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SUPREME COURT OF THE UNITED STATES
_________________
No. 12–1281
_________________
NATIONAL LABOR RELATIONS BOARD, PETITIONER v.
NOEL CANNING, et al.
on writ of certiorari to the united states
court of appeals for the district of columbia circuit
[June 26, 2014]
Justice Breyer
delivered the opinion of the Court.
Ordinarily the
President must obtain “the Advice and Consent of the Senate” before
appointing an “Office[r] of the United States.” U. S. Const.,
Art. II, §2, cl. 2. But the Recess Appointments Clause
creates an exception. It gives the President alone the power “to
fill up all Vacancies that may happen during the Recess of the
Senate, by granting Commissions which shall expire at the End of
their next Session.” Art. II, §2, cl. 3. We here consider
three questions about the application of this Clause.
The first concerns the
scope of the words “recess of the Senate.” Does that phrase refer
only to an inter-session recess (i.e., a break between formal
sessions of Congress), or does it also include an intra-session
recess, such as a summer recess in the midst of a session? We
conclude that the Clause applies to both kinds of recess.
The second question
concerns the scope of the words “vacancies that may happen.” Does
that phrase refer only to vacancies that first come into existence
during a recess, or does it also include vacancies that arise prior
to a recess but continue to exist during the recess? We conclude
that the Clause applies to both kinds of vacancy.
The third question
concerns calculation of the length of a “recess.” The President
made the appointments here at issue on January 4, 2012. At that
time the Senate was in recess pursuant to a December 17, 2011,
resolution providing for a series of brief recesses punctuated by
“pro forma session[s],” with “no business . . .
transacted,” every Tuesday and Friday through January 20, 2012. S.
J., 112th Cong., 1st Sess., 923 (2011) (hereinafter 2011 S. J.). In
calculating the length of a recess are we to ignore the pro forma
sessions, thereby treating the series of brief recesses as a
single, month-long recess? We conclude that we cannot ignore these
pro forma sessions.
Our answer to the third
question means that, when the appointments before us took place,
the Senate was in the midst of a 3-day recess. Three days is too
short a time to bring a recess within the scope of the Clause. Thus
we conclude that the President lacked the power to make the recess
appointments here at issue.
I
The case before us
arises out of a labor dispute. The National Labor Relations Board
(NLRB) found that a Pepsi-Cola distributor, Noel Canning, had
unlawfully refused to reduce to writing and execute a
collective-bargaining agreement with a labor union. The Board
ordered the distributor to execute the agreement and to make
employees whole for any losses. Noel Canning, 358
N. L. R. B. No. 4 (2012).
The Pepsi-Cola
distributor subsequently asked the Court of Appeals for the
District of Columbia Circuit to set the Board’s order aside. It
claimed that three of the five Board members had been invalidly
appointed, leaving the Board without the three lawfully appointed
members necessary for it to act. See 29 U. S. C. §160(f)
(providing for judicial review); §153(a) (providing for a 5-member
Board); §153(b) (providing for a 3-member quorum); New Process
Steel, L. P. v. NLRB, 560 U. S. 674 –688 (2010) (in the
absence of a lawfully appointed quorum, the Board cannot exercise
its powers).
The three members in
question were Sharon Block, Richard Griffin, and Terence Flynn. In
2011 the President had nominated each of them to the Board. As of
January 2012, Flynn’s nomination had been pending in the Senate
awaiting confirmation for approximately a year. The nominations of
each of the other two had been pending for a few weeks. On January
4, 2012, the President, invoking the Recess Appointments Clause,
appointed all three to the Board.
The distributor argued
that the Recess Appointments Clause did not authorize those
appointments. It pointed out that on December 17, 2011, the Senate,
by unanimous consent, had adopted a resolution providing that it
would take a series of brief recesses beginning the following day.
See 2011 S. J. 923. Pursuant to that resolution, the Senate held
pro forma sessions every Tuesday and Friday until it returned
for ordinary business on January 23, 2012. Ibid.; 158 Cong. Rec.
S1–S11 (Jan. 3–20, 2012). The President’s January 4 appointments
were made between the January 3 and January 6 pro forma
sessions. In the distributor’s view, each pro forma session
terminated the immediately preceding recess. Accordingly, the
appointments were made during a 3-day adjournment, which is not
long enough to trigger the Recess Appointments Clause.
The Court of Appeals
agreed that the appointments fell outside the scope of the Clause.
But the court set forth different reasons. It held that the
Clause’s words “the recess of the Senate” do not include recesses
that occur within a formal session of Congress, i.e., intra-session
recesses. Rather those words apply only to recesses between those
formal sessions, i.e., inter-session recesses. Since the second
session of the 112th Congress began on January 3, 2012, the day
before the President’s appointments, those appointments occurred
during an intra-session recess, and the appointments consequently
fell outside the scope of the Clause. 705 F. 3d 490, 499–507
(CADC 2013).
The Court of Appeals
added that, in any event, the phrase “vacancies that may happen
during the recess” applies only to vacancies that come into
existence during a recess. Id., at 507–512. The vacancies that
Members Block, Griffin, and Flynn were appointed to fill had arisen
before the beginning of the recess during which they were
appointed. For this reason too the President’s appointments were
invalid. And, because the Board lacked a quorum of validly
appointed members when it issued its order, the order was invalid.
29 U. S. C. §153(b); New Process Steel, supra.
We granted the
Solicitor General’s petition for certio-rari. We asked the parties
to address not only the Court of Appeals’ interpretation of the
Clause but also the distributor’s initial argument, namely,
“[w]hether the President’s recess-appointment power may be
exercised when the Senate is convening every three days in
pro forma sessions.” 570 U. S. ___ (2013).
We shall answer all
three questions presented. We recognize that the President has
nominated others to fill the positions once occupied by Members
Block, Griffin, and Flynn, and that the Senate has confirmed these
successors. But, as the parties recognize, the fact that the Board
now unquestionably has a quorum does not moot the controversy about
the validity of the previously entered Board order. And there are
pending before us petitions from decisions in other cases involving
challenges to the appointment of Board Member Craig Becker. The
President appointed Member Becker during an intra-session recess
that was not punctuated by pro forma ses-sions, and the
vacancy Becker filled had come into existence prior to the recess.
See Congressional Research Service, H. Hogue, M. Carey, M. Greene,
& M. Bearden, The Noel Canning Decision and Recess Appointments
Made from 1981–2013, p. 28 (Feb. 4, 2013) (hereinaf-ter The Noel
Canning Decision); NLRB, Members ofthe NLRB since 1935, online at
http://www.nlrb.gov/who-we-are/board/members-nlrb-1935 (all
Internet materials as visited June 24, 2014, and available in Clerk
of Court’s case file). Other cases involving similar challenges are
also pending in the Courts of Appeals. E.g., NLRB v. New Vista
Nursing & Rehabilitation, No. 11–3440 etc. (CA3). Thus, we
believe it is important to answer all three questions that this
case presents.
II
Before turning to the
specific questions presented, we shall mention two background
considerations that we find relevant to all three. First, the
Recess Appointments Clause sets forth a subsidiary, not a primary,
method for appointing officers of the United States. The
immediately preceding Clause—Article II, Section 2, Clause
2—provides the primary method of appointment. It says that the
President “shall nominate, and by and with the Advice and Consent
of the Senate, shall appoint Ambassadors, other public Ministers
and Consuls, Judges of the supreme Court, and all other Officers of
the United States” (emphasis added).
The Federalist Papers
make clear that the Founders intended this method of appointment,
requiring Senate approval, to be the norm (at least for principal
officers). Alexander Hamilton wrote that the Constitution vests the
power of nomination in the President alone because “one man of
discernment is better fitted to analise and estimate the peculiar
qualities adapted to particular offices, than a body of men of
equal, or perhaps even of superior dis-cernment.” The Federalist
No. 76, p. 510 (J. Cooke ed. 1961). At the same time, the need to
secure Senate approval provides “an excellent check upon a spirit
of favoritism in the President, and would tend greatly to
preventing the appointment of unfit characters from State
prejudice, from family connection, from personal attachment, or
from a view to popularity.” Id., at 513. Hamilton further explained
that the
“ordinary power of appointment is confided
to the President and Senate jointly, and can therefore only be
exercised during the session of the Senate; but as it would have
been improper to oblige this body to be continually in session for
the appointment of officers; and as vacancies might happen in their
recess, which it might be necessary for the public service to fill
without delay, the succeeding clause is evidently intended to
authorise the President singly to make temporary appointments.”
Id., No. 67, at 455.
Thus the Recess
Appointments Clause reflects the tension between, on the one hand,
the President’s continuous need for “the assistance of
subordinates,” Myers v. United States, 272 U. S. 52, 117
(1926) , and, on the other, the Senate’s practice, particularly
during the Republic’s early years, of meeting for a single brief
session each year, see Art. I, §4, cl. 2; Amdt. 20, §2
(requiring the Senate to “assemble” only “once in every year”); 3
J. Story, Commentaries on the Constitution of the United States
§1551, p. 410 (1833) (it would be “burthensome to the senate, and
expensive to the public” to require the Senate to be “perpetually
in session”). We seek to interpret the Clause as granting the
President the power to make appointments during a recess but not
offering the President the author-ity routinely to avoid the need
for Senate confirmation.
Second, in interpreting
the Clause, we put significant weight upon historical practice. For
one thing, the inter-pretive questions before us concern the
allocation of power between two elected branches of Government.
Long ago Chief Justice Marshall wrote that
“a doubtful question, one on which human
reason may pause, and the human judgment be suspended, in the
decision of which the great principles of liberty are not
concerned, but the respective powers of those who are equally the
representatives of the people, are to be adjusted; if not put at
rest by the practice of the government, ought to receive a
considerable impression from that practice.” McCulloch v. Maryland,
4 Wheat. 316, 401 (1819).
And we later confirmed that “[l]ong settled and
established practice is a consideration of great weight in a proper
interpretation of constitutional provisions” regulating the
relationship between Congress and the President. The Pocket Veto
Case, 279 U. S. 655, 689 (1929) ; see also id., at 690 (“[A]
practice of at least twenty years duration ‘on the part of the
executive department, acquiesced in by the legislative department,
. . . is entitled to great regard in determining the true
construction of a constitutional provision the phraseology of which
is in any respect of doubtful meaning’ ” (quoting State v.
South Norwalk, 77 Conn. 257, 264, 58 A. 759, 761 (1904))).
We recognize, of
course, that the separation of powers can serve to safeguard
individual liberty, Clinton v. City of New York, 524 U. S. 417
–450 (1998) (Kennedy, J., concurring), and that it is the “duty of
the judicial department”—in a separation-of-powers case as in any
other—“to say what the law is,” Marbury v. Madison, 1 Cranch 137,
177 (1803). But it is equally true that the longstanding “practice
of the government,” McCulloch, supra, at 401, can inform our
determination of “what the law is,” Marbury, supra, at 177.
That principle is
neither new nor controversial. As James Madison wrote, it “was
foreseen at the birth of the Constitution, that difficulties and
differences of opinion might occasionally arise in expounding terms
& phrases necessarily used in such a charter . . .
and that it might require a regular course of practice to liquidate
& settle the meaning of some of them.” Letter to Spencer Roane
(Sept. 2, 1819), in 8 Writings of James Madison 450 (G. Hunt ed.
1908). And our cases have continually confirmed Madison’s view.
E.g., Mistretta v. United States, 488 U. S. 361, 401 (1989) ;
Dames & Moore v. Regan, 453 U. S. 654, 686 (1981) ;
Youngstown Sheet & Tube Co. v. Sawyer, 343 U. S. 579 –611
(1952) (Frankfurter, J., concurring); The Pocket Veto Case, supra,
at 689–690; Ex parte Grossman, 267 U. S. 87 –119 (1925);
United States v. Midwest Oil Co., 236 U. S. 459 –474 (1915);
McPherson v. Blacker, 146 U. S. 1, 27 (1892) ; McCulloch,
supra; Stuart v. Laird, 1 Cranch 299 (1803).
These precedents show
that this Court has treated practice as an important interpretive
factor even when the nature or longevity of that practice is
subject to dispute, and even when that practice began after the
founding era. See Mistretta, supra, 400–401 (“While these
[practices] spawned spirited discussion and frequent criticism,
. . . ‘traditional ways of conducting government
. . . give meaning’ to the Constitution” (quoting
Youngstown, supra, at 610) (Frankfurter, J., concurring)); Regan,
supra, at 684 (“[E]ven if the pre-1952 [practice] should be
disregarded, congressional acquiescence in [a practice] since that
time supports the President’s power to act here”); The Pocket Veto
Case, supra, at 689–690 (postfounding practice is entitled to
“great weight”); Grossman, supra, at 118–119 (postfounding practice
“strongly sustains” a “construction” of the Constitution).
There is a great deal
of history to consider here. Presidents have made recess
appointments since the beginning of the Republic. Their frequency
suggests that the Senate and President have recognized that recess
appointments can be both necessary and appropriate in certain
circumstances. We have not previously interpreted the Clause, and,
when doing so for the first time in more than 200 years, we must
hesitate to upset the compromises and working arrangements that the
elected branches of Government themselves have reached.
III
The first question
concerns the scope of the phrase “the recess of the Senate.”
Art. II, §2, cl. 3 (emphasis added). The Constitution
provides for congressional elections every two years. And the
2-year life of each elected Congress typically consists of two
formal 1-year sessions, each separated from the next by an
“inter-session recess.” Congressional Research Service, H. Hogue,
Recess Appointments: Frequently Asked Questions 2 (2013). The
Senate or the House of Representatives announces an inter-session
recess by approving a resolution stating that it will “adjourn
sine die,” i.e., without specifying a date to return (in which
case Congress will reconvene when the next formal session is
scheduled to begin).
The Senate and the
House also take breaks in the midst of a session. The Senate or the
House announces any such “intra-session recess” by adopting a
resolution stating that it will “adjourn” to a fixed date, a few
days or weeks or even months later. All agree that the phrase “the
recess of the Senate” covers inter-session recesses. The question
is whether it includes intra-session recesses as well.
In our view, the phrase
“the recess” includes an intra-session recess of substantial
length. Its words taken literally can refer to both types of
recess. Founding-era dictionaries define the word “recess,” much as
we do today, simply as “a period of cessation from usual work.” 13
The Oxford English Dictionary 322–323 (2d ed. 1989) (hereinafter
OED) (citing 18th- and 19th-century sources for that definition of
“recess”); 2 N. Webster, An American Dictionary of the English
Language (1828) (“[r]emission or suspension of business or
procedure”); 2 S. Johnson, A Dictionary of the English Language
1602–1603 (4th ed. 1773) (hereinafter Johnson) (same). The Founders
themselves used the word to refer to intra-session, as well as to
inter-session, breaks. See, e.g., 3 Records of the Federal
Convention of 1787, p. 76 (M. Farrand rev. 1966) (hereinafter
Farrand) (letter from George Washington to John Jay using “the
recess” to refer to an intra-session break of the Constitutional
Convention); id., at 191 (speech of Luther Martin with a similar
usage); 1 T. Jefferson, A Manualof Parliamentary Practice §LI, p.
165 (2d ed. 1812) (describing a “recess by adjournment” which did
not end a session).
We recognize that the
word “the” in “the recess” might suggest that the phrase refers to
the single break separating formal sessions of Congress. That is
because the word “the” frequently (but not always) indicates “a
particular thing.” 2 Johnson 2003. But the word can also refer “to
a term used generically or universally.” 17 OED 879. The
Constitution, for example, directs the Senate to choose a President
pro tempore “in the Absence of the Vice-President.” Art. I,
§3, cl. 5 (emphasis added). And the Federalist Papers refer to the
chief magistrate of an ancient Achaean league who “administered the
government in the recess of the Senate.” The Federalist No. 18, at
113 (J. Madison) (emphasis added). Reading “the” generically in
this way, there is no linguistic problem applying the Clause’s
phrase to both kinds of recess. And, in fact, the phrase “the
recess” was used to refer to intra-session recesses at the time of
the founding. See, e.g., 3 Farrand 76 (letter from Washington to
Jay); New Jersey Legislative-Council Journal, 5th Sess., 1st
Sitting 70, 2d Sitting 9 (1781) (twice referring to a 4-month,
intra-session break as “the Recess”); see also Brief for Petitioner
14–16 (listing examples).
The constitutional text
is thus ambiguous. And we believe the Clause’s purpose demands the
broader interpretation. The Clause gives the President authority to
make appointments during “the recess of the Senate” so that the
President can ensure the continued functioning of the Federal
Government when the Senate is away. The Senate is equally away
during both an inter-session and an intra-session recess, and its
capacity to participate in the appointments process has nothing to
do with the words it uses to signal its departure.
History also offers
strong support for the broad interpretation. We concede that
pre-Civil War history is not helpful. But it shows only that
Congress generally took long breaks between sessions, while taking
no significant intra-session breaks at all (five times it took a
break of a week or so at Christmas). See Appendix A, infra.
Obviously, if there are no significant intra-session recesses,
there will be no intra-session recess appointments. In 1867 and
1868, Congress for the first time took substantial, nonholiday
intra-session breaks, and President Andrew Johnson made dozens of
recess appointments. The Federal Court of Claims upheld one of
those specific appointments, writing “[w]e have no doubt that a
vacancy occurring while the Senate was thus temporarily adjourned”
during the “first session of the Fortieth Congress” was “legally
filled by appointment of the President alone.” Gould v. United
States, 19 Ct. Cl. 593, 595–596 (1884) (emphasis added). Attorney
General Evarts also issued three opinions concerning the
constitutionality of President Johnson’s appointments, and it
apparently did not occur to him that the distinction between
intra-session and inter-session recesses was significant. See 12
Op. Atty. Gen. 449 (1868); 12 Op. Atty. Gen. 455 (1868); 12 Op.
Atty. Gen. 469 (1868). Similarly, though the 40th Congress
impeached President Johnson on charges relating to his appointment
power, he was not accused of violating the Constitution by mak-ing
intra-session recess appointments. Hartnett, Recess Appointments of
Article III Judges: Three Constitutional Questions, 26 Cardozo
L. Rev. 377, 409 (2005).
In all, between the
founding and the Great Depression, Congress took substantial
intra-session breaks (other than holiday breaks) in four years:
1867, 1868, 1921, and 1929. Appendix A, infra. And in each of those
years the President made intra-session recess appointments. See
App. to Brief for Petitioner 1a–11a.
Since 1929, and
particularly since the end of World War II, Congress has shortened
its inter-session breaks as it has taken longer and more frequent
intra-session breaks; Presidents have correspondingly made more
intra-session recess appointments. Indeed, if we include military
appointments, Presidents have made thousands of intra-session
recess appointments. Id., at 11a–64a. President Franklin Roosevelt,
for example, commissioned Dwight Eisenhower as a permanent Major
General during an intra-session recess; President Truman made Dean
Acheson Under Secretary of State; and President George H. W. Bush
reappointed Alan Greenspan as Chairman of the Federal Reserve
Board. Id., at 11a, 12a, 40a. Justice Scalia does not dispute any
of these facts.
Not surprisingly, the
publicly available opinions of Presidential legal advisers that we
have found are nearly unanimous in determining that the Clause
authorizes these appointments. In 1921, for example, Attorney
General Daugherty advised President Harding that he could make
intra-session recess appointments. He reasoned:
“If the President’s power of appointment
is to be defeated because the Senate takes an adjournment to a
specified date, the painful and inevitable result will be
measurably to prevent the exercise of governmental functions. I can
not bring myself to believe that the framers of the Constitution
ever intended such a catastrophe to happen.” 33 Op. Atty. Gen. 20,
23.
We have found memoranda offering similar advice
to President Eisenhower and to every President from Carter to the
present. See 36 Opinion of Office of Legal Counsel (Op. OLC) ___,
___ (2012), online at
www.justice.gov/olc/opiniondocslpro-forma-sessions-opinion.pdf; 25
Op. OLC 182 (2001); 20 Op. OLC 124, 161 (1996); 16 Op. OLC 15
(1992); 13 Op. OLC 271 (1989); 6 Op. OLC 585, 586 (1982); 3 Op. OLC
314, 316 (1979); 41 Op. Atty. Gen. 463, 466 (1960).
We must note one
contrary opinion authored by President Theodore Roosevelt’s
Attorney General Philander Knox. Knox advised the President that
the Clause did not cover a 19–day intra-session Christmas recess.
23 Op. Atty. Gen. 599 (1901). But in doing so he relied heavily
upon the use of the word “the,” a linguistic point that we do not
find determinative. See supra, at 10. And Knox all but confessed
that his interpretation ran contrary to the basic purpose of the
Clause. For it would permit the Senate to adjourn for “several
months,” to a fixed date, and thereby “seriously curtail the
President’s power of making recess appointments.” 23 Op. Atty.
Gen., at 603. Moreover, only three days before Knox gave his
opinion, the Solicitor of the Treasury came to the opposite
conclusion. Reply Brief 7, n. 5. We therefore do not think
Knox’s isolated opinion can disturb the consensus advice within the
Executive Branch taking the opposite position.
What about the Senate?
Since Presidents began making intra-session recess appointments,
individual Senators have taken differing views about the proper
definition of “the recess.” See, e.g., 130 Cong. Rec. 23234 (1984)
(resolution introduced by Senator Byrd urging limits on the length
of applicable intra-session recesses); Brief for Sen. Mitch
McConnell et al. as Amici Curiae 26 (an intra-session
adjournment does not count as “the recess”); Brief for Sen. Edward
M. Kennedy as Amicus Curiae in Franklin v. United States, O. T.
2004, No. 04–5858, p. 5 (same). But neither the Senate considered
as a body nor its committees, despite opportunities to express
opposition to the practice of intra-session recess appointments,
has done so. Rather, to the extent that the Senate or a Senate
committee has expressed a view, that view has favored a functional
definition of “recess,” and a functional definition encompasses
intra-session recesses.
Most notably, in 1905
the Senate Committee on the Judiciary objected strongly to
President Theodore Roosevelt’s use of the Clause to make more than
160 recess appointments during a “fictitious” inter-session recess.
S. Rep. No. 4389, 58th Cong., 3d Sess., p. 2 (hereinafter 1905
Senate Report). At noon on December 7, 1903, the Senate President
pro tempore had “declare[d]” a formal, “extraordinary session” of
the Senate “adjourned without day,” and the next formal Senate
session began immediately afterwards. 37 Cong. Rec. 544 (1903).
President Roosevelt made over 160 recess appointments during the
instantaneous inter-session interval. The Judiciary Committee, when
stating its strong objection, defined “recess” in functional terms
as
“the period of time when the Senate is not
sitting in regular or extraordinary session as a branch of the
Congress . . . ; when its members owe no duty of
attendance; when its Chamber is empty; when, because of its
absence, it can not receive communications from the President or
participate as a body in making appointments.” 1905 Senate Report,
at 2 (emphasisdeleted).
That functional definition encompasses
intra-session, as well as inter-session, recesses. Justice Scalia
is right that the 1905 Report did not specifically address the
dis-tinction between inter-session and intra-session recesses. But
the animating principle of the Report—that “recess” should be
practically construed to mean a time when the Senate is unavailable
to participate in the appointments process—is inconsistent with the
formalistic approach that Justice Scalia endorses.
Similarly, in 1940 the
Senate helped to enact a law regulating the payment of recess
appointees, and the Comptroller General of the United States has
interpreted that law functionally. An earlier 1863 statute had
denied pay to individuals appointed to fill up vacancies first
arising prior to the beginning of a recess. The Senate Judiciary
Committee then believed that those vacancies fell outside the scope
of the Clause. See infra, at 30. In 1940, however, the Senate
amended the law to permit many of those recess appointees to be
paid. Act of July 11, 54Stat. 751. Interpreting the amendments in
1948, the Comptroller General—who, unlike the Attorney General, is
an “officer of the Legislative Branch,” Bowsher v. Synar, 478
U. S. 714, 731 (1986) —wrote:
“I think it is clear that [the Pay Act
amendments’] primary purpose was to relieve ‘recess appointees’ of
the burden of serving without compensation during periods when the
Senate is not actually sitting and is not available to give its
advice and consent in respect to the appointment, irrespective of
whether the recess of the Senate is attributable to a final
adjournment sine die or to an adjournment to a specified
date.” 28 Comp. Gen. 30, 37.
We recognize that the
Senate cannot easily register opposition as a body to every
governmental action that many, perhaps most, Senators oppose. But
the Senate has not been silent or passive regarding the meaning of
the Clause: A Senate Committee did register opposition to President
Theodore Roosevelt’s use of the Clause, and the Senate as a whole
has legislated in an effort to discourage certain kinds of recess
appointments. And yet we are not aware of any formal action it has
taken to call into question the broad and functional definition of
“recess” firstset out in the 1905 Senate Report and followed by the
Executive Branch since at least 1921. Nor has Justice Scalia
identified any. All the while, the President has made countless
recess appointments during intra-session recesses.
The upshot is that
restricting the Clause to inter-session recesses would frustrate
its purpose. It would make the President’s recess-appointment power
dependent on a formalistic distinction of Senate procedure.
Moreover, the President has consistently and frequently interpreted
the word “recess” to apply to intra-session recesses, and has acted
on that interpretation. The Senate as a body has done nothing to
deny the validity of this practice for at least three-quarters of a
century. And three-quarters of a century of settled practice is
long enough to entitle a practice to “great weight in a proper
interpretation” of the constitutional provision. The Pocket Veto
Case, 279 U. S., at 689.
We are aware of, but we
are not persuaded by, three important arguments to the contrary.
First, some argue that the Founders would likely have intended the
Clause to apply only to inter-session recesses, for they hardly
knew any other. See, e.g., Brief for Originalist Scholars as Amici
Curiae 27–29. Indeed, from the founding until the Civil War
inter-session recesses were the only kind of significant recesses
that Congress took. The problem with this argument, however, is
that it does not fully describe the relevant founding intent. The
question is not: Did the Founders at the time think about
intra-session recesses? Perhaps they did not. The question is: Did
the Founders intend to restrict the scope of the Clause to the form
of congressional recess then prevalent, or did they intend a
broader scope permitting the Clause to apply, where appropriate, to
somewhat changed circumstances? The Founders knew they were writing
a document designed to apply to ever-changing circumstances over
centuries. After all, a Constitution is “intended to endure for
ages to come,” and must adapt itself to a future that can only be
“seen dimly,” if at all. McCulloch, 4 Wheat., at 415. We therefore
think the Framers likely did intend the Clause to apply to a new
circumstance that so clearly falls within its essential purposes,
where doing so is consistent with the Clause’s language.
Second, some argue that
the intra-session interpretation permits the President to make
“illogic[ally]” long recess appointments. Brief for Respondent Noel
Canning 13; post, at 10 (Scalia, J., concurring in judgment). A
recess appointment made between Congress’ annual sessions would
permit the appointee to serve for about a year, i.e., until the
“end” of the “next” Senate “session.” Art. II, §2, cl. 3.
But an intra-session appointment made at the beginning or in the
middle of a formal session could permit the appointee to serve for
1½ or almost 2 years (until the end of the following formal
session).
We agree that the
intra-session interpretation permits somewhat longer recess
appointments, but we do not agree that this consequence is
“illogical.” A President who makes a recess appointment will often
also seek to make a regular appointment, nominating the appointee
and securing ordinary Senate confirmation. And the Clause ensures
that the President and Senate always have at least a full session
to go through the nomination and confirmation process. That process
may take several months. See O’Connell, Vacant Offices: Delays in
Staffing Top Agency Positions, 82 S. Cal. L. Rev. 913,
967 (2009) (from 1987 to 2005 the nomination and confirmation
process took an average of 236 days for noncabinet agency heads). A
recess appointment that lasts somewhat longer than a year will
ensure the President the continued assistance of subordinates that
the Clause permits him to obtain while he and the Senate select a
regular appointee. An appointment should last until the Senate has
“an opportunity to act on the subject,” Story, §1551, at 410, and
the Clause embodies a determination that a full session is needed
to select and vet a replacement.
Third, the Court of
Appeals believed that application of the Clause to intra-session
recesses would introduce “vagueness” into a Clause that was
otherwise clear. 705 F. 3d, at 504. One can find problems of
uncertainty, however, either way. In 1867, for example, President
Andrew Johnson called a special session of Congress, which took
place during a lengthy intra-session recess. Consider the period of
time that fell just after the conclusion of that special session.
Did that period remain an intra-session recess, or did it become an
inter-session recess? Historians disagree about the answer. Compare
Hartnett, 26 Cardozo L. Rev., at 408–409, with Brief for
Constitutional Law Scholars as Amici Curiae 23–24.
Or suppose that
Congress adjourns sine die, but it does so conditionally, so
that the leadership can call the members back into session when
“the public interest shall warrant it.” E.g., 155 Cong. Rec. 33429
(2009); 152 Cong. Rec. 23731–23732 (2006); 150 Cong. Rec.
25925–25926 (2004). If the Senate Majority Leader were to reconvene
the Senate, how would we characterize the preceding recess? Is it
still inter-session? On the narrower interpretation the label
matters; on the broader it does not.
The greater
interpretive problem is determining how long a recess must be in
order to fall within the Clause. Is a break of a week, or a day, or
an hour too short to count as a “recess”? The Clause itself does
not say. And Justice Scalia claims that this silence itself shows
that the Framers intended the Clause to apply only to an
inter-session recess. Post, at 12–13.
We disagree. For one
thing, the most likely reason the Framers did not place a textual
floor underneath the word “recess” is that they did not foresee the
need for one. They might have expected that the Senate would meet
for a single session lasting at most half a year. The Federalist
No. 84, at 596 (A. Hamilton). And they might not have anticipated
that intra-session recesses would become lengthier and more
significant than inter-session ones. The Framers’ lack of
clairvoyance on that point is not dispositive. Unlike Justice
Scalia, we think it most consistent with our constitutional
structure to presume that the Framers would have allowed
intra-session recess appointments where there was a long history of
such practice.
Moreover, the lack of a
textual floor raises a problem that plagues both
interpretations—Justice Scalia’s and ours. Today a brief
inter-session recess is just as possible as a brief intra-session
recess. And though Justice Scalia says that the “notion that the
Constitution empowers the President to make unilateral appointments
every time the Senate takes a half-hour lunch break is so absurd as
to be self-refuting,” he must immediately concede (in a footnote)
that the President “can make recess appointments during any break
between sessions, no matter how short.” Post, at 11, 15, n. 4
(emphasis added).
Even the Solicitor
General, arguing for a broader interpretation, acknowledges that
there is a lower limit applicable to both kinds of recess. He
argues that the lower limit should be three days by analogy to the
Adjournments Clause of the Constitution. Tr. of Oral Arg. 11. That
Clause says: “Neither House, during the Session of Congress, shall,
without the Consent of the other, adjourn for more than three
days.” Art. I, §5, cl. 4.
We agree with the
Solicitor General that a 3-day recess would be too short. (Under
Senate practice, “Sunday is generally not considered a day,” and so
is not counted for purposes of the Adjournments Clause. S. Doc. No.
101–28, F. Riddick & A. Frumin, Riddick’s Senate Procedure:
Precedents and Practices 1265 (hereinafter Riddick’s).) The
Adjournments Clause reflects the fact that a 3-day break is not a
significant interruption of legislative business. As the Solicitor
General says, it is constitutionally de minimis. Brief for
Petitioner 18. A Senate recess that is so short that it does not
require the consent of the House is not long enough to trigger the
President’s recess-appointment power.
That is not to say that
the President may make recess appointments during any recess that
is “more than three days.” Art. I, §5, cl. 4. The Recess
Appointments Clause seeks to permit the Executive Branch to
function smoothly when Congress is unavailable. And though Congress
has taken short breaks for almost 200 years, and there have been
many thousands of recess appointments in that time, we have not
found a single example of a recess ap-pointment made during an
intra-session recess that was shorter than 10 days. Nor has the
Solicitor General. Reply Brief 23. Indeed, the Office of Legal
Counsel once informally advised against making a recess appointment
during a 6-day intra-session recess. 3 Op. OLC, at 315–316. The
lack of examples suggests that the recess-appointment power is not
needed in that context. (The length of a recess is “ordinarily
calculated by counting the calendar days running from the day after
the recess begins and including the day the recess ends.” 36 Op.
OLC, at ___, n. 1 (citation omitted).)
There are a few
historical examples of recess appointments made during
inter-session recesses shorter than 10 days. We have already
discussed President Theodore Roosevelt’s appointments during the
instantaneous, “fictitious” recess. President Truman also made a
recess appointment to the Civil Aeronautics Board during a 3-day
inter-session recess. Hogue, Recess Appointments: Fre-quently Asked
Questions, at 5–6. President Taft made a few appointments during a
9-day recess following his inauguration, and President Lyndon
Johnson made sev-eral appointments during an 8-day recess several
weeks after assuming office. Hogue, The Law: Recess Appointments to
Article III Courts, 34 Presidential Studies Q. 656, 671 (2004); 106
S. Exec. J. 2 (1964); 40 S. Exec. J. 12 (1909). There may be others
of which we are unaware. But when considered against 200 years of
settled practice, we regard these few scattered examples as
anomalies. We therefore conclude, in light of historical practice,
that a recess of more than 3 days but less than 10 days is
presumptively too short to fall within the Clause. We add the word
“presumptively” to leave open the possibility that some very
unusual circumstance—a national catastrophe, for instance, that
renders the Senate unavailable but calls for an urgent
response—could demand the exercise of the recess-appointment power
during a shorter break. (It should go without saying—except that
Justice Scalia compels us to say it—that political opposition in
the Senate would not qualify as an unusual circumstance.)
In sum, we conclude
that the phrase “the recess” applies to both intra-session and
inter-session recesses. If a Senate recess is so short that it does
not require the consent of the House, it is too short to trigger
the Recess Appointments Clause. See Art. I, §5, cl. 4.
And a recess lasting less than 10 days is presumptively too short
as well.
IV
The second question
concerns the scope of the phrase “vacancies that may happen during
the recess of the Senate.” Art. II, §2, cl. 3 (emphasis
added). All agree that the phrase applies to vacancies that
initially occur during a recess. But does it also apply to
vacancies that initially occur before a recess and continue to
exist during the recess? In our view the phrase applies to both
kinds of vacancy.
We believe that the
Clause’s language, read literally, permits, though it does not
naturally favor, our broader interpretation. We concede that the
most natural meaning of “happens” as applied to a “vacancy” (at
least to a modern ear) is that the vacancy “happens” when it
ini-tially occurs. See 1 Johnson 913 (defining “happen” in relevant
part as meaning “[t]o fall out; to chance; to come to pass”). But
that is not the only possible way to use the word.
Thomas Jefferson wrote
that the Clause is “certainly susceptible of [two] constructions.”
Letter to Wilson Cary Nicholas (Jan. 26, 1802), in 36 Papers of
Thomas Jefferson 433 (B. Oberg ed., 2009). It “may mean ‘vacancies
that may happen to be’ or ‘may happen to fall’ ” during a
recess. Ibid. Jefferson used the phrase in the first sense when he
wrote to a job seeker that a particular position was unavailable,
but that he (Jefferson) was “happy that another vacancy happens
wherein I can . . . avail the public of your integrity
& talents,” for “the office of Treasurer of the US. is vacant
by the resignation of mr Meredith.” Letter to Thomas Tudor Tucker
(Oct. 31, 1801), in 35 id., at 530 (B. Oberg ed. 2008) (emphasis
added). See also Laws Passed by the Legislature of Florida, No. 31,
An Act to Organize and Regulate the Militia of the Territory of
Florida §13, H. R. Exec. Doc. No. 72, 27th Cong., 3d Sess., 22
(1842) (“[W]hen any vacancy shall take place in the office of any
lieutenant colonel, it shall be the duty of the colonel of the
regiment in which such vacancy may happen to order an election to
be held at the several precincts in the battalion in which such
vacancy may happen” (emphasis added)).
Similarly, when
Attorney General William Wirt advised President Monroe to follow
the broader interpretation, he wrote that the “expression seems not
perfectly clear. It may mean ‘happen to take place:’ that is, ‘to
originate,’ ” or it “may mean, also, without violence to the
sense, ‘happen to exist.’ ” 1 Op. Atty. Gen. 631, 631–632
(1823). The broader interpretation, he added, is “most accordant
with” the Constitution’s “reason and spirit.” Id., at 632.
We can still understand
this earlier use of “happen” if we think of it used together with
another word that, like “vacancy,” can refer to a continuing state,
say, a financial crisis. A statute that gives the President
authority to act in respect to “any financial crisis that may
happen during his term” can easily be interpreted to include crises
that arise before, and continue during, that term. Perhaps that is
why the Oxford English Dictionary defines “happen” in part as
“chance to be,” rather than “chance to occur.” 6 OED 1096 (emphasis
added); see also 19 OED 383 (defining “vacancy” as the “condition
of an office or post being . . . vacant”).
In any event, the
linguistic question here is not whether the phrase can be, but
whether it must be, read more narrowly. The question is whether the
Clause is ambiguous. The Pocket Veto Case, 279 U. S., at 690.
And the broader reading, we believe, is at least a permissible
reading of a “ ‘doubtful’ ” phrase. Ibid. We consequently
go on to consider the Clause’s purpose and historical practice.
The Clause’s purpose
strongly supports the broader interpretation. That purpose is to
permit the President to obtain the assistance of subordinate
officers when the Senate, due to its recess, cannot confirm them.
Attorney General Wirt clearly described how the narrower
interpretation would undermine this purpose:
“Put the case of a vacancy occurring in an
office, held in a distant part of the country, on the last day of
the Senate’s session. Before the vacancy is made known to the
President, the Senate rises. The office may be an important one;
the vacancy may paralyze a whole line of action in some essential
branch of our internal police; the public interests may imperiously
demand that it shall be immediately filled. But the vacancy
happened to occur during the session of the Senate; and if the
President’s power is to be limited to such vacancies only as happen
to occur during the recess of the Senate, the vacancy in the case
put must continue, however ruinous the consequences may be to the
public.” 1 Op. Atty. Gen., at 632.
Examples are not difficult to imagine: An
ambassadorial post falls vacant too soon before the recess begins
for the President to appoint a replacement; the Senate rejects a
President’s nominee just before a recess, too late to select
another. Wirt explained that the “substantial purpose of the
constitution was to keep these offices filled,” and “if the
President shall not have the power to fill a vacancy thus
circumstanced, . . . the substance of the constitution
will be sacrificed to a dubious construction of its letter.” Ibid.
Thus the broader construction, encompassing vacancies that
initially occur before the beginning of a recess, is the “only
construction of the constitution which is compatible with its
spirit, reason, and purposes; while, at the same time, it offers no
violence to its language.” Id., at 633.
We do not agree with
Justice Scalia’s suggestion that the Framers would have accepted
the catastrophe envisioned by Wirt because Congress can always
provide for acting officers, see 5 U. S. C. §3345, and
the President can always convene a special session of Congress, see
U. S. Const., Art. II, §3. Acting officers may have less
authority than Presidential appointments. 6 Op. OLC 119, 121
(1982). Moreover, to rely on acting officers would lessen the
President’s ability to staff the Executive Branch with people of
his own choosing, and thereby limit the President’s control and
political accountability. Cf. Free Enterprise Fund v. Public
Company Accounting Oversight Bd., 561 U. S. 477 –498 (2010).
Special sessions areburdensome (and would have been especially so
at the time of the founding). The point of the Recess Appointments
Clause was to avoid reliance on these inadequate expedients.
At the same time, we
recognize one important purpose-related consideration that argues
in the opposite direction. A broad interpretation might permit a
President to avoid Senate confirmations as a matter of course. If
the Clause gives the President the power to “fill up all vacancies”
that occur before, and continue to exist during, the Senate’s
recess, a President might not submit any nominations to the Senate.
He might simply wait for a recess and then provide all potential
nominees with recess appointments. He might thereby routinely avoid
the constitutional need to obtain the Senate’s “advice and
consent.”
Wirt thought
considerations of character and politics would prevent Presidents
from abusing the Clause in this way. 1 Op. Atty. Gen., at 634. He
might have added that such temptations should not often arise. It
is often less desirable for a President to make a recess
appointment. A recess appointee only serves a limited term. That,
combined with the lack of Senate approval, may diminish the recess
appointee’s ability, as a practical matter, to get a controversial
job done. And even where the President and Senate are at odds over
politically sensitive appointments, compromise is normally
possible. Indeed, the 1940 Pay Act amendments represent a general
compromise, for they foresee payment of salaries to recess
appointees where vacancies occur before the recess began but not
too long before (namely, within 30 days before). 5
U. S. C. §5503(a)(1); see infra, at 32. Moreover, the
Senate, like the President, has institutional “resources,”
including political resources, “available to protect and assert its
interests.” Goldwater v. Carter, 444 U. S. 996, 1004 (1979)
(Rehnquist, J., concurring in judgment). In an unusual instance,
where a matter is important enough to the Sen-ate, that body can
remain in session, preventing recess appointments by refusing to
take a recess. See Part V, infra. In any event, the Executive
Branch has adhered to the broader interpretation for two centuries,
and Senate confirmation has always remained the norm for officers
that require it.
While we concede that
both interpretations carry with them some risk of undesirable
consequences, we believe the narrower interpretation risks
undermining constitutionally conferred powers more seriously and
more often. It would prevent the President from making any recess
appointment that arose before a recess, no matter who the official,
no matter how dire the need, no matter how uncontroversial the
appointment, and no matter how late in the session the office fell
vacant. Overall, like Attorney General Wirt, we believe the broader
interpretation more consistent with the Constitution’s “reason and
spirit.” 1 Op. Atty. Gen., at 632.
Historical practice
over the past 200 years strongly favors the broader interpretation.
The tradition of applying the Clause to pre-recess vacancies dates
at least to President James Madison. There is no undisputed record
of Presidents George Washington, John Adams, or Thomas Jefferson
making such an appointment, though the Solicitor General believes
he has found records showing that Presidents Washington and
Jefferson did so. We know that Edmund Randolph, Washington’s
Attorney General, favored a narrow reading of the Clause. Randolph
believed that the “Spirit of the Constitution favors the
participation of the Senate in all appointments,” though he did not
address—let alone answer—the powerful purposive and structural
arguments subsequently made by Attorney General Wirt. See Edmund
Randolph’s Opinion on Recess Appointments (July 7, 1792), in 24
Papers of Thomas Jefferson 166 (J. Catanzariti ed. 1990).
President Adams seemed
to endorse the broader view of the Clause in writing, though we are
not aware of any appointments he made in keeping with that view.
See Letter to J. McHenry (Apr. 16, 1799), in 8 Works of John Adams
632–633 (C. Adams ed. 1853). His Attorney General, Charles Lee,
later informed Jefferson that, in the Adams administration,
“whenever an office became vacant so short a time before Congress
rose, as not to give an opportunity of enquiring for a proper
character, they let it lie always till recess.” 36 Papers of Thomas
Jefferson 433. We know that President Jefferson thought that the
broad interpretation was linguistically supportable, though his
actual practice is not clear. But the evidence suggests that James
Madison—as familiar as anyone with the workings of the
Constitutional Convention—appointed Theodore Gaillard to replace a
district judge who had left office before a recess began. Hartnett,
26 Cardozo L. Rev., at 400–401. It also appears that in 1815
Madison signed a bill that created two new offices prior to a
recess which he then filled later during the recess. See Act of
Mar. 3, ch. 95, 3Stat. 235; S. J. 13th Cong., 3d Sess., 689–690
(1815); 3 S. Exec. J. 19 (1828) (for Monday, Jan. 8, 1816). He also
made recess appointments to “territorial” United States attorney
and marshal positions, both of which had been created when the
Senate was in session more than two years before. Act of Feb. 27,
1813, ch. 35, 2Stat. 806; 3 S. Exec. J. 19. Justice Scalia refers
to “written evidence of Madison’s own beliefs,” post, at 36, but in
fact we have no direct evidence of what President Madison believed.
We only know that he declined to make one appointment to a
pre-recess vacancy after his Secretary of War advised him that he
lacked the power. On the other hand, he did apparently make at
least five other appointments to pre-recess vacancies, as Justice
Scalia does not dispute.
The next President,
James Monroe, received and presumably acted upon Attorney General
Wirt’s advice, namely that “all vacancies which, from any casualty,
happen to exist at a time when the Senate cannot be consulted as to
filling them, may be temporarily filled by the President.” 1 Op.
Atty. Gen., at 633. Nearly every subsequent Attorney General to
consider the question throughout the Nation’s history has thought
the same. E.g., 2 Op. Atty. Gen. 525, 528 (1832); 7 Op. Atty. Gen.
186, 223 (1855); 10 Op. Atty. Gen. 356, 356–357 (1862); 12 Op.
Atty. Gen. 32, 33 (1866); 12 Op. Atty. Gen., at 452; 14 Op. Atty.
Gen. 562, 564 (1875); 15 Op. Atty. Gen. 207 (1877); 16 Op. Atty.
Gen. 522, 524 (1880); 17 Op. Atty. Gen. 521 (1883); 18 Op. Atty.
Gen. 29, 29–30 (1884); 19 Op. Atty. Gen. 261, 262 (1889); 26 Op.
Atty. Gen. 234, 234–235 (1907); 30 Op. Atty. Gen. 314, 315 (1914);
41 Op. Atty. Gen. 463, 465 (1960); 3 Op. OLC 314 (1979); 6 Op. OLC
585, 586 (1982); 20 Op. OLC 124, 161 (1996); 36 Op. OLC ___ (2012).
Indeed, as early as 1862, Attorney General Bates advised President
Lincoln that his power to fill pre-recess vacancies was “settled
. . . as far . . . as a constitutional question
can be settled,” 10 Op. Atty. Gen., at 356, and a century later
Acting Attorney General Walsh gave President Eisenhower the same
advice “without any doubt,” 41 Op. Atty. Gen., at 466.
This power is
important. The Congressional Research Service is “unaware of any
official source of information tracking the dates of vacancies in
federal offices.” The Noel Canning Decision 3, n. 6.
Nonetheless, we have enough information to believe that the
Presidents since Madison have made many recess appointments filling
vacancies that initially occurred prior to a recess. As we have
just said, nearly every 19th- and 20th-century Attorney General
expressing a view on the matter has agreed with William Wirt, and
Presidents tend to follow the legal advice of their chief legal
officers. Moreover, the Solicitor General has compiled a list of
102 (mostly uncontested) recess appointments made by Presidents
going back to the founding. App. to Brief for Petitioner 65a–89a.
Given the difficulty of finding accurate information about vacancy
dates, that list is undoubtedly far smaller than the actual number.
No one disputes that every President since James Buchanan has made
recess appointments to pre-existing vacancies.
Common sense also
suggests that many recess appointees filled vacancies that arose
before the recess began. We have compared the list of intra-session
recess appointments in the Solicitor General’s brief with the chart
of congressional recesses. Where a specific date of appointment can
be ascertained, more than half of those intra-session appointments
were made within two weeks of the beginning of a recess. That short
window strongly suggests that many of the vacancies initially arose
prior to the recess. See App. to Brief for Petitioner 1a–64a;
Appendix A, infra. Thus, it is not surprising that the
Congressional Research Service, after examining the vacancy dates
associated with a random sample of 24 inter-session recess
appointments since 1981, concluded that “[i]n most of the 24 cases,
the preponderance of evidence indicated that the vacancy arose
prior to the recess during which the appointment was made.” The
Noel Canning Decision 3. Further, with research assistance from the
Supreme Court Library, we have examined a random sample of the
recess appointments made by our two most recent Presidents, and
have found that almost all of those appointments filled pre-recess
vacancies: Of a sample of 21 recess appointments, 18 filled
pre-recess vacancies and only 1 filled a vacancy that arose during
the recess in which he was appointed. The precise date on which 2
of the vacancies arose could not be determined. See Appendix B,
infra. Taken together, we think it is a fair inference that a large
proportion of the recess appointments in the history of the Nation
have filled pre-existing vacancies.
Did the Senate object?
Early on, there was some sporadic disagreement with the broad
interpretation. In 1814 Senator Gore said that if “the vacancy
happen at another time, it is not the case described by the
Constitution.” 26 Annals of Cong. 653. In 1822 a Senate committee,
while focusing on the President’s power to fill a new vacancy
created by statute, used language to the same effect. 38 id., at
489, 500. And early Congresses enacted statutes authorizing certain
recess appointments, see post, at 31, a fact that may or may not
suggest they accepted the narrower interpretation of the Clause.
Most of those statutes—including the one passed by the First
Congress—authorized appointments to newly created offices, and may
have been addressed to the separate question of whether new offices
are vacancies within the meaning of the Clause. See Letter from
Alexander Hamilton to James McHenry (May 3, 1799), in 23 Papers of
Alexander Hamilton 94 (H. Syrett ed. 1976) (“Vacancy is a relative
term, and presupposes that the Office has been once filled”); Reply
Brief 17. In any event, by 1862 Attorney General Bates could still
refer to “the unbroken acquiescence of the Senate” in support of
the broad interpretation. 10 Op. Atty. Gen., at 356.
Then in 1863 the Senate
Judiciary Committee disagreed with the broad interpretation. It
issued a report concluding that a vacancy “must have its inceptive
point after one session has closed and before another session has
begun.” S. Rep. No. 80, 37th Cong., 3d Sess., p. 3. And the Senate
then passed the Pay Act, which provided that “no money shall be
paid . . . as a salary, to any person appointed during
the recess of the Senate, to fill a vacancy . . . which
. . . existed while the Senate was in session.” Act of
Feb. 9, 1863, §2, 12Stat. 646. Relying upon the floor statement of
a single Senator, Justice Scalia suggests that the passage of the
Pay Act indicates that the Senate as a whole endorsed the position
in the 1863 Report. But the circumstances are more equivocal.
During the floor debate on the bill, not a single Senator referred
to the Report. Cong. Globe, 37th Cong., 3d Sess. 564–565 (1863).
Indeed, Senator Trumbull, who introduced the Pay Act, acknowledged
that there was disagreement about the underlying constitutional
question. Id., at 565 (“[S]ome other persons think he has that
power”). Further, if a majority of the Senate had believed
appointments to pre-recess vacancies were unconstitutional, it
could have attempted to do far more than temporarily dock the
appointees’ pay. Cf. Tenure of Office Act of 1867, §5, 14Stat. 431
(making it a federal crime for “any person” to “accept any
appointment” in certain circumstances).
In any event, the
Senate subsequently abandoned its hostility. In the debate
preceding the 1905 Senate Report regarding President Roosevelt’s
“constructive” recess appointments, Senator Tillman—who chaired the
Committee that authored the 1905 Report—brought up the 1863 Report,
and another Senator responded: “Whatever that report may have said
in 1863, I do not think that has been the view the Senate has
taken” of the issue. 38 Cong. Rec. 1606 (1904). Senator Tillman
then agreed that “the Senate has acquiesced” in the President’s
“power to fill” pre-recess vacancies. Ibid. And Senator Tillman’s
1905 Report described the Clause’s purpose in terms closely echoing
Attorney General Wirt. 1905 Senate Report, at 2 (“Its sole purpose
was to render it certain that at all times there should be, whether
the Senate was in session or not, an officer for every office”
(emphasis added)).
In 1916 the Senate
debated whether to pay a recess appointee who had filled a
pre-recess vacancy and had not subsequently been confirmed. Both
Senators to address the question—one on each side of the payment
debate—agreed that the President had the constitutional power to
make the appointment, and the Senate voted to pay the appointee for
his service. 53 Cong. Rec. 4291–4299; 39Stat. 818–819. In 1927 the
Comptroller General, a legislative officer, wrote that “there is no
question but that the President has authority to make a recess
appointment to fill any vacancy,” including those that “existed
while the Senate was in session.” 7 Comp. Gen. 10, 11 (emphasis
added). Meanwhile, Presidents continued to make appointments to
pre-recess vacancies. The Solicitor General has identified 40
between 1863 and 1940, but that number is clearly not
comprehensive. See, e.g., 32 Op. Atty. Gen. 271–272 (1920) (listing
5 appointments that are not in the Solicitor General’s appendix);
Recess Appointments, Washington Post, July 7, 1880, p. 1 (noting
that President Hayes had made “quite a number of appointments” to
pre-recess vacancies).
Then in 1940 Congress
amended the Pay Act to authorize salary payments (with some
exceptions) where (1) the “vacancy arose within thirty days prior
to the termination of the session,” (2) “at the termination of the
session” a nomination was “pending,” or (3) a nominee was “rejected
by the Senate within thirty days prior to the termination of the
session.” Act of July 11, 54Stat. 751 (codified, as amended, at 5
U. S. C. §5503). All three circumstances concern a
vacancy that did not initially occur during a recess but happened
to exist during that recess. By paying salaries to this kind of
recess appointee, the 1940 Senate (and later Senates) in effect
supported the President’s interpretation of the Clause.
The upshot is that the
President has consistently and frequently interpreted the Recess
Appointments Clause to apply to vacancies that initially occur
before, but continue to exist during, a recess of the Senate. The
Senate as a body has not countered this practice for nearly
three-quarters of a century, perhaps longer. See A. Amar, The
Unwritten Constitution 576–577, n. 16 (2012) (for nearly 200
years “the overwhelming mass of actual practice” supports the
President’s interpretation); Mistretta v. United States, 488
U. S. 361, 401 (1989) (a “200–year tradition” can “ ‘give
meaning’ to the Constitution” (quot-ing Youngstown, 343 U. S.,
at 610 (Frankfurter, J., concurring))). The tradition is long
enough to entitle the practice “to great regard in determining the
true construction” of the constitutional provision. The Pocket Veto
Case, 279 U. S., at 690. And we are reluctant to upset this
traditional practice where doing so would seriously shrink the
authority that Presidents have believed existed and have exercised
for so long.
In light of some
linguistic ambiguity, the basic purpose of the Clause, and the
historical practice we have described, we conclude that the phrase
“all vacancies” includes vacancies that come into existence while
the Senate is in session.
V
The third question
concerns the calculation of the length of the Senate’s “recess.” On
December 17, 2011, the Senate by unanimous consent adopted a
resolution to convene “pro forma session[s]” only, with “no
business . . . transacted,” on every Tuesday and Friday
from December 20, 2011, through January 20, 2012. 2011 S. J. 923.
At the end of each pro forma session, the Senate would
“adjourn until” the following pro forma session. Ibid. During
that period, the Senate convened and adjourned as agreed. It held
pro forma sessions on December 20, 23, 27, and 30, and on
January 3, 6, 10, 13, 17, and 20; and at the end of each
pro forma session, it adjourned until the time and date of the
next. Id., at 923–924; 158 Cong. Rec. S1–S11.
The President made the
recess appointments before us on January 4, 2012, in between the
January 3 and the January 6 pro forma sessions. We must
determine the significance of these sessions—that is, whether, for
purposes of the Clause, we should treat them as periods when the
Senate was in session or as periods when it was in recess. If the
former, the period between January 3 and January 6 was a 3-day
recess, which is too short to trigger the President’s
recess-appointment power, see supra, at 19–21. If the latter,
however, then the 3-day period was part of a much longer recess
during which the President did have the power to make recess
appointments, see ibid.
The Solicitor General
argues that we must treat the pro forma sessions as periods of
recess. He says that these “sessions” were sessions in name only
because the Senate was in recess as a functional matter. The
Senate, he contends, remained in a single, unbroken recess from
January 3, when the second session of the 112th Congress began by
operation of the Twentieth Amendment, until January 23, when the
Senate reconvened to do regular business.
In our view, however,
the pro forma sessions count as sessions, not as periods of
recess. We hold that, for purposes of the Recess Appointments
Clause, the Senate is in session when it says it is, provided that,
under its own rules, it retains the capacity to transact Senate
business. The Senate met that standard here.
The standard we apply
is consistent with the Constitution’s broad delegation of authority
to the Senate to determine how and when to conduct its business.
The Constitution explicitly empowers the Senate to “determine the
Rules of its Proceedings.” Art. I, §5, cl. 2. And we have held that
“all matters of method are open to the determination” of the
Senate, as long as there is “a reasonable relation between the mode
or method of proceeding established by the rule and the result
which is sought to be attained” and the rule does not “ignore
constitutional restraints or violate fundamental rights.” United
States v. Ballin, 144 U. S. 1, 5 (1892) .
In addition, the
Constitution provides the Senate with extensive control over its
schedule. There are only limited exceptions. See Amdt. 20, §2
(Congress must meet once a year on January 3, unless it specifies
another day by law); Art. II, §3 (Senate must meet if the President
calls it into special session); Art. I, §5, cl. 4 (neither
House may adjourn for more than three days without consent of the
other). See also Art. II, §3 (“[I]n Case of Disagreement
between [the Houses], with Respect to the Time of Adjournment, [the
President] may adjourn them to such Time as he shall think
proper”). The Constitution thus gives the Senate wide latitude to
determine whether and when to have a session, as well as how to
conduct the session. This suggests that the Senate’s determination
about what constitutes a session should merit greatrespect.
Furthermore, this
Court’s precedents reflect the breadth of the power
constitutionally delegated to the Senate. We generally take at face
value the Senate’s own report of its actions. When, for example,
“the presiding officers” of the House and Senate sign an enrolled
bill (and the President “approve[s]” it), “its authentication as a
bill that has passed Congress should be deemed complete and
unimpeachable.” Marshall Field & Co. v. Clark, 143 U. S. 649,
672 (1892) . By the same principle, when the Journal of the Senate
indicates that a quorum was present, under a valid Senate rule, at
the time the Senate passed a bill, we will not consider an argument
that a quorum was not, in fact, present. Ballin, supra, at 9. The
Constitution requires the Senate to keep its Journal, Art. I, §5,
cl. 3 (“Each House shall keep a Journal of its proceedings
. . .”), and “if reference may be had to” it, “it must be
assumed to speak the truth,” Ballin, supra, at 4.
For these reasons, we
conclude that we must give great weight to the Senate’s own
determination of when it is and when it is not in session. But our
deference to the Senate cannot be absolute. When the Senate is
without the capacity to act, under its own rules, it is not in
session even if it so declares. See Tr. of Oral Arg. 69
(acknowledgment by counsel for amici Senators that if the Senate
had left the Capitol and “effectively given up . . . the
business of legislating” then it might be in recess, even if it
said it was not). In that circumstance, the Senate is not simply
unlikely or unwilling to act upon nominations of the President. It
is unable to do so. The purpose of the Clause is to ensure the
continued functioning of the Federal Government while the Senate is
unavailable. See supra, at 5–6. This purpose would count for little
were we to treat the Senate as though it were in session even when
it lacks the ability to provide its “advice and consent.”
Art. II, §2, cl. 2. Accordingly, we conclude that when
the Senate declares that it is in session and possesses the
capacity, under its own rules, to conduct business, it is in
session for purposes of the Clause.
Applying this standard,
we find that the pro forma sessions were sessions for purposes
of the Clause. First, the Senate said it was in session. The
Journal of the Senate and the Congressional Record indicate that
the Senate convened for a series of twice-weekly “sessions” from
December 20 through January 20. 2011 S. J. 923–924; 158 Cong. Rec.
S1–S11. (The Journal of the Senate for 2012 has not yet been
published.) And these reports of the Senate “must be assumed to
speak the truth.” Ballin, supra, at 4.
Second, the Senate’s
rules make clear that during its pro forma sessions, despite its
resolution that it would conduct no business, the Senate retained
the power to conduct business. During any pro forma session,
the Senate could have conducted business simply by passing a
unanimous consent agreement. See Riddick’s 1313. The Senate in fact
conducts much of its business through unanimous consent. Id., at
1311–1312. Senate rules presume that a quorum is present unless a
present Senator questions it. Id., at 1041–1042. And when the
Senate has a quorum, an agreement is unanimously passed if, upon
its proposal, no present Senator objects. Id., at 1329–1330. It is
consequently unsurprising that the Senate has enacted legislation
during pro forma sessions even when it has said that no
business will be transacted. Indeed, the Senate passed a bill by
unanimous consent during the second pro forma session after its
December 17 adjournment. 2011 S. J. 924. And that bill quickly
became law. Pub. L. 112–78, 125Stat. 1280.
By way of contrast, we
do not see how the Senate could conduct business during a recess.
It could terminate the recess and then, when in session, pass a
bill. But in that case, of course, the Senate would no longer be in
recess. It would be in session. And that is the crucial point.
Senate rules make clear that, once in session, the Senate can act
even if it has earlier said that it would not.
The Solicitor General
argues that more is required. He contends that what counts is not
the Senate’s capacity to conduct business but what the Senate
actually does (or here, did) during its pro forma sessions. And he
looks for support to the functional definition of “recess” set
forth in the 1905 Senate Report discussed above. See supra, at 14.
That Report describes a “recess” of the Senate as
“the period of time . . . when
its members owe no duty of attendance; when its Chamber is empty;
when, because of its absence, it can not receive communications
from the President or participate as a body in making
appointments.” 1905 Senate Report, at 2.
Even were we, for
argument’s sake, to accept all of these criteria as authoritative,
they would here be met. Taking the last criterion first, could the
Senate, during its pro forma sessions, “participate as a body in
making appointments”? It could. It could confirm nominees by
unanimous consent, just as it passed the bill mentioned above. See
Riddick’s 1313.
Could the Senate
“receive communications from the President”? It could. The
Congressional Record indicates that the Senate “received” a message
from the President on January 12, during a 3-day adjournment
between two pro forma sessions. See 158 Cong. Rec. S37 (Jan.
23, 2012). If the Senate could receive Presidential messages
between two pro forma sessions, it could receive them during a
pro forma session.
Was the Senate’s
Chamber “empty”? It was not. By its official rules, the Senate
operates under the presumption that a quorum is present until a
present Senator suggests the absence of a quorum, Riddick’s
1041–1042, and nothing in the Journal of the Senate or the
Congressional Record reflects any such suggestion.
Did Senators “owe [a]
duty of attendance”? They did. The Senate’s rules dictate that
Senators are under a duty to attend every session. See Riddick’s
214; Standing Rule of the Senate VI(2), S. Doc. No. 112–1,
p. 5 (2011) (“No Senator shall absent himself from the service
of the Senate without leave”). Nothing excused the Senators from
this duty during the Senate’s pro forma sessions. If any present
Senator had raised a question as to the presence of a quorum, and
by roll call it had become clear that a quorum was missing, the
Senators in attendance could have directed the Sergeant at Arms to
bring in the missing Senators. Rule VI(4).
The Solicitor General
asks us to engage in a more realistic appraisal of what the Senate
actually did. He argues that, during the relevant pro forma
sessions, business was not in fact conducted; messages from the
President could not be received in any meaningful way because they
could not be placed before the Senate; the Senate Chamber was,
according to C-SPAN coverage, almost empty; and in practice
attendance was not required. See Brief for Petitioner 48–49,
54–55.
We do not believe,
however, that engaging in the kind of factual appraisal that the
Solicitor General suggests is either legally or practically
appropriate. From a legal perspective, this approach would run
contrary to prece-dent instructing us to “respect . . .
coequal and independent departments” by, for example, taking the
Senate’s report of its official action at its word. Field, 143
U. S., at 672; see Ballin, 144 U. S., at 4. From a
practical perspective, judges cannot easily determine such matters
as who is, and who is not, in fact present on the floor during a
particular Senate session. Judicial efforts to engage in these
kinds of inquiries would risk undue judicial interference with the
functioning of the Legislative Branch.
Finally, the Solicitor
General warns that our holding may “ ‘disrup[t] the proper
balance between the coordinate branches by preventing the Executive
Branch from accomplishing its constitutionally assigned
functions.’ ” Brief for Petitioner 64 (quoting Morrison v.
Olson, 487 U. S. 654, 695 (1988) ; alteration in original). We
do not see, however, how our holding could significantly alter the
constitutional balance. Most appointments are not controversial and
do not produce friction between the branches. Where political
controversy is serious, the Senate unquestionably has other methods
of preventing recess appointments. As the Solicitor General
concedes, the Senate could preclude the President from making
recess appointments by holding a series of twice-a-week ordinary
(not pro forma) sessions. And the nature of the business
conducted at those ordinary sessions—whether, for example, Senators
must vote on nominations, or may return totheir home States to meet
with their constituents—is a matter for the Senate to decide. The
Constitution also gives the President (if he has enough allies in
Congress) a way to force a recess. Art. II, §3 (“[I]n Case of
Disagreement between [the Houses], with Respect to the Time of
Adjournment, [the President] may adjourn them to such Time as he
shall think proper”). Moreover, the President and Senators engage
with each other in many different ways and have a variety of
methods of encouraging each other to accept their points of
view.
Regardless, the Recess
Appointments Clause is not designed to overcome serious
institutional friction. It simply provides a subsidiary method for
appointing officials when the Senate is away during a recess. Here,
as in other contexts, friction between the branches is an
inevitable consequence of our constitutional structure. See Myers,
272 U. S., at 293 (Brandeis, J., dissenting). That structure
foresees resolution not only through judicial interpretation and
compromise among the branches but also by the ballot box.
VI
The Recess
Appointments Clause responds to a structural difference between the
Executive and Legislative Branches: The Executive Branch is
perpetually in operation, while the Legislature only acts in
intervals separated by recesses. The purpose of the Clause is to
allow the Executive to continue operating while the Senate is
unavailable. We believe that the Clause’s text, standing alone, is
ambiguous. It does not resolve whether the President may make
appointments during intra-session recesses, or whether he may fill
pre-recess vacancies. But the broader reading better serves the
Clause’s structural function. Moreover, that broader reading is
reinforced by centuries of history, which we are hesitant to
disturb. We thus hold that the Constitution empowers the President
to fill any existing vacancy during any recess—intra-session or
inter-session—of sufficient length.
Justice Scalia would
render illegitimate thousands of recess appointments reaching all
the way back to the founding era. More than that: Calling the
Clause an “anachronism,” he would basically read it out of the
Constitution. Post, at 12. He performs this act of judicial
excision in the name of liberty. We fail to see how excising the
Recess Appointments Clause preserves freedom. In fact, Alexander
Hamilton observed in the very first Feder-alist Paper that “the
vigour of government is essential to the security of liberty.” The
Federalist No. 1, at 5. And the Framers included the Recess
Appointments Clause to preserve the “vigour of government” at times
when an important organ of Government, the United States Senate, is
in recess. Justice Scalia’s interpretation of the Clause would
defeat the power of the Clause to achieve that objective.
The foregoing
discussion should refute Justice Scalia’s claim that we have
“embrace[d]” an “adverse-possession theory of executive power.”
Post, at 48. Instead, as inall cases, we interpret the Constitution
in light of itstext, purposes, and “our whole experience” as a
Nation. Missouri v. Holland, 252 U. S. 416, 433 (1920) . And
we look to the actual practice of Government to inform our
interpretation.
Given our answer to the
last question before us, we conclude that the Recess Appointments
Clause does not give the President the constitutional authority to
make the appointments here at issue. Because the Court of Appeals
reached the same ultimate conclusion (though for reasons we
reject), its judgment is affirmed.
It is so ordered.
APPENDIXES
A
The following table
contains the dates of all the intra-session and inter-session
recesses that Congress has taken since the founding. The
information (including the footnotes) is taken from 2011–2012
Official Congressional Directory, 112th Cong., 522–539.
SESSIONS OF CONGRESS, 1st–112th CONGRESSES,
1789–2011
1 For the purposes of this table, a
session’s ‘‘length in days’’ is defined as the total number of
calendar days from the convening date to the adjournment date,
inclusive. It does not mean the actual number of days that Congress
met during that session.
2 For the purposes of this table, a
‘‘recess’’ is defined as a break in House or Senate proceedings of
three or more days, excluding Sundays. According to Article I,
section 5 of the U. S. Constitution, neither house may adjourn
for more than three days without the consent of the other. On
occasion, both chambers have held one or more pro forma sessions
because of this constitutional obligation or for other purposes.
Treated here as recesses, usually no business is conducted during
these time periods. On this table, beginning in the 1990s, such pro
forma sessions are indicated with a P.
B
The following table
shows the proportion of recent appointments that have filled
pre-recess vacancies. It was compiled with research assistance from
the Supreme Court Library. It contains a random sample of the
recess appointments by President George W. Bush and President
Barack Obama. The last column indicates whether the vacancy arose
during the recess in which it was filled. “A” indicates a vacancy
that arose during the recess, “P” indicates a vacancy that arose
before the recess, and “U” indicates that the vacancy date could
not be ascertained.