Martindale v. Anderson
Martindale v. Anderson
Opinion of the Court
Defendant, Desmond L. Anderson, Mayor of Logan City, appeals from a judgment of the District Court construing the Optional Forms of Government Act
The electorate of Logan City adopted the council-mayor form of government pursuant to the authority conferred by the Act and it became effective in January, 1976. Disputes promptly arose as to the extent of the Mayor’s power to: (1) manage City property, including the purchase and sale thereof; (2) approve subdivision plans; and (3) transfer funds within a departmental budget. A further dispute arose as to the Mayor’s obligation to assemble data on demand of individual council members. These disputes precipitated this declaratory judgment action brought by a majority of the five-member Logan City Municipal Council against the Mayor. The two remaining councilmen appear as amici curiae in support of the Mayor’s position; and three state legislators also appear as amici curiae for the avowed purpose of informing the Court as to the legislative intent in enacting the Act.
In order to place the issues presented by this appeal in proper perspective it is helpful to trace the structural development of municipal government in Utah.
The Constitution of Utah provides for the creation of municipalities by legislative enactment
The foregoing forms of municipal government have persisted since territorial days and it was not until 1959 that the Legislature provided for a substantial departure therefrom. It did so by an act entitled “Strong Mayor Form of Government”
The legislature of the State of Utah, finding that increasing demands for services and growing citizen awareness and concern have strained the ability of Utah’s local governments to respond effectively, determines that there is a need to provide optional forms of municipal government under which citizens may vote to organize to meet their needs and desires.11
The Act provided for optional forms of government known as council-mayor and council-manager forms and made them available to all municipalities, regardless of their classification.
As in the prior legislation which provided for the strong mayor form of government,
The Act designated the municipal council as the governing body
No member of the council shall seek individually to influence the acts of the chief executive or any other officer . to interfere in any way with the performance by such officers of their duties. The council and its members shall deal with the administrative affairs of the municipality solely through the chief executive . .19 [Emphasis added.]
The Act excluded the Mayor from a. seat on the Council and provided for the selection of a Chairman by a majority vote of council members.
In regard to the matter of executive powers, the Act designated the Mayor as the chief executive and administrative officer and expressly defined his powers and duties as follows:
In the optional form of government known as the council-mayor form, the mayor shall be the chief executive and administrative officer of the municipality. He shall have the power and duty to:
(1) Enforce the laws and ordinances of the municipality.
*1026 (2) Execute the policies adopted by the council.
(3) Appoint and remove administrative assistants, including a chief administrative officer, as he shall deem necessary; with the advice and consent of the council appoint department heads; remove department heads; and appoint and remove all other officers, commissions, boards, and committees of the municipality, except as may otherwise be specifically limited by law.
(4) Exercise control of all departments, divisions, and bureaus within the municipal government.
(5) Attend all meetings of the council with the right to take part in all discussions and the responsibility to inform the council of the condition and needs of the municipality and make recommendations and freely give advice to the council, except that the mayor shall not have the right to vote in council meetings.
(6) Appoint a budget officer for the purpose of conforming with the requirements of the Uniform Municipal Fiscal Procedures Act (chapter 10 of Title 10) [section 10-10-23 et seq.]; and in all other respects fulfill the requirements of that act.
(7) With the advice and consent of the council appoint a qualified person to each of the offices in cities of recorder, treasurer, engineer, and attorney and, in towns, town treasurer and town clerk; create such other offices as may be deemed necessary for the good government of the municipality, and make appointments to them; and regulate and prescribe the powers and duties of all other officers of the municipality; except as provided by law or by ordinance.
(8) Furnish the municipal council with a report, periodically as determined by ordinance, setting forth the amounts of all budget appropriations, the total disbursements to date from these appropriations, and the amount of indebtedness incurred or contracted against each appropriation (including disbursements and indebtedness incurred and not paid) and the percentage of the appropriations encumbered to date, which reports shall be made available for public inspection.
(9)Perform such other duties as may be prescribed by this act or may be required by ordinance not inconsistent with this act.22
The Legislature saw fit to repeal and recodify the Act in 1977, however it remains basically unchanged in its present form.
Each municipality shall have a governing body which shall exercise the legislative and executive powers of the municipality unless the municipality is organized with separate executive and legislative branches of government.24
By way of further clarification, the reco-dification expressly provided for the separation of the executive and legislative branches of government as follows:
The optional form of government known as the council-mayor form vests the government of a municipality which adopts this form in two separate, independent, and equal branches of municipal government; the executive branch consisting of a mayor and the administrative departments and officers; and the legislative branch consisting of a municipal council. . . ,25
The above-described modifications of the Act have no direct application in resolving the issues presented by this appeal because their enactment was subsequent to the adoption of the council-mayor form of
The trial judge, in reaching his decision, specifically observed: (1) that the Act declared the Council to be the governing body; (2) that the 1977 modifications thereof eliminated that designation but otherwise left the respective powers and duties of the Mayor and Council basically unchanged; and (3) that he should not indulge in “the semantics involved in the definition of governing power or powers.” He concluded from those observations that the Act vested legislative powers exclusively in the Council and, apparently because the Council was the “governing body,” he further concluded that it was entitled to exercise those executive powers not expressly reserved to the Mayor.
We agree with the conclusion that the Council is vested with all legislative powers, and find full support for it in those provisions of the Act which specifically deprive the Mayor of Council membership or a vote thereon. On the other hand, we cannot agree with the conclusion that the executive powers of the municipality are to be in some way shared. Such a conclusion devises an anomalous form of government not heretofore known and not intended by the Act.
We are of the opinion that the trial judge placed undue emphasis on that portion of the Act which declared the Council to be the “governing body.” His disinclination to construe all of the provisions of the Act in the light of the definition of that term, as set forth in the Act, caused him to draw erroneous conclusions and thus misinterpret the law.
When the Act is read in its entirety, and each provision thereof is read in context with all of the others, and when viewed in the light of the legislative history of municipal government in Utah, we are compelled to conclude that it in fact provides for the absolute separation of executive and legislative powers. A fortiori, the 1977 modifications to the Act specifically vest the whole of the executive powers in the Mayor and only the legislative powers in the Council, and we consequently hold that the council-mayor form of government as adopted by Logan City is a true separation of powers form of government.
In order to resolve those issues which bear upon the management of city property, approval of subdivisions and budgetary transfers, it now only becomes necessary to determine whether the Mayor usurped any of the legislative powers of the Council in performing those functions. Helpful to such a determination is a definition of executive and legislative powers. Simply stated, legislative powers are policy making powers, while executive powers are policy execution powers. Legislative power, as distinguished from executive power, is the authority to make laws, but not to enforce them or appoint the agents charged with the duty to make such enforcement. The latter are executive functions.
The Act, by direct implication, confers policy-making functions upon the Council since it expressly empowers the Mayor to execute the policies adopted by the Council.
In treating this issue, the trial judge, although erroneously, had already determined that the Council was generally vested with executive powers as would permit it to approve subdivisions. Consequently, he unnecessarily concerned himself with the, delegability of that power.
Consistent with the doctrine of separation of powers, the Council has no executive powers to delegate and it only exercised its legislative powers in adopting the ordinances which established the policies to be executed by the Mayor in reviewing and approving subdivisions. In reaching this conclusion we are not unmindful of three separate statutory provisions, separate from the Act, which bear upon the approval and subsequent recordation of subdivision plats in the office of the county recorder. One such provision provides for approval by the planning commission and “legislative body” and renders void any subdivision plat recorded in the office of the county recorder which has not been so approved;
The inconsistencies in the terminology of the statutes in referring to the approving authority is of some concern, but is by no means overpowering for the following reasons. The obvious purpose of each of the statutes is to insure appropriate approval of plats in order to preserve their sanctity when recorded. This is necessary to protect those who acquire property within the plats, since a properly recorded plat is a prerequisite to valid title. It is also obvious that the statutes do not undertake to vest .any authority to approve plats but only to recognize existing authority to. approve and require it to act. Hence their use of the terms “legislative body,” “legislative authority,” and “governing body” must be deemed to have been in their generic sense only and not an attempt to designate the functions of any particular governing body.
It is also to be observed that the statutes are of long duration, having been enacted before strong-mayor and council-mayor forms of government were provided for, and when only traditional forms of government were available. Consequently, it is not surprising that they contemplate only a single governing body exercising both legislative and executive powers. It is interesting to note, however, that even so, the statute that appears in the “Plats and Subdivisions” chapter of the Code
We conclude that the Mayor’s approval of subdivision plats is an appropriate exercise of executive power and that such is in compliance with statutory requirements and prerequisites for the recording thereof.
With the consent of the budget officer, the head of any department may transfer any unencumbered or unexpended appropriation balance or any portion thereof from one expenditure account to another within the department during the budget year, or an excess expenditure of one or more line items may be permitted by any department head with the consent of the budget officer, provided the total of all excess expenditures or encumbrances do not exceed total unused appropriations within the department at the close of the budget year. [Emphasis added.]34
The trial judge interpreted the statute as permitting department heads, with the consent of the budget officer, to transfer unencumbered or unexpended appropriations within a department without Council approval. He further interpreted “encumbered” appropriations to be funds set aside in the budgetary process for the purchase of specifically described line items such as motor vehicles and motor patrols. The effect of his interpretation was to prevent transfers of such “encumbered” funds without Council approval.
The Mayor contends that the term “line item” should be construed as the composite total of the departmental appropriations rather than the individual listings set forth therein and urges that interpretation on this Court so as to give administrative departments wide latitude in adjusting funds so as to meet the exigencies of government. On the other hand, the Council contends such an interpretation would destroy the integrity of the participatory budget process set forth in the Uniform Municipal Fiscal Procedures Act
We are persuaded that the trial judge’s interpretation is correct and in conformity with the over-all concept of the said Uniform Municipal Fiscal Procedures Act which defines “appropriation” as an allocation of money to be expended for specific purposes.
In regard to the issue as to what administrative information is to be made available to the Council, the trial court aptly noted that the Council is entitled to all administrative records of the city and that they may adopt a reasonable policy by resolution or ordinance by which they may obtain that information. This ruling is most appropriate and we also do not disturb it.
The final point to be considered herein is the propriety of the expenditure of city funds for legal services rendered to the Council to set aside prior sales of real property by the Mayor. The trial court ruled that such expenditures were a proper city expense, but the parties here concede that the correctness of that ruling was dependent upon the corresponding correctness of its ruling as to the Mayor’s power to manage city property. Having found as we have that the Mayor in fact has that power, it follows that the award of attorney’s fees must be reversed and we so hold.
. U.C.A., 1953, 10-6-103 et seq., since repealed by Laws of 1977 which repealed all of former Chapter 6 and enacted new provisions covering the same subject matter. The Act, as now recodified, appears in U.C.A., 1953, 10-3-1201 et seq.
. Const. of Utah, Art. XI, Sec. 5.
. Tooele City adopted such a home rule charter in 1965.
. Salt Lake City v. Sutter, 61 Utah 533, 216 P. 234 (1923).
. U.C.A., 1953, 10-6-5, since repealed by Laws of 1977; new provisions covering same subject matter are now found in U.C.A., 1953, 10-3-101 et seq.
. Supra, footnote 2; U.C.A., 1953, 10-1-1.
. U.C.A., 1953, 10-6-76 et seq., since repealed, supra, footnote 1.
. U.C.A., 1953, 10-6-78, since repealed, supra, footnote 1.
. U.C.A., 1953, 10-6-79, since repealed, supra, footnote 1.
. Supra, footnote 7.
. U.C.A., 1953, 10-6-105, since repealed, supra, footnote 1; re-enacted verbatim in U.C.A., 1953, 10-3-1202.
. U.C.A., 1953, 10-6-106, since repealed, supra, footnote 1, but same provision re-enacted in U.C.A., 1953, 10-3-1203.
. Supra, footnote 7.
. U.C.A., 1953, 10-6-112, since repealed, supra, footnote 1. Similar, but more explicit provision now appears in U.C.A., 1953, 10-3-1209.
. Supra, footnote 5.
. U.C.A., 1953, 10-6-113, since repealed, supra, footnote 1.
. U.C.A., 1953, 10-6-104(2), since repealed, supra, footnote 1.
. U.C.A., 1953, 10-6-113, since repealed, supra, footnote 1, but same powers and duties were re-enacted in U.C.A., 1953, 10-3-1210.
. U.C.A., 1953, 10-6-121, since repealed, supra, footnote 1, re-enacted nearly verbatim in U.C.A., 1953, 10-3-1217.
. U.C.A., 1953, 10-6-116, since repealed, supra, footnote 1, similar provisions now found in U.C.A., 1953, 10-3-1213.
. U.C.A., 1953, 10-6-117, since repealed, supra, footnote 1 re-enacted verbatim in U.C.A., 1953, 10-3-1214.
. U.C.A., 1953, 10-6-123, since repealed, supra, footnote 1; re-enacted verbatim in U.C.A., 1953, 10-3-1219.
. Supra, footnote 1.
. U.C.A., 1953, 10-3-101.
. U.C.A., 1953, 10-3-1209.
. Rampton v. Barlow, 23 Utah 2d 383, 464 P.2d 378 (1970).
. Monahan v. Funk, 137 Or. 580, 3 P.2d 778 (1931).
. U.C.A., 1953, 10-6-123(2), since repealed, supra, footnote 1, identical provision now appears in U.C.A., 1953, 10-3-1219(2).
. Sec. 17-3-1 and 2, Logan City Ordinances.
. U.C.A., 1953, 10-9-25.
.U.C.A., 1953, 17-21-8.
. U.C.A., 1953, 57-5-3.
. Ibid.
. U.C.A., 1953, 10-10-46.
. U.C.A., 1953, 10-10-23 et seq.
.U.C.A., 1953, 10-3-1204.
. U.C.A., 1953, 10-10-27(17).
. U.C.A., 1953, 10-10-27(18).
Concurring Opinion
(concurring and dissenting in part):
I concur with that part of the main opinion which affirms the decision of the trial court as to: (1) the Mayor’s lack of authori
The main opinion correctly points out that cities are creatures of the legislature and that they have only those powers expressly granted, or those necessarily implied in order to discharge the responsibilities imposed upon them by law.
The main opinion indicates that early forms of municipal government in Utah did not employ a system of separated and balanced powers, often vesting all governing authority in a single body and designating a mayor as a mere presiding officer or titular head of that body; and suggests that the 1959 Act was intended to permit the adoption of a “Strong Mayor” type of government.
The Mayor’s difficulty is in failing to recognize and give effect to the plainly stated intent of the Act. The statute which gives cities the option of adopting the council-mayor form of government is Sec. 10-3-1209, U.C.A.1953, which provides for:
two separate, independent, and equal branches of municipal government ; the executive branch consisting of a mayor and the administrative departments and officers; and the legislative branch consisting of a municipal council.
The just-quoted language should be understood in the light of the historical development of democratic government in this country. One of the fundamental principles inherent in the patterns of American government, as the quoted language plainly indicates, is that there should be a separation of powers between the branches of government so that they can operate as a check and balance upon each other. Another is that because the legislative branch derives its powers directly from and is responsible to the people, the residuum of any undelegated power is reposed therein;
Consistent with the foregoing, the trial court correctly held that the defendant Mayor’s powers “are restricted to those spe
(2) Execute the policies adopted by the council,
and
(9) Perform such other duties as may be prescribed by this act or may be required by ordinance not inconsistent with this act. [All emphasis herein added.]
It is submitted that neither of those sections can by any stretch of language or logic be construed to constitute a grant to the Mayor of any such authority. On the contrary, each plainly indicates that what it authorizes him to do is subject to approval by the Council. In subsection (2), the policies he is to execute are limited to those “adopted by the council.” In subsection (9), the duties he is to perform are those “prescribed by this act or required by ordinance . ” i. e., by action of the Council. It is also to be had in mind that there is a basic rule of statutory construction that when powers are claimed under a statute, such as the Mayor claims here, those powers not expressly stated are deemed to be excluded.
In complete harmony with the decision of the trial court and the intent of the Act, as discussed in this dissent, are the statements in the main opinion concerning the approval of subdivisions by the “legislative body,”
Considerations of basic governmental policy and practical operation of the city also harmonize with what is said above concerning the express language and intent of the statute. The far-reaching power to sell any substantial city property (and this apparently would be without limit) is something which it should require cooperative consideration of and action by both the. Council, and the Mayor. It is my judgment that each of those offices should be accorded only those prerogatives expressly granted or those necessarily implied in order to perform the duties with which they are charged.
It is my opinion that the trial court was ineluctably correct in his determination that there cannot be found in the statute, either expressly or by fair implication, any authority in the Mayor to sell city property or to issue final approval of city subdivisions without approval of or authorization by the Council.
For the above reasons, I would affirm the decision of the trial court.
. 56 Am.Jur.2d, Municipal Corporations, section 151; Johnson v. Sandy City Corp., 28 Utah 2d 22, 497 P.2d 644 (1972); Ritholz v. City of Salt Lake, 3 Utah 2d 385, 284 P.2d 704 (1955).
. “As is the case of municipal officers generally, the functions and powers of the mayor of a city are derived from, and depend entirely on, constitutional, statutory, or charter provisions and valid ordinances, resolutions, or bylaws, passed in accordance therewith; and he takes nothing beyond the powers expressly conferred or necessarily implied.” 62 C.J.S. Municipal Corporations § 543.
. U.C.A.1953, 10-6-76, et seq.
. Id.
. U.C.A.1953, 10-3-1201, et seq.
. See Wood v. Budge, 13 Utah 2d 359, 374 P.2d 516; Trade Comm. v. Skaggs Drug Centers, Inc., 21 Utah 2d 431, 446 P.2d 958.
. See 56 Am.Jur.2d, Municipal Corporations, section 195; 62 C.J.S. Municipal Corporations § 120.
. U.C.A.1953, 10-9-25.
. U.C.A.1953, 17-21-8.
. U.C.A.1953, 57-5-3.
. That, as a general rule, the powers of a municipal corporation are to be strictly construed, and any ambiguity or reasonable doubt is to be resolved against finding that a grant was made, see 62 C.J.S. Municipal Corporations § 119. I would apply the same rule when any city officer asserts the power to act as the Mayor has here.
. See City Council of Honolulu v. Fasi, Hawaii, 467 P.2d 576 (1970).
Reference
- Full Case Name
- Loye E. MARTINDALE, Darwin W. Larson, Carol W. Clay, Logan City, a Municipal Corporation and the Municipal Council of Logan City, Plaintiffs and Respondents, v. Mayor Desmond L. ANDERSON, City Attorney J. Blaine Zollinger, City Auditor and Budget Officer Duane A. Beck, Defendants and Appellants
- Cited By
- 11 cases
- Status
- Published