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THE CITY IN TRANSITION: INTERIM SUCCESSION AND THE MAYORALTY REPORT OF THE NEW YORK CITY CHARTER REVISION COMMISSION September 3, 2002 Table of Contents Topic Page PART I: Executive Summary 1 PART II: Introduction 2 PART III: Proposal 18 PART IV (A): Mayoral Succession 22 1. Introduction 22 2. Background and History 25 3. Review by Previous Commissions 29 4. Succession in Other Major Cities 31 5. Related State and Federal Law Issues 33 6. Policy Considerations 38 PART IV (B): Nonpartisan Elections 68 1. Introduction 68 2. Background and History 71 3. Legal Issues 75 4. Policy Considerations 82 PART V: City Agency Submissions and Public Proposals 113 APPENDIX A Summary of Testimony by Current and Former Elected Officials A-1 APPENDIX B Summary of Public Proposals B-1 APPENDIX C Summary of Expert Testimony Received at Public Meetings C-1 APPENDIX D Supplemental Materials on Mayoral Succession D-1 1. Summary of Comments Received by 1999 Charter Revision Commission Regarding Mayoral Succession D-1 2. Summary of Comments Received by 2001 Charter Revision Commission Regarding Mayoral Succession D-8 3. Summary of Approaches to Succession Taken by Major U.S. Cities D-10 i APPENDIX E Supplemental Materials on Nonpartisan Elections E-1 1. Summary of 1998 Expert Forum on Nonpartisan Elections E-1 2. 50 Largest Cities: Partisan/Nonpartisan Elections and Ethnicity of Mayor E-12 3. 50 Largest Cities, 2000 Census Data E-17 4. Race of Mayor and Election System, 50 Largest Cities, 2000 Census E-19 5. Black Mayors Representing Cities with Populations Over 50,000 E-20 6. 1998 Commission Ballot Options E-22 APPENDIX F Ballot Question F-1 APPENDIX G Resolution of the New York City Charter Revision Commission G-1 APPENDIX H Ballot Question Abstract Recommended by the New York City Charter Revision Commission H-1 APPENDIX I Statement of Commissioner Harry Kresky I-1 ii THE CITY IN TRANSITION: INTERIM SUCCESSION AND THE MAYORALTY PART I Executive Summary The Commission proposes the following ballot proposition: Mayoral Succession This proposal would provide that a special election generally be held in sixty days after a mayoral vacancy occurs in order to fill the vacancy. The procedure would be similar in format to the procedure already set forth in the Charter to fill vacancies in the Offices of Public Advocate, Comptroller, Borough President and City Council member, except that in the special election for the Office of the Mayor, where no candidate receives forty percent or more of the vote, the two candidates receiving the most votes would advance to a run-off election to be held on the second Tuesday following the special election. Pending the result of the election, the Public Advocate would act as Mayor. In order to implement the proposal consistent with State law, this proposal would confer upon the Speaker of the City Council the responsibility to preside over meetings of the City Council, instead of the Public Advocate having that duty. The Public Advocate would remain a nonvoting member of the City Council, and have all other powers arising from that position. This proposal would take effect immediately, and would apply to vacancies in the Office of the Mayor occurring after September 20, 2002. 1 PART II Introduction A. Overview of the Charter Revision Process The New York City Charter is the basic document that defines the organization, power, functions and essential procedures and policies of City government. As a “short form” charter, it sets forth the institutions and processes of the City’s political system and defines the authority and responsibilities of elected officials—the Mayor, Council, Comptroller, Borough Presidents, and Public Advocate—and City agencies in broad strokes, while leaving the details of operation to local law and agency rulemaking. Unlike the United States Constitution, which is amended rarely, the City’s Charter is a fluid document that is amended often. Indeed, while the U.S. Constitution has been amended only 27 times in its 215 year history, the Charter has been amended more than 100 times since 1989. In the United States, city governments receive their legal authority from the states in which they are located. In the State of New York, municipalities have broad authority to structure how they operate by virtue of the Home Rule provisions of the State Constitution and the Municipal Home Rule Law. The City’s Charter, along with the State Constitution, the Municipal Home Rule Law and other State statutes, provides the legal framework within which it may conduct its affairs. Under State law, charter revision may occur as an ongoing process through the passage of local laws. There are limitations on that authority. For example, there can be no curtailment of powers of an elected official. A charter can also be revised pursuant to a State or City charter revision commission, which has the authority to put 2 proposals before the voters. A charter revision commission may put proposals before the voters regarding all elements of a charter, including the curtailment of powers of an elected official, as well as provisions that could also be adopted through local law. Municipal Home Rule Law (“MHRL”) § 36(4) permits the Mayor to establish a “charter commission” in New York City. The composition of a mayoral charter commission must consist of nine to fifteen members. The members must be City residents and may hold other public offices or employment. The Mayor designates the chair, vice-chair and secretary of the commission pursuant to MHRL §§ 36(4) and (6)(d). Charter commissions are not permanent commissions. MHRL § 36(6)(e) limits the term of a charter commission. A commission expires on the day of the election at which a proposed new charter or amendments prepared by a commission are submitted to the voters. However, if a commission fails to submit a new charter or any amendments to the voters, the commission expires on the day of the second general election following the commission’s creation. There are no prohibitions against the reappointment of a commission or appointment of a new commission upon the expiration of an existing commission. A charter commission may propose a broad set of amendments that essentially “overhauls” the entire charter, or may narrowly focus upon certain areas and explain why such an approach is preferable in a report to the public. MHRL § 36(5)(a); see Matter of Cruz v. Deierlein, 84 N.Y.2d 890, 892-893 (1994). The proposed amendments must be consistent with general State laws and can only effect changes that are otherwise within the City’s local legislative powers as set forth in the State Constitution and the MHRL. 3 The proposed amendments must be filed with the City Clerk for action by the voters no later than the second general election after the commission’s creation, and must be voted on at a general or special election held at least sixty days after the filing. The proposed amendments may be submitted to voters as one question, or a series of questions or alternatives. MHRL § 36(5)(b). B. The Commission’s Membership In July 2002, Mayor Michael R. Bloomberg appointed 13 civic, community and business leaders to serve on the Charter Revision Commission. Robert J. McGuire, Chair. At 41 years old, Mr. McGuire was the youngest Police Commissioner in New York City history, a position he held from 1978 to 1983. Mr. McGuire is currently Counsel to the law firm Morvillo, Abramowitz, Grand, Iason, and Silberberg. He is President of the Police Athletic League and a former President of Kroll Associates, Inc., an international corporate investigations and security consulting firm. Mr. McGuire is a graduate of Iona College and Saint John's University Law School. He resides in Manhattan. Marlene Springer, Vice-Chair. Dr. Springer is the President of the College of Staten Island of the City University of New York. Prior to her appointment, she was Vice Chancellor for Academic Affairs at East Carolina University. A specialist in nineteenth century British and American literature and women's literature, Dr. Springer earned her Ph.D. in English Literature and her M.A. in American Literature from Indiana University in Bloomington. Dr. Springer is a member of the Board of Directors of the American 4 Council on Education and numerous other professional and civic organizations. She resides in Staten Island. Cecilia E. Norat, Secretary. Ms. Norat is Director of State Relations for the American International Group, Inc. Prior to that, she served as Executive Director of the New York State Insurance Fund. She has received numerous professional awards including the Social Issues Award of the Public Employee Federation of the AFL-CIO. In 2000, Business Insurance selected her as one of the 100 women leaders in the insurance industry. Ms. Norat is a graduate of Fordham University and Fordham Law School. She resides in Manhattan. Herman Badillo. Mr. Badillo has an extensive career in public service, having served the citizens of New York City as Commissioner of Housing Relocation under Mayor Robert F. Wagner and subsequently as Bronx Borough President. Mr. Badillo made history as the first Puerto Rican Member of Congress and later as Deputy Mayor for Management under Mayor Edward I. Koch. As Special Counsel for the Fiscal Oversight of Education to Mayor Rudolph W. Giuliani, Mr. Badillo was an outspoken advocate of education reform. Governor George E. Pataki later appointed him Chairman of the City University of New York Board of Trustees. Mr. Badillo, a founding partner in the New York City law firm Fischbein, Badillo, Wagner, Harding, is a graduate of City College and Brooklyn Law School and a Certified Public Accountant.