Lead Opinion
Opinion
“It is, emphatically, the province and duty of the judicial department, to say what the law is. Those who apply the rule to particular cases,
This basic principle is at issue in this case. In Carrisales v. Department of Corrections (1999)
We disagree. Under fundamental principles of separation of powers, the legislative branch of government enacts laws. Subject to constitutional constraints, it may change the law. But interpreting the law is a judicial function. After the judiciary definitively and finally interprets a statute, as we did in Carrisales, supra,
I. Facts and Procedural Background
In January 1998, plaintiff Lesli Ann McClung filed a complaint against the Employment Development Department and Manuel Lopez, alleging claims of hostile work environment and failure to remedy a hostile work environment under the FEHA, as well as another cause of action not relevant here. The superior court granted summary judgment for defendants, and plaintiff appealed.
The Court of Appeal affirmed the judgment in favor of the Employment Development Department, but reversed it as to Lopez. In so doing, it held that Lopez was plaintiff’s coworker, not supervisor. It also recognized that we had held in Carrisales, supra,
We granted Lopez’s petition for review to decide whether section 12940, subdivision (j)(3), applies to this case.
II. Discussion
A. Background
The FEHA “declares certain kinds of discrimination and harassment in the workplace to be ‘unlawful employment practice[s].’ (§ 12940:)” (Carrisales, supra,
We must decide whether the amendment to section 12940 applies to actions that occurred before its enactment. If the amendment merely clarified existing law, no question of retroactivity is presented. “[A] statute that merely clarifies, rather than changes, existing law does not operate retrospectively even if applied to transactions predating its enactment” “because the true meaning of the statute remains the same.” (Western Security Bank v. Superior
Accordingly, two separate questions are presented here: (1) Did the amendment extending liability in subdivision (j)(3) change or merely clarify the law? (2) If the amendment did change the law, does the change apply retroactively? We consider the former question first. Because we conclude the amendment did, indeed, change the law, we also consider the latter question.
B. Whether the Amendment Changed the Law
“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.” (Cal. Const., art. Ill, § 3.) “The judicial power of this State is vested in the Supreme Court, courts of appeal, and superior courts, all of which are courts of record.” (Cal. Const., art. VI, § 1.) Thus, “The judicial power is conferred upon the courts by the Constitution and, in the absence of a constitutional provision, cannot be exercised by any other body.” (Bodinson Mfg. Co. v. California E. Com. (1941)
The legislative power rests with the Legislature. (Cal. Const., art. IV, § 1.) Subject to constitutional constraints, the Legislature may enact legislation. (Methodist Hosp. of Sacramento v. Saylor (1971)
It is true that if the courts have not yet finally and conclusively interpreted a statute and are in the process of doing so, a declaration of a later Legislature as to what an earlier Legislature intended is entitled to consideration. (Western Security Bank, supra,
On another occasion, the Legislature similarly enacted legislation overruling a decision of this court—which was within its power—but also purported to state that the new legislation merely declared what the law always was—which was beyond its power. In People v. Harvey (1979)
Plaintiff points out that Carrisales, supra,
Our conclusion that the amendment to section 12940, subdivision (j)(3), changed rather than clarified the law does not itself decide the question whether it applies to this case. It just means that applying the amended section to this case would be a retroactive application. “The fact that application of [the statute] to the instant case would constitute a
C. Whether the Amendment Applies Retroactively
“Generally, statutes operate prospectively only.” (Myers, supra,
This is not to say that a statute may never apply retroactively. “[A] statute’s retroactivity is, in the first instance, a policy determination for the Legislature and one to which courts defer absent ‘some constitutional objection’ to retroactivity.” (Myers, supra,
We see nothing here to overcome the strong presumption against retroactivity. Plaintiff and Justice Moreno argue that the statement in section 12940, subdivision (j)(2), that the subdivision’s provisions merely declared existing law, shows an intent to apply the amendment retroactively. They cite our statement that “where a statute provides that it clarifies or declares existing law, ‘[i]t is obvious that such a provision is indicative of a legislative intent that the amendment apply to all existing causes of action from the date of its enactment. In accordance with the general rules of statutory construction, we must give effect to this intention unless there is some constitutional objection
Neither Western Security Bank, supra,
Moreover, the language of section 12940, subdivision (j)(2), namely, that “The provisions of this subdivision are declaratory of existing law,” long predates the Legislature’s overruling of Carrisales, supra,
Plaintiff and the Court of Appeal also cite statements in the legislative history to the effect that the proposed amendment would only “clarify” the law’s original meaning. But these references may have been intended only to demonstrate that clarification was necessary, not as positive assertions that the law always provided for coworker liability. We see no indication the Legislature even thought about giving, much less expressly intended to give, the amendment retroactive effect to the extent the amendment did change the law. Specifically, we see no clear and unavoidable intent to have the statute retroactively impose liability for actions not subject to liability when taken. “Requiring clear intent assures that [the legislative body] itself has affirmatively considered the potential unfairness of retroactive application and determined that it is an acceptable price to pay for the countervailing benefits.” (Landgraf supra, 511 U.S. at pp. 272-273.)
Retroactive application would also raise constitutional implications. Both this court and the United States Supreme Court have expressed concerns that
For all of these reasons, we conclude that section 12940, subdivision (j)(3), does not apply retroactively to conduct predating its enactment.
III. Conclusion
We reverse the judgment of the Court of Appeal and remand the matter for further proceedings consistent with this opinion.
George, C. J., Kennard, J., Baxter, J., Werdegar, J., and Brown, J., concurred.
Concurrence Opinion
We held in Carrisales v. Department of Corrections (1999)
I agree with the majority that the Legislature could not, by amending the statute, clarify its meaning in a manner inconsistent with our decision in Carrisales. Thus, the amendment must be deemed to have changed, rather than merely clarified, the law. But unlike the majority, I conclude that by purporting to clarify its original intent, the Legislature clearly intended to apply this statutory change retroactively. We must honor this legislative intent, unless prevented from doing so by constitutional concerns.
The majority correctly recognizes that a statute may apply retroactively. As we stated in Myers v. Philip Morris Companies, Inc. (2002)
The majority, however, “see[s] nothing here to overcome the strong presumption against retroactivity.” (Maj. opn., ante, at p. 475.) I disagree. The statute at issue, subdivision (j)(2) of section 12940, states that its provisions “are declaratory of existing law . . . .” In Western Security Bank v. Superior Court (1997)
We made the same point half a century earlier in California Emp. etc. Com. v. Payne (1947)
The majority notes that the statutory language stating that the provisions of subdivision (j) of section 12940 are declaratory of existing law was originally added to the statute in reference to a 1987 amendment. The majority concludes from this that “[a]ny inference the Legislature intended the 2000 amendment to apply retroactively is thus far weaker than if the Legislature had asserted, in the 2000 amending act itself, that the amendment’s provisions declared existing law.” (Maj. opn., ante, at p. 476.) Again, I do not agree.
A statute that is amended is “re-enacted as amended.” (Cal. Const., art. IV, § 9.) “The amendment of a statute ordinarily has the legal effect of reenacting (thus enacting) the statute as amended, including its unamended portions.” (People v. Scott (1987)
Because the Legislature clearly indicated its intent that the amendment to the statute be applied retroactively, we must honor that intent unless there is a constitutional objection to doing so.
The high court addressed the constitutional concerns posed by retroactive application of statutes at some length in Landgraf v. USI Film Products (1994)
Further, courts must defer to a legislative judgment that a statute should be applied retroactively: “In this century, legislation has come to supply the dominant means of legal ordering, and circumspection has given way to greater deference to legislative judgments.” (Landgraf v. USI Film Products, supra,
Significantly, defendant Lopez does not cite any authority establishing that retroactive application of the amendment to section 12940, subdivision (j) would violate the Constitution. Rather, he simply asserts that “to impose personal liability . . . retroactively should require a ‘clear and unavoidable’ statement from the Legislature favoring retroactivity . . . .” As explained above, I conclude that the provision stating that the amendment is declaratory of existing law constitutes such a clear statement of intent to apply the amendment retroactively.
Neither does the majority cite any authority establishing that retroactive application of the amendment to section 12940, subdivision (j) would violate the Constitution. Rather, the majority asserts that retroactive application would “raise constitutional implications,” while acknowledging that “[b]oth this court and the United States Supreme Court have expressed concerns that retroactively creating liability for past conduct might violate the Constitution, although it appears neither court has so held. [Citations.]” (Maj. opn., ante, at pp. 476-477, italics added.)
I discern no constitutional impediment to giving effect to the Legislature’s clear intent to apply the amendment to section 12940, subdivision (j) retroactively. As noted above, the amendment changed the law by imposing upon nonsupervisory coworkers personal liability under the FEHA for harassment, but this did not subject such nonsupervisory coworkers to liability for
Given the “modest” constitutional impediments to retroactive civil legislation (Landgraf v. USI Film Products, supra,
Notes
All further statutory references are to the Government Code, unless otherwise specified.
