Pines v. StatePines v. State
APPEARANCES OF COUNSEL
Stroock & Stroock & Lavan, LLP, New York City (Joseph L. Forstadt, Alan M. Klinger, Ernst H. Rosenberger, Burton M. Lipshie, Jerry H. Goldfeder and Linda M. Melendres of counsel), for Association of Justices of Supreme Court of State of New York and others, amici curiae.
OPINION OF THE COURT
MILLER, J.
At the time this lawsuit was commenced, more than a decade had passed since the plaintiffs and their colleagues in the New York State judiciary had received a pay raise authorized by the legislature. While caseloads continued to increase with each passing year, the compensation of New York jurists remained fixed (see An Overdue Raise, Albany Times Union, June 1, 2005). When adjusted for inflation and the cost of living, the compensation of New York State Supreme Court justices was found to be the lowest in the nation (see Final Report of the Special Commission on Judicial Compensation at 7 [Aug. 29, 2011], available at http://www.judicialcompensation.ny.gov/assets/FinalReportSpecialCommissionJD.pdf [accessed Jan. 16, 2014]).
During this period of stagnant salaries, the plight of the judiciary was widely recognized, even outside of legal circles. Several dozen editorials in a variety of newspapers throughout the state repeatedly emphasized the pressing need for enacting pay increases for the judiciary (see They Deserve Better: Unanimous Support for Judicial Compensation Reform, available at [accessed Jan. 16, 2014]). In addition, professional groups in the legal community, civic and political organizations, educational institutions, and commercial entities across the State of New York expressed their similarly strong support for such long-overdue increases (see id.).
The situation deteriorated to the point that judges and justices, including some of the most respected appellate jurists in the state, felt compelled to resign from the judiciary, citing economic considerations (see e.g. Daniel Wise, Judge Resigns Second Department Over Wages, NYLJ, Sept. 20, 2011; Daniel Wise, Family Trumps Love of Law for Departing Justice, NYLJ, Nov. 15, 2010; Daniel Wise, Second Department Judge Quits Over Lack of a Raise, NYLJ, Aug. 4, 2009). In reaction to one such resignation, Chief Judge Jonathan Lippman was quoted as
In the face of this threat to the judiciary‘s existence as an independent and co-equal branch of the state government, and given the failure of the legislature to enact meaningful relief, members of the judicial branch understandably turned to the courts for recourse. In 2008 alone, three separate groups of jurists sought to hold the legislature accountable for its inaction through the implementation of litigation (see Justin S. Teff, The Judges V The State: Obtaining Adequate Judicial Compensation and New York‘s Current Constitutional Crisis, 72 Alb L Rev 191 [2009]).
In one such case, Matter of Maron v Silver (14 NY3d 230, 261 [2010]), the Court of Appeals held that the legislature‘s practice of linking full-time judicial salary increases to pay incrеases for part-time legislators was an unconstitutional infringement on the independence of the judiciary under the separation of powers doctrine. However, in deference to the legislature‘s discretionary authority, the Court of Appeals refused to direct an increase in judicial compensation (see id. at 263).
In this case, the plaintiffs, duly elected or appointed judges or justices of the Unified Court System, seek a judgment declaring that the compensation of judges and justices of the Unified Court System of the State of New York was duly increased pursuant to Laws of 2009, chapter 51, § 3. The plaintiffs maintain that this legislation effected a pay raise for the judiciary because it set aside approximately $51 million for that purpose, and did not reference the need for аny future legislation.
In navigating the legal issues presented by this appeal, we remain mindful of the distress caused by the legislature‘s past failure to adequately compensate the judges and justices of this state and of the indignation engendered among those who felt such treatment unworthy of a co-equal branch of the government. We also do not fail to recognize the perception that an inherent conflict of interest is presented by a case in which the pecuniary interests of the justices deciding it are implicated. We are nevertheless compelled, by the Rule of Necessity, to determine the merits of this appeal. In so doing, we conclude that the compensation of judges and justices of the Unified Court System of the State of New York was not increased by the enactment of Laws of 2009, chapter 51, § 3. In reaching our de-termination
I. Background
The rate of judicial compensation in the State of New York, subject to certain limitations, has long been entrusted to the province of the legislative branch. The
In the 50 years following the constitutional enactments of 1925, the legislature exercised its authority under the
Eаch year, as a part of the executive budgeting process of this state, the judiciary must estimate its financial needs and transmit a budget request to the Governor, who must include that request in his or her executive budget without revision (see
Beginning with its 2006-2007 budget request, and continuing for the next five years, the judiciary repeatedly noted that the judges and justices of New York had not received pay increases since the 1998 amendment to
The 2006-2007 budget bill presented to the legislature, as amended, included $69.5 million “[f]or expenses necessary to fund adjustments in the compensation of state-paid judges and justices of the unified court system pursuant to a chapter of the laws of 2006” (2006 NY Senate-Assembly Bill S6451-A, A9551-B). The legislature subsequently approved the requested appropriation (see L 2006, ch 51, § 2). However, since the legislature did
Beginning in its 2007-2008 budget request, the judiciary included proposed salary schedules setting forth the increased level of compensation applicable to each of the various classes of judges and justices of this state (see 2007 NY Senate-Assembly Bill S2101, A4301; 2008 NY Senate-Assembly Bill S6801, A9801; 2009 NY Senate-Assembly Bill S51, A151; 2010 NY Senate-Assembly Bill S6601, A9701). These salary schedules included language which would have repealed
In each year from 2007 through 2010, the legislature struck out the language setting forth the proposed salary schedules that would have served to repeal
Judicial compensation continued to be paid out between 2007 and 2011 in accordance with the salary schedules established in
The plaintiffs argued that the 2009-2010 budget that was enacted by the legislature effected an increase in judicial
Notwithstanding what the plaintiffs characterize as the “plain language” of the enacted 2009-2010 budget bill, it is undisputed that state-paid judges continued to receive their compensation in accordance with
Once again, the 2010-2011 budget bill presented to the legislature included provisions that would have amended the salary schedules set forth in
However, later that year, legislation was enacted to create a Special Commission on Judicial Compensation (see L 2010, ch 567, § 1 [a]). The legislation had been introduced because “[s]alaries for State-paid judges and justices of the Unified Court System were last increased pursuant to . . . the Laws of 1998” (Senate Introducer Mem in Support, Bill Jacket, L 2010, ch 567 at 7).
The new law provided that recommendations by the Special Commission “shall have the force of law, and shall supersede inconsistent provisions of article 7-B of the judiciary law, unless modified or abrogated by statute” (L 2010, ch 567, § 1 [h]). In August 2011, the Special Commission recommended certain salary increases beginning on April 1, 2012 (see Joel Stashenko, Staged Raise of 27% is Endorsed for Judges, NYLJ, Aug. 29, 2011, at 1, col 3; William Glaberson, Commission Raises N.Y. Judges’ Pay 27% Over 3 Years, NY Times, Aug. 26, 2011, § A at 1). As all parties to this action acknowledge, these recommended increases went into effect as of April 1, 2012.
After the plaintiffs’ complaint was amended, the State moved to dismiss the amended complaint for failure to state a cause of action or, in effect, in the alternative, for а judgment declaring that the compensation of judges and justices of the Unified Court System of the State of New York was not duly increased by the enactment of Laws of 2009, chapter 51, § 3, and that the State is not obligated to pay the judges and justices of the Unified Court System of the State of New York in accordance therewith retroactive to April 1, 2009. The plaintiffs cross-moved for summary judgment declaring that the compensation of judges and justices of the Unified Court System of the State of New York was duly increased pursuant to Laws of 2009, chapter 51, § 3, and that the State is obligated to pay the judges and justices of the Unified Court System of the State of New York in accordance therewith retroactive to April 1, 2009. The Supreme Court, upon converting the State‘s motion to dismiss into a motion for summary judgment, granted thе plaintiffs’ cross motion and, in effect, denied the State‘s motion (2011 NY Slip Op 34047[U] [2011]). Thereupon, in the judgment appealed from, the court, inter alia, declared that the compensation of judges and justices of the Unified Court System was duly increased
II. Discussion
As a preliminary matter, this case requires a determination as to whether the legislature increased judicial compensation through the enactment of Laws of 2009, chapter 51, § 3. Consequently, as previously recognized, members of this Court have a pecuniary interest in this case and will be affected by the outcome of this appeal (see
“The participation of an independent, unbiased adjudicator in the resolution of disputes is an essential element of due process of law, guaranteed by the Federal and State Constitutions” (Matter of General Motors Corp.—Delco Prods. Div. v Rosa, 82 NY2d 183, 188 [1993]; see
However, “[t]he Rule of Necessity provides a narrow exception to this principle, requiring a biased adjudicator to decide a case if and only if the dispute cannot otherwise be heard” (Matter of General Motors Corp.—Delco Prods. Div. v Rosa, 82 NY2d at 188; see Matter of Maron v Silver, 14 NY3d at 249). “Thus, where all members of the adjudicative body are disqualified and no other body exists to which the appeal might be referred for disposition, the Rule of Necessity ensures that neither the parties nor the Legislature will be left without the remedy provided by law” (Matter of General Motors Corp.—Delco Prods. Div. v Rosa, 82 NY2d at 188; see Matter of Maron v Silver, 14 NY3d at 249).
Here, the self-interest implicated by the issues raised on appeal would provide grounds for disqualifying not only the jus-
The Supreme Court, in reaching its determination of the merits of this action, accepted the plaintiffs’ argument that the plain language of the statute demonstrates that the compensation of judges and justices of the Unified Court System of the State of New York was duly increased through the enactment of Laws of 2009, chapter 51, § 3. The plaintiffs continue to maintain that the plain language of the legislation is determinative of this appeal.
“It is fundamental that a court, in interpreting a statute, should attempt to effectuate the intent of the Legislature” (Patrolmen‘s Benevolent Assn. of City of N.Y. v City of New York, 41 NY2d 205, 208 [1976]; see State of New York v Patricia II., 6 NY3d 160, 162 [2006]). “When interpreting a statute, we turn first to the text as the best evidence of the Legislature‘s intent” (Matter of Theroux v Reilly, 1 NY3d 232, 239 [2003]; see Hudson Val. Oil Heat Council, Inc. v Town of Warwick, 7 AD3d 572, 574 [2004]).
Here, the language upon which the plaintiffs rely states that $51,006,759 was to be appropriated “[f]or expenses necessary to fund adjustments in the compensation of state-paid judges and justices of the unified court system and of housing judges of the New York city civil court” (L 2009, ch 51, § 3).
Contrary to the Supreme Court‘s conclusion, there is no language in the statute that adjusts the salary schedules of the various judges and justices of this state. As in prior years, the plain language of the statute merely directs that a certain sum necessary for adjusting judicial compensation be set aside—what has previously been recognized as a “dry appropriation” (Matter of Maron v Silver, 14 NY3d at 245).
The plaintiffs’ position is that the statute must have adjusted the rates of judicial compensation because it referenced the purpose of the appropriation. However, this argument is not actually based on the plain language of the statute. Instead, it rests on an inference drawn from a reference to the appropriation‘s purpose.
The statute at issue merely appropriated a lump sum of $51,006,759 for compensation adjustments (see L 2009, ch 51, § 3). Accordingly, nothing in the plain language of the statute establishes, within that gross amount, what monies are to be specifically paid to Justices of the Supreme Court and what lesser or greater sums are to be paid to the jurists of the other courts of the State (compare
The plaintiffs argue, inter alia, that the gross $51,006,759 appropriation may be divided by the Chief Judge, in conformity with a salary schedule that was part of the Executive Summary accompanying the judiciary‘s 2009-2010 budget request. However, the Executive Summary was never enacted as part of the statute (see L 2009, ch 51, § 3). Accordingly, the Supreme Court‘s direction that the salаries of the judges and justices of the State be set pursuant to an Executive Summary that was not incorporated into any legislation was in conflict with “the constitutional requirement that judicial compensation be ‘established by law’ ” (Matter of Maron v Silver, 14 NY3d at 249, quoting
The Supreme Court‘s characterization of this failure to enact the new salary schedules as nothing more than a lack of precision in itemization is unpersuasive. It is true that, as a general matter, “the degree of itemization necessary in a particular budget is whatever degree . . . is necessary for the Legislature to effectively review that budget” (Saxton v Carey, 44 NY2d 545, 550 [1978]). Indeed, gross appropriations to other departments of state government, such as the Department of Motor Vehicles or the Department of Health, may be divisible by the heads of those departments as they deem fit. However, the judiciary occupies a different constitutional plane, and the legislature‘s flexibility in itemization does not free it of its constitutional duty to establish the level of judicial compensation “by law” (
Despite the plaintiffs’ position that the legislature‘s intent may be determined by the plain language of the statute, they nevertheless contend that the legislature‘s intent may be gleaned from the language that was included within brackets in the proposed bill, but was specifically omitted by the legislature in the final version that was enacted into statute. In this regard, the plaintiffs cite to the fact that the enacted budget statute omitted language indicating that adjustments in judicial compensation would be accomplished “[pursuant to a subsequent chapter of law specifying such salary levels]” (2009 NY Senate-Assembly Bill S51, A151 [brackets in original]; compare L 2009, ch 51). The plaintiffs contend that by enacting the 2009-2010 budget statute without this reference to the enactment of future legislation, the legislature manifested its intent to increase judicial compensation.
In support of their contention, the plaintiffs rely on the Court of Appeals’ decision in Matter of Maron v Silver (14 NY3d 230 [2010]). In that case, the Court of Appeals considered section
The plaintiffs note that unlike the 2006-2007 state budget at issue in Matter of Maron v Silver, the 2009-2010 budget at issuе here did not contain any reference to future legislation. The plaintiffs point out that the Court of Appeals cited this factor during the course of its analysis, stating that the appropriation “was explicitly made contingent upon the adoption of additional legislation,” and that there would have been no need for the qualifying language if the legislature had intended the appropriation to “be self-executing” (id.).
However, the plaintiffs’ reliance on Matter of Maron v Silver is misplaced. That case did not turn solely on the reference to anticipated legislation in the statute. Indeed, the Court also stated that “a mere provision calling for a lump-sum payment . . . without repeal or revision of the
Moreover, if, as the plaintiffs contend, we must look outside the plain language of the appropriation itself to resolve any ambiguity as to the legislature‘s intent, we must consider all other extrinsic information—legislative dеbate, legislative history, language amendments, and the circumstances surrounding the statute‘s passage—that speak to the legislature‘s intent
With the door open to extrinsic information, it must be recognized that during the floor debates, members of the legislature expressed the view that the adjustment of judicial salaries could not take place without repeal or amendment of
“As required by New York State‘s Constitution, judicial salaries are and have always been set by law,
Article VII (B) of the Judiciary Law . A reappropriation of potentially available monies cannot and does not change that law and what it certainly does not authorize is any salary increases. The notion thаt the Office of Court Administration has been somehow authorized or empowered to ignore both theNew York State Constitution andArticle VII (B) of the Judiciary Law by some words stricken from an appropriation is 100 percent incorrect. Simply stated, some redundant words were removed, but these words could be replaced if that was deemed necessary to eliminate any contrived confusion in a chapter amendment. No New York State court in any case, and there have been several, has ever determined that judicial salaries could be adjusted without amendments toArticle VII (B) of the Judiciary Law ” (NY Assembly Debate Transcript on Assembly Bill A151, Mar. 31, 2009 at 378).
Similarly, during the Senate floor debate, the following colloquy took place:
“THE SECRETARY: . . . Assembly Budget Bill, Assembly Print Number 151A, an act making appropriations for the support of government: Legislature and Judiciary Budget.
“ACTING PRESIDENT VALESKY: Senator DeFranсisco [ranking member of the State Finance Committee], on the bill. . . .
“SENATOR DeFRANCISCO: . . . If Senator John Sampson, chair of Judiciary, could answer a question, I‘d appreciate it. . . .
“SENATOR DeFRANCISCO: . . . Senator Samp-son,
in the Governor‘s proposed budget there was a pot of money designated for judicial salaries. And the understanding was out of the judiciary budget that was submitted by the judiciary and submitted by the Governor, that out of that money there was enough money available for a salary increase for the judiciary. “I understand that the language authorizing such an increase is not in the final budget; is that correct?
“SENATOR SAMPSON: That‘s correct. . . .
“SENATOR DeFRANCISCO: In order for the judiciary to receive a salary increase from this budget, is it correct that there would have to be a separate bill authorizing such an increase separate and apart from this budget?
“SENATOR SAMPSON: That‘s correct, Senator . . .
“SENATOR DeFRANCISCO: One last question, . . . just to be clear. . . .
“SENATOR DeFRANCISCO: Stated another way, the only mechanism for a judicial salary increase would be through a separate piece of legislation. And just because the same money is in the budget, that would not authorize, for example, the head of the Office of Court Administration or the Chief Judge of the Court of Appeals to simply grant an increase?
“SENATOR SAMPSON . . . [Y]ou are correct, Senator DeFrancisco” (NY Senate Debate Transcript on Senate Bill S51, Apr. 3, 2009 at 3400-3403).
The plaintiffs’ position that the legislature evinced its intent to adjust the judicial salary schedules contained in
The legislature‘s intent was even more fundamentally expressed through substantive changes made to the proposed legislation. In enacting the statute, the legislature struck the provisions of the bill which contained the new salary schedules that had been proposed by the judiciary. Indeed, despite its conclusion that the increase in judicial compensation was compelled through the plain language of the statute, the Supreme Court was unable to effect the salary adjustment through use of the language that was actually enacted. It was compelled to utilize salary schedules that were not only outside the language of the statute, but were affirmatively deleted by the legislature. As was the case in Matter of Maron v Silver, the legislature‘s decision not to explicitly repeal or revise
The new salary schedules which the Supreme Court directed to be implemented based on the plain language of the statute were not only stricken from the enacted version of the statute, but they directly conflict with the duly-enacted salary schedules contained in
“Repeal by implication results from some enactment, the terms and operation of which cannot be harmonized with the terms and necessary effect of an earlier statute” (
“As laws are presumed to be passed with deliberation and with full knowledge of all existing ones on the same subjects, it is but reasonable to conclude that the legislature, in passing a statute, did not intend to interfere with or abrogate any former law relating to the same matter, unless the repugnancy between the two is irreconcileable” (Bowen v Lease, 5 Hill 221, 226 [Sup Ct, NY Cir 1843]; see Czarnowsky v City of Rochester, 55 App Div at 390).
“In order to have this effect, the repugnancy must be so palpable that upon reading the two acts together it is obvious, without the aid of elаborate argument, that both could not have been intended to remain in force at the same time” (Matter of Tiffany, 179 NY at 457). “If by any fair construction, both statutes can be given operation, implied repeal will not be declared” (Cimo v State of New York, 306 NY 143, 149 [1953]).
Here, the subject appropriation contained in Laws of 2009, chapter 51, § 3, can be reconciled with
The more convincing view is that the legislature, in enacting the appropriation, was continuing upon the same course it had established in the preceding years—appropriating the
It is notable that the Supreme Court made no finding that the legislature intended to adjust the existing salary schedules in enacting the 2009-2010 budget bill. The Supreme Court instead stated that it would “draw the only appropriate conclusion as to the words chosen by the Legislature” (2011 NY Slip Op 34047[U], *7). In effect, the Supreme Court determined that the legislature, by enacting the subject appropriation, had unwittingly given the judiciary a raise. The plaintiffs have even explicitly taken this position, stating “[w]hether by intention or inadvertence, ch. 51 fully and finally increased judicial compensation” (emphasis added).
This argument revеals a fundamental misapprehension of the basic tenets of statutory interpretation. “Since the intention of the Legislature, embodied in a statute, is the law, in the construction of statutes the basic rule of procedure and the primary consideration of the courts is to ascertain and give effect to the intention of the Legislature” (
III. Conclusion
For years, the elected officials comprising the legislature publicly extolled the merits of a pay increase for the judiciary and professed to demonstrate their good intentions by ap-
propriating
In sum, we conclude that the legislature did not adjust judicial compensation through the enactment of Laws of 2009, chapter 51, § 3. In so doing, we make no comment on the wisdom of the legislature‘s decision or the manner in which it was carried out. Accordingly, the judgment is reversed, on the law, the plaintiffs’ cross motion for summary judgment is denied, the State‘s converted motion for summary judgment is granted, the order is modified accordingly, and the matter is remitted to the Supreme Court, Nassau County, for the entry of an appropriate judgment declaring that the compensation of judges and justices of the Unified Court System of the State of New York was not increased by the enactment of Laws of 2009, chapter 51, § 3.
Dillon, J.P., Lott and Cohen, JJ., concur.
Ordered that the judgment is reversed, on the law, without costs or disbursements, the plaintiffs’ cross motion for summary judgment is denied, the defendant‘s converted motion for summary judgment is granted, the order is modified accordingly, and the matter is remitted to the Supreme Court, Nassau County, for the entry of an appropriate judgment declaring that the compensation of judges and justices of the Unified Court System of the State of New York was not increased by the enactment of Laws of 2009, chapter 51, § 3.
Motion by the respondents, on an appeal from a judgment of the Supreme Court, Nassаu County, entered March 16, 2011, inter alia, to strike portions of the appellant‘s brief on the
Upon the papers filed in support of the motion, the papers filed in opposition thereto, and upon the argument of the appeal, it is
Ordered that the branch of the motion which is to strike portions of the appellant‘s brief on the ground that they refer to matter dehors the record is denied.