CITIZENS TO PRESERVE OVERTON PARK, INC., ET AL. v. VOLPE, SECRETARY OF TRANSPORTATION, ET AL.
No. 1066
Supreme Court of the United States
Argued January 11, 1971—Decided March 2, 1971
401 U.S. 402
John W. Vardaman, Jr., argued the cause for petitioners. With him on the briefs was Edward Bennett Williams.
Briefs of amici curiae were filed by James M. Manire and Jack Petree for the city of Memphis et al., and by Roberts B. Owen and Gerald P. Norton for the Committee of 100 on the Federal City, Inc., et al.
The growing public concern about the quality of our natural environment has prompted Congress in recent years to enact legislation1 designed to curb the accelerating destruction of our country‘s natural beauty. We are concerned in this case with § 4 (f) of the Department of Transportation Act of 1966, as amended,2 and § 18 (a) of the Federal-Aid Highway Act of 1968, 82 Stat. 823,
Overton Park is a 342-acre city park located near the center of Memphis. The park contains a zoo, a nine-hole municipal golf course, an outdoor theater, nature trails, a bridle path, an art aсademy, picnic areas, and 170 acres of forest. The proposed highway, which is to be a six-lane, high-speed, expressway,10 will sever the zoo from the rest of the park. Although the roadway will be depressed below ground level except where it crosses a small creek, 26 acres of the park will be destroyed. The highway is to be a segment of Interstate Highway I-40, part of the National System of Interstate and Defense Highways.11 I-40 will provide Memphis with a major east-west expressway which will allow easier access to downtown Memphis from the residential areas on the eastern edge of the city.12
Respondents argue that it was unnecessary for the Secretary to make formal findings, and that he did, in fact, exercise his own independent judgment which was suрported by the facts. In the District Court, respondents introduced affidavits, prepared specifically for this litigation, which indicated that the Secretary had made the decision and that the decision was supportable. These affidavits were contradicted by affidavits introduced by petitioners, who also sought to take the deposition of a former Federal Highway Administrator20 who had participated in the decision to route I-40 through Overton Park.
We agree that formal findings were not required. But we do not believe that in this case judicial review based solely on litigation affidavits was adequate.
A threshold question—whether petitioners are entitled to any judicial review is easily answered. Section 701 of the Administrative Procedure Act,
Similarly, the Secretary‘s decision here does not fall within the exception for action “committed to agency discretion.” This is a very narrow exception.23 Berger, Administrative Arbitrariness and Judicial Review, 65 Col. L. Rev. 55 (1965). The legislative history of the Administrative Procedurе Act indicates that it is applicable in those rare instances where “statutes are drawn in such broad terms that in a given case there is no law to apply.” S. Rep. No. 752, 79th Cong., 1st Sess., 26 (1945).
Despite the clarity of the statutory language, respondents argue that the Secretary has wide discretion. They recognize that the requirement that there be no “feasible” alternative route admits of little administrative discretion. For this exemption to apply the Secretary must find that as a matter of sound engineering it would not be feasible to build the highway along any other route.24 Respondents argue, however, that the requirement that there be no other “prudent” route requires the Secretary to engage in a wide-ranging balancing of competing interests. They contend that the Secretary should weigh the detriment resulting from the destruction of parkland against the cost of other routes, safety considerations, and other factors, and determine on the basis of the importance that he attaches to these other factors whether, on balance, alternative feasible routes would be “prudent.”
But no such wide-ranging endeavor was intended. It is obvious that in most cases considerations of cost, directness of route, and community disruption will indicate that parkland should be used for highway construction whenever possible. Although it may be necessary to transfer funds from one jurisdiction to another,25 there will always be a smaller outlay required frоm the public purse26 when parkland is used since the public already owns the land and there will be no need to pay for right-of-way. And since people do not live or work in parks, if a highway is built on parkland no one will have to leave his home or give up his business. Such factors are common to substantially all highway construction. Thus, if Congress intended these factors to be on an equal footing with preservation of parkland there would have been no need for the statutes.
Plainly, there is “law to apply” and thus the exemption for action “committed to agency discretion” is inapplicable. But the existence of judicial review is only the start: the standard for review must also be determined. For that we must look to § 706 of the Administrative Procedure Act,
Review under the substantial-evidence test is authorized only when the agency action is taken pursuant to a rulemaking provision of the Administrative Procedure Act itself,
Petitioners’ alternative argument also fails. De novo review of whether the Secretary‘s decision was “unwarranted by the facts” is authorized by § 706 (2) (F) in only two circumstances. First, such de novo review is authorized when the action is adjudicatory in nature and the agency factfinding procedures are inadequate. And, there may be independent judicial factfinding when issues that were not before the agency are raised in a proceeding to enforce nonadjudicatory agency action. H. R. Rep. No. 1980, 79th Cong., 2d Sess. Neither situation exists here.
The court is first required to decide whether the Secretary acted within the scope of his authority. Schilling v. Rogers, 363 U. S. 666, 676-677 (1960). This determination naturally begins with a delineation of the scope of the Secretary‘s authority and discretion. L. Jaffe, Judicial Control of Administrative Action 359 (1965). As has been shown, Congress has specified only a small range of choices that the Secretary can make. Also involved in this initial inquiry is a determination of whether on the facts the Secretary‘s decision can reasonably be said to be within that range. The reviewing court must consider whether the Secretary properly construed his authority to approve the use of parkland as limited to situations where there are no feasible alternative routes or where feasible alternative routes involve uniquely difficult problems. And the reviewing court must be able to find that the Secretary could have reasonably believed that in this case there are no feasible alternatives or that alternatives do involve unique problems.
Scrutiny of the facts does not end, however, with the determination that the Secretary has acted within the scoрe of his statutory authority. Section 706 (2) (A) requires a finding that the actual choice made was not “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.”
Undoubtedly, review of the Secretary‘s action is hampered by his failure to make such findings, but the absence of formal findings does not necessarily require that the case be remanded to the Secretary. Neither the Department of Transportation Act nor the Federal-Aid Highway Act requires such formal findings. Moreover, the Administrative Procedure Act requirements that there be formal findings in certain rulemaking and adjudicatory proceedings do not apply to the Secretаry‘s action here. See
Petitioners contend that although there may not be a statutory requirement that the Secretary make formal findings and even though this may not be a case for the reviewing court to impose a requirement that findings be made, Department of Transportation regulations require them. This argument is based on DOT Order 5610.1,31 which requires the Secretary to make formal findings when he approves the use of parkland for highway construction but which was issued after the route for I-40 was approved.32 Petitioners argue that even though the order was not in effect at the time approval was given to the Overton Park project and even though the order was not intended to have retrospective effect the order represents the law at the time of this Court‘s decision and under Thorpe v. Housing Authority, 393 U. S. 268, 281-282 (1969), should be applied to this case.
While the case was pending in this Court, the Department of Housing and Urban Developmеnt issued regulations requiring Housing Authority officials to inform tenants of the reasons for an eviction and to give a tenant the opportunity to reply. The case was then remanded to the state courts to determine if the HUD regulations were applicable to that case. The state court held them not to be applicable and this Court reversed on the ground that the general rule is “that an appellate court must apply the law in effect at the time it renders its decision.” 393 U. S., at 281.
While we do not question that DOT Order 5610.1 constitutes the law in effect at the time of our decision, we do not believe that Thorpe compels us to remand for the Secretary to make formal findings.33 Here, unlike the situation in Thorpe, there has been a change in circumstances—additional right-of-way has been cleared and the 26-acre right-of-way inside Overton Park has been purchased by the State. Moreover, there is an administrative record that allows the full, prompt review of the Secretary‘s action that is sought without additional delay which would result from having a remand to the Secretary.
Thus it is necessary to remand this case to the District Court for plenary review of the Secretary‘s decision. That review is to be based on the full administrative record that was before the Secretary at the time he made his decision.34 But since the bare record may not disclose the factors that were considered or the Secretary‘s construction of the evidence it may be necessary for the District Court to require some explanation in order to determine if the Secretary acted within the scope of his authority and if the Secretary‘s action was justifiable under the applicаble standard.
The court may require the administrative officials who participated in the decision to give testimony explaining their action. Of course, such inquiry into the mental processes of administrative decisionmakers is usually to be avoided. United States v. Morgan, 313 U. S. 409, 422 (1941). And where there are administrative findings that were made at the same time as the decision, as was the case in Morgan, there must be a strong showing of bad faith or improper behavior before such inquiry may be made. But here there are no such formal findings and it may be that the only way there can be effective judicial review is by examining the decisionmakers themselves. See Shaughnessy v. Accardi, 349 U. S. 280 (1955).
Reversed and remanded.
MR. JUSTICE DOUGLAS took no part in the consideration or decision of this case.
Separate opinion of MR. JUSTICE BLACK, with whom MR. JUSTICE BRENNAN joins.
I agree with the Court that the judgment of the Court of Appeals is wrong and that its action should be reversed. I do not agree that the whole matter should be remandеd to the District Court. I think the case should be sent back to the Secretary of Transportation. It is apparent from the Court‘s opinion today that the Secretary of Transportation completely failed to comply with the duty imposed upon him by Congress not to permit a federally financed public highway to run through a public park “unless (1) there is no feasible and prudent alternative to the use of such land, and (2) such program includes all possible planning to minimize harm to such park....”
I fully join the Court in its opinion and in its judgment. I merely wish to state the obvious: (1) The case comes to this Court as the end product of more than a decade of endeavor to solve the interstate highway problem at Memphis. (2) The administrative decisions under attack here are not those of a single Secretary; some were made by the present Secretary‘s predecessor and, before him, by the Department of Commerce‘s Bureau of Public Roads. (3) The 1966 Act and the 1968 Act have cut across former methods and here have imposed new standards and conditions upon a situation that already was largely developed.
This undoubtedly is why the record is sketchy and less than one would expect if the project were one which had been instituted after the passage of the 1966 Act.
Notes
“(1) compel agency action unlawfully withheld or unreasonably delayed; and
“(2) hold unlawful and set aside agency action, findings, and conclusions found to be—
“(A) arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law;
“(B) contrary to constitutional right, рower, privilege, or immunity;
“(C) in excess of statutory jurisdiction, authority, or limitations, or short of statutory right;
“(D) without observance of procedure required by law;
“(E) unsupported by substantial evidence in a case subject to sections 556 and 557 of this title or otherwise reviewed on the record of an agency hearing provided by statute; or
“(F) unwarranted by the facts to the extent that the facts are subject to trial de novo by the reviewing court.
“In making the foregoing determinations, the court shall review the whole record or those parts of it cited by a party, and due account shall be taken of the rule of prejudicial error.”
