Majors v. Abell

ATTORNEY FOR APPELLANTS

Robbin Stewart
Indianapolis, Indiana

AMICUS CURIAE
COMMON CAUSE/INDIANA

W. Russell Sipes
Indianapolis, Indiana

Deborah Goldberg
J.J. Gass
New York, New York

ATTORNEYS FOR APPELLEES

Steve Carter
Attorney General

Frances Barrow
Deputy Attorney General
Indianapolis, Indiana






__________________________________________________________________


                                   IN THE



                          SUPREME COURT OF INDIANA

__________________________________________________________________

BRIAN MAJORS, et al.,             )
                                  )
      Appellants (Plaintiffs Below),    )
                                  )     Indiana Supreme Court
            v.                    )     Cause No. 94S00-0303-CQ-94
                                  )
MARSHA ABELL, et al.,             )
                                  )
      Appellees (Defendants Below)      )
__________________________________________________________________

       FROM THE UNITED STATES COURT OF APPEALS FOR THE SEVENTH CIRCUIT
            The Honorable William J. Bauer, Senior Circuit Judge
               The Honorable Richard A. Posner, Circuit Judge
              The Honorable Frank H. Easterbrook, Circuit Judge
                              Cause No. 02-2204
__________________________________________________________________


                            ON CERTIFIED QUESTION

__________________________________________________________________

                                July 24, 2003
BOEHM, Justice.
      The United States  Court  of  Appeals  for  the  Seventh  Circuit  has
requested our response to the following certified question:
      Is the term “persons” in Ind. Code §§ 3-9-3-2.5(b)(1), (d) limited  to
      candidates,  authorized  political  committees  or  subcommittees   of
      candidates, and the agents of such  committees  or  subcommittees,  or
      does it have a broader scope, and, if so, how much broader?
      The  certified  question  arises  in  a  lawsuit  brought  by  several
individuals challenging Indiana  Code  section  3-9-3-2.5  (Supp.  2001)  as
violating their rights to free speech guaranteed under the  First  Amendment
to the Constitution of the United States.  The United States District  Court
for the Southern District of Indiana dismissed the  complaint  for  lack  of
standing as to some plaintiffs and  mootness  as  to  others.   The  Seventh
Circuit   concluded   that   neither   standing   nor   mootness   precluded
consideration of the merits  of  the  plaintiffs’  claims,  but  noted  that
resolution of an issue of interpretation of the statute  might  control  the
disposition of the constitutional  issues  the  plaintiffs  seek  to  raise.
Accordingly, the Seventh Circuit  certified  this  question  to  this  Court
pursuant to 7th Cir. Rule 52 and Ind. R. App. Proc. 64.   Majors  v.  Abell,
317 F.3d 719, 725 (7th Cir. 2003).
      Section 2.5 is a part of the Indiana Election Laws.  In  broad  brush,
it provides that any  “person”  must  include  a  “disclaimer”  in  “general
public  political  advertising”   if   the   person   either   “solicits   a
contribution” or finances “communications expressly advocating the  election
or defeat of  a  clearly  identified  candidate.”   This  “disclaimer”  must
disclose who paid for the ad, and, under some circumstances, who  authorized
it.  The section  provides  a  number  of  exemptions  and  definitions  and
includes detailed provisions requiring different  disclosures  depending  on
whether the material  is  authorized  and/or  financed  by  a  candidate,  a
candidate’s  committee,  a   political   committee   (PAC),   or   a   party
organization.[1]
      The issue as framed by the Seventh  Circuit  appears  as  an  abstract
question of statutory construction.  Indeed, as that court observed, on  its
face, the statute seems quite plainly to apply  to  communications  financed
by every individual and every form of legal entity.   That  is  the  meaning
ordinarily given to “person” in statutes, and is  the  meaning  provided  by
section 36 of the “Definitions” Chapter of the Election Laws.  According  to
Indiana  Code  section  3-5-2-36,  “‘person’  means  an  individual  or   an
organization.”  Section 1 of the same Chapter provides that its  definitions
“apply throughout this title,” and “this title” inescapably refers to  Title
3 (“Elections”).[2]  This definition has been in  the  Election  Laws  since
the election laws were overhauled in 1986.[3]  It is in substance  the  same
as earlier more prolix but equally broad definitions of “person.”[4]
      The State points out that Section 2.5 is found in Article  9,  Chapter
3, and Section 1  of  that  Chapter  entitled  “Application  of  chapter”[5]
includes the following provision:
      (a) . . . this chapter applies to  candidates  in  all  elections  and
      caucuses and to the following types of committees:
           (1) Candidate’s committees.
           (2) Regular party committees.
           (3) Political action committees.
           (4) An auxiliary party organization.
           (5) A legislative caucus committee.
Ind. Code § 3-9-3-1 (1998).[6]  The State contends  that  this  section  has
the effect of including only candidates and the listed types  of  committees
among the “persons”  required  by  Section  2.5  to  include  a  disclaimer.
Indeed, the State claims the “Application”  section  is  meaningless  unless
given that construction.  We find this contention difficult  to  fit  within
the statutory framework.  We have already noted the seemingly  ironclad  and
purposeful use of “person” as all-inclusive.  The “Application” section  the
State cites is not inconsistent with the conclusion that  “person”  has  its
usual meaning.  Language identical to  the  quoted  portion  of  Chapter  3,
Section 1(a) appears in Section 1(a) of each of the other four  Chapters  in
Article 9.[7]  It seems clear that these “Application” provisions  serve  to
identify the types of elections to which the various chapters apply, but  do
not limit the reference to “persons” within those chapters.  Several of  the
provisions in these statutes would make no sense whatever if  “person”  were
limited as the State suggests.  For example, the Treasurer  of  a  committee
is required to file a report listing every  “person”  who  contributed  over
$100.[8]  A committee may remove a “person” as chair  or  treasurer  without
cause.[9]  Every “person” who accepts a contribution for  a  committee  must
get it to the Treasurer within thirty days.[10]  And  so  on.   “Person”  in
section 2.5 is the same term introduced  by  the  same  application  section
found in other sections of the same “Election Campaigns”  Chapter  where  it
can only be read to mean everybody and everything. As a matter of  statutory
interpretation, there is little wiggle room here.
      In the face of this rather overwhelming statutory evidence,  both  the
plaintiffs and the State nevertheless contend that  constitutional  doctrine
should govern our interpretation of the statute.   As  the  Seventh  Circuit
noted, courts, including this one, sometimes  find  elasticity  to  preserve
constitutionality.  See, e.g., A Woman’s Choice-East Side Women’s Clinic  v.
Newman, 671 N.E.2d 104, 107 (Ind. 1996)  (“we  would  construe  the  .  .  .
[statute] in a constitutional  manner  insofar  as  the  statutory  language
would  permit.”).    Accordingly,   we   consider   whether   constitutional
considerations drive us to find the statute to be more limited than  appears
on its face.
      The State argues for its less expansive reading on the ground that the
statute, if applicable to political advertising by anyone,  may  fall  under
the plaintiffs’ First Amendment attack.  In order to understand the  State’s
contention it is necessary to review  the  federal  constitutional  doctrine
surrounding  regulation  of  campaign  literature.   In  McIntyre  v.   Ohio
Elections Comm’n, 514 U.S. 334 (1995),  the  Supreme  Court  invalidated  an
Ohio statute regulating campaign literature.  Mrs. McIntyre  was  a  classic
“lone pamphleteer” who printed up some materials opposing her  local  school
tax levy.  Some of these identified her as the author and others  bore  only
the legend “CONCERNED PARENTS AND TAX PAYERS”.  She was convicted and  fined
$100 under an Ohio statute making it a misdemeanor  to  omit  identification
of the source of any campaign materials in any candidate or public  question
election. Although she died before the case reached  the  Supreme  Court  of
the United States, her estate carried on and  ultimately  prevailed  in  her
contention that her activity was constitutionally protected.
      McIntyre recognized that election  disclosure  laws  raised  different
considerations from those presented by the general prohibition of  anonymous
pamphlets that had been held unconstitutional in Talley v.  California,  362
U.S. 60 (1960).  Laws prohibiting anonymous communications at least to  some
extent burden speech and raise First Amendment concerns.  If the  speech  is
political, as it undoubtedly is in an election, it enjoys the highest  level
of protection, and any restriction of  that  speech  requires  a  compelling
governmental  interest.   Ohio  sought  to  justify  what  is  obviously  an
abridgment of speech principally on the  ground  that  its  statute  guarded
against misinformation in campaigns, and was  therefore  narrower  than  the
general ban that Talley had invalidated.  This contention did not carry  the
day.
      The election in McIntyre was a school tax referendum.   The  focus  of
that election was a  single  issue,  not  individual  candidates  and  their
character or their stances on multiple issues.  In  such  an  election,  the
Supreme Court  viewed  the  state  interest  as  principally  “[t]he  simple
interest  in  providing  voters  with  additional   relevant   information.”
McIntyre, 514 U.S. at 348.  So viewed, McIntyre found little  force  to  the
state interest asserted to justify its  regulation  of  speech.   The  state
cannot compel a speaker to add items of information  to  those  the  speaker
chooses to present.  To  the  extent  completeness  of  information  is  the
State’s concern, requiring identification of the source adds little  to  the
state’s justification, and fails to survive the strict scrutiny required  of
statutes burdening political speech.  As  the  Seventh  Circuit  noted,  the
majority in McIntyre described the identity of the author as just  one  more
item of information that the author may choose to include or omit.   Majors,
317 F.3d at 724 (citing  McIntyre,  514  U.S.  at  348).   Accordingly,  the
source of the statement  was  not  particularly  useful  in  evaluating  its
merits on a referendum issue.  The Supreme Court found the state’s  interest
in preserving the accuracy of statements in elections to be “on a  different
footing” from the general interest in providing more  information.   Despite
its greater force, that interest was not  furthered  by  the  Ohio  statute,
which  provided  no  exemption  for  truthful  communications,   and   other
statutory provisions and common  law  remedies  were  available  to  redress
false communications.
      Based on its reading of the Seventh Circuit’s opinion to suggest  that
Section 2.5 will be found unconstitutional under McIntyre  if  it  regulates
speech by “every individual  and  organization,”  the  State  argues  for  a
construction that would require a “disclaimer” only  from  those  candidates
and committees.  Because  the  disclaimer  statute  burdens  core  political
speech, it is subject to “strict scrutiny.”   McIntyre,  514  U.S.  at  347.
However, we are not persuaded that McIntyre  necessarily  implies  that  the
Indiana statute violates the First Amendment.  Section 2.5 was added to  the
Indiana Code in 1997 in response to McIntyre and the decision of the  United
States District Court for the Southern District in Stewart  v.  Taylor,  953
F. Supp. 1047 (S.D. Ind. 1997).  Previous versions of the  Indiana  Election
Laws had, like the Ohio statute, applied to  both  candidate  elections  and
votes  on  public  questions,  but  Section  2.5  is  limited  to  candidate
elections.  Before its 1997 revision,  the  Indiana  disclaimer  requirement
had none of the exemptions found in subsection  2.5(a),  which  now  exempts
small  direct  mailings[11]  and  communications  with  regard   to   public
questions,[12] among other things.
      McIntyre dealt with  leafleting  in  a  local  referendum.   We  think
somewhat  different  considerations  apply  in   evaluating   a   disclaimer
requirement in advertising in candidate elections.  Indeed, in  First  Nat’l
Bank of  Boston  v.  Bellotti,  435  U.S.  765  (1978),  the  Supreme  Court
expressly noted that although corruption concerns were  a  compelling  state
interest in candidate elections, they were not significant  in  the  context
of a referendum.  Id. at 790. McIntyre itself pointed out that in  candidate
elections the state “can identify a compelling state  interest  in  avoiding
the corruption that might result from campaign expenditures.” McIntrye,  514
U.S. at 356.  The state has a legitimate  concern  that  anonymous  campaign
support will become a quid for the quo of post election largesse.  Id.;  see
also Citizens Against Rent Control v. City of Berkeley, 454  U.S.  290,  297
(1981).   Thus,  McIntyre  expressly  noted  that  a  “more  narrowly  drawn
statute” might pass constitutional muster.  McIntyre, 514 U.S. at 356.
      In McIntyre, Justice Ginsburg, concurring separately, expressly  noted
that the Supreme Court did “not thereby hold  that  the  State  may  not  in
other, larger circumstances require the speaker to disclose its interest  by
disclosing its identity.”  McIntyre, 514 U.S. at 358.  Four years later,  in
Buckley v. Am. Constitutional Law  Found.,  525  U.S.  182  (1999),  Justice
Ginsburg wrote for a five-justice majority that struck down some aspects  of
Colorado’s regulation of solicitors in petition drives to place an issue  on
the ballot in a referendum.  Once again  the  Court  noted  the  distinction
between candidate elections and referenda.  Id. at 203.  The majority  found
unconstitutional a  requirement  that  solicitors  wear  badges  with  their
names.  But even in a  referendum  the  majority  found  constitutional  the
requirement that a public affidavit disclose the name  and  address  of  the
solicitor.  A post-solicitation affidavit did not expose  the  solicitor  to
the risk of intimidation that an identifying badge presented in  a  face-to-
face encounter with potential voters.  The affidavit was thus “the  type  of
regulation for which McIntyre left room.”  Id. at 200.
      We think there is a very strong state policy  reflected  in  the  1997
amendment.  It was an  obvious  effort  to  tailor  a  more  narrowly  drawn
statute that would serve core state interests in the integrity of  candidate
races while avoiding the concerns that resulted in the invalidation  of  the
Ohio statute.  We also think that the distinctions  between  Ohio’s  statute
and Indiana’s revised version are substantial.  The most important of  these
are that Indiana’s law permits some individual  pamphleteering  and  applies
only to candidate elections.
      The Supreme  Court  in  McIntyre  noted  some,  but  not  all  of  the
differences  for  these  purposes  between  issue  elections  and  candidate
elections. The Supreme Court pointed out the State’s proper concern for  the
potential of election corruption through anonymous candidate support.   This
interest was identified as “on a different footing”  from  the  mere  desire
for more complete  information.   McIntyre  discussed  this  state  interest
largely as concern for election finance violations.  In  distinguishing  the
Ohio statute from the interests validated in federal  campaign  finance  law
in  Buckley  v.  Valeo,[13]  the  Court  identified  the  “compelling  state
interest  in  avoiding  the  corruption  that  might  result  from  campaign
expenditures.”  McIntyre, 514 U.S. at 356.
      Deterrence of corruption in candidate elections was  first  identified
as a compelling government interest in Buckley v. Valeo,  which  found  that
concern sufficient to justify federal election law restrictions on  campaign
contributions and the requirement of disclosure of  contributors.   Buckley,
424 U.S. at 66.  As Buckley noted, the  anonymous  advertisement  may  be  a
surreptitious campaign contribution violation.  Id. at 81.  But in  addition
to concern for  outright  campaign  finance  violations  and  quid  pro  quo
corruption, we think there is  also  a  related  but  very  important  state
interest in the integrity of public statements in candidate  elections  that
differs from  elections  in  which  public  questions  are  put  to  voters.
Several potential  abuses  are  presented  by  anonymous  advertising  in  a
candidate race.  Anonymous statements about candidates  for  public  office,
even if true, can be very damaging, particularly if launched in  the  waning
days of an election when it may be difficult or even impossible  to  achieve
broad communication of any response.  Indiana saw  such  an  attack  in  the
2000 election when one candidate for attorney general was described  in  ads
by  a  third-party  organization  as  one  who  represented  convicted  drug
dealers. This may have been a true statement, but it was an attack that  the
candidate’s opponent disclaimed and disavowed.  Its  effect  was  presumably
mitigated by the disclosure of the source in compliance  with  Indiana  law.
At least the voters could see  who  was  making  this  claim,  and  form  an
assessment as to what its agenda was likely to be.   They  could  then  form
their own views as to whether  the  candidate’s  having  served  as  defense
attorney in a case that resulted in conviction for dealing had  anything  at
all to do with the motivation to defeat the candidate.  This  example  of  a
well-funded interest group taking out  advertisements  to  run  a  statewide
media blitz shortly before an  election  is  a  far  cry  from  the  “modest
resources” of Mrs. McIntyre mustered to oppose her school levy.
      There is a second concern with anonymous ads in  candidate  elections.
Charges can be leveled that no  candidate  would  make  because  the  claims
would be deemed irresponsible, or would generate support from  some  groups,
but a backlash  from  others.  Anonymity  permits  personal  charges  to  be
leveled at one candidate that may be equally true of  another.   The  voters
have redress at the polls if a candidate, the candidate’s  committee,  or  a
political party engages in  irresponsible  campaigning.   If  an  identified
third party wishes to sling some mud, there is  still  no  practical  remedy
against the source, but at least the voters can evaluate the claim in  light
of its source.
      Finally, in a candidate  election,  anonymous  advertising  permits  a
candidate to run on an issue without espousing it.  By  tacit  agreement  or
even without implicit support from the candidate,  the  anonymous  supporter
can challenge an opponent’s position on a given issue  without  putting  the
candidate’s position  in  play.   Several  pernicious  results  occur.   The
candidate may not differ from the views that are being  attacked,  but  does
not need to declare a position.  Or the candidate may have unspoken ties  or
obligations to groups whose agendas are well known, but who choose  to  fund
advertising on completely unrelated issues.   Only  the  disclosure  of  the
identity of the funding agency prevents this.
      For all of these reasons, we are not persuaded  that  Section  2.5  as
written violates the First Amendment on its face, though  one  can  conceive
of some applications that might be invalid.  As  McIntyre  and  Talley  make
clear, to require identification of the source is to burden the  core  value
of  free  speech.   But  in  a  candidate  election,  there  is  a  powerful
countervailing consideration in the State’s and  the  public’s  interest  in
election  integrity.   That  interest  extends  beyond  controlling   direct
corruption to  minimizing  damage  to  the  integrity  of  the  dynamic  and
multifaceted marketplace of ideas that drives a candidate election.
      We think the 1997 amendment represented a very clear statement by  the
General Assembly that it regarded campaign disclosure as  important.   As  a
matter of separation of powers, we  think  setting  that  priority  is  well
within the purview of  the  legislative  body  as  an  expression  of  state
policy.  If we construe the statute as  the  State  suggests,  we  agree  it
removes most doubt as to the constitutionality of the statute, but we  think
it also eliminates most of what the statute was seeking to  accomplish.   In
practice we do not  have  candidates  or  committees  taking  out  anonymous
advertising.  It may be the deterrent effect of the law, but it  also  seems
that anonymous  advertising  by  a  candidate  would  be  a  very  high-risk
strategy.  If a message is such that the candidate would not be  willing  to
be identified with it, presumably if its authorship  leaked  the  effect  of
the leak would be to brand the candidate a sneak as  well  as  a  fool.   We
think the statute is  primarily  concerned  with  anonymous  advertising  by
third parties. Limiting its  identification  to  candidates  and  committees
would free up the very actors the law was written  to  curtail.   State  and
federal courts have held a variety  of  views  on  issues  similar,  if  not
identical, to the constitutional claims presented here.[14]   We  think  the
Indiana statute is clear and we do not believe  that  current  decisions  of
the Supreme Court of the  United  States  compel  the  conclusion  that  the
statute as we construe it is invalid.  Accordingly, we  answer  the  Seventh
Circuit’s question as follows:
      The term “person” in Indiana Code section 3-9-3-2.5(b) and (d) is  not
      limited   to   candidates,   authorized   political   committees    or
      subcommittees of candidates, and the  agents  of  such  committees  or
      subcommittees. Rather, it includes any individual or organization.
      Finally, the plaintiffs invite us to invalidate the statute on Indiana
Constitutional grounds, in effect responding to  the  Seventh  Circuit  with
“never mind, the statute about which you inquire is void.”   The  plaintiffs
note authority that an ambiguous statute should be  interpreted  in  such  a
manner as to preserve  its  constitutionality.   From  this  they  draw  the
broader principle that the court should always consider  the  constitutional
implications of a statute and should invalidate a statute  if  it  finds  it
unconstitutional.  This seems quite  a  stretch  to  us,  but  we  need  not
resolve that question because the  plaintiffs’  contention  is  more  easily
disposed of.  No state constitutional issue was presented  in  the  district
court, and we are not asked by the Seventh Circuit whether the statute  runs
afoul of either the state or federal constitution.  We  have  no  record  of
the facts of this case before us, and no basis  to  evaluate  whether  other
grounds may render consideration of the  broad  state  constitutional  issue
unnecessary.  City of New Haven v. Reichhart,  748  N.E.2d  374,  378  (Ind.
2001).   Neither  the  state  nor  the  amicus  has  addressed   any   state
constitutional issue.  Under these circumstances, we will not reach  out  to
answer a question we are not asked.

DICKSON, SULLIVAN, and RUCKER, JJ., concur.
SHEPARD, C.J., concurs with separate opinion in which DICKSON, J., joins.

                                  Appendix

Ind. Code § 3-9-3-2.5 (Supp. 2001).

(a) This section does not apply to any of the following:
      (1) A communication relating to an election to a federal office.
      (2) A communication relating to the outcome of a public question.
      (3) A communication described by this section in a medium regulated by
      federal law to the extent that federal law regulates  the  appearance,
      content, or placement of the communication in the medium.
      (4) Bumper stickers, pins, buttons, pens, and similar small items upon
      which the disclaimer required by this section cannot  be  conveniently
      printed.
      (5) Skywriting, water towers,  wearing  apparel,  or  other  means  of
      displaying an advertisement on which the  inclusion  of  a  disclaimer
      would be impracticable.
      (6) Checks, receipts, and similar items of minimal value that  do  not
      contain a political message and are  used  for  purely  administrative
      purposes.
      (7) A communication by a  political  action  committee  organized  and
      controlled by a corporation soliciting contributions to the  political
      action committee by the stockholders, executives, or employees of  the
      corporation and the families of those individuals.
      (8) A communication by a  political  action  committee  organized  and
      controlled by a labor organization  soliciting  contributions  to  the
      political action committee by the members or  executive  personnel  of
      the labor organization and the families of those individuals.
      (9) A direct mailing  of  one  hundred  (100)  or  less  substantially
      similar pieces of mail.
(b) This section applies whenever a person:
      (1) makes an expenditure for the purpose of  financing  communications
      expressly advocating the election or defeat of  a  clearly  identified
      candidate; or
      (2) solicits a contribution;  through  a  newspaper,  a  magazine,  an
      outdoor advertising facility, a poster, a yard sign, a direct mailing,
      or any other type of general public political advertising.
(c) For purposes of this section, a candidate is clearly identified  if  any
of the following apply:
      (1) The name of the candidate involved appears.
      (2) A photograph or drawing of the candidate appears.
      (3)  The  identity  of  the  candidate  is  apparent  by   unambiguous
      reference.
(d) A communication described in subsection (b) must  contain  a  disclaimer
that appears and is presented in a clear and conspicuous manner to give  the
reader or observer adequate notice of the identity of persons who  paid  for
and, when required, who authorized the communication. A disclaimer does  not
comply with this section if the disclaimer is difficult to read  or  if  the
placement of the disclaimer is easily overlooked.
(e)  A  communication  that  would  require  a  disclaimer  if   distributed
separately must contain the required disclaimer if included in a package  of
materials.
(f) This subsection does not apply to a communication, such as a  billboard,
that contains only a front face. The  disclaimer  need  not  appear  on  the
front or cover page of the communication if the  disclaimer  appears  within
the communication.
(g) Except as provided in  subsection  (h),  a  communication  described  in
subsection (b) must satisfy one (1) of the following:
      (1) If the communication is paid for and authorized by:
           (A) a candidate;
           (B) an authorized political committee of a candidate; or
           (C) the committee's agents;
      the communication must clearly state that the communication  has  been
      paid for by the authorized political committee.
      (2) If the communication is paid for by other persons  but  authorized
      by:
           (A) a candidate;
           (B) an authorized political committee of a candidate; or
           (C) the committee's agents;
      the communication must clearly state that the  communication  is  paid
      for by the other persons and authorized by  the  authorized  political
      committee.
      (3) If the communication is not authorized by:
           (A) a candidate;
           (B) an authorized political committee of a candidate; or
           (C) the committee's agents;
      the communication must clearly state the name of the person  who  paid
      for  the  communication  and  state  that  the  communication  is  not
      authorized by any candidate or candidate's committee.
      (4) If the communication is a solicitation  directed  to  the  general
      public on behalf of a political committee that is  not  a  candidate's
      committee, the solicitation must clearly state the full  name  of  the
      person who paid for the communication.
(h) A communication by a regular party committee consisting of:
      (1) a printed slate card, a sample ballot, or other printed listing of
      three (3) or more candidates for public office at an election;
      (2) campaign materials such as handbills,  brochures,  posters,  party
      tabloids or newsletters, and yard signs distributed by volunteers  and
      used by the regular  party  committee  in  connection  with  volunteer
      activities on behalf of any nominee of the party; or
      (3) materials distributed by volunteers as part of the regular party's
      voter registration or get-out-the-vote efforts;
must clearly state the name of the person who  paid  for  the  communication
but is not required to state that the communication  is  authorized  by  any
candidate or committee.

SHEPARD, Chief Justice, concurring.


      I join fully in the Court’s opinion, and write separately  to  address
a point ably lifted up by the lawyers for Common Cause of  Indiana  and  the
Brennan Center for Justice.

      The device of certifying questions of state law that are central to  a
case being litigated in federal court is productive for  state  and  federal
tribunals alike.  Knowing that our federal  colleagues  do  not  make  these
referrals casually, we have accepted every certification from  our  District
Courts and the Seventh Circuit, as best I can  recall.   I  expect  that  we
will continue to do so.

      Still, the mechanism has its limitations.  As  amici  point  out,  the
questions necessarily come in rather abstract form.  We  answer  a  question
of law, rather than resolve a case.  And, of course, facts  matter  a  great
deal in the work judges customarily perform.

      Here, for example, the statute in question looks very  different  when
one contemplates a lone pamphleteer, some latter-day Thomas Paine,  than  it
does as applied to a regular party candidate.

      This  problem  of  abstraction  is  especially  troublesome  when  the
question at hand is, say, one of state constitutional law, or, as  today,  a
statutory question  with  palpable  constitutional  implications.   On  such
occasions, it seems to me, we state judges must  be  especially  mindful  of
the jurisprudential rules we would employ if the full case were pending  for
resolution in state court  –  like  avoidance  of  avoidable  constitutional
declarations.

      We have brushed up against such considerations in  the  present  case,
but the language and statutory framework of the law under  examination  have
so strongly suggested an answer that fancier footwork has been unnecessary.

DICKSON, J., joins.

-----------------------
[1] Section 2.5 is rather lengthy.  Because  its  constitutionality  may  be
viewed as turning on the extent  to  which  it  is  “narrowly  tailored”  we
reproduce the statute in its entirety as an Appendix to this opinion.
[2] For those  unfamiliar  with  Indiana  statutes,  the  hierarchy  of  the
Indiana Code, in descending order, is Title, Article, Chapter, Section.
[3] Public Laws 5-1986 and its companions, 6-1986, 7-1986  and  8-1986  fill
315 pages of the 1986 Acts.  1986 Ind. Acts 25-340.
[4] Public Law 6-1976 included the following  definitions  for  purposes  of
the then current election law:  “[P]erson”  includes  individuals,  business
organizations,  labor  organizations,  religious  organizations,   political
organizations, trustees, receivers and any other organization,  association,
cooperative or group of persons whatsoever.  1976 Ind. Acts 13.
[5] West Annotated Code  uses  the  same  title  for  this  section  as  the
official Indiana Code, (“Application of  chapter”).   Burns  Annotated  Code
calls it “Applicability.”
[6] Subsection (b) excepted federal candidates from the  limitation  on  the
use of contributions imposed by Section (4).  Effective July 1, 2003, a  new
subsection (c) was added to Indiana Code 3-9-3-1 providing that Section  2.5
does not apply to candidates for precinct committeeman or  state  convention
delegate.  None of these exceptions are relevant for our purposes.
[7] All five Subsections (a) are identical except for the exceptions  unique
to each provision.  The only differences, which  are  irrelevant  for  these
purposes, appear in subsections (b)  and  (c)  of  the  various  Application
sections.  These have the effect of exempting different types  of  elections
(e.g. school boards) from certain requirements,  but  not  others.   Compare
I.C. § 3-9-3-1 with I.C. § 3-9-1-1, I.C. § 3-9-2-1, I.C. § 3-9-4-1 and  I.C.
§ 3-9-5-1.
[8] I.C. § 3-9-5-14(3)(A).
[9] I.C. § 3-9-1-19.
[10] I.C. § 3-9-2-9.
[11] Section2.5(a)(9) exempts mailings of up to 100 pieces  of  “mail”  that
are “substantially similar.”  We take “mailing” and “mail”  to  include  any
form of delivery of any written material,  including  personal  delivery  or
use of some service other than use of  the  United  States  Postal  Service.
Reading the exemption as limited to materials distributed through  the  U.S.
mail would impose arbitrary and indeed unconstitutional  conditions  on  the
exemption in violation of the basic equal protection  doctrines  invoked  by
both parties.
[12] Section 2.5(a)(2).  The web site referred to by the Seventh Circuit  in
Majors, 317 F.3d  at  721,   www.in.gov/sos/pdfs/Disclaim.pdf  (Revised  May
2002), is incorrect to the extent  it  suggests  that  all  of  the  matters
discussed apply equally to both candidate  and  public  question  elections.
Although many parts of the Indiana  Election  Laws  do  apply  to  political
question elections, Indiana Code section 3-9-3-2.5 does  not  by  virtue  of
Section 2.5(a)(2).
[13] 424 U.S. 1 (1976).
[14]  Compare Cal. Pro-Life Council, Inc. v. Getman,  328  F.3d  1088,  1107
(9th Cir. 2003); FEC v. Public Citizen,  268  F.3d  1283,  1285  (11th  Cir.
2001); Ky. Right to Life v. Terry, 108 F.3d 637, 648 (6th  Cir.  1997);  FEC
v. Survival Educ. Fund, Inc., 65 F.3d 285, 298 (2d.  Cir.  1995);  McConnell
v. FEC, 2003 U.S. Dist. LEXIS 7816 at *182 (D.D.C. May 1, 2003); Seymour  v.
Election Enforcement Comm’n, 762 A.2d  880,  892-94  (Conn.  2000);  Doe  v.
Mortham, 708 So. 2d 929, 931-35 (Fla. 1998); with Citizens  for  Responsible
Gov’t State PAC v. Davidson, 236 F.3d  1174,  2000  (10th  Cir.  2000);  Vt.
Right to Life Comm., Inc. v. Sorrell, 221 F.3d  376,  392  (2d  Cir.  2000);
Wilson v. Stocker, 819 F.2d 943, 950 (10th Cir. 1987); N.C. Right  to  Life,
Inc. v. Leake, 108 F. Supp. 2d 498, 510 (E.D.  N.C.  2000);  Ark.  Right  to
Life State PAC v. Butler,  29  F.  Supp.  2d  540,  550  (W.D.  Ark.  1998);
Stewart, 953 F. Supp. at 1055; W. Va. for Life, Inc. v. Smith, 960 F.  Supp.
1036, 1042 (S.D. W. Va. 1996); Doe v. Texas, 2003 Tex. Crim. App.  LEXIS  88
at *14 (Tex. Crim. App. May 14, 2003).