For 68 years, the Atlantic States Marine Fisheries Commission (“ASMFC” or the “Commission”) has endeavored to promote the utilization and protection of the fisheries of the Atlantic seaboard. The Commission is the product of a congressionally approved interstate compact authorized by Article I, § 10, clause 3 of the United States Constitution. This interlocutory appeal requires us to determine whether the intervenor-plaintiffs, United Boatmen of New York, Inc., New York Fishing Tackle Trade Association, Inc., and the Fishermen’s Conservation Association (collectively “intervenor-plaintiffs” or “United Boatmen”), may assert a claim under section 702 of the Administrative Procedure Act, 5 U.S.C. § 702 (the “APA”), to seek judicial review of the Commission’s decisions.
In essence, the premise of United Boatmen’s complaint in intervention is a simple one: intervenor-plaintiffs maintain that the Commission is more than a congressionally authorized state cooperative agreement. In the view of the intervenor-plaintiffs, ASMFC is a federal agency, or at least acts so much like one that we should treat it as one for purposes of the APA.
I. BACKGROUND
This case arises from disputes over the management of the summer flounder fishery off of the Atlantic coast. In response to a decrease in the stock of summer flounder, also known as fluke, regulatory “efforts have been made to conserve and restore the population.”
Connecticut v. U.S. Dep’t of Commerce,
The facts and procedural history of this controversy are set out in detail in the opinions of the district court.
See New York v. Gutierrez,
No. 08 Civ. 2503(CPS)(RLM),
This suit was commenced by the State of New York, the Commissioner of the New York State Department of Environmental Conservation, and the New York State Department of Environmental Conservation (collectively “New York State plaintiffs”), against the Secretary of the United States Department of Commerce, the United States Department of Commerce, the Under Secretary of Commerce and Administrator for the National Oceanic and Atmospheric Administration, the National Oceanic and Atmospheric Administration, and the Acting Assistant Administrator for the National Marine Fisheries Service (collectively “federal defendants”).
1
The New York State plaintiffs contend that the final management rule for the 2008 recreational summer flounder fishery violates the MagnusonStevens Fishery Conservation and Management Act, as amended in 1996 by the Sustainable Fisheries Act, 16 U.S.C.
Intervenor-plaintiffs in this action are private groups who maintain that the New York State plaintiffs failed to adequately represent their interests in defining the scope of their suit. United Boatmen of New York, Inc. is a professional trade organization that represents the for-hire fishing vessel industry in New York. Members of United Boatmen derive a substantial portion of their revenue from sport fishing for summer flounder. The New York Fishing Tackle Trade Association, Inc. is a professional trade organization that represents the wholesale and retail bait and tackle dealer industry in New York. The Fishermen’s Conservation Association is a non-profit organization whose members are individual recreational anglers who target, among other species, summer flounder in state and federal waters contiguous to New York State.
In 1942, the ASMFC was created by a congressionally approved interstate compact (“ASMFC Compact”). See Pub.L. No. 77-539, 56 Stat. 267 (1942), as amended by Pub.L. No. 81-721, 64 Stat. 467 (1950); see also U.S. Const. art. I, § 10, cl. 3. The purpose of the Compact “is to promote the better utilization of the fisheries ... of the Atlantic seaboard” through a “joint program for the promotion and protection of such fisheries.” ASMFC Compact, art. I. The Compact specifically provides that it shall not “be construed to limit the powers of any signatory state or to repeal or prevent the enactment of any legislation or the enforcement of any requirement by any signatory state imposing additional conditions and restrictions to conserve its fisheries.” ASMFC Compact, art. IX.
Each member state appoints three representatives to the Commission.
3
ASMFC Compact, art. III. The Compact requires that these representatives be the state’s director of marine fisheries, a state legislator, and a citizen with knowledge relevant to the regulation of marine fisheries.
Id.
The signatories to the ASMFC “exercise joint regulatory oversight of their fisheries through the development of interstate fishery management plans.”
R.I. Fishermen’s Alliance, Inc. v. R.I. Dep’t of Envtl. Mgmt.,
In 1993, Congress adopted the Atlantic Coastal Fisheries Cooperative Manage
Under the ACFCMA, the Secretary of Commerce is empowered to make an independent finding regarding whether a state has failed to implement management measures and, if so, “whether the measures that the [sjtate has failed to implement and enforce are necessary for the conservation of the fishery in question.” Id. § 5106(a)(2). If the Secretary makes a determination of noncompliance with respect to “necessary” measures, he or she “shall declare a moratorium on fishing in the fishery in question within the waters of the noncomplying [sjtate.” Id. § 5106(c)(1).
The congressional findings accompanying the ACFCMA note that “[bjecause no single governmental entity has exclusive management authority for Atlantic coastal fishery resources, harvesting of such resources is frequently subject to disparate, inconsistent, and intermittent [sjtate and [fjederal regulation that has been detrimental to the conservation and sustainable use of such resources.” Id. § 5101(a)(3). The ACFCMA explicitly affirms, however, that the “responsibility for managing Atlantic coastal fisheries rests with the [sjtates, which carry оut a cooperative program of fishery oversight and management through the Atlantic States Marine Fisheries Commission.” Id. § 5101(a)(4).
On July 16, 2008, United Boatmen moved to intervene in the action commenced by the New York State plaintiffs and to join the Commission as a defendant.
See
ASMFC brought a motion to dismiss United Boatmen’s complaint in intervention for failure to state a claim.
The district court denied ASMFC’s motion to dismiss.
On appeal, the Commission advances largely the same arguments that it did beforе the district court. Essentially, ASMFC argues that intervenor-plaintiffs’ complaint should be dismissed as it pertains to the Commission because it is not a federal agency; therefore, intervenorplaintiffs may not seek review of the Commission’s fishery management decisions under the APA. By contrast, intervenorplaintiffs urge us to affirm the district court’s determination that the Commission is a “quasi-federal” agency subject to suit under the APA. Intervenor-plaintiffs also suggest that this Court take an even stronger position than the one adopted by
II. DISCUSSION
The coverage of the APA, including its judicial review provisions, is governed by the statutory definition of the term “agency.” Thus, we must first look to the text,
see Sec. & Exch. Comm’n v. Dorozhko, 574
F.3d 42, 46 (2d Cir.2009), of section 701(b)(1), which provides a definition of this term.
See Bailey v. United States,
Examination of the definition of a federal agency, as provided by the APA, reveals that the ASMFC Compact does not fall within the scope of the statute. In reaching this conclusion, “[w]e consider not only the bare meaning of [the] word” agency,
Bailey,
A. The Statutory Definition of Agency Does not Encompass the Commission
The provisions of the APA “provide[ ] the statutory structure upon which federal administrative law is built.”
Cornejo-Barreto v. Seifert,
The APA definition expressly excludes certain entities, such as Congress and the federal courts. 5 U.S.C. § 701(b)(1)(A)-(B);
see also id.
§ 701(b)(1)(C)-(H). Athough an interstate
The wording of section 701(b)(1) indicates that we should not give the definition of “agency” a more expansive reading.
See United States v. Angelilli,
The fact that the ASMFC was created by an interstate compact and approved by Congress does not alter this analysis. We find that the APA’s definition of a federal agency does not fit the Commission. The ASMFC Compact states that the “Commission shall be a body corporate, with the powers and duties set forth” in the Compact. ASMFC Compact, art. III. Although the Commission acts in parallel with the federal government in managing the stock of summer flounder off of the Atlantic coast, it exists outside the federal administrative law framework. And, it would upset the “federal-state balance,”
Armstrong,
The regulation of the territorial sea is a matter traditionally left to the states.
See In re Air Crash Off Long Island, New York, on July 17, 1996,
Although interstate compacts are contemplated by the Constitution, U.S. Const. art. I, § 10, cl. 3, and subject to congressional approval, we cannot escape the fact that the entity itself is an aggregation of states. While “an interstate compact or agreement becomes federal law if it is a congressionally sanctioned interstate compact within thе meaning of the Compact Clause of the Constitution,”
NYSA-ILA Vacation & Holiday Fund v. Waterfront Comm’n,
The authority exercised by ASMFC under the Compact is not federal in nature. The signatory states have agreed to coordinate their regulatory activity in order to “promote the better utilization of the fisheries.” ASMFC Compact, art. I. But, there is no indication that the contracting states understood themselves to be compacting to create a federal agency. “Interstate compacts ... are presumed to be the subject of careful consideration before they are entered into, and are drawn by persons competent to express their meaning, and to choose apt words in which to embody the purposes of the ... contracting parties.”
New Jersey v. Delaware, 552
U.S. 597, 615-16,
While it is true that there is a “strong presumption that Congress intends judicial review of administrative action,”
Sharkey v. Quarantillo,
B. The “Quasi-Federal” Agency Doctrine Does Not Bring the Commission Within the Meaning of the Term Agency under the APA
The court below maintained that “whether Congress designates an entity as
The district court relied on decisions of several other courts that have acknowledged this doctrine.
See Am. Trucking Ass’n, Inc. v. Del. River Joint Toll Bridge Comm’n,
It is clear to us, at the very least, that the “quasi-federal” agency doctrine— whatever its merit — does not apply to the Commission. The lower court was of the view that the “quasi-federal” agency cases identify “three factors relevant to whether a compact authority warrants the quasi-federal agency classification.”
By its nature, there will always be federal involvement in a congressionally approved interstate compact. We are unpersuaded, however, that this requires us to subject what is, at its core, a contract between states to the judicial review provisions of the APA. The ASMFC is a body comprised “only of its constituеnt” states.
Cf. Saunders v. Wash. Metro. Area Transit Auth.,
Beyond federal involvement, the fact that federal interests are implicated by the activities of the Commission does not transform ASMFC into a federal entity subject to suit under the APA.
See California v. Sierra Club,
The import of the district court’s reasoning is that, because sound policy choices animate the APA, these policies must apply to the Commission; we again disagree. The district court in essence created a presumption of APA coverage for any entity whose functions may implicate federal interests. It noted: “Congress may not, through legislation imposing federal obligations, oversight, funding, or otherwise, transform an entity into something closely resembling a federal agency, and yet escape the accountability mechanism it intended to apply to such federal agencies— unless, of course, it specifically provides that the APA shall not apply to the entity in question.”
Gutierrez,
Even assuming, without deciding, that there may be circumstances in which Congress has endowed an entity that is not an “authority of the [government of the United States,” 5 U.S.C. § 701(b)(1), with attributes that make it so similar to a federal agency that it is subject to the judicial review provision of the APA, the district court erred in concluding that the ASMFC is a “quasi-federal” agency. We hold that, in the absence of other factors not present in this case, the acts of Congress in approving the interstate Compact, in adopting the ACFCMA, and in provid
The APA is designed, at least in part, to ensure that federal actors are held accountable to the public.
See Cohen v. Rice,
The fact that the ASMFC is an interstate compact entity provides an inherent restraint on its decision making process. “No action shall be taken by the Commission in regard to its general affairs except by the affirmative vote of a majority of the whole number of compacting states present at any meeting.” ASMFC Compact, art. VI. And, “[n]o recommendation shall be made by the Commission in regard to any species of fish except by the affirmative vote of a majority of the compacting states which have an interest in such species.” ASMFC Compact, art. VI. Each state is obligated to carry out the terms of the ASMFC Compact, and member states may seek judicial relief to enforce rights under the agreement.
See Texas v. New Mexico,
Although its actions are not subject to review under § 702 of the APA, the Commission is a politically accountable body. ASMFC is composed of state conservation agency directors, state legislators, and public citizens appointed by the governors of the member states. 13 ASMFC Compact, art. III. The actions of the ASMFC involve the coordinate exercise of the states’ sovereign policy-making powers. In this regard, the Commission is more akin to a legislative body than to a federal agency. The Commission’s decisions are implemented through rule-making by the individual states, which affords an opportunity for public participation in the management process. In addition, the ASMFC makes its decisions public.
Finally, the ACFCMA provides a check on the actions of the Commission; it requires that the Secretary of Commerce review a finding that a state has failed to comply with a fishery management plan. 16 U.S.C. § 5106(a). The Compact provides that, if the Secretary determines a state has failed to comply with measures that are “necessary for the conservation” of a fishery, the Secretary shall impose a moratorium.
Id.
§§ 5106(a), (c). If the Secretary imposes and enforces a federal moratorium based on his or her independent findings of noncompliance, a party that is allegedly aggrieved by the Secre
The Commission is designed to address concerns that are traditionally within the province of the states. That the Commission seeks to address these concerns with support from the federal government, and in a manner that is harmonious with federal regulations, does not alter its essential nature. The fact that federal interests are implicated by the activities of the ASMFC does not transform it into a federal agency for purposes of seeking judicial review of its actions.
III. CONCLUSION
The district court’s order of March 9, 2009, denying the Atlantic States Marine Fisheries Commission’s motion to dismiss the complaint in intervention as it pertains to that defendant, is hereby REVERSED and the case is REMANDED for further proceedings consistent with this opinion.
Notes
. As a result of this Court’s holding, intervenor-plaintiffs' claims against ASMFC must be dismissed. The New York State plaintiffs’ suit against the federal defendants will continue in thе district court.
See
. On March 4, 2010 counsel for the New York State plaintiffs sent a letter to the district court arguing that “[bjecause the same issues underlying this action are recurring, ... the expiration of the 2008 management measures has not rendered [the case] moot.” Letter to the Honorable Nina Gershon by Alexander B. Grannis, New York State Department of Environmental Conservation,
Grannis, et at v. Locke, et at,
08 Civ. 2503 (E.D.N.Y. Mar. 4, 2010) (Gershon, J.) (D.Ct.Doc. No. 148). Although the 2008 management measures have expired, we agree that because "(1) the challenged action [is] in its duration too short to be fully litigated prior to its ... expiration, and (2) there [is] a reasonable expectation that the same complaining party [will] be subjected to the same action again,” the controversy is not moot.
Van Wie v. Pataki,
. The ASMFC Compact was ratified by Maine, New Hampshire, Massachusetts, Rhode Island, Connecticut, New York, New Jersey, Delaware, Maryland, Virginia, North Carolina, South Carolina, Georgia, Florida, Pennsylvania, and the District of Columbia. ASMFC Compact, arts. II, XII, § 2;
see also R.I. Fishermen’s Alliance, Inc. v. R.I. Dep’t of Envtl. Mgmt.,
. The district court improperly concluded that the ASMFC was subject to joinder, by motion of the intervenor-plaintiffs, pursuant to Federal Rule of Civil Procedure 19(a)(1)(A). “Except in extraordinary cases, ... intervenors may only join issue on a matter that has been brought before the court by another partyf] They cannot expand the proceedings.”
Lamprecht
v.
Fed. Commc’n Comm'n,
. By contrast, other interstate compacts do provide for judicial review. E.g., Washington Metropolitan Transit Regulation Compact, Pub.L. No. 101-505, art. XIII, § 5(a), 104 Stat. 1300, 1312 (1990); Tahoe Regional Planning Compact, Pub.L. No. 96-551, art. VI(j)(3), 94 Stat. 3233, 3247 (1980); Northeast Dairy Compact, § 16(C), S.J. Res. 28, 104th Cong. (1995).
. The district court properly rejected the idea that United Boatmen could avail themselves of an implied right of action.
Gutierrez,
. In support of its motion to dismiss, the Commission also made an alternative argument that it should be accorded Eleventh Amendment immunity from suit. The district court rejected this argument.
. The MSA establishes "eight Regional Fishery Management Councils,” 16 U.S.C. § 1852(a)(1), that are responsible fоr preparing fishery management plans for federal waters,
id.
§ 1852(h)(1). The Secretary of Commerce has final authority to approve each plan developed under the MSA.
Id.
§ 1854. Parties who allege that they are aggrieved by regulations adopted by the Secretary have a right to judicial review,
id.
§ 1855(f), conducted in accord with the review provisions of the APA, 5 U.S.C. § 701
et seq. See Connecticut,
. While this may be true as a matter of semantics, Congress must do more than authorize the formation of an interstate body and coordinate its regulatory activities with this body to bring it within the reach of the APA.
. No circuit court of appeals has adopted the "quasi-agency'’ doctrine in a рublished decision. Only the Eighth Circuit Court of Appeals has endorsed the analysis that underpins the "quasi-agency” doctrine.
Heard Commc'ns,
. Pursuant to the ASMFC Compact, the signatory states also "make annual appropriations to the support of the Commission.” ASMFC Compact, art. XI.
. See the Interstate Fisheries Management Program Charter, §§ 3(d)(9), 4(h), available at http ://www. asmfc. org/.
. Federal legislators are constitutionally prohibited from serving as federal agency officials. U.S. Const., art. I, § 6, cl. 2.
