THE PEOPLE OF THE STATE OF NEW YORK еx rel. MICHAEL BRODERICK, Respondent, v. LEVI P. MORTON, CHARLES T. SAXTON AND HAMILTON FISH, Trustees of Public Buildings, and FREDERICK P. EASTON, Superintendent of Public Buildings, Appellants.
Court of Appeals of the State of New York
June 7, 1898
156 N.Y. 136
Argued April 18, 1898
2. LIEUTENANT-GOVERNOR AND SPEAKER. It seems, that a mandamus can run to the lieutenant-governor and speaker of the assembly during the recess of the legislature, provided they have not succeeded to executive power.
3. PUBLIC EMPLOYMENT—VETERANS—MANDAMUS TO TRUSTEES OF PUBLIC BUILDINGS. A mandamus does not lie against the governor, as a trustee of public buildings, to compel him, together with the lieutenant-governor and speaker of the assembly, as the other trustees of public buildings, and the superintendent of public buildings, to reinstate the relator in an employment in a public building on the ground that, being a veteran, he had been removed in violation of chapter 716 of Laws of 1894.
4. CHANGE OF INCUMBENTS IN OFFICE DURING MANDAMUS PROCEEDING. Where, after the issuance of an alternative writ of mandamus to the persons then holding the offices of governor, lieutenant-governor and speaker, to compel them as the trustees of public buildings, and the superintendent of public buildings, to reinstate a veteran in employment, on the ground that he had been removed in violation of chapter 716 of Laws of 1894, a peremptory writ is denied, and the Appellate Division reverses the denial, and the term of office of the persons proceeded against as trustees having expired, orders the peremptory writ to issue to the governor, lieutenant-governor and speaker then in office, without notice to and substitution of such new officials in the proceeding, the order is not sustainable.
5. NON-ABATEMENT OF SPECIAL PROCEEDING. Quære, whether section 755 of the Code of Civil Procedure, relating to the non-abatement of special proceedings, applies to a mandamus proceeding where there has been no death of a party, but certain of the parties proceeded against have gone out of office.
6. SUBSTITUTION OF SUCCESSOR IN OFFICE. It seems, that the practice prescribed by section 1930 of the Code of Civil Proсedure, for the substi
People ex rel. Broderick v. Morton, 24 App. Div. 563, reversed.
(Argued April 18, 1898; decided June 7, 1898.)
APPEAL from a final order of the Appellate Division of the Supreme Court in the third judicial department, entered January 24, 1898, reversing an order of the Special Term refusing a writ of mandamus, and granting a peremptory writ against Frank S. Black, Timothy L. Woodruff, James M. E. O‘Grady and Frederick P. Easton, commanding them as trustees and superintendent of public buildings to reinstate the relator, Michael Broderick, in his employment as laborer in the Capitol building, without prejudice to an action or proceeding to recover damages for his removal.
The facts, so far as material, are stated in the opinions.
G. D. B. Hasbrouck for appellants. The Supreme Court has no jurisdiction to coerce the executive department of the government into obeying its writ of mandamus. (
Michael D. Nolan for respondent. The relator was “removed from his position for other causes than incompetency and conduct inconsistent with the position held,” and was deprived of his rights under
HAIGHT, J. For a number of years the relator had been employed in the Capitol of the state as a laborer, engaged in the running of the senate elevator. On the 2d day of October, 1895, he claims he was discharged. After the expiration of about five months, he procured an alternative writ of mandamus to issue to the then trustees and superintendent of public buildings, requiring his reinstatement as laborer in the Capitol, upon the ground that he was an honorably discharged Union sailor of the war of the rebellion. To the alternative writ an answer was filed on behalf of the defendants, raising an issue, which, upon the stipulation of the parties, was referred to a referee to hear, try and determine. After taking the evidence submitted by the respectivе parties, the referee made his report, finding that the relator had been dropped from the pay rolls by reason of the shutting down of the senate elevators for repairs, and that he had not been removed. Thereupon the peremptory writ was refused by the Special Term. An appeal was then taken to the Appellate Division, where the order of the Special Term was reversed and a peremptory writ issued.
At the time the relator procured the alternative writ of mandamus Levi P. Morton was the governor of the state, Charles T. Saxton, the lieutenant-governor, and Hamilton Fish, the speaker of the assembly.
The
It will be observed that, under the provisions of the statute, the governor, lieutenant-governor and speaker become trustees by virtue of their offices, and that whatever duties devolve upon them as such, pertain to their respective offices.
It is now contended that the Appellate Division had no jurisdiction to award a mandаmus in this case. Much has already been written upon the subject. The courts of most of the states in the Union have had it under consideration, and, while they uniformly agree that the courts have no right nor power to interfere with the governor upon questions involving his judgment and discretion, yet they differ widely as to the power to interfere with his ministerial action. We shall not attempt any extended digest of these cases. Among those tending to sustain the power of the court to compel the executive to perform a ministerial act are Martin v. Ingham (38 Kan. 641); Harpending v. Haight (39 Cal. 189); Middleton v. Low (30 Cal. 596); Tennessee & C. R. R. Co. v. Moore (36 Ala. 380); Chumasero v. Potts (2 Mont. 242); Cotten v. Ellis (7 Jones [N. C.], 545); State v. Chase (5 Ohio St. 528); State v. Moffitt (5 Ohio, 362); Magruder v. Swann (25 Md. 212); Chamberlain v. Sibley (4 Minn. 312).
Of the cases which support the contention that the courts are without jurisdiction to control executive action are the following: Sutherland v. The Governor (29 Mich. 320); State v. Drew (17 Fla. 67); State v. Towns (8 Ga. 360); People ex rel. v. Cullom (100 Ill. 472); People ex rel. v. Bissell (19 Ill. 229); State v. Kirkwood (14 Iowa, 162); State v. Warmouth (22 La. Ann. 1); Dennett, Petitioner (32 Maine, 508); State v. Stone (120 Mo. 428); State v. The Governor (25 N. J. L. 331); Maurau v. Smith (8 R. I. 192); Bates v. Taylor (87 Tenn. 319); 24 Texas, 317; Marbury v. Madison (1 Cranch), 137.
The ministerial duties which it has been held in different states may be compelled by mandamus are the commissioning of a clerk of a court, the issuance of a warrant for the attorney-general‘s salary, the auditing of an officer‘s claim for expenses, the commissioning of officers chosen by the legislature, the issuance of state bonds to a railroad company, the
In this state we have not found, nor has our attention been called to, any controlling authority upon the question. Under our Constitution the right of sovereignty rests in the people of the state, who, from time to time, delegate their power to rule to a government chosen by themselves, consisting of three departments, known as the executive, legislative and judicial. In England the power of the king to govern was modified from time to time by various grants from him, and by Magna Charta, under which thе lawmaking power finally devolved upon Parliament, and the judicial power upon the courts, created by law. This division of power was followed in the formation of our American governments. In our own state the common law was continued in force, except in so far as it has been altered by the Constitution or the legislature.
Under our Constitution the executive power of the state answers to that of the king, and devolves upon the governor during the term for which he is elected. The legislative power is vested in the senate and assembly, which take the place of Parliament, and the judicial power in the courts established in accordance with the provisions of the Constitution. The three great branches of government are separate and distinct, but are coequal and co-ordinate; their powers have been carefully apportioned; one makes the laws, another construes and adjudges as to the rights of persons to life, liberty and property thereunder, and the third executes the laws enacted and thе judgments decreed. While each department, in its sphere, is in a sense independent, each operates as a check or restraint upon the other. The acts of the legislature have to be presented to the executive for his approval. The courts may then construe the acts and determine their validity under the Constitution; and the executive may, in criminal cases, modify the action of the courts by the interposition of his pardoning power. But in every case in which one department controls,
As we have seen, the power of the king has been divided — a portion delegated to Parliament and another portion to the judiciary — but except as delegated to the legislative and judicial branches of the government, his common-law powers remain unchanged, and in our government have been transmitted to the executive.
Under the common law a writ of mandamus issued in the king‘s name to inferior courts, officers, corporations or persons, requiring them to do a particular thing specified. It being issued in the king‘s name, did not run to himself, to Parliament, nor to the judiciary, except such inferior courts as the higher courts had the power to review. Under our Code the writ issues out of the court as an order of the court; but we have attempted by no provision of the statute to change the force and effect of the common-law writ, nor its object and purpose. It, therefore, follows that the writ never issues to the executive or legislative branches of the government, nor to the judicial branch having general and final jurisdiction.
Again, it is the well-settled practice of the court not to determine abstract questions not involved in the litigation, or in regard to which it has no power to enforce its judgments and decrees.
The only way in whiсh a mandamus can be enforced is by the commitment of the party who refuses to obey its commands as for a contempt. But the courts have no power to commit the governor for a contempt. They have no power over his person. He may be impeached, but there is no other way in which he may be deprived of his executive office. It is said, however, that it is not to be supposed that the governor will refuse obedience to the law; but the application in this
But again, it is contended that in this case the executive is one of a board of officers, and that the board may be compelled to act by mandamus. Conceding him to be one of a board of public officers, the duty is one that devolves upon him by virtue of his office. If the courts have not power over his person to enforce its decrees in the one case, they have not in the other.
We have already referred to the discussion оf Judge COOLEY in the Sutherland case, with reference to the grade of duties imposed upon the executive, including ministerial acts, together with those involving executive judgment and discretion; and without repeating his argument here, it appears to us that his reasoning is unanswerable and his conclusions correct.
While we are of the opinion that a mandamus will not issue to the governor to compel performance of an act by him, we see no reason for its not running, during the recess of the legislature, to the lieutenant-governor and speaker of the assembly. During the session of the legislature, they, as members thereof, are not subject to arrest; and it may be that the courts, during that time, would not have the power to enforce their mandates against them; but, after the adjournment of the legislature, and the time has elapsed given by the statute in which they are exempted from arrest, we think their obedience to the writ may be compelled by the courts. True, under the provisions of the Constitution, they in turn may succeed to executive power, upon the happening of certain events; but until they respectively become vested with the powers of the governor, they form no part of the co-ordinate branches of the government, except, as we have already stated, when the legislature is in session.
There is another reason which must control our action in this case. As we have seen, the alternative writ of mandamus was issued during the administration of Governor Morton, when Saxton was lieutenant-governor and Fish was speaker. The Special Term denied the writ, but, upon appeal, the Appellate Division reversed the order of the Special Term
Under the provisions of our
The order of the Appellate Division should be reversed, and that of the Special Term affirmed.
VANN, J. I am of the opinion that a writ of mandamus cannot be issued against either the governor or lieutenant-governor, because the imprisonment of either, which might follow a failure to obey the writ, would disturb the constitutional balance of power between the three great departments of government. As to the governor this is obvious, but the same reason applies to the lieutenant-governor also, because at any moment by the death, resignation, inability or аbsence of the governor the powers and duties of the office devolve upon the lieutenant-governor. Whatever would interfere with his freedom of action when it became his duty to act as governor would interfere with the executive office itself, and might leave the state with no executive head able to act at a time of the greatest need. But while the Constitution, as well as the courtesy due from one department of government to another, forbid the courts to command the governor to do this, or to refrain from doing that, it is still their duty to announce the law, but, under the circumstances, to withhold the command and leave the responsibility of complying with the law, as laid down by the courts, with the chief magistrate. It seems to me, therefore, that we should decide the appeal upon its
Upon examining the record I think the relator was removed in violation of
The judgment appealеd from should, therefore, be so modified as to simply adjudge that the relator was improperly removed and that he is entitled to immediate reinstatement, without costs to either party as against the other.
O‘BRIEN, J. (dissenting). The decision in this case, as expressed in the prevailing opinion, practically abrogates the statute which exempts veteran soldiers in the civil service from removal without legal cause. The defendants are the trustees of the State Capitol under
In January, 1887, the relator, who is a veteran of the late war, was appointed an orderly upon the Capitol. He was not appointed for a definite or limited time, and, therefore, under the statute, could not be removed except for incompetency. He was removed, however, in the month of October, 1895, in defiance of the statute, without legal cause or hearing. He
The cause was then referred and tried by a referee. The issues were matters of law rеally, though it was supposed that there was some question of fact, but just what question was not very clear. The referee found the following facts: (1) That the relator was a veteran. (2) That he was employed running an elevator at the Capitol from February 1, 1887, to October 2d, 1895. (3) That he was then dropped from the payroll. Therefore, every material fact in the case was not only admitted by the pleadings but found by the referee.
But the learned referee held, as a conclusion of law, that although he had been dropped from the payroll, he had not been removed, and he dismissed the writ, with costs. The
My brethren, however, think the Appellate Division was wrong and the referee was right. The reasoning process by which this conclusion is reached does not impress me as sound in law or сorrect in morals; and, since it practically abrogates the statute by denying to the relator any right which it confers, I am constrained to dissent from the judgment and from every ground upon which it is placed. In my view the reasons stated for a reversal in this court of the decision of the court below are utterly untenable, and hence a brief discussion or review of them may not be out of place here.
1. The first proposition, though really foreign to the case, is somewhat startling. The principle that a mandamus will not lie against the governor as a member of the board of trustees of public buildings created by the statute is announced as law in this state, I think, for the first time. It is broadly asserted that the courts have no power to compel the governor, when acting as a member of this board, in appointing or discharging the necessary help in and about the Capitol to obey the statute. It is admitted that every member of the board is bound to obey it; but if the governor neglects or refuses to do his duty, or if he should disregard the statute, the courts, it is said, are powerless to protect the relator‘s rights by mandamus. This proposition is based upon the notion that there is something about the office of governor that places the occupant of the office for the time being above and beyond the law or at least beyond the power of the courts to compel him by mandamus to obey the plain mandate of the statute in the appointment and removal of veteran soldiers. I take it to be an indisputable legal proposition that when the governor of this state accepts a legislative appointment as a member of a board of trustees, with duties prescribed by statute, as the duties of this board clearly are, he is amenable to legal pro
In the famous case of Marbury v. Madison (1 Cranch, 137) Chief Justice MARSHALL stated the principle in a single sentence when he said: “It is not by the office of the person to whom the writ is directed, but the nature of the thing to be done that the propriety or impropriety of issuing a mandamus is to be determined.” In Kendall v. United States (12 Peters, 524) the attorney-general of the United States, representing the government, stated the rule of law on this subject in the following language: “And, as the ordinary character of an officer‘s functions would not always determine the true nature of a particular duty imposed by law, he further agreed that if an executive officer, the head of a department, or even the president himself, were required by law to perform an act merely ministerial, and necessary to the completion and enjoyment of the rights of individuals, he should be regarded, quoad hoc, not as an executive, but as a merely ministerial officer, and, therefore, liable to be directed and compelled to the performance of the act by mandamus if Congress saw fit to give the jurisdiction.” The court, in its opinion in this case, said: “But it would be an alarming doctrine that Congress cannot impose upon any executive officer any duty they may think proper which is not repugnant to any rights secured and protected by the constitution; and in such cases the duty and responsibility grow out of and are subject to the control of the law and not to the direction of the president. And this is emphatically the case where the duty enjoined is of a mere ministerial character.” In Board of Liquidation, etc., v. McComb (92 U. S. 531) the court awarded a mandamus against a board of which the governor of the state was a member, and, referring to the power to do that, stated the rule as follows: “But it has been well settled that when a plain
It would be quite sufficient to rest the question, I think, on our own decisions. In People ex rel. Fonda v. Morton (148 N. Y. 156) we reviewed the action of this very board of trustees, and no one then doubted our power. It is said that the point was not raised in that case; but the very fact that neither court nor counsel supposed that it contained such a question, or that there was anything in this point, goes far now to prove that it is but little more than an attractive novelty. It may, I think, be safely asserted that no respectable authority can be found to sustain the proposition that the courts are without power to enforce by mandamus the performance by the
That the powers and duties of the governor as a member of the board of trustees of public buildings are purely ministerial is a proposition too plain for doubt. The four individuals composing the board had each one vote, and no member had any more power than the other. They were all doing precisely the same thing, that is to say, consulting, voting and deliberating together. It is inconceivable that any one can suppose that three of these were acting ministerially, while the acts of the other were executive. But here again it may be necessary to cite authorities.
In Gray, Governor, v. The State (72 Indiana, 568) it was held that a writ of mandamus will lie against the governor of the state to enforce the performance of a ministerial duty not resting in his discretion; that a ministerial act is one which a person performs in a given state of facts, in a prescribed manner, in obedience to the mandate of legal authority, without regard to, or the exercise of, his own judgment upon the propriety of the act being done.
Concerning the nature of the governor‘s act while serving upon such a board, the court defined it in the following very clear and concise language: “Any power or authority vested by legislation in the governor, together with other officers or persons, in which they are to have an equal voice with him, cannot be executive, as he alone is vested with the executive power of the state. Any duty which he is by law required to perform, in connection with others, in which they have an equal voice with him, can in no sense be said to bе an executive duty. The governor and the other officers named in the act may well be regarded as constituting a board, organized by the legislature for the performance of certain duties, and a mandamus will lie against them to enforce the performance.” (Id. p. 578.)
I have said that there was no authority worthy of the name in favor of the contention that the executive of a state is beyond the power of the courts to compel the performance of an official
This court cannot deal with matters of discretion. The court below has exhaustеd the discretion which courts have in mandamus cases. It has exercised the discretion and granted the writ, and the only question that we can review is whether it had power in that respect. That it had, is to my mind a proposition so clear that I will forbear to discuss it further. I have called attention to a few leading cases, not desiring to enlarge the discussion by reference to numerous others of the highest authority, all holding the same way.
I am not willing to indorse the principle that the maxim which tells us that the king is the fountain of justice and mercy and can do no wrong, has any application to the elected servants of the people of this state. It originated when kings were supposed to rule by divine right, but any one who believes for a moment that it implied the immunity of persons in high seats of power from obedience to the laws, has failed to read correctly the history of the people from whom the maxim has been borrowed. On the contrary, the courts of that country have for ages announced and enforced the principle that no one was so high as to be above the power of the law, or so low as to be beneath its protection. This principle has been transmitted to us, and in the administration of justice it has superseded the ancient maxim that the king can do no wrong.
Nor can I admit for a moment that the judicial power of this state is so feeble as to be unable to reach with its process, in the enforcement of its lawful judgments and decrees, every citizen within its territory, from the governor to the humblest
It is only a short time since the courts fined all the members of a board composed of all the state officers for disobey
(2) But even if the governor was beyond the power of the courts, there are still three other members of the board, constituting a working majority, that no one claims to be exempt from control by mandamus. They have the power, and it is their duty to execute and obey the statute with respect to veterans, and to give to the relator his rights under the law. What reason can this court give for reversing the judgment as to them? Absolutely none that, in my opinion, has the slightest force or weight in law, and this can be made quite clear by a brief review of the grounds upon which the decision of the court below is to be reversed. That ground, as will be seen, consists of questions of practice, and questions of discretion, with none of which this court has anything to do, combined in such a way as to produce what is supposed to be a legal error. It is only necessary to separate the constituent elements upon which the decision rests in such a way that each proposition may be reviewed by itself, and on its own merits. It will then be seen how feeble the argument is upon which thе relator is defeated in the assertion of his just rights under the law.
It is suggested that as three members of the present board were not parties to the original proceeding, but came into office afterwards, the writ was improperly awarded against them. There are several conclusive answers to this point. (1) A party who has proceeded by mandamus against a continuing board or public body for the assertion of a right is not compelled to revive it whenever the personnel of the board is changed by resignation or expiration of the official term
I am, therefore, in favor of affirming the judgment below.
GRAY, BARTLETT and MARTIN, JJ., concur with HAIGHT, J., for reversal.
PARKER, Ch. J., agrees with HAIGHT, J., that mandamus should not issue against the governor, but concurs with O‘BRIEN, J., that it was properly issued against the other defendants, and advises that the order be modified accordingly, and as so modified affirmed.
VANN, J., reads memorandum for modification of judgment.
O‘BRIEN, J., reads for affirmance.
Order reversed, etc.
