JOSE RODRIGUEZ, Petitioner-Appellee, v. DENNIS SMITH, Warden, Respondent-Appellant.
No. 07-16014
United States Court of Appeals for the Ninth Circuit
September 4, 2008
541 F.3d 1180
Before: Procter Hug, Jr., Pamela Ann Rymer, and Johnnie B. Rawlinson, Circuit Judges.
D.C. No. CV-07-00190-LJO/DLB. Appeal from the United States District Court for the Eastern District of California, Lawrence J. O’Neill, District Judge, Presiding. Argued and Submitted March 11, 2008—San Francisco, California. Opinion by Judge Rawlinson; Dissent by Judge Rymer.
COUNSEL
McGregor W. Scott, Thomas E. Flynn, Sacramento, California (briefed), and Phillip A. Talbert, Sacramento, California (argued), for respondent-appellant Dennis Smith.
Stephen R. Sady, Portland, Oregon, for petitioner-appellee Jose Rodriguez.
OPINION
RAWLINSON, Circuit Judge:
Petitioner-Appellee Jose Rodriguez (Rodriguez) filed a petition for writ of habeas corpus seeking an order directing the Bureau of Prisons (BOP) to immediately consider transferring Rodriguez to a Residential Re-entry Center (RRC)1 pursuant to the factors set forth in
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
The magistrate judge recommended that the district court grant the petition, stating: “[A]lthough the BOP has discretion to refuse to place an inmate in a correctional facility, the exercise of discretion must be based at least in part on the specific factors outlined in
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
Accordingly, effective December 20, 2002, the BOP changed its procedure to limit the time during which an
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
The final rules were published as
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, 517 F.3d 29 (1st Cir. 2008); Levine v. Apker, 455 F.3d 71, 87 (2d Cir. 2006); Woodall v. Fed. Bureau of Prisons, 432 F.3d 235, 244 (3d Cir. 2005); Fults v. Sanders, 442 F.3d 1088, 1091 (8th Cir. 2006); and Wedelstedt v. Wiley, 477 F.3d 1160, 1161-62 (10th Cir. 2007). The Second, Third, Eighth and Tenth Circuits have each concluded that Congress’s intent regarding inmate placement and transfer as codified is clear from the plain language of
II. STANDARD OF REVIEW
We review questions of statutory interpretation de novo. United States v. Horvath, 492 F.3d 1075, 1077 (9th Cir. 2007). “Because this case involves an administrative agency’s
Under the Chevron framework we must “first determine[ ] if Congress has directly spoken to the precise question at issue, in such a way that the intent of Congress is clear.” Id. (citation and internal quotation marks omitted). “If the intent of Congress is clear, that is the end of the matter; for the court, as well as the agency, must give effect to the unambiguously expressed intent of Congress.” Chevron, 467 U.S. at 842-43 (footnote reference omitted).
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
Smith relies on
[1] However, the plain language of both
[2] 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.”
[3] Contrary to Smith’s argument that
As noted, a majority of the other circuit courts that have considered this issue have concluded that the BOP’s interpretation of
[5] Stripped of the attempted link to
As aptly stated in Wedelstedt, 477 F.3d at 1116, “[t]he relationships between the two statutes and between
”
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 congressio-
nal intent regarding the process by which the BOP should make placement and transfer determinations. 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, 455 F.3d at 75 (“[T]he combined import of the statutes was to give the BOP discretion to transfer an inmate to a CCC for a period longer than six months or ten percent of his sentence, but to oblige the BOP, where practicable, to transfer inmates to a CCC for a reasonable part of the last ten percent, not to exceed six months of his sentence.“) (citations omitted).
The Second Circuit is in accord. See Levine, 455 F.3d at 82 (noting that
We are persuaded that the BOP regulations conflict with the provisions of
[6] In Muniz, the First Circuit concluded that the five factors listed in
Because the BOP regulations categorically exclude CCC placement of inmates with more than ten percent of their sen-
[7] The Muniz opinion “emphasize[d] 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.” 517 F.3d at 39 n.17. However, that is precisely what the categorical BOP regulations accomplished - they left “no room for the operation of the individualized assessment” expressly mandated in
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, 531 U.S. 230 (2001), the First Circuit held that “[t]he question whether a CCC is an appropriate facility for any prisoner during the first ninety percent of a term is a subset” of the broader question of “what specific facility is the right one to house each prisoner.” Muniz, 517 F.3d at 39. The First Circuit reasoned that deciding that “subset” “on a categorical basis is not the same as deciding the final issue of placement on a categorical basis.” Id. However, this linguistic hairsplitting does
In Lopez, the Supreme Court upheld a BOP regulation that categorically excluded inmates convicted of offenses involving firearms from discretionary early release eligibility under
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,
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 . . .
Like the majority of our sister circuits that have considered this argument, we are not persuaded that Lopez supports the BOP’s categorical exercise of discretion when administering
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
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, 477 F.3d at 1168 (citing Fults, 442 F.3d at 1092); see also Woodall, 432 F.3d at 248.
IV. CONCLUSION
The BOP’s regulations conflict with the plain language of
AFFIRMED.
RYMER, Circuit Judge, dissenting:
While I understand joining the parade of courts to decide this issue, I would reverse for the reasons stated in Muniz v. Sabol, 517 F.3d 29, 31 (1st Cir. 2008), and in Judge Raggi’s well-reasoned dissent in Levine v. Apker, 455 F.3d 71, 87 (2d Cir. 2006).
Notes
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—
- the resources of the facility contemplated;
- the nature and circumstances of the offense;
- the history and characteristics of the prisoner;
- any statement by the court that imposed the sentence—
- concerning the purposes for which the sentence to imprisonment was determined to be warranted; or
- recommending a type of penal or correctional facility as appropriate; and
- 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 subpart?
(a) This subpart 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.
In support of his position that
More recently, we ruled that placement in a Pre-Release Center did not constitute imprisonment under
