FOR PUBLICATION
ATTORNEYS FOR APPELLANTS: ATTORNEY FOR APPELLEES:
ERIC KOCH WILLIAM R. GROTH
The Koch Law Firm, PC Fillenwarth Dennerline Groth & Towe
Bloomington, Indiana Indianapolis, Indiana
ROBERT C. PRICE
Price & Runnels
Bloomington, Indiana
IN THE COURT OF APPEALS OF INDIANA
PHYLLIS GADDIS, DAVID BRINKMAN and )
CATHLEEN MONACO, )
)
Appellants/Cross-Appellees, )
)
vs. ) No. 67A05-0409-CV-482
)
JAMES McCULLOUGH, BRICE JONES, )
JUDY WHITAKER, and JOHN DAVIS, )
)
Appellees/Cross-Appellants. )
APPEAL FROM THE PUTNAM CIRCUIT COURT
The Honorable R. Paulette Stagg, Judge
May 10, 2005
OPINION - FOR PUBLICATION
VAIDIK, Judge
Ward 1
Judy G. Whitaker 234
David N. Brinkman 128
Ward 2
Brice L. Jones 249
Cathleen Monaco 117
All four unsuccessful candidates petitioned for recount and contest.
See footnote
In their verified
petition, they alleged that the votes were not correctly counted and returned and
that fraud, tampering, or misconduct within the precincts specified was so pervasive that
it is impossible for the Recount Commission to determine the approximate number of
votes that each candidate received in that precinct. Appellants App. p. 11.
In March 2004, all four unsuccessful candidates sought leave to file an amended
petition for recount and contest, which the trial court later granted. The
amended, verified petition added the allegations that polling places were not open in
two of the three precincts in Cloverdale and that [t]he number of votes
cast for the [successful candidates] in Cloverdale 1 precinct far exceed the number
of signatures in the signature book for Cloverdale 1.
Id. at 26.
It further added the allegation that [a] mistake occurred in the programming
of the voting machine used in the election, making it impossible to determine
the candidate who received the highest number of votes in each precinct .
. . . Id. at 29. The original verified allegations of
fraud remained in the amended petition.
In response to the petition, the trial court ordered a recount, which was
conducted on April 26, 2004. The recount commissioners were Charlotte Dudley, Marilyn
Clearwater, and Kathy Evans. As a result of the recount, the vote
totals for the two write-in candidates changed. Brinkmans total was reduced from
128 to 120. Monacos total was reduced from 117 to 110.
Except for the write-in votes, the election was conducted on touchscreen voting machines,
which create no paper trail to be recounted. See id. at 48.
Therefore none of the other vote totals changed as a result of
the recount.
After the recount, the trial court held an evidentiary hearing. The unsuccessful
candidates presented no evidence of any acts of fraud or deceit, nor did
they present any evidence that any eligible voter was not allowed to vote
or that any ineligible voter cast a ballot in the 2003 municipal election
in Cloverdale. The respondents in the recount case, the four winning candidates,
introduced interrogatory responses from each of the unsuccessful candidates in which they admitted
that they had no evidence that any eligible voter was turned away, any
ineligible voter was allowed to vote, or any other conduct falling within the
common definition of election fraud occurred.
Rather, the unsuccessful candidates sought a new election based on allegations that the
election was conducted contrary to law in two respects. First, they argued
that the election board violated the law by having all three precincts vote
at the same location. Second, they argued that the arrangement at the
polling placein which all electronic votes were tallied together rather than precinct-by-precinctviolated statutory
requirements.
The trial court concluded that the unsuccessful candidates failed to carry their burden
of proof to establish any of the statutory grounds for ordering a new
election. The trial court entered judgment for the winning candidates. The
winning candidates sought attorneys fees, alleging that the unsuccessful candidates claims were frivolous.
Noting that the winning candidates presented a strong basis for their attorneys
fee claim, the trial court nevertheless denied it. Id. at 80.
One of the unsuccessful candidates, Francis Sweeney, has declined to participate in this
appeal.
a search for the common understanding of both those who framed it and
those who ratified it. Furthermore, the intent of the framers of the
Constitution is paramount in determining the meaning of a provision. In order
to give life to their intended meaning, we examine the language of the
text in the context of the history surrounding its drafting and ratification, the
purpose and structure of our constitution, and case law interpreting the specific provisions.
In construing the constitution, we look to the history of the times,
and examine the state of things existing when the constitution or any part
thereof was framed and adopted, to ascertain the old law, the mischief, and
the remedy. The language of each provision of the Constitution must be
treated with particular deference, as though every word had been hammered into place.
City Chapel Evangelical Free, Inc. v. City of South Bend ex rel. Dept
of Redev., 744 N.E.2d 443, 447 (Ind. 2001) (quoting McIntosh v. Melroe Co.,
729 N.E.2d 972, 986 (Ind. 2000) (Dickson, J., dissenting) (quotations marks and citations
omitted)).
The plain language of the constitutional provision does not support the unsuccessful candidates
reading. The provision only states that a qualified voter may vote in
the precinct where the voter has resided. First, this language is permissive,
leaving open the possibility that the voter may also vote elsewhere. Second,
the plain words of the provision only govern where a voter may vote.
The words of the section say nothing about where or how votes
are to be tallied. Nothing in the plain language of the provision
requires the vote to be tabulated in any particular manner.
A truly literal interpretation of this language would invalidate many absentee ballots, which
often are cast outside the precinct, not in the precinct. The unsuccessful
candidates literal interpretation of Article 2, § 2 also would render Indiana Code
§ 3-10-7-22 unconstitutional. If the Constitution mandates that voters cast ballots in
their precincts, it would be unconstitutional for two precincts to vote in the
same location. The unsuccessful candidates do not, however, argue that the statute
is unconstitutional.
Nor does the history of the provision, which was amended to its current
form in 1984, support the unsuccessful candidates position. As originally ratified in
1851, the provision allowed a qualified voter to vote in the township or
precinct where he may reside. Ind. Const., art. 2, § 2 (Wests
Ann. Code, historical notes) (emphasis added).
See footnote
The 1816 Constitution contained language similar
to the 1851 Constitution, but it stated that qualified voters shall be entitled
to vote in the county of residence. I Charles Kettleborough, Constitution Making
in Indiana 107 (Ind. Historical Collection 1916). As initially drafted at the
1850 constitutional convention, the provision allowed voters to vote in their townships, and
the reference to precincts was added during later deliberations. The only explanation
in the debates for why the word precinct was added to township is
that some precincts encompassed more than one township, so a voter might have
to travel outside his township to vote. Report of the Debates &
Proceedings of the Convention for the Revision of the Constitution of the State
of Indiana 1292 (Ind. Historical Collection Reprint 1935) (remarks of Delegate Read).
The word township was eliminated from the section by an amendment passed by
the voters in 1976. The statute by which the General Assembly approved
the amendment described the amendment as changing the age requirements for voting.
See Public Law 1976-159 (approving proposed amendment). The primary substantive change in
the amendment switched the voting age from twenty-one to eighteen; it was enacted
in the aftermath of the Twenty-Sixth Amendment to the United States Constitution, which
went into effect in 1971 and lowered the voting age in federal elections.
See footnote
We have found no historic information about why the word township was
dropped from Section 2 in the same amendment.
See footnote
There is nothing in
the historical record to support the unsuccessful candidates argument that [t]he privilege of
voting is thus fundamentally grounded in a geographic area. Reply Br. p.
4. Since statehood, the language now found in Section 2 has changed
several times, from county to township, to precinct, with no indication that any
particular geographic reference has talismanic significance. In short, there is no historic
evidence that the concept of precinct has special constitutional significance.
Nor does anything in the purpose and structure of our constitutional system hinge
on the unsuccessful candidates interpretation of precinct in our Constitution. The core
principle of elections in Indiana is found in the Article 2, § 1:
All elections shall be free and equal. A variety of arrangements,
some dependent upon voting in precincts and some not, could satisfy this overarching
requirement. The hypertechnicality inherent in the unsuccessful candidates arguments is contrary to
the intent of our Constitution, which is to encourage exercise of the franchise.
In the absence of fraud actual or suggested election statutes should be
liberally construed. We should at all times have before us the fundamental
principle that no voter should be deprived of his franchise for the infringement
of any technical requirements in casting his ballot.
Dobbyn v. Rogers, 225
Ind. 525, 544-45, 76 N.E.2d 570, 582 (1948). This principle applies whether
the technical error is committed by the voter or by voting officials, especially
when there is no doubt as to the outcome of the election.
The unsuccessful candidates argument that the Indiana Constitution mandates reversal of the trial
courts judgment is unconvincing. The principle of precinct is not enshrined in
our Constitution. Rather, the important principle is to allow the will of
the voters to be expressed freely, and the trial court vindicated that principle
in this case.
None of the unsuccessful candidates arguments is meritorious, and certainly none meets the
high standard set by the election contest statute. We therefore affirm the
trial courts judgment in favor of the winning candidates.
Also, under Indiana Appellate Rule 66(D), [t]he Court may assess damages if an
appeal, petition, or motion, or response, is frivolous or in bad faith.
Damages shall be in the Courts discretion and may include attorneys fees.
[A] claim or defense [is] frivolous (a) if it is taken primarily for
the purpose of harassing or maliciously injuring a person, or (b) if the
lawyer is unable to make a good faith and rational argument on the
merits of the action, or (c) if the lawyer is unable to support
the action taken by a good faith and rational argument for an extension,
modification, or reversal of existing law. A claim or defense is unreasonable
under the statute, if, based on a totality of the circumstances, including the
law and the facts known at the time of the filing, no reasonable
attorney would consider that the claim or defense was worthy of justification.
Finally, we determined a claim or defense to be groundless if no facts
exist which support the legal claim relied on and presented by the losing
party.
N. Elec. Co., Inc. v. Torma, 819 N.E.2d 417, 430-31 (Ind. Ct. App.
2004) (internal citations omitted), rehg denied. In reviewing the trial courts decision
not to award sanctions, we determine whether any factual findings are clearly erroneous;
we review de novo relevant conclusions of law; and we review the ultimate
decision whether to award attorneys fees for abuse of discretion. Inlow v.
Henderson, Daily, Withrow & DeVoe, 804 N.E.2d 833, 839 (Ind. Ct. App. 2004).
We reverse the trial courts judgment denying attorneys fees to the winning candidates,
and we award them appellate attorneys fees in addition, because there is no
reasonable or well-grounded basis for the unsuccessful candidates claims under the election contest
statute. None of the unsuccessful candidates arguments, even if they had prevailed,
would have met the well-established standard for obtaining relief under Indiana Code §
3-12-8-2. There is no good faith or rational argument supporting the unsuccessful
candidates claim for a special election. Also, the special circumstances of election-related
litigation make us particularly sensitive to the potential for frivolous litigation.
To prevail in their contest action, the unsuccessful candidates were required to show
that it was impossible to determine the candidate who received the highest number
of votes as required by Indiana Code § 3-12-8-2 to order a special
election. It has long been the law that the real subject of
the contest is the highest number of legal votes, not the malconduct of
the officers conducting the election. Dobyns v. Weadon, 50 Ind. 298, 302-03
(1875) (applying earlier version of contest statute). This standard has been applied
as recently as last year in Pabey, 816 N.E.2d at 1150 (holding that
the results of an election contested . . . may not be set
aside and a special election ordered unless the deliberate acts or series of
actions succeed in substantially undermining the reliability of the election and the trustworthiness
of its outcome).
None of the evidence or arguments the unsuccessful candidates advanced could
have met this standard. All along, Cloverdales voters preferences were clear, as
the winning candidates prevailed by substantial margins. The unsuccessful candidates cast no
doubt on the outcome of the election and failed to show that anyone
involved in the processcandidates or election officialsacted in anything other than good faith.
The arguments the unsuccessful candidates raised were technical, and technical arguments are
simply insufficient to meet the standard of the contest statute when they do
not cast doubt on who won the election.
Furthermore, the technical arguments the unsuccessful candidates made never called the elections outcome
into question. The argument that the polling places should not have been
consolidated did not call the elections outcome into question, and the unsuccessful candidates
introduced not one iota of evidence indicating that the consolidation had any effect
on turnout or discouraged even a single voter from going to the polls.
The argument that the precincts should not have been counted together also
did not call the elections outcome into question, and the unsuccessful candidates introduced
no evidence to raise any question about the accuracy of the vote count
or to cast doubt on the honesty of the vote counters. The
unsuccessful candidates constitutional argument also cast no doubt on the outcome of the
election.
That the unsuccessful candidates never truly contested the result of the election is
well illustrated by the their failure to eliminate allegations of fraud from their
complaint after finding no evidence supporting those allegations. When asked in discovery
to set forth facts supporting their verified allegations that there was fraud, tampering
or misconduct satisfying the contest statute, the unsuccessful candidates uniformly answered that [t]he
phrase fraud, tampering or misconduct is statutory language then went on to state
their legal theories. Appellees App. p. 17, 23, 31, 40. They
answered similarly when asked to describe who committed the fraud, tampering or misconduct
and what deliberate acts or series of acts of misconduct infected the electoral
process. Id. at 17-18, 24-25, 32-33, 40-41. The unsuccessful parties thus
incanted the required statutory language while admitting that they lacked evidence to show
that the statutory standard was met. Instead of attempting to meet the
statutory standard by showing acts making it impossible to determine who received the
most votes, they substituted legal theories that could not meet the standard.
In short, the unsuccessful candidates alleged violations of two provisions of election law,
but they fail to show how they or anyone else was harmed by
the alleged violations. They failed to prove that, had the election been
conducted as they believe it should have been, the outcome might have been
different. They also failed to prove that it is impossible to determine
who really won the election. They have produced no evidence that the
conduct of the election disenfranchised a single voter. In short, they have
not shown that the violations they allege harmed anyone.
Because no practical consequences flow from the errors the unsuccessful candidates allege, there
is no substance to [their] claim. D & M Healthcare, Inc. v.
Kernan, 800 N.E.2d 898, 901 (Ind. 2003). Courts will not intervene where
no significant injury is inflicted, at least for unintentional wrongs, or . .
. where the process complained of is out of specification but in the
end produces the same result that would have emerged from strict conformance.
Id. This quotation precisely describes the situation in this case. The
unsuccessful candidates allege that the precincts should not have voted together and the
votes should have been counted precinct-by-precinct, but they have produced no evidence to
show that these alleged problems affected the outcome of the election or harmed
them or any other voter in any way.
See footnote
In concentrating on the technicalities of the statutes they rely on, the unsuccessful
candidates lose sight of the purpose of the recount and contest statutesto ensure
a fair, transparent election in which the individual with the greatest number of
votes wins.
See footnote
The unsuccessful candidates have produced nothing to show that the
2003 Cloverdale town election was anything other than fair, transparent, and correct in
its result.
Our decision is bolstered by the litigations special context in the electoral process.
When unsuccessful candidates pursue frivolous claims, public confidence in the electoral process
may suffer. This proposition is especially true in circumstances such as these,
where there can be no reasonable doubt as to whom the citizens selected
as winners in the election. Also, frivolous claims may be particularly pernicious
in the electoral context because of the costs they impose on citizenssuch as
the winning candidates in this casewho choose to seek elected office. There
is no allegation in this case that the winning candidates did anything wrong.
Rather, any errors in administering the election were committed by election officials
who are not parties to this case and bear none of the costs.
See footnote
The winning candidates sought the opportunity to perform public service for their
community, presumably for little compensation; moreover, as independent candidates the winning candidates are
not supported by a political party that might assist with litigation expenses.
Requiring the winning candidates to shoulder all of the costs of defending a
frivolous appeal is a disincentive to individuals contemplating a run for public office.
The argument for appellate attorneys fees is even stronger because the unsuccessful litigants
persisted despite the trial courts warning of the futility of their cause.
The unsuccessful candidates should have heeded the trial courts alert that there was
a strong basis for sanctions in the trial court. Trial courts rarely
provide such warnings. The trial court spelled out clearly for the unsuccessful
candidates the problems with their claim. It indicated that the unsuccessful candidates
failed to carry their burden of proof because they presented no evidence of
any misconduct, fraud or tampering of any sort and presented no evidence of
any deliberate act or series of actions which occurred to make it impossible
for the Election Board . . . or for the Recount Commission .
. . to determine which candidates received the highest number of votes cast.
Appellants App. p. 78-79. The trial court thus indicated to the
unsuccessful candidates that their claim was misconceived because, whatever might be the strength
of their technical statutory challenges, they could not meet the burden set by
the election contest statute to show that it was impossible to determine who
won the election.
We affirm the trial courts judgment on the merits, reverse the trial courts
judgment regarding sanctions for frivolous litigation, and remand this matter for the award
of attorneys fees for trial and appellate proceedings.
See footnote
Affirmed in part, reversed in part, and remanded.
KIRSCH, C.J., and NAJAM, J., concur.