Griswold v. City of Homer
Griswold v. City of Homer
Opinion of the Court
OPINION
I. INTRODUCTION
After the Homer City Council passed an ordinance limiting the floor area of stores in three City of Homer zoning districts to between 20,000 and 45,000 square feet, Homer residents passed an initiative that increased the area to 66,000 square feet for all three zoning districts. Homer resident Frank Griswold sued the city and argued that the initiative was invalid for various reasons. The superior court upheld the initiative and granted summary judgment to the city. Griswold appeals, arguing that zoning is not a proper subject for an initiative. Because this zoning initiative impermissibly bypassed the Homer Advisory Planning Commission, and therefore exceeded the city council's own legislative power, we conclude that the initiative was invalid. We consequently remand for entry of judgment for Griswold.
II. FACTS AND PROCEEDINGS
When Fred Meyer, Inc. publicly announced plans in late 2002 to build a 95,000-square-foot store in Homer, the city began an extensive review of its existing zoning code to determine whether it needed to alter
While those hearings were still being conducted, Homer voters in March 2004 filed with the city clerk an initiative petition that proposed a "footprint area" of 66,000 square feet for retail and wholesale business buildings in the Central Business District, General Commercial 1 District, and General Commercial 2 District. On April 12, 2004, the city council passed Ordinance 04-11(A), which set building floor area limits of 35,000 square feet in the Central Business District, 20,000 to 45,000 square feet in the General Commercial 1 District, and 45,000 square feet in the General Commercial 2 District. On the same day, in response to the initiative petition, the city council scheduled an election on the initiative for June 15, 2004. The voters approved the initiative at the June 15 election; the initiative became effective on June 21, 2004 as Ordinance 04-18.
Stating that a change in the zoning code sections was "required to properly convey the will of the voters," and that an ordinance was "necessary to implement the will of the voters," in February 2005 the city council enacted Ordinance 05-02, adopting a maximum floor area of 66,000 square feet for retail and wholesale business buildings in the three affected zoning districts. Ordinance 05-02 amended Ordinance 04-11(A) to reflect the text of the initiative. Ordinance 05-02 also effectively defined "footprint area" as "floor area," meaning "the total area occupied by a building, taken on a horizontal plane at the main grade level, exclusive of steps and any accessory buildings."
Frank Griswold challenged the initiative in the superior court, claiming among other things that the initiative process could not be used to amend the zoning code. The city prevailed on summary judgment.
Griswold appeals.
III. DISCUSSION
A. Standard of Review
We review a grant of summary judgment de novo.
B. The Initiative Was an Invalid Exercise of the City's Legislative Authority Because It Bypassed the Homer Advisory Planning Commission.
Griswold argues that the zoning initiative is invalid for several reasons. He contends, among other things, that the zoning authority delegated to the City of Homer requires it to pass only zoning ordinances that are consistent with the city's comprehensive plan. The city, citing Citizens Coalition for Tort Reform v. McAlpine,
The power to initiate cannot exceed the power to legislate.
We first review the statutory sources of that power. Alaska Statute 29.40.010 requires first and second class boroughs to provide for "planning, platting, and land use regulation on an areawide basis."
These statutes require "areawide" planning and creation of a comprehensive plan "for the systematic and organized development" of the community, and they implicitly recognize the importance of the planning commission and the comprehensive plan to the process of regulating land use.
A planning commission has statutory responsibilities beyond drafting the comprehensive plan. Per AS 29.40.020(b)(2), the commission must also "review, recommend, and administer measures necessary to implement the comprehensive plan, including measures provided under AS 29.40.040."
The statutes therefore expressly require that the planning commission have an active role in creating a comprehensive plan for "systematic and organized" local development, reviewing and recommending zoning regulations, and adopting measures "necessary to implement the comprehensive plan."
We now consider the second source of the city's power to regulate land use. The Kenai Peninsula Borough, by ordinance, delegated the zoning power to cities willing to accept the delegation, and also delegated to those cities power to establish a planning commission "to hear all requests for amendments to zoning codes."
The City of Homer created the Homer Advisory Planning Commission, in accordance with AS 29.40.020 and KPBC 21.01.020.
The city council also has the power to propose amendments to zoning ordinances,
The relevant state statutes are clear. A borough or a city, having the power possessed by the City of Homer, cannot pass or amend a zoning ordinance without involving its planning commission in reviewing that ordinance.
Likewise, KPBC 21.01.020(B) gives the city council power to establish a planning commission to hear all requests for amendments to zoning codes.
It is for this reason that zoning by initiative is invalid. The Homer City Council does not have the power to pass piecemeal zoning amendments without at least giving the Homer Advisory Planning Commission opportunity to review the proposals and make recommendations. Therefore, voters, who have no obligation to consider the views of the planning commission or be informed by its expertise, cannot use the initiative process to eliminate the planning commission's role in "areawide" land use planning and regulation, and thus potentially undermine the comprehensive plan for "systematic and organized" local development.
The city contends that we must determine "IwJhether the Constitution and statutes preempt the use of the initiative for zoning ordinances." But, because the initiative was local, and not statewide, the power to initiate here was directly derived from AS 29.26.100, not article XI, section 1 of the Alaska Constitution.
The city also contends that initiatives are not "governed by all the procedures ordinarily applicable to the enactment of city council ordinances." The city seems to argue that because notice and a hearing are required for a city council ordinance but not an initiative, it is acceptable for initiatives to bypass certain procedural requirements. But as seen above, the participation of the city's planning commission in the zoning process required by the legislature and the borough is more than just a mere procedural requirement.
The facts in this case illustrate how the initiative process limits or even eliminates the intended role of a planning commission. The planning commission spent many months considering appropriate floor area limits for business buildings in the affected zoning districts. The city council charged the commission with "develop[ing] standards for addressing large retail and wholesale development" and "recommend[ing] a size cap for large retail and wholesale development." To that end, the commission, city council, and a task foree conducted more than a dozen hearings. The commission reviewed recommendations from the Large Structure Impact Task Force and the Chamber of Commerce Legislative Committee; researched necessary improvements to lighting, landscaping, stormwater drainage, and parking; and developed standards for traffic and economic impact analyses. The commission explicitly applied the standards found in
Given the public hearings that were being conducted and the opportunity for public debate, it is logical to ask whether the voters had, in effect, the same access as the council to the recommendations of the planning commission, and thus whether the initiative process did not actually bypass the planning commission. The council was required to consider the commission's recommendations, even if it ultimately rejected them. The council acts as a collegial and public body; it is a matter of public record whether it addresses the commission's recommendations and attempts to reconcile proposed amendments with the comprehensive plan and state and borough ordinances. That is not at all the process an initiative election follows. Just as the council cannot choose to completely ignore the recommendations in adopting a zoning amendment, the voters cannot pass an initiative in which the commission's recommendations play no formal, or perhaps even informal, role at all.
The commission does more than simply give notice of hearings and allow the public to be heard on the subject of zoning ordinances. If a zoning amendment is proposed, the commission's role is to analyze the impact of the proposed changes in light of the city's development goals as stated in the comprehensive plan, and to suggest other changes that should accompany the proposed zoning amendment.
The city argues that if an initiative fails to comply with the comprehensive plan, a court could review it post-enactment. Because the dispute here turns not on consistency with the comprehensive plan, but on the involvement of the planning commission in the amendment process, we are unconvinced by this argument.
The city argues that the ultimate issue here is "whether the Alaska Constitution or statutes do or do not delegate the power to enact zoning regulations exclusively to the city couneil." The city argues the people's power to enact zoning measure by initiative is precluded if the constitution and statutes delegate the power to zone exclusively to the city council. The city implies that for Gris-wold to prevail we must find that the city council exclusively has the power to zone. We disagree, and instead conclude that Gris-wold prevails because zoning by initiative eliminates the planning commission's role both specified and implied in state statutes and borough ordinances.
Finally, we consider the validity of Ordinance 05-02. The city argues that because Griswold failed to adequately brief his request to strike down Ordinance 05-02, that ordinance should not be invalidated.
Griswold preserved the issue below. His complaint asked the superior court to "enter an injunction preventing [the initiative's] enforcement or the enforcement of any other ordinance adopted or enacted as a result of this illegal action." Summary judgment was granted in favor of the city on that cause of action before the city council enacted Ordinance 05-02.
Griswold adequately argues on appeal that Ordinance 05-02 would not have been enacted but for passage of the initiative. The "whereas" clauses of Ordinance 05-02 seem to establish that the only purpose of the ordinance was "to implement the will of the voters." The ordinance gives no indication that the council was giving independent consideration to the planning commission's ree-ommendations or that it was considering the zoning amendment on its own merits in light of the comprehensive plan. We are consequently persuaded that because the initiative is invalid, the only legislative purpose for passing Ordinance 05-02 is now absent; Ordinance 05-02 is therefore also invalid.
IV. CONCLUSION
We REVERSE the superior court's grant of summary judgment and REMAND for entry of judgment for Griswold.
. Homer City Code (HCC) 21.32.208.
. Alaska Action Ctr., Inc. v. Municipality of Anchorage, 84 P.3d 989, 991 (Alaska 2004).
. Id.
. Citizens Coal. for Tort Reform v. McAlpine, 810 P.2d 162 (Alaska 1991) (stating that people's constitutional right to initiate is broad and should be liberally construed).
. Municipality of Anchorage v. Frohne, 568 P.2d 3, 8 (Alaska 1977) (citations omitted) ("[The subject of the initiative must constitute such legislation as the legislative body to which it is directed has the power to enact.").
. AS 29.40.010 provides:
(a) A first or second class borough shall provide for planning, platting, and land use regulation on an areawide basis.
(b) If a city in a borough consents by ordinance, the assembly may by ordinance delegate any of its powers and duties under this chapter to the city. The assembly may by ordinance, without first obtaining consent of the city, revoke any power or duty delegated under this section.
. AS 29.40.010(b).
. AS 29.40.020 provides:
(a) Each first and second class borough shall establish a planning commission consisting of five residents unless a greater number is required by ordinance. Commission membership shall be apportioned so that the number of members from home rule and first class cities reflects the proportion of borough population residing in home rule and first class cities located in the borough. A member shall be appointed by the borough mayor for a term of three years subject to confirmation by the assembly, except that a member from a home rule or first class city shall be selected from a list of recommendations submitted by the council....
(b) In addition to the duties prescribed by ordinance, the planning commission shall
(1) prepare and submit to the assembly a proposed comprehensive plan in accordance with AS 29.40.030 for the systematic and organized development of the borough;
(2) review, recommend, and administer measures necessary to implement the comprehensive plan, including measures provided under AS 29.40.040.
. AS 29.40.030 provides:
(a) The comprehensive plan is a compilation of policy statements, goals, standards, and maps for guiding the physical, social, and economic development, both private and public, of the first or second class borough, and may include, but is not limited to, the following:
(1) statements of policies, goals, and standards;
(2) a land use plan;
(3) a community facilities plan;
(4) a transportation plan; and
(5) recommendations for implementation of the comprehensive plan.
(b) With the recommendations of the planning commission, the assembly shall adopt by ordinance a comprehensive plan. The assembly shall, after receiving the recommendations of the planning commission, periodically undertake an overall review of the comprehensive plan and update the plan as necessary.
. AS 29.40.010(a) ("areawide basis"); AS 29.40.020(a) ("borough shall establish a planning commission"); AS 29.40.020(b)(1) (requiring planning commission to prepare and submit a "proposed comprehensive plan ... for the systematic and organized development of the borough").
. AS 29.40.020(b)(2).
. AS 29.40.040(a)(1).
. AS 29.40.040(a). pertinent part: AS 29.40.040 provides in
(a) In accordance with a comprehensive plan adopted under AS 29.40.030 and in order to implement the plan, the assembly by ordinance shall adopt or amend provisions governing the use and occupancy of land that may include, but are not limited to,
(1) zoning regulations restricting the use of land and improvements by geographic districts;
(2) land use permit requirements designed to encourage or discourage specified uses and construction of specified structures, or to minimize unfavorable effects of uses and the construction of structures;
(3) measures to further the goals and objectives of the comprehensive plan.
. AS 29.40.020(b)(1), (2); AS 29.40.040(d)(1).
. AS 29.40.020(b)(1).
. Kenai Peninsula Borough Code (KPBC) 21.01.020 provides in pertinent part:
(A) If a city by resolution of the council requests the assembly to delegate the power to provide zoning regulation within the city, the assembly shall delegate the power. A city to which the zoning authority is delegated may exercise all zoning powers within the city to the extent that such powers have been granted to the borough by statute, except those powers reserved to the borough by Section 21.01.010.
(B) The city council is delegated the power to establish a planning commission to hear all requests for amendments to zoning codes, or for variances, conditional use permits, contract rezoning[,] or to hear all other maiters coming under the zoning ordinances enacted by the city....
(Emphasis added.)
. KPBC 21.01.020(A).
. HCC 1.76.010(a).
. HCC 21.70.020(c)(1).
. HCC 21.70.010(a)(2).
. HCC 21.70.010(a)(1).
. HCC 21.70.010(b).
. AS 29.40.020.
. AS 29.40.030(b), .020(b)(2), .040(a).
. KPBC 21.01.020(B).
. AS 29.40.040(a).
. See supra n. 10.
. AS 29.26.100 provides: "The powers of initiative and referendum are reserved to the residents of municipalities, except the powers do not extend to matters restricted by art. XI, § 7 of the state constitution." '
. AS 29.40.040(a)(1)}; AS 29.40.020(b)(2). Cf. KPBC 21.01.020(B).
. Both parties cite cases from other jurisdictions that either reject or approve zoning by initiative. See, e.g., Kaiser Hawaii Kai Dev. Co. v. City & County of Honolulu, 70 Haw. 480, 777 P.2d 244, 247 (1989) (holding that "[zJoning by initiative is inconsistent with the goal of long range comprehensive planning" and was not intended by legislature); see also Garvin v. Ninth Judicial Dist. Court, 118 Nev. 749, 59 P.3d 1180, 1190 (2002) (holding that "[if] a city council can enact zoning legislation, the county and city voters can do the same by initiative"). The only cited case that deals with the scope of the delegated power is Transamerica Title Ins. Co. v. City of Tucson, 157 Ariz. 346, 757 P.2d 1055, 1059 (1988) ("The power to zone is part of the police power and may be delegated by the State, but the subordinate governmental unit has no greater power than that which is delegated."). Trans-america supports the views we express in this case. In Transamerica the Arizona Supreme Court adhered to a prior holding "that 'zoning law is exempted from the initiative process,' in order to prevent private citizens from usurping the governing body's delegated power and from circumventing the notice and hearing requirements of the zoning statute." Id. at 1058. The Arizona court noted that its holding in the case on which it relied was "in harmony with the law
Dissenting Opinion
dissenting.
Because the initiative power gives voters the ability to legislate without being subject to the restrictions applicable to other legislative bodies, I cannot agree that the procedural requirements applicable to the Homer City Council apply to a voter initiative that involves a zoning ordinance. Therefore, I respectfully dissent.
The court reasons that Homer voters' power to initiate is limited by the Homer City Council's power to legislate, and therefore voters must necessarily follow the same procedures as the city council. The court effectively holds that voters step into the shoes of the city council when attempting to initiate an ordinance that involves zoning laws, and therefore the initiative must be reviewed by the planning commission before the voters may pass it. There are four reasons I believe the court's reasoning is flawed.
First, and most importantly, under the Alaska Statutes and the Alaska Constitution the voter initiative is intended to be a sui generis means of legislating that is not subject to the procedures applicable to regular lawmaking. Alaska Statute 29.26.100 grants municipal voters the power to initiate legislation. It provides that "[the powers of initiative and referendum are reserved to the residents of municipalities, except the powers do not extend to matters restricted by article XI, section 7 of the state constitution."
The Alaska Constitution also makes clear that the procedural requirements for enacting an initiative are different from the procedures applicable to the regular legislative process. In order for the state legislature to pass a bill, the bill must go through at least "three readings in each house on three separate days, except that any bill may be advanced from second to third reading on the same day by concurrence of three-fourths of the house considering it" and be approved by "an affirmative vote of a majority of the membership of each house."
The differences between the regular legislative process and the procedures for statewide initiatives demonstrate that the framers of our constitution envisioned a separate, simplified process for initiative elections, one not generally subject to the constraints imposed on the legislature. The special treatment afforded to the initiative process stems from the fact that the initiative is a form of direct democracy. As the Supreme Court of California has explained, "[t]he original proponents of the initiative and referendum sought to give the electorate the ability to govern directly by majority rule: this was to be true democracy as distinguished from representative democracy."
By importing requirements applicable to a different legislative body, the court today does exactly the opposite. Its approach not only ignores the fact that initiative elections stand apart from the traditional legislative process, but also weakens voters' ability to participate directly in the affairs of the city in which they live. In Brooks v. Wright
Second, the court overlooks that the legislature has imposed explicit subject matter prohibitions on municipal initiatives and has declined to include zoning among those prohibitions. Alaska Statute 29.26.100, in
Third, the court bases its decision to prohibit zoning by initiative on the concern that allowing zoning by initiative would undermine comprehensive zoning.
Finally, the court's decision conflicts with well-reasoned holdings from other states that have addressed zoning by initiative. California has definitively resolved the issue before us today in favor of allowing zoning by initiative. As the California Supreme Court suc-cinetly explained, "[pJrocedural requirements which govern [City] Council action ... generally do not apply to initiatives, any more than the provisions of the initiative law govern the enactment of ordinances in council."
In sum, the initiative process is unique. When exercising the initiative power, municipal voters do not simply step into the shoes of the legislative body they are bypassing, as the court today assumes. Instead, voters in an initiative election are participating in a process that is separate from the regular means used for legislating. Because the initiative process is intended to be separate from the procedures that the Homer City Council must follow when passing a zoning ordinance, the initiative ordinance in this case should not be subject to review by the Homer Advisory Planning Commission. I would hold that the initiated ordinance does not violate any of the subject matter restrictions imposed by article XI, section 7 of the Alaska Constitution (and made applicable to municipal elections through AS 29.26.100 and to elections in Homer through HCC 4.60.010), and I therefore would affirm the superior court's grant of summary judgment to the City of Homer.
. Homer City Code 4.60.010 makes this provision applicable to elections in the City of Homer. It states: 'The provisions of Alaska Statute 29.26 Article 2, relating to Initiative and Referendum are incorporated into this chapter as if fully set out."
. AS 29.26.110(a) provides in relevant part:
[The clerk shall certify the application if the clerk finds that it is in proper form and, for an initiative petition, that the matter
(1) is not restricted by AS 29.26.100;
(2) includes only a single subject;
(3) relates to a legislative rather than to an administrative matter; and
(4) would be enforceable as a matter of law.
. AS 29.26.130.
. AS 29.26.170.
. AS 29.26.170(d).
. See Alaska Const. art. XI, § 2.
. Article XI, section 6 of the Alaska Constitution provides:
If a majority of the votes cast on the proposition favor its adoption, the initiated measure is enacted. If a majority of the votes cast on the proposition favor the rejection of an act referred, it is rejected.... An initiated law becomes effective ninety days after certification, is not subject to veto, and may not be repealed by the legislature within two years of its effective date. It may be amended at any time.... Additional procedures for the initiative and referendum may be prescribed by law.
. Araska Const. art. II, § 14.
. Alaska Const. art. I, § 17. If the governor exercises a veto, a bill may become law if the legislature overrides the governor's veto pursuant to the requirements of article II, section 16 of the Alaska Constitution.
. Citizens Against Rent Control v. City of Berkeley, 27 Cal.3d 819, 826, 167 Cal.Rptr. 84, 614 P.2d 742 (1980), rev'd on other grounds, Citizens Against Rent Control/Coalition for Fair Housing v. City of Berkeley, 454 U.S. 290, 102 S.Ct. 434, 70 L.Ed.2d 492 (1981); see also McKee v. City of Louisville, 200 Colo. 525, 616 P.2d 969, 972 (1980) (describing power of initiative as "a fundamental right at the very core of our representative government").
. DeVita v. County of Napa, 9 Cal.4th 763, 776, 38 Cal.Rptr.2d 699, 889 P.2d 1019 (1995) (citation omitted).
. 971 P.2d 1025 (Alaska 1999).
. Id. at 1029.
. This section provides in full:
The initiative shall not be used to dedicate revenues, make or repeal appropriations, create courts, define the jurisdiction of courts or prescribe their rules, or enact local or special legislation. The referendum shall not be applied to dedications of revenue, to appropriations, to local or special legislation, or to laws necessary for the immediate preservation of the public peace, health, or safety.
. The only prohibited subject matter listed in article XI into which the initiative ordinance could potentially fall is "local or special legislation." Because the districts affected were all commercial and the initiative appears to have been intended to promote commercial development of those areas, I would hold it does not constitute local or special legislation. See Boucher v. Engstrom, 528 P.2d 456, 463 (Alaska 1974) ("[Classifications based upon population or territorial differences] will be sustained where founded upon a rational difference of situation or condition existing in the objects upon which it rests, and where there is a reasonable basis for the classification in view of the objects and purposes to be accomplished.") (citations omitted), partially overruled on other grounds, McAlpine v. Univ. of Alaska, 762 P.2d 81, 85 (Alaska 1988).
Article XII, section 11 of the Alaska Constitution creates a catch-all restriction that prohibits the initiative from being used where it would be "clearly inapplicable," which this court has interpreted as applying only where "even 55 idiots would agree" that the subject matter was inapplicable to the initiative process. Brooks, 971 P.2d at 1028 (citation omitted). However, AS 29.26.100 does not incorporate this prohibition, and thus the "clearly inapplicable" restriction may not apply to municipal elections.
. Opinion at 563.
. 912 P.2d 541 (Alaska 1996).
. Id. at 542 (citing AS 29.40.040(a), which provides that zoning ordinances shall be adopted "in order to implement the [comprehensive] plan").
. Assoc. Home Builders, Inc. v. City of Liver more, 18 Cal.3d 582, 135 Cal.Rptr. 41, 557 P.2d 473, 479 (1976) (citation omitted); accord DeVita v. County of Napa, 9 Cal.4th 763, 38 Cal.Rptr.2d 699, 889 P.2d 1019, 1037-38 (1995) (allowing initiative to amend Napa's general plan despite failure to comply with procedures county planning agency must follow to enact amendment).
. Garvin v. Dist. Court, 118 Nev. 749, 59 P.3d 1180, 1190 (2002).
Reference
- Full Case Name
- Frank GRISWOLD, Appellant, v. CITY OF HOMER, Appellee
- Cited By
- 14 cases
- Status
- Published