Alves v. Giegler

306 A.3d 455

348 Conn. 364

Roberto ALVES

v.Janice GIEGLER et al.

(SC 20907), (SC 20908)

Supreme Court of Connecticut.

Argued October 20, 2023

Officially Released January 23, 2024

Proloy K. Das, with whom was Candace V. Fay, assistant corporation counsel, for the appellant-cross appellee in SC 20907 and the appellee in SC 20908 (named defendant).

Eugene E. Glouzgal, Bethel, for the appellant-cross appellee in SC 20908 and the appellee in SC 20907 (defendant Veasna Rouen).

Christopher M. Mattei, Bridgeport, with whom were Colin S. Antaya and Luke Reynolds, for the appellee-cross appellant in SC 20907 and SC 20908 (plaintiff).

Robinson, C. J., and McDonald, D’Auria, Alexander and Dannehy, Js.

ROBINSON, C. J.

₃₆₉This election appeal, which arises from a dispute over two slates of candidates each purporting to be the endorsed slate of the Independent Party of Danbury (Independent Party) for various municipal offices in the city of Danbury (city), raises two issues under the statutes governing nominations to municipal office by minor political parties in our state, namely, (1) the nature of the "certification" required by General Statutes § 9-452, which governs the submission of a party’s list of nominees for municipal office to a town clerk, and (2) the form that notice to a town clerk of a party’s meeting or caucus to nominate candidates for municipal office must take under General Statutes § 9-452a. The plaintiff, Roberto Alves, a candidate for election as mayor of the city, brought this action pursuant to General Statutes § 9-328 against the defendants, Janice Giegler, the city's town clerk, Dean Esposito, the city’s incumbent mayor who is seeking reelection to that office, and Veasna Rouen, the chairperson of the Independent Party, challenging Giegler’s decision on September 18, 2023, to file with the secretary of the state (secretary), pursuant to General Statutes § 9-461, a slate of candidates purporting to be the Independent Party’s nominations of candidates for municipal office.¹ The challenged Independent Party slate consisted of candidates supported by the Danbury Republican Town Committee, including Esposito and Giegler (Esposito slate); Giegler did not file with the secretary a previously submitted Independent Party slate consisting of candidates supported by the Danbury Democratic Town Committee, including the plaintiff ₃₇₀(Alves slate). After a three day court trial, the trial court, Medina, J., issued an order on October 12, 2023, which, pursuant to General Statutes § 9-329b, directed Giegler to remove the Esposito slate that she had submitted to the secretary from the ballot (October 12 order).²

The parties sought review of numerous questions of law by this court pursuant to General Statutes § 9-325, and they also filed appeals and cross appeals³ from the judgment of the trial court. After reviewing these questions and the trial court’s October 16, 2023 memorandum of decision, which questions the trial court certified to the Chief Justice pursuant to § 9-325, we issued an order on October 17, 2023, modifying the questions. First, with respect to the notice issue under § 9-452a, did Giegler "[exceed] her statutory authority by failing to file with the secretary … pursuant to … § 9-461, the [Alves] slate … approved at the [Independent Party’s] August 11, 2023 caucus?" Second, did Giegler "improperly [file] with the secretary … pursuant to … § 9-461, the [Esposito] slate … approved at the [Independent Party’s] August 21, 2023 caucus on the ground that the filing with the Danbury ₃₇₁town clerk’s office failed to comply with … § 9-452 because it was not certified?" Following expedited briefing on these certified questions, we heard oral argument on October 20, 2023.⁴ We conclude that the answer to the first certified question is "yes," and the answer to the second certified question is "no." Consistent with these answers to the certified questions, after oral argument, we issued an order, which we announced from the bench, affirming the judgment of the trial court and indicating that a written opinion would follow.⁵ This is that opinion.

The record reveals the following facts, as found by the trial court, and procedural history. On August 4, 2023, Rouen had notice published in the Danbury News-Times (News-Times) of an "[e]ndorsement [m]eeting" of the Independent Party to be held at 6:30 p.m. on August 11, 2023, at the Maron Hotel. Although a copy of that notice, as published in the News-Times, is on file in the Danbury town clerk’s office (town clerk), and Giegler attended the meeting personally, the trial court found that "no separate letter or other notification to the town clerk was sent by Rouen or anyone else."

The Independent Party held its first endorsement meeting on August 11, 2023. Minutes of that meeting prepared by Jennifer Dorin, the Independent Party’s secretary and treasurer, indicate that Rouen called that meeting to order at 6:42 p.m. and adjourned it at 6:46 p.m. Dorin’s minutes also indicate that, at that meeting, ₃₇₂Justin Chan, a new member of the party, challenged Rouen with respect to whom would be permitted to vote at the meeting, causing "chaos" to ensue and the "room [to become] unruly" as Rouen announced that the party "would need legal counsel to clarify who is allowed to vote." At that point, Rouen and the deputy treasurer moved to adjourn the meeting, Dorin seconded the motion, and the "[e]xecutive [b]oard made the unanimous decision to adjourn the meeting." There subsequently was some disagreement about whether the meeting had been properly adjourned, and a set of minutes prepared by Gretchen Lombardi, a party member, indicate that those remaining in attendance nevertheless held a caucus and proceeded to nominate, by unanimous vote, the Alves slate as the nominees of the Independent Party.⁶

Chan served as presiding officer of that caucus.

Subsequently, on August 15, 2023, Rouen sent a letter informing the town clerk of a "caucus" to be held at the Maron Hotel at 6:30 p.m. on August 21, 2023, "to nominate a slate of candidates on the Independent [Party] line for the 2023 Danbury municipal election." On August 16, 2023, notice to that effect was published in the News-Times.

On August 16, 2023, Lombardi, accompanied by an attorney, attempted to file with the town clerk a document consisting of the Alves slate of candidates, a copy of the August 4, 2023 published notice of the August 11, 2023 meeting, and a page captioned "CERTIFICATION OF PARTY NOMINATIONS FOR MUNICIPAL ₃₇₃OFFICE," stating that "it is hereby certified that at the Independent Party [c]aucus called for that purpose, held on August 11, 2023 … by a majority vote, the persons listed on the attached sheets were nominated as candidates for election …." Chan signed that filing as caucus chair. The town clerk received, but initially rejected, that filing on August 16, 2023. That decision was based on Giegler’s understanding that the endorsements might not be valid, in light of her personal knowledge of what had transpired at the August 11, 2023 meeting, along with the fact that Rouen had already noticed a second Independent Party caucus to take place on August 21, 2023.

The next day, August 17, 2023, Giegler reconsidered the rejection of the Alves slate and agreed to accept that filing based on legal advice that she had obtained from the secretary’s office, despite her continued doubts as to its validity.⁷ Giegler declined, however, to follow advice from the secretary’s office that she contact the interested parties to inform them of the potential over endorsement issues. Giegler believed that instance to be the first time she had not followed legal advice from the secretary’s office.

Subsequently, the Independent Party held a caucus on August 21, 2023, which resulted in a vote awarding the party’s endorsement to the Esposito slate. On August ₃₇₄22, 2023, Rouen submitted the Esposito slate to the town clerk’s office, with a cover letter providing: "As [c]hairman of the Independent Party … I hereby submit the [p]arty’s official endorsements of candidates for the November 7, 2023 municipal elections. The nomination meeting was conducted on August 21, 2023, as advertised in the … News-Times." The cover letter further stated that the "Independent Party … is aware of a submission of an unofficial slate, which was never recognized or approved by the [e]xecutive [b]oard, and out of caution, has been vetoed and deemed invalid in accordance with the rules of the Independent Party …." The town clerk’s office stamped that document as "received for record" on August 23, 2023.

Attached to Rouen’s cover letter was the document containing the Esposito slate; that document listed the names of the Esposito slate candidates under the heading "INDEPENDENT PARTY OF DANBURY: CANDIDATES’ STATEMENT OF CONSENT." The trial court observed that "the individual proposed candidates all signed the sheet on which their names appeared weeks before the August 21, 2023 caucus." (Emphasis added.)

The "fifth page of the [document], over the signatures of Rouen as chairman and Dorin as secretary, recites that the events occurred ‘[a]t a [s]pecial [m]eeting of the Danbury Republican Town Committee ….' "⁸ Thereafter, on September 18, 2023, Giegler submitted only the Esposito slate to the secretary pursuant to § 9-461.

On September 27, 2023, the plaintiff brought this action pursuant to § 9-328. The plaintiff sought (1) a ₃₇₅judgment declaring that "Giegler acted without lawful authority when she determined which slate of candidates had been nominated by the Independent Party … and that, under [General Statutes] § 9-414, no such endorsement by the Independent Party … ha[d] occurred," (2) injunctive relief "compelling [Giegler] and the secretary … not to identify the [Esposito slate] candidates, including … Esposito, as nominees of the Independent Party … on ballots to be used in connection with Danbury municipal elections scheduled for November 7, 2023," and...