Bachrach v. Secretary of the Commonwealth
Bachrach v. Secretary of the Commonwealth
Opinion of the Court
George Bachrach, plaintiff, a candidate in the general election of November, 1980, for the office of State senator for the Middlesex-Suffolk district, commenced the present action in the county court against the Secretary of the Commonwealth, defendant, alleging that certain ballot legislation of 1979 was invalid under the State and Federal Constitutions, and praying that, upon a declaration to that effect, the defendant Secretary be enjoined from refusing to place the term “Independent” on the ballot as the plaintiff s political designation, and from placing the term “Unenrolled” on the ballot as such designation. In due
1. The case. We outline the record made on summary judgment, first giving the statutory background.
Statute 1979, c. 745, approved November 14,1979, by its §§ 2 and 7 amended respectively G. L. c. 53, § 8, and G. L. c. 54, § 41, above cited, to impose the following important further restrictions: the word Independent was forbidden as any part of the designation on nominating petitions or on the ballot, and “[fjailure to make a political designation shall result in the term ‘Unenrolled’ being used” on the ballot.
To turn now to the particular facts, the plaintiff Bachrach before 1979 considered himself a Democrat. When he started his campaign in early 1980, he described himself variously as a Democrat, Independent Democrat, and Independent. But about February, 1980, he left the Democratic party, formally changed his voter enrollment from Demo
When he forwarded his nomination papers, including certified signatures, to the defendant with a letter dated April 23, 1980, the plaintiff insisted that he be designated Independent on the election ballot. In reply, the defendant called attention to St. 1979, c. 745, and said that the plaintiff was thereby forbidden the designation Independent on his nomination papers and on the ballot, and that Unenrolled would appear as the plaintiff s designation on the ballot if he declined to adopt a designation acceptable under the statute.
It was this response of the defendant that finally provoked the present litigation; and it is necessary to add that the parties in their agreed facts sought to aid the court with certain propositions about political usage or understanding of which we mention the following in paraphrase. Independent had no consistent or uniform meaning except a customary meaning as referring to persons who do not formally affiliate with any political party. Many voters assumed individuals designated Independent had generally
2. Discussion. We state the grounds of our decision which in effect obliged the defendant Secretary to give the plaintiff Bachrach the designation Independent on the 1980 election ballot, despite the contrary provision of the 1979 statute.
(a) Rights of expression and association; equal protection. An election ballot is a State-devised form through which candidates and voters are required to express themselves at the climactic moment of choice. See Anderson v. Martin, 375 U.S. 399, 402 (1964) .
With respect to the political designations of the candidates on nomination papers or on the ballot, it is quite possible that a State could go some distance in washing its hands of the business and leaving it to the educational efforts of the candidates themselves, or their sponsors, during the campaigns. See Libertarian Party v. Eu, 102 Cal. App. 3d 446, 455 (1980).
If freedom of expression was impaired, so also would damage be done to associational rights, and thus to the right to vote. For example: Voters who during the campaign might have been favorably impressed with the candidate as an Independent would be confronted on the ballot with a candidate who was called Unenrolled. Unenrolled is hardly a rallying cry: the Commonwealth in its brief appears to grant the possibility that the word would have a negative connotation for voters.
As a substantial restriction of political expression and association, and a discriminatory one at that, the legislation at bar should attract “strict scrutiny” and, in our opinion, must fail such inspection. See Riddell v. National Democratic Party, supra, 508 F.2d at 776; Gould v. Grubb, supra, 14 Cal. 3d at 669-671; Libertarian Party v. Eu, supra, 102 Cal. App. 3d at 454-458, and authorities cited in these cases. Cf. Massachusetts Pub. Interest Research Group v. Secretary of the Commonwealth, 375 Mass. 85, 95 (1978); Commonwealth v. Dennis, 368 Mass. 92, 99 (1975).
(b) Particular cases. We have dealt with the present case on the usual basis of principle and analogy, as no decided case has been found “on all fours.” Cases of varying pertinence to the present have received attention in the briefs and argument, and we add some remarks to sort them out.
Tsongas v. Secretary of the Commonwealth, 362 Mass. 708 (1972), considered a claim that a statute giving first place on the ballot in an ordinary partisan election to the incumbent running for reelection (party candidates and other candidates following, respectively, in alphabetical order) was so unequal as to violate art. 9 of our Declaration of Rights (see n.12). The State’s interest in some scheme of organization of the ballot contended with a risk of unbalanced treatment of candidates and thus of voters. The case ended inconclusively, as the record, while indicating that first place gave some advantage, had provided no basis for evaluating alternative schemes of placement.
Riddell v. National Democratic Party, supra, 508 F.2d 770 (5th Cir. 1975) (Tuttle, J.), did go to the First Amendment associational right and has a closer bearing on the instant case. A Mississippi statute provided that no political party should use any name or part thereof which had been previously registered by any other political party. In 1950 the “Democratic Party of the State of Mississippi” was registered. In later years these “regulars” did political battle for leadership of Democratic ranks with “loyalists” banded together as the “Freedom Democratic Party.” Considering that for effective competition with the older organization the later one needed the reference to “Democratic” as a designation, the court held that the local statute must fall pro tanto. Rigorous scrutiny was called for and the State could justify the censorship only by showing a compelling interest, and that was not possible; evidently a design to avoid confusion was not enough (indeed the total exclusion of the loyalists from “Democratic” might itself engender confusion). The “confusion” justification is no more plausible in the present case.
Under a California law a candidate of an established party appeared on the ballot with the party name, but any candidate qualifying through a petition process was designated “Independent” without an option to use any other political designation. Thus a designation was forced on a candidate which he might not desire, while in our case a candidate was barred from using a designation that he did desire. The
In the recent case of Minnesota Fifth Congressional Dist. Independent-Republican Party v. State ex rel. Spannaus, supra, 295 N.W.2d 650 (Minn. 1980), the court struck down a statute requiring any candidate filing as an Independent for partisan municipal office to make affidavit that he would not seek or accept any party’s support for the candidacy. This, under strict scrutiny, was an undue invasion of rights of expression and association with, it seems, a concomitant breach of equal protection, since political parties, in distinction from Independents, were free to seek support in any quarter. The State could take some limited measures to help assure that Independents were such (e.g., to discourage defeated primary candidates from continuing the struggle in another form, see Opinion of the Justices, 368 Mass. 819 [1975]), but the condemned statute was not such a measure.
(c) Conclusion. We suggest that the following quoted remarks may serve as epigraphs for the present case. “The first amendment bars government from censoring pure speech or speakers in order to ‘improve the quality’ or ‘increase the fairness’ of public debate.”
A good deal of statutory detail is overlooked in the brief account.
By G. L. c. 50, § 1, a political party is defined' as an organization whose candidate for Governor received at least 3 % of the vote for that office in the previous Statewide election. (See also Rep. A.G., Pub. Doc. No. 12, at 33 [1936].)
The further restriction of G. L. c. 53, § 8, was that the candidate could not use the name of any organization that had been adjudicated subversive under G. L. c. 264, § 18. Cf. Teixeira v. Election Comm’rs of Boston, 362 Mass. 526 (1972).
The pertinent part of G. L. c. 53, § 8, as amended through St. 1979, c. 745, § 2, is: “All certificates of nomination and nomination papers shall, in addition to the names of the candidates, specify as to each, (1) his residence, with street and number, if any, (2) the office for which he is nominated, and (3) except as otherwise provided in this section and except for city and town elections which are not preceded by primaries or political party caucuses, the political designation, if any, which he represents, expressed in not more than three words; provided, however, that the designation ‘“Independent”’ shall not be used. This information, in addition to the district name or number, if any, shall be specified on the nomination paper before any signature of a purported registered voter is obtained and the circulation of nomination papers without such information is prohibited.”
And the amended G. L. c. 54, § 41, is in part: “To the name of each candidate for a state or city office, except for city elections which are not preceded by primaries, shall be added in the same space his party or political designation; provided, however, that the designation shall not include the term ‘Independent’. Failure to make a political designation shall result in the term ‘Unenrolled’ being used.” St. 1979, c. 745, § 7.
References to Independent candidates were thus altered at G. L. c. 53, §§ 6, 48, 48A, and 72. (See St. 1979, c. 745, §§ 1, 4, 5, and 6.) Reference to Independent voters at G. L. c. 53, § 38, dealing with change of voters’ enrollment, was eliminated by § 3 of the 1979 enactment.
See note 5 above as to G. L. c. 53, § 38.
According to the agreed facts, the statements in this paragraph of our text represent the substance of the plaintiffs testimony, were he called by the defendant to testify.
The plaintiff s letter of April 23 forwarded nomination papers in part; the filing was completed later. Several nomination sheets enclosed with the letter carried the designation Independent but (on advice of counsel to preserve rights) most carried no designation, “though, in fact, ‘Independent’ is my intended designation.”
The First Amendment “has its fullest and most urgent application precisely to the conduct of campaigns for political office.” Buckley v. Valeo, 424 U.S. 1, 15 (1976) (quoting from Monitor Patriot Co. v. Roy, 401 U.S. 265, 272 [1971]). Expression in the electoral context is “at the heart of the First Amendment’s protection.” First Nat'l Bank v. Bellotti, 435 U.S. 765, 776 (1978). The ballot itself partakes of this protection as representing the culmination of the electoral process.
But note the special provisions for informing voters of the substance of referendum measures, as described in Anderson v. Boston, 376 Mass. 178, 193-195 (1978), appeal dismissed, 439 U.S. 1060 (1979).
In fact candidates for municipal offices in cities which have nonpartisan elections do not present political designations on the ballot. See G. L. c. 50, § 41.
Thus implicated are the First and Fourteenth Amendments to the Constitution of the United States and arts. 1 and 16 of the Massachusetts
Article 9, which speaks to the equal right of candidates to be elected, and to equality among voters, is mentioned only incidentally by the plaintiff. Tsongas v. Secretary of the Commonwealth, 362 Mass. 708, 714 (1972), left open the question whether the art. 9 standard diverges in any way from equal protection. See also Opinion of the Justices, 368 Mass. 819, 821 (1975).
We mean to indicate that some differential treatment of candidates of established parties and Independent candidates is to be expected and is reasonable, and to that extent should raise no constitutional difficulties. See Jenness v. Fortson, 403 U.S. 431, 441-442 (1971). Consider, however, the full discussion by Chief Judge Weinstein in Greenberg v. Bolger, 497 F. Supp. 756 (E.D.N.Y. 1980), holding invalid postal legislation which provided lower bulk third-class rates for national, State, and congressional committees of the Democratic and Republican parties than for minor parties and independent candidates, and requiring that the same reduced rates be provided for all.
The cited case reversed a criminal conviction that arose from the defendant’s applying one scatological word to the military draft. Note the quotation from this case in our text below.
In the cited ease the Court struck down a Louisiana statute which required a statement on the ballot of the “race” to which each candidate belonged. Despite the appearance of equal treatment of candidates, the law was held to violate the equal protection clause.
The Mosley case, at the suit of a. person who was picketing a high school for its alleged racial discrimination, invalidated an ordinance which forbade picketing next to primary or secondary schools, but with an exception for peaceful picketing in connection with a labor dispute. Explaining the “intersection,” the Court (408 U.S. at 95 n.3) cited the exemplary discussion by Professor Kalven, The Concept of the Public Forum: Cox v. Louisiana, 1965 Sup. Ct. Rev. 1, 29-30. See also Carey v. Brown, 447 U.S. 455 (1980); People Acting Through Community Effort v. Doorley, 468 F.2d 1143 (1st Cir. 1972).
The alternative to Unenrolled for a candidate who preferred to campaign as an Independent would be to adopt unwillingly some other designation which, however, would have to omit the word Independent.
We suggested in Marcoux v. Attorney Gen., 375 Mass. 63, 65 n. 4 (1978), that “strict scrutiny” and “rational relation” are “a shorthand for referring to the opposite ends of a continuum of constitutional vulnerability determined at every point by the competing values involved.” See also Custody of a Minor (No. 1), 377 Mass. 876, 884-885 (1979); Massachusetts Pub. Interest Research Group v. Secretary of the Commonwealth, 375 Mass. 85, 92 n.3 (1978). Here the vulnerability is great. In any event, even if the standard test of “rational relation” is applied, we think the legislation is not supportable.
See, e.g., Greer v. Spock, 424 U.S. 828 (1976), allowing the military to close an Army base to political speech, but “no candidate of any political stripe had ever been permitted to campaign there.” Id. at 839. See Farber, Content Regulation and the First Amendment, 68 Geo. L.J. 727 (1980).
We do not face here a regulation which is intended merely to prevent confusion of party or candidate names in the trademark sense of “passing off.” See Foley v. Donovan, 274 Minn. 501 (1966); Shaw v. Johnson, 311 Minn. 237 (1976).
The situation had so developed that there was no occasion for remanding the case for further inquiry and findings.
No. 80-1656 (8th Cir. Oct. 21, 1980, Henley, J.) (digested at 49 U.S.L.W. 2325, Nov. 18, 1980).
Compare Ihlenfeldt v. State Election Bd., 425 F. Supp. 1361 (E.D. Wis. 1977) (three-judge court), where candidates of “minority parties or principles” were placed in a column marked Independent but each candidate could identify himself on the ballot in five words or less.
See also Loza v. Panish, 102 Cal. App. 3d 821 (1980), invalidating a provision allowing the county registrar to reject any 200-word statement by a candidate which contained objectionable words — described as “vulgar,” and so forth. The statements by candidates supporting their respective candidacies were intended for circulation by the registrar to the voters in a nonpartisan election.
Cox, The Supreme Court 1979 Term — Foreword: Freedom of Expression in the Burger Court, 94 Harv. L. Rev. 1, 67 (1980).
L.H. Tribe, American Constitutional Law 774 (1978).
Burger, C.J., concurring in part and dissenting in part, in Buckley v. Valeo, 424 U.S. 1, 251 (1976).
Dissenting Opinion
(dissenting). The injunction in this case was issued on short notice, without adequate time for consideration, and on the basis of “agreed facts” of dubious reliability, hastily thrown together by counsel. In a case of first impression, the result was to give constitutional status to the linguistic preferences of the Justices, and to exempt the plaintiff from a rule adopted by the elected representatives of the people. Thus the case stands as an example of premature, unnecessary, and mischievous judicial interference with democratic procedures.
On reflection, moreover, I am convinced that constitutional principles have been misapplied. The court seems to
The cases cited by the court deal with a variety of subjects: access to the ballot, limitation of campaign expenditures or tactics, a schism in a regular party organization, preferential ballot position, compulsory ballot designations, and others. The present decision involves none of these. It is truly unprecedented.
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