Lead Opinion
Appellant-petitioner Conklin Wallace appeals from the district court’s denial of his petition for a writ of habeas corpus challenging the action of the United States Parole Commission (the “Commission”) in setting his presumptive parole date. Wallace contends that the Commission’s application of the 1983 Parole Guidelines (the “Guidelines”) to his parole determination violated the ex post facto clause of the Constitution, art. 1 § 9, cl. 3. He also argues the Commission abused its discretion and was arbitrary and capricious in determining his “offense behavior” rating for parole purposes. We affirm.
I
FACTS AND PROCEEDINGS
In November 1982 a jury found Wallace guilty of extortion (18 U.S.C. § 1951), use of an explosive to commit a felony (18 U.S.C. § 844(h)), and possession of an unregistered destructive device (26 U.S.C. § 5861(d)). Wallace and his brother (the “defendants”) had attempted to extort $400,000 by making a bomb threat via telephone to American Airlines ground personnel at Los Angeles International Airport. The defendants stated that a bomb had been placed in a suitcase which was located in the luggage loading area for an American Airlines flight scheduled to depart later that day. They provided a description of the location of the suitcase, and told officials that they would reveal the location of two other bombs after the airline paid them $400,000. Security officers subsequently removed the bomb from the loading area. The bomb contained explosives. Although the bomb was not completely wired and, therefore, not operational, it could have been set off by radio transmissions at the airport.
On January 6, 1983 Wallace was sentenced to fifteen years imprisonment under 18 U.S.C. § 4205(b)(2). A copy of Wallace’s sentence and prior record was forwarded to the Western Region, United States Parole Commission (the “regional commission”) for a parole evaluation. His first parole hearing was held in November 1983.
Between the time Wallace was sentenced and his first parole hearing, the Commission revised the Parole Commission Offense Behavior Severity Index portion of the Guidelines. 28 C.F.R. § 2.20. Adopted on an experimental basis in 1972 and promulgated pursuant to the Parole Commission and Reorganization Act of 1976, Pub.L. No. 94-233, 90 Stat. 219-231 (1976) (codified at 18 U.S.C. §§ 4201-18) [the “Parole Act” or “Act”], the Guidelines take the form of a “grid” or “matrix” for the setting of presumptive parole dates. On the vertical side, the prisoner is given an “offense behavior” rating from category one through
Applying the 1983 Guidelines, as amended, and after notice and hearing, the regional commission classified Wallace’s “offense behavior” as “Interference with a Flight Crew” explaining:
This offense certainly had the potential to cause injury or death and destruction of aircraft. At least one bomb was placed in luggage about to be placed on flight 75 to San Diego and allegedly two other bombs were to have been placed on two other flights. Certainly the explosive device which was found in luggage as described by the call to the FBI which was destined for flight 75 had the potential to cause death or serious injury to innocent bystanders and certainly to those law enforcement personnel charged with disarming the device.
The regional commission gave Wallace a “salient factor” score of “good.” The “offense behavior” rating of seven, when correlated with a “salient factor” score of “good,” gave Wallace a presumptive parole range of sixty-four to ninety-two months. The regional commission set a presumptive parole date of seventy-eight months.
Wallace filed an appeal with the full Commission alleging that application to his case of the 1983 Guidelines, as amended, violated the ex post facto clause of the United States Constitution. He contended that had the Guidelines been applied at the time he was committed and began serving his sentence, the only offense classification then applicable would have been “Extortion.” Wallace argued he would have received an “offense behavior” rating of “five” instead of the “seven” applied by the regional commission under the amended Guidelines for “Interference with a Flight Crew.” Wallace also argued that the regional commission’s calculation of his “offense behavior” as “seven” was arbitrary, capricious, and an abuse of discretion.
The full Commission denied Wallace’s appeal, finding:
Reasons: In response to your claim that your offense severity has [been incorrectly] rated as Category Seven, this claim is without merit. Your conduct had the potential for creating a significant safety risk to an aircraft or passengers and has been correctly placed in the Category Seven rating.
It is the Commission’s policy that the ex post facto clause does not apply to paroling policy guidelines.
In July 1984 Wallace filed the present habeas corpus petition in the district court realleging the claims made before the full Commission. The district court denied the petition and Wallace appealed.
II
JURISDICTION
A. Review of Commission’s Decisions Under 18 U.S.C. § 4203(b)
We first consider our jurisdiction to review decisions made by the Commission acting under the authority granted by 18 U.S.C. § 4203(b)(1), (2), (3).
Previous cases in this circuit have referred to an “abuse of discretion” standard as the basis for review of Commission decisions, and have implicitly assumed the existence of jurisdiction to conduct that analysis. See, e.g., Tatum v. Christensen,
1. Preliminary Overview
We begin our analysis by acknowledging an enduring principle of federal jurisdiction. The federal courts, both primary and appellate, were created and remain courts of limited jurisdiction. Owen Equipment & Erection Co. v. Kroger,
We bring an important presumption to this inquiry. Established principles of separation-of-powers counsel against loosely inferring a congressional intent to preclude judicial review of administrative decisions. See, e.g., Bowen v. Michigan Academy of Family Physicians, — U.S. -,
With these general principles in mind, we turn to a consideration of the statutory scheme of the Parole Act, the review provisions, and congressional intent.
2. Statutory Scheme
The Parole Act of 1976 was the product of nearly a decade of study and evaluation by the executive and legislative branches. S.Rep. No. 94-369, 94th Cong., 2d Sess. 1, 16, reprinted in 1976 U.S.Code Cong. & Ad.News 335, 338 [hereinafter Senate Report ]. The principal elements of the legislation were the establishment of: (a) a Parole Commission to grant or deny parole and promulgate guidelines; (b) formalized procedures governing parole dispositions to assure fairness and uniformity; and (c) an administrative appeals process to expedite dispositions. Id. at 14-15, reprinted in 1976 U.S.Code Cong. & Ad.News 336-37. The drafters of the Act stated: “It [was] not the purpose of this legislation to either encourage or discourage the parole of any prisoner____ Rather, the purpose [was] to assure ... that parole decisions are openly reached by a fair and reasonable process after due consideration has been given to the salient information.” Joint House-Senate Conference Report No. 94-838, 94th Cong. 2d Sess. 19, 20, reprinted in 1976 U.S.Code Cong. & Ad.News 351, 353 [hereinafter Joint Report ]. Although Congress recognized that a prisoner is not entitled to parole as a matter of right, it sought to establish a system of parole that would “[have] both the fact and appearance of fairness to all.” Senate Report, supra at 19, reprinted in 1976 U.S.Code Cong. & Ad.News at 340. See also 121 Cong.Rec. 15705 (1975) (statement of Reр. Drinan) (“Is there a right to parole? Is this a qualified right? I would say no to both of those questions____ Parole is the implementation of a correctional policy and if a prisoner abides by the rules of the prison, and that is the given condition, then he has a right to due process.”).
To achieve these objectives, Congress established a general procedural and substantive framework within which parole deci
Section 4203(a)(1) of the Act requires that the Commission “promulgate rules and regulations establishing guidelines for the powers enumerated in [section 4203(b)].” Id. § 4203(a)(1). Although Congress recognized that parole decisions often involve “subjective judgments],” Senate Report, supra at 16, reprinted in 1976 U.S.Code Cong. & Ad.News at 337,
3. Review Provisions
As part of the foregoing statutory framework, section 4218 of the Parole Act contains provisions governing the availability of judicial review. 18 U.S.C. § 4218. Section 4218(c) of the Act provides that actions of the Commission in promulgating the Guidelines, which are procedural in nature, are “reviewable in accordance with the provisions of sections 701 through 706 of title Five, United States Code.” Id. § 4218(c); Joint Report, supra at 36, reprinted in 1976 U.S.Code Cong. & Ad. News at 368 (citing Pickus v. United States Board of Parole,
By these provisions, Congress has specifically rebutted the presumption of reviewability of the Commission’s substantive decisions to grant or deny parole, and, therefore, these decisions may not be reviewed even for abuse of discretion. See Farkas v. United States,
4. Legislative History
The legislative history of the Parole Act further evidences Congress’s intent to exempt from judicial review substantive decisions to grant or deny parole. Although Congress was concerned that individual parole decisions be both fair and uniform, it also recognized the imprecise nature of many parole determinations. Joint Report, supra at 26, reprinted in 1976 U.S. Code Cong. & Ad.News at 358. Several members of the House of Representatives expressed concern that promulgation of the Guidelines would cause an increase in litigation in the district courts:
The other thing that disturbs me about this bill, and there is not anything in this bill that would say there is any right of judicial review when a parole is denied, but once we write into the law even a qualified right of an individual for certain relief, I cannot see how we can avoid giving a prisoner the opportunity to test the denial of that relief in the courts, and I am very apprehensive that the U.S. district courts will begin to receive a great many petitions based upon the proposition that the Parole Board did not fulfill the requirements of the statute in denying the parole of the petitioner.
121 Cong.Rec. 15704 (1975) (statement of Rep. Hutchinson); see also id. at 15709 (statement of Rep. Kindness).
In explaining the exclusion of the Commission’s decisions under section 4203(b) from the review provisions of the APA, the Joint Report stated:
It is the intent of the Conferees that Commission decisions involving the grant, denial, modification or revocation of parole shall be considered actions committed to agency discretion for the purpose of section 701(a)(2) of title Five, United States Code. It is the Conferees understanding that the exclusion of such decisions from the judicial review provisions of Chapter Seven of title Five, United States Code, reflects the present law with respect to the limitations on judicial review of individual parole decisions.
Joint Report, supra at 36, reprinted in 1976 U.S.Code Cong. & Ad.News at 368 (emphasis added).
Congressman Drinan, a floor manager of the Parole Act, reiterated Congress’s intent on the House floor:
While actions of the Commission which violate sections 552, 552a, 553, and other sections of the APA not expressly exempted by H.R. 5727 are subject to judicial review, other practices are not covered by the review sections of the APA.
*1546 Subsection (d) of section 4218 of the bill excludes individual parole decisions from judicial review under the Administrative Procedures Act. Because of the unique nature of the work of the Parole Commission, the bill, as reported by both the House and Senate, exempted such decisions from review in the courts under the APA.
122 Cong.Rec. 5164 (1976) (statement of Rep. Drinan).
Hence, the legislative history of the Act substantiates our conclusion that Congress intended to exempt from judicial review thе Commission’s substantive decisions to grant or deny parole and that these decisions, therefore, are unreviewable even for abuse of discretion. Garcia,
B. Scope of Discretion
This conclusion alone, however, does not end our jurisdictional inquiry. The Commission’s decisions to grant or deny parole are not rendered in a vacuum or made without reference to standards. Rather, each substantive parole decision is the product of a carefully delineated process established by Congress and implemented by the Commission. Congress has directed that the Commission establish Guidelines and make parole determinations on the basis of these Guidelines except for “good cause.” 18 U.S.C. §§ 4203(a)(1), 4206(c). As noted, the Guidelines prescribe the method by which the Commission calculates the “salient factor” score and the “offense behavior” rating. 28 C.F.R. § 2.20. The Commission has declared that its regional commissions may deviate from the presumptive parole range of the Guidelines “[wjhere circumstances warrant,” 28 C. F.R. §§ 2.20(c); see also id. § 2.21(c), but consistent with congressional mandate, the Commission must provide a statement of reasons for such deviation. See, e.g., 18 U.S.C. § 4206(c); 28 C.F.R. §§ 2.20(d), (e), 2.26(e). The Commission’s substantive decisions to grant or deny parole under section 4203(b), therefore, are rendered only after it has evaluated the relevant factors, interpreted and applied the Guidelines, determined whether to deviate from them, and established a presumptive parole date. See Addonizio,
To recognize, as we must, that the Commission’s substantive decisions to grant or deny parole are unreviewable does not necessarily answer whether the Commission’s interpretation and application of the Guidelines are also shielded from review. See, e.g., Garcia,
1. The No Review Position
The first view is that we may not review any aspect of the Commission’s decision-making processes. According to this view, Congress has committed to agency discretion all action taken by the Commission “pursuant” to its power to grant or deny
While this argument has a certain syllogistic appeal based on a mathematical hypothesis that the greater includes the lesser, this axiom is not necessarily logical or compelling when applied to the question of jurisdiction under the Parole Act. In construing a statute, we begin with the language employed by Congress. United, States v. James, — U.S. -,
The legislative history of the Act reinforces these conclusions. See Michigan Academy,
The legislation provides for judicial review of the Commission’s rulemaking procedure, but also carefully preserves*1548 existing limitations on judicial review of individual parole decisions.
122 Cong.Rec. 4862 (1976) (statement of Sen. Burdick).
Representative Drinan echoed this understanding:
It should be kept in mind however, that the conferees do not intend to preclude review under provisions of law other than the APA. It may be, for example, that a petition for a writ of habeas corpus might lie for certain allegedly unlawful acts of the Commission even if they involve individual parole decisions. But that is a matter left to the courts and this bill expresses no opinion, one way or the other in that regard.
In short, the bill which emerged from the conference did not alter to any significant degree the applicability of the APA to the acts and practices of the Parole Commission. And those provisions as contained in this bill, recognizing to a limited degree the peculiar nature of the parole process, are fair and equitable.
122 Cong.Rec. 5164 (1976) (statement of Rep. Drinan).
The decisions among the various circuits at the time Congress passed the Parole Act, and Congress’s perception of this case law, is thus crucial to understаnding the Commission’s discretion under section 4218(d). The courts at the time of the Act were not entirely unanimous on the issue of review of parole determinations by the (then) Parole Board. Several courts had held that these decisions, and the Board’s decision-making processes, were unreviewable. See, e.g., Pickus,
At the time Congress considered the House version of the Parole Act, Congressman Wiggins (now our colleague on this court) expressed his understanding of these cases in language that we find significant:
Mr. Chairman, I would like to make a few additional observations with respect to judicial review. As I have indicated, the bill neither adds to nor subtracts from any judicial review rights presently enjoyed by an inmate in an institution. Some may feel that existing judicial review is unwarranted. How could we tolerate for one moment in this country arbitrary governmental action? Clearly, it should not go unchallenged. Existing law, which this bill does not add to, permits challenges to a decision of a parole board where the claimed action of the parole board is arbitrary, capricious, or*1549 in violation of law. Retreat from this existing law would be wrong.
It seems to me that it is consistent with the American system of fairness that if a parole applicant can demonstrate in a judicial proceeding that the parole authorities have violated their own rule, or that the parole authorities have acted arbitrarily, that man should not be denied a remedy. This bill does not create the remedy. That is already available to him under existing law. Accordingly this argument about excessive judicial review, I think, is overdrawn.
121 Cong.Rec. 15706 (1975) (statement of Rep. Wiggins).
The Senate Report contained the following statement regarding the limits on the Commission’s decision-making powers in the context of constitutional challenges:
The constitutional test to be applied to parole is not one of right, but whether or not parole is administered in a fashion that is neither arbitrary nor capricious to the individual, nor unfairly jeopardizes the legitimate aim of society to control deviant behavior.
Senate Report, supra, at 19, reprinted in 1976 U.S.Code Cong. & Ad.News at 341.
Hence, the language and legislative history of the Parole Act do not indicate that Congress intended to give the Commission an unbridled discretion or remove the Commission’s decision-making processes entirely from judicial review.
2. The Plenary Review Position
The second view builds upon the foregoing analysis but goes a step farther. According to this view, although the ultimate decision to grant or deny parole may be committed to discretion, see Addonizio,
Like the first view, however, the second also ignores significant parts of the legislative history. In the Joint Report on the Parole Act, Congress repeatedly emphasized that certain “process” decisions were committed to the Commission’s discretion and were, in the words of Congressman Drinan, therefore “exempted ... from review in the courts under the APA.” 122 Cong.Rec. 5164 (1976) (statement of Rep. Drinan). The Joint Report stated: “It is the intent of the Conferees that the Parole Commission make certain judgments pursuant to [18 U.S.C. § 4206 (establishing criteria for parole decisions) ], and that the substance of those judgments is committed to the discretion of the Commission.” Joint Report, supra at 25, reprinted in 1976 U.S.Code Cong. & Ad.News at 358. Specifically, Congress intended that these decisions should include “judgments” as to: the “institutional behavior of each prospective parolee,” id.; the “nature and circumstances of the offense and the history and characteristics of the prisoner,” id.; the “concepts of general and special deterrence, retribution and punishment____,” id. at 26, 1976 U.S.Code Cong. & Ad.News at 358; the “relevance of material before the
The contention that we may review all aspects of the parole decision-making process for abuse of discretion contains two other serious problems. First, Wallace and other prisoners who contest the Commission’s parole determinations proceed in federal court by way of a petition for a writ of habeas corpus. The purpose of the “Great Writ” is to release individuals from unlawful or illegal confinement. See, e.g., Preiser v. Rodriguez,
Second, a plenary review of the Commission’s decision-making processes effectively nullifies the congressional directive that the decision to grant or deny parole is committed to discretion. The process of decision-making may not be separated, conceptually or practically, from the ultimate decision to grant or deny parole. This is because the Commission always interprets and applies the Guidelines in rendering parole decisions. See 18 U.S.C. § 4206(a) (and our discussion at section B supra). To state that a court may review the decision-making process but not the product effeсtively nullifies the scope of absolute discretion granted by Congress. For if a court may review the Commission’s analysis and interpretation of the Guidelines, it may always second-guess the substantive decision to grant or deny parole. We find unacceptable a statutory construction which eviscerates the limitations on judicial review established by Congress in the Parole Act. See Chaney,
3. Resolution and Jurisdictional Conclusions
From the foregoing critique of the two “all or nothing” approaches we draw the
a. Our review of the provisions of the Parole Act and its legislative history reveals that Congress intended to carve out an area of decision-making which, like the decision to grant or deny parole, is committed to agency discretion and hence unreviewable even for abuse of discretion. See, e.g., Garcia,
b. Congress has, however, delineated boundaries beyond which the Commission may not act. A court may consider whether the Commission has acted outside these statutory limits. See, e.g., Farkas,
A court may also consider whether the Commission rendered a decision “outside” the Guidelines and hence must show “good cause.” If a court could not consider this issue, the requirement that the Commission show “good cause” to render a decision “notwithstanding” the Guidelines would be meaningless. To conclude otherwise would be novel and contrary to controlling precedent. Congress has written into the Act express limits on the Commission’s actions, and hence we have jurisdiction to review whether those limits have been exceeded. See supra note 4 and accompanying text, and infra note 8 and accompanying text. See Michigan Academy,
c. Finally, a court has jurisdiction to consider whether the Commission violated the Constitution. See, e.g., Califano v. Sanders,
C. Application of Wallace’s Challenges to the Commission’s Parole Classification
Applying the foregoing jurisdictional rules, we have no jurisdiction to entertain Wallace’s claim that the Commission abused its discretion in classifying his “offense behavior” as “Interference with a Flight Crew.” We may only consider whether the Commission exceeded the scope of its discretion in deciding that was the proper classification for Wallace’s offense.
Thе Commission did not exceed the scope of its discretion, violate any provision of the Parole Act, or render a decision outside the Guidelines in making this determination. The Guidelines permit the classification of an offense as “Interference with a Flight Crew” if “the conduct or attempted conduct has potential for creating a significant safety risk to an aircraft or passengers....” 28 C.F.R. § 2.20 (242)(a). The Commission found that Wallace’s offense had the potential to cause injury or death and destruction to an aircraft and passengers. The Commission’s determination did not violate a mandatory or non-discretionary standard, but rather, involved a judgment among a range of possible choices and options relating to the severity of Wallace’s offense. Wallace has pointed to no provision in the Act or Guidelines removing discretion from the Commission to classify his offense in this category. We hold that the Commission acted within the scope of discretion granted by Congress and hence our review of the Commission’s classification of Wallace’s offense is complete.
III
EX POST FACTO CHALLENGE TO THE GUIDELINES
We next consider Wallace’s contention that the application of the 1983 Guidelines, as amended, violated the ex post facto clause of the Constitution.
“Every law that changes the punishment, and inflicts a greater punishment, than the law annexed to the crime, when committed” violates the ex post facto clause of the Constitution. Colder v. Bull,
We are not persuaded by Wallace’s argument that the Guidelines are laws because the Commission allegedly sets presumptive
IV
CONCLUSION
The application to Wallace of the 1983 Guidelines, as amended, did not violate the ex post facto clause of the Constitution. The Parole Commission did not act outside the Guidelines in classifying Wallace’s offense as “Interference with a Flight Crew.” We have no jurisdiction to entertain Wallace’s claim that the Commission abused its discretion in classifying his “offense behavior” in category seven. We overrule our previous decisions only to the extent that we have held that Commission decisions granting or denying parole are subject to judicial review for an abuse of discretion.
AFFIRMED.
Notes
. Section 4203(b) provides, in part:
(b) The Commission, by majority vote, and pursuant to the procedures set out in this chapter, shall have the power to—
(1) grant or deny an application or recommendation to parole any eligible prisoner;
(2) impose reasonable conditions on an order granting parole;
*1542 (3) modify or revoke an order paroling any eligible prisoner____
. Section 701(a) of the Administrative Procedure Act ("APA”) provides:
Application; definitions (a) This chapter applies, according to the provisions thereof, except to the extent that—
(1) statutes preclude judicial review; or
(2) agency action is committed to agency discretion by law.
In Heckler v. Chaney, the Court explained the relationship between subsections (a)(1) and (a)(2) of section 701 of the APA:
The former applies when Congress has expressed an intent to preclude judicial review. The latter applies in different circumstances; even where Congress has not affirmatively precluded review, review is not to be had if the statute is drawn so that a court would have no meaningful standard against which to judge the agency’s exercise of discretion. In such a case, the statute (‘law’) can be taken to have ‘committed’ the decisionmaking to the agency’s judgment absolutely. This construction avoids conflict with the ‘abuse of discretion’ standard of review in § 706 — if no judicially manageable standards are available for judging how and when an agency should exercise its discretion then it is impossible to evaluate agency action for ‘abuse of discretion.’ In addition, this construction satisfies the principle of statutory construction mentioned earlier, by identifying a separate class of cases to which § 701(a)(2) applies.
Id.,
A Functional Analysis of "Committed to Agency Discretion, ” 82 Harv.LJRev. 367 (1968); Davis Administrative Arbitrariness Is Not Always Reviewable, 51 Minn.L.Rev. 643 (1967). The Court, however, did leave several questions unanswered. See Chaney,
. The Joint Report also recognized the subjective nature of parole determinations:
There is no body of competent empirical knowledge upon which parole decision-makers can rely, yet it is important for the parole process to achieve an aura of fairness by basing determinations of just punishment on comparable periods of incarceration for similar offenses committed under similar circumstances. The parole decision-makers must weigh the concepts of general and special deterrence, retribution and punishment, all of which are matters of judgment, and come up with determinations of what is meant by 'would not depreciate the seriousness of his offense or promote disrespect for the law’ that, to the extent possible, are not inconsistent with the findings in other parole decisions.
Joint Report, supra at 26, reprinted in 1976 U.S. Code Cong. & Ad.News at 358.
. Section 4218(d) of the Parole Act, which limits review, does not cross-reference to the limitations established in sections 4206 and 4207. Rather, it references to section 4203(b)(1), (2) and (3); subsection (b) authorizes the Commission “pursuant to the procedures set out in this chapter" to grant or deny parole. 18 U.S.C. § 4203(b). The Act does not authorize the Commission to bypass sections 4206 and 4207, or preclude judicial review of violations of these provisions. We may therefore review whether the Commission has violated these provisions. See cases cited in text accompanying this note. See also Assiniboine and Sioux
Tribes v. Board of Oil and Gas Conservation,
. This dispute, however, is somewhat transparent. All of the courts at the time the Parole Act was enacted agreed that the Parole Board’s decisions were committed to discretion. See, e.g., text accompanying this note. See also Addonizio,
. Congressman Wiggins also stated:
What, then, is the current right of a person in custody who feels that he has been treated arbitrarily, capriciously, without cause, or perhaps in violation of internal rules? Is he without a remedy? Of course he is not. The casebooks are full of such cases now.
121 Cong.Rec. 15706 (1975). Although Congressman Wiggins made these statements before Congress added the review provisions of section 4218(d), they are probative on Congress’s understanding of then existing case law.
. In discussing actions committed to agency discretion, one commentator has forcefully stated: Even assuming that courts have thе prestige and power to remedy all such abuses when found, to demand that courts give review whenever a complainant utters the formula ‘abuse of discretion’ is to hazard a serious misallocation of judicial resources as well as a stifling of agency and congressional programs. The capacity of individuals to bring frivolous claims cannot be overlooked. Nor can it be assumed that the scope of review can be so limited that agencies will remain free to administer their programs creatively. Even the well-intentioned court may find it impossible to review agency actions without expending an inordinate amount of time analyzing its functions, or without somewhat constricting valid agency discretion, given the vagaries of any standard of review, including review for abuse of discretion.
Saferstein, supra note 2, at 374-75 (footnote omitted).
. The Commission, like other agencies, is thus bound by its own regulations so long as they remain in force. See United States ex rel. Accardi v. Skaughnessy,
The concurrence by Judge Hall acknowledges that a court has jurisdiction to determine whether the Commission has shown good cause for rendering a decision outside the Guidelines, see 18 U.S.C. § 4206(c), but maintains that a court has no jurisdiction to determine whether the Commission has rendered a decision outside the Guidelines and hence must show good cause. According to this view, the Commission's statement that it has followed the Guidelines is binding on a federal court, even though the Commission has plainly violated a Guideline provision which does not admit of discretion and choice, and the Commission has denied the prisoner’s request to show good cause for such deviation. In contrast, we believe that the provision committing Commission decisions to discretion (section 4218(d)) and the provision requiring good cause (section 4206(c)) should not be construed so that one provision effectively nullifies the other. See Chaney,
. Wallace has not contended that the classification of his crime was so arbitrary and capricious as to amount to a violation of due process. Even if we were to construe Wallace’s argument as challenging the constitutionality of his classification, we reject that challenge.
. See, e.g., Tatum,
Concurrence Opinion
join, concurring in the judgment:
I agree with the result the majority has reached, and with the majority’s conclusion that we have jurisdiction to review constitutional and statutory challenges to Parole Commission decisions. However, I disagree with the majority’s conclusion that our jurisdiction to review claims that the Commission has violated the Guidelines or its own regulations under the Administrative Procedure Act depends on “whether the Commission’s decision involves the exercise of judgment among a range of possible choices of options, or involves a plain violation of a matter which does not admit of discretion and choice.” Judicial review of allegations that the Commission has violated its own regulаtions is inappropriate when Congress has specified by statute that Commission decisions granting or denying parole are committed to agency discretion.
I
The Administrative Procedure Act (APA) provides two exceptions to the general rule that administrative actions are subject to judicial review:
§ 701. Application; definitions
(a) [The Administrative Procedure Act] applies, according to the provisions thereof, except to the extent that—
(1) statutes preclude judicial review; or
(2) agency action is committed to agency discretion by law.
5 U.S.C. § 701(a). In Citizens to Preserve Overton Park, Inc. v. Volpe,
In this case, there is no indication that Congress sought to prohibit judicial review and there is most certainly no “showing of ‘clear and convincing evidence’ of a ... legislative intent” to restrict access to judicial review. Abbott Laboratories v. Gardner,387 U.S. 136 , 141 [87 S.Ct. 1507 , 1511,18 L.Ed.2d 681 ] (1967).
Similarly, the Secretary’s decision does not fall within the exception for action “committed to agency discretion.” This is a very narrow exception____ The legislative history of the Administrative Procedure 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).
The above [language from Overton Park ] answers several of the questions raised by the language of § 701(a)____ First, it clearly separates the exception provided by § (a)(1) from the § (a)(2) exception. The former applies when Congress has expressed an intent to preclude judicial review. The latter applies in different circumstances; even where Congress has not affirmatively precluded review, review is not to be had if the statute is drawn so that a court would have no meaningful standard against which to judge the agency’s exercise of discretion____ [T]his construction satisfies the principle of statutory construction mentioned earlier, by identifying a separate class of cases to which § 701(a)(2) applies.
In this case we are considering Congress’ statement in the Parole Act, 18 U.S.C. § 4218(d), that Commission actions granting or denying parole are “committed to agency discretion for purposes of section 701(a)(2) of title 5, United States Code.” This statement is the “clear and convincing evidence” of a legislative intent to prohibit judicial review necessary to preclude such review under section 701(a)(1). See Farkas v. United States,
Federal courts have jurisdiction to review claims that the Commission’s actions violated thе constitution. Cf. Johnson v. Robison,
II
The majority, however, continues past this logical conclusion by stating that:
to recognize, as we must, that the Commission’s substantive decisions to grant or deny parole are unreviewable does not necessarily answer whether the Commission’s interpretation of the Guidelines are also shielded from review____ We must still consider whether and to what extent the removal of our jurisdiction to review the Commission’s decisions to grant or deny parole also precludes our review of the Commission’s decision making processes.
The majority then relies on conflicting statements regarding judicial review in the legislative history of the Parole Act to conclude that Congress intended for courts to review Commission decisions which are governed by a mandatory standard under the Guidelines or other regulations, but not those decisions in which the Guidelines оr other regulations permit the Commission “a range of choices.” This analysis is troublesome in several respects.
The inquiry into whether there are regulations which a court may look to in reviewing an agency decision is a component of the section 701(a)(2) determination of whether a matter is committed to agency discretion by law. See Abdelhamid v. Eckert,
Holding that we have jurisdiction to review Commission decisions governed by mandatory regulations under the APA even though Congress has specified that
Ill
The due process clause of the fifth amendment provides the appropriate means for addressing claims that the Commission has failed to follow the Guidelines or its own regulations.
Under this approach, the first question is whether the Parole Act creates a liberty interest which is subject to due process protection. The Supreme Court has held that mandatory language in a Nebraska parole statute created a liberty interest which was protected under the due process clause of the fourteenth amendment. See Greenholtz v. Inmates of Nebraska Penal and Correctional Complex,
If the federal Parole Act is found to create a liberty interest, then the question is whether the prisoner has been afforded the “quantum and quality” of process due in this particular situation. See Greenholtz,
Because Wallace has not claimed that the Commission’s application of the Guidelines violated his due process rights, I find it unnecessary to undertake the due process inquiry in this concurring opinion.
. The majority places undue emphasis on the legislative history in drawing its distinction between mandatory Guidelines or regulations and those which permit the Commission a range of choices. Although legislative history should be considered in determining whether there is clear and convincing evidence of a legislative intent to preclude judicial review, see Block v. Community Nutrition Institute,
Much of the legislative history discussed thoroughly in the majority opinion demonstrates Congress’ intent to limit judicial review of Commission decisions. See, e.g., H.Conf.Rep. No. 94-838, 94th Cong., 2d Sess. 25, 36, reprinted in 1976 U.S.Code Cong. & Ad.News at 358, 368 (Joint House-Senate Conference Report) [hereinafter Joint Report). The majority places great emphasis on portiоns of the legislative history which indicate Congress’ concern that judicial review not be completely abrogated, or that Congress believed judicial review would remain the same as before the adoption of the Parole Act. See, Joint Report at 19, 36, reprinted in 1976 U.S.Code Cong. & Ad.News at 341, 368; 122 Cong.Rec. 5164 (1976) (statement of Rep. Drinan); 121 Cong.Rec. 1570 (1975) (statement of Rep. Wiggins). But section 4218(d), as adopted, precludes judicial review of Commission decisions to grant or deny parole. The legislative history, especially the statements of individual congressmen or senators, should not be used to circumvent this statutory directive.
Concurrence Opinion
joins, concurring in the judgment.
It is only fair to start with the concession that today’s opinion is the product of invited error. By and large the court follows the path suggested by the government in its brief and at oral argument; no one should therefore be heard to complain that the court fails to adequately preserve the Parole Commission’s prerogatives. Yet, the majority opinion is troubling in a number of ways: it perpetuates the myth that laws constraining executive action mean nothing unless they are judicially enforceable; it elevates bits and pieces of legislative history over clear and unambiguous statutory language; and it draws gossamer distinctions that invite litigation. I write not to respond to the majority’s reading of the law; Judge Hall’s concurrence, which I join, does this lucidly and persuasively. My observations concern the majority’s
I.
As the majority recognizes, supra p. 1544, the Parole Act of 1976 commits the decision whether to grant or deny parole to the Parole Commission’s unreviеwable discretion. 18 U.S.C. § 4218(b) (1982). The court nevertheless rejects the “syllogistic” conclusion that this necessarily precludes review of “the process by which the Commission reaches that decision.” Supra p. 1547. The court’s reluctance to accept the logic of the statute is based on its observation that the Act limits “the scope of discretion granted the Commission” and “the Parole Act reveals no congressional design to allow the Commission to transgress these limitations.” Id. The court concludes that judicial review is necessary to keep the agency from going astray. Id. See also supra p. 1551 (“[i]f a court could not consider this issue, the requirement that the Commission show ‘good cause’ to render a decision ‘notwithstanding’ the Guidelines would be meaningless”).
The court’s unspoken but powerful premise is that executive branch officials cannot be trusted to stay within the law and that limitations on their authority are empty words on paper unless they can be judicially enforced. This does not, in my view, comport with reality; nor does it show appropriate deference to officers of a coordinate branch of our government.
Contrary to the court’s assertion, a statutory limitation on executive action is not rendered meaningless because a judge can’t be called upon to enforce it; nor is judicial review the only way to ensure that the law will be followed. An Act of Congress is the law of the land, a law all federal officials are sworn to uphold whether they be in the judicial, legislative or executive branches of government. 28 U.S.C. § 453 (1982) (judicial); 2 U.S.C. §§ 21, 25 (1982) (legislative); 5 U.S.C. § 3331 (1982) (executive). The first and by far the mоst important assurance that the law will be followed lies in the diligence and good faith of those administering it. For the overwhelming number of the millions of decisions made by our federal government every year, this is the only assurance. Our system would be gridlocked if executive officials could not be trusted to carry out the law whenever their actions escape judicial review.
Even where Congress chooses not to rely on the acting official’s good faith alone, judicial review is not the only available safeguard. One option is to provide administrative appeals within the executive branch itself. Formal and informal review within the agency can correct errors of law, curb abuses of discretion and ensure that the decision is not the product of a single official’s passion or prejudice. The Parole Act provides for such internal administrative review. It establishes a three-member National Appeals Board to which prisoners such as Wallace may appeal denials, modifications or revocations of parole. 18 U.S.C. §§ 4204(a)(5), 4215 (1982). Under Parole Commission regulations, appeal may be based on misapplication of the guidelines, mistaken conclusions of fact or failure to follow proper procedures.
Finally, Congress itself can and does monitor the behavior of executive branch officials. This is not an empty threat. Proliferation of congressional committees and subcommittees, aided by burgeoning congressional staff, has led to extensive micromanagement of executive agency practices. A recent study describes this phenomenon as follows:
Congress has expanded the scope of its concern for executive branch activities to include the most minute details of operations. These range from dictating the size and style of agency wall calendars to overruling a Treasury Department decision on a mailbox address for payments of tobacco taxes, to requiring the assignment of an attorney to a government office in Stillwater, Okla.
R. Fitzgerald & G. Lipson, Pork Barrel: The Unexpurgated Grace Commission Story of Congressional Profligacy xxv (Cato Inst.1984); see also id. at 44-49, 92--98 (citing numerous examples of legislative micromanagement).
Judicial review is, of course, yet another way to assure fidelity to statutory and regulatory standards. But it is not the only way. Congress, it seems to me, should have the option to invoke judicial review, rely on its own oversight or leave matters entirely to executive officials. Here, Congress expressly left to the executive branch the decision to grant or deny parole. As Judge Hall points out, at 1557, by refusing to honor that choice, the court denies Congress the flexibility of placing constraints on executive action while avoiding the cost and delay of judicial review.
II.
As Judge Hall further notes, the majority places far too much reliance on legislative history. Supra pр. 1556-57 n. 1. The fact of the matter is that legislative history can be cited to support almost any proposition, and frequently is. The propensity of judges to look past the statutory language is well known to legislators. It creates strong incentives for manipulating legislative history to achieve through the courts results not achievable during the enactment process. The potential for abuse is great. Judge (now Justice) Scalia has persuasively warned against relying on detailed discussions in legislative reports:
[T]he authoritative, as opposed to the persuasive, weight of the Report depends entirely upon how reasonable it is to assume that [its view] was reflected in the law Congress adopted. I frankly doubt that it is ever reasonable to assume that the details, as opposed to the broad outlines of purpose, set forth in a committee report come to the attention of, much less are approved by, the house which enacts the committee’s bill. And I think it time for courts to become concerned about the fact that routine deference to the detail of committee reports, and the predictable expansion in that detail which routine deference has produced, are converting a system of judicial construction into a system of committee-staff prescription.
Hirschey v. FERC,
None of the legislative history cited by the court today specifically addresses the effect of 18 U.S.C. § 4218(d) which, by any fair reading, appears to preclude judicial review of all aspects of the Commission’s decision to grant or deny parole. The most that can be said about these excerpts from the legislative record is that their authors labored under the impression that the Parole Act would not affect judicial review. No one bothers to reconcile this hoped-for result with the language of the law about to be enacted. Taken literally, all this nay-saying would read section 4218(d) right out of existence; if the law is to remain unchanged, why bother passing the section at all? Surely such predictions about how courts are likely to interpret a statute should not become self-fulfilling prophecies. If a legislator is troubled by a particular provision in a bill, he should try to modify or excise it during the enactment process. Courts should not allow individual legislators and their staffs to usurр the uniquely judicial function of statutory interpretation by countenancing unexplicated assertions that the law to be enacted won’t mean much anyway.
III.
Having bypassed clear statutory language in favor of nebulous assertions in the legislative history, the court confronts a dilemma that those who wrote the legislative reports did not have to deal with: how to reconcile the clear mandate of section 4218(d) with the assertions that the Parole
The opinion seeks to draw a distinction between claims that the Commission has acted outside the scope of its discretion, which are reviewable, and claims that the Commission abused its discretion, which are not. See, e.g., supra pp. 1550-51. The distinction is, at best, counterintuitive. In trying to reconcile what are basically irreconcilable positions, the court has come up with a standard that is extremely difficult to apply and will therefore clog the courts with cases brought by prisoners, many having claims that at least colorably fall within the class reserved for judicial review.
The court’s attempt to flesh out this standard doesn’t help much. Thus, the court cautions that “unless a petitioner alleges the Commission acted beyond the scope of discretion granted by Congress, a federal court has no jurisdiction to entertain his claim.” Supra p. 1551. Moreover, “a bare allegation that the Commission has abused its discretion acknowledges that the Commission has exercised a judgment, if improperly, within its discretion.” Id. (emphasis original). This will surely deter prisoners from charging abuse of discretion. They will allege instead that the Commission acted “beyond the scope of [its] discretion.”
The majority explains what it means for the Commission to act beyond the scope of its discretion in the following terms:
In determining whether the Commission has “gone outside” the Guidelines, therefore, it is appropriate for the court to inquire whether the Commission has in fact made a “judgment” within its discretion. Specifically, the court’s inquiry is addressed to whether the Commission’s decision involves the exercise of judgment among a range of possible choices or options, or involves a plain violation of a matter which does not admit of discretion and choice.
Supra p. 1552 (citation omitted). This gives litigants and the district courts little useful guidance. There are, it seems to me, few Parole Commission decisions that could not fairly be challenged on either ground.
Take this case, for example. The petitioner here was convicted of extortion, use of an explosive to commit a felony, and possession of an unregistered destructive device. Because the criminal conduct involved an airplane, the Commission classified his offense as “Interference With a Flight Crew.” The regulations provide two levels of offense behavior in this category: “if the conduct or attempted conduct has potential for creating a significant safety risk to an aircraft or passengers, grade as Category Seven.” 28 C.F.R. § 2.20.242(a). “Otherwise, grade as Category Two.” Id. § 2.20.242(b). The Commission graded the offense as a seven.
Wallace’s case gives rise to two possible objections to the Commission’s action: first, that the Commission incorrectly classified his conduct as “Interference with a Flight Crew;” and second, that (even accepting the “Interference with a Flight Crew” classification) the. Commission should have graded the offense as a two because “the conduct or attempted conduct [did not have] potential for creating a significant safety risk to an aircraft or passengers.” In support of the first contention, Wallace argues that his offense should have been classified as extortion, a crime of which he was actually convicted, and which carries an offense behavior categorization of five. 28 C.F.R. § 2.20.322(a). Supporting the latter contention is the fact that the
These two objections to the Parole Commission’s action are quite different from each other. The first is, in effect, that the Commission misapplied its own guidelines, what I would have thought was a question of law, not of discretion. The second challenges judgments as well as findings of fact: the Commission’s determination that Wallace’s conduct endangered passеngers, plane and crew. The court resolves both of these questions in a single paragraph:
The Commission found that Wallace’s offense had the potential to cause injury or death and destruction to an aircraft and passengers. The Commission’s determination did not violate a mandatory or non-discretionary standard, but rather, involved a judgment among a range of possible choices and options relating to the severity of Wallace’s offense. Wallace has pointed to no provision in the Guidelines removing discretion from the Commission to classify his offense in this category. We hold that the Commission acted within the scope of discretion granted by Congress and hence our review of the Commission’s classification of Wallace’s offense is complete.
Supra p. 1553 (footnote omitted).
The court does not adequately explain its conclusion. For example, even though Wallace was actually convicted of extortion, the court approves the Commission’s decision to classify his offense as “Interference with Flight Crew.” Was that because in doing so the Commission was acting within the scope of its discretion? Because the Commission did not abuse its discretion? Or because the Commission was right as a matter of law? Would the result have been the same if the Commission had classified the conduct as demand for ransom, 28 C.F.R. § 2.20.222; aircraft piracy, id. § .241; assault, id. § .212; burglary or unlawful entry, id. § .311; espionage, id. § .1021; or tax evasion, id. § .501? If review is to mean anything, I would think that somewhere along the line the court will have to consider whether the Commission has totally misclassified the offense. Because the court does not tell us why it is satisfied with the classification here, those of us not participating in the majority opinion remain in the dark even as to the standard by which the conclusion was reached.
Equally unexplicated is the court’s approval of the Commission’s determination that “Wallace’s offense had the potential to cause injury or death and destruction to an aircraft and passengers” because this “involved a judgment among a range of possible choices and options relating to the severity of Wallace’s offense” and was therefore “within the scope of discretion granted by Congresss.” Supra p. 1553. Would the court have reached the same conclusion if the Commission had uttered this finding as to a defendant convicted of an offense wholly unrelated to aircraft such as forgery, 28 C.F.R. § 2.20.331, or importation of illegal aliens, id. § 2.20.402? Or what if Wallace had merely written a letter or made a crank telephone call threatening the existence of a totally nonexistent bomb? Will all such matters be left to the Commission, and if so, what precisely is the area the court maps out for judicial scrutiny?
The summary fashion in which the court resolves Wallace’s claims masks the difficulty of applying the standard enunciated today even to his case. I fear that courts will have even more trouble in future cases trying to apply the pronouncement of an en banc panel of this court. It seems to me we are inflicting another layer of complexity on district courts and litigants already overburdened with rules, tests, standards of review and a variety of other fine distinctions that are not intuitively obvious. Judges and lawyers will study today’s opinion long and hard seeking guidance of the type that can actually be used in resolving disputes. As always, uncertainty will spawn litigation which will necessitate further guidance from this court. In the end, I fear that those who predicted section 4218(d) will mean nothing may have their way. When all is said and done, we may
. The regulations provide that a prisoner may appeal a parole decision on any of the following grounds:
(1) That the guidelines were incorrectly applied ...;
(2) That a decision outside the guidelines was not supported by the reasons or facts as stated;
(3) That especially mitigating circumstances ... justify a different decision;
(4) That a decision was based on erroneous information ...;
(5) That the Commission did not follow correct procedure ...;
(6) There was significant information in existence but not known at the time of the hearing;
(7) There are compelling reasons why a more lenient decision should be rendered on grounds of compassion.
28 C.F.R. § 2.26(e)(1985).
. A statutory framework providing a comprehensive system of administrative remedies may itself foreclose judicial review not specifically authorized. See Busk v. Lucas,
. This footnote,
Mr. ARMSTRONG: ... My question, which may take [the chairman of the Committee on Finance] by surprise, is this: Is it*1560 the intention of the chairman that the Internal Revenue Service and the Tax Court and other courts take guidance as to the intention of Congress from the committee report which accompanies this bill?
Mr. DOLE: I would certainly hope so____
Mr. ARMSTRONG: Mr. President, will the Senator tell me whether or not he wrote the committee report?
Mr. DOLE: Did I write the committee report? Mr. ARMSTRONG: Yes.
Mr. DOLE: No; the Senator from Kansas did not write the committee report.
Mr. ARMSTRONG: Did any Senator write the committee report?
Mr. DOLE: I have to check.
Mr. ARMSTRONG: Does the Senator know of any Senator who wrote the committee report?
Mr. DOLE: I might be able to identify one, but I would have to search. I was here all during the time it was written, I might say, and worked carefully with the staff as they worked____
Mr. ARMSTRONG: Mr. President, has the Senator from Kansas, the chairman of the Finance Committee, read the committee report in its entirety?
Mr. DOLE: I am working on it. It is not a bestseller, but I am working on it.
Mr. ARMSTRONG: Mr. President, did members of the Finance Committee vote on the committee report?
Mr. DOLE: No.
Mr. ARMSTRONG: Mr. President, the reason I raise the issue is not perhaps apparent on the surface, and let me just state it: ____ The report itself is not considered by the Committee on Finance. It was not subject to amendment by the Committee on Finance. It is not subject to amendment now by the Senate.
... If there were matter within this report which was disagreed to by the Senator from Colorado or even by a majority of all Senators, there would be no way for us to change the report. I could not offer an amendment tonight to amend the committee report.
... [F]or any jurist, administrator, bureaucrat, tax practitioner, or others who might chance upon the written record of this proceeding, let me just make the point that this is not the law, it was. not voted on, it is not subject to amendment, and we should discipline ourselves to the task of expressing congressional intent in the statute.
128 Cong.Rec. S8659 (daily ed. July 19, 1982).
. Presumably, however, pro se prisoners will not be thrown out of court merely for invoking the wrong incantation. Haines v. Kerner,
