Justice McCAFFERY.
In 2008, Appellee, Lawrence Farnese, Jr., then a candidate for state senator, filed a nomination petition to be on the Democratic Party's primary election ballot. Pursuant to 25 P.S. § 2872.1(13), a nomination petition for that office must contain at least 500 signatures, and Appellee's petition contained 1778 signatures. When the validity of the signatures was challenged on a number of grounds in the Commonwealth Court, Appellee withdrew 934 signatures on the advice of counsel, who agreed that the withdrawn signatures were invalid because they had not been procured in the actual presence of the circulators of the signature pages. During the course of litigation, Appellee stipulated that an additional 143 signatures were invalid. Ultimately, the Commonwealth Court denied the petition of objectors, Appellants Keith Olkowski and Theresa A. Paylor, to set aside Appellee's nomination petition, and they appealed to this Court.
On April 8, 2008, we entered a per curiam order on an expedited basis permitting Appellee to remain on the primary election ballot. In re Nomination Petition of Farnese, 605 Pa. 375, 989 A.2d 1274 (2008) (Farnese I). We entered the order despite our concerns that Appellee had submitted and then withdrawn or stipulated to the invalidity of the majority of the signatures contained in his nomination petition.
As a matter of election law procedure, each circulator of a signature page contained in a candidate's nomination petition must attach a separate affidavit declaring, among other things, that the signers thereto actually personally signed the petition with full knowledge of the contents of the petition.
In this matter, Appellants sought to establish pervasive fraud in the circulators'
Additionally, Appellee filed a motion in limine to preclude Appellants from presenting any evidence relating to the twenty-two signature pages that Appellee had withdrawn. Conversely, Appellants sought to present evidence of the withdrawn pages in support of their claims of fraud, because the circulators of many of the withdrawn pages were also the circulators of the non-withdrawn pages to which individual signature challenges were being raised. Indeed, Appellants raised a "global" challenge and asked the court to dismiss all remaining pages of signatures procured by any circulator of a withdrawn page. In support of this request, Appellants sought to call the circulators as witnesses to probe their awareness of, and adherence to, the elements of Section 909 of the Election Code as affirmed in their circulator affidavits attached to the pages of signatures. The court disallowed this proposed area of inquiry, and ultimately ruled that any evidence relating to the withdrawn pages would have been irrelevant to whether the circulator affidavits or signatures on the non-withdrawn pages were valid. Farnese II, supra at 278.
In the end, Appellants conceded they could not prevail if the court rejected their "global" challenge, i.e., Appellants conceded that if the court would not invalidate the remaining non-withdrawn signature pages that had been procured by the same circulators who had procured the withdrawn pages, Appellee would then have had 539 presumptively valid individual signatures. To state it another way, Appellants conceded that even if they won each of their remaining challenges
First, and foremost, we must disagree with the Commonwealth Court's assessment here that allegations of a pattern of fraud are immaterial in a case involving objections to a nomination petition. Significantly, in In re Nomination Petition of Nader, 865 A.2d 8 (Pa.Cmwlth.2004), on remand from this Court, a number of judges of the Commonwealth Court, sitting as fact-finders, conducted an extraordinary review of more than 50,000 signatures contained in the nomination petition of a candidate for President of the United States who sought to appear on the Pennsylvania ballot. The Commonwealth Court judges not only considered allegations of fraud, but actually found widespread fraud, and set aside the petition upon determining that it contained an insufficient number of legitimate signatures. Id. at 19. In that case, testimonial evidence was presented that showed how the circulators of the signature pages fraudulently procured, falsified, forged, and failed to authenticate signatures. Id. at 16. Among many other things, the court specifically found "that the campaign had knowledge that false signatures were submitted on the nomination papers." Id. at 14. Given the gross irregularities in the procurement of signatures, the court felt "compelled" to offer the following observation:
Id. at 19 (aff'd, In re Nomination Paper of Nader, 580 Pa. 134, 860 A.2d 1 (2004), cert. denied, Nader v. Serody, 543 U.S. 1052, 125 S.Ct. 884, 160 L.Ed.2d 773 (2005)).
Where, as here, a candidate for office has agreed that 60.5 % of the signatures contained in his nomination petition are invalid, and the objectors to the petition have asserted fraud in the signature procurement process and are prepared to support those allegations with evidence, we cannot say, in light of Nader, supra, that the evidence would be immaterial to the disposition of the petition. Significantly,
While prudent candidates for office routinely procure more signatures on their nomination petitions than the number of signatures required by the Election Code, a candidate's agreement that 60.5 % of the signatures that he or she procured are invalid should raise red flags for any court evaluating the process by which any and all of the signatures were procured. Our observation of this troubling circumstance in the instant matter leads to the truly dispositive question here: whether the Commonwealth Court properly denied Appellants' request to invalidate the signatures that Appellee had
On April 18, 2008, ten days after we entered the per curiam order in this case, we also entered a plurality per curiam order in a case that presented similar facts. In In re Payton, 596 Pa. 469, 945 A.2d 162 (2008), this Court, sitting with six members, entered a per curiam order stating that a court cannot presumptively invalidate nomination signatures based on nothing more than the invalidity of other signatures obtained by the same circulator. Justice Saylor filed a Concurring Statement, joined by Justice Todd and this writer, that began as follows: "The majority appears to interpret Section 976 of the Election Code, 25 P.S. § 2936, as establishing a broad-based principle foreclosing judicial inquiries into allegations of pervasive fraud in the submission of a nomination petition beyond a signature-by-signature review." Justice Saylor, Justice Todd and this writer disagreed with that interpretation, and observed that this Court has accepted the notion that the inclusion of intentionally false information in a candidate's affidavit is grounds for invalidating a nomination petition. Id. (Saylor, J. concurring) (citing In re Driscoll, 577 Pa. 501, 847 A.2d 44, 51 (2004)). Justice Saylor further observed that in his opinion, "the collection by the candidate himself of a substantial number of fraudulent signatures, as has been alleged here, including those of deceased individuals, would be strong circumstantial evidence of willful non-compliance with election law and false certification." Id. Justice Todd and I agreed with Justice Saylor.
Justice Saylor, with whom Justice Todd and this writer agreed, went on to state his disagreement with the utilization of "a
Here, although Appellants' brief to this Court includes numerous allegations that the tactics of the circulators to procure the allegedly illegitimate signatures were known to the candidate and the campaign manager, Appellants did not make this specific objection in their petition to set aside the nomination petition. Although the candidate himself was the circulator of six separate signature pages, none of those pages was withdrawn, and none of the signatures on those pages was stipulated to as invalid. Additionally, the rationale proposed by Appellants for the striking of signatures contained on the non-withdrawn pages procured by the circulators of the withdrawn pages conceded that a number of valid signatures would be stricken for the sake of punishing the fraud committed by the circulators.
Significantly, the case law of this Commonwealth that can be read to support the proposition that a false affidavit contained in a nomination petition may be egregious enough to void the petition altogether and remove the candidate from the ballot, applies to intentional and knowing falsehoods affirmed by the candidate personally that are designed to deceive the electorate. See In re Nomination of Driscoll, 577 Pa. 501, 847 A.2d 44, 51 (2004) (stating "before an affidavit may be declared void and invalid because it contains false information, there must be evidence that the
Justice TODD joins the Opinion in Support of Per Curiam Order.
Chief Justice CASTILLE files a concurring opinion.
Justice SAYLOR files a concurring opinion.
Justice EAKIN files a concurring opinion in which Justice BAER joins.
Chief Justice CASTILLE, concurring.
This case was decided on April 8, 2008, by per curiam order, with a notation that an opinion would follow. I write separately primarily to explain my own reasons for supporting our prior order because they differ from the expression and focus of the Opinion in Support of Per Curiam Order ("OIS"); and I write because I respectfully disagree with several aspects of Mr. Justice McCaffery's expression.
We issue "opinion to follow" mandates very rarely, generally in matters where an immediate decision is required, where there is insufficient time to fashion a precedential expression, and where the issue is important enough, or difficult enough, that the Court realizes that an explanation of the original mandate is a wise course. Election appeals, and other emergency filings where swift action is required, are the most common situations where this practice is employed. I have previously addressed some of the difficulties that are unique to the expedited decisions that issue in election appeals, and have encouraged efficiencies in the courts below to ensure a better prospect for reasoned, timely decisions. See In re Fitzpatrick, 573 Pa. 514, 827 A.2d 375, 377-84 (2003) (Castille, J., dissenting, joined by Nigro and Eakin, JJ.). Accord In re Stevenson, 12 A.3d 273 (Pa.2010) (per curiam).
There are inherent complications in the "opinion to follow" scenario. First, Justices may agree on the decisional mandate but for different reasons, making it more difficult to fashion a later majority expression in support of the already-rendered order.
With these realities borne of experience in mind, I respectfully cannot join Justice McCaffery's present explanation of our April 2008 mandate. As noted, I write first to explain the distinct reasons why I supported and continue to support affirmance of the Commonwealth Court's decision in this case, and second, to address briefly specific concerns regarding the OIS reasoning.
On February 11, 2008, objectors Keith Olkowski and Theresa A. Paylor filed an action in the original jurisdiction of the Commonwealth Court to set aside candidate Lawrence M. Farnese, Jr.'s nomination petition pursuant to Section 977 of the Election Code, 25 P.S. § 2937. The objectors claimed "at most 278" of the 1,778 signatures submitted by the candidate were valid and, as a result, the candidate failed to meet the statutory requirement of 500 valid signatures for appearing on the ballot. 25 P.S. § 2872.1(13). According to the objectors, (1) individual signatures had to be stricken because they were invalid on various grounds; (2) pages of signatures had to be stricken because they contained false or invalid circulator affidavits and notarization; and (3) other pages of signatures not suffering from the first two defects had to be stricken because they were gathered by circulators who had submitted invalid affidavits on other pages, or were notarized by a notary who had falsely notarized other pages. The third argument was premised on the trial court accepting a novel "pattern of fraud" or "false-in-one, false-in-all" theory. Finally, in the alternative, the objectors suggested that the entire nomination petition had to be stricken on the ground of "pervasive fraud."
After receiving the objectors' petition, the Commonwealth Court, per the Honorable Rochelle S. Friedman, issued an expedited case management order and set a deadline extended to March 5, 2008, for submitting stipulations, expert reports, and witness lists. On March 5 and 6, 2008, the parties informed the court that the candidate had withdrawn twenty-two signature pages (for a total of 934 signatures) and that the objectors had abandoned two full-page challenges. Via the same filings, the parties stipulated to the validity or
To explain the purported reservation of right, the objectors essentially made a "pattern of fraud" or "false-in-one, false-in-all" argument and asked the court to strike as invalid every signature page submitted by any circulator who had a page voluntarily withdrawn by the candidate. Similarly, the objectors argued that all the signature pages notarized by Jonathan J. Oriole had to be stricken because Mr. Oriole had falsely notarized a withdrawn page (page 33). Finally, the objectors expressed their intention to call circulators of withdrawn pages as witnesses at the March 7, 2008, hearing. According to the objectors, the circulators would be examined to reveal whether they "lied under oath" and also regarding "their understanding of the basic criteria of their oath and obligations as a circulator as defined by [Section] 909 of the Election Code[, 25 P.S. § 2869]." The objectors argued that if the circulator did not understand or follow the legal criteria, s/he lied under oath and all of that circulator's affidavits (and signature pages) had to be stricken as invalid. In response, the candidate filed motions in limine to preclude the objectors from introducing any withdrawn signature pages into evidence, and from calling individual circulators as witnesses to impeach their credibility regarding the circulator affidavit oaths on non-withdrawn signature pages.
During the hearing, the objectors conceded that the success of their challenge to the candidate's nomination petition depended solely on a favorable ruling by Judge Friedman regarding the candidate's motions in limine and, implicitly, her acceptance of the objectors' "pattern of fraud" or "false-in-one, false-in-all" theory. The objectors relied on their pattern of fraud challenge to strike the candidate's name from the ballot, as they otherwise lacked sufficient individual signature objections. Judge Friedman entertained argument on the objectors' theory and then granted the candidate's motions in limine, thus precluding evidence or questioning relating to the withdrawn pages, whether offered as direct proof or for impeachment purposes. According to the court's later opinion, the objectors' evidence relating to the withdrawn pages was "irrelevant to whether the [c]irculator [a]ffidavits or signatures on the non-withdrawn pages were valid" and was, for that reason, inadmissible to prove that the candidate lacked sufficient valid signatures. In re Nomination Petition of Farnese, 945 A.2d 274, 277-79 (Pa.Cmwlth.2008).
The court's explanation of its ruling was solidly grounded in existing law. The court explained that it rejected the objectors' evidence proffer because the underlying theory on which it was based—the "pattern of fraud" or "false-in-one, false-in-all" argument—had no support in the Election Code or caselaw. Indeed, the court noted that the Election Code required each signature page to be considered individually, while caselaw suggested that a circulator affidavit could at the same time be false with respect to one or even a significant percentage (e.g., 20%) of signatures but true with respect to the remaining signatures on the same page. Thus, the court reasoned, "admittedly valid signatures on one page" could not be stricken "based on a defective [c]irculator [a]ffidavit on another page." Id. (citing 25 P.S. §§ 2936, 2869, In re Pittsburgh Home Rule Charter, 694 A.2d 1128 (Pa.Cmwlth. 1997), and In re Nomination Petition of Flaherty, 564 Pa. 671, 770 A.2d 327 (2001)). In a brief footnote, the court also offered
Further, the court explained that it rejected the objectors' request to use the withdrawn pages for impeaching the credibility of potential witnesses, i.e., circulators of both withdrawn and non-withdrawn pages, because, inter alia, "it would have been improper for [o]bjectors to use a witness's alleged bad act with respect to a withdrawn page to prove that the witness acted in the same manner with respect to a non-withdrawn page." Id. at 278 (citing, inter alia, Pa.R.E. 404(b)(1) (evidence of bad acts is not admissible to prove character of person in order to show action in conformity with those bad acts)). Ultimately, the court denied the petition to set aside the candidate's nomination petition on the basis of the objectors' concession that they could not prevail without a favorable ruling by the court on the "false-in-one, false-in-all" theory and the admissibility of evidence regarding the withdrawn pages in support of that theory. Id. at 278-79.
On appeal to this Court, the objectors posed two questions:
Although the questions are argumentative and conflated, they are essentially restatements of the objectors' position below: i.e., the objectors challenge the Commonwealth Court's specific evidentiary rulings and its rejection of the "pattern of fraud" or "false-in-one, false-in-all" theory upon which their evidentiary proffer was made.
In my view, the objectors' claims properly failed for several reasons. First, when this appeal was decided, this Court had not embraced any form of the objectors'
Second, adoption and retroactive application of the objectors' novel "pattern of fraud" or "false-in-one, false-in-all" theory to this case would have been extremely disruptive and unfair. Assuming the objectors could make out their case upon remand, the consequence would have been to strike the candidate from the ballot. But, there was nothing in the governing statute or existing caselaw to put political candidates on notice that otherwise valid signatures, and an otherwise valid nomination petition, could be stricken, and the candidate removed from the ballot, premised on the objectors' extrapolation theory. Candidates for office in Pennsylvania commonly collect signatures well in excess of the minimum required, recognizing that some signatures may be invalid, precisely in the hope of avoiding challenges. See, e.g., In re Nomination Petition of Morrison-Wesley, 946 A.2d 789 (Pa.Cmwlth. 2008) (candidate filed approximately 2,000 signatures where 1,000 were required); In re Petition to Set Aside Nomination of Fitzpatrick, 822 A.2d 867 (Pa.Cmwlth. 2003) (candidate filed approximately 1,500 signatures where 750 were required). Those candidates had no reason to believe their protective action could prove fatal to their candidacies. Even if it is assumed that the objectors' theory had logical or equitable merit—as the objectors essentially claimed in the absence of authority— and warranted an adjustment to the existing decisional law, there was good reason to apply that new rule or construction prospectively; thus, the appropriate mandate still was affirmance here.
Finally, our time for consideration was constrained, as in all election cases, and the governing presumption is in favor of ballot access. See Flaherty, 770 A.2d at 331 ("Where the court is not convinced that challenged signatures are other than genuine, the challenge is to be resolved in favor of the candidate."); Petition of Cioppa, 533 Pa. 564, 626 A.2d 146, 148 (1993) (Election Code "liberally construed so as not to deprive a candidate of the right to run for office or the voters of their right to elect a candidate of their choice."). In view of all these factors, the objectors' theory, however creative and novel, did not make a strong case for overturning the decision below, and indeed, our affirmance was unanimous.
The OIS goes much farther than the analysis above, appearing to approve a form of the objectors' "pattern of fraud" theory, but as described in Mr. Justice Saylor's Concurring Statement in In re Payton, 596 Pa. 469, 945 A.2d 162 (2008), a case decided after our per curiam mandate issued in the case sub judice. According to the OIS, a nomination petition may be stricken if it contains a sufficiently egregious false affidavit, and if the candidate personally affirmed intentional and knowing falsehoods designed to deceive the electorate. But, in the OIS, Justice McCaffery ultimately concludes that the theory it describes is of no avail to the
The excursion into this area is unnecessary. First, the Payton concurrence did not exist when we decided this case, and we did not affirm because we believed we were operating under, but distinguishing, the future and non-binding Payton concurrence. Second, as I further develop below, the parties did not argue this theory to us. And, third, since the OIS ultimately holds that the objectors waived the theory it outlines sua sponte, its excursion is pure obiter dictum. In short, rather than explaining the grounds for our decision in 2008, the OIS would fashion a prospective new rule.
As a jurisprudential matter, I have no fixed objection to the Court attempting to square this pre-Payton decision with the Payton concurrence, or with a more global view of the relevant issues, as the Court comes to a better understanding of their complexities. The value in such an effort is to provide broader guidance. Also, as I have outlined above, as a general matter a prospective rule can be less disruptive in the election arena. (Unfortunately, because the OIS ignores issues raised by the objectors in favor of drawing on the Payton concurrence, the OIS outlines a proposed prospective rule unrelated to the present appeal and through a waiver finding, which also raises the problem that the entire effort is dicta.) But, I believe our decisional explanation should and can be more closely tied to the arguments that were actually presented by the parties.
In addition to explaining my own distinct reasons for supporting the Court's prior mandate, I also write briefly to note my disagreement with several aspects of the OIS expression. In my view, the OIS strays significantly from the parties' arguments, the factual record, and the law.
First, the objectors here presented a single narrow theory: non-withdrawn pages of a certain circulator or notary must be stricken for fraud based solely on evidence that the candidate had withdrawn a page signed by the circulator or notary. The OIS does not pass in any clear fashion upon the validity of the objectors' theory. Instead, the OIS ventures into issues of candidate impropriety, which was not a basis for the objectors' appeal to this Court.
Second, the objectors argued their extrapolation theory on the assumption that the withdrawn pages were part of a "pattern of fraud," that is, they were fraudulent. The OIS fails to correct this assumption, apparently conflating withdrawn signatures with invalid signatures and then making the leap to fraud. But, withdrawn signatures are not of-record. Deeming merely withdrawn signatures to be invalid, as the OIS does, is contrary to the Election Code's presumption of signature validity and effectively—and impermissibly—shifts the burden of proof from the objectors to the candidate. See 25 P.S. § 2937. Also, the policy of deeming
But, even assuming that merely withdrawn signatures can be deemed defective, there is no support in the record for concluding that the withdrawn signatures in this case were fraudulent. See OIS at 9 ("we now hold that allegations and evidence of
Finally, I respectfully disagree with the OIS that Nader, Payton, and Citizens Committee to Recall Rizzo v. Bd. of Elections, 470 Pa. 1, 367 A.2d 232, 241 (1976) are particularly helpful in explaining our decision of the narrow evidentiary issue that was decided in this case.
Justice SAYLOR, concurring.
I agree with the central propositions advanced by the Opinion in Support of Per Curiam Order ("OIS"), that evidence of widespread fraud in the collection of signatures may be relevant in an election challenge, see In re Payton, 596 Pa. 469, 470-72, 945 A.2d 162, 163-64 (2008) (Saylor, J., concurring), but that, as a general matter, an objector cannot prevail in a "global" challenge on the basis of such evidence without pleading and proving that the candidate, or possibly his campaign, was aware of or condoned the fraud. I also agree with Mr. Chief Justice Castille, that Appellants' novel false-in-one-false-in-all theory, as presented to the Commonwealth Court, was appropriately rejected by that court, and further, that any present expression by this Court beyond an affirmance of that ruling represents dicta. See, e.g., In re Farnese, 945 A.2d 274, 276, 277 (Pa.Cmwlth.2008) (single-judge opinion by Friedman, J.) (reciting Appellants' concession that their challenge depends upon
First, it should be noted that, in the Nader matter, after the Commonwealth Court completed its review, it determined that the candidate lacked sufficient signatures to obtain ballot access. See Nader, 865 A.2d at 18. It was on that basis that the Commonwealth Court adjudicated the case, and this Court elected not to express any opinion concerning the court's reasoning. Accordingly, no legal issue was presented, either before the Commonwealth Court, or before this Court, concerning whether evidence of fraud imputable to the candidate was germane to a challenge of circulator petitions that might otherwise be deemed valid.
Additionally, there is no indication in Nader that the candidate agreed that a substantial percentage of signatures were not obtained in accordance with law. Accordingly, I cannot agree that Nader supports the principle that, where a candidate agrees that a large percentage of the signatures are invalid, evidence of fraud in the signature-gathering process is relevant beyond the actual signatures being challenged as fraudulent. See OIS, slip op. at 6 ("Where, as here, a candidate for office has agreed that 60.5% of the signatures contained in his nomination petition are invalid, and the objectors to the petition have asserted fraud in the signature procurement process and are prepared to support those allegations with evidence, we cannot say, in light of Nader, ... that the evidence would be immaterial to the disposition of the petition."). In short, I believe that Nader has little relevance to the present case.
To me, the primary issue in Nader pertained to whether the term "qualified elector" subsumed a voter registration requirement, because if no such requirement existed, then the candidate would have had enough signatures for ballot access. See Nader, 580 Pa. at 146, 860 A.2d at 8 (Saylor, J., dissenting). As noted, since the Commonwealth Court's order was affirmed without an opinion, this Court did not issue a holding on that question. Moreover, review of the tabulated information provided by the Commonwealth Court demonstrates that only a little over one percent of the more than 50,000 signatures obtained were forged. As I stated then:
Justice EAKIN, concurring.
My colleagues agree that more than 500 signatures remained unaffected by appellants' challenge. Farnese, therefore, was properly retained on the ballot. I agree. Beyond that, I refrain from engaging in any discussion concerning the objectors' extrapolation theory.
The principles on which this matter turns are not unique to election law—the case turns on principles of evidence and not on recitation of electoral law distinctions. Appellants contend there was so much fraud in the withdrawn and disallowed signatures that one must conclude there was fraud in the remaining ones. The court below deemed fraud irrelevant, which is reasonable if one merely counts the signatures not assailed individually, to see if they total 500.
Fraud, however, is relevant, though not in the "global sense" appellants would have. When one circulator is found to have committed significant fraud, this may affect the finder of fact's assessment of the credibility of other acts or affidavits by the same circulator in the same election. Conversely, there may be reasons not to disregard or reject such other acts or affidavits. It is largely a question of fact, which in the end is not for this Court to second guess, so long as the record and reasoning below support the finding. See In re Nomination of Flaherty, 564 Pa. 671, 770 A.2d 327, 331 (2001) (standard of review is whether findings of fact are supported by substantial evidence, whether there was an abuse of discretion, or whether errors of law were committed).
Furthermore, I continue to agree that a "false in one, false in all" principle should be rejected in these cases, see, e.g., In re Payton, 596 Pa. 469, 945 A.2d 162, 163 (2008) (plurality); if that is to be the law, it is for the legislature to accomplish. Short of that, a fact-finder should not be made to artificially ignore significant fraud when assessing the credibility of any witness, circulator, or signator; fraud should not be a presumptive total disqualification, but a permissible consideration.
I therefore concur in the result.
Justice BAER joins this concurring opinion.