Deanna BRAYTON, et al., Respondents, v. Tim PAWLENTY, et al., Appellants.
No. A10-64.
Supreme Court of Minnesota.
May 5, 2010.
781 N.W.2d 357
ANDERSON, PAUL H., Justice (concurring).
I join in the concurrence of Justice Gildea.
Lori Swanson, Attorney General, Alan I. Gilbert, Solicitor General, John S. Garry, Jeffrey J. Harrington, Assistant Attorneys General, St. Paul, MN, for appellants.
Patrick D. Robben, General Counsel, Office of the Governor, St. Paul, MN, for appellant Governor Tim Pawlenty.
Galen Robinson, David Gassoway, Mid-Minnesota Legal Assistance, Minneapolis, MN, and; Ralonda J. Mason, St. Cloud, MN, for respondents.
Jonathan F. Cohn, Matthew D. Krueger, Sidley Austin LLP, Washington, D.C.; and David F. Herr, Maslon Edelman Borman & Brand, LLP, Minneapolis, MN, for amici curiae Professor David Stras, et al.
Charles D. Roulet, Roulet Law Firm, P.A., Maple Grove, MN, for amici curiae Representative Tom Emmer, et al.
David L. Lillehaug, Lousene M. Hoppe, Fredrikson & Byron, P.A., Minneapolis, MN, for amicus curiae Minnesota House of Representatives.
Martin A. Carlson, Law Offices of Martin A. Carlson, Ltd., Minneapolis, MN, for amici curiae Common Cause Minnesota and League of Women Voters Minnesota.
Thomas L. Grundhoefer, Susan L. Naughton, League of Minnesota Cities, St. Paul, MN, for amici curiae League of Minnesota Cities, et al.
OPINION
MAGNUSON, C.J.
Six Minnesota residents who qualify for payments under the Minnesota Supplemental Aid-Special Diet (Special Diet) Program brought an action seeking declaratory and injunctive relief. These plaintiffs, respondents on appeal, challenge the validity of reductions made by the executive branch to unexpended allotments of appropriated funds available for payments under the Special Diet Program for the 2010-2011 biennium, which began July 1, 2009, and ends June 30, 2011. The plaintiffs assert that the reductions in allotments to the Special Diet Program violate the terms of the unallotment statute,
As part of the obligation to “manage the state‘s finanсial affairs,”
In January 2009, the Governor submitted a proposed budget to the Legislature with anticipated revenues of $31.07 billion. In March 2009, after the February 2009 forecast, the Governor submitted a revised budget to the Legislature based on anticipated revenues of $29.905 billion. An April 2009 economic update from MMB showed February and March revenues as $46 million less than projected in the February forecast.
On May 9, 2009, the Governor vetoed a revenue bill that increased taxes in order to meet the anticipated revenue shortfall. The Legislature was unsuccessful in its attempt to override the veto. Between May 4 and May 18, the Legislature passed and presented to the Governor appropriation bills for the 2010-2011 biennium. These appropriation bills reduced spending below the levels projected in the February 2009 forecast so that the projected deficit of $4.57 billion was reduced to $2.7 billion. The Governor signed the appropriations bills into law, exercising a limited number of line-item vetoes not at issue here. House File 1362, the Omnibus Health and Human Services Bill, which provided funding for the Special Diet Program that is at issue in this case, bеcame law on May 14. Act of May 14, 2009, ch. 79, 2009 Minn. Laws 690.
On May 18, 2009, the same day it was required to adjourn, the Legislature passed House File 2323, another revenue bill that would raise taxes to address the $2.7 billion projected deficit remaining after enactment of the appropriations bills.
The Minnesota Constitution allows the state to borrow money for only limited purposes. See
(a) If the commissioner determines that probable receipts for the general fund will be less than anticipated, and that the amount available for the remainder of the biennium will be less than needed, the commissioner shall, with the approval of the governor, and after consulting the Legislative Advisory Commission, reduce the amount in the budget reserve account as needed to balance expenditures with revenue.
(b) An additional deficit shall, with the approval of the governor, and aftеr consulting the legislative advisory commission, be made up by reducing unexpended allotments of any prior appropriation or transfer. Notwithstanding any other law to the contrary, the commissioner is empowered to defer or suspend prior statutorily created obligations which would prevent effecting such reductions.
(c) If the commissioner determines that probable receipts for any other fund, appropriation, or item will be less than anticipated, and that the amount available for the remainder of the term of the appropriation or for any allotment period will be less than needed, the commissioner shall notify the agency concerned and then reduce the amount allotted or to be allotted so as to prevent a deficit.
(d) In reducing allotments, the commissioner may consider other sources of revenue available to recipients of state appropriations and may apply allotment reductions based on all sources of revenue available.
(e) In like manner, the commissioner shall reduce allotments to an agency by the amount of any saving that can be made over previous spending plans through a reduction in prices or other cause.
In a June 4, 2009, letter, the Commissioner informed the Governor that the conditions to trigger application of the unallotment statute existed and that it would be necessary to reduce allotments to avoid a deficit. In the letter, the Commissioner stated: “I have determined, as defined in Minnesota Statute 16A.152, that ‘probable receipts for the general fund will be less than anticipated, and that the amount available for the remainder of the [2010-2011] biennium will be less than needed.‘” The Commissioner further explained that the February 2009 forecast projected revenues for the biennium of $30.7 billion—$1.2 billion less than anticipated in the Novem-
On June 16, 2009, in accordance with subdivision 4 of section 16A.152, the Commissioner proposed allotment reductions to the Governor. The Commissioner met twice with the Legislative Advisory Commission to report on the allotment reductions. The Governor approved proposed allotment reductions of approximately $2.5 billion on July 1, the first day of the biennium, and the Commissioner implemented the unallotments beginning that month. The Commissioner notified the legislative budget committees of the unallotments within 15 days, as required by
The unallotment at issue in this appeal affected funding for the Special Diet Program. The Special Diet Program is part of a broader Minnesota Supplemental Aid (MSA) program, which provides monthly cash payments to supplement federal Supplemental Security Income benefits. See
The MSA appropriation was $33.93 million for FY 2010 and $35.19 million for FY 2011.
In an order and memorandum filed on December 30, 2009, the district court granted plaintiffs’ motion for a temporary restraining order. The court enjoined defendants from reducing the allotment to the Special Diet Program, retroactive to November 1, 2009, and until further order of the court.
The district court concluded that it was bound by Rukavina v. Pawlenty, 684 N.W.2d 525 (Minn.App.2004), rev. denied (Minn. Oct. 19, 2004), a court of appeals case holding that subdivision 4 of section 16A.152 is constitutional. Nonetheless, the district court held that “[i]t was the specific manner in which the Governor exercised his unallotment authority that trod upon the constitutional power of the Legislature.” The court did not expressly find that the executive branch had failed to comply with the requirements of the statute. The court concluded, however, that because the projected budget shortfall “was neither unknown nor unanticipated when the appropriation bills became law,” the executive branch‘s use of the unallotment authority was invalid. The court stated:
The authority of the Governor to unallot is an authority intended to save the state in times of a previously unforeseen budget crisis, it is not meant to be used as a weapon by the executive branch to break a stalemate in budget negotiations with the Legislature or to rewrite the appropriations bill.
Shortly after the temporary restraining order ruling, the partiеs stipulated to the denial of defendants’ motion to dismiss regarding the Special Diet Program funding and to entry of final judgment under
I.
Appellants here, defendants below, argue that the district court erred in concluding that the unallotment authority in subdivision 4 of section 16A.152 can be exercised only for budget deficits unforeseen while the Legislature is in session. Appellants contend that the challenged unallotment action was consistent with the plain language of the statute, and that even if the statute is ambiguous, their interpretation that there are no temporal restrictions on the statute‘s triggering conditions is supported by the canons of statutory construction.
Appellants also contend that because respondents did not challenge the constitutionality of the unallotment statute in the district court, that issue is not properly before us. Appellants argue that if we reach the constitutional question, the statute does not violate separation of powers principles. Appellants assert that the statute does not confer “pure legislative power,” because the validity of appropriations is not affected by unallotment. Rather, unallotment is within the authority of the executive branch to administer the laws and the budget. Finally, appellants argue that the statute fully complies with case law requirements for delegation of legislative authority to administrative agencies.
Respondents argue that under the plain language of the statute, the conditions re-
II.
We first address the statutory issue raised by the parties. Because we conclude the unallotment at issue here exceeded the scope of the statutory authority, and thus affirm the district court, we do not address the arguments raised concerning the constitutionality of the unallotment action or the statute. See In re Senty-Haugen, 583 N.W.2d 266, 269 n. 3 (Minn.1998) (we avoid a constitutional ruling if there is another basis on which we may decide a case).
Our goal when interpreting statutory provisions is to “ascertain and effеctuate the intention of the legislature.”
The parties offer competing interpretations of the language of the unallotment statute, as outlined above. Both sides argue that the plain language of the unallotment statute supports their interpretation. Plain language controls only if the text of the statute is unambiguous, that is, if the language is susceptible to only one reasonable meaning. Kratzer v. Welsh Cos., LLC, 771 N.W.2d 14, 21 (Minn.2009). The first question we address, then, is whether only one of the proffered interpretations of the statute is reasonable.
Respondents’ interpretation, accepted by the district court, is a reasonable reading of the statute, particularly when the two clauses of section 16A.152, subdivision 4(a). (“probable receipts for the general fund will be less than anticipated, and that the amount available for the remainder of the biennium will be less than needed“) are read as a whole and the words are interpreted in accordance with their common meanings. See
Appellants present a more strained interpretation of
Although the competing interpretations advanced by the parties are each reasonable, that fact simply brings into focus the failure of thе statutory language to clearly answer two questions: (1) probable receipts anticipated when? and (2) amount available for what purpose? Because we determine the language of the unallotment statute is ambiguous, we must employ the canons of construction to determine what the Legislature intended by the language it used.
Minnesota Statutes § 645.16 provides that when the words of a law are not explicit, we may ascertain the intention of the Legislature by considering, among other matters:
(1) the occasion and necessity for the law;
(2) the circumstances under which it was enacted;
(3) the mischief to be remedied;
(4) the object to be attained;
(5) the former law, if any, including other laws upon the same or similar subjects;
(6) the consequences of a particular interpretation;
(7) the contemporaneous legislative history; and
(8) legislative and administrative interpretations of the statute.
In addition, the Legislature has provided that courts may be guided by certain presumptions in ascertaining legislative intent, including that “the legislature intends the entire statute to be effective and certain,”
The challenge to the unallotment authority is directly related to the functions of both the legislative and executive branches in establishing the state budget. Accordingly, we must interpret the statute in that context. We therefore briefly review the budget-creation process as it is constitutionally defined, and the roles of the legislative and executive branches.
As the names of the two branches suggest, the legislative branch has the responsibility and authority to legislate, that is, to make the laws,
The three departments of state government, the legislative, executive, and judicial, are independent of each other. Neither department can control, coerce, or restrain the action or nonaction of either of the others in the exercise of any official power or duty conferred by the Constitution, or by valid law, involving the exercise of discretion. The Legislature cannot change our constitutional form of government by enacting laws which would destroy the independence of either department or permit one of the departments to coerce or control another department in the exercise of its constitutional powers.
179 Minn. 337, 339-40, 229 N.W. 313, 314 (1930).
The Legislature has the primary responsibility to establish the spending priorities for the state through the enactment of appropriation laws.
Once a bill has been passed by the Legislature and approved by the Governor (or a veto is overridden), the bill becomes law, and the constitutional responsibility of the Governor is to “take care that the laws be faithfully executed.”
After appropriations are enacted, the executive branch undertakes a process of allotment. The Commissioner approves spending plans and establishes spending allotments for segments of the biennium, thereby managing the pace at which executive branch agencies spend their appropriations. See
Appellants and respondents both argue that the purpose of the unallotment statute supports their favored interpretation. See
The distinct roles and powers allocated by the constitution to the two branches in the budget-creation process inform us concerning the purpose and intent of the Legislature in enacting the unallotment statute. The general veto and the line-item veto are the specific tools provided by the constitution to the executive branch for achieving a balanced budget. See Johnson v. Carlson, 507 N.W.2d 232, 235 (Minn.1993) (“The state constitution, recognizing the governor‘s oversight responsibilities for the state‘s budget, provides a gubernatorial line item veto to enable the state‘s chief executive officer to engage in cost-containment, subject, of course, to the possibility of the veto being overturned.“). But we have recognized that the special line-item veto power the constitution confers on the Governor for appropriation bills must be construed narrowly to prevent usurpation of the Legislature‘s proper authority. Inter Faculty Org. v. Carlson, 478 N.W.2d 192, 194 (Minn.1991).
In the context of this this limited constitutional grant of gubernatorial authority with regard to appropriations, we cannot conclude that the Legislature intended to authorize the executive brаnch to use the unallotment process to balance the budget for an entire biennium when balanced spending and revenue legislation has not been initially agreed upon by the Legislature and the Governor. Instead, we conclude that the Legislature intended the unallotment authority to serve the more narrow purpose of providing a mechanism by which the executive branch could address unanticipated deficits that occur after a balanced budget has previously been enacted.5
On the contrary, it appears clear to us that the object to be attained, see
The requirement of a balanced budget as a necessary precursor to the use of the unallotment authority in section 16A.152, subdivision 4, provides necessary meaning to the triggering condition of “receipts less than anticipated.” The parties agree that for a current amount of receipts to be “less than anticipated,” there must be some past baseline amount to which the current amount is compared. But appellants’ argument that there are no temporal limitations on this requirement leaves it entirely untethered—and virtually meaningless—because the executive branch could assign any previous projection of greater revenues as the baseline. This result is contrary to the statutory presumption that “the legislature intends the entire statute to be effective and certain.”
This conclusion is bolstered by consideration of the second triggering condition. The only purpose for which revenues would be logically “needed” in the context of the unallotment statute is to fully fund all appropriations. Thus, in order for “probable receipts ... [to] be less than anticipated, and ... the amount available for the remainder of the biennium [to] be less than needed,” there must have been a point in time when anticipated revenues appeared to be adequate to fund appropriations—i.e., when a balanced budget was enacted.
The temporal limitations implicit in the common meaning of the words “less than anticipated” and “remainder of the biennium” constrain the statute‘s use to circumstances consistent with the distinct powers and roles conferred on the legislative and executive branches in the constitution. Those circumstances do not include use of unallotment authority to address a deficit known to exist but not resolved by the legislative and executive branches using their constitutionally specified powers to enact spending and revenue legislation. The unallotment statute provides the executive branch with authority to address an unanticipated deficit that arises after the legislative and executive branches have enacted a balanced budget. The statute does not shift to the executive branch a broad budget-making authority allowing the executive branch to address a deficit that remains after a legislative session because the legislative and executive branches have not resolved their differences.
Because the legislative and exeсutive branches never enacted a balanced budget for the 2010-2011 biennium, use of the unallotment power to address the unresolved deficit exceeded the authority granted to the executive branch by the statute. We therefore affirm the district court‘s conclusion that the unallotment of the Special Diet Program funds was unlawful and void.
Affirmed.
Concurring, PAGE, J.
Concurring, ANDERSON, PAUL H., J.
Dissenting, GILDEA, ANDERSON, G. BARRY, and DIETZEN, JJ.
PAGE, Justice (concurring).
I concur in the opinion of the court that the exercise of unallotment authority at issue in this case was not authorized by
Separation of powers is a core feature of our governmental structure, included in our state constitution based on the model of the United States Constitution.1 The principle originates from the concern “that if all power were concentrated in one branch of government, tyranny would be the natural and probable result.” Wulff v. Tax Court of Appeals, 288 N.W.2d 221, 222-23 (Minn.1979). Despite the fundamental nature of the separation of powers principle, we have recognized that “there has never been an absolute division of governmental functions in this country, nor was such even intended.” Id. at 223 (footnote omitted).
Although separation of powers does not require absolute separation of legislative and executive functions, we have long held that the separation of powers principle prohibits legislative dеlegation of pure legislative power, that is, the power to make the law. For example, in State v. Great Northern Railway Co., 100 Minn. 445, 111 N.W. 289 (1907), we struck down, on separation of powers grounds, a statute that authorized the Railroad and Warehouse Commission to approve capital stock increases for railroad corporations. Id. at 470–71, 111 N.W. at 290. We examined at length the necessary separation of powers distinction between permissible delegation of the power to administer a law and impermissible delegation of the power to make the law. Id. at 475-81, 111 N.W. at 292-94. We stated that “[t]he true distinction is between the delegation of power to make the law, which necessarily involves a discretion as to what it shall be, and the conferring of authority or discretion to be exercised under and in pursuance of the law.” Id. at 477, 111 N.W. at 293 (quoting State v. Chicago, Milwaukee & St. Paul Ry. Co., 38 Minn. 281, 300, 37 N.W. 782, 787-88 (1888), rev‘d on other grounds, 134 U.S. 418, 10 S.Ct. 462, 33 L.Ed. 970 (1890)). We found the statute at issue constitutionally deficient because it committed “the whole subject of the increase of capital stock by railway corporations to the judgment and discretion of the commission.” Id. at 479, 111 N.W. at 294.
We reiterated this separation of powers principle in Lee v. Delmont, 228 Minn. 101, 36 N.W.2d 530 (1949). We explained that the separation of powers doctrine precludes the Legislature from delegating purely legislative power. Id. at 112, 36 N.W.2d at 538. We described “pure legislative power” as “the authority to make a complete law—complete as to the time it shall take effect and as to whom it shall apply—and to determine the expediency of its enactment.” Id. at 113, 36 N.W.2d at 538.
Under our definition of pure legislative power, the sweeping discretion granted by section 16A.152, subdivision 4, to modify and negate legislative spending decisions raises serious separation of powers concerns. The lack of direction in the Minne-
ANDERSON, PAUL H., Justice (concurring).
I join in the concurrence of Justice Page.
ANDERSON, PAUL H., Justice (concurring).
A legislative, an executive, and a judicial power comprehend the whole of what is meant and understood by government. It is by balancing each of these powers against the other two, that the efforts in human nature towards tyranny can alone be checked and restrained, and any degree of freedom preserved in the constitution.
John Adams, Letter to Richard Henry Lee (Nov. 15, 1775), in 4 The Works of John Adams 186 (Charles Francis Adams ed., 1851), quoted in The Oxford Dictionary of American Legal Quotations 377 (Fred R. Shapiro ed., 1993).
I join in the concurrence of Justice Page because I share his concerns regarding the balance of power between all three branches of government. That said, nothing about my joining in Justice Page‘s concurrence should be construed to diminish my support for the opinion of the majority, which I support without reservation.
GILDEA, Justice (dissenting).
In our constitution, the people of Minnesota restricted the ability of thе state government to deficit spend. The political branches have agreed on a process in the unallotment statute for ensuring that the government meets this obligation. Whether that process is the wisest or most prudent way to avoid deficit spending is not an issue for judicial review. That question should be left to the people themselves to debate and resolve through the political process. The judiciary‘s “duty” is simply “to apply the law as written by the legislature.” Int‘l Bhd. of Elec. Workers, Local No. 292 v. City of St. Cloud, 765 N.W.2d 64, 68 (Minn.2009) (Magnuson, C.J., for a unanimous court). The majority is unable to do so because the language the Legislature used in the unallotment statute leaves the majority with uncertainty and ambiguity. The majority therefore rewrites the statute to insert additional conditions, and then finds that the Commissioner of Minnesota Management and Budget (Commissioner) violated the statute because he did not comply with the conditions the majority has added.
Unlike the majority, I do not find the language the Legislature used uncertain or ambiguous as applied to the unallotment at issue in this case. I would not rewrite the statute; I would apply the language as written. Because I would hold that the executive branch complied with the plain language of the statute, and that respondents have not met their burden to prove that the statute is unconstitutional, I respectfully dissent.
Respondents challenge the decision of the Commissioner to unallot funds for the Minnesota Supplemental Aid-Special Diet Program (Special Diet Program). The un-
I.
I turn first to the question of whether the Commissioner complied with the statute. The Minnesota Legislature has charged the Commissioner with “manag[ing] the state‘s financial affairs.”
This statute provides:
(a) If the commissioner determines that probable receipts for the general fund will be less than anticipated, and that the amount available for the remainder of the biennium will be less than needed, the commissioner shall, with the approval of the governor, and after consulting the Legislative Advisory Commission, reduce the amount in the budget reserve account as needed to balance expenditures with revenue.
(b) An additional deficit shall, with the approval of the governor, and after consulting the legislative advisory commission, be made up by reducing unexpended allotments of any prior appropriation or transfer. Notwithstanding any other law to the contrary, the commissioner is empowered to defer or suspend prior statutorily created obligations which would prevent effecting such reductions.
There is no dispute in this case that the Commissioner sought and received the approval of the Governor, as subdivision 4(b) of the statute required, before the unallotments were made. The parties also agree that the Commissioner consulted with the Legislative Advisory Commission before making any unallotments, as the statute also mandates. But the parties dispute whether the Commissioner complied with the statute in two respects. First, respon-
The parties each contend that the plain language of the statute supports their position, and, they argue in the alternative, that if we were to determine that the statute is ambiguous, principles of statutory construction counsel that we construe the statute in their favor. The majority concludes that the parties’ different readings of the statute are reasonable and that therefore the statute is ambiguous. The majority uses its determination of ambiguity as an invitation to rewrite the statute to include the condition precedent of a balanced budget. Specifically, the majority divines that what the Legislature meant to say was that once a balanced budget has been enacted into law and a deficit thereafter occurs, the Commissioner may unallot to make up that deficit. The obvious problem with this rewrite is that it is a rewrite. The Legislature chose not to include the condition precedent the majority finds necessary, and we cannot, under the guise of statutory construction, add it. See
A. Were Probable Receipts Less than Anticipated?
Respondents argue, and the district court held, that the Commissioner‘s unallotments violated the statute because the budget deficit was not “previously unforeseen.” Respondents’ argument is based on the fact that the budget deficit was known in February when the Commissioner prepared the forecast. Moreover, respondents contend that when the Governor signed appropriation legislation and vetoed revenue legislation, the Governor (and therefore the Commissioner) knew that the state would not have funds sufficient to satisfy the financial obligations in the appropriation legislation. Therefore, respondents argue, the budget deficit was not unanticipated.
Even assuming the factual predicates for respondents’ arguments, I would hold that the Commissioner complied with the plain language of the unallotment statute. When we construe statutes, our obligation is to determine whether the statute is plain on its face. State v. Peck, 773 N.W.2d 768, 772 (Minn.2009). If so, the role of the judiciary is to apply the language as it is written. See id. at 773 (“We have no opportunity to ignore part of the legislature‘s definition.“); State v. Jesmer, 293 Minn. 442, 442, 196 N.W.2d 924, 924 (1972)
The statute requires that the Commissioner determine that “probable receipts ... will be less than anticipated.”
There likewise is no requirement in the statute that the Commissioner determine the cause of the budget deficit before he may unallot. Which of the two coordinate branches of government is responsible for the budget shortfall now facing Minnesota is the subject of many pages of debate in this litigation. The judiciary is not the vеnue to resolve this dispute. See In re McConaughy, 106 Minn. 392, 415, 119 N.W. 408, 417 (1909) (“Many questions arise which are clearly political, and not of judicial cognizance.“). Moreover, even if the judicial branch were inclined to wade into this dispute, it would be irrelevant in this case because there is nothing in section 16A.152 that limits the Commissioner‘s authority to unallot depending upon what or who is most responsible for the budget shortfall. The judiciary cannot rewrite the statute to add such restrictions.
B. Was the Amount Available for the Remainder of the Biennium Less than Needed?
Respondents argue that the Commissioner‘s unallotments violated the statute because the unallotments covered the entire biennium. Respondents contend that whether funds are available for the remainder of the biennium cannot be determined until some point after the biennium has begun. Accordingly, respondents argue, unallotments that cover the entire biennium and determinations that are made prior to the start of the biennium violate the plain language of the statute. The Commissioner contends that the “remainder of the biennium,” referred to in
The parties’ disagreement as to the meaning of “remainder” in the statute appears to be the basis upon which the majority concludes that the statute is ambiguous. In my view, we need not reach the question of whether the word “remainder” can refer to the whole biennium or refers to a period that is less than the whole.
The only question presented in this case is whether the decision to unallot funds from the Special Diet Program complies with the statute. As to the Special Diet Program, the Commissioner determined that “the amount available for the remainder of the biennium will be less than needed“; that is, the amount available, starting November 1, would be less than needed to fund the Special Diet Program for the remainder of the biennium. Further, there is no dispute that the Special Diet Program funds were not unallotted until November 1. The Commissioner‘s determination that there would be insufficient funds for this program was, indisputably, only with respect to a portion of the biennium and not the entire biennium. We therefore have no occasion in this case to determine whether decisions to unallot that were effective on the first day of the biennium violate the statute. Because the unallotment decision at issue in this case concerned only part of the biennium and the unallotment was not effective until several months into the biennium, the Commissioner‘s actions complied with the statute no matter how “remainder” is defined.
II.
Respondents argue that if the Commissioner‘s unallotment from the Special Diet Program did not violate the unallotment statute, then the statute is unconstitutional as a violation of the separation of powers doctrine. Because I would conclude that the Commissioner complied with the statute, it is necessary for me to reach the constitutiоnal issue respondents raise.
We are extremely reluctant to declare a statute unconstitutional and will do so “only when absolutely necessary.” In re Haggerty, 448 N.W.2d 363, 364 (Minn.1989). Our precedent requires “every presumption” to be “invoked in favor of upholding [a] statute” that is challenged on constitutional grounds. State v. Schwartz, 628 N.W.2d 134, 138 (Minn.2001). Because “Minnesota statutes are presumed constitutional,” those who challenge the constitutionality of a statute bear a heavy burden in making this challenge. In re Haggerty, 448 N.W.2d at 364. In order to succeed, respondents must demonstrate “beyond a reasonable doubt that the statute is unconstitutional.” State v. Merrill, 450 N.W.2d 318, 321 (Minn.1990). I would hold that respondents have not met their heavy burden to show, beyond a reasonable doubt, that the statute is unconstitutional.
Our constitution divides the “powers of government ... into three distinct departments: legislative, executive and judicial.”
Where one branch purports to perform completely a function assigned to one of the other branches, such encroachment violates the separation of powers principle. See Lee v. Delmont, 228 Minn. 101, 112-13, 36 N.W.2d 530, 538 (1949) (noting that “purely legislative power cannot be delegated” and that “[p]ure legislative power ... is the authority to make a complete law“). We have recognized that such encroachment into the judiciary‘s sphere of constitutional responsibility is unconstitutional. For example, where the Legislature purports to remove from the judiciary a class of cases that the constitution vests in the judiciary, the Legislature has violated the separation of powers doctrine. Holmberg v. Holmberg, 588 N.W.2d 720, 726 (Minn.1999) (holding that “[t]he administrative [child support] process violates separation of powers and is unconstitutional“); see also Quam v. State, 391 N.W.2d 803, 809 (Minn.1986) (holding that the Workers’ Compensation Court of Appeals “went beyond the quasi-judicial authority delegated to it to determine facts and answer questions of law as they arise under the Workers’ Compensation Act and sought to assume the power to determine the validity of a duly promulgated rule of another agency” and the court “thereby
Our separation of powers analysis therefore requires that we examine the function at issue and determine, as a threshold matter, whether the constitution assigns that function exclusively to one branch in our constitution. See Irwin v. Surdyk‘s Liquor, 599 N.W.2d 132, 141-42 (Minn.1999) (“Legislation that prohibits this court from deviating from the precise statutory amount of awardable attorney fees impinges on the judiciary‘s inherent power to oversee attorneys and attorney fees by depriving this court of a final, independent review of attorney fees. This legislative delegation of attorney regulation exclusively to the executive branch of government violates the doctrine of separation of powers.“). In the case before us, the function at issue is the spending of state revenue. More specifically, the function is ensuring that the state does not deficit spend because our constitution restricts deficit spending. See
The constitution assigns the responsibility to ensure that the state does not deficit spend to both the legislative and executive branches. See New England Div. of the Am. Cancer Soc‘y v. Comm‘r of Admin., 437 Mass. 172, 769 N.E.2d 1248, 1256 (2002) (recognizing that passing laws authorizing spending is a legislative function and that spending state revenue is an executive function). The constitution assigns this function in part to the Legislature because “[n]o money shall be paid out of the treasury of this state except in pursuance of an appropriation by law.”
Precedent from the U.S. Supreme Court and from our court recognizes that within areas of joint responsibility—like that at issue here—the branches may seek assistance from one another without running afoul of the separation of powers. The unallotment statute recognizes that the Legislature needs assistance from the executive branch in determining how best to execute spending priorities when, because of the constitutional restriction on deficit spending, an appropriation law cannot be fully executed. The statute does not give the executive branch the authority to make or unmake the law. Instead, the statute embodies an acknowledgement of the responsibility that the legislative and executive branches share for managing our state‘s budget, and it provides an opportunity for the political branches to work cooperatively within the confines of our constitution.4
As former Chief Justice Taft explained, “[i]n determining what it may do in seeking assistance from another branch, the extent and character of that assistance must be fixed according to common sense and the inherent necessities of the governmental coordination.” J.W. Hampton, Jr., & Co. v. United States, 276 U.S. 394, 406, 48 S.Ct. 348, 72 L.Ed. 624 (1928) (conclud-
We have likewise recognized that “some interference between the branches does not undermine the separation of powers; rather, it gives vitality to the concept of checks and balances critical to our notion of democracy.” Wulff v. Tax Court of Appeals, 288 N.W.2d 221, 223 (Minn.1979) (noting that a “strict interpretation of the separation of powers doctrine would make the existence and functioning of ... agencies nearly impossible“). And we have embraced the “intelligible principle” standard from Hampton in our own separation of powers jurisprudence. See Lee v. Delmont, 228 Minn. 101, 113 n. 10, 36 N.W.2d 530, 539 n. 10 (1949) (citing Hampton, 276 U.S. at 409, 48 S.Ct. 348).
Specifically, we have held that “the legislature may authorize others to do things (insofar as the doing involves powers which are not exclusively legislative) which it might properly, but cannot conveniently or advantageously, do itself.” Id. at 112-13, 36 N.W.2d at 538. Such legislative authorization does not offend the separation of powers as long as the Legislature provides a sufficient check in the form of a “reasonably clear policy or standard of action which controls and guides the administrative officers in ascertaining the operative facts to which the law applies.” Id. at 113, 36 N.W.2d at 538. The law must “take[] effect upon these facts by virtue of its own terms, and not according to the whim or caprice of the administrative officers.” Id. If this check exists on the executive branch‘s exercise of authority, the “discretionary power delegated to the [executive branch] is not legislative,” and there is no separation of powers violation. Id. at 113, 36 N.W.2d at 538-39. We have also recognized “that what is a sufficiently definite declaration of policy and standard varies in degree according to the complexity of the subject to which the law is аpplicable.” Anderson v. Comm‘r of Highways, 267 Minn. 308, 315, 126 N.W.2d 778, 782-83 (1964) (holding that a statute that delegated authority to commissioner of highways to suspend driver‘s license where driver “is an habitual violator” was not an unconstitutional delegation of legislative authority). The unallotment statute satisfies the rule we applied in Lee and Anderson.
The statute sets forth the “controls” that guide the Commissioner. Lee, 228 Minn. at 113, 36 N.W.2d at 538. The Commissioner cannot unallot unless “probable receipts for the general fund will be less than anticipated” and “the amount available for the remainder of the biennium will be less than needed.”
But these triggers are not the only controls on the Commissioner‘s discretion. To the contrary, the Legislature has restricted the scope of the Commissioner‘s unallotment authority in several additional and clear ways. First, the Commissioner may only unallot to the extent necessary to prevent deficit spending. See
Second, before the Commissioner may unallot, the Commissioner must “consult[ ] the legislative advisory commission.”
Third, the Legislature has prioritized the areas from which the Commissioner may unallot by specifically exempting several funds from the unallotment authority. See, e.g.,
Fourth, of those funds that the Legislature has directed are available for unallotment (in other words, those programs
Finally, the Legislature, of course, remains free in the next legislative session to undo the unallotments as it has done in the past. See, e.g.,
In sum, the unallotment statute provides objectively verifiable triggers for the Commissioner‘s unallotment authority. It defines the scope of what the Commissioner may unallot—only funds sufficient to resolve the deficit. It prioritizes the funds from which the Commissioner may not unallot, and for those funds available, it provides further guidance as to how the Commissioner is to unallot from those funds. It requires that the Commissioner work with the Legislative Advisory Commission in exercising the unallotment function. Finally, the Legislature retains an important check through its ability to undo the unallotments. Our precedent compels the conclusion that there are sufficient standards in this statute. This is especially true if we recall that every presumption is to be invoked in favor of upholding the constitutionality of a statute. Schwartz, 628 N.W.2d at 138.7
The issues presented here are only whether the Commissioner complied with the statute, and whether the unallotment statute is constitutional. Because I would
ANDERSON, G. BARRY, Justice (dissenting).
I join in the dissent of Justice Gildea.
DIETZEN, Justice (dissenting).
I join in the dissent of Justice Gildea.
