Consent and Compensation: Resolving Generative AI’s Copyright Crisis

Generative artificial intelligence (AI) has the potential to augment and democratize creativity. However, it is undermining the knowledge ecosystem that now sustains it. Generative AI may unfairly compete with authors, journalists, and other creative workers, displacing them in the market. Most AI firms are not compensating creative workers for composing the songs, drawing the images, and writing both the fiction and nonfiction books that their models need in order to function. AI thus threatens not only to undermine the livelihoods of authors, artists, and other creatives, but also to destabilize the very knowledge ecosystem it relies on.

Alarmed by these developments, many copyright owners have objected to the use of their works by AI providers. In order to recognize and empower their demands to stop nonconsensual use of their works, we propose a streamlined opt-out mechanism that would require AI providers to remove objectors’ works from their databases once copyright infringement has been documented. Those who do not object still deserve compensation for the use of their work by AI providers. We thus also propose a levy on AI providers, to be distributed to the copyright owners whose work they use without a license. This scheme is designed to ensure that creatives receive a fair share of the economic bounty arising out of their contributions to AI. Together, these mechanisms of consent and compensation would result in a new grand bargain between copyright owners and AI firms, helping to ensure the long-term viability of both AI and the human thought and expression it depends on.

Introduction

From the printing press to the Internet, technological advance has profoundly changed the way authors create, disseminate, and monetize their works.1.See generally Adrian Johns, Piracy: The Intellectual Property Wars from Gutenberg to Gates(2009) (discussing the history of copyright piracy).Show More Widespread access to the Internet has caused book, music, and film creators great economic setbacks via piracy, but has also created new opportunities, particularly for “long tail” creators shunned by dominant recording companies and broadcasters.2.See Chris Anderson, The Long Tail, Wired (Oct. 1, 2004, 12:00 PM), https://www.wired.‌com/2004/10/tail [https://perma.cc/P9QQ-MPTG].Show More Despite the upheaval, human authors have remained indispensable in the creation of works, as pirates do not create original content.

The rise of generative artificial intelligence (AI), however, represents an inflection point.3.Generative AI’s power to create exact replicas of existing works, and to imitate many characteristic elements of existing works, has provoked a wave of lawsuits over the past two years. However, copyright controversies over the training of AI antedate the rise of generative AI. To mark the relevance of that past work, and the continuity of the problems likely to be raised by AI when the next generation of AI arises, we refer to “AI” throughout the Essay, rather than the more cumbersome “generative AI” or “GenAI.”Show More AI can plagiarize at a far faster rate than human copyists.4.Kate Knibbs, Scammy AI-Generated Book Rewrites Are Flooding Amazon, Wired (Jan. 10, 2024, 7:00 AM), https://www.wired.com/story/scammy-ai-generated-books-flooding-am‌azon/ [https://perma.cc/4R7G-LXFU].Show More These capacities are menacing both fiction and nonfiction book authors, as well as journalists.5.Our focus in this Essay is on corporations developing, marketing, and selling AI services. The legislative approaches developed in this Essay may, in a calibrated fashion, adjust duties of AI providers to reflect their size, for-profit or nonprofit status, and other factors.Show More AI can also create new works that closely resemble the style and content of existing ones. When prompted skillfully, large language models (LLMs) aid in the rapid creation of a high volume of content. The bottom line is an “existential crisis” for many creatives, threatening to drive the marginal value of their labor below subsistence levels as cheap AI content displaces human works.6.See Michael Cavna, Artists Are Alarmed by AI—and They’re Fighting Back, Wash. Post (Feb. 14, 2023, 6:00 AM), https://www.washingtonpost.com/comics/2023/02/14/ai-in-illustra‌tion/ [https://perma.cc/4RFW-5FX3] (describing “an existential threat to the livelihood of artists”). Throughout this Essay, we will refer to artists, writers, journalists, and other creators of expressive works as “creatives” or “copyright owners.” We realize these terms may be too capacious: some expressive work only takes a minimal amount of creativity, and many creatives have transferred their copyrights to others in exchange for compensation. Nevertheless, copyright is premised on some minimal level of creativity, and the future compensation of creatives who plan to alienate their copyrights is at least in part premised on the value of those copyrights to those seeking them. Thus the terms capture enough of social and economic reality to be useful here.Show More

Given the enthusiasm for AI evident among so many owners of dominant content distribution platforms, such a displacement may already be underway.7.Edward Zitron, Are We Watching the Internet Die?, Where’s Your Ed At? (Mar. 11, 2024), https://www.wheresyoured.at/are-we-watching-the-internet-die/ [https://perma.cc/PZC5-H9‌FF] (recognizing that because “platforms were built to reward scale and volume far more often than quality,” creatives who use AI enjoy important advantages over those who do not).Show More To create and improve their AI models, large technology firms have undermined authors’ proprietary control over their works by using these works as training data, without consent and often through opaque processes.8.See infra Section I.B.Show More At the same time, AI systems like ChatGPT and MidJourney can rapidly generate a wide variety of content, potentially outperforming humans in the marketplace of ideas—particularly when so many of this marketplace’s main organizers such as Alphabet (Google’s parent company), X (formerly Twitter), and Meta (formerly Facebook) are themselves developing AI.9.See Thomas H. Davenport & Nitin Mittal, How Generative AI Is Changing Creative Work, Harv. Bus. Rev. (Nov. 14, 2022), https://hbr.org/2022/11/how-generative-ai-is-changing-crea‌tive-work [https://perma.cc/SK98-ZE5T].Show More

To compound these challenges, leading firms in the AI space are unlikely to offer compensation for the vital contributions of copyrighted works to their systems. In 2023, this state of affairs helped lead to an unprecedented 148-day strike by Hollywood screenwriters.10 10.Ben Schwartz, AI and the Hollywood Writers’ Strike, Nation (May 8, 2023), https://www.‌thenation.com/article/economy/ai-and-the-hollywood-writers-strike [https://perma.cc/8TJR-ZBUC]; Jennifer Maas, The Writers Strike Is Over: WGA Votes to Lift Strike Order After 148 Days, Variety (Sept. 26, 2023, 5:07 PM), https://variety.com/2023/tv/news/writers-strike-over-wga-votes-end-work-stoppage-1235735512/ [https://perma.cc/F5P7-QEWF].Show More Book authors are also alarmed. Over 15,000 writers, including prominent novelists such as Dan Brown, Suzanne Collins, and Margaret Atwood, have endorsed an open letter demanding fair compensation, credit, and author consent for the use of their works in AI systems.11 11.Open Letter to Generative AI Leaders, Action Network, https://actionnetwork.org/petitio‌ns/authors-guild-open-letter-to-generative-ai-leaders [https://perma.cc/8D5W-WGFL] (last visited Mar. 3, 2024).Show More At least one former executive in an AI firm has resigned his position, considering the unlicensed use of music as training data both ethically and legally untenable.12 12.Kate Knibbs, This Tech Exec Quit His Job to Fight Generative AI’s Original Sin, Wired (Jan. 17, 2024, 4:44 PM), https://www.wired.com/story/ai-executive-ed-newton-rex-turns-cru‌sader-stand-up-for-artists [https://perma.cc/97NE-H4Y7].Show More This struggle has resulted in numerous courtroom battles over copyright infringement, too.13 13.Complaint at 2–3, Basbanes v. Microsoft Corp., No. 24-cv-00084 (S.D.N.Y. Jan. 5, 2024); Complaint at 2–4, N.Y. Times Co. v. Microsoft Corp., No. 23-cv-11195 (S.D.N.Y. Dec. 27, 2023); Generative AI-Intellectual Property Cases and Policy Tracker, Mishcon de Reya LLP, https://www.mishcon.com/generative-ai-intellectual-property-cases-and-policy-tr‌acker [https://perma.cc/7RHU-3PG2] (last visited Mar. 3, 2024).Show More AI firms claim that they are protected by the fair use defense,14 14.Mark A. Lemley & Bryan Casey, Fair Learning, 99 Tex. L. Rev. 743, 748 (2021) (arguing that “a [machine learning] system’s use of the data often is transformative as that term has come to be understood in copyright law, because even though it doesn’t change the underlying work, it changes the purpose for which the work is used”).Show More but application of the doctrine is notoriously uncertain, particularly with respect to new technologies.15 15.Katherine Lee, A. Feder Cooper & James Grimmelmann, Talkin’ ‘Bout AI Generation: Copyright and the Generative-AI Supply Chain, 71 J. Copyright Soc’y (forthcoming 2024) (manuscript at 105), https://papers.ssrn.com/sol3/papers.cfm?abstract_id=4523551 [https://pe‌rma.cc/Z3C7-PJWJ] (“[F]air use is famously case-specific, so no ex ante analysis can anticipate all of the relevant issues.”).Show More

This litigation may drag on for years, slowing the development of AI while denying or delaying fair compensation to creatives. The situation strikes many policymakers as deeply unfair and undesirable. As the Communications and Digital Committee of the United Kingdom’s House of Lords has concluded, “[w]e do not believe it is fair for tech firms to use rightsholder data for commercial purposes without permission or compensation, and to gain vast financial rewards in the process.”16 16.Commc’ns & Digit. Comm., Large Language Models and Generative AI, 2023-24, HL 54, ¶ 245 (UK).Show More A legislative solution is desirable, and there is a venerable tradition of actual and proposed solutions to the copyright problems created by new technological uses of works.17 17.See William W. Fisher III, Promises to Keep: Technology, Law, and the Future of Entertainment 1–22 (2004).Show More

To guide policymakers, this Essay outlines a promising framework for a legislative solution premised on coupling mechanisms of control (via opt-out rights) and compensation (via a levy to be imposed on AI providers by a central authority and then distributed to owners of works used by those AI providers without a license). These mechanisms could first be imposed on the largest AI providers and then expanded as appropriate once standardized. Part I explains the urgency of this proposal by demonstrating that free expropriation of copyrighted works by AI providers not only devalues human creativity, but also threatens to undermine AI itself by eliminating critical incentives for the ongoing creation of works necessary for further technological development. Part II outlines an opt-out mechanism, permitting creatives to forbid nonconsensual use of their works for training AI models after documenting copyright infringement. Part III addresses the proper level of levies necessary to compensate those who do not choose to opt out or license their works to AI providers. Part IV anticipates and responds to objections to our proposal. This Essay concludes by reflecting on the broader policy implications of our proposal.

  1.  See generally Adrian Johns, Piracy: The Intellectual Property Wars from Gutenberg to Gates

    (2009) (discussing the history of copyright piracy).

  2.  See Chris Anderson, The Long Tail, Wired (Oct. 1, 2004, 12:00 PM), https://www.wired.‌com/2004/10/tail [https://perma.cc/P9QQ-MPTG].
  3.  Generative AI’s power to create exact replicas of existing works, and to imitate many characteristic elements of existing works, has provoked a wave of lawsuits over the past two years. However, copyright controversies over the training of AI antedate the rise of generative AI. To mark the relevance of that past work, and the continuity of the problems likely to be raised by AI when the next generation of AI arises, we refer to “AI” throughout the Essay, rather than the more cumbersome “generative AI” or “GenAI.”
  4.  Kate Knibbs, Scammy AI-Generated Book Rewrites Are Flooding Amazon, Wired (Jan. 10, 2024, 7:00 AM), https://www.wired.com/story/scammy-ai-generated-books-flooding-am‌azon/ [https://perma.cc/4R7G-LXFU].
  5.  Our focus in this Essay is on corporations developing, marketing, and selling AI services. The legislative approaches developed in this Essay may, in a calibrated fashion, adjust duties of AI providers to reflect their size, for-profit or nonprofit status, and other factors.
  6.  See Michael Cavna, Artists Are Alarmed by AI—and They’re Fighting Back, Wash. Post
    (

    Feb. 14, 2023, 6:00 AM), https://www.washingtonpost.com/comics/2023/02/14/ai-in-illustra‌tion/ [https://perma.cc/4RFW-5FX3] (describing “an existential threat to the livelihood of artists”). Throughout this Essay, we will refer to artists, writers, journalists, and other creators of expressive works as “creatives” or “copyright owners.” We realize these terms may be too capacious: some expressive work only takes a minimal amount of creativity, and many creatives have transferred their copyrights to others in exchange for compensation. Nevertheless, copyright is premised on some minimal level of creativity, and the future compensation of creatives who plan to alienate their copyrights is at least in part premised on the value of those copyrights to those seeking them. Thus the terms capture enough of social and economic reality to be useful here.

  7.  Edward Zitron, Are We Watching the Internet Die?, Where’s Your Ed At? (Mar. 11, 2024), https://www.wheresyoured.at/are-we-watching-the-internet-die/ [https://perma.cc/PZC5-H9‌FF] (recognizing that because “platforms were built to reward scale and volume far more often than quality,” creatives who use AI enjoy important advantages over those who do not).
  8.  See infra Section I.B.
  9.  See Thomas H. Davenport & Nitin Mittal, How Generative AI Is Changing Creative Work, Harv. Bus. Rev. (Nov. 14, 2022), https://hbr.org/2022/11/how-generative-ai-is-changing-crea‌tive-work [https://perma.cc/SK98-ZE5T].
  10.  Ben Schwartz, AI and the Hollywood Writers’ Strike, Nation (May 8, 2023), https://www.‌thenation.com/article/economy/ai-and-the-hollywood-writers-strike [https://perma.cc/8TJR-ZBUC]; Jennifer Maas, The Writers Strike Is Over: WGA Votes to Lift Strike Order After 148 Days, Variety (Sept. 26, 2023, 5:07 PM), https://variety.com/2023/tv/news/writers-strike-over-wga-votes-end-work-stoppage-1235735512/ [https://perma.cc/F5P7-QEWF].
  11.  Open Letter to Generative AI Leaders, Action Network, https://actionnetwork.org/petitio‌ns/authors-guild-open-letter-to-generative-ai-leaders [https://perma.cc/8D5W-WGFL] (last visited Mar. 3, 2024).
  12.  Kate Knibbs, This Tech Exec Quit His Job to Fight Generative AI’s Original Sin, Wired
    (

    Jan. 17, 2024, 4:44 PM), https://www.wired.com/story/ai-executive-ed-newton-rex-turns-cru‌sader-stand-up-for-artists [https://perma.cc/97NE-H4Y7].

  13.  Complaint at 2–3, Basbanes v. Microsoft Corp., No. 24-cv-00084 (S.D.N.Y. Jan. 5, 2024); Complaint at 2–4, N.Y. Times Co. v. Microsoft Corp., No. 23-cv-11195 (S.D.N.Y. Dec. 27, 2023); Generative AI-Intellectual Property Cases and Policy Tracker, Mishcon de Reya LLP, https://www.mishcon.com/generative-ai-intellectual-property-cases-and-policy-tr‌acker [https://perma.cc/7RHU-3PG2] (last visited Mar. 3, 2024).
  14.  Mark A. Lemley & Bryan Casey, Fair Learning, 99 Tex. L. Rev. 743, 748 (2021) (arguing that “a [machine learning] system’s use of the data often is transformative as that term has come to be understood in copyright law, because even though it doesn’t change the underlying work, it changes the purpose for which the work is used”).
  15.  Katherine Lee, A. Feder Cooper & James Grimmelmann, Talkin’ ‘Bout AI Generation: Copyright and the Generative-AI Supply Chain, 71 J. Copyright Soc’y (forthcoming 2024) (manuscript at 105), https://papers.ssrn.com/sol3/papers.cfm?abstract_id=4523551 [https://pe‌rma.cc/Z3C7-PJWJ] (“[F]air use is famously case-specific, so no ex ante analysis can anticipate all of the relevant issues.”).
  16.  Commc’ns & Digit. Comm., Large Language Models and Generative AI, 2023-24, HL 54, ¶ 245 (UK).
  17.  See

    William W. Fisher III, Promises to Keep: Technology, Law, and the Future of Entertainment 1–22 (2004).

How to Think About the Removal Power

In an earlier article titled The Executive Power of Removal, we contended that Article II gives the President a constitutional power to remove executive officers, at least those who are presidentially appointed. In this Essay, we expand on, and reply to a critique of, that article. We discuss the meaning of the clause vesting “executive Power” in the President and the clause authorizing Congress to make laws “necessary and proper for carrying into Execution” the powers of the federal government. We contend that the former vests authority to remove in the President and the latter does not allow Congress to treat that allocation of authority as a default. We discuss how constitutional developments in the Commonwealth of Pennsylvania—specifically, a 1784 report authored by the Council of Censors—support our understanding of the federal Constitution’s text and structure. We also discuss early practice under the federal Constitution—specifically, high-profile instances where presidents removed executive subordinates without Senate participation. These sources and episodes, along with those we discussed in our previous article, support the conclusion that the Constitution confers on the President the authority to remove presidentially appointed executive officers.

Introduction

Does the President have a constitutional power to remove executive branch subordinates? In a recent article entitled The Executive Power of Removal,1.See Aditya Bamzai & Saikrishna Bangalore Prakash, The Executive Power of Removal, 136 Harv. L. Rev. 1756 (2023).Show More we joined the Supreme Court2.For recent cases, see Free Enter. Fund v. Pub. Co. Acct. Oversight Bd., 561 U.S. 477 (2010); Seila Law LLC v. CFPB, 140 S. Ct. 2183 (2020); Collins v. Yellen, 141 S. Ct. 1761 (2021).Show More in defending the proposition that Article II of the Constitution gives the President authority to remove executive officers, at least those who are presidentially appointed.3.See Myers v. United States, 272 U.S. 52 (1926). As explained, we did not address those officials performing functions for the territories and the District of Columbia—where Congress might have greater authority to structure administration. See Bamzai & Prakash, supra note 1, at 1802–18. Moreover, we did not dispute that a non-executive institution, like Congress, can initiate “removal” of an executive officer, say, by impeachment. See U.S. Const. art. II, § 4. And we bracketed the question of whether the President has similar removal authority over inferior officers appointed by others. See Bamzai & Prakash, supra note 1, at 1830–35.Show More Without such a power, it is hard to see how the President could exert control—on behalf of an electoral coalition—over the vast American bureaucracy. Without such a power, it is easy to see how a temporary coalition could entrench long-term control over the bureaucracy by creating an officer insulated from presidential control through, for example, the conferral of statutory life tenure with removal only by impeachment. The Constitution’s conferral of removal authority on the President thus has a deep and important connection to the concept that electoral majorities should be able to control the executive branch. In our previous article, we focused on historical sources that had embraced the perspective that the President has just such a power of removal.

In this Essay, we reply to a critique of that article—Removal Rehashed by Professors Andrea Katz and Noah Rosenblum.4.See Andrea Scoseria Katz & Noah A. Rosenblum, Removal Rehashed, 136 Harv. L. Rev. F. 404 (2023).Show More We part ways with their analysis in several significant respects. But despite our disagreements, we are grateful for the chance to sharpen our own thinking on these issues. Just as the hammer and the anvil forge the metal, so too in the realm of intellectual discovery the critic forces the author to refine arguments that would otherwise remain untested. In that spirit, we offer this reply. We continue to believe that, although our theory is not the only one possible, it best fits text, structure, history, and early practice, and is therefore preferable to the alternatives.

In contrast to our views, Katz and Rosenblum reject altogether the notion that the Constitution confers a removal power on the President.5.As best we can tell, Katz and Rosenblum do not concede that the President has a removal authority that Congress can regulate using the Necessary and Proper Clause. Thus, it appears to us that their view departs from the perspective of those, like Justice Kagan, who believe that the President possesses an indefeasible constitutional power to remove close military or diplomatic advisors, because the absence of such power would impede the President’s performance of his constitutional duties. See, e.g., Seila Law, 140 S. Ct. at 2233 (Kagan, J., concurring in the judgment with respect to severability and dissenting in part).Show More Starting from that perspective, they advise that readers “will find little new” in our article6.Katz & Rosenblum, supra note 4, at 425.Show More—a refrain they repeat so many times and so fixatedly that it takes on the air of a government official advising a passerby to “move on; nothing to see here!”7.See id. at 404 (“We are not convinced that the Article says much that is new.”); id. (“[I]t was unclear to us which materials were new or what the new materials added.”); id. at 406 (arguing that “Bamzai and Prakash’s argument is not new”); id. at 416 (claiming that our argument “largely rehashes old arguments with old sources”); id. at 417 (“We are unsure what Bamzai and Prakash believe is new about their argument.”).Show More To be sure, if one starts from the premise, as Katz and Rosenblum do, that it is “intellectually indefensible” to believe that Article II grants a presidential removal authority,8.Id. at 405.Show More then we agree: there is nothing to see here. But for those who are more open-minded about one of the most significant (and historically, most debated) questions of the separation of powers, read on.9.Of course, feel free to read The Executive Power of Removal too.Show More For as we explain below, Katz and Rosenblum misdescribe several of our arguments and several of the underlying sources. The case for a presidential removal power is stronger than they are willing to acknowledge.

Consider, for example, one of Katz and Rosenblum’s claims about the historical pedigree of the President’s removal authority. They contend that “[t]he historian might wonder why th[e] argument [for an executive power of removal,] if once so widespread, disappeared so quickly.”10 10.Katz & Rosenblum, supra note 4, at 416. Parenthetically, as anyone familiar with history knows, arguments can come and go, such that even if an argument disappeared at some point, it would not necessarily dispose of a claim that the argument existed in, for example, the eighteenth and early nineteenth centuries. At any rate, Katz and Rosenblum’s assertion that our claim “disappeared” is contradicted by the very source that they cite.Show More To support their claim that the argument for a removal power “disappeared so quickly,” Katz and Rosenblum rely on a quotation from a 1916 book by Frank Goodnow providing that courts “have held that [the Vesting Clause] has little if any legal effect, and that for the most part it is to be explained by the powers which are later specifically mentioned.”11 11.Id. at 416 n.94 (quoting Frank J. Goodnow, Principles of Constitutional Government 88–89 (1916)).Show More But Katz and Rosenblum’s use of this quotation does not properly characterize Goodnow. Two pages after the quoted language, Goodnow explained that the “practice” with respect to removal is “that the President has the power to remove arbitrarily almost all civil officers of the United States, not judges. This power has been recognized as belonging to the President as a part of the executive power granted to him.”12 12.Here is Goodnow’s paragraph, which we quote in its entirety to allow readers to assess the relevant context:The United States Constitution, as we have seen, vests the executive power in a President. The meaning of the power thus granted is, however, to be obtained from the powers subsequently specifically enumerated. These are:1. The power to appoint all officers of the government except inferior officers, who, if so provided by law, may be appointed by their superiors or by the courts. This power, where not otherwise provided by law, is to be exercised with the approval of the Senate. No mention is made in the Constitution of any power of removal from office. All that is said with regard to the termination of office is contained in the provision with regard to impeachment, which is applicable to all civil officers, and that giving the judges a term of office during good behavior. The practice is, however, that the President has the power to remove arbitrarily almost all civil officers of the United States, not judges. This power has been recognized as belonging to the President as a part of the executive power granted to him.Frank J. Goodnow, Principles of Constitutional Government 91 (1916). As this language makes clear, Katz and Rosenblum simply misinterpret Goodnow. Even while questioning whether other presidential powers derived from the Vesting Clause, Goodnow plainly acknowledged that the executive power was thought to encompass removal. (We leave to one side the question of whether a 1916 disappearance would count as “quickly” following the Constitution’s adoption.)Show More Rather than demonstrating the “disappearance” of an “executive power of removal,” Goodnow’s 1916 book demonstrates how into the twentieth century, it was widely recognized that Article II conferred removal power on the President.13 13.In a 1905 book, Goodnow foreshadowed the perspective that he explicitly articulated in 1916. See Frank J. Goodnow, The Principles of the Administrative Law of the United States (1905). There, Goodnow described “the interpretation of the constitution made by the first Congress relative to the President’s power of removing officers” as having been “that the power of removal was a part of the executive power, and therefore belonged to the President.” Id. at 76. He claimed that this was “the recognized construction of the constitution” until the Civil War. Id.; see also id. at 77 (remarking that, after the repeal of the limits on presidential removal imposed by the Tenure of Office Act, “the early interpretation of the constitution must be regarded as the correct one at the present time” and describing the conferral of removal authority on the President as having “been of incalculable advantage in producing an efficient and harmonious national administration”). We might part ways with some of the details in Goodnow’s account, and we take no position on whether Goodnow expressed different views in other writings that we have not mentioned. At a minimum, however, these discussions from Goodnow’s 1905 and 1916 books flatly contradict Katz and Rosenblum’s assertion that the concept of an executive power of removal “disappeared . . . quickly.” Katz & Rosenblum, supra note 4, at 416.Show More Professor Goodnow once remembered what some modern historians have forgotten.

As we discuss below, this is not the only occasion where we part ways with Katz and Rosenblum’s characterization of our article or the underlying sources. Specifically, they spend a significant portion of their response on the question of removal under the Pennsylvania Constitution—claiming, for example, that “Pennsylvania’s charter made no mention of executive removal”14 14.Katz & Rosenblum, supra note 4, at 407 (citing Pa. Const. of 1776, §§ 20, 22–23, 30, 34).Show More and that a 1784 report by Pennsylvania’s Council of Censors “probably means nearly the opposite” of our characterization of it.15 15.Id. at 417–18.Show More Respectfully, we disagree. Katz and Rosenblum fail to recognize that the Pennsylvania Supreme Court explained at an early date that, despite the Pennsylvania Constitution’s silence, “it has been generally supposed, that the power of removal rested with the Governor, except in those cases where the tenure, was during good behavior.”16 16.Commonwealth ex rel. Lehman v. Sutherland, 3 Serg. & Rawle 145, 149 (Pa. 1817).Show More And they bury in a footnote a concession that a passage in the Censors’ Report “might be read to suggest that the Censors believed removal was ‘an executive power’ and so support Bamzai and Prakash’s argument.”17 17.Katz & Rosenblum, supra note 4, at 420 n.111.Show More As we explain at length below, their concession is appropriate; the Censors’ Report supports our position. And the early history of gubernatorial removal in Pennsylvania is itself a fascinating case study with parallels to federal removal practice.

In addition, Katz and Rosenblum claim we were mistaken to rely on data from a study by the political scientist Carl Fish to show how often presidents removed executive subordinates in the early Republic. They claim that many such removals occurred on appointment of a successor, because for positions requiring Senate advice and consent, “removal was incident to appointment: the appointment and confirmation of someone new removed the previous officeholder.”18 18.Id. at 421. As an initial matter, Katz and Rosenblum suggest that removals that occurred upon the appointment of a successor did not happen “in the way Bamzai and Prakash use the term in their Article.” Id. at 422. But that misdescribes our article, which purposefully did not take a position on how removal had to be accomplished. Cf. Bamzai & Prakash, supra note 1, at 1787 (discussing issues that might arise due to a dispute over the timing of a removal).Show More But leaving to one side that nothing in our claim turns on Fish’s precise number of removals (which we did not even cite), we explain below that, in high-profile instances, presidents removed executive subordinates without Senate participation. Katz and Rosenblum’s theory of removal-by-appointment fails to explain such removals. And as demonstrated by the at-pleasure commissions conferred on executive branch officials, along with statements by executive branch officers, it was certainly the view of many that presidents could unilaterally remove.

Our Essay proceeds as follows. In Part I, we set forth the analytical framework for a presidential removal power. At the risk of “rehashing”—which we now understand to be strictly verboten—we rely upon some of the same material we previously surfaced in The Executive Power of Removal. In Part II, we turn to a significant state-law antecedent to the federal Constitution—removal in the context of the Pennsylvania Constitution. This portion of the Essay introduces “new” sources and arguments from one State that might have played a role in the drafting of the federal Constitution.19 19.We use the word “new” with some trepidation, given how hawkishly it appears some of our interlocutors police that language.Show More In Part III, we address the role of early federal practice. Finally, in Part IV, we address some overarching methodological points.

  1.  See Aditya Bamzai & Saikrishna Bangalore Prakash, The Executive Power of Removal, 136 Harv. L. Rev. 1756 (2023).
  2.  For recent cases, see Free Enter. Fund v. Pub. Co. Acct. Oversight Bd., 561 U.S. 477 (2010); Seila Law LLC v. CFPB, 140 S. Ct. 2183 (2020); Collins v. Yellen, 141 S. Ct. 1761 (2021).
  3.  See Myers v. United States, 272 U.S. 52 (1926). As explained, we did not address those officials performing functions for the territories and the District of Columbia—where Congress might have greater authority to structure administration. See Bamzai & Prakash, supra note 1, at 1802–18. Moreover, we did not dispute that a non-executive institution, like Congress, can initiate “removal” of an executive officer, say, by impeachment. See U.S. Const. art. II, § 4. And we bracketed the question of whether the President has similar removal authority over inferior officers appointed by others. See Bamzai & Prakash, supra note 1, at 1830–35.
  4.  See Andrea Scoseria Katz & Noah A. Rosenblum, Removal Rehashed, 136 Harv. L. Rev. F. 404 (2023).
  5.  As best we can tell, Katz and Rosenblum do not concede that the President has a removal authority that Congress can regulate using the Necessary and Proper Clause. Thus, it appears to us that their view departs from the perspective of those, like Justice Kagan, who believe that the President possesses an indefeasible constitutional power to remove close military or diplomatic advisors, because the absence of such power would impede the President’s performance of his constitutional duties. See, e.g., Seila Law, 140 S. Ct. at 2233 (Kagan, J., concurring in the judgment with respect to severability and dissenting in part).
  6.  Katz & Rosenblum, supra note 4, at 425.
  7.  See id. at 404 (“We are not convinced that the Article says much that is new.”); id. (“[I]t was unclear to us which materials were new or what the new materials added.”); id. at 406 (arguing that “Bamzai and Prakash’s argument is not new”); id. at 416 (claiming that our argument “largely rehashes old arguments with old sources”); id. at 417 (“We are unsure what Bamzai and Prakash believe is new about their argument.”).
  8.  Id. at 405.
  9.  Of course, feel free to read The Executive Power of Removal too.
  10.  Katz & Rosenblum, supra note 4, at 416. Parenthetically, as anyone familiar with history knows, arguments can come and go, such that even if an argument disappeared at some point, it would not necessarily dispose of a claim that the argument existed in, for example, the eighteenth and early nineteenth centuries. At any rate, Katz and Rosenblum’s assertion that our claim “disappeared” is contradicted by the very source that they cite.
  11.  Id. at 416 n.94 (quoting Frank J. Goodnow, Principles of Constitutional Government 88–89 (1916)).
  12.  Here is Goodnow’s paragraph, which we quote in its entirety to allow readers to assess the relevant context:

    The United States Constitution, as we have seen, vests the executive power in a President. The meaning of the power thus granted is, however, to be obtained from the powers subsequently specifically enumerated. These are:

    1. The power to appoint all officers of the government except inferior officers, who, if so provided by law, may be appointed by their superiors or by the courts. This power, where not otherwise provided by law, is to be exercised with the approval of the Senate. No mention is made in the Constitution of any power of removal from office. All that is said with regard to the termination of office is contained in the provision with regard to impeachment, which is applicable to all civil officers, and that giving the judges a term of office during good behavior. The practice is, however, that the President has the power to remove arbitrarily almost all civil officers of the United States, not judges. This power has been recognized as belonging to the President as a part of the executive power granted to him.

    Frank J. Goodnow, Principles of Constitutional Government 91 (1916). As this language makes clear, Katz and Rosenblum simply misinterpret Goodnow. Even while questioning whether other presidential powers derived from the Vesting Clause, Goodnow plainly acknowledged that the executive power was thought to encompass removal. (We leave to one side the question of whether a 1916 disappearance would count as “quickly” following the Constitution’s adoption.)

  13.  In a 1905 book, Goodnow foreshadowed the perspective that he explicitly articulated in 1916. See Frank J. Goodnow, The Principles of the Administrative Law of the United States (1905). There, Goodnow described “the interpretation of the constitution made by the first Congress relative to the President’s power of removing officers” as having been “that the power of removal was a part of the executive power, and therefore belonged to the President.” Id. at 76. He claimed that this was “the recognized construction of the constitution” until the Civil War. Id.; see also id. at 77 (remarking that, after the repeal of the limits on presidential removal imposed by the Tenure of Office Act, “the early interpretation of the constitution must be regarded as the correct one at the present time” and describing the conferral of removal authority on the President as having “been of incalculable advantage in producing an efficient and harmonious national administration”). We might part ways with some of the details in Goodnow’s account, and we take no position on whether Goodnow expressed different views in other writings that we have not mentioned. At a minimum, however, these discussions from Goodnow’s 1905 and 1916 books flatly contradict Katz and Rosenblum’s assertion that the concept of an executive power of removal “disappeared . . . quickly.” Katz & Rosenblum, supra note 4, at 416.
  14.  Katz & Rosenblum, supra note 4, at 407 (citing Pa. Const. of 1776, §§ 20, 22–23, 30, 34).
  15.  Id. at 417–18.
  16.  Commonwealth ex rel. Lehman v. Sutherland, 3 Serg. & Rawle 145, 149 (Pa. 1817).
  17.  Katz & Rosenblum, supra note 4, at 420 n.111.
  18.  Id. at 421. As an initial matter, Katz and Rosenblum suggest that removals that occurred upon the appointment of a successor did not happen “in the way Bamzai and Prakash use the term in their Article.” Id. at 422. But that misdescribes our article, which purposefully did not take a position on how removal had to be accomplished. Cf. Bamzai & Prakash, supra note 1, at 1787 (discussing issues that might arise due to a dispute over the timing of a removal).
  19.  We use the word “new” with some trepidation, given how hawkishly it appears some of our interlocutors police that language.

Expanding Democracy: The Case for Enfranchising Noncitizens in Local Elections

In the wake of recent state-led movements to restrict voting rights in the United States, New York City passed a law expanding local voting rights. Intro 1867-A defines municipal elections as the “designation, nomination[,] and election process for the offices of mayor, comptroller, public advocate, city council member, and borough president.” This law limits “municipal voters” to lawful permanent residents and noncitizens authorized to work in the United States who have been residents of New York City for at least thirty consecutive days by the date of a given election and who meet all other voting registration requirements under election law. Intro 1867-A was subsequently struck down on appeal on February 21, 2024, when a New York appeals court held that it violated the New York State Constitution. This Essay is the first to argue that Fossella v. Adams should be reversed by proposing a reading of the New York Constitution that permits enfranchising noncitizens at the local level and providing a policy-driven analysis that supports this framework. This examination is especially important since the Fossella challenge is not unique to New York; instead, the movement to enfranchise noncitizens at the local election level is rapidly growing nationwide. Markedly, a comparable law was recently challenged without success in the United States District Court for the District of Columbia on similar grounds. Thus, Intro 1867-A’s future is pivotal in shaping the landscape of noncitizen voting rights in local elections.

Introduction

In the wake of state-led movements to curtail voting rights in the United States, New York City boldly enacted a law expanding local voting rights to enfranchise eligible noncitizens. In January 2020, City Council member Ydanis Rodriguez introduced Intro 1867-A, which, after a decisive 33-14 City Council vote, became law in January 2022.1.Int. 1867-2020, N.Y.C. Council (2022), https://legistar.council.nyc.gov/LegislationDetail.‌aspx?ID=4313327&GUID=DF600BDA-B675-41D8-A8BD-282C38DC4C62 [https://perma.‌cc/SR3F-VJQZ].Show More Intro 1867-A created an uncommon novel class of “municipal voters” limited to (1) “lawful permanent residents” and (2) noncitizens “authorized to work” in the U.S. who (i) have been residents of New York City for at least thirty consecutive days before a given election and (ii) meet “all [other voting] qualifications” under “election law.”2.N.Y.C. Charter, ch. 46-A, § 1057-AA(a) (2022).Show More As a result, eligible noncitizens are permitted to vote in elections for municipal offices but are expressly prohibited from voting for any state or federal office, political party position, or on any state or federal ballot question.3.Id. (defining “municipal office” as “the offices of mayor, public advocate, comptroller, borough president, and council member”); id. § 1057-RR.Show More

This law stands out as unusual because it meaningfully increases New York State’s total number of voters by enfranchising approximately 800,000 noncitizens directly affected by municipal policies, thus empowering them with a voice they would not have otherwise possessed.4.Els de Graauw, New York City Restores Local Voting Rights for Noncitizens, EUI Global Citizenship Observatory (Feb. 8, 2022), https://globalcit.eu/new-york-city-restores-local-vot‌ing-rights-for-noncitizens/ [https://perma.cc/6MDT-KMGN].Show More New York City is now the largest U.S. city to extend local voting rights to noncitizens, joining other municipalities including those in California, Maryland, and Vermont.5.Id.Show More

This significant change sparked immediate controversy. Two days after Intro 1867-A became law, a group of plaintiffs—including seventeen U.S. citizens, the New York Republican State Committee, and the Republican National Committee—filed a complaint in the New York Supreme Court challenging the validity of the law under the New York Constitution, New York Election Law, and the New York Municipal Home Rule Law.6.Fossella v. Adams, 206 N.Y.S.3d 611, 618 (2024).Show More The complaint alleged that Intro 1867-A would dilute U.S. citizens’ votes, including those of the voter plaintiffs, by introducing new voters likely to impact election outcomes.7.Id. at 619.Show More It also argued that the legislation would require the officeholder plaintiffs to revise their campaign tactics to account for this “sizeable change” in the electorate’s makeup and compel “the political party plaintiffs to ‘adjust their strategies’” to elect Republicans in New York.8.Id.Show More On June 27, 2022, the trial court granted the plaintiffs’ permanent injunction request in Fossella v. Adams, holding that the law violated the New York Constitution, New York Election Law, and the New York Municipal Home Rule Law.9.Id. at 618.Show More

The defendants subsequently challenged this injunction, and on February 21, 2024, a New York appeals court ruled that the lower court had correctly invalidated Intro 1867-A, determining it contravened the New York Constitution and the Municipal Home Rule Law.10 10.Id.Show More However, the appeals court identified an error in the trial court’s decision to void the legislation based on a violation of the New York Election Law, leading to a modification of the order and its return to the Supreme Court of Richmond County for entry of judgment.11 11.Id. at 634.Show More

In striking down the law as unconstitutional under Article II, Section 1 of the New York Constitution, the court focused on two inquiries: (1) whether “citizen” refers to U.S. citizens or New York citizens, and (2) whether “every election for all officers elected by the people” encompasses both municipal and statewide elections, or statewide elections exclusively.12 12.Id. at 626–27. The court also discussed the plaintiffs’ standing and Intro 1867-A’s constitutionality under New York Election Law and the New York Municipal Home Rule Law, but these issues are beyond the scope of this Essay.Show More The court adopted a narrow construction of the term “citizen” as used in the New York Constitution, interpreting it to refer only to U.S. citizens, thus excluding noncitizens.13 13.Id. at 627.Show More Further, it concluded that the plain language of Article II, Section 1 indicates that the clause covers both municipal and statewide elections, noting the lack of specific language to restrict its application to statewide elections only.14 14.Id.Show More The ruling has now been appealed to the state’s highest court.15 15.Emily Ngo, New York City Council Appeals Decision to Strike Down Non-Citizen Voting Law, Politico (Mar. 25, 2024, 1:57 PM), https://www.politico.com/news/2024/03/25/‌new-york-city-council-appeals-decision-to-strike-down-non-citizen-voting-law-00148854 [https://perma.cc/3AKU-8NX3].Show More

This Essay is the first to argue that Fossella v. Adams was wrongly decided and should be reversed by the New York Court of Appeals. Part I surveys the historical landscape of noncitizen suffrage in the United States. Part II posits a framework that supports reading the New York Constitution as enfranchising noncitizens at the local election level. Part III explores policy considerations that support this line of reasoning and refutes some of the concerns mentioned in Fossella.

These analyses hold particular importance given that the challenge posed by Fossella is not unique to New York; rather, the push for noncitizen enfranchisement at the local election level represents a rapidly growing trend across the United States. Notably, a comparable municipal law was challenged on vote-dilution grounds and upheld in the United States District Court for the District of Columbia.16 16.See, e.g., Hall v. D.C. Bd. of Elections, No. 23-cv-01261, 2024 WL 1212953 (D.D.C. Mar. 20, 2024). In Hall, petitioners challenged D.C. Act 26-640, which eliminates the prior citizenship requirement for voting in municipal elections, and argued that this law dilutes the vote of U.S. citizen voters in the District by enfranchising noncitizens, including undocumented ones, who do not have a fundamental right to vote in the United States nor a constitutional right to govern the United States. Id. at *3–5. Intro-1867-A differs from D.C. Act 26-640 as it does not apply to the estimated 500,000 undocumented immigrants residing in New York City. On March 20, 2024, Hall was dismissed on standing grounds, so the D.C. Act was upheld. Hall, 2024 WL 1212953, at *1. However, the U.S. House of Representatives recently voted to block Act 26-640, so it will not take effect. Meagan Flynn, House Votes to Block Noncitizen Voting in D.C. Elections—Again, Wash. Post (May 23, 2024), https://www.‌washingtonpost.com/dc-md-va/2024/05/23/house-vote-dc-noncitizen-voting/ [https://perma.‌cc/L7NR-PT8A].Show More Success on appeal is possible, as evidenced by similar laws that, despite being overturned at the lower court level, have later been upheld.17 17.In 2018, San Francisco implemented a law permitting eligible noncitizens to participate in school board elections. This law was overturned in July 2022 when the San Francisco Superior Court ruled that it contravened the California Constitution. See Lacy v. San Francisco, No. CPF-22-517714, slip op. at 2, 7 (Cal. Super. Ct. July 29, 2022). However, in 2023, an appellate court reversed and remanded, finding that charter cities possess the authority under the California Constitution to allow noncitizens to vote in school board elections. See Lacy v. San Francisco, 312 Cal. Rptr. 3d 391, 398, 413 (Cal. Ct. App. 2023).Show More Although the outcomes of such cases will ultimately depend on their respective state laws, this Essay’s analysis of Fossella provides a workable framework pivotal in shaping the ongoing national project of noncitizen voting rights in local elections.

  1.  Int. 1867-2020, N.Y.C. Council (2022), https://legistar.council.nyc.gov/LegislationDetail.‌aspx?ID=4313327&GUID=DF600BDA-B675-41D8-A8BD-282C38DC4C62 [https://perma.‌cc/SR3F-VJQZ].
  2.  N.Y.C. Charter, ch. 46-A, § 1057-AA(a) (2022).
  3.  Id. (defining “municipal office” as “the offices of mayor, public advocate, comptroller, borough president, and council member”); id. § 1057-RR.
  4.  Els de Graauw, New York City Restores Local Voting Rights for Noncitizens, EUI Global Citizenship Observatory (Feb. 8, 2022), https://globalcit.eu/new-york-city-restores-local-vot‌ing-rights-for-noncitizens/ [https://perma.cc/6MDT-KMGN].
  5.  Id.
  6.  Fossella v. Adams, 206 N.Y.S.3d 611, 618 (2024).
  7.  Id. at 619.
  8.  Id.
  9.  Id. at 618.
  10.  Id.
  11.  Id. at 634.
  12.  Id. at 626–27. The court also discussed the plaintiffs’ standing and Intro 1867-A’s constitutionality under New York Election Law and the New York Municipal Home Rule Law, but these issues are beyond the scope of this Essay.
  13.  Id. at 627.
  14.  Id.
  15.  Emily Ngo, New York City Council Appeals Decision to Strike Down Non-Citizen Voting Law, Politico (Mar. 25, 2024, 1:57 PM), https://www.politico.com/news/2024/03/25/‌new-york-city-council-appeals-decision-to-strike-down-non-citizen-voting-law-00148854 [https://perma.cc/3AKU-8NX3].
  16.  See, e.g., Hall v. D.C. Bd. of Elections, No. 23-cv-01261, 2024 WL 1212953 (D.D.C. Mar. 20, 2024). In Hall, petitioners challenged D.C. Act 26-640, which eliminates the prior citizenship requirement for voting in municipal elections, and argued that this law dilutes the vote of U.S. citizen voters in the District by enfranchising noncitizens, including undocumented ones, who do not have a fundamental right to vote in the United States nor a constitutional right to govern the United States. Id. at *3–5. Intro-1867-A differs from D.C. Act 26-640 as it does not apply to the estimated 500,000 undocumented immigrants residing in New York City. On March 20, 2024, Hall was dismissed on standing grounds, so the D.C. Act was upheld. Hall, 2024 WL 1212953, at *1. However, the U.S. House of Representatives recently voted to block Act 26-640, so it will not take effect. Meagan Flynn, House Votes to Block Noncitizen Voting in D.C. Elections—Again, Wash. Post (May 23, 2024), https://www.‌washingtonpost.com/dc-md-va/2024/05/23/house-vote-dc-noncitizen-voting/ [https://perma.‌cc/L7NR-PT8A].
  17.  In 2018, San Francisco implemented a law permitting eligible noncitizens to participate in school board elections. This law was overturned in July 2022 when the San Francisco Superior Court ruled that it contravened the California Constitution. See Lacy v. San Francisco, No. CPF-22-517714, slip op. at 2, 7 (Cal. Super. Ct. July 29, 2022). However, in 2023, an appellate court reversed and remanded, finding that charter cities possess the authority under the California Constitution to allow noncitizens to vote in school board elections. See Lacy v. San Francisco, 312 Cal. Rptr. 3d 391, 398, 413 (Cal. Ct. App. 2023).