Lead Opinion
OPINION OF THE COURT
At issue on this appeal is the validity of a local law of the Town of Yorktown conditioning site plan approval for a multifamily residential development on the provision of parkland or its money equivalent. We conclude that while in substance the Town may exercise its supersession authority to adopt such a law, in form the enactment before us was properly declared invalid.
The subject property is a 43-acre parcel in Yorktown’s zone R-3, which permits multifamily residential use of up to 12 units per acre. Plaintiff, the property owner, planned a condominium development, "Villas on the Lake,” and to this end sought site plan approval from the Town Board.
Following submission of revised plans, environmental impact statеments, reports of various Town agencies and public hearings, the Town Board approved plaintiff’s plan on condition that he pay a "recreation fee” of $47,550. That condition was imposed pursuant to Local Laws, 1982, No. 6 of Town of Yorktown, which pertains to site plan approval for R-3 developments. In relevant part Local Law No. 6 reads:
"The developer shall provide a suitably improved playground/play area. Each such playground/play area shall have a minimum area of 1,200 square feet and a maximum distance of 1,000 feet from the units to be served.
"In addition to the above, the developer shall also set aside ten percent (10%) of the site for the provision of park and/or recreational facilities. If the provision of such facilities is impractical because of the particular layout of the development or for other reasons, a recreation fee of $350.00 per unit shall be submitted prior to approval of the application.”
Plaintiff paid the fee under protest and commenced this action for money had and received. He then sought summary judgment, contending that the Town was not authorized under Town Law § 274-a to impose a recreation fee as a condition of site plan approval, citing Riegert Apts. Corp. v Planning Bd. (
Supreme Court granted the Town’s motion and dismissed the complaint, holding that an action for money had and received was an inappropriate vehicle for review of the Town’s determination, and that the challenge to the Board’s action should have been by way of an article 78 proceeding, which was time-barred. The Appellate Division reversed. Converting the action into one for a declaratory judgment, the Appellate Division concluded that Local Law No. 6 was invalid under Riegert. We granted the Town’s motion for leave to appeal and now affirm the Appellate Division order, but on a different ground.
In generаl, towns have only the lawmaking powers the Legislature confers on them. In particular, they have no inherent power to impose conditions on site plan approval. Without legislative grant, an attempt to exercise such authority is ultra vires and void (see, Matter of Kamhi v Planning Bd.,
Municipal Home Rule Law Authority
Municipal home rule in this State has been a matter of constitutional principle for nearly a century. Article IX of the State Constitution declares that effective local self-government and intergovernmental cooperation are purposes of the people of this State, and it directs the Legislature to provide for the creation and organization of local governments so as to secure the rights, powers, privileges and immunities granted by the Constitution (see, NY Const, art IX, § 1). As several commentators have noted,
In 1964, a home rule package was adopted, comprising article IX of the State Constitution (with a "Bill of rights for local governments”) and various implementing statutes, including the Municipal Home Rule Law and the Statute of Local Governments, both of which must be "liberally construed.” (Municipal Home Rule Law § 51; Statute of Local Governments §20 [5].) In structure, these reforms continued the earlier two-part model for home rule: limitations on State
The Municipal Home Rule Law affirmatively grants authority to towns — "[i]n addition to powers granted in the constitution, the statute of local governments or in any other law” — to adopt local laws relating to their "property, affairs or government,” provided that such legislation is not inconsistent with the Constitution or any general law (NY Const, art IX, § 2 [c] [i]; Municipal Home Rule Law § 10 [1] [i]). The statute further authorizes towns to adopt local laws in 14 enumerated instances, so long as those enactments are not inconsistent with general law оr prohibited by State law (NY Const, art IX, § 2 [c] [ii] [1]; Municipal Home Rule Law § 10 [1] [ii]; Matter of Marcus v Baron,
Neither of these grants of power encompass Local Law No. 6, however, because — as the Appellate Division correctly held —the local law is inconsistent with Town Law § 274-a, which defines planning board powers in connection with site plan approval. As we concluded in Riegert, there is no express authority in the Town Law for planning boards to impose parkland-or-money conditions for site plan approval, as there is for subdivision plat approval under Town Law § 277. Moreover, because of the Legislature’s evident choice in omitting that authority for site plan approval while including it for subdivision plat approval, the power cannot be implied in Town Law § 274-a (Riegert Apts. Corp. v Planning Bd., supra).
Thus, in view of the inconsistency between Local Law No. 6 and Town Law § 274-a, authority cannot be found for the local law in Municipal Home Rule Law § 10 (1) (i) or (ii).
Supersession Authority
Although local laws that are inconsistent with State laws are generally invalid, a limited exception exists for local laws that fall within Municipal Home Rule Law § 10 (1) (ii) (d) (3)— the supersession authority. The section provides that a town may amend or supersede, in its local application, "any provision of the town law relating to the property, affairs or government of the town or to other matters in relation to which and to the extent to which it is authorized to adopt
When municipalities act within their supersession authority, even local laws that are inconsistent with the Town Law may be valid. Indeed, inconsistency is a premise of the super-session authority, for there is otherwise little need of the power to amend or supersede State law (Rozler v Franger,
By thus carving out a narrow, well-demarcated area of purely local concern where towns can within their Municipal Home Rule Law § 10 authority amend and even override provisions of the Town Law in their local applicability, the Legislature has recognized that situations may arise where laws of State-wide application are appropriately tailored by municipalities to fit their own peculiarly local needs (see, Rice, 1988 Survey of New York Law: Zoning and Land Use, 40 Syr L Rev 641, 642 [1989]; Cole, Municipal Home Rule Law and Local Zoning Power, 3 Mun Law 2 [Nov./Dec. 1986]). Such a situation is before us today.
Application of Supersession in this Case
In the abstract, no one questions the legitimacy of a municipal reservation of parkland or its money equivalent as a condition of residential land development (see, e.g., Jenad, Inc. v Village of Scarsdale,
Nor can there be question about the uniquely local impact of the condition in issue. We have long recognized that a town’s planning needs with respect to its neighborhood parks and playgrounds are "distinctively” matters of local concern (see, Adler v Deegan,
Our conclusion in Riegert that the express statutory authority found in Town Law § 277 could not, by implication, be extended to site plan approvals rested on a general over-all distinction between site plans and subdivision plats: a site plan usually involves the proposed development of a single lot intended to remain as such, while a subdivision plat involves the division of a parcel into smaller, ultimately individually owned lots (Riegert Apts. Corp. v Planning Bd.,
But when Town Law § 274-a is specifically applied to plaintiffs R-3 condominium development in the Town of Yorktown, this legislative design is defeated. As the Town points out,, its condominium housing developments generally do not require subdivision approval. Site plan approval is the significant — if not only — approval for such multifamily developments. In such instances, the concern about imposing a double toll on a property owner therefore becomes inapposite. Equally relevant, when Town Law § 274-a is specifically applied to these developments in Yorktown, the legislative objective we identified in Riegert of placing "the burden of major community concerns such as parks * * * on the developer” can be wholly circumvented. A developer of high-density, multifamily projects — while adding significantly to the demand for neighborhоod recreation space — can avoid any contribution to supplying such space by structuring a project in the form of cooperatives or condominiums within Yorktown’s R-3 district, rather than in a form requiring subdivision approval (see generally, 5 Ziegler, Rathkopf s Zoning and Planning § 64.03 [2] [b], at 64-29 — 64-30). The supersession authority permits the Town to correct this anomaly.
A town can amend or supersede a provision of the Town Law only "in relation to which and to the extent to which” it is authorized to adopt local laws by section 10 of the Municipal Home Rule Law (Municipal Home Rule Law § 10 [1] [ii] [d] [3]). In the circumstances presented, we hold that permitting the Town to supersede Town Law § 274-a in its local application — so that the purpose of the statute will be promoted rather than defeated within this community — fits comfortably within section 10 (see, Matter of Torsoe Bros. Constr. Corp. v Architecture & Community Appearance Bd. of Review,
To deny the Town’s authority in this case — as the concurrence urges — would be to give little force to the independent grants of power specified in the Municipal Home Rule Law and the Statute of Local Governments; it would ignore the Legislature’s direction that these statutes be liberally construed; and it would significantly diminish the long-heralded constitutional and statutory home rule reforms. As Chief Judge Cardozo observed, the home rule laws "adopted by the people with much ado and after many years оf agitation, will be another Statute of Uses, a form of words and little else, if the courts * * * ignore the new spirit that dictated their adoption.” (Matter of Mayor of City of N. Y. [Elm St.]
We conclude that the Town had the power to adopt a local law requiring parkland-or-money exactions in connection with site plan approval for R-3 developments. This is hardly license for an "arrogation of undelegated powеr” or a "profound change * * * giv[ing] municipalities virtually unconstrained authority to act” (concurring opn, at 436, 442). Rather, our conclusion represents a faithful application of the dictates of the Municipal Home Rule Law, which — within narrow confines— permits the Town of Yorktown to adjust a provision of the Town Law so that in its local application it will have exactly the effect intended by the Legislature.
Noncompliance with Formal Requisites
While a town might enact a local law requiring parkland or its money equivalent for site plan approval, the Appellate Division declaration of invalidity nonetheless must be sustained because the local law in issue does not comply with the formal requirements of the Municipal Home Rule Law.
A town’s authority to amend or supersede can be exercised only upon substantial adherence to the procedures set forth in Municipal Home Rule Law § 22 (1) (Turnpike Woods v Town of Stony Point,
Local Law No. 6 does not expressly amend or supersede Town Law § 274-a, nor does it contain any declаration of intent to do so. "Nowhere does it define by reference to chapter and section number, or by reference to title, or by replication of actual text, the particular provision(s) of the Town Law to which it purports to apply.” (Turnpike Woods v Town of Stony Point, supra, at 738.) While section 22 provides that failure to comply punctiliously with every specification requirement will not invalidate a local law, here the local law reveals nothing of the Town’s intention to amend or supersede and consequently must be declared invalid.
We thus need not consider whether this local law is additionally invalid for its failure to specify that use of the fees would be limited to parkland benefiting the development (cf., Jenad, Inc. v Village of Scarsdale,
Accordingly, the order of the Appellate Division should be affirmed, with costs.
Notes
. See, Cole, Constitutional Home Rule in New York: "The Ghost of Home Rule”, 59 St John’s L Rev 713 (1985); Note, Home Rule and the New York Constitution, 66 Colum L Rev 1145 (1966); Hyman, Home Rule in New York 1941-1965: Retrospect and Prospect, 15 Buffalo L Rev 335 (1965); Comment, Home Rule: A Fresh Start, 14 Buffalo L Rev 484 (1965); Asch, Municipal Home Rule in New York, 20 Brooklyn L Rev 201 (1954); Richland, Constitutional City Home Rule in New York, 54 Colum L Rev 311 (1954).
. Plaintiff urges that the Legislature has expressly prohibited the adoption of such a local law as Local Law No. 6. This contention merits little discussion. There is no express prohibitiоn here.
. We note that other authorities have reached a similar conclusion (see, e.g., Matter of Sherman v Frazier,
Concurrence Opinion
(concurring). I agree with the majority that the order should be affirmed and Local Laws, 1982, No. 6 of the Town of Yorktown declared invalid because the Town of Yorktown did not comply with the requirements of Municipal Home Rule Law § 22 (1). I do not agree that the Town may reenact the local law, or one similar to it, after complying
The majority determines that the power to enact Local Law No. 6 is to be found in Municipal Home Rule Law § 10 (1) (ii) (d) (3). That provision authorizes a town to amend or supersede, in its local application, “any provision of the town law relating to the property, affairs or government of the town or to other matters”. By its plain terms, however, the subdivision permits exercise of the power only "to the extent to which it is authorized to adopt local laws by this section” (emphasis added). Thus, the inquiry must be whether the Legislature has delegated to the Town the power to act on the subject. Absent such independent authority, the Town may not amend or supersede under section 10 (1) (ii) (d) (3) and Local Law No. 6 is ultra vires and void.
Analysis begins with an understanding of the statutory scheme. Section 10 (1) of the Municipal Home Rule Law authorizes municipalities to adopt local laws relating to their "property, affairs or government” (Municipal Home Rule Law § 10 [1] [i]) and in 14 other enumerated areas “whether or not they relate to the property, affairs or government of such local government” (§ 10 [1] [ii]). Both paragraphs specify, however, that the municipalities may not adopt local laws “inconsistent with the provisions of the constitution or * * * any general law” (§ 10 [1] [i], [ii]).
As so interpreted, the threshold question when applying the statute is not whether the local law is inconsistent with a general law or addresses a matter of local concern, as the majority reasons, but whether the Town has power to act on the subject. Unless power has been delegated to the Town by the Constitution or other general law, the local legislation is invalid. An examination of the statute reveals that the power to adopt Local Law No. 6 has not been delegated to respon
It is helpful to remember that the Municipal Home Rule Law was passed in 1964 following approval of a new article IX, §2 of the State Constitution. It was enacted with the Statute of Local Governments to implement the constitutional amendment by replacing the former City Home Rule Law, the Village Home Rule Law and various home rule provisions found in the County and Town Laws.
New York municipalities have been granted broad powers to regulate and limit property uses to discourage some uses through restrictive zoning and to encourage others through devices such as incentive zoning (see generally, Matter of Town of Islip v Caviglia,
In my view, the question presented in this appeal was decided in Riegert Apts. Corp. v Planning Bd. (
Notwithstanding this decision, the majority hold that the Municipal Home Rule Law allows the Town to exercise power the Legislature has denied it. The majority recognizes that under Riegert the Town has not been delegated the power to exact parkland or equivalent money payments as a condition of site plan approval, but they hold that the two provisions are merely inconsistent and therefore section 274-a may be superseded. The local law is valid, they hold, because the supersession authority in Municipal Home Rule Law § 10 (1) (ii) (d) (3) augments the substantive powers delegated to the Town and authorizes the local legislation if some source of authority may be found in section 10 (1) (ii). They find such delegation in section 10 (1) (ii) (a) (12), dealing with police powers and (14), referring to powers contained in the Statute of Local Governments.
The general grant of police powers contained in section 10 (1) (ii) (a) (12) cannot expand zoning power beyond that expressly addressed in the general laws or the Statute of Local Governments (see generally, Matter of Bon-Air Estates v Building Inspector of Town of Ramapo,
In sum the majority finds that there is some undefined power delegated by section 10 (1) (ii) (d) (3) and section 10 (1) (ii) which authorizes Local Law No. 6. But if the power to adopt Local Law No. 6 is not to be found in the language of section 274-a because the Legislature "carefully exclude[d]” it, it seems clear the power cannot be extracted from the general language of the Municipal Home Rule Law. The majority cite no authority to support their analysis but merely urge that the construction promotes the purposes of section 274-a of the Town Law (see, majority opn, at 432). Rather than "promoting” the purposes of section 274-a, this decision completely overrides them рermitting the Town to do precisely that which the Legislature chose to prevent it from doing.
The majority also rely upon the local impact of the problem to sustain their result. Surely, parks and playgrounds, and the cost and availability of land for them, are matters of local concern. But zoning and planning powers, as we have noted many times, have ramifications that transcend local interests and geographical boundaries (Riegert Apts. Corp. v Planning Bd., supra, at 213; Berenson v Town of New Castle,
The Town can purchase land and set it aside or it can zone land for park purposes in accordance with the powers delegated to it. But it cannot satisfy its parkland needs by conditioning site plan approval on donations of land or money from developers until the Legislature authorizes such action. If the Town can now impose this fee upon condominium developers, there is no logical reason why the town could not impose it on the apartment developers in Riegert or for that matter why a town cоuld not impose such fees as a condition for site plan approval of single residences in the future.
The exercise of power delegated to municipalities without restriction to satisfy local needs is a matter of little concern to the State as a whole but the arrogation of undelegated power is quite another matter. When a State-wide interest has been established by a general law, a local government may not interfere with its operative effect (see, Matter of Marcus v Baron,
Accordingly, I concur in the court’s opinion for the reasons stated.
Chief Judge Wachtler and Judges Alexander, Titone and Bellacosa concur with Judge Kaye; Judge Simons concurs in a separate opinion in which Judge Hancock, Jr., concurs.
Order affirmed, with costs.
. The pertinent provisions of Municipal Home Rule Law § 10 (1) provide:
"(i) every local government shall have power to adopt and amend local laws not inconsistent with the provisions of the constitution or not inconsistent with any general law relating to its property, affairs or government and,
"(ii) every local government, as provided in this chapter, shall have power to adopt and amend local laws not inconsistent with the provisions of the constitution or not inconsistent with any general law, relating to the following subjects, whether or not they relate to the property, affairs or government of such local government
* * *
"d. A town:
* * *
"(3) The amendment or supersession in its application to it, of any provision of the town law relating to the property, affairs or government of the town or to other matters in relation to which and to the extent to which it is authorized to adopt local laws by this section, notwithstanding that such provision is a general law, unless the legislature expressly shall have prohibited the adoption of such a locаl law.” (Emphasis added.)
. The Statute of Local Governments was conceived as a vehicle to grant power to local governments other than those relating to "property, affairs or government” found in Municipal Home Rule Law § 10 (1) (i) (i.e., those enumerated in section 10 [1] [ii]) and to stabilize the grant by requiring two years to amend or repeal enumerated powers (see, Statute of Local Governments § 12). It has been said the statute achieved "no significant change in preexisting” law (see, Note, Home Rule and the New York Constitution, 66 Colum L Rev 1145,1152).
. "(a) A county, city, town or village:
* ** *
"(12) The government, protection, order, conduct, safety, health and well-being of persons or property therein. This provision shall include but not be limited to the power to adopt local laws providing for the regulation or licensing of occupations or businesses provided, however, that:
* * *
"(14) The powers granted to it in the statute of local governments.”
