Majority
The respondents are members of a special committee of the Council of the city of New York appointed to investigate the affairs and conduct of the Municipal Civil Service Commission. In the course of committee hearings, the investigation was directed to the personnel at the Information Center and to matters involving the method of selection and the qualifications of certain appointees. The inquiry adduced the fact that prior to the Council’s investigation the Mayor had directed a city employee to investigate matters which also related to the personnel at the Information
Accordingly our inquiry goes to the question whether records in the office of the Mayor of the city of New York, which are concededly pertinent to an official investigation by the Council as to matters relating to the affairs of a city department, are immune from the Council’s power of subpoena.
We look first to the city’s charter. By section 21 the Council is vested “ * * * with the legislative power of the city.” By section 43 — which bears the caption “ Power of Investigation ” — the Council is granted “ power from time to time to appoint a special committee to investigate any matters relating to the property, affairs or government of the city or of any county within the city. Any such committee shall have power to require the attendance and examine and take the testimony under oath of such persons as it may deem necessary.” (Emphasis supplied.)
The power of investigation thus reserved to the Council is broad — indeed, it is broader than the analogous section of the prior charter. (L. 1901, ch. 466, § 54 [Cf. Tanzer “ New York City Charter,” p. 45].) Neither the Mayor, nor any other city officer is beyond the scope of investigation thus authorized unless some statute or some well-defined principle of law accords to the Mayor the immunity which he now asserts.
Upon this subject the Supreme Court of the United States has said: “ Whether the legislative, executive and judicial powers of a State shall be kept altogether distinct and separate, or whether persons or collections of persons belonging to one department may, in respect to some matters, exert powers which, strictly speaking, pertain to another department of government, is for the determination of the State * * *. ‘ When we speak,’ said Story, ‘ of a separation of the three great departments of government, and maintain that that separation is indispensable to public liberty, we are to understand this maxim in a limited sense. It is not meant to affirm that they must be kept wholly and entirely separate and distinct, and have no common fink of connection or dependence, the one upon the other, in the slightest degree. The true meaning is, that the whole power of one of these departments should not be exercised by the same hands which possess the wholé power of either of the other departments; and that such exercise of the whole would subvert the principles of a free constitution.’ (Story’s Const. [5th ed.] 393.) Again: ‘ Indeed, there is not a single constitution of any State in the Union, which does not practically embrace some acknowledgment of the maxim, and at the same time some admixture of powers constituting an exception £o it.’ (Story’s Const. [5th ed.] 395.) ” (Dreyer v. Illinois, 187 U. S. 71 , 84; Williams v. Eggleston, 170 U. S. 304 , 310.)
As to the pattern of government adopted by the State of New York, it may be said that the design includes by implication the
The State Constitution provides that “ It shall be the duty of the legislature to provide for the organization of cities * * *.” (Art. IX, § 9.) In the charter which the Legislature provided for the city of New York (L. 1934, ch. 867 — adopted by referendum November 3, 1936, effective January 1, 1938) it did not see fit to set up tripartite, co-ordinate branches of government which are independent of each other. True, it prescribed that the Mayor shall be “ the chief executive officer of the city ” (Charter, §§ 3, 4, 5) and that the Council is “ the local legislative body of the city.” (Id. § 21.) But the fact that functions are exercised by the Mayor and the Council which are independent of each other is not enough, as we conclude, to entitle the Mayor to invoke immunities which he now asserts and which are accorded the executive under the Federal plan of government..
Under charter provisions the Mayor, when sitting as a member of the Board of Estimate, shares many executive responsibilities with the Comptroller, the President of the Council and the Presidents of the five boroughs. (Ch. 3, §§ 61, 62, 70.) As a member of the Board of Estimate he is a member of the Municipal Assembly (L. 1924, ch. 363, § 10; amd. L. 1928, ch. 671) and as such may perform certain legislative functions (Charter, § 39). And although no provision is made for a judicial branch of the city’s government, the charter contains the anomalous provision that “ The mayor is a magistrate.” (Id. § 6.)
It is thus seen that, unlike the office of President under the federal system, the powers of the office of Mayor of the city of New York are not exclusively executive. And unlike the federal system, which recognizes a separation of powers into three independent branches, the chartered plan of government for the city of New York has but two branches —■ executive and legislative —• the functions of which, as defined by the Legislature, are not
It is for that reason that the theory of co-ordinate, independent branches of government has been held generally to apply to the national system and to the states but not to the government of cities. (State ex rel. Wilkinson v. Lane, 181 Ala. 646 , 658; Uridias v. Morrill, 22 Cal. 474 , 478; Kaufman v. City of Tallahassee, 84 Fla. 634 , 639; Ford v. Mayor & Council of Brunswick, 134 Ga. 820 ; Sarlls v. State, 201 Ind. 88 ,115; Eckerson v. City of Des Moines, 137 Iowa, 452 , 461-466; Bryan v. Voss, 143 Ky. 422 , 427; People ex rel. Simpson v. City of Mankato, 117 Minn. 458 , 467-469; Barnes v. City of Kirksville, 266 Mo. 270 , 282; City of Greenville v. Pridmore, 86 S. C. 442 , 443; Walker v. City of Spokane, 62 Wash. 312 , 324, 325.)
The case of Springer v. Philippine Islands ( 277 U. S. 189 ), cited by the appellant, is not an authority opposed to our view in the present proceeding. There the controversy involved the validity of a law which purported to restrict the power of the Governor-General who was given “ the supreme executive power ” by the “ Organic Act ”— the fundamental law of the Philippine Islands. There an express provision for the separation of powers was held to be contained within the Organic Act. The questions there determined differ widely from the one now before us.
In our consideration of the present problem we must assume that the action of the Special Committee of the Council in issuing the subpoena duces tecum now challenged, had a legitimate objective. We have treated the committee’s power of inquiry, with process to enforce it, as an essential auxiliary to its legislative function. (Wilckens v. Willet, 1 Keyes, 521, 525; People ex rel. McDonald
Dissent
The order should be affirmed, without costs.
(dissenting). The Charter of the City of New York provides, in section 21, that “ the council shall be vested with the legislative power of the city, and shall be the local legislative body of the city, with the sole power to adopt local laws under the provisions of the city home rule law or otherwise, without requiring the concurrence of any other body or officer except as provided in sections thirty-eight, thirty-nine and forty.” Incidental to, but not limiting the general legislative power of the Council, the charter confers upon the Council certain enumerated powers. (§ 27.) It is expressly given “ power from time to time to appoint a special committee to investigate any matters relating to the property, affairs or government of the city or of any county within the city. Any such committee shall have power to require the attendance and examine and take the testimony under oath of such persons as it may deem necessary.” (§ 43.)
Pursuant to the provisions of that section the Council has appointed a special committee to investigate the Municipal Civil Service Commission of the City of New York. That committee has served upon the Mayor of the city a subpoena requiring him to appear before the committee “ to testify and give evidence in a certain inquiry and investigation of the said Municipal Civil Service Commission, now being conducted pursuant to the pro
Chapter I of the charter is entitled “ Mayor.” In the first section of that chapter it is provided that “ the mayor shall be the chief executive officer of the city.” (§ 3.) The second chapter of the charter is entitled “ Council.” Section 21, already quoted herein, is the first section of that chapter. Though the power conferred upon the Council by section 43 to appoint a special committee to investigate any matters relating to the “ property, affairs or government of the city ” is subject to no express limitation, the Mayor contends that its exercise is restricted to the field of legislative powers vested in the Council and that in the exercise of the powers conferred upon the Mayor as “ chief executive officer of the city ” the Mayor is not subject to command or interference by the Council.
The question so posed is purely one of statutory construction. In providing a form of government for the cities of the state the Legislature is restricted only by the provisions of the Constitution of the State and the State Constitution contains no provision, express or implied, that the form of government provided for cities shall embody the principle of governmental separation, of powers. It cannot be disputed that the Legislature may impose upon cities the commission form of government which almost completely disregards the principle of separation of powers or it may adhere to that principle in part and reject it in part. Nonetheless, if in the charter the Legislature has provided a form of government in which executive powers vested in the Mayor and legislative powers vested in the Council are intended to be kept separate, distinct and independent, that intention must be given effect.
The cases cited in the opinion of Judge Lewis decide that though in the State and National governments the principle of separation of governmental powers is implicit as a logical conclusion from the distribution of powers among separate departments in the Constitution establishing such governments, yet the Legislatures, vested by those Constitutions with legislative power to provide for the incorporation and government of cities or other municipal corporations, are not bound, in the exercise of that power, to distribute or to separate governmental powers. These cases do not, I think, establish or even imply that the “ theory of co-ordinate independent branches of government ” has been held, generally, not to apply to city governments. On the contrary, in these cases there was a challenge of a then novel assertion of power by the Legislature to reject a theory which for a century or more had been generally accepted though not rigidly applied in the creation of city government. These cases do not decide or, I think, even suggest that where the Legislature has distributed governmental powers among separate departments of a city government, the principle of separation of power is not implied as a logical conclusion from such distribution.
The Commission which formulated the proposed charter was attempting to devise an organic law which would provide a practical
The fact that the separation of executive and legislative powers is not entirely complete does not show that the separation so far as made was not intended to create fields in which the powers of the Mayor and the Council are exclusive. That would be true even where the rule of separation of powers is mandatory. “ The existence in the various constitutions of occasional provisions expressly giving to one of the departments powers which by their nature otherwise would fall within the general scope of the authority of another department emphasizes, rather than casts doubt upon, •the generally inviolate character of this basic rule.” (Springer v. Philippine Islands, supra, p. 202 .) The charter as adopted must be construed in the light of the fact that it provides a form of
Again I point out that the Charter we are construing is intended to provide for the city of New York, not for an ideal city in Utopia. Visionary dreamers, but not men of practical experience, might have assumed that neither the Council nor the Mayor would ever attempt, for political or other reasons, to interfere with or discredit the other. I do not suggest that in this case the Council is attempting to do that, but certainly the power which it now asserts might be used for such purpose. Nor do I suggest that the Mayor has with such purpose ever asserted a power which encroached upon the field of powers allotted to the Council, but in Matter of Radio Station WNYC ( 280 N. Y. 629 ) this court held unanimously that section 38 of the charter which provides that “ every local law or resolution * * * after its passage by the council, shall be presented to the Mayor for approval ” does not apply to a resolution adopted by the Council for the appointment of a special committee to investigate the management of the Municipal Broadcasting System of the city. Section 38 in terms, it must be noted, applies to every resolution. We felt constrained, nonetheless, to exclude from its scope a resolution which was not analogous to a local law and was adopted in the exercise of a power merely incidental to the exercise of the Council’s general legislative power. Practical considerations and age old American traditions of government demanded the rejection of a literal construction of the charter which would give to the “ chief executive officer ” of the city the power to impede the Council in the exercise of powers conferred upon it only as an incident of its “ general legislative powers.” The same practical considerations and established traditions demand the
That the powers of the Mayor as the chief executive officer are vested in him alone and are not subject to control by the Council is clear beyond dispute. Interference by one governmental department with the performance by the head of another governmental department of powers exclusively vested in him has never heretofore been sanctioned. I repeat that the Legislature might have devised a system of government without separation of governmental powers or departments, but it has not chosen to do so. The organic law of the city confers upon the Mayor alone certain executive powers, and it places upon him the burden of the responsibility which flows from governmental powers and duties. Implicit in the grant of exclusive power and exclusive responsibility is the rule that no other department of city government may interfere with the chief executive officer of the city in the exercise of his power and in carrying out his responsibility. That is true alike where the Legislature is required by the Constitution to set up separate departments of government each vested with exclusive power and where the Legislature freely chooses to do so. The charter must be construed in the light of these tried traditions of American government. The conditions created by the war have again demonstrated their wisdom. To meet those conditions the Legislature may grant to the Mayor additional powers or may limit or may withdraw powers heretofore granted to him and vest them in some other officer or department, either State or local. Where exclusive executive power and exclusive responsibility is vested in the chief executive officer of the city he should not be subjected to the possibility of being impeded or harassed by another department of the city government which shares neither his duty nor his responsibility. To give another department the power to harass or impede the chief executive is to invite disaster. We may properly find that the subpoena issued by the Committee of the Council would in this case constitute no substantial interference. So, too, we may assume for the purposes of this appeal that the Council as now constituted would not tolerate unreasonable interference with the Mayor by its Special Committee for personal or political reasons and that the Mayor would not direct or tolerate unreason
The orders of the Appellate Division and of Special Term should be reversed and the motion to vacate the subpoena should be granted.
Loughran, Finch, Conway and Desmond, JJ., concur with Lewis, J. Lehman, Ch. J., dissents in opinion in which Rippey, J., concurs.
Order affirmed.
Cases cited
- Kilbourn v. Thompson 103 U. S. 168 p. 2
- Martin v. Mott 12 Wheat. 19 p. 2
- People ex rel. Broderick v. Morton 156 N. Y. 136 p. 2, p. 3
- Springer v. Government of Philippine Islands 277 U. S. 189 at 201 p. 2, p. 7, p. 10
- In re the Investigation of Radio Station WNYC 280 N. Y. 629 p. 2, p. 3, p. 14
- Paulsen v. Portland 149 U. S. 30 p. 2
- People v. Tremaine 252 N. Y. 27 p. 2
- J. W. Hampton, Jr., & Co. v. United States 276 U. S. 394 p. 2
- Herlands v. Surpless 282 N. Y. 647 p. 2, p. 3
- City of Trenton v. New Jersey 262 U. S. 182 p. 3
- Demarest v. Mayor, Aldermen and Commonalty 74 N. Y. 161 p. 3
- Adler v. Deegan 251 N. Y. 467 p. 3
- City of New York v. Village of Lawrence 250 N. Y. 429 at 437 p. 3, p. 6
- Dreyer v. Illinois 187 U. S. 71 at 84 p. 3, p. 5
- McGrain v. Daugherty 273 U. S. 135 at 174 p. 3, p. 8
- Uridias v. Morrill 22 Cal. 473 p. 3
- Stanton v. Board of Supervisors 191 N. Y. 428 p. 3
- Egan v. Board of Water Supply of New York 205 N. Y. 147 p. 3
- Williams v. Eggleston 170 U. S. 304 at 310 p. 5
- People ex rel. McDonald v. Keeler 99 N. Y. 463 at 481, 482, 487 p. 8
- People ex rel. Karlin v. Culkin 248 N. Y. 465 at 478 p. 8
- In re Joint Legislative Committee to Investigate the Educational System 285 N. Y. 1 at 8 p. 8
- In re Richardson 247 N. Y. 401 at 410 p. 13