Lead Opinion
Opinion by Judge RAWLINSON; Dissent by Judge RYMER.
Petitioner-Appellee Jose Rodriguez (Rodriguez) filed a petition for writ of ha-beas corpus seeking an order directing the Bureau of Prisons (BOP) to immediately consider transferring Rodriguez to a Residential Re-entry Center (RRC)
I. FACTS AND PROCEDURAL HISTORY
A. Factual Background
Rodriguez pled guilty to charges of conspiracy to distribute methamphetamine and money laundering, and, in April, 2001, was sentenced to 195 months in federal prison. His projected release date is November 11, 2013.
When Rodriguez was advised that he would not be eligible for consideration for RRC placement until 11-13 months immediately preceding his projected release date, he filed a petition for a writ of habeas corpus challenging the BOP regulations that prevented him from being immediately considered for RRC placement. The petition asserted that the BOP’s policy directly conflicts with 18 U.S.C. § 3621(b). Having served “over 60 percent” of his sentence, Rodriguez argued that he was eligible for consideration for a less restrictive placement.
The magistrate judge recommended that the district court grant the petition, stat
The district court adopted the Findings and Recommendation and granted the petition. Smith filed a timely notice of appeal.
B. Statutory and Regulatory Background
Under 18 U.S.C. § 3621(b), the BOP has authority to designate the place of an inmate’s imprisonment.
Accordingly, effective December 20, 2002, the BOP changed its procedure to limit the time during which an inmate was eligible for placement in an RRC to the final ten percent of his sentence, or six months, whichever was shorter. Id. However, the BOP’s “change was challenged in the Federal courts.” Id. Both the First and the Eighth Circuits invalidated this policy because it failed to recognize the
In response to these decisions, the BOP changed course. Contradicting its earlier position in 2002 that it lacked authority to place an inmate in an RRC prior to the end of the inmate’s sentence, the BOP recognized that it generally has discretion under § 3621(b) to place an inmate in an RRC at any time. See 69 Fed.Reg. 51213. However, the BOP elected to “exercise its discretion categorically to limit inmates’ community confinement to the last ten percent of the prison sentence being served, not to exceed six months.” Id.
The final rules were published as 28 C.F.R. §§ 570.20, 570.21 on January 10, 2005, see 70 F.R. 1659,
C. Other Circuit Court Decisions
Although this case raises an issue of first impression in this Circuit, as discussed below, five other circuits have directly addressed the matter. See Muniz v. Sabol,
II. STANDARD OF REVIEW
We review questions of statutory interpretation de novo. United States v. Horvath,
III. DISCUSSION
A. The BOP Regulations Violate the Clear and Unambiguous Congressional Intent Expressed in § 3621(b).
Employing the Chevron analysis, we must first determine whether Congress’s intention regarding the BOP’s discretion in determining prisoner placements and transfers is clear from the text of 18 U.S.C. § 3621(b). If the statute is clear, we then decide whether the BOP’s regulations violate that clearly expressed intent. Chevron,
Smith relies on 18 U.S.C. § 3624(c) to explain the interplay between the BOP regulations and § 3621(b). He argues that because § 3624(c) limits when an inmate may be placed in an RRC, “prisoners hаve no right to be considered for an RRC placement until they have finished 90% of their sentence. Seen from this point of view, the BOP’s decision in the regulations to impose exactly this limitation is not only a reasonable interpretation of the statute, but the only reasonable interpretation.” In essence, Smith contends that in light of § 3624(c), Congress’s intent with respect to § 3621(b) is not clear from the statute, and thus deference is owed to the BOP’s interpretations (as expressed in 28 C.F.R. §§ 570.20 and 570.21).
However, the plain language of both §§ 3621(b) and 3624(c) make clear that this argument must fail. Section 3621(b) provides in part that “[t]he Bureau of Prisons shall designate the place of the prisoner’s imprisonment. The Bureau may designate any available penal or correctional facility that meets minimum standards of health and habitability established by the Bureau, whether maintained by the Federal Government or otherwise.... The Bureau may at any time ... direct the transfer of a prisoner from one penal or correctional facility to another.” 18 U.S.C. § 3621(b)(emphases added).
Section 3624(c) provides: “The Bureau of Prisons shall, to the extent practicable, assure that a prisoner serving a term of imprisonment spends a reasonable part, not to exceed six months, of the last 10 per centum of the term to be served under conditions that will afford the prisoner a reasonable opportunity to adjust to and prepare for the prisoner’s re-entry into the community.” 18 U.S.C. § 3624(c).
Contrary to Smith’s argument that § 3624(c) limits placement in RRCs to the last ten percent of the sentеnce being served, the statute provides that “of" the last ten percent of the prisoner’s sentence, the BOP shall, to the extent practicable, allow a prisoner to spend up to six months of that time in an institution such as an RRC. See id. (emphasis added). Thus, although this statute imposes an affirmative duty on the BOP to consider placing an inmate in community confinement or a similar pre-release alternative toward the end of the inmate’s prison term, it does not interfere with the BOP’s discretionary au
As noted, a majority of the other circuit courts that have considered this issue have concluded that the BOP’s interpretation of § 3624(c) is misplaced. See Wedelstedt,
Section 3621(b) specifically provides that the BOP has discretion to place an inmate into “any available penal or correctional facility” and to “direct the transfer of an inmate from one penal or correctional facility to another” “at any time.” 18 U.S.C. § 3621(b). In contrast, the plain language of § 3624(c) addresses the separate and unrelated authority and оbligation to place inmates into RRCs during the last ten percent of their sentences. Thus, we agree with the Tenth Circuit’s conclusion
Stripped of the attempted link to § 3624(c), Smith’s contention that the BOP’s temporal restriction on RRC placement comports with § 3621(b) is singularly unpersuasive. The BOP regulations necessarily violate the unambiguously expressed intent of Congress conveyed in § 3621(b), which exprеssly instructs that all placement and transfer determinations take into consideration each of the five factors enumerated in the statute.
As aptly stated in Wedelstedt,
“18 U.S.C. § 3621(b) ... gives the agency discretion.... This delegation of discretion, however, is cabined by further mandatory direction ... to consider the five factors enumerated in the statute ...” Id. at 1165(citation, alteration and internal quotation marks omitted).
“After considering the language of § 3621(b) and the relationship between its qualified grant of discretion and § 3624(c)’s affirmative obligation,” the Tenth Circuit saw no conflict between the two statutes. Id. at 1166.
The Tenth Circuit explained that:
The statutory command in § 3621(b) stands alone as a clear and unambiguous articulation of congressional intent regarding the process by which the BOP should make placement and transfer determinatiоns. Although § 3624(c) surely imposes an affirmative obligation on the BOP, whenever practicable, to place an inmate in a CCC or other form of community confinement as the inmate’s release date nears, § 3624(c) has no bearing on whether a CCC may be considered as a place of imprisonment at some earlier point in a prisoner’s period of incarceration.
Id. at 1166 (citations omitted); see also Levine,
The Second Circuit is in accord. See Levine,
In Muniz, the First Circuit concluded that the five factors listed in § 3621(b) were not exclusive. Muniz,
Because the BOP regulations categorically exclude CCC placement of inmates with more than ten percent of their sentences remaining, they necessarily fail to apply the mandatory factors listed in § 3621(b) tо those inmates.' This failure to consider the five statutory factors when considering eligibility for placement in or transfer to an RRC violates Congress’s clear intent that each of these factors be applied in making inmate transfer or placement determinations to “any available penal or correctional facility.” 18 U.S.C. § 3621(b)(emphasis added).
The Muniz opinion “emphasize[dj that were the regulations to leave little or no room for the opportunity of the individualized assessment implied by Congress, we would regard that as contrary to intent of the statute.”
B. The Supreme Court’s Ruling in Lopez Does Not Support the BOP’s Categorical Exercise of Discretion.
Relying on the Supreme Court’s decision in Lopez v. Davis,
In Lopez, the Supreme Court upheld a BOP regulation that categorically excluded inmates convicted of offenses involving firearms from discretionary early release eligibility under 18 U.S.C. § 3621(e)(2)(B).
The Court in Lopez pointedly discussed the absence from the statutory language of any criteria the BOP could use in applying the statute. Id. In contrast, § 3621(b) provides a list of five factors, all of which the BOP must consider in determining prisoner placement. See 18 U.S.C. § 3621(b)(l)-(5). Moreover, at least three of these factors are inmate-specific. See id. at § 3621(b)(2)-(4) (calling for consideration of “(2) the nature and circumstances of the offense; (3) the history and characteristics of the prisoner; [and] (4) any statement by the court that imposed the sentence ... ”). Thus, unlike the statute in Lopez, the BOP is not left without guidance on how to apply the statute.
We echo the observations made by the Tenth Circuit:
Lopez makes clear ... that an agency’s authority to promulgate categorical rules is limited by clear congressional intent to the contrary. In other words, Lopez applies only when Congress has not spoken to the precise issue and the statute contains a gap. The Lopez Court was careful to state that 18 U.S.C. § 3621(e)(2)(B) ... did not identify any criteria for the BOP to use ... Section 3621(b), in contrast, enumerates five factors, including three that are specific to the individual prisoner ...
Wedelstedt,
Finally, we are not convinced that reference to some of the factors in the BOP regulations translates into compliance with the statutory command contained in § 3621(b). See Muniz,
The BOP cannot validate this otherwise invalid regulation by claiming to have categorically considered the five statutory factors during the rulemaking process. The individualized nature of three of the five factors — the nature of the prisoner’s offense, the prisoner’s history and characteristics, and the sentencing judge’s statement — made such consideration impossible.
Wedelstedt,
IV. CONCLUSION
The BOP’s regulations conflict with the plain language of 18 U.S.C. § 3621(b) as to when an inmate may be considered for initial placement in or transfer to an RRC. We therefore AFFIRM the district court’s order granting the writ of habeas corpus ordering the BOP to promptly consider Rodriguez for transfer to an RRC without reference to 28 C.F.R. §§ 570.20 and 570.21.
AFFIRMED.
Notes
. Although the parties both agree that RRCs were formally referred to as Community Correction Centers (CCCs) and are commonly known as "halfway houses,” Smith refers to them as RRCs and Rodriguez uses the term CCC. This opinion will use the term RRC throughout.
. Section 3621(b) provides:
§ 3621 Imprisonment of a convicted person
(b) Place of imprisonment. — The Bureau of Prisons shall designate the place of the prisoner’s imprisonment. The Bureau may designate any available penal or correctional facility that meets minimum standards of health and habitability established by the Bureau, whether maintained by the Federal Government or otherwise and whether within or without the judicial district in which the person was convicted, that the Bureau determines to be appropriate and suitable, considering—
(1) the resources of the facility contemplated;
(2) the nature and circumstances of the offense;
(3) the history and characteristics of the prisoner;
(4) any statement by the court that imposed the sentence—
(A) concerning the purposes for which the sentence to imprisonment was determined to be warranted; or
(B) recommending a type of penal or correctional facility as appropriate; and
(5) any pertinent policy statement issued by the Sentencing Commission pursuant to section 994(a)(2) of title 28.
In designating the place of imprisonment or making transfers under this subsection, there shall be no favoritism given to prisoners of high social or economic status. The Bureau may at any time, having regard for the same matters, direct the transfer of a prisoner from one penal or correctional facility to another. The Bureau shall make available appropriate substance abuse treatment for each prisoner the Bureau determines has a treatable condition of substance addiction or abuse.
18 U.S.C. § 3621(b).
. Section 570.20 provides:
§ 570.20 What is the purpose of this sub-part?
(a) This subрart provides the Bureau of Prisons’ (Bureau) categorical exercise of discretion for designating inmates to community confinement. The Bureau designates inmates to community confinement only as part of pre-release custody and programming which will afford the prisoner a reasonable opportunity to adjust to and prepare for re-entry into the community.
(b) As discussed in this subpart, the term "community confinement” includes Community Corrections Centers (CCC) (also known as “halfway houses”) and home confinement.
28 C.F.R. § 570.20.
Section 570.21 provides:
§ 570.21 When will the Bureau designate inmates to community confinement?
(a) The Bureau will designate inmates to community confinement only as part of pre-release custody and programming, during the last ten percent of the prison sentence being served, not to exceed six months.
(b) We may exceed these time-frames only when specific Bureau programs allow greater periods of community confinement, as provided by separate statutory authority (for example, residential substance abuse treatment program (18 U.S.C. 3621(e)(2)(A)), or shock incarceration program (18 U.S.C. 4046(c))).
28 C.F.R. § 570.21.
. Section 3624(c) was amended effective April 9, 2008, slightly rewording the affirmative duty of the BOP to ensure to the extent practicable the release of a prisoner during the final months of the prisoner's term. The statutory amendment does not affect this opinion.
. In support of his position that § 3624(c) limits placement into RRCs, Smith invokes our decision in United States v. Latimer,
More recently, we ruled that placement in a Pre-Release Center did not constitute imprisonment under 18 U.S.C. § 3624(e), and therefore did not toll the defendant's supervisory release period. United States v. Sullivan,
In both cases, an important factor was our recognition that ambiguоus provisions should be interpreted for the benefit of the defendant/releasee. See Latimer,
In any event, the BOP itself has acknowledged that § 3261(b) grants it the authority to "place offenders sentenced to a term of imprisonment in [RRCs].” See 69 Fed.Reg. at *51213. Indeed, this discretion to place inmates into RRCs is the basis for the very BOP regulations Smith seeks to have upheld in this case. See Levine,
. The factors the BOP must consider under § 3621(b) are: “(1) the resources of the facility cоntemplated; (2) the nature and circumstances of the offense; (3) the history and characteristics of the prisoner; (4) any statement by the court that imposed the sentence — (A) concerning the purposes for which the sentence to imprisonment was determined to be warranted; or (B) recommending a type of penal or correctional facility as appropriate; and (5) any pertinent policy statement issued by the Sentencing Commission pursuant to section 994(a)(2) of title 28.” 18 U.S.C. § 3621(b).
Dissenting Opinion
dissenting:
While I understand joining the parade of courts to decide this issue, I would reverse for the reasons stated in Muniz v. Sabol,
