HERMINA M. MORITA, Petitioner/Plaintiff-Appellant, vs. THOMAS GORAK and STATE OF HAWAIʻI, Respondents/Defendants-Appellees.
SCAP-16-0000686
IN THE SUPREME COURT OF THE STATE OF HAWAIʻI
NOVEMBER 18, 2019
APPEAL FROM THE CIRCUIT COURT OF THE FIRST CIRCUIT (CAAP-16-0000686; S.P. NO. 16-1-0251)
NAKAYAMA, McKENNA, POLLACK, AND WILSON, JJ., WITH RECKTENWALD, C.J., DISSENTING
OPINION OF THE COURT BY POLLACK, J.
In accordance with the structure of our political system, the appointment of many government officials is a shared responsibility of the executive and legislative branches. The governor is entitled to choose a nominee for such positions, but the nominee typically may not take office until the senate has voted to confirm the individual, thus ensuring the appointment is generally agreeable to both elected branches.
Balanced against these political considerations are the practical realities of ensuring the day-to-day operations of public institutions. Governmental agencies may experience difficulties fulfilling their duties when offices that are necessary for their administrative functioning are left vacant. To protect against disruption, the Hawaiʻi Constitution permits the governor to make interim appointments to offices that require senate confirmation when a vacancy arises and the senate is not in session. Additionally, the legislature has statutorily provided for certain office holders to continue their service as a “holdover” official following the expiration of their term, remaining in office until their successor is appointed.
This case presents a question as to the interaction of these provisions: is the governor entitled to make an interim appointment when the term of an official who is statutorily permitted to holdover expires and the senate is not in session? Because there is no indication in the language or the legislative history of the holdover statutes to limit the governor‘s authority to make interim appointments and the statutes would be constitutionally
I. BACKGROUND
A. Facts
The facts in this case are undisputed.1 Prior to June 30, 2016, the Hawaiʻi Public Utilities Commission (PUC) was composed of three commissioners: Randall Iwase, Lorraine Akiba, and Michael Champley. Champley‘s term as commissioner was scheduled to expire on June 30, 2016. The 2016 legislative session ended on May 5, 2016, without Governor David Ige submitting a nomination for a new commissioner to replace Champley to the Senate for confirmation.
On June 21, 2016, Governor Ige sent Champley a letter informing him of the imminent expiration of his term and thanking him for his service. Champley responded in a letter dated June 28, 2016, stating that he intended to continue to serve as a “holdover” commissioner until his successor was appointed and confirmed by the senate pursuant to
vacancies that occur while the senate is in recess to appoint Thomas Gorak to replace Champley following the expiration of Champley‘s term. Gorak was sworn in as commissioner on an interim basis on July 1, 2016.
B. Circuit Court Proceedings
On July 15, 2016, Hermina Morita, a member of a public utility cooperative that is regulated by the PUC, filed a complaint and quo warranto petition (Complaint) against Gorak and the State of Hawaiʻi in the Circuit Court of the First Circuit (circuit court).2 The Complaint alleged that since Gorak was sworn in, he had wrongfully occupied the office of the commissioner of the PUC because Champley was still the lawful officeholder until his successor was confirmed by the senate. Quoting
existed, the interim appointment power of the governor was not implicated. (Citing Op. Att‘y Gen. No. 80-4, at 2.)
The Complaint contained four counts of relief, though only two are relevant in this appeal.3 Count I sought an order pursuant to
officeholder.6 On the same day that Gorak filed his Answer, he also filed a Motion for Summary Judgment arguing that he was properly appointed as a commissioner of the PUC under the interim appointments provision of the Hawaiʻi Constitution, which authorized the governor to fill a vacancy in any office when the senate is not in session. Gorak contended that this provision, contained in
The statute in dispute in this case, Gorak stated, was
qualified.”7 This statute allows, though does not require, a member of the PUC to continue to serve in the position after the expiration of the member‘s term as a “holdover,” Gorak explained. But, Gorak argued, this statute cannot be interpreted to circumvent the governor‘s interim appointment authority. Therefore the statute cannot prevent a vacancy from occurring upon the expiration of a term, Gorak contended; otherwise the governor‘s constitutional authority would be “substantially--and in individual cases, completely--undercut” as it would allow the legislature to define when the governor can exercise a power that the constitution granted solely to the governor. Defining “vacancy” to include the end of a set term is consistent with the authorities granted to the governor in the Hawaiʻi Constitution, Gorak asserted. Accordingly, Gorak concluded that the expiration of Champley‘s term constituted a
“vacancy” that Governor Ige could fill using his interim appointment power.8
Morita responded by filing a consolidated Cross-Motion for Partial Summary Judgment (cross-motion) and opposition to Gorak‘s motion, arguing that the Hawaiʻi Constitution only grants the governor the interim appointment power when there is a “vacancy,” and the term “vacancy” means only an office that is unoccupied or empty. (Citing Office of Hawaiian Affairs v. Cayetano, 94 Hawaiʻi 1, 6 P.3d 799 (2000).) Here, Morita contended that there was no “vacancy” for which Governor Ige could utilize his interim appointment power because Champley did not resign and was not otherwise removed from office. Morita also argued that the meaning of “vacancy” necessarily derives from statutory authority because the Hawaiʻi Constitution is silent as to the duration of a PUC commissioner‘s term. Under
interim appointment power was not implicated because there was not an actual vacancy at the time of Gorak‘s appointment.9
Pursuant to the parties’ stipulation, the Hawaiʻi State Senate filed an amicus curiae brief in support of Morita. Included as exhibits to the brief were two attorney general opinions. The first was the 1980 letter cited by the Complaint, Opinion 80-4, which was issued in response to inquiries by the chairman of a senate committee regarding the length of time a holdover official is authorized to continue serving if the official‘s nomination for a second term is rejected by the senate. In explaining the operation of a holdover statute, the opinion stated the following:
Where a statute specifies that the incumbent shall continue to hold office until his successor is appointed and qualified, it is well settled that the incumbent retains his office as a de jure officer and no vacancy exists at the expiration of the incumbent‘s term. Therefore, the interim appointment power of the governor is not activated.
Op. Att‘y Gen. No. 80-4, at 2.
Also attached to the amicus curiae brief was a second, more recent attorney general opinion. In response to questions posed by the Senate President following Gorak‘s ostensible interim appointment, the attorney general issued Opinion 16-3, which concluded that “the Governor is authorized by article V,
section 6 of the Hawaiʻi Constitution to appoint a successor member to the PUC when the term of the incumbent member expires, and irrespective of whether the incumbent continues to serve as a holdover member.” Op. Att‘y Gen. No. 16-3, at 1 (2016). The opinion “acknowledge[d] that some portions of Attorney General Opinion No. 80-4 included statements that indicated otherwise.” Id. The opinion stated, however, that “those issues were not central to the issue resolved in that opinion and are superseded by the analysis offered here.” Id.
The Senate asserted in its brief that the conflicting attorney general opinions exemplified the actual controversy at issue in the case. The latter opinion misinterpreted
In a consolidated reply to Morita and the Senate‘s respective filings, Gorak reiterated the arguments from his motion, stating that the legislature may define a “vacancy” only if it does so in a manner consistent with the grant of power in
The circuit court granted Gorak‘s Motion for Summary Judgment and denied Morita‘s cross-motion. The court found that “Champley‘s term of office . . . expired on June 30, 2016, and that a vacancy occurred for purposes of article V, section 6 of the Hawaiʻi Constitution upon the expiration of Mr. Champley‘s term of office.” Therefore, the court concluded that “Governor Ige‘s interim appointment of Mr. Thomas Gorak as a commissioner on the PUC when the Senate was not in session was valid.”10 Counts I and III
Respondent-Defendants Thomas Gorak and the State of Hawaiʻi and Against Petitioner-Plaintiff Hermina M. Morita (judgment).
C. Subsequent Events
On March 28, 2017, during the course of briefing before the Intermediate Court of Appeals (ICA), Governor Ige submitted Gorak‘s interim appointment as PUC commissioner to the Senate for confirmation. 2017 Senate Journal, at 396 (Gov. Msg. No. 703); see also Gov. Msg. No. 703, 29th Leg., Reg. Sess. (2017).11 One month later, the Senate voted to reject Gorak‘s confirmation. 2017 Senate Journal, at 591-94. Following the close of the 2017 regular legislative session, Governor Ige again invoked his interim appointment powers to name James P. Griffin as PUC commissioner on an interim basis. Press Release, Hawaiʻi Governor‘s Office, Governor Ige Appoints UH Faculty Member, Researcher James Griffin to Public Utilities Commission (May 19, 2017).12 Thereafter, Governor Ige submitted Griffin‘s appointment to the Senate during a special session for confirmation, and Griffin was unanimously confirmed by the
Senate on August 31, 2017.13 2017 Senate Journal, Spec. Sess., at 1 (Gov. Msg. No. 3); id. at 40. Although it had participated as amicus curiae before the trial court, the Senate made no further filings or appearances throughout the appeal of this case.
After the close of briefing, Morita filed an application for transfer to this court, arguing that the case involved a matter of fundamental public importance that turned on a novel question of law. Gorak filed a response stating he had no objection to transfer, and this court accepted Morita‘s application on July 19, 2017.
II. STANDARD OF REVIEW
This court reviews questions of constitutional law de novo under the “right/wrong” standard. State v. Sasai, 143 Hawaiʻi 285, 294, 429 P.3d 1214, 1223 (2018); State v. Arceo, 84 Hawaiʻi 1, 11, 928 P.2d 843, 853 (1996).
III. DISCUSSION
that require senate confirmation when a vacancy arises in such office and the senate is not in session. Rather than following the typical procedure, under which the governor nominates an individual who takes office for a full term if the senate votes to confirm the nominee, an interim appointee may be sworn into office at the time the appointment is made effective, and the senate may thereafter vote to confirm the interim appointment.
The constitution itself requires senate confirmation for the appointment of the heads of principle executive departments, but the governor‘s interim appointment power is not limited to these offices. It applies when there is a vacancy in “any office, appointment to which requires the confirmation of the senate,” including those that the legislature has chosen to statutorily condition appointment on senate confirmation. See id. The legislature has so conditioned appointment to the office of PUC commissioner, which is established by
This case instead turns on when the office of PUC commissioner may be considered vacant for purposes of the interim appointment power.14 Under
office as an out-of-term “holdover” until the commissioner‘s successor is appointed and qualified. If the office of PUC commissioner was vacant during the commissioner‘s out-of-term holdover service, Governor Ige was authorized to exercise his interim appointment power following the June 30, 2016 expiration of Champley‘s term, making his appointment of Gorak lawful. If the PUC holdover provision precludes a vacancy, however, Gorak could not be lawfully appointed to the position.
“The doctrine of ‘constitutional doubt,’ a well-settled canon of statutory construction, counsels that ‘where a statute is susceptible of two constructions, by one of which grave and doubtful constitutional questions arise and by the other of which such questions are avoided, our duty is [to] adopt the latter.‘” In re Doe, 96 Hawaiʻi 73, 81, 26 P.3d 562, 570 (2001) (quoting Jones v. United States, 529 U.S. 848, 857 (2000)). We therefore begin by considering the text and history of the interim appointments clause and the role it plays within the constitutional balance of power to determine whether an interpretation of the holdover provisions that prevents a vacancy from arising would be constitutionally permissible. We
then turn to the language, structure, and legislative history of
A. The Holdover Provisions Would Be Constitutionally Suspect if Interpreted to Preclude a Vacancy for Purposes of the Governor‘s Interim Appointment Power
1. By Its Terms, the Interim Appointment Power Is Self-Executing and Not Subject to Statutory Limitations
The interim appointments clause of
When the senate is not in session and a vacancy occurs in any office, appointment to which requires the confirmation of the senate, the governor may fill the office by granting a commission which shall expire, unless such appointment is confirmed, at the end of the next session of the senate.
Notably, the clause does not contain the phrase “as provided by law,” which is included in a number of other provisions in the constitution that govern appointments. For example,
The omission is significant. The phrase “as provided by law” indicates that, as long as it complies with the basic text of the provision, the subject matter “may be dealt with by the Legislature as it deems appropriate.” State v. Rodrigues, 63 Haw. 412, 415, 629 P.2d 1111, 1114 (1981) (quoting Agnew v. Schneider, 253 N.W.2d 184, 187 (N.D. 1977)). Its absence in the interim appointments clause suggests the constitution does not contemplate a role for the legislature in prescribing the time and manner in which the governor may make interim appointments.
This impression is strengthened by
A constitutional provision may be said to be self-executing if it supplies a sufficient rule by means of which the right given may be enjoyed and protected, or the duty imposed may be enforced; and it is not self-executing when it merely indicates principles, without laying down rules by means of which those principles may be given the force of law.
Id. (quoting Davis v. Burke, 179 U.S. 399, 403 (1900)). Under this test, it is clear that the governor‘s interim appointment power is self-executing. Rather than laying out only general principles and leaving the details to be defined through legislation, the clause outlines definite standards as to when and how the governor may utilize the power. There is thus no doubt that the interim appointment clause carries the force of law on its own accord, and it is axiomatic that a self-executing constitutional provision may not be curtailed or qualified by statute. See State v. Handa, 66 Haw. 82, 84, 657 P.2d 464, 466 (1983) (“[T]he constitution as the highest . . . expression of the law-making power, operates to repeal or supersede . . . all statutes that are . . . inconsistent with the full operation of its provisions.” (first alteration in original) (quoting 16 C.J.S. Constitutional Law § 43, at 135)). In sum, the text of the constitution indicates that the governor‘s constitutional authority to make interim appointments was meant to supersede any restrictions that the legislature might attempt to place upon it.16
To the extent the interim appointments clause is ambiguous as to its interaction with a statutory holdover provision, “extrinsic aids may be examined to determine the intent of the framers and the people adopting the proposed amendment.” State v. Kahlbaun, 64 Haw. 197, 201-02, 638 P.2d 309, 314 (1981). The committee reports and floor debates of the 1950 constitutional convention during which the clause was drafted make no specific mention of the governor‘s interim appointment power. But a closer examination of the proposals bearing on executive power indicates that the delegates specifically considered and rejected holdover provisions similar to the ones now appearing in
Two proposals bearing on the issue were submitted to the Committee on Executive Powers and Functions when it was
drafting the committee proposal that would eventually become article V, section 6 of the
the members of all boards and commissions of a public character that may be created by law . . . . shall be appointed for terms to expire with the term of the governor, and until their successors are appointed and qualified; provided, that the terms of members of boards and commissions may otherwise expire if so provided by law.
Id. at 1-2 (emphasis added). Similarly, proposal 176, entitled “A Proposal Relating to Power of Appointment to Fill Vacancies - Tenure of Appointees,” stated, “The Governor shall fill all vacancies in public offices unless otherwise provided by this constitution and law, and his appointees shall serve until their successors are duly elected or appointed and qualified.” Proposal No. 176 (May 20, 1950) at 1, in 1950 Constitutional Convention materials, Box 12 (emphasis added) (on file with the Hawaiʻi State Archives). But the Committee on Executive Powers and Functions rejected the language from both proposals, and no holdover provision was included in the committee proposal that was ultimately reported to the Committee on the Whole. See Stand. Comm. Rep. No. 67, 1 Proceedings of the Constitutional Convention of Hawaii of 1950, at 215-22 (1960) (I Proceedings) (containing copy of measure as referred by the Committee on Executive Powers and Functions to the Committee on the Whole).
Instead, the committee proposal included the interim appointments clause as it now appears in
The dissent maintains that the framers’ rejection of the holdover provision does not demonstrate a preference for interim appointments, but instead indicates that the framers intended to leave the application of a
Your Committee believes that it is only through such delegation to the Legislature that the flexibility necessary to keep government in step with economic and social development is possible.
Id. (emphasis added). Thus, the drafters of the Committee Report expressly indicated that subjects left “open for legislative treatment” were those that had been delegated to the legislature. Id.
For example, the Committee stated that “[i]n case of a tie vote or a contested election, the selection of a Governor shall be determined in such manner as may be provided by law.” Id. at 216 (emphasis added). In regard to the Lieutenant Governor, the Committee stated that the Lieutenant Governor would “perform such duties as may be prescribed by law.” Id. (emphasis added). The Committee also recommended that the “Legislature by law allocate the usual duties of the Secretary [of State] . . . to the office of Lieutenant Governor.” Id. at 216-17 (emphasis added). As related to the principal departments in the executive branch, the Committee stated that “the number . . . shall be limited to not more than 20 and the Legislature shall be required to allocate the existing departments, boards and other agencies among and within the 20 . . . departments.” Id. at 217 (emphasis added). In regard to the leadership of these departments, the Committee recommended that “[e]ach . . . department shall be headed by a single executive unless otherwise provided by law.” Id. (emphasis added). Significantly, the Committee recommended that the members of quasi-judicial or quasi-legislative bodies, such as the PUC, should be protected from removal and that “restrictions on removal should be provided by law.” Id. at 217.
Moreover, all of these express delegations of authority to the legislature are embodied
3. Interpreting HRS §§ 269-2 and 26-34 To Be Subject to the Interim Appointment Authority Preserves the Constitutional Balance of Power
Under longstanding canons of statutory construction, “if one construction would make it possible for a branch of government substantially to enhance its power in relation to another, while the opposite construction would not have such an effect, the principle of checks and balances would be better served by a choice of the latter interpretation.” Staebler v. Carter, 464 F. Supp. 585, 599–600 (D.D.C. 1979). From a functional standpoint, permitting the legislature to preclude a vacancy from arising upon the expiration of a PUC commissioner‘s term would represent a significant shift in the balance of power between the branches of government.
If, upon the expiration of a PUC commissioner‘s term, the governor is permitted to make an interim appointment that the legislature disapproves of, the legislature maintains the option of holding a special session in order to swiftly remove the interim office holder by rejecting the temporary appointment or simply adjourning without confirming it. See
By contrast, were we to allow the legislature to preclude a vacancy from arising upon the conclusion of a commissioner‘s term, the governor would be without recourse to replace a holdover commissioner if the legislature refuses to confirm a new appointment. A holdover whom the governor does not wish to be in office could therefore serve until at least the end of the second regular legislative session after the expiration of the commissioner‘s term, and possibly for a full second six-year term.
This court has stated that “the subject of appointment of members to boards and commission must necessarily be considered to be the joint responsibility of the governor and senate.” Life of the Land v. Burns, 59 Haw. 244, 251, 580 P.2d 405, 410 (1978). Permitting the legislature to prevent the governor from exercising a constitutional prerogative would represent a substantial diminishment in the executive power granted by the
Contrary to the foregoing, the dissent asserts that prohibiting the legislature from precluding a vacancy from arising unduly rebalances power in favor of the governor. See Dissent at 21-22. This is because, the dissent argues, terms of office for PUC commissioners always expire when the senate is not in session. Id. at 22. The dissent hypothesizes that the governor could “refrain from nominating
However, the threat posited by the dissent is illusory. As discussed above, the legislature maintains the option of holding a special session in order to remove the interim office holder. The legislature may remove the interim appointee by rejecting the temporary appointment or by adjourning the special session without confirming the appointee.
B. The Legislative History and Structure of HRS §§ 26-34 and 269-2 Indicate Holdover Commissioners Serve in an Acting Capacity that Does Not Preclude a Vacancy
We now turn to
1. The Language and Structure of Statutes Governing Board Appointments Suggest Holdovers Serve in an Acting Capacity
There are textual and structural indications in the statutes governing the appointment of PUC commissioners that holdover members serve in an acting capacity that does not preclude a vacancy.
By contrast, the holdover provisions applicable to members of the Board of Education and the Board of Regents for the University of Hawai‘i--for which article X, sections 2 and 6 specify that the governor‘s appointment authority shall be “as provided by law“--both clearly state that “[e]very member may serve beyond the expiration date of the member‘s term of appointment until the member‘s successor has been appointed by the governor and confirmed by the senate.”
The dissent contends that our interpretation of the word “qualified” in
Notwithstanding the uncertainty as to the origins of the language used in
Additionally, with the exception of
2. The “Acting Capacity” Interpretation of HRS §§ 269-2 and 26-34 is Consistent with Indications of Legislative Intent
Legislative history gives us limited insight into the intended interaction of the statutory holdover provisions and the governor‘s interim appointment power. The standing committee and conference reports from when the legislature enacted the 1976 legislation that added the holdover provision for the PUC to
However, the 1984 committee reports from when the legislature added the similar holdover provision applicable to all members of commissions or boards to
There is no suggestion in the history of the two statutes that the legislature intended the 1976 or 1982 legislation to limit the governor‘s interim appointment power, and, indeed, it is doubtful that the governor would have signed the respective bills if the governor believed the statutes diminished executive authority in this regard. This court will not read such a sweeping rebalancing of power in what appears to be a minor administrative accommodation. See Whitman v. Am. Trucking Assocs., 531 U.S. 457, 468 (2001) (noting that legislatures do not “hide elephants in mouseholes“).
Indeed, when considering a nearly directly analogous situation, the U.S. Court of Appeals for the D.C. Circuit declined to adopt such a reading of a statutory holdover provision in the organic act of the National Credit Union Administration (NCUA) because the legislative history suggested the clause was intended for the same administrative purposes involved here. Swan v. Clinton, 100 F.3d 973, 985–86 (D.C. Cir. 1996). In concluding that it was unnecessary to determine whether a vacancy existed because the holdover board member no longer enjoyed protections against removal by the president following the expiration of the member‘s enumerated term, the D.C. Circuit relied in part on the lack of obvious legislative intent to curtail the president‘s constitutional authority:
Removal protection for holdover members might be necessary if the purpose of the holdover clause were not just to prevent gaps in agency leadership generally, but more specifically to prevent gaps from occurring during the time it takes the Senate to confirm a successor--in other words, if the purpose of the holdover clause was to prevent a successor from being appointed via the recess appointment clause. But there is no indication in the language of the NCUA statute or the legislative history of the 1978 amendments that Congress intended the holdover clause to serve any such purpose of precluding recess appointments. Cf. Staebler [v. Carter], 464 F.Supp. [585,] 592 [(D.D.C. 1979)] (although several congressional reports describe holdover clauses as allowing the Senate an opportunity to confirm successor officials, “in none of these reports is there any indication that the Committees considered, much less that they intended to rule out, the constitutionally-prescribed recess appointment option“). And we are unwilling to infer that the NCUA statute precludes the President from exercising a constitutionally granted power absent clear evidence that this was Congress’ intent.
Id. (emphases added).
Similarly, in Staebler v. Carter, the U.S. District Court for the District of Columbia considered whether a holdover provision of the Federal Elections Campaign Act,
there is no basis either in the language of the statute or in its legislative history to support the conclusion that Congress meant to rein in the President in such an unprecedented manner. In the absence of a clearly expressed legislative intent, the Court will not speculate that the Congress sought to achieve a result which would be both unusual and probably beyond its constitutional power.
Id. at 591. Thus, the district court found no reason to interpret the holdover statute in a way that precluded a vacancy--which would result in serious questions about its constitutionality--because the legislature did not evince any manifest intention to limit the executive‘s interim appointment authority. See also id. at 592 (“The Court finds it difficult to believe that, had the Congress intended to take the significant step of attempting to curtail the President‘s constitutional recess appointment power, or even to legislate in the area of that power, it would not have considered the matter with more deliberation or failed to declare its purpose with greater directness and precision.“).
Just as in Swan and Staebler, here “there is no indication in the language . . . or the legislative history” of
IV. CONCLUSION
In sum, the language, structure, and legislative history of the holdover provisions in
Harold Bronstein for appellant
Deirdre Marie-Iha for appellee
/s/ Paula A. Nakayama
/s/ Sabrina S. McKenna
/s/ Richard W. Pollack
/s/ Michael D. Wilson
Notes
[(a)] If a person to whom an order is directed with respect to an office of which the person performs the duties does not answer within the time allowed or the answer is insufficient or it is found that the person has usurped the office or continues in it unlawfully, the court in addition to declaring the person not qualified to fill the office and forbidding the person to perform the duties of the office any longer, may direct that a new appointment be made and may grant other appropriate relief.
