State Ex Rel. Childress v. AndersonState Ex Rel. Childress v. Anderson
Relators, Larry B. Childress, Penny L. Childress and McLean Enterprises, Inc., appeal the trial court’s denial of their petition for writ of mandamus. We affirm.
Relators’ petition sought to compel respondents, Deborah Anderson, City Clerk of the City of Springfield, Missouri, (clerk) and the members of the Springfield City Council (council), “to comply with Section 14.4 of the Charter of the City of Springfield, and place the citizen-initiated measure on the ballot in the event the city clerk determines that the proper number of signatures appear on the initiative petitions_” The citizen-initiated measure seeks to submit to the citizens of Springfield a proposal to rezone two contiguous parcels of land located in the City of Springfield from residential to commercial use. The ordinance at issue was never submitted to the city planning and zoning commission (commission) for its examination and recommendation.
After the petition was submitted to the clerk, the council passed Resolution No. 8071 directing the clerk to “take no action with respect to any initiative petition pertaining to the rezoning of property in the City of Springfield, Missouri, under Article XIV of the City of Springfield Charter because the rezoning of property is not subject to the initiative process as decided by the Missouri Supreme Court in
State v. Donohue,
No alternative writ was issued. Respondents filed a “Motion to Dismiss and Suggestions in Opposition to the Issuance of a Writ of Mandamus” (Motion to Dismiss). One point of the Motion to Dismiss stated that the petition was unverified and contained no recitation of facts which, if true, would require the clerk to review signatures of any petition presented to her. The Motion to Dismiss also stated that there were unverified references to facts in the suggestions filed by relators, but that this is insufficient to support the issuance of a preliminary writ in mandamus. After relators filed a motion
The trial court then rendered judgment as follows:
NOW ON this 27th day of April, 1993, Relator’s (sic) Motion for Judgment on the Pleading, [and] Respondents’ Motion to Dismiss ⅜ * ⅞ are before this Court for consideration. After being fully advised in the premises, it is hereby,
ORDERED, ADJUDGED AND DECREED that * * * Relatorsf] Petition for a Writ of Mandamus is denied. Judgment is entered in favor of Respondents. Costs assessed against Relators.
The procedure for a mandamus proceeding was set out in
State ex rel. Schaefer v. Cleveland,
The usual procedure in a mandamus case is for the petition to be filed, the court to determine whether an alternative writ should issue, denial of the writ or issuance of same, and answer to the alternative writ if issued. It is not the petition for the writ but the alternative writ in mandamus which corresponds to the petition in an ordinary civil action. Therefore, it is the alternative writ, and not the petition, to which a respondent makes his return. An order refusing an alternative writ of mandamus is not a final judgment or order and is not appealable. The remedy for refusal to issue a mandamus is by a direct application to the higher court which has jurisdiction in such matters.
Where, however, the respondent appears without service of an alternative writ, and makes his return, the petition stands as and for the alternative writ itself for the purposes of the case and the return. Where the court dismisses the petition following answer or motion directed to the merits of the controversy and in so doing determines a question of fact or law the order is final and appealable.
(Citations omitted.) Here, reasonably construing the trial court’s judgment, based on the motions and pleadings, it appears to be a dismissal pursuant to respondents’ motion to dismiss rather than a denial of the petition. The motion to dismiss was, in part, directed to the sufficiency of the allegations to state a claim for relief. Therefore, we consider as true all well pleaded facts. Id., at 869. Also, the trial court’s ruling pursuant to respondents’ motion to dismiss is a ruling on the sufficiency of the allegations, an issue of law. Id., at 870[6, 7]. As such, the trial court’s judgment is final and appealable and we have jurisdiction. Id.
Moreover, the record shows that the parties submitted affidavits and exhibits along with their suggestions to the trial court. When a party introduces evidence beyond the pleadings, a motion to dismiss is automatically converted to a motion for summary judgment.
Hyatt Corp. v. Occidental Fire & Cas.,
We turn to the merits. In their point on appeal, containing two subpoints, relators contend that the trial court erred in refusing to issue a peremptory writ of mandamus directing the clerk to verify the sufficiency of an initiative petition for the rezoning of a tract of land within the City of Springfield because the act of verifying the sufficiency of an initiative petition is a non-discretionary, ministerial act in that (A) the Springfield city charter mandates that the clerk verify the sufficiency of all initiative petitions filed in the clerk’s office; and (B) the citizens of Springfield have, through their charter, reserved the power to rezone land through the initiative process.
A writ of mandamus is appropriate only where it compels ministerial actions; it mRy not be utilized to compel the performance of a discretionary duty.
State ex rel. Schaefer v. Cleveland,
at 870[8, 9]. It is not a writ of right,
Anderson v. Smith,
377
Municipal charters are adopted by a vote of the citizens of a municipality.
Under our constitutional assumptions, all power derives from the people, who can delegate it to representative instruments which they create.
City of Eastlake v. Forest City Enterprises, Inc.,
The provisions under which the people proceed in an initiative and referendum should be liberally construed.
State ex rel. Ford v. Brawley,
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A limitation on the field in which direct legislation, that is, initiative and referendum, is operative may be express or may arise by implication. Express limitations on the power of the people of a state appear in the constitution of the state; express limitations on the power of the people of a municipality may appear in the state constitution, the municipal charter, and in the general law of the state.
The courts will not hold that there is an implied limitation on the powers of initiative and referendum unless the language of the provisions establishing the powers clearly compels such an interpretation.
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Where the required procedure for a particular ordinance involves steps such as notice and hearing, in addition to normal legislative deliberations, such an ordinance is not subject to initiative and referendum.
Generally, a statute giving a municipal commission authority to act in a particular field does not bar the right of initiative of the people in that field unless it gives the commission powers independent of the powers of the city council. In line with this rule, where the city council’s power to enact legislation on a subject is limited by a requirement that there be prior action bya municipal commission, initiative is not available.
Here, relators contend that the clerk does not have discretion to review or not review an initiative petition for its sufficiency. Section 14.4 of the charter pertaining to the filing and certification of the petition provides, in pertinent part:
Within twenty days after a petition is filed, the city clerk shall determine whether each paper of the petition has a proper statement of the circulator and whether the petition is signed by a sufficient number of qualified electors.... After completing his examination of the petition, the city clerk shall certify the result thereof to the council at its next regular meeting. If he shall certify that the petition is insufficient, he shall set forth in his certificate the particulars in which it is defective and shall at once notify the person filing the petition of his findings. [Emphasis added.]
Under the terms of § 14.4 above, the clerk is given no discretion, and “shall” examine a petition for its sufficiency and certify the result thereof to the city council. Thus, sub-part A of relators’ point, contending that the clerk has no discretion to review or not review an initiative petition, is well taken.
The crucial question we must decide, however, is presented by subpart B of rela-tors’ point on appeal. That is, whether the citizens of Springfield have, through their charter, reserved to themselves the power to rezone land through the initiative process. If the citizens of Springfield have not, in their charter, reserved to themselves the power to enact zoning ordinances through the initiative process, then the proposed ordinance would be unlawful, the certification of the petition would serve no useful purpose, and mandamus would be properly refused.
The crux of relators’ contention is that § 14.1 of the Springfield charter allows the initiative process in zoning matters. Section 14.1 is the general provision reserving to the citizens of Springfield the power to enact legislation through initiative and provides, in pertinent part:
The electors shall have power to propose any ordinance, except an ordinance appropriating money and to adopt or reject the same at the polls, such power being known as the initiative. Any initiated ordinance may be submitted to the council by a petition signed by qualified electors of the city equal in number to at least ten percent of the total number of persons voting at the last regular municipal election.
Further, § 14.6 of the charter, regarding the procedure to be followed upon the certification of an initiative petition, provides in pertinent part:
When an initiative petition has been certified as sufficient, the council shall proceed at once to consider the proposed ordinance, taking final action thereon not later than thirty days after certification.
If the council shall fail to pass an ordinance in the form proposed by the initiative petition, it shall after the final action thereon call a special election on the next date authorized by law for such election. ... At such special or general municipal election, such ordinance shall be submitted without alteration to the vote of the electors of the City....
It is clear from the face of these provisions that zoning matters are not, by express terms, excluded from the initiative process.
Article XI of the Springfield charter, however, deals specifically with planning and zoning. Respondents argue that to allow zoning measures to be enacted through the initiative process would be inconsistent with the charter provisions dealing specifically with the enactment of zoning measures in that § 11.17 deals with zoning and provides, in pertinent part:
The city planning and zoning commission shall exercise the authority vested in a zoning commission by the State Zoning Enabling Acts. * * ⅜ The commission shall hear applications for amendments, modifications or revisions of the zoning ordinance and shall forward such applications to the council with its recommendations thereon. The recommendations of the commission shall not be binding on the council, which may approve or disapprove the commission findings; however, no general city plan, or zoning ordinance, or any modification, amendment or revisionsthereof, shall be considered by the council unless the same shall have been first submitted to the commission for its examination and recommendation. [Emphasis added.]
Thus, bearing in mind the rules we have enunciated regarding the interpretation and construction of municipal charters, the question becomes whether the citizens of Springfield, by the adoption of charter provisions pertaining specifically to initiative and zoning, have preempted zoning ordinances which have not been submitted to the commission for examination and recommendation from being enacted through the initiative process. Under the initiative process set out in § 14.6 of the charter, the council “shall proceed at once to consider the proposed ordinance, taking final action thereon not later than thirty days after certification.” (Emphasis added.) However, § 11.17 of the charter requires that before zoning ordinances be considered by the council, the planning commission must first examine the ordinance and make a recommendation.
Here, there is an inherent conflict between §§ 11.17 and 14.6 when the ordinance proposed by initiative is a zoning ordinance which has not been submitted to the commission for its examination and recommendation, because there is no provision in the initiative process for the commission to examine the ordinance and make a recommendation, as required by § 11.17, before the city council considers the ordinance. This conflict is highlighted further by § 11.7(2) of the charter which provides that all rezoning of land should generally conform with the guidelines in the master plan and should be reviewed for consistency with the master plan. The master plan for the physical development of the city, and amendments thereto, are, under charter § 11.2(1), required to be prepared and recommended by the commission. The commission is also required, under §§ 11.2(5) & (6), to review and make recommendations with respect to proposed changes in the zoning ordinance and zoning map, and to hold public hearings on requests for rezoning and amendments to the zoning ordinance.
Therefore, to permit zoning measures to be enacted pursuant to the initiative process would circumvent the procedure set forth in the charter, providing for examination and recommendation by the commission.
A ease involving a conflict between a general charter provision pertaining to initiative and a special charter provision relating to public works or improvements was addressed by our Supreme Court in
Baum v. St. Louis,
A similar situation was presented to our Supreme Court in
State ex rel. Powers v. Donohue,
Relators attempt to distinguish
Baum
on the fact that the charter provided that the initiative shall be exercised “subject to the provisions of this charter,” and no such similar language modifies the initiative provision in the Springfield charter. The modification of the initiative provision contained in
Baum,
however, is really nothing more than a statement of the rule of construction, recognized in Missouri, that conflicting provisions of a charter must be harmonized and reconciled so as to give effect to both in the light of the intent which has been expressed in the charter as a whole.
Stiers v. Vrooman,
Relators argue that
Baum
and
Donohue
should not be followed, since
Donohue
relied on
Baum
and
Baum
relied heavily on
Hurst v. City of Burlingame,
Associated Home Builders,
however, is distinguishable at least by the fact that there is no constitutional provision in Missouri, which we have found or to which we have been directed, as was present in
Associated Home Builders,
which would secure the initiative on behalf of municipal voters. In any event, we do not perceive the fact that
Hurst
was overruled in California as affecting the vitality of the
Baum
and
Donohue
eases of our Supreme Court.
Baum
and
Donohue
have not been overruled in Missouri, and as such they are controlling.
Accordingly, we conclude that the citizens of Springfield have reserved to themselves the power of initiative but have also required that zoning ordinances be submitted to the commission for examination and recommendation prior to consideration by the council.
Respondents argue that to construe the charter provisions so as to allow zoning measures to be enacted through the initiative would conflict with state law, specifically § 89.060 R.S.Mo.1986. (All statutory references are to R.S.Mo.1986 unless otherwise noted.) Section 89.060 provides that the provisions of § 89.050 relative to public hearing and official notice shall apply to all changes or amendments to zoning regulations, restrictions, or boundaries. Section 89.050 provides, in pertinent part:
... no such regulation, restriction, or boundary shall become effective until after a public hearing in relation thereto, at which parties in interest and citizens shall have an opportunity to be heard. At least fifteen days’ [sic] notice of the time and place of such hearing shall be published in an official paper or a paper of general circulation in such municipality.
Respondents argue, essentially, that to allow zoning to be enacted through the initiative provision of the Springfield charter would put that charter provision in conflict with state law.
Relators argue against this contention, relying mainly on
State ex rel. Hickman v. City Council of Kirksville,
[I]n view of the United States Supreme Court case of City of Eastlake v. Forest City Enterprises, Inc.,426 U.S. 668 ,96 S.Ct. 2358 ,49 L.Ed.2d 132 (1976), the vitality of the Donohue case may have been sapped. The Eastlake court held that use of a referendum in a zoning issue is not invalid on a procedural due process theory (i.e. lack of hearing and notice) because the people can reserve to themselves power to deal directly with matters which might otherwise be assigned to a legislative body.
Id.
Hickman involved the City of Kirksville, a city of the third class which is not a charter city. As such, the citizens of Kirksville, in an effort to adopt zoning ordinances by initiative, were exercising powers granted by the state legislature. § 78.200. Hickman ruled that the power to adopt ordinances by initiative, granted by the state legislature to citizens of third class cities in § 78.200, was not precluded in zoning matters by the notice and hearing requirements of § 89.010 et seq.
Here, however, we are concerned with a charter city, and the power of initiative that the citizens of Springfield have reserved to themselves. As previously found, the citizens of Springfield, through their charter construed as a whole, did not reserve to themselves the power to adopt, through the initiative process, a zoning ordinance which has not been submitted to the commission for examination and recommendation. As such, it is not necessary for the resolution of this case to decide the question, raised by respondents, of whether § 89.010 et seq. preempts the adoption of zoning measures through initiative in a charter city.
To the extent, however, that
Hickman
suggests the holding of
Donohue
is no longer valid after
Eastlake,
we disagree, as the issues presented in
Eastlake
and
Donohue
were not the same. The
Donohue
holding, disallowing initiative in zoning matters, was not based on an application of the due process clause of United States Constitution, but rather it was based, as here, on a construction of the charter’s initiative provision in conjunction with other provisions of the same charter.
Eastlake
dealt with the applicability of the United States Constitution to a
Here, as was the case in Donohue, we are not construing the United States Constitution or the Missouri Constitution, but are considering the compatibility of a provision of the Springfield charter, which allows ordinances to be enacted through initiative, with other provisions of that charter relating specifically to the adoption of zoning ordinances and providing specific procedures for the adoption of zoning ordinances. Nor is there any contention that the initiative provision here is an unconstitutional delegation of power or that it violates any other constitutional provision. Therefore, under the circumstances of this case, we conclude that the reasoning of Donohue, that a charter’s provisions for notice and hearing on proposed zoning ordinances may not be circumvented by the adoption of zoning measures through the initiative process, is alive and controlling.
The judgment of the trial court is affirmed.