In the Matter of Jack Cohen,
Respondent,
v.
Board of Appeals of the Village
of Saddle Rock,
Appellant.
In the Matter of Frank Russo,
et al.,
Respondents,
v.
Irving Black, &c., et al.,
Appellants.
2003 NY Int. 99
The issue in these separate appeals is whether the
State preempted the field of area variance review when it enacted
Village Law § 7-712-b(3). This question requires us to consider
the right of localities to govern in matters of purely local
concern in the context of the Legislature's transcendent interest
in regulating matters of Statewide importance ( see Albany Area
Bldrs. Assn. v Town of Guilderland, , 74 NY2d 372, 377 [1989]). We
conclude that Village Law § 7-712-b(3) evinces an intent by the
Petitioners, Jack Cohen and the Russos (Frank and
Jamie), applied to their respective Village authorities for area
variances. Cohen sought a variance from certain Village of
Saddle Rock zoning requirements as a prerequisite to obtaining a
permit to build a single-family home on his unimproved oceanfront
lot. The Russos applied for a height variance in order to
install an 11-foot wrought iron gate in the driveway of their
North Hills residence. In both cases, a Village building
inspector denied the applications and petitioners appealed to
their local Boards of Zoning Appeals. Both Boards denied the
appeals, finding that petitioners failed to demonstrate
"practical difficulties" or "undue hardship" in complying with
existing zoning requirements.[1]
Cohen commenced a CPLR article 78 proceeding seeking to annul the determination of the Saddle Rock Zoning Board of Appeals, claiming that the Board should have reviewed his application using the "balancing" test contained in Village Law § 7-712-b(3)(b), which had preempted the practical difficulty or undue hardship standard contained in the Village Code. Supreme Court agreed, invalidating section 150-24(B) of the Saddle Rock Code, and annulled the determination of the Board. The court remanded the matter for reconsideration consistent with Village Law § 7-712-b(3). On appeal, the Appellate Division affirmed, concluding that the Legislature intended Village Law § 7-712-b to preempt enactment of conflicting local laws (297 2 38 [2002]).[2] We now affirm.
The Russos followed a similar course, Supreme Court
also granting their article 78 petition, annulling the
determination of the North Hills Zoning Board of Appeals and
remanding the matter to the Board for a new determination
consistent with Village Law § 7-712-b. The Appellate Division
affirmed, citing its contemporaneous decision in Matter of Cohen,
As a matter of constitutional and statutory delegation, local governments are authorized to legislate in enumerated areas of local concern, subject to the Legislature's overriding interest in matters of Statewide concern ( see NY Const art IX; Statute of Local Governments). Although local laws that are inconsistent with State laws are generally invalid, the Municipal Home Rule Law allows incorporated villages to amend or supersede provisions of the Village Law as they relate to zoning matters. Thus, a village has the power to amend or supersede "any provision of the village law relating to the property, affairs or government of the village * * * unless the legislature expressly shall have prohibited the adoption of such a local law" ( see Municipal Home Rule Law § 10[1][ii][e][3]). The Village Law provision at issue here does not contain an express prohibition against amendment or supersession.
The supersession power, however, is subject to additional limitation. A village cannot supersede a state law where "a local law is otherwise preempted by State Law" ( Kamhi v Town of Yorktown, , 74 NY2d 423, 430 [1989] citing Albany Area Bldrs. Assn., , 74 NY2d 372). Indeed,
Albany Area Bldrs. Assn., 74 NY2d at 377 (emphasis added)."[t]he preemption doctrine represents a fundamental limitation on home rule powers. While localities have been invested with substantial powers both by affirmative grant and by restriction on State powers in matters of local concern, the overriding limitation of the preemption doctrine embodies 'the
untrammeled primacy of the Legislature to act * * * with respect to matters of State concern.' Preemption applies both in cases of express conflict between local and State law and in cases where the State has evidenced its intent to occupy the field" (citations omitted).
The Legislature may expressly state its intent to preempt, or that intent may be implied from the nature of the subject matter being regulated as well as the scope and purpose of the State legislative scheme, including the need for state- wide uniformity in a particular area. A comprehensive and detailed statutory scheme may be evidence of the Legislature's intent to preempt ( see Albany Area Bldrs. Assn., >74 NY2d at 377). This Court will examine whether the State has acted upon a subject and whether, in taking action, it has demonstrated a desire that its regulations should preempt the possibility of discordant local regulations ( see Incorporated Vil. of Nyack v Daytop Vil., Inc., , 78 NY2d 500, 508 [1991]).
Village Law § 7-712-b(3), which deals with area
variances, provides that "[a local] zoning board of appeals shall
have the power, upon an appeal from a decision or determination
of the administrative official charged with the enforcement of
such local law, to grant area variances as defined herein. * * *
In making its determination, the zoning board of appeals shall
take into consideration the benefit to the applicant if the
variance is granted, as weighed against the detriment to the
The Zoning Boards contend that the standards contained
in the local zoning laws are authorized by the supersession power
granted in the Municipal Home Rule Law. They argue that Village Law § 7-712-b(3) represents an effort by the Legislature to
clarify and codify various common law requirements for area
variances that existed at the time of its enactment, but was
never intended to supplant the power of localities to enact their
own different -- and possibly conflicting -- requirements ( see L
1991, ch 692). The Boards point out that the Legislature could
have foreclosed local supersession either by placing an express
prohibition in section 7-712-b, or by codifying the zoning appeal
standards in another statute beyond the Villages' power to
supersede, such as the General Municipal Law. This argument,
also posed by the dissent, does not acknowledge the Legislature's
Inconsistency of a local zoning law with a State law of general application is, of course, insufficient to trigger the Legislature's preemption power for, if that were so, the supersession authority granted by the Municipal Home Rule Law would be meaningless ( see Kahmi, 74 NY2d at 429-430). However, local authority to contravene laws of general application must yield to the superior interest of the Legislature when such interest has been demonstrated either by an express statutory prohibition or, more significantly in this case, by a finding of preemption ( see Kahmi, 74 NY2d at 430, citing Albany Area Bldrs. Assn., , 74 NY2d 372).
The 1991 amendments to both the Town and Village Laws,
setting forth a standard of review for area variance
applications, evinces an intent by the Legislature to occupy the
field and bring a measure of Statewide consistency to the
variance application and review process ( see L 1991, ch 692).
Contrary to the Boards' argument, the history of these amendments
does not suggest that they were intended merely to codify the
disparate attempts in the courts to define "practical difficulty"
and, to a lesser extent, "undue hardship" -- the earlier
standards embodied in the Village and Town Laws. Rather, the
statutory history supports petitioners' position that the
Legislature intended to replace the confusing "practical
difficulty" standard with a consistent test that weighed benefit
The legislative history indicates that "the statute [L 1991, ch 692] was enacted to clarify existing law by setting forth readily understandable guidelines for both Zoning Boards of Appeal and applicants for variances and to eliminate the confusion that then surrounded applications for area variances" ( Matter of Sasso v Osgood, , 86 NY2d 374, 383 [1995]).[3] Numerous sources in the legislative history support the conclusion we reached in Sasso and its natural extension in the appeals before us: faced with the turmoil and uncertainty that had plagued the law in this area, the Legislature intended to occupy the field and thus preempt local supersession authority.
By imposing a Statewide standard for area variance
Accordingly, in each case the order of the Appellate Division should be affirmed, with costs.
I disagree with the Court's holding that the State has preempted the field. Courts often are called upon to discern whether in a particular case the State has elected to preempt, and where the State has not made its intention clear it can be difficult to do so. As a result, we have at times concluded that the State has impliedly intended to preempt, even though it did not say so expressly. Here, there is not the slightest uncertainty. In the plainest possible terms, Municipal Home Rule Law § 10 [1] [ii] [e] [3] provides that there will be no preemption " unless the legislature expressly shall have prohibited the adoption of such a local law" (emphasis added). Because the legislation flatly says "no," I cannot accept petitioners' argument that "no" means "yes" ... or "maybe."
The effect of Municipal Home Rule Law section 10 is --
or, rather, should be -- an easily applied rule: Village
ordinances superseding the Village Law are valid absent express
language in the Village Law precluding supersession. That clear
rule should not be judicially abolished or replaced with an
amorphous "implied preemption" test, under which village
ordinances can be subjected to endless litigation disputing
It seems to me that this disorder was precisely the harm the Legislature sought to prevent by enacting Municipal Home Rule Law section 10. Ironically, petitioners argue that implied preemption will minimize confusion over the standards to be used in adjudicating variance applications. To the contrary, implied preemption -- in the face of an express preemption statute -- unsettles the law of village supersession and creates confusion where the Legislature was clear.
Albany Area Builders Assn v Town of Guilderland (74
2 372 [1989]) does not aid petitioners. There, we invalidated
a local law that required builders to pay for highway
construction caused by the increased traffic associated with new
developments. In striking down the enactment, we were careful to
note that it violated a detailed highway funding scheme reflected
not only in the Town Law (identical for present purposes to the
Kamhi v Town of Yorktown (74 2 423 [1989]), decided
the same day as Albany Area Builders, confirms that localities
may supersede provisions of the Town Law and Village Law. The
Court recognized that Municipal Home Rule Law section 10 allows
the type of supersession at issue in that case, noting that a
contrary conclusion would "give little force to the independent
grant of power specified in the Municipal Home Rule Law and the
Statute of Local Governments" ( id. at 433).[4]
Kamhi did not
forbid localities from enacting laws inconsistent with state
laws; in fact, it considered the possibility and explicitly
accepted inconsistency as basic to the power of supersession.
Statewide uniformity (in variance applications and otherwise) may
have some virtues, but the Legislature has seen greater virtue in
allowing villages to do as they see fit and to act inconsistently
The majority relies on Sasso v Osgood (, 86 NY2d 374
[1995]) to explain that the Legislature saw a problem with
localities applying the "practical difficulties" standard
inconsistently. Undisputedly, the Village Law § 7-712 revision
made the "practical difficulties" standard more consistent. But
that is not the point. All of the sections in the State's
Village Law create uniformity. Where the Legislature has granted
villages the right to act inconsistently, it is erroneous, and
circular, to reason that consistency demands implied preemption.
Sasso, moreover, was not a preemption or supersession case, and
the Court did not say anything that would call into question the
authority of local governments to revise Village Law § 7-712 if
they followed the procedures of Municipal Home Rule Law § 10.
The Village Law revision, lacking language expressly prohibiting
supersession, creates only a default rule: Localities can have
the multi-factor test of section 7-712 if they desire, but if
they prefer to replace the Village Law test with the abstract
Here, after the Villages of North Hills and Saddle Rock properly exercised their supersession authority under Municipal Home Rule Law § 10, I do not think it is appropriate for us to debate whether the State should allow villages to apply differing standards for adjudicating variance disputes. The State has already given us its answer by enacting an express preemption statute.
It is not as though the State is uncertain when it aims to prohibit supersession. In other instances, the Legislature has determined to unify village laws (putting them beyond the reach of villages), and has achieved that goal by expressly prohibiting supersession -- precisely the action contemplated by Municipal Home Rule Law § 10. Village Law § 5-532, for example, provides in unmistakable clarity, "No local law shall be adopted changing, amending or superseding any of the provisions of this article." Village Law article five, in turn, regulates the taxation and budgeting powers of villages. If any system of regulation is sufficiently comprehensive as to justify implied preemption, it would be these regulations. And yet the Legislature, recognizing implied preemption as incompatible with the Municipal Home Rule Law, made its prohibition express and unambiguous.
Village Law § 9-916 similarly bars supersession of the
Whatever may be said for implied preemption when the Legislature is silent, it has no place where the Legislature has spoken as loudly and clearly as it has here. It has told us in no uncertain terms that express prohibition is necessary to defeat villages' supersession authority. Because there is no such language here, I would hold that the village laws were not preempted, and I would therefore reverse the orders of the Appellate Division.
1 Pertinent sections of the Code of the Village of Saddle Rock § 150-24 provide:
"A.
Section 7-712-b, Subdivisions 2 and 3, of the New York State Village Law are hereby repealed and superseded in their application to the Village of Saddle Rock.
"B.
The Board of Appeals may grant an area or dimensional variance from the zoning regulations contained in this chapter only upon a showing of practical difficulty or unnecessary hardships in the way of carrying out the provisions of such regulations." Similar language in the Code of the Village of North Hills § 174- 31.2 provides:
"A.
Pursuant to authority granted to the village in the Municipal Home Rule Law, § 7-712-b of the Village Law of the State of New York is hereby repealed in its application to the Village of North Hills.
"D.
The Board of Appeals shall have the power upon an appeal to grant area variances only where the applicant shall demonstrate that there are practical difficulties in the way of carrying out the provisions of this chapter."
2 Cohen has since sold the property, rendering the variance issue moot. However, the declaratory relief granted -- invalidation of Saddle Rock's area variance law -- presents a live controversy.
3 In Sasso, we determined that zoning boards of appeal were required to review variance applications using the balancing test contained in Town Law § 267-b. The language of the Town Law is identical to that of Village Law § 7-712-b as it applies to the standard of review upon denial of a variance.
4 Kamhi invalidated the local law, but only on the ground that the locality had not followed the appropriate procedures in attempting what would otherwise have been a valid supersession ( see 74 NY2d at 434-435).
5 See also id. ("When municipalities act within their supersession authority, even local laws that are inconsistent with the Town Law may be valid.").