John KNUTSON v. DEPARTMENT OF SECRETARY OF STATE and Herbert J. Hoffman.
2008 ME 124
Supreme Judicial Court of Maine.
July 28, 2008.
954 A.2d 1054
Argued: July 24, 2008. Order Staying Mandate Aug. 20, 2008.
[¶ 8] Subsections (1)(A), (1)(C), and (2) of
[¶ 9] Costain‘s participation in the investigation of the doctor does not fit within these parameters. She did not report her participation to her then employer, nor would she have had any reason to do so. The investigation of the doctor bore no relationship to the employment in which she was engaged at the time of the investigation. There was no violation alleged against her then employer. Her participation in the investigation of the doctor is therefore not a protected action pursuant to the WPA.
[¶ 10] We do not reach any of the parties’ other arguments.
The entry is:
Judgment affirmed.
G. Steven Rowe, Attorney General, Phyllis Gardiner, Asst. Atty. Gen. (orally), Office of Attorney General, Augusta, ME, for the Secretary of State.
John H. Branson, Esq. (orally), Portland, ME, for Herbert J. Hoffman.
Panel: SAUFLEY, C.J., and CLIFFORD, SILVER, MEAD, and GORMAN, JJ.
SAUFLEY, C.J.
[¶ 1] We are presented with two questions in this challenge by John Knutson to the potential nonparty candidacy of Herbert J. Hoffman for the office of United States Senator. Both are questions of first impression.
[¶ 2] The first question is as follows: when petitions in support of a prospective candidate are circulated for signatures, must the circulator have direct personal contact with potential signors and observe the signatures, or is it sufficient that the circulator be in some unspecified proximity to signors? The Secretary of State concluded, pursuant to
[¶ 3] The second question is as follows: if the circulator has misunderstood this obligation, but only one specific signature on each affected petition has been proved to have been acquired without the circulator‘s direct observation, is the appropriate remedy to strike the entire petition, or to strike only the invalid signature? We conclude that the plain language of the statute requires that each of the three petitions be stricken in their entirety, and, thus, we must vacate the judgment of the Superior Court affirming the Secretary‘s determination that the three petitions were valid.
I. BACKGROUND
[¶ 4] Hoffman is a prospective nonparty candidate for the office of United States
[¶ 5] Hoffman presented more than 4,000 signatures to the Secretary within the time required by statute. Following a challenge by John Knutson both to multiple signatures and whole petitions, the Secretary found that certain signatures were not valid.2 Among the signatures invalidated by the Secretary were three on petitions that Hoffman personally signed as circulator that were not collected within Hoffman‘s personal and visual oversight.3 The Secretary concluded that
[¶ 6] Ultimately, the Secretary determined that Hoffman had presented 4,112 signatures, including seventy-four signatures that were determined by the Secretary to be invalid, leaving 4,038 valid signatures, a sufficient number for the nomination of Hoffman to the Senate candidacy.
[¶ 7] Knutson appealed the Secretary‘s decision to the Superior Court, pursuant to
II. DISCUSSION
A. Standard of Review
[¶ 8] Because the Superior Court acted in an appellate capacity when it considered this matter, we review the decision of the Secretary directly, reviewing for findings not supported by the evidence, errors of law, or abuse of discretion, see Palesky v. Secretary of State, 1998 ME 103, ¶ 9, 711 A.2d 129, 132 (citing Maine Bankers Ass‘n v. Bureau of Banking, 684 A.2d 1304, 1305–06 (Me.1996)). Here, the Secretary‘s factual findings are not challenged, and the only issues presented relate to the application of Maine‘s election laws.
[¶ 9] In construing Maine statutes, our primary purpose is to give effect to the intent of the Legislature. Arsenault v. Sec‘y of State, 2006 ME 111, ¶ 11, 905 A.2d 285, 287-88. We first effectuate the plain language of the statute. If the language of the statute is ambiguous, we defer to the Secretary‘s interpretation if that interpretation is reasonable. Id.
B. Signatures in the “Presence” of the Circulator
[¶ 10] The term “presence” is ambiguous, and, therefore, the first issue we consider is whether the Secretary correctly determined that the three invalidated signatures were signed outside the “presence” of Hoffman, the circulator. If “presence” means only proximity, and the petitions were signed in Hoffman‘s proximity, as he contends, then he complied with
[¶ 11] The operative law,
7. Certification of petitions. A nomination petition shall be verified and certified as follows.
A. The circulator of a nomination petition shall verify by oath or affirmation before a notary public or other person authorized by law to administer oaths or affirmations that all of the signatures to the petition were made in the circulator‘s presence and that to the best of the circulator‘s knowledge and belief each signature is the signature of the person whose name it purports to be; each signature authorized under
section 153-A was made by the authorized signer in the presence and at the direction of the voter; and each person is a resident of the electoral division named in the petition.
(Emphasis added.) This requirement finds its foundation in the Maine Constitution, which, in almost identical language, requires that the circulator of a petition swear an oath verifying that each of the
[¶ 12] Construing the language of the statute, the Secretary concluded that “presence,” requires both “physical proximity” and “awareness.” In so ruling, the Secretary recognized the absence of a statutory definition, and appropriately referred to the context of the provision at issue, which requires the circulator to take an oath that “each signature is the signature of the person whose name it purports to be” and that each signatory “is a resident of the electoral division named in the petition.”
[¶ 13] This analysis is eminently sensible, and not directly challenged by any party. We conclude that the Secretary‘s construction of
C. Remedy
[¶ 14] The next question is whether Hoffman‘s misunderstanding of his responsibility as a circulator to be present when signatures were collected, combined with the consequent invalidation of three signatures on three separate petitions, requires the voiding of all three petitions.
[¶ 15] Hoffman, as the circulator of the three petitions, took an oath averring “that all of the signatures to the petition were made in the circulator‘s presence.”
[¶ 16] The Secretary found, however, that the challenger failed to prove which, if any, other specific signatures were made outside the presence of the circulator, leaving only the three identified individuals as having signed outside the circulator‘s presence. On that basis, the Secretary concluded that it was necessary to invalidate only the three signatures that had not been gathered in accordance with the requirements of subsection (7), and that the inaccuracy of the circulator‘s oath did not require that the three petitions be voided in their entirety.
[¶ 17] The Secretary has previously construed
[¶ 18] We accept the Secretary‘s factual findings, and, because the Secretary has previously construed the statute, if we find an ambiguity in the statute, we will defer to that construction if we determine that the Secretary‘s construction is reasonable. Melanson v. Sec‘y of State, 2004 ME 127, ¶ 8, 861 A.2d 641, 644.
[¶ 19] We, therefore, examine the statute to determine first whether it is ambiguous. The Legislature has set out clear consequences for failure to comply with the statutory requirements:
Petition void. A nomination petition which does not meet the requirements of this section is void.
[¶ 20] This language is unambiguous.7 When a petition is tendered to the Secretary that does not meet the requirements of the petition laws, it must be voided. The Legislature has not conditioned the application of this section on the presence of fraud, nor has it created any exception for a failure to comply that is done in good faith. The Legislature could certainly have limited the remedies to violations that were founded on fraud and dishonesty, but it has not done so.
[¶ 21] Thus, the consequence here, where the circulator misunderstood his obligations and tendered three petitions, each containing a signature that was not gathered in his presence, must be to void the three petitions, unless subsection (9) does not apply, or some other statute or constitutional provision prevents the application of the statutory remedy provided in subsection (9). The only statutory exception to the requirement that a failure to comply must void the entire petition is found in the second sentence of subsection (9), regarding errors related to individual signatories that are generally not in the control of the circulator.
[¶ 22] Hoffman and the Secretary present several arguments to avoid the plain result required by law. First, they argue that the statute could be unconstitutional if it voids the remaining signatures. Specifically, the Secretary expresses concern that if
[¶ 23] Hoffman also asserts that the mandate that signatures be obtained in the presence of a circulator is not one of the “requirements” of
[¶ 24] The Secretary and Hoffman also urge us to conclude that the making of an honest oath is all that is required by subsection (7). Because, according to the Secretary, the oath was inaccurately, but honestly taken, the circulator did not “fail to comply,” and, therefore, subsection (9) does not apply. This construction is inconsistent with the language of subsections (7) and (9). Nothing in the language of either subsection makes exceptions for actual, but honest, failures to comply. The importance of compliance with the petition requirements is central to a credible nomination process. Whether the errors are made in good faith, or are the product of fraud or dishonesty, the law requires the invalidation of the petition upon demonstration of noncompliance, regardless of scienter.
[¶ 25] Hoffman nonetheless contends that fraud and dishonesty have been present whenever full petitions have been voided in other states. Because no fraud is present here, he asserts that the petitions should not be stricken in full. Certainly courts and election administrators have been firm in voiding petitions where fraud is present. See Maine Taxpayers Action Network, 2002 ME 64, 795 A.2d 75.9 Thus,
[¶ 26] It does not follow, however, that the absence of fraud precludes the possibility that entire petitions may be stricken.10 The analytical fallacy in Hoffman‘s argument is apparent. The fact that the presence of fraud will invalidate petitions wholesale does not mean that the absence of fraud forecloses that remedy. More important, the Maine Legislature has never identified the presence of fraud as the sine qua non for invalidating a petition. Thus, the presence of fraud is not a necessary predicate to the operation of subsection (9).
[¶ 27] Finally, we address the Secretary‘s earlier construction of subsection (9), that “in order to void the entire candidate petition, the defect in the circulator‘s oath should be something that undercuts the veracity of the oath as applied to the entire petition.” The Legislature could determine such a policy to be reasonable, but it has not done so, instead, it has declared in straightforward language that a petition is void if it does not comply with
[¶ 28] We are bound by the Legislature‘s choice of language: “[a] nomination petition which does not meet the requirements of this section is void.”
The entry is:
Judgment of the Superior Court vacated. Remanded to the Superior Court for entry of judgment vacating the Secretary of State‘s decision, and for further action consistent with this opinion.
ORDER STAYING MANDATE
[¶ 1] Pending before the Court1 is Herbert Hoffman‘s motion for stay of the mandate in the above-captioned matter. Hoffman seeks the stay in order to obtain a review of our opinion by the United States Supreme Court. We have received Hoff-
[¶ 2] By rule, the Court‘s mandate would have issued fourteen days following the certification of the opinion, in this case, on August 11, 2008.
[¶ 3] We would ordinarily deny the motion for stay because, as briefly addressed below, Hoffman has not established a reasonable likelihood of success in obtaining review and prevailing in his appeal to the U.S. Supreme Court. In order, however, to allow Hoffman to press his requests in the U.S. Supreme Court, we will accommodate Hoffman‘s request, in part.
LIKELIHOOD OF SUCCESS ON THE MERITS
[¶ 4] A central component of any request for stay in this context is the demonstration of a reasonable likelihood of success in obtaining review and prevailing on a federal constitutional challenge. Cf. Ingraham v. Univ. of Me. at Orono, 441 A.2d 691, 693 (Me.1982) (standard for injunctive relief); Rostker, 448 U.S. at 1308, 101 S.Ct. 1. The constitutional challenge presented by Hoffman is not entirely clear.
[¶ 5] Hoffman does not now appear to challenge the Maine law that requires circulators to be physically present and to observe the signatures of the voters.3 See
[¶ 6] Because the U.S. Supreme Court has deemed communication between the circulator and the voter to be at the very heart of this political process, it has struck down ballot initiative restrictions that “significantly inhibit communication with voters about proposed political change.” Buckley, 525 U.S. at 192. Thus, there is little likelihood that Hoffman would prevail in setting aside the Maine requirement of circulator and voter interaction, expressed in the provision requiring the circulator‘s “presence,” and we do not read his papers as presenting that argument.
[¶ 7] Moreover, Hoffman now says that he is “not seeking review of this Court‘s determination that Maine law mandates the voiding of an entire petition in the event that the circulator‘s oath, although made honestly and in good faith, is later found to be ‘inaccurate’ with regard to a single signature.” See
[¶ 8] We read the current formulation of his argument to be this: the application of the “presence” requirement to void in full petitions presented by a circulator who did not understand that requirement violates the First Amendment rights of all voters who signed his petitions, whether or not they signed in his presence.4 It is, perhaps, another way of presenting his prior argument, that is, that the absence of fraud precludes the application of
[¶ 9] We concluded that, regardless of the absence of fraud, Hoffman‘s failure to comply with the circulator‘s responsibilities with regard to the three petitions (out of approximately 355) placed the petitions squarely within the plain language of Maine law,
[¶ 10] Because the presence of fraud is neither statutorily nor constitutionally required before a reasonable petition requirement can be enforced, see Anderson v. Celebrezze, 460 U.S. 780, 788 (1983), we conclude that Hoffman is not likely to succeed in his argument that the nonfraudulent quality of his mistake precludes the application of
[¶ 12] The requirement that the circulator interact with and observe the signature of the voter is just such a part of the electoral process. It applies to all circulators; it does not restrict the characteristics or number of circulators; it does not affect one candidate differently than others; it does not interfere with the communication between circulator and voter. See Buckley, 525 U.S. at 192. Applying any level of scrutiny, the Maine Legislature‘s determination that the failure to comply with such a fundamental requirement of law should result in voiding the defective petition in full is neither unduly burdensome, nor does it create a hindrance to “political conversations and the exchange of ideas.” Id.
CONCLUSION AND ORDER
[¶ 13] The failure to comply with the reasonable circulation requirement of “presence,” regardless of the circulator‘s motivation, eliminates a key component of the petition process: the circulator‘s minimal assurance that the voter is who he says he is, and that the voter is a resident in the electoral division named in the petition.
[¶ 14] Nonetheless, because safeguarding the protections of the First Amendment is of paramount importance, and because, with the helpful information provided by the Secretary of State, we can partially accommodate Hoffman‘s request for a stay in order to allow him to determine whether the Supreme Court will intervene to stay our mandate, we will stay the mandate for a finite period. In order to provide the Secretary of State a minimum of two full business days (in the absence of a stay by the U.S. Supreme Court) before the deadline for the creation of the final ballot templates, we stay the issuance of the mandate for one week.
[¶ 15] It is hereby ORDERED that the mandate shall issue on Wednesday, August 27, 2008, at 4:00 P.M., and no further stay will be allowed, unless the U.S. Supreme Court orders the stay of the mandate in this matter or the Clerk of the Law Court receives an Order granting the petition for writ of certiorari, before August 27, 2008, at 4:00 P.M. See
/s/ Leigh I. Saufley, Chief Justice
For SAUFLEY, C.J., and CLIFFORD and GORMAN, JJ.
STATEMENT OF NONCONCURRENCE
MEAD and SILVER, JJ.
[¶ 16] We would deny Hoffman‘s motion for stay. It is incumbent upon a party seeking temporary relief from a judgment of the Court to demonstrate an appropriate basis and need for the granting of such extraordinary relief. At the heart of such a showing is proof that the stay would actually accomplish an affirmative result.
Notes
Relief from a single Justice is appropriate only in those extraordinary cases where the applicant is able to rebut the presumption that the decisions below—both on the merits and on the proper interim disposition of the case—are correct.... [T]his can be accomplished only if a four-part showing is made. First, it must be established that there is a “reasonable probability” that four Justices will consider the issue sufficiently meritorious to grant certiorari.... Second, the applicant must persuade [the Justice] that there is a fair prospect that a majority of the Court will conclude that the decision below was erroneous.... Third, there must be a demonstration that irreparable harm is likely to result from the denial of a stay. And fourth, in a close case it may be appropriate to “balance the equities“—to explore the relative harms to applicant and respondent, as well as the interests of the public at large.
Rostker v. Goldberg, 448 U.S. 1306, 1308, 101 S.Ct. 1, 65 L.Ed.2d 1098 (1980) (Brennan, J., in chambers) (citations omitted).
“written petition” means one or more petitions written or printed, or partly written and partly printed, with the original signatures of the petitioners attached, verified as to the authenticity of the signatures by the oath of the circulator that all of the signatures to the petition were made in the presence of the circulator and that to the best of the circulator‘s knowledge and belief each signature is the signature of the person whose name it purports to be, and accompanied by the certificate of the official authorized by law to maintain the voting list or to certify signatures on petitions for voters on the voting list of the city, town or plantation in which the petitioners reside that their names appear on the voting list of the city, town or plantation of the official as qualified to vote for Governor. The oath of the circulator must be sworn to in the presence of a person authorized by law to administer oaths. (Emphasis added.)
Although
and other improprieties permeated the circulation process that a particular group gathering signatures used); Montanans for Justice v. State, 334 Mont. 237, 146 P.3d 759, 777 (2006) (considering totality of evidence and circumstances affirmed invalidation of all petitions signed by out-of-state gatherers due to failure to comply with statute, deceptive practices, and misrepresentation); Brousseau v. Fitzgerald, 138 Ariz. 453, 675 P.2d 713, 715-16 (1984) (voiding petitions containing false certifications because they destroy a safeguard of the electoral process).
