Knutson v. Dep't of the Secretary of State

• Court: Superior Court of Maine
• Decided: July 14, 2008
• Docket: KENap-08-49
• Status: Unpublished

Opinion

STATE OF MAINE SUPERIOR COURT CIVIL ACTION KENNEBEC, ss. DOCkET NO. AP-O~~9 ' ,_y Hti -~ fCr) ----7; Jtj c' JOHN KNUTSON,

Petitioner

v. DECISION AND ORDER

DEPARTMENT OF THE SECRETARY OF STATE, STATE OF MAINE

Respondent

HERBERT HOFFMAN,

Intervenor

Before the court is petitioner's M.R. Civ. P. 80B and 21-A M.R.S. § 356(2)(D)1

petition for judicial review of the Secretary of State's decision denying the petitioner's

challenge to the validity of Herbert Hoffman's nomination petitions to be placed on the

ballot for the US. Senate seat. Herbert Hoffman as an interested party has intervened.

The facts of the case are not in serious dispute. 21-A M.R.S. § 354(7)(A) requires

that the circulator of a nomination petition swear on oath before a notary public 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

I Provides:

A challenger or a candidate may appeal the decision of the Secretary of State by commencing an action in the Superior Court. This action shall be conducted in accordance with the Maine Rules of Civil Procedure, Rule BOB, except as modified by this section. This action must be commenced within 5 days of the date of the decision of the Secretary of State and shall be tried, without a jury, within 10 days of the date of the decision. Upon timely application, anyone may intervene in the action when the applicant· claims an interest relating to the subject matter of the petition, unless the applicant's interest is adequately represented by existing parties. The court shall issue its written decision containing its findings of fact and conclusions of law and setting forth the reasons for its decision within 20 days of the date of the decision of the Secretary of State. 2

1I person whose name it purports to be. 21-A M.R.S.A. § 354(7)(A). The Maine

Constitution, Art. 4, Pt. 3, § 20 requires a petition be "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 his presence and that to the best of his knowledge and belief each signature is

the signature of the person whose name it purports to be... 11 Mr. Hoffman, the

circulator, swore this oath as to the three petitions here in question.

The petitioner, a resident and registered voter in the United States Senator's

voting district, has challenged the validity of the petitions before the Secretary of State

and subsequently, before this court. By her report, a hearing officer concluded and the

Secretary of State through its decision adopted, the finding that in three instances

involving Rep. Herb Adams, Dan Flack and John "Jack" Woods the signatures were not

made in Mr. Hoffman's presence. The hearing officer and Secretary of State interpreted

the phrase "in the presence of" to mean "close proximity coupled with awareness,"

citing Black's Law Dictionary. Further Mr. Hoffman testified that two other people, Jeff

McNeely and Hoffman's daughter Kim Hoffman, had assisted him by circulating

petitions while Mr. Hoffman had sworn the oath as the petitions' circulator.

The Secretary of State invalidated the signatures of these three individuals

(amongst a number of others for reasons not germane to this action). However, in spite

of the invalidation of these signatures, Mr. Hoffman still has more than the required

4,000 signatures. The petitioner now seeks this court to find the Secretary of State's

decision not to invalidate the entire petitions error and seeks remand to the Secretary of

State for invalidation of the three petitions on which the flawed signatures are found,

thus functionally denying Mr. Hoffman the required 4,000 signatures and ballot access.

This case raises an issue of statutory interpretation by an administrative agency. Our primary purpose in statutory interpretation is to give effect to the intent of the Legislature. We do so first by reviewing 3

the plain language of the statute, and if the language is unambiguous, we interpret the statute according to its plain language. When a statute is ambiguous we defer to the interpretation of the agency charged with its administration, if the agency's interpretation is reasonable."

Arsenault v. Secretary of State, 2006 ME 111, CJI 11, 905 A.2d 285, 287-288 (citations omitted).

The court accords that deference to the Secretary in his interpretation of the

language in resolving any ambiguities created by the "in the presence of" language.

This court finds the Secretary of State's conclusion that the three signatures were not

made in the circulator's presence reasonable and without error. It is thus not material

to further conclusions on the meaning of 21-A M.R.S. § 354 that the "in the presence of"

language mayor may not be ambiguous.

The parties are in general agreement that Mr. Hoffman, when swearing the oath,

did not act fraudulently or have actual knowledge that he was falsely stating that the

petitions had been signed in his presence, he simply was utilizing a different

interpretation of the requirement than found by the respondent. This court's job thus is

to determine whether the legislature intended in the absence of fraud or intentionally or

knowingly false conduct, an entire petition to be invalidated if a single signature on the

petition is demonstrated to be collected outside the presence of the circulator who

swore the oath. Two provisions of that section are in question.

21-A M.R.S.§ 354(7)(A) provides:

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 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. 4

21-A M.R.S. § 354(9) provides:

A nomination petition which does not meet the requirements of this section is void. 1£ a voter or circulator fails to comply with this section in signing or printing the voter's name and address, that voter's name may not be counted, but the petition is otherwise valid.

1£ this statutory scheme is ambiguous with relation to answering the question

just posed, and the Secretary of State's interpretation is a reasonable one, we defer to his

conclusion that he was not required to void the entire petitions. 1£ it is unambiguous,

the court looks to the plain language. Maine Association of Health Plans v. Superintendent

of Insurance, 2007 ME 69, t][ 34, 923 A.2d 918, 928. "A statute is ambiguous if it is

reasonably susceptible of different interpretations. In other words, if a statute can

reasonably be interpreted in more than one way and comport with the actual language

of the statute, an ambiguity exists." Id. t][ 35, 923 A.2d at 928.

The petitioner's interpretation reasonably comports with the actual language of

the statute. He argues that because the Secretary of State has resolved that three

signatures were not signed in the presence of Mr. Hoffman who swore an oath that they

were, the oath is rendered incorrect. The oath is a requirement of § 354. A petition

which does not meet § 354's requirements is void per § 354(9). He buttresses his

interpretation by citation to the Law Court's opinions demonstrating the importance of

the Oath in the citizen initiative process:

.. .it is evident that the circulator's role in a citizens' initiative is pivotal. Indeed, the integrity of the initiative and referendum process in many ways hinges on the trustworthiness and veracity of the circulator. In reviewing the signatures gathered by the circulators, the Secretary has the ability to verify through municipal records that a signing voter is actually registered and therefore permitted to vote...the circulator's oath is critical to the validation of a petition. Indeed, the oath is of such importance that the Constitution requires that it be sworn in the presence of a notary public ... The failure to sign the oath in the presence of a notary public is therefore an error of constitutional import and we have held that failure to be fatal to an entire petition. 5

Maine Taxpayers Action Network v. Secretary of State, 2002 ME 64, ~ 13, 795 A.2d 75, 80.

The Court added that "the oath is intended to assure that the circulator is impressed

with the seriousness of his or her obligation to honesty..." Id. <[ 14, 795 A.2d at 80. In

fact the Court noted "the Legislature considers the circulator's swearing of the oath to

be a sufficiently grave act that it has specifically criminalized the providing of a false

statement in connection with the petition." Id. <[ 17, 795 A.2d at 81.

The more difficult question for the court is whether the respondent's decision is

supportable by an interpretation that also reasonably comports with the actual

language of the statute. Starting again from the premise that three signatures were not

in the presence of Hoffman, the circulator, the court concIudes a reasonable

interpretation of § 354(9) justifies invalidating these signatures but not voiding the

entire petition on which each signature is located is possible.

21-A M.R.S.A. § 354(9) determines a petition is void if a requirement of § 354

with respect to that petition is not met. The circulator must swear an oath that all

signatures on an individual petition were made in his/her presence. Thus, a reasonable

interpretation is that an oath is required, however nothing is required as to the

substantive correctness of that oath. In other words the requirement is that the

circulator take an oath that all signatures on the petition were signed in his presence.

The statute does not include an additional requirement that, in fact, every signature on

the petition be signed in the circulator's presence. This comports with the limited

Maine case law on the subject that the oath not have a basic defect. In Maine Taxpayers

Action Network, the requirement was not met and the petition was void, because the

person who swore the oath as the circulator was not who he purported to be. Thus,

because the person who swore the oath was not the circulator, the oath was not sworn 6

by the circulator as required by § 354. In Palesky v. Secretary of State, because the oath

was not taken in front of a notary public or authorized person, that basic § 354

requirement was not met. 1998 ME 103, «][ 11, 711 A.2d 129, 132-133. An argument

could be made against this interpretation that it would render the "in the presence of"

language useless if it has no effect on the validity of the signatures. However, it could

reasonably be argued that the Secretary of State gave meaning to that language by

determining that while it is not a basic requirement of the oath provision, and thus does

not trigger the § 354(9) voiding of the entire petition, it should nonetheless be complied

with and those signatures shown not to be made "in the presence" of the circulator who

swears the oath are not valid. This is a reasonable interpretation. The statute is

therefore susceptible to more than one reasonable interpretation and is ambiguous.

Beyond the deference given to agencies interpreting statutes, this court is further

compelled to resolve the ambiguity in favor of the Secretary of State's interpretation

because of "[a] cardinal rule of statutory construction" that if the court III can reasonably

interpret a statute as satisfying ...constitutional requirements [it] must read it in such a

way, notwithstanding other possible unconstitutional interpretations of the same

statute." McGee v. Secretary of State, 2006 ME 50, «][ 44, 896 A.2d 933, 945 (Clifford, J.

concurring). Therefore, if the above statutory provisions as applied to the factual

circumstances in this case are "reasonably susceptible to more than one interpretation,

one that is inconsistent with the provisions of the Maine Constitution and renders the

statute constitutionally suspect, and another that is less restrictive and consistent with

the Constitution, the latter interpretation should be used." [d. Therefore the court 7

ponders whether the interpretation forwarded by the petitioner, if correct, would run

afoul of any constitutional rights?

The Constitutional analysis must address the effect of the petitioner's legal

position on the other valid signatures in the petitions in question. The United States

Supreme Court has observed that "the rights of voters and the rights of candidates do

not lend themselves to neat separation; laws that affect candidates always have at least

some theoretical, correlative effects on voters." Anderson v. Celebrezze, 460 U.S. 780, 786

(1983) (quoting Bullock v. Carter, 405 U.S. 134, 143 (1972». The "primary concern is with

the tendency of ballot access restrictions 'to limit the field of candidates from which

voters might choose.'" Id. Thus, "it is essential to examine in a realistic light the extent

and nature of their impact on voters." Id.

Such candidate eligibility requirements have an impact that "implicates basic

constitutional rights." Id. "Voting is a fundamental right, it is at the heart of our

democratic process, and any attempts to restrict that right should be carefully

scrutinized." Crafts v. Quinn, 482 A.2d 825, 830. All things being equal:

acceptance of the petition comports with the fundamental principle, grounded in the United States Constitution, that "no right is more precious in a free country than that of having a voice in the election of those who make the laws under which, as good citizens, we must live."

Melanson v. Secretary of State, 2004 ME 127, ~ 14, 861 A.2d 641, 645. Further, candidate

eligibility requirements implicate basic constitutional rights. To wit, "the right of

individuals to associate for the advancement of political beliefs, and the right of

2 The court pursues this line of analysis because it clearly hovers in the background even though addressed lightly only by the intervenor and because of the result reached by the Law Court in McGee. There, this court was reversed not because its interpretation of the statute was incorrect, but because that interpretation (and according to the majority, the statute itself) conflicted with provisions of the Maine Constitution. This court's duty is to determine what the proper interpretation of the statute is as given from the legislature to the Secretary of State, however if an interpretation might infringe constitutional rights, this court must consider other reasonable interpretations that do not violate the constitution. 8

qualified voters, regardless of their political persuasion, to cast their votes effectively."

Celebrezze, 460 U.S. at 787. "Both of these rights, of course, rank among our most

precious freedoms." Id.

Although these rights of voters are fundamental, not all restrictions imposed by the States on candidates' eligibility for the ballot impose constitutionally suspect burdens on voters' rights to associate or to choose among candidates. We have recognized that, "as a practical matter, there must be a substantial regulation of elections if they are to be fair and honest and if some sort of order, rather than chaos, is to accompany the democratic process."

Celebrezze, 460 A.2d at 788 (quoting Storer v. Brown, 415 U.s. 724, 730 (1974)). For

instance, Maine's requirement that Mr. Hoffman acquire 4000 signatures for ballot

access comports with the State's "undoubted right to require candidates to make a

preliminary showing of substantial support in order to qualify for a place on the ballot,

because it is both wasteful and confusing to encumber the ballot with the names of

frivolous candidates." Id. at 788, n. 9. However, "even when pursuing a legitimate

interest" such as limiting ballot access to candidates with substantial support as here, "a

State may not choose means that unnecessarily restrict constitutionally protected

liberty." Id. at 806 (quoting Dunn v. Blumstein, 405 U.s. 330, 343 (1972)). "'Precision of

regulation must be the touchstone in an area so closely touching our most precious

freedoms.'" Id. at 806 (quoting NAACP v. Button, 371 U.s. 415, 438 (1963)).

Adjudicating the balance between Maine's legitimate election regulation

prerogative and the fundamental rights implicated by such regulations is not easy for

courts.

Constitutional challenges to specific provisions of a State's election laws therefore cannot be resolved by any "litmuspaper test" that will separate valid from invalid restrictions. Instead, a court must resolve such a challenge by an analytical process that parallels its work in ordinary litigation. It must first consider the character and magnitude of the asserted injury to the rights protected by the First and Fourteenth Amendments that the plaintiff seeks to vindicate. It then must identify and 9

evaluate the precise interests put forward by the State as justifications for the burden imposed by its rule. In passing judgment, the Court must not only determine the legitimacy and strength of each of those interests, it also must consider the extent to which those interests make it necessary to burden the plaintiff's rights. Only after weighing all these factors is the reviewing court in a position to decide whether the challenged provision is unconstitutional. The results of this evaluation will not be automatic; as we have recognized there is no substitute for the hard judgments that must be made.

Id. at 789 (quotation marks and citations omitted). This court does not resolve the

question whether the interpretation forwarded by the petitioner would indeed be

unconstitutional. However it notes that because Mr. Hoffman without knowledge

incorrectly interpreted the "in the presence of" language of the statute and therefore

swore an oath that was incorrect as to three signatures, the petitioner asks this 'court to

invalidate the presumptively legitimate signatures of 94 registered voters exercising

their precious rights to have a voice in and associational right to a candidate on the

ballot who is not of the two major political parties. Celebrezze, 470 A.2d at 787-88.

Petitioner's interpretation while not necessarily unconstitutional, makes the statute, in

this court's opinion, "constitutionally suspect./I McGee

Weighing the interests of the State in preserving the integrity of the ~omination

by petition process against the potential Constitutional injury to the voting rights of the

authors of the remaining signatures, the court concludes that the Secretary of State's

interpretation as to the applicability of 21-A M.R.S. § 354(9) to the requirements of 21-A

M.R.S. § 354(7)(A) in this case is a reasonable interpretation, especially in light of

another possible interpretation, the petitioner's, which raises the specter of rendering

the statutory scheme unconstitutional.

This court finds the decision of the Secretary of State not to be an abuse of

discretion, contrary to law or based upon findings not supported by the evidence. 10

Accordingly, the entry is:

The decision and order of the Secretary of State is AFFIRMED.

Dated: July , If , 2008 Donald H. Marden Justice, Superior Court

(AP-08-49)