Opinion
In this case we consider whether Government Code section 17581 and certain budget measures that suspend the operation of administrative regulations adopted by the Department of Industrial Relations violate the separation of powers clause of the California Constitution by encroaching on the power of the executive branch of government. (Cal. Const., art. Ill, § 3.) We conclude that no separation of powers violation has been demonstrated.
I
Executive orders promulgated in 1978 by the Department of Industrial Relations require employers to provide certain items of protective clothing and equipment to employees assigned to firefighting duties. (Cal. Code Regs., tit. 8, §§ 3401-3409, formerly 8 Cal. Admin. Code, §§ 3401-3409.)
Carmel Valley Fire Protection District and other local fire protection agencies incurred expenses complying with this order and, in earlier proceedings, submitted a claim for reimbursement of state-mandated expenditures pursuant to California Constitution, article XIII B, section 6. In 1987, the districts prevailed in securing reimbursement for these state-mandated expenditures. (Carmel Valley Fire Protection Dist. v. State of California (1987)
In ensuing years, the state experienced severe fiscal difficulties and undertook various measures to reduce its expenditures. (See Governor’s Budget Summary 1992-1993 (Jan. 9, 1992), State and Local Fiscal Relationship, p. 132.) In 1990, the Legislature enacted Government Code section 17581. That provision permits the Legislature to suspend the operation of statutes and executive orders that constitute state-mandated local programs from year to year and to withdraw funding therefor. The Legislature provided in the Budget Act of 1992 that 45 mandates, including the above regulatory requirements regarding protective gear for firefighters, would be suspended pursuant to section 17581 and that no funds would be forthcoming for reimbursement. Of these suspensions, the great majority were of statutory mandates, and only three (including the one presently before us) were regulatory suspensions. (Stats. 1992, ch. 587, item 8885-101-001, provision 4, including items (Z), (m), (vv), pp. 2604-2609.) Ensuing budget acts contained the same suspension of the regulatory mandate at issue in the present case, as well as suspension of numerous predominantly statutory mandates. (See Stats. 1993, ch. 55, item 8885-101-001, provision 4, item (uu), pp. 763-768 [43 mandates suspended]; Stats. 1994, ch. 139, item 885-101-001, provision 4, item (w), pp. 1213-1217 [26 mandates suspended].)
On September 5, 1995, the Carmel Valley Fire Protection District, joined by the Alpine Fire Protection District, the Bonita-Sunnyside Fire Protection District, the City of Glendale, the City of Anaheim, the Ventura County Fire Protection District, the San Ramon Valley Fire Protection District, the American Canyon Fire Protection District (a subsidiary district of the City of American Canyon), the Salida Fire Protection District, the West Stanislaus Fire Protection District, the Sacramento County Fire Protection District, the Humboldt No. 1 Fire Protection District, the Samoa-Peninsula Fire Protection District, and the Mammoth Lakes Fire Protection District (collectively referred to as the districts) filed with the Commission on State Mandates (the Commission) a consolidated claim for reimbursement of the expenses they had incurred in supplying their employees with the protective gear noted in the regulations. On June 27, 1996, the Commission rejected the consolidated claim, relying upon Government Code section 17581 and the budget language that deleted funding for this expense.
On October 8, 1996, the districts filed a petition for writ of mandate and complaint for declaratory relief against the State of California, the Commission, the State Department of Finance, the State Department of Industrial Relations, the State Controller, and the State Treasurer, seeking an order that their claims for expenditures from 1992, 1993, and 1994 be paid from specified existing appropriations. Among other contentions, the districts claimed that Government Code section 17581 and the budget language suspending the mandate for firefighters’ equipment violated the separation of powers clause of the California Constitution (Cal. Const., art. Ill, § 3) by purporting to permit the Legislature to veto executive action.
On April 30, 1997, the trial court denied the petition for writ of mandate and dismissed the declaratory relief action. It declared: “Government Code section 17581 having been satisfied, the mandate of California Code of Regulations Title 8, sections 3401-3409, requiring that petitioners provide their employees with specified equipment and clothing, was suspended by operation of the Budget Acts of 1992, 1993 and 1994, thereby making the provision of such equipment and clothing optional on the part of petitioners.”
The districts appealed. As in the trial court, they challenged the suspension of the administrative mandate on several grounds, including the claim that the suspension violated the separation of powers clause of the California Constitution. The Court of Appeal reversed the judgment of the trial court, determining that Government Code section 17581, as applied to the districts, constituted a violation of the constitutional separation of powers provision. Because the appellate court reached this conclusion, it did not address the districts’ other claims, including a claimed violation of the single-subject rule of the California Constitution. (Cal. Const, art. IV, § 9.)
We granted respondents’ petition for review challenging the conclusion of the Court of Appeal with respect to the claimed violation of the separation of powers clause of the state Constitution.
II
A
To begin our analysis, we describe the statutory background of the administrative orders at issue in the present case, and note the conflict that has occurred over the provision of funding to carry out these orders.
In 1973, the Legislature enacted the California Occupational Safety and Health Act (Cal/OSHA). (Lab. Code, § 6300 et seq.) The purpose of the act is to ensure “safe and healthful working conditions for all California working men and women by authorizing the enforcement of effective standards, [and] assisting and encouraging employers to maintain safe and healthful working conditions . . . .” (Lab. Code, § 6300.) The Occupational Safety and Health Standards Board within the Department of Industrial Relations is responsible for adopting occupational safety and health standards and orders. (Lab. Code, §§ 140, 142.3, 6305.) It is pursuant to this authority that the executive orders here at issue, relating to protective equipment, were adopted in 1978.
Article XIII B, section 6 of the California Constitution provides, with exceptions not applicable here, that “[w]henever the Legislature or any state agency mandates a new program or higher level of service on any local government, the State shall provide a subvention of funds to reimburse such local government for the costs of such program or increased level of service
”
Despite existing statutory provisions requiring reimbursement of expenditures for state-mandated local programs, however, the Legislature when it adopted Cal/OSHA also enacted uncodified measures stating that the costs of compliance with regulations imposed pursuant to Cal/OSHA were not subject to reimbursement, on the theory that the costs were minimal and that Cal/OSHA merely restated a federal mandate. (Stats. 1973, ch. 993, § 106, p. 1954; Stats. 1974, ch. 1284, § 36, p. 2787.) In later years, the Legislature appended control language to budget items appropriating funds for reimbursement of state mandates, stating with particularity that no
In 1987, in Carmel I, supra,
The Court of Appeal also declared that the budget control language was invalid because it violated the state constitutional requirement that a bill have only a single subject. (Cal. Const., art. IV, § 9.) The appellate court explained that the statement that no application would be processed for reimbursement of expenses incurred to comply with Cal/OSHA orders was unrelated to the ostensible subject of the bill—appropriations for reimbursement of state-mandated local programs. (Carmel I, supra, 190 Cal.App.3d at pp. 541-545.) That court declared that nothing in the bill “alert[s] the reader to the fact that the bill prohibits the Board [of Control] from entertaining claims pursuant to the Cal/OSHA executive orders. The control language does not modify or repeal these orders, nor does it abrogate the necessity for County’s continuing compliance therewith. It simply places County’s claims reimbursement process in limbo.” {Id. at p. 545.)
Apparently at least in part in response to this decision, in 1990 the Legislature enacted Government Code section 17581, which provides in pertinent part: “(a) No local agency shall be required to implement or give effect to any statute or executive order, or portion thereof, during any fiscal year ... if all of the following apply: HD (1) The statute or executive order, or portion thereof, has been determined by the Legislature, the commission [on state mandates], or any court to mandate a new program or higher level of service requiring reimbursement of local agencies pursuant to Section 6 of Article XIII B of the California Constitution. [U] (2) The statute or executive order, or portion thereof, has been specifically identified by the Legislature in the Budget Act for the fiscal year as being one for which reimbursement is not provided for that fiscal year.” Section 17581 also provides that if an agency nonetheless elects to implement such a statute or order, it may assess special fees upon persons or entities benefiting from the implementation. (Gov. Code, § 17581, subd. (b).)
As noted, in the Budget Acts of 1992, 1993, and 1994, the administrative regulations requiring protective gear for firefighters were identified in the manner noted by Government Code section 17581, and the districts’ request for reimbursement for the expenses of compliance was refused.
B
Next, we review the parties’ contentions and the reasoning of the Court of Appeal. The districts contend that Government Code section 17581 and the provisions of the Budget Acts of 1992, 1993, and 1994 suspending the administrative regulations here at issue represent an effort by the Legislature to invade the power of the executive branch to carry out its duties under Cal/OSHA, thereby violating the constitutional principle of separation of powers. The districts claim that the Legislature delegated broad authority to the
Agreeing with the position of the districts, the Court of Appeal declared that Government Code section 17581 represents an unwarranted intrusion into the operation of the executive branch: “By reason of the separation of powers doctrine, the Legislature’s power to declare public policy does not include the power to carry out its declared policies.” In the view of the Court of Appeal, the Legislature could not retain supervisorial power or veto power over the execution of Cal/OSHA, in the absence of a statute amending or revoking the delegation of executive power over Cal/OSHA, or at least a statute effecting an implied repeal of the Department of Industrial Relations’ executive orders. The Legislature, the Court of Appeal said, lacks “the power to cherry-pick the programs to be suspended—which is precisely what the Legislature has done by suspending the operations of only those [identified in the budget].” According to the appellate court, the enactment of Government Code section 17581, far from constituting a revocation of executive power or an implied repeal, constituted an “attempt[] to exercise an unconstitutional veto power over the [department’s] administration of Cal/OSHA.”
The Court of Appeal concluded that although the Legislature may choose to retain complete control over a function by itself enacting detailed rules, the Legislature cannot retain administrative control when it enacts a statute that provides “broad policy guidance and leave[s] the details to be filled in by administrative officers exercising substantial discretion.” The appellate court declared Government Code section 17581 “constitutionally infirm as applied.”
The Attorney General, representing the state, the Department of Industrial Relations, the Department of Finance, the State Controller, and the State Treasurer (collectively referred to for convenience as the State) responds that the Legislature has not attempted to control the exercise of executive power, but rather has exercised its own power over appropriations and expenditures. It is within the Legislature’s power, the State contends, to suspend an executive mandate in the interest of an appropriate allocation of limited state funds. Once the Legislature has enacted a statute suspending a mandate, it is cleár that the executive lacks power to enforce regulations inconsistent with that statute. Executive power is not thereby threatened or frustrated, the State concludes, because the executive branch always is dependent upon the Legislature for funds.
Ill
We now consider Government Code section 17581 in light of the constitutional provision for separation of powers, and, as we shall explain, conclude that the statutory and budgetary provisions involved in the present case do not violate the separation of powers clause of the California Constitution.
Article III, section 3 of the California Constitution states: “The powers of state government are legislative, executive, and judicial. Persons charged with the exercise of one power may not exercise either of the others except as permitted by this Constitution.”
The separation of powers doctrine limits the authority of one of the three branches of government to arrogate to itself the core functions of another branch. (In re Attorney Discipline System (1998)
The doctrine, however, recognizes that the three branches of government are interdependent, and it permits actions of one branch that may “significantly affect those of another branch.” (Mendocino, supra,
The founders of our republic viewed the legislature as the branch most likely to encroach upon the power of the other branches. (See Bowsher v. Synar (1986)
The core functions of the legislative branch include passing laws, levying taxes, and making appropriations. (Cal. Const., art. IV, §§ 1, 8, subd. (b), 10, 12; In re Attorney Discipline System, supra,
The legislative branch of government, although it is charged with the formulation of policy, properly may delegate some quasi-legislative or rulemaking authority to administrative agencies. (Bixby v. Pierno (1971)
The Department of Industrial Relations, however, as an executive agency created by statute, has only as much rulemaking power as is invested in it by statute. (See Association for Retarded Citizens v. Department of Developmental Services (1985)
Further, an administrative agency is subject to the legislative power of the purse and “may spend no more money to provide services than the Legislature has appropriated.” (Association for Retarded Citizens v. Department of Developmental Services, supra,
The decision to relieve districts of the duty to comply with specified executive orders is a policy decision—an act within the authority of the Legislature, although it incidentally affects the legislatively enacted authority of the Department of Industrial Relations to promulgate regulations. (See Steiner v. Superior Court (1996)
Considering the appropriate function of the Legislature—to define policy and allocate funds—and considering the inability of an administrative agency to which quasi-legislative power has been delegated to adopt rules inconsistent with the agency’s governing statutes, we believe that a legislative enactment that limits the mandate of an administrative agency or withdraws certain of its powers is not necessarily suspect under the doctrine of separation of powers. When the Legislature has not taken over core functions of the executive branch and the Legislature has exercised its authority in accordance with formal procedures set forth in the Constitution,
Government Code section 17581 was enacted, of course, by both houses of the Legislature and presented to the Governor for approval, as were the budget items at issue in the present case. The adoption of the statutory provision and the budgetary limitations in the present case— measures that suspend operation of executive orders and withhold state reimbursement for certain protective gear no longer mandated by the orders—does not signify that the Legislature has taken over core functions of the executive branch. Although section 17581 and the noted budget items have some impact on the functions of the Department of Industrial Relations, they do not defeat or materially impair the ability of the department to carry out its mandate to protect worker safety: even in the realm of the protection of firefighters, the department retains authority to enforce other, generally applicable regulations and to issue orders intended to ensure firefighter safety. Rather, the effect on the department is incidental, while the statutory and budget measures under review constitute an expression of the Legislature’s essential duty to devise a reasonable budget.
It is most significant to the present case that the Legislature is the branch of government that must, on a yearly basis, fit the needs of the state into the funds available. “Enactment of a state budget is a legislative function, involving ‘interdependent political, social and economic judgments which cannot be left to individual officers acting in isolation; rather, it is, and indeed must be, the responsibility of the legislative body to weigh those needs and set priorities for the utilization of the limited revenues available.’ ” (Anderson v. Superior Court (1998)
This is not a case in which the legislative action deprives the administrative agency of the resources necessary to carry out its function. The present case is distinguishable, therefore, from Scott v. Common Council (1996)
Despite the contrary assertion of the Court of Appeal and the districts, the decision in California Radioactive Materials, supra,
In reaching this decision, the Court of Appeal relied in part upon the decision of the United States Supreme Court in Chadha, supra,
Relying on Chadha, supra,
The decision in California Radioactive Materials went beyond Chadha in asserting that, “[h]aving enacted a statutory scheme, the Legislature has no power to exercise supervisorial control or to retain for itself some sort of ‘veto’ power over the manner of execution of the laws.” (California Radioactive Materials, supra,
In support of the above quoted dictum, the Court of Appeal in California Radioactive Materials mistakenly relied upon our decision in State Board of Education v. Levit (1959)
The Bowsher case involved the Balanced Budget and Emergency Deficit Control Act of 1985 (2 U.S.C. § 901 et seq.), which, when federal deficit spending exceeded a certain limit, required the United States Comptroller General to identify budget reductions that the President was required to carry out. The act vested Congress with the power to remove the Comptroller General from office by joint resolution (or by impeachment). The high court determined that the doctrine of separation of powers established that Congress may not remove an officer charged with executive duties except by impeachment. Although the Comptroller General served an executive function, under the act Congress retained the power to remove the official from office. The officer thereby became answerable only to Congress, vesting Congress with control of the execution of the laws, in violation of the doctrine of separation of powers. (Bowsher v. Synar, supra, 478 U.S. at pp. 722-723 [106 S.Ct. at pp. 3185-3186].) The high court’s opinion announced that “ ‘Congress must abide by its delegation of authority [to an executive officer] until that delegation is legislatively altered or revoked.’ ” (Id. at p. 726 [
We do not believe that the Bowsher decision would prevent Congress from amending the deficit control act to exempt from the Comptroller General’s budget reduction authority certain projects favored by Congress. Rather, the decision barred ultimate congressional control—through the unilateral power of removal—over any executive exercise of the discretion actually vested in that official by the statute. The case stands for the proposition that Congress may limit the discretion vested in the executive by enacting a statute circumscribing that discretion, but it may not control the exercise of the discretion actually vested by statute in the executive by retaining the unilateral power of removal. Similarly, if we were to apply the Bowsher decision in the present context, it might cast doubt on the California Legislature’s authority to enact a statute vesting the legislative branch with the unilateral power to remove the Director of the Department of Industrial Relations from office by joint resolution, but it would not cast doubt on the power of the Legislature to enact a statute limiting the scope of the discretion vested in the director—as long as the limitation
The districts claim that in cases similar to this one, the United States Supreme Court has rejected legislative incursions into the power vested in administrative agencies as inconsistent with the doctrine of separation of powers, and they urge this court to follow suit. We do not believe, however, that the cited decisions would direct that we disapprove Government Code section 17581—putting aside the question whether, in interpreting our own state Constitution’s separation of powers clause, we are bound to adopt the reasoning of the high court. It is true that the high court rejected certain legislative veto provisions in Chadha, supra,
Contrary to the claim of the districts, the United States Supreme Court, has acknowledged that Congress generally may control executive administrative action by enacting an appropriate statute circumscribing the authority of the agency. (Chadha, supra, 462 U.S. at pp. 954-955 & fn. 19 [103 S.Ct. at pp. 2785-2786]; Bowsher v. Synar, supra, 478 U.S. at pp. 733-734 [106 S.Ct. at pp. 3191-3192].) Courts in other jurisdictions also acknowledge that the Legislature retains this power. (See Mo. Coalition v. Joint Com. on Admin. (Mo. 1997)
We do not find any language in these cases indicating that the legislative branch may not alter the discretion afforded the executive except by withdrawing entirely its original delegation of power to the administrative agency. We observe that in an article written shortly after the Chadha decision, Justice Stephen Breyer, then a judge on the United States Court of Appeals, First Circuit, suggested that although the Chadha decision made questionable the many legislative veto provisions then common in federal enactments, Congress legitimately could achieve the same result by enacting a statute setting aside the agency action or by cutting the agency’s appropriation. He stated that Congress “can delay implementation of an executive action . . . until Congress has had time to consider it and to enact legislation preventing the action from taking effect .... If a significant group of legislators strongly opposes a particular agency decision, it might well succeed in including a sentence in the appropriations bill denying the agency funds to enforce that decision.” (Breyer, The Legislative Veto after Chadha (1984) 72 Geo. L.J. 785, 792.)
Cases analyzing the problem of the legislative veto also acknowledge, as did Justice Breyer, that the legislative branch legitimately may employ its power of the purse to control executive action. (See Consumer Energy etc. v. F.E.R.C., supra,
The enactment challenged in the present case is consistent with the doctrine of separation of powers, in that it was enacted by both houses of the Legislature and presented to the Governor for signature—as were the budget items in question—and the enactment expressed a legislative determination to suspend a regulation and thereby curtail the authority of the executive, in pursuit of the legitimate legislative goal of allocating scarce resources in an appropriate manner. In addition, the operation of Government Code section 17851 and the budget acts in question had only a narrow impact upon the Department of Industrial Relations’ regulatory scheme and ability to enforce health and safety regulations. The districts produced no evidence of any negative consequences flowing from the Legislature’s action. Indeed,
The districts complain that the practical result of a decision upholding the constitutionality of Government Code section 17581 would be to subject them to civil and criminal liability for failing to provide the protective equipment described in the regulations, even though pursuant to section 17581, the districts could not be reimbursed for the state-mandated expenditure necessary to acquire the equipment. They point out that they remain obligated to provide a safe workplace (see Lab. Code, §§ 6400-6407), and specifically to provide reasonably adequate safety devices (Lab. Code, § 6403). They assert that this duty may be enforced by departmental order, and thereafter through citations and penalties (see Lab. Code, §§ 6305, 6308, 6317) as well as injunction (Lab. Code, § 6323). They also assert that breach of this duty could subject them to liability in tort and to criminal liability. They assert that the Department of Industrial Relations could order them to provide adequate safety equipment, and yet, despite the circumstance that requirements for firefighter safety equipment have been held to be peculiarly a governmental expense and therefore subject to reimbursement as a state-mandated local program (see Carmel I, supra,
The State answers that the districts appropriately remain subject to general rules imposing a duty upon all employers to provide a safe workplace, and in this way they are no more subject to civil and criminal liability than any other employer. It seems clear that by operation of Government Code section 17581 and the budget items we have noted, the districts are not subject to a duty to comply with the regulations at issue in the present case, so that no violation of those regulations could be posited as the basis for civil or criminal liability. In any event, it does not appear to us that the districts’ complaints in this regard relate to their claim that under the separation of powers doctrine, the Legislature lacks authority to suspend operation of an administrative regulation. Rather, these complaints would be pertinent only to a distinct contention that is not before us: that despite the valid operation of section 17581, the Legislature did not effectively extinguish a state mandate to provide the particular protective equipment because that mandate flows from some source other than the regulations identified in the budget items that are at issue in this case.
We need not resolve the doubtful claim, however, that pursuant to some statute or regulation not identified in the budget act and therefore not suspended by section 17581, districts might remain obligated by state law to provide the safety equipment at issue in this case and that therefore they are entitled to reimbursement for state-mandated local expenditures for such safety equipment. The districts seem especially concerned that expenditures may be required of them in the future by order of the Department of Industrial Relations under other still applicable administrative orders or provisions of the Labor Code. This speculative claim is not involved in our determination that Government Code section 17581 and the related budget items do not so intrude upon the power of the executive branch as to violate our state Constitution’s separation of powers clause.
The judgment of the Court of Appeal is reversed, and the matter is remanded for further proceedings consistent with this opinion.
Mosk, L, Kennard, L, Baxter, J., Werdegar, L, Chin, L, and Brown, L, concurred.
Appellants’ petition for a rehearing was denied May 23, 2001.
Notes
The suspension has continued in effect through the 2000-2001 fiscal year. (See, e.g., Stats. 2000, ch. 52, item 8350-295-0001, provision 3, item (b).)
We grant the districts’ request that we take judicial notice of portions of the state budget acts enacted in 1997 and 1998. (Evid. Code, §'451, subd. (a).) We also grant the state’s request that we take judicial notice of portions of the Governor’s budget summaries from fiscal year 1992-1993 to fiscal year 1999-2000. (Bvid. Code, § 452, subd. (c).)
This constitutional provision was adopted in 1979; similar reimbursement requirements previously were imposed by statute. (See former Rev. & Tax. Code, § 2231, subd. (a), added by Stats. 1975, ch. 486, § 7, p. 999; see also former Rev. & Tax. Code, § 2207, added by Stats. 1975, ch. 486, § 1.8, pp. 997-998; former Rev. & Tax. Code, § 2164.3, subd. (a), as added by Stats. 1972, ch. 1406, § 14.7, p. 2962, amended by Stats. 1973, ch. 208, § 51, p. 564.)
We need not determine whether Nixon v. Administrator of General Services (1977)
California Radioactive Materials Management Forum v. Department of Health Services, supra,
Because of our resolution of the districts’ separation of powers claim, we need not consider the districts’ further claim that, in the event they are entitled to relief, the appropriate remedy would be a writ of mandate directing the Controller to pay the districts’ claims from funds appropriated for operation of the Department of Finance and the Department of Industrial Relations, instead of a remand of the matter to the Commission for the processing of the districts’ claims.
