state must show that its redistricting plan was enacted in pursuit of a compelling state interest and that the plan's boundaries are narrowly tailored to achieve that compelling interest. See Vera, 517 U.S. at 958–59. In my view, it is clear that the State has satisfied its burden in demonstrating that District 6's boundaries in S.B. 8 were created pursuant to a compelling state interest and were narrowly tailored to achieve that interest. It is axiomatic that "compliance with § 2 of the Voting Rights Act constitutes a compelling governmental interest." See Clark v. Calhoun Cnty., 88 F.3d 1393, 1405 (5th Cir. 1996); Cooper, 581 U.S. at 301. Furthermore, the Supreme Court has consistently made clear that “a State indisputably has a compelling interest in preserving the integrity of its election process." Brnovich v. Dem. Nat'l Comm., 141 S. Ct. 2321, 2347 (2021) (quoting Purcell v. Gonzalez, 549 U.S. 1, 4 (2006) (per curiam) (internal quotation marks omitted)). In the face of this, Plaintiffs argue that compliance with the VRA is not a compelling governmental interest based on this record. Plaintiffs 63 63

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 124 of 135 PageID #: 5014 categorize the State's decision to settle the Robinson matter by calling a special session to draw new maps as "pretrial court-watching" insufficient to constitute "a compelling interest to justify race-based line drawing." Plaintiffs' Br. 14. They contend that the State's reliance on the VRA is based on the Attorney General's "calculated guess" on how the Middle District would rule, rather than an independent analysis of H.B. 1's performance under the VRA. Plaintiffs point to the Attorney General's responses to questioning during an information session before the 2024 Legislative Session formally opened in the morning hours of January 16, 2024, to support the theory that the Legislature did not truly consider VRA compliance in deciding to promulgate S.B. 8. Plaintiffs' Br. 15. Alternatively, they assert that the VRA is merely a "post-hoc justification []" offered by the State to avoid liability. See Bethune-Hill, 580 U.S. at 190. None of these arguments are persuasive. The State has pointed to a compelling state interest recognized by binding Supreme Court precedent. See Cooper, 581 U.S. at 292, 301; Shaw II, 517 U.S. at 915. I now proceed to address narrow tailoring as the State has sufficiently established a strong basis in evidence underlying its redistricting decisions. B. Strong Basis In Evidence The State argues that it had good reasons to believe that it had to draw a majority-minority district to avoid liability for vote dilution under § 2 of the VRA. See Ala. Legis. Black Caucus v. Alabama, 575 U.S. 254, 278 (2015) (holding that legislators "may have a strong basis in evidence to use racial classifications in order to comply with a statute when they have good reasons to believe such use is required, even if a court does not find that the actions were necessary for statutory compliance"); Cooper, 581 U.S. at 287 ("If a State has good reason to think that all three of these [Gingles] conditions are met, then so too it has good reason to believe that § 2 64

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 125 of 135 PageID #: 5015 requires drawing a majority-minority district. But if not, then not."). Moreover, the Court has emphasized that as part of the strict scrutiny inquiry "a court's analysis of the narrow tailoring requirement insists only that the legislature have a 'strong basis in evidence' in support of the (race- based) choice that it has made." Ala. Legis. Black Caucus, 575 U.S. at 278. In essence, the Court has indicated that the State must establish a strong basis in evidence for concluding that the threshold Gingles conditions for § 2 liability are present, namely: First, "that [the minority group] is sufficiently large and geographically compact to constitute majority in a single member district"; second, "that it is politically cohesive"; and third, "that the white majority votes sufficiently as a bloc to enable it . . . usually to defeat the minority's preferred candidate." Vera, 517 U.S. at 978 (quoting Thornburg v. Gingles, 478 U.S. 30, 50–51, (1986)) (internal citation omitted). The majority errs in asserting that the State has not met its burden here. See Majority Op. at 51. Markedly, the majority has incorrectly articulated the State's burden as requiring it to show that the contested district, District 6, satisfies the first Gingles factor. The Supreme Court has already directed that the first Gingles condition "refers to the compactness of the minority population [in the state], not to the compactness of the contested district." League of United Latin Am. Citizens v. Perry, 548 U.S. 399, 433 (2006) ("LULAC”) (quoting Vera, 517 U.S. at 997 (Kennedy, J., concurring))). As such, the State's actual burden is to show that the first Gingles condition-the Black population is sufficiently large and geographically compact to constitute a majority in a single-member district is present so as to establish that it had a strong basis in evidence for concluding that its remedial action to draw a new map was required. 65

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 126 of 135 PageID #: 5016 Cooper, 581 U.S. at 287; Vera, 517 U.S. at 978. "If a State has good reason to think that all the Gingles preconditions are met, then so too it has good reason to believe that § 2 requires drawing a majority-minority district." Cooper, 581 U.S. at 302 (internal quotation marks omitted). The Black population's numerosity and reasonable compactness within the state must first be established as required by Gingles. Cooper, 581 U.S. at 301; Allen v. Milligan, 599 U.S. 1, 19 (2023). To satisfy the first Gingles precondition, plaintiffs often submit illustrative maps to establish reasonable compactness for purposes of the first Gingles requirement. Milligan, 599 U.S. at 33 ("Plaintiffs adduced at least one illustrative map that comported with our precedents. They were required to do no more to satisfy the first step of Gingles.”). As such, courts evaluate whether the illustrative plans demonstrate reasonable compactness when viewed through the lens of “traditional districting principles such as maintaining communities of interest and traditional boundaries." LULAC, 548 U.S. at 433 (internal quotation marks omitted). With respect to the first Gingles precondition, in Robinson I, the Middle District of Louisiana found both (1) that Black voters could constitute a majority in a second district in Louisiana and (2) that a second district could be reasonably configured in the state. Robinson I, 605 F. Supp. 3d at 820-31; see Milligan, 599 U.S. at 19. Following Milligan's lead, the Robinson I court analyzed example districting maps that Louisiana could enact-each of which contained two majority-Black districts that comported with traditional districting criteria-to conclude that a second majority-minority district could be formulated from Louisiana's demographics. Robinson I, 605 F. Supp. 3d at 822-31; see Milligan, 599 U.S. at 20. Because the Middle District of Louisiana had thoroughly conducted a Gingles analysis, the State had good reasons to believe (1) that the Gingles 99 66

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 127 of 135 PageID #: 5017 threshold conditions for § 2 liability were all present and (2) that it was conceivable to draw two majority-minority congressional districts that satisfy the first prong of Gingles while adhering to traditional redistricting principles. The Robinson I court's thorough analysis that the plaintiffs were substantially likely to prevail on the merits of their §2 claim provided powerful evidence and analysis supporting the State's strong basis in evidence claim that the VRA requires two majority-Black districts. Cf. Wisconsin Legis. v. Wis. Elections Comm'n, 595 U.S. 398, 403 (2022) (holding that the Governor failed to carry his burden because he "provided almost no other evidence or analysis supporting his claim that the VRA required the seven majority-black districts that he drew"). The majority points to no precedent requiring the State to reestablish or embark on an independent inquiry regarding the numerosity and reasonable compactness of Louisiana's Black population after an Article III judge has already carefully evaluated that evidence in a preliminary injunction proceeding. Id. at 410 (Sotomayor, J., dissenting) ("The Court points to no precedent requiring a court conducting a malapportionment analysis to embark on an independent inquiry into matters that the parties have conceded or not contested, like the Gingles preconditions here."). Notably, both the majority and the Robinson I court would agree that where the record reflects that the Black population is dispersed then § 2 does not require a majority-minority district. Compare 605 F. Supp. 3d at 826 (“If the minority population is too dispersed to create a reasonably configured majority-minority district, [§ 2] does not require such a district.") (internal citation and quotation marks omitted), with Majority Op. at 51 ("The record reflects that, outside of southeast Louisiana, the Black population is dispersed."). But it was the Robinson I court that was provided with an extensive record-particularly extensive for a preliminary 67

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 128 of 135 PageID #: 5018 injunction proceeding-regarding the numerosity and geographic compactness of Louisiana's Black population. And this court should not deconstruct or revise that finding. Despite the majority's suggestion that the "[instant] record reflects that, outside of southeast Louisiana, the Black population is dispersed," this record makes no such certitude. See Majority Op. at 51. Likewise, the Supreme Court has been clear that compactness in the equal protection context, "which concerns the shape or boundaries of a district, differs from § 2 compactness, which concerns a minority group's compactness." LULAC, 548 U.S. at 433 (quoting Abrams v. Johnson, 521 U.S. 74, 111 (1997)). “In the equal protection context, compactness focuses on the contours of district lines to determine whether race was the predominant factor in drawing those lines." Id. (citing Miller, 515 U.S. at 916-17). The inquiry under § 2 is whether “the minority group is geographically compact.” Id. (quoting Shaw II, 517 U.S. at 916) (internal quotation marks omitted). The instant case is about an asserted equal protection violation. The fully developed trial record substantiates District 6's compactness as it relates to traditional redistricting factors. Conversely, Robinson I and its associated record are about a vote dilution violation. In essence, the record in Robinson I is replete with evidence concerning the inquiry under § 2 into whether the minority group is geographically compact. Robinson I, 605 F. Supp. 3d at 826. The Robinson I court correctly determined that "[t]he relevant question is whether the population is sufficiently compact to make up a second majority-minority congressional district in a certain area of the state." Robinson I, 605 F. Supp. 3d at 826. And that is the determination that the Middle District of Louisiana made. Equipped with expert testimony regarding the numerosity and reasonable compactness of the Black 88 68

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 129 of 135 PageID #: 5019 population in Louisiana, the Robinson I court made a finding that the "Black population in Louisiana is heterogeneously distributed." 605 F. Supp. 3d at 826. In Robinson I, the court determined that “[p]laintiffs have demonstrated that they are substantially likely to prove that Black voters are sufficiently 'geographically compact' to constitute a majority in a second congressional district." Robinson I, 605 F. Supp. 3d at 822. It would be unreasoned and inappropriate for this court-without the benefit of a record relevant to vote dilution—to now post hoc suggest that Black voters are not sufficiently "geographically compact" and thus overrule the Robinson I court's finding. After determining that the previously enacted redistricting plan, H.B. 1, likely violated § 2, the Middle District of Louisiana did not impose a particular map or course of action on the State. Id. at 857 ("The State . . . is not required to [use one of plaintiffs' illustrative plans], nor must it ‘draw the precise compact district that a court would impose in a successful § 2 challenge.""). Rather, the Robinson I court highlighted that the State retained "broad discretion in drawing districts to comply with the mandate of § 2." Id. (quoting Shaw II, 517 U.S. at 917 n.9). It emphasized the State's numerous options for a path forward, namely that the State could "elect to use one of Plaintiffs' illustrative plans" or "adopt its own remedial map." The State chose the latter. At the same time, the Robinson I court cautioned the State to respect its own traditional districting principles and to remain cognizant of the reasonableness of its fears and efforts to avoid § 2 liability. Id. (quoting Vera, 517 U.S. at 978). Although District 6 was not present in any of the illustrative maps submitted to satisfy the first Gingles factor in Robinson I, the State has shown that as a remedial plan District 6 is reasonably compact when viewed through the lens of “traditional districting principles such as maintaining 69 69

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 130 of 135 PageID #: 5020 communities of interest and traditional boundaries." LULAC, 548 U.S. at 433 (internal quotation marks omitted). 47 Recall that a “§ 2 district that is reasonably compact and regular, taking into account traditional districting principles such as maintaining communities of interest and traditional boundaries, may pass strict scrutiny without having to defeat rival compact districts designed by plaintiffs' experts in endless beauty contests." Vera, 517 U.S. at 977. Make no mistake-the "special session [called by Governor Landry] was convened as a direct result of [] litigation, Robinson v. Landry." JE36 at 6. Certainly, some state legislators colloquially characterized the genesis of the special session by expressing that "we've been ordered by the court that we draw congressional district with two minority districts." JE36 at 4 (Sen. Ed Price). But, while some state legislators conversationally expressed that "we are now in 2024 trying to resolve this matter at the direction of the court," all legislators formally and collectively understood the redistricting process to have begun in the fall of 2021 "where [the Legislature] began [the] process going to every corner of this state on the roadshow, northeast, northwest, southeast, southwest, central Louisiana, all throughout this state.” JE36 at 4 (Sen. Royce Duplessis). Most of these senators—with the exception of two newly elected senators—were involved in the redistricting process when it began more than two years before the January 2024 special session, in the fall of 2021. Trial Tr. 545 (noting that except for only two newly-elected state senators to the 2024 Legislature, "the rest of the Senate serv[ed] for the full duration of the redistricting process following the 2020 census"). 47 See supra Part II.A-B. 770

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 131 of 135 PageID #: 5021 As mentioned above, the testimony and evidence show that the legislators gave careful thought when identifying and assessing communities of interest; strategizing incumbency protection; calculating how often maps split parishes, census places (or municipalities), and landmarks, and measuring and comparing compactness scores. Although the impetus for the special session was litigation, the record confirms that the legislators considered traditional redistricting criteria in drawing and amending the maps. During the January 2024 special session, the legislators continuously cited "redistricting criteria, including those embodied in the Legislature's Joint Rule 21" as foremost in their minds while promulgating, drafting, and voting on S.B. 8.48 As discussed, the record illustrates that the legislators balanced all the relevant principles, including those described in Joint Rule 21, without letting any single factor dominate their redistricting process. To further imprint that the State had a strong basis in evidence for finding that the Gingles preconditions for § 2 liability were present, I examine the remainder of the Gingles factors. See Vera, 517 U.S. at 978. Louisiana electoral history provided evidence to support the remaining Gingles prerequisites. The second Gingles factor asks whether Black voters are "politically cohesive." The court determines whether Black voters 48 Moreover, Patricia Lowrey-Dufour, Senior Legislative Analyst to the House and Governmental Affairs Committee, presented an oral "101" orientation about the redistricting process. Specifically, she provided an overview of redistricting terms, concepts, and law, redistricting criteria, the 2020 census population and population trends, malapportionment statistics, and illustrative maps. Moreover, Ms. Lowrey-Dufour directed legislators to "a plethora of resources available on the redistricting website of the legislature.” In other words, the confection of these redistricting plans did not occur in a vacuum. S.B. 8 was adopted as part of a process that began with the decennial and in which legislators were immensely informed of their duties and responsibilities. JE28 at 3- 11. 71 14

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 132 of 135 PageID #: 5022 usually support the same candidate in elections irrespective of the contested district. The third Gingles factor requires an inquiry into whether White voters in Louisiana vote “sufficiently as a bloc to usually defeat [Black voters'] preferred candidate." Again, the court makes this determination unrelatedly of the contested district. Relying on a record that established racially polarized voting patterns in the state of Louisiana, the State had a strong basis in evidence for finding that the second and third Gingles factors were present. Further, the Middle District of Louisiana court analyzed "the Senate Factors... and then turned to the proportionality issue." Robinson I, 605 F. Supp. at 844. By evaluating the Senate Factors, 49 the Robinson | court determined that the plaintiffs had “established that they are substantially likely to prevail in showing that the totality of the circumstances weighs in their favor." 605 F. Supp. at 844-51. Lastly, when evaluating the proportionality factor, the Middle District of Louisiana concluded that the "Black representation under the enacted plan is not proportional to the Black share of population in Louisiana . . . Although Black Louisianans make up 33.13% of the total population and 31.25% of the voting age population, they comprise a majority in only 17% of Louisiana's congressional districts." Id. at 851. Thus, each of the three Gingles prerequisites was sufficiently established. In sum, not only did the State have a strong basis in evidence for believing that it needed a majority-minority district in order to avoid liability under § 2 but-in drafting the remedial plan-it also ensured that its 49 The Senate Report of the Senate Judiciary Committee-which accompanied the 1982 amendments to the VRA-specifies factors ("Senate Factors") that are typically relevant to a § 2 claim and elaborate on the proof required to establish § 2 violations. See Gingles, 478 U.S. at 43-44. 72

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 133 of 135 PageID #: 5023 proposed redistricting plan met the traditional redistricting criteria and was geographically compact so as to not offend the VRA. See Shaw II, 517 U.S. at 916–17 (rejecting the argument that "once a legislature has a strong basis in evidence for concluding that a § 2 violation exists in the State, it may draw a majority-minority district anywhere, even if the district is in no way coincident with the compact Gingles district”). Thus, District 6, as drawn, is "narrowly tailored." Shaw II recognizes that: (1) the State may not draw a majority- minority district "anywhere [in the state] if there is a strong basis in evidence for concluding that a § 2 violation exists somewhere in the State and (2) "once a violation of the statute is shown[,] States retain broad discretion in drawing districts to comply with the mandate of § 2.” Shaw II, 517 U.S. at 901, 917 n.9. Citing Shaw II, the Robinson I court made no determination that a district should be drawn just anywhere in the state. 605 F. Supp. 3d at 857-58. Nor did the State seek to embark on such an endeavor. Rather, the Robinson I court afforded the State "a reasonable opportunity for the legislature to meet [applicable federal legal] requirements by adopting a substitute measure rather than for the federal court to devise and order into effect its own plan.” Wise v. Lipscomb, 437 U.S. 535, 540 (1978) (citing Burns v. Richardson, 384 U.S. 73, 85 (1966)). Because the Supreme Court has emphasized "[t]ime and again" that "reapportionment is primarily the duty and responsibility of the State through its legislature or other body, rather than of a federal court," this three-judge panel should not usurp the State's efforts to narrowly tailor its reapportionment scheme. See Voinovich v. Quilter, 507 U.S. 146, 156 (1993). Under the Burns rule, "a State's freedom of choice to devise substitutes [or remedial plans] for an apportionment plan [that was] found unconstitutional . . . should not be restricted beyond the clear commands 73

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 134 of 135 PageID #: 5024 of the Equal Protection Clause." Lipscomb, 437 U.S. at 536–37; Burns, 384 U.S. at 85. Far from a map "drawn anywhere" in the state simply because "there is a strong basis in evidence for concluding that a § 2 violation exists somewhere in the State," District 6 reasonably remedies potential § 2 violations because (1) the Black population was shown to be "geographically compact" to establish § 2 liability, Gingles, 478 U.S. at 50, and (2) District 6 complies with “traditional districting principles such as compactness, contiguity, and respect for political subdivisions," See Miller, 515 U.S. at 919. Shaw II, 517 U.S. at 900. For the foregoing reasons, I would hold that because S.B. 8 is narrowly tailored to further the State's compelling interests in complying with § 2 of the VRA, it survives strict scrutiny and is therefore constitutional. IV. Conclusion The panel's mandate in this case was clear: Plaintiffs needed to prove by a preponderance of the evidence that race predominated in the drawing of the district lines found in S.B. 8. The panel majority, relying on decades- old case law with antiquated observations, and by giving undue dispropor- tionate weight to the testimonies of Plaintiffs' witnesses, concluded that Plaintiffs met their burden. Respectfully, my assessment of the evidence ad- duced at trial and my complete review of the entire record in this case con- vinces me that Plaintiffs failed to disentangle the State's political defense from the consideration of race in the formulation of S.B. 8. Not only is the panel majority's decision particularly jarring here, but it also creates an un- tenable dilemma for the State and eviscerates the semblance of its sover- eign prerogative to draw maps. The Louisiana Legislature conducted roadshows, held floor debates, had the author of the bill and numerous legislators explicitly state the 74

Case 3:24-cv-00122-DCJ-CES-RRS Document 198 Filed 04/30/24 Page 135 of 135 PageID #: 5025 political impetus for their efforts, and drafted several maps and amend- ments before finally passing S.B. 8. If, after all of that, the majority still found that race predominated in drawing District 6, are we not essentially telling the State that it is incapable of doing the job it is tasked with under the United States and Louisiana constitutions? While the panel majority states that this court does not decide "whether it is feasible to create a second majority-Black district in Louisiana," the context underlying this case in con- junction with its holding functionally answers that question. Majority Op. 58. I worry that the panel majority's decision fails to properly assess the history that led to S.B. 8 and, consequently, dooms us to repeat this cycle. For the foregoing reasons, I would determine that Plaintiffs have failed to meet their burden showing racial predominance in the drafting of S.B. 8. Alternatively, I would hold that S.B. 8 is constitutional because it is narrowly tailored to further the State's compelling interests in complying with § 2 of the VRA. 75 15

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Feature story

Unaids – planning for sustainability of the hiv response up to and beyond 2030.

30 April 2024

There are more people than ever before living with HIV and in need of lifelong treatment (39 mill

There are more people than ever before living with HIV and in need of lifelong treatment (39 million in 2022), with this number set to rise in the coming years. Ensuring long-term resourcing is vital.

However, resources for HIV are severely constrained. In 2022, US$ 20.8 billion was available for HIV programmes in low- and middle-income countries––2.6% less than in 2021 and well short of the US$ 29.3 billion estimated to be needed by 2025. In addition, UNAIDS estimates that in 2022 there was a 90% shortfall in funding for HIV prevention among key populations most affected by HIV, including men who have sex with men, sex workers and people who inject drugs.

As countries work to reach the goal of ending AIDS as a public health threat by 2030, planning is urgently needed to protect and build on the HIV gains made to date, increase efforts to reach people most affected by HIV, and to sustain the HIV response into the future.

This is why UNAIDS has developed an HIV sustainability framework which includes transformations in policy, programmes and systems to sustain the HIV response beyond 2030. To ensure success in sustaining the HIV response, UNAIDS is supporting all stakeholders on long-term planning.

“As the global community pushes towards the ambitious goal of ending AIDS as a public health threat by 2030, a crucial conversation is needed now on how to sustain the hard-won gains of the HIV response well beyond 2030,” said Winnie Byanyima, Executive Director of UNAIDS. “A paradigm shift is needed to ensure the long-term sustainability of the HIV response, a journey that demands transformative action starting today.”

To support countries and partners in implementing the Sustainability Framework as outlined in the UNAIDS HIV response sustainability primer , UNAIDS has released a new Companion Guide which includes country-specific analytical resource packages and a sustainability assessment tool. These resources will serve as tools to help countries and partners develop roadmaps and navigate the path towards sustainability.

The companion guide offers flexible stepwise methodology, allowing each country to tailor the sustainability framework to its unique context. With practical tools and insights, it serves as a compass for initiating and guiding the roadmap development process.

“Developing sustainability roadmaps is key to the HIV sustainability framework and will empower countries to navigate the complex terrain of sustainability,” said Angeli Achrekar, Deputy Executive Director for Programme, UNAIDS.

The country analytical resources package features granular data tables, graphics, and essential fiscal and macroeconomic metrics, broader health system analytics and additional qualitative information. The package serves to facilitate sustainability dialogues essential for planning that fits each country's epidemic characteristics and broader economic and health system landscape.

Central to this journey is also the sustainability assessment tool. This tool empowers stakeholders to identify and address risks across political, structural, financial, and programmatic domains. It also facilitates the discovery of new strategies to enhance the HIV response and drive continuous improvement towards 2030 and beyond.

“Through its intuitive interface, the sustainability assessment tool will help countries understand how to ensure that their HIV response is sustainable – identify the big milestones needed and to organize how to get there,” said Christine Stegling, Deputy Executive Director, Policy, Advocacy and Knowledge Branch, UNAIDS.

Sustainability to 2030 and beyond will require strong political leadership across multiple sectors, and the active engagement of people living with HIV and of key and vulnerable populations. Resources will need to be mobilized from both domestic and international sources, and flexibility and resilience will be required as epidemics evolve, and shifts occur in changing economic, political and social contexts.

UNAIDS will work side by side with countries and partners to enable them to successfully implement the new sustainability framework, so that all people living with and affected by HIV can continue accessing the lifesaving HIV services they need, have their rights protected, and be able to thrive.

Download the Companion Guide

UNAIDS launches new approach to ensure the long-term sustainability of the HIV response

Download the HIV response sustainability primer