Representative Donald Turner, Jr. and Senator Joseph Benning v. Governor Peter Shumlin
Representative Donald Turner, Jr. and Senator Joseph Benning v. Governor Peter Shumlin
Opinion
¶ 1. Petitioners, Representative Donald Turner, Jr. and Senator Joseph Benning, seek to enjoin respondent, Governor Peter Shumlin, whose last day in office is January 5, 2017, from appointing a successor to the office held by Associate Justice John Dooley, whose current term expires on April 1, 2017. For the reasons stated below, we conclude that petitioner Senator Benning has standing to bring this action and that respondent does not have the authority to appoint Justice Dooley's successor. 1
I. Facts and Procedural History
¶ 2. The parties have agreed to the following facts. Associate Justice John Dooley was appointed to a six-year term as a justice of this Court on June 12, 1987. The General Assembly voted to retain Justice Dooley for additional six-year terms in 1993, 1999, 2005, and 2011. Justice Dooley did not file a declaration with the Office of the Secretary of State before September 1, 2016 indicating that he would seek retention for another term beyond March 31, 2017, the last day of his current six-year term. See 4 V.S.A. § 4(c) ("A supreme court justice may file in the office of the secretary of state, on or before September 1 of the year preceding the expiration of the term for which he or she was appointed or retained, a declaration that he or she will be a candidate for retention."). He will remain in his office as an associate justice of the Court until April 1, 2017.
¶ 3. Respondent was elected as Governor in 2010, 2012, and 2014. He did not seek reelection in the fall of 2016 for another term as Governor. Phil Scott won the election in November 2016 and will be sworn in as the new Governor on the afternoon of January 5, 2017. The Vermont Legislature will commence its next biennium on January 4, 2017.
¶ 4. Following Justice Dooley's decision not to seek retention for another term, respondent announced his intention to appoint Justice Dooley's successor. The Judicial Nominating Board began its selection process. On December 16, 2016, after completing its review of applicants, the Board transmitted to the Governor a list setting forth the names of six candidates to replace Justice Dooley.
¶ 5. On December 21, 2016, petitioner Donald Turner, Jr., a state representative and Minority Leader of the House of Representatives, filed a petition for quo warranto 2 contesting respondent's authority to appoint Justice Dooley's successor and asking this Court to enjoin him from doing so. Petitioner Turner asserted that although the Vermont Constitution authorizes the Governor to fill a vacancy on the Court, no vacancy will exist until Justice Dooley leaves office on April 1, 2017, nearly three months after Governor Shumlin leaves the Office of Governor.
¶ 6. On December 23, 2016, the Office of the Attorney General filed a notice of appearance on behalf of respondent. That same day, this Court enjoined the Governor from appointing Justice Dooley's successor until further order from this Court, ordered the parties to file memoranda of law on or before December 30, 2016, and scheduled a hearing for January 3, 2017.
¶ 7. On December 27, 2016, Senator Joseph Benning, who is Senate Minority Leader and Vice-Chair of the Senate Judiciary Committee, filed a motion to intervene in the matter and join the petition. The following day, this Court granted the motion. Petitioners and respondent filed memoranda of law on December 30, 2016. On that same day, Senator Richard Sears, who is Chair of the Senate Judiciary Committee, submitted an amicus curiae brief in support of respondent's position, along with a motion for permission to file the brief. On January 3, 2017, this Court granted Senator Sears's motion and held a hearing on the petition.
II. Ripeness and Standing
¶ 8. Before addressing the merits of the petition, we first consider whether the petition is ripe for resolution and whether petitioners have standing to bring this action. "Vermont courts are vested with subject matter jurisdiction only over actual cases or controversies involving litigants with adverse interests."
Brod v. Agency of Nat. Res.
,
¶ 9. A claim is not constitutionally ripe if the claimed injury is conjectural or hypothetical rather than actual or imminent.
Nat'l Org. for Marriage, Inc. v. Walsh
,
¶ 10. We now turn, more specifically, to the question of standing. "This Court has adopted the constitutional and prudential components of the standing doctrine enunciated by the United States Supreme Court."
Schievella v. Dep't of Taxes
,
¶ 11. To satisfy the threshold requirement of standing, a plaintiff "must present a real-not merely theoretical-controversy involving the threat of actual injury to a protected legal interest rather than merely speculating about the impact of some generalized grievance."
Brod
,
The irreducible constitutional minimum of standing contains three elements: (1) the plaintiff must have suffered an injury in fact, i.e. , an invasion of a legally protected interest which is (a) concrete and particularized and (b) actual or imminent, not conjectural or hypothetical; (2) there must be a causal connection between the injury and the conduct complained of; and (3) it must be likely, as opposed to merely speculative, that the injury will be redressed by a favorable decision.
Rossito-Canty v. Cuomo
,
¶ 12. Although legislators, like other plaintiffs, must satisfy these same elements to demonstrate standing,
Markham v. Wolf
,
¶ 13. Generally, "legislators have a legally protected interest in their right to vote on legislation and other matters committed to the legislature, which is sometimes phrased as an interest in 'maintaining the effectiveness of their votes.' "
Russell
,
¶ 14. Applying these general principles, courts have found legislative standing when a governor's conduct concerning the appointment of state officers interfered with the complaining legislators' constitutional duty to provide advice and consent with regard to the appointments. In
Dennis v. Luis
, for example, the court held that eight legislators had standing to challenge the governor's appointment of a person as "acting" commissioner after the legislature had rejected the governor's nomination of the same person in the same post.
¶ 15. In
Zemprelli v. Thornburg
(
Zemprelli I
), the court held that a state senator had standing to challenge the governor's failure to appoint certain state officers within the time provided by the state constitution. 47 Pa.Cmwlth. 43,
¶ 16. With these legal principles in mind, we conclude that Senator Benning has standing to challenge respondent's authority to appoint Justice Dooley's successor. 3 As a member of the Vermont Senate, Senator Benning has the constitutional right and duty to give "advice and consent" on the Governor's nomination of an Associate Justice to this Court. Vt. Const. ch. II, § 32. That right necessarily encompasses an interest in being assured that his vote-pursuant to his constitutional duty to provide "advice and consent" on the Governor's Supreme Court appointments-is exercised with respect to a properly named appointee under the Vermont Constitution.
¶ 17. In other words, Senator Benning has a particular right and interest in not having his constitutional duty subverted by voting on an appointee who is not constitutionally entitled to hold office in the first instance. See
Zemprelli I
,
¶ 18. In his capacity as a senator, Senator Benning has a stake in assuring that any nomination of an Associate Justice by Governor Shumlin passes constitutional muster. Cf.
Lawless v. Jubelirer
,
¶ 19. Moreover, although neither respondent nor amicus curiae have raised the political question doctrine, we conclude that the petition does not create a political question unsuitable for judicial resolution. As quoted in Brady , the U.S. Supreme Court has set forth six factors for addressing such a concern:
"Prominent on the surface of any case held to involve a political question is found a textually demonstrable constitutional commitment of the issue to a coordinate political department; or a lack of judicially discoverable and manageable standards for resolving it; [or the impossibility of deciding without an initial policy determination of a kind clearly for nonjudicial discretion] or the impossibility of a court's undertaking independent resolution without expressing lack of the respect due coordinate branches of government; or an unusual need for unquestioning adherence to a political decision already made; or the potentiality of embarrassment from multifarious pronouncements by various departments on one question."
¶ 20. None of these factors apply here. There is no "textually demonstrable constitutional commitment" that the issue raised here be resolved by any branch of government other than the judiciary.
Baker
,
¶ 21. As the U.S. Supreme Court has stated, "courts possess power to review either legislative or executive action that transgresses [the] identifiable textual limits [of the Constitution]."
Nixon v. United States
,
III. Governor Shumlin's Authority To Fill the Expected Vacancy on the Court
¶ 22. Petitioners contend that respondent has no authority to appoint a successor to Justice Dooley, who has indicated that he will not be seeking retention for another term beyond his current term, which expires on April 1, 2017, months after respondent leaves office. We agree.
¶ 23. The Governor's power to appoint an associate justice of the Vermont Supreme Court arises from two constitutional provisions that became effective in 1974. 4
The critical language in both sections is identical. Section 32 of Chapter II of the Vermont Constitution provides as follows: "The Governor, with the advice and consent of the Senate, shall fill a vacancy in the office of ... associate justice of the Supreme Court ... from a list of nominees presented by a judicial nominating body established by the General Assembly having authority to apply reasonable standards of selection." (Emphasis added.) Similarly, § 33 of Chapter II of the Vermont Constitution empowers the Governor, when the Senate is not in session, to "make an interim appointment to fill a vacancy in the office of ... associate justice of the Supreme Court ... from a list of nominees presented by the judicial nominating body." (Emphasis added.) 5
¶ 24. As we stated in Peck v. Douglas :
The standards for interpreting constitutional language and meaning, though related, are not the same as for ordinary statutes. Canons of construction, if applied, must be used more cautiously and sometimes differently. This is so because a constitutional provision, unlike a statute, usually operates to limit or direct legislative action. The value of resort to any claimed legislative intent in a constitutional amendment is considerably dissipated by the elaborate adoption procedures that also involve the workings of constitutional commissions and subsequent submission of the proposals to the people of this state.
It is of great importance to remember that, since the purpose of any constitutional enactment is to delineate the framework of government, the working details are frequently left, as here, for legislative definition. Interpretation must, therefore, not be so narrow as to present an obstacle to that function. More than one pattern of working details may well be possible and constitutional.
148 Vt. at 132, 530 A.2d at 554 (citation omitted).
¶ 25. Although our interpretation of the Constitution should not hamstring its implementation, "we first look to the plain meaning of the [constitutional] language in question."
State v. Madison
,
¶ 26. Thus, we discern no basis for straying from the plain meaning of the governing statutory language of §§ 32 and 33, which grant the Governor authority to appoint a justice only when a "vacancy" in the office exists. The plain meaning of the word "vacancy" is manifest. The leading legal dictionary unambiguously defines the word "vacancy" as follows:
1. The quality, state, or condition of being unoccupied, esp. in reference to an office .... 2. The time during which an office ... is not occupied. 3. An unoccupied office ....; a vacancy, properly speaking, does not occur until the officer is officially removed. 4. A job opening; a position that has not been filled.
Vacancy
, Black's Law Dictionary (10th ed. 2014); see also
Afran v. McGreevey
,
¶ 27. Sections 32 and 33 do not empower the Governor "to
create
vacancies but only to
fill
them." See
State ex rel. Foughty v. Friederich
,
Any vacancy that warrants an appointment must be a vacancy in the office, not in the term. No vacancy occurs while the office is being held by one occupying it under a tenure prescribed by the Constitution unless the Constitution so provides. As we have pointed out, the Constitution recognizes no vacancies except those which are vacancies in fact. It does not create or declare vacancies in constitutional offices nor does it confer upon the legislature authority to do so.
Id . at 690-91.
¶ 28. The same is true of the Vermont Constitution. The section in the Vermont Constitution that permits the General Assembly to "establish procedures for the implementation of the provisions of sections thirty-two through thirty-six" does not authorize the Governor to create, as
opposed to fill, a vacancy. Vt. Const. ch. II, § 36. Pursuant to that section, the Legislature has established procedures for the filling of vacancies, including those on the Vermont Supreme Court. Section 602(b) of Title 4 provides that "[w]henever a vacancy occurs in the office of a Supreme Court Justice ...
or
when an incumbent does not declare that he or she will be a candidate to succeed himself or herself [pursuant to 4 V.S.A. § 4(c) ], the [Judicial Nominating] Board shall submit to the Governor the names of as many persons as it deems well qualified to be appointed to the office." (Emphasis added.) This provision, upon which respondent relies, cannot expand the governor's power beyond that established in the Constitution. See
Youngblood v. Marr
,
¶ 29. In any event, § 602(b) does not purport to do so. Indeed, the use of the word "or" emphasized above indicates that an incumbent not declaring for retention, as was the case here with Justice Dooley, is distinct from the creation of a vacancy. Section 602(b) does not confer any power on the Governor; rather, it merely allows the Judicial Nominating Board, in anticipation of an expected vacancy, to submit the names of candidates to the Governor, nothing more.
¶ 30. Other provisions in Title 4 regarding retention procedures support this conclusion. For example, 4 V.S.A. § 4(c) provides that if the General Assembly votes not to retain a justice, "upon expiration of the term of office a vacancy shall exist which shall be filled by appointment in accordance with the constitution and chapter 15 of this title [concerning judicial nominations and appointments]." We see no reason why a vacancy would exist at the end of a term when a justice is not retained, but before the end of the term when a justice does not seek retention. In addition, § 5(b) of Title 4 provides that "[a] justice shall remain in office until a successor is appointed and qualified, unless sooner removed for cause or unless he [or she] resigns." This provision evidences the Legislature's concern that there will be a seamless transition and that the Court will be at full strength in the event the justice's successor is unable to start when a vacancy occurs at the time the term of the outgoing justice expires. There would be little need for such a provision if the Governor could appoint a successor to a justice before the justice's term of office expired.
¶ 31. In short, there is no support for respondent's position that the Vermont Constitution gives him the authority to appoint a successor for an opening on this Court that does not become vacant-unoccupied-until after he leaves office. Respondent cannot complete the appointment process by swearing in a new justice now-effectively adding a sixth justice-because the vacancy does not arise until Justice Dooley leaves office. See Vt. Const. ch. II, § 56 (providing, in relevant part, that every judicial officer shall take oath or affirmation of allegiance to State of Vermont before entering upon execution of office). Nor will respondent have the authority to appoint a successor to Justice Dooley at the time the vacancy occurs, after respondent has left office.
¶ 32. We are aware, as was the Legislature in enacting the provisions cited above, that delay in filling a vacancy has the potential to create confusion and disorder in public service. For that reason, those provisions, including § 602(b), allow a portion of the appointment process to proceed on an anticipatory basis so that when the vacancy becomes effective the appointment and transition can be made as seamlessly as possible. But none of those provisions give, or could give, the Governor authority to appoint a successor to a justice whose term expires, and thus becomes vacant, after the Governor leaves office. 8 As the court in Terry v. Cornett stated:
If it was necessary in all cases to delay making an appointment to fill a vacancy until the office was actually vacant, much confusion and disorder in the public service might be occasioned, and so we think that an appointment may be made within a reasonable time before the vacancy actually exists, to take effect when it occurs, if it be made by the authority that would have the right to make the appointment when the vacancy does occur. A person cannot be appointed presently to fill a vacancy when there is no vacancy, but he [or she] can be appointed to fill a vacancy that will shortly occur; his appointment to take effect when it does. This view of the law ... is generally accepted as correct. We can well understand that there might be good reasons presented against the practice of making an appointment to fill a vacancy that would occur at a distant date, and have no doubt that it would be very objectionable to allow an official to make an appointment to take effect in the future when the vacancy to fill ... would occur in the term of a succeeding official. To uphold the validity of such an appointment would oftentimes enable an official to take from his [or her] successor a part of the rightful powers and emoluments of his [or her] office and surround him [or her] with ... appointees not in harmony with his [or her] methods, or in sympathy with his [or her] purposes.
¶ 33. We conclude that the Vermont Constitution does not authorize respondent to appoint an Associate Justice of this Court in anticipation of a vacancy that is not expected to occur until the expiration of the justice's term of office, which will occur months after respondent leaves office. In so holding, we emphasize that our decision today rests entirely upon the meaning and purpose of the Vermont Constitution. We reach our decision having in mind the overarching principles of our democracy: the integrity of our governing institutions and the people's confidence in them. The particular identity of the parties or potential nominees to the Office of Associate Justice have no bearing on our decision. Our sole responsibility in this, as in any, case is to apply the law evenhandedly, regardless of the identity of the litigants, the sensitivity of the issues, or the passing political interests of the moment. As we have elsewhere observed, "[o]ur constitutional responsibility to consider the legal merits of issues properly before us provides no exception for the controversial case."
Baker v. State
,
Respondent is not constitutionally authorized to appoint a successor to the office held by Associate Justice John Dooley. Mandate to issue forthwith .
Petitioners seek an injunction, but respondent has acknowledged through counsel that he will abide by this Court's decision on the question presented, and thus there is no need for the Court to issue further injunctive relief.
Quo warranto, Latin for "by what authority," is "[a] common-law writ used to inquire into the authority by which a public office is held or a franchise is claimed."
Quo Warranto
, Black's Law Dictionary (10th ed. 2014). By rule, this Court has abolished the old writs of certiorari, mandamus, prohibition, and quo warranto and required parties seeking relief that would have been available through those writs to file a petition for extraordinary relief with this Court pursuant to the procedures set forth in Vermont Rule of Appellate Procedure 21. See V.R.A.P. 21(a)-(b). Representative Turner failed to comply with the requirement in the rule that the complaint "concisely set forth the reasons why there is no adequate remedy under these rules or by appeal or through proceedings for extraordinary relief in the superior court." V.R.A.P. 21(a)(3). Because of the importance of the issues raised, the short time frame to decide those issues, and the apparent lack of a need for factual development, we suspend the rules for good cause pursuant to Vermont Rule of Appellate Procedure 2 and consider the petition in the first instance, notwithstanding petitioners' failure to comply with the requirement. See V.R.A.P. 2 (permitting Court to suspend rules of appellate procedure when necessary "to expedite its decision or for other good cause."); see also
State v. Saari
,
Given our determination that Senator's Benning's interest is sufficient to confer standing in this action, we need not, and do not, consider whether Representative Turner's interests would also confer standing.
On April 9, 1974, §§ 32 -34 of Chapter II of the Vermont Constitution, among other provisions, "became effective by governor's proclamation" and "put in place a version of the so-called Missouri Plan of judicial selection."
Peck v. Douglas
,
We have examined the available legislative history of the 1974 amendments to the Vermont Constitution that added Chapter II, §§ 32-36, dealing with judicial selection, appointment, confirmation, retention, retirement, and discipline. Prior to the amendments, Superior Court judges and Supreme Court justices were selected by the Legislature, while District Court judges were appointed by the Governor. See generally J. Dooley, The Judiciary in Vermont State Government Since 1965 187, 203-05 (M. Sherman ed. 1999). Each of these judges and justices had set terms, and, in order to obtain a new term, faced retention votes in the Legislature. In essence, the amendments applied the process for District Court judges to Superior Court judges and Supreme Court justices. 1966, No. 64 (The Judicial Selection Act of 1966).
The Legislature created a Constitutional Commission to propose amendments to the Vermont Constitution in 1968. 1967, No. 298 (Adj. Sess.). The Commission's report, issued on January 5, 1971, includes Proposal 5, which contained the proposed amendments to the judicial articles. See Report to the General Assembly of the Constitutional Commission 28-36 (1971). With minor language changes, the proposed articles were adopted by the Legislature and approved by the voters. Unfortunately, the Commission's report is relatively summary and provides little explanation that can guide us in deciding this case. It contains two paragraphs on judicial selection, appointment, confirmation, and retention, as follows:
As regards judicial selection, the Commission believes that the judicial selection board presently existing by statute, the legitimacy of which on occasion has been questioned due to its lack of constitutional sanction, should be provided for and given explicit recognition in the Constitution. As noted above, the concept of the Missouri Plan has been given effect only as to the district judges, and in a modified form as to the supreme court justices and superior judges. The Commission supports the essential elements of this plan as now in effect with regard to the district judges, which contemplates the submission of nominees for judicial offices to the governor by a judicial nominating board, appointment by the governor from the nominees so submitted, and tenure in office thereafter unless voted out of office by a majority of the members of the General Assembly voting on the question at a stated interval. It is the belief of the Commission that this is the best method of selection for the purpose of insuring that persons selected as members of the judiciary will possess the necessary ability and professional qualifications, and that the selection process under this proposal would be as free as possible from the effects of political influence.
While under this proposal the General Assembly will no longer be empowered to elect supreme court justices and superior judges, it is proposed that the consent of the Senate be required for confirmation of all judicial appointments. Interim appointments to fill vacancies occurring between legislative sessions would be made by the Governor, subject to later confirmation by the Senate. This procedure, which is very similar to that which is presently followed in connection with the confirmation of appointments for numerous other positions in state government, would afford the legislature its traditional confirming role.
Id . at 31-32.
While these statements of intent are helpful in providing context for the question before us, they do not show any definitive intent, one way or the other, in resolving that question. Two points are worth making, however. First, the Commission report, as quoted above, makes it clear that it wanted to design a process as free from politics as possible. There is no time requirement for the Judicial Nominating Board to nominate candidates either in the statute or the Constitution. Respondent's position in the case would put the Board in the political position of deciding whether to get its nominations to the outgoing Governor or to wait to get them to the incoming Governor. This was plainly a serious concern when the 1974 amendments were added because, as noted in
Peck
, under the preexisting law the time limit for a retention declaration was December 1, not September 1 as it is now, thereby requiring a very expedited process for the Board to get names to the outgoing Governor.
Respondent argues that the Governor is merely nominating a successor under § 32 and not appointing one, as under § 33. Similarly, amicus curiae argues that the Governor's nomination under § 32 is an "incomplete appointment." We find these arguments unavailing. The term "nominate" is used in the Constitution to describe the list prepared by the judicial nominating body. See Vt. Const. ch. II, § 32 ; see also
Wolfe v. Yudichak
,
Most, if not all, of the cases holding that a vacancy occurs upon the submission of an irrevocable resignation are construing constitutional language different from ours and involve the necessity of establishing who the candidates are for elective office before election deadlines. For example, in
McKenzie v. Edwards
, the court held that the resignations given by judges were irrevocable upon receipt by the governor and his proclamation calling for special elections, thereby "creating a vacancy in the office which, under the constitution, may be filled by election, even though the effective date of the resignation is prospective."
A series of Florida Supreme Court cases construing amendments to the Florida Constitution illustrate this point. The court initially construed a provision that, similar to the Vermont Constitution, empowered the governor to fill a vacancy in an office that became open. The court held that "[w]hen an officer tenders his resignation to take effect at a subsequent date, the office does not 'become vacant' until the date on which the resignation becomes effective, though before such effective date of the resignation, the Governor may grant a commission to an appointed successor to be effective the day the resignation takes effect."
In re Advisory Opinion to Governor
,
Amicus curiae points to past examples where governors appointed justices or judges in anticipation of a vacancy. None of those appointments were challenged, and none involved situations where the governor would no longer be in office when the vacancy become effective. The case amicus curiae cited at oral argument,
McRae v. State ex rel. Hyche
,
Reference
- Full Case Name
- Representative Donald TURNER, Jr. and Senator Joseph Benning v. Governor Peter SHUMLIN
- Cited By
- 33 cases
- Status
- Published