Silver v. Pataki

755 N.E.2d 842, 96 N.Y.2d 532, 730 N.Y.S.2d 482, 2001 N.Y. LEXIS 1989
CourtNew York Court of Appeals
DecidedJuly 10, 2001
StatusPublished
Cited by105 cases

This text of 755 N.E.2d 842 (Silver v. Pataki) is published on Counsel Stack Legal Research, covering New York Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Silver v. Pataki, 755 N.E.2d 842, 96 N.Y.2d 532, 730 N.Y.S.2d 482, 2001 N.Y. LEXIS 1989 (N.Y. 2001).

Opinions

OPINION OF THE COURT

Per Curiam.

In January 1998, defendant Governor George E. Pataki submitted his Executive budget to the houses of the New York State Legislature, along with several budget bills. Some of the bills submitted appropriated monies while others detailed the utilization of appropriated funds or proposed changes in the operation of certain programs. After public hearings and internal negotiations between houses, the Legislature passed and transmitted to the Governor six appropriation bills and three “non-appropriation” bills,1 which struck out or reduced certain appropriations proposed by the Governor, while adding new appropriations and directives. In addition to vetoing several provisions in the appropriation bills, the Governor exercised his line-item veto power 55 times to remove provisions from the “non-appropriation” bills.

Plaintiff — as “Member and Speaker, New York State Assembly”2 — commenced this action, asserting that while the Governor has the constitutional right to veto line items in an appropriation bill, he has no similar right to veto items in “non-appropriation” bills, which must be approved or rejected in their entirety. The Speaker seeks a declaration that the 55 vetoes violated article IV, § 7 of the New York Constitution, and that legislation relating to the budget that does not appropriate money is not subject to the line-item veto power. The Governor contends that the bills in question were part of the budget process and contained items of appropriation subject to his line-item veto.

Supreme Court denied the Governor’s motion to dismiss, rejecting his claim that plaintiff lacks standing and legal capacity to bring the action. A majority at the Appellate Division re[536]*536versed, concluding that plaintiff lacks capacity to sue because he has no express or inherent authority to bring the action and that he has no standing because he failed to allege personal harm beyond mere institutional injury.3 The dissenting Justices’ contrary view focused on the necessary implication that a legislator — who has the power and responsibility to consider and vote on legislation — has the capacity to bring an action to vindicate the effectiveness of his or her vote. Under the circumstances presented here, we agree, in part, with the dissenters: plaintiff — as a Member of the Assembly — can maintain an action “to vindicate the effectiveness of his vote where he is alleging that the Governor has acted improperly so as to usurp or nullify that vote” (274 AD2d 57, 67).

Our current Executive budget system is embodied in article VII of the New York Constitution. Each Executive department must initially furnish the Governor with financial estimates, that are also supplied to relevant legislative committees, and upon which budget hearings are then held (see, NY Const, art VII, § 1). Itemized estimates of the financial needs of the Legislature and Judiciary are also transmitted to the Governor. Thereafter, the Governor must submit, along with the budget, a bill or bills containing all of the proposed appropriations and related legislation (see, id,., §§ 2, 3). The action that the Legislature can take on the Governor’s budget bills is limited to striking out or reducing “items therein, but it may add thereto items of appropriation provided that such additions are stated separately and distinctly from the original items of the bill and refer each to a single object or purpose” (id., §4). However, any separate items of appropriation added to the Governor’s bills by the Legislature are subject to the line-item veto power of article IV, § 7 (see, id.).

The budget process has been the subject of prior legal skirmishes between the Governor and the Legislature (see, e.g., New York State Bankers Assn. v Wetzler, 81 NY2d 98; People v Tremaine, 281 NY 1 [Tremaine II]; People v Tremaine, 252 NY 27 [Tremaine I]). The present appeal calls upon us to determine only a limited threshold issue: does Mr. Silver, as a Member or Speaker of the Assembly, have capacity and standing to bring this action?

[537]*537Capacity to sue is a threshold matter allied with, but conceptually distinct from, the question of standing. As a general matter, capacity “concerns a litigant’s power to appear and bring its grievance before the court” (Community Bd. 7 v Schaffer, 84 NY2d 148, 155). Capacity may depend on a litigant’s status or, as here, on authority to sue or be sued. In Community Bd. 7, we noted that capacity may be expressly conferred or “inferred as a ‘necessary implication from [the agency’s] power[s] and responsibilities],’ provided, of course, that ‘there is no clear legislative intent negating review’ ” (id. at 156 [quoting Matter of City of New York v City Civ. Serv. Commn., 60 NY2d 436, 443-444, rearg denied 61 NY2d 759]). The “power to bring a particular claim may be inferred when the agency in question has ‘functional responsibility within the zone of interest to be protected’ ” (id. [quoting Matter of City of New York, supra, at 445]). This test is related, but not identical to, the traditional “zone of interest” analysis employed in determining standing.

As a Member of the Assembly, plaintiff is entrusted by the Constitution to exercise legislative power (see, NY Const, art III, §§ 1, 2). “[Ejxcept as restrained by the constitution, the legislative power is untrammeled and supreme * * *. Nothing is subtracted from the sum of legislative power, except that which is expressly or by necessary implication withdrawn” (Matter of Thirty-Fourth St. Ry. Co., 102 NY 343, 350-351). Plaintiff has the broad power and functional responsibility to consider and vote on legislation. That responsibility necessarily includes continuing concern for protecting the integrity of one’s votes and implies the power to challenge in court the effectiveness of a vote that has allegedly been unconstitutionally nullified.

Individual legislators have several times in the past challenged the frustration of their authority (see, e.g., Anderson v Regan, 53 NY2d 356 [two Senators brought action against State Comptroller over dispute whether Federal funds must be appropriated by the Legislature prior to disbursement by the Executive department]; Winner v Cuomo, 176 AD2d 60 [three Assembly Members challenged Governor’s untimely submission of budget bills to Legislature]; Matter of Sullivan v Seibert, 70 AD2d 975 [Assembly Member commenced action to compel heads of Executive departments to make timely annual reports to the Legislature as required by statute]). Indeed, legislators and the districts they represent could be disenfranchised from the constitutionally mandated budget process if [538]*538stripped of the capacity to sue when confronted with allegedly unlawful or unconstitutional conduct of others that directly affects their official responsibilities.4

We reject the notion that plaintiffs functional responsibilities as a legislator are at an end once a bill is voted upon and leaves the Assembly. Such a narrow view could render a1 legislator’s vote meaningless and unnecessarily dilute one’s legislative responsibilities. A legislator surely would have the capacity to sue if prevented from casting a meaningful vote on legislation at the outset (see, e.g., Winner v Cuomo, supra).

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Bluebook (online)
755 N.E.2d 842, 96 N.Y.2d 532, 730 N.Y.S.2d 482, 2001 N.Y. LEXIS 1989, Counsel Stack Legal Research, https://law.counselstack.com/opinion/silver-v-pataki-ny-2001.