SUPREME COURT OF THE UNITED STATES
_________________
Nos. 19–1434, 19–1452 and 19–1458
_________________
UNITED STATES, PETITIONER
19–1434
v.
ARTHREX, INC., et al.
SMITH & NEPHEW, INC., et al., PETITIONERS
19–1452
v.
ARTHREX, INC., et al.
ARTHREX, INC., PETITIONER
19–1458
v.
SMITH & NEPHEW, INC., et al.
on writs of certiorari to the united states court of appeals for
the federal circuit
[June 21, 2021]
Justice Thomas, with whom Justice Breyer, Justice Sotomayor,
and Justice Kagan join as to Parts I and II, dissenting.
For the very first time, this Court holds that Congress
violated the Constitution by vesting the appointment of a federal
officer in the head of a department. Just who are these “principal”
officers that Congress unsuccessfully sought to smuggle into the
Executive Branch without Senate confirmation? About 250
administrative patent judges who sit at the bottom of an
organizational chart, nestled under at least two levels of
authority. Neither our precedent nor the original understanding of
the Appointments Clause requires Senate confirmation of officers
inferior to not one, but
two officers below the
President.
I
The Executive Branch is large, and the hierarchical path from
President to administrative patent judge is long. At the top sits
the President, in whom the executive power is vested. U. S.
Const., Art. II, §1. Below him is the Secretary of Commerce,
who oversees the Department of Commerce and its work force of about
46,000. 15 U. S. C. §§1501, 1513. Within that Department
is the United States Patent and Trademark Office led by a Director.
35 U. S. C. §§1, 2(a), 3(a) (also known as the Under
Secretary of Commerce for Intellectual Property). In the Patent and
Trademark Office is the Patent Trial and Appeal Board. §6(a).
Serving on this Board are administrative patent judges.
Ibid.
There are few statutory prerequisites to becoming an
administrative patent judge. One must be a “perso[n] of competent
legal knowledge and scientific ability” and be “appointed by the
Secretary.”
Ibid. The job description too is relatively
straightforward: sit on the Board along with the Director, the
Deputy Director, the Commissioner for Patents, the Commissioner for
Trademarks, and other administrative patent judges.
Ibid.
The Board adjudicates both appellate and trial disputes. See
§6(b). It may directly review certain decisions made by patent
examiners, and it may hold its own proceedings to determine the
patentability of patent claims. As relevant here, it conducts inter
partes review, which “offers a second look at an earlier
administrative grant of a patent.”
Cuozzo Speed
Technologies,
LLC v.
Lee, 579 U. S. 261, 279
(2016). Inter partes review—and all other types of Board
hearings—must be “heard by at least 3 members” of the Board.
§6(c).
In this suit, Smith & Nephew, Inc., and Arthrocare Corp.
(collectively, Smith & Nephew) filed a petition challenging
some of Arthrex, Inc.’s patent claims. After deciding that there
was a reasonable likelihood that Smith & Nephew would prevail,
the Director instituted review. §314(a). A panel of three
administrative judges ultimately agreed with Smith & Nephew
that the disputed claims were unpatentable. The Director did not
convene a panel to rehear that decision. Nor is there any
suggestion that Arthrex sought rehearing from the Board or from the
Director. Instead, Arthrex appealed the Board’s decision to the
United States Court of Appeals for the Federal Circuit.
On appeal, Arthrex argued that the Federal Circuit must vacate
the Board’s decision. According to Arthrex, administrative patent
judges are constitutionally defective because they are principal
officers who were neither appointed by the President nor confirmed
by the Senate. The Federal Circuit agreed in part. The court held
that administrative patent judges
are principal officers.
941 F. 3d 1320, 1335 (2019). But the court professed to
transform these principal officers into inferior ones by
withdrawing statutory removal restrictions.
Id., at
1338.
The Court now partially agrees with the Federal Circuit.
Although it cannot quite bring itself to say so expressly, it too
appears to hold that administrative patent judges are principal
officers under the current statutory scheme. See
ante, at
10–14. But it concludes that the better way to judicially convert
these principal officers to inferior ones is to allow the Director
to review Board decisions unilaterally.
Ante, at 21
(plurality opinion);
ante, at 7 (Breyer, J., concurring in
part and dissenting in part).
That both the Federal Circuit and this Court would take so much
care to ensure that administrative patent judges, appointed as
inferior officers, would remain inferior officers at the end of the
day suggests that perhaps they were inferior officers to begin
with. Instead of rewriting the Director’s statutory powers, I would
simply leave intact the patent scheme Congress has created.
II
The Constitution creates a default process to appoint all
officers: The President “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.” Art. II, §2. But Congress has discretion to
change the default process for “inferior” officers: “Congress may
by Law vest the Appointment of such inferior Officers, as they
think proper, in the President alone, in the Courts of Law, or in
the Heads of Departments.”
Ibid.
A
The Court has been careful not to create a rigid test to divide
principal officers—those who must be Senate confirmed—from inferior
ones. See,
e.g.,
Edmond v.
United States, 520
U. S. 651, 661 (1997) (the Court has “not set forth an
exclusive criterion”);
Morrison v.
Olson, 487
U. S. 654, 671 (1988) (“We need not attempt here to decide
exactly where the line falls between the two types of officers”).
Instead, the Court’s opinions have traditionally used a
case-by-case analysis. And those analyses invariably result in this
Court deferring to Congress’ choice of which constitutional
appointment process works best.[
1] No party (nor
the majority) has identified any instance in which this Court has
found unconstitutional an appointment that aligns with one of the
two processes outlined in the Constitution.
Our most exhaustive treatment of the inferior-officer question
is found in
Edmond. There, we evaluated the status of
civilian judges on the Coast Guard Court of Criminal Appeals who
were appointed by the Secretary of Transportation. As in all
previous decisions, the Court in
Edmond held that the
Secretary’s appointment of the judges complied with the
Appointments Clause.
Recognizing that no “definitive test” existed for
distinguishing between inferior and principal officers, the Court
set out two general guidelines. 520 U. S., at 661–662. First,
there is a formal, definitional requirement. The officer must be
lower in rank to “a superior.”
Id., at 662. But according to
the Court in
Edmond, formal inferiority is “not enough.”
Ibid. So the Court imposed a functional requirement: The
inferior officer’s work must be “directed and supervised at some
level by others who were appointed by Presidential nomination with
advice and consent of the Senate.”
Id., at 663. Because
neither side asks us to overrule our precedent, I would apply this
two-part guide.
There can be no dispute that administrative patent judges are,
in fact, inferior: They are lower in rank to at least two different
officers. As part of the Board, they serve in the Patent and
Trademark Office, run by a Director “responsible for providing
policy direction and management supervision for the Office and for
the issuance of patents and the registration of trademarks.” 35
U. S. C. §3(a)(2)(A). That Office, in turn, is “[w]ithin
the Department of Commerce” and “subject to the policy direction of
the Secretary of Commerce.” §1(a). The Secretary, in consultation
with the Director, appoints administrative patent judges.
§6(a).
As a comparison to the facts in
Edmond illustrates, the
Director and Secretary are also functionally superior because they
supervise and direct the work administrative patent judges perform.
In
Edmond, the Court focused on the supervision exercised by
two different entities: the Judge Advocate General and the Court of
Appeals for the Armed Forces (CAAF). The Judge Advocate General
exercised general administrative oversight over the court on which
the military judges sat.
Edmond, 520 U. S., at 664. He
possessed the power to prescribe uniform rules of procedure for the
court and to formulate policies and procedure with respect to the
review of court-martial cases in general.
Ibid. And he could
remove a Court of Criminal Appeals judge from his judicial
assignment without cause, a “powerful tool for control.”
Ibid.
The Court noted, however, that “[t]he Judge Advocate General’s
control over Court of Criminal Appeals judges is . . .
not complete.”
Ibid. This was so for two reasons. He could
“not attempt to influence (by threat of removal or otherwise) the
outcome of individual proceedings.”
Ibid. And, he had “no
power to reverse decisions of the court.”
Ibid.
But this lack of complete control did not render the military
judges principal officers. That is because one of the two missing
powers resided, to a limited degree, in a different entity: the
CAAF.
Ibid. CAAF could not “reevaluate the facts” where
“there [was] some competent evidence in the record to establish
each element of the offense beyond a reasonable doubt.”
Id.,
at 665. Still, it was “significant . . . that the judges
of the Court of Criminal Appeals ha[d] no power to render a final
decision on behalf of the United States unless permitted to do so
by other Executive officers.”
Ibid. Having recounted the
various means of supervision, the Court held that the military
judges were inferior officers. Consistent with the Constitution,
Congress had the power to vest the judges’ appointments in the
Secretary of Transportation.
Id., at 665–666.
The Director here possesses even greater functional power over
the Board than that possessed by the Judge Advocate General. Like
the Judge Advocate General, the Director exercises administrative
oversight over the Board. Because the Board is within the Patent
and Trademark Office, all of its powers and duties are ultimately
held by the Director. 35 U. S. C. §3(a)(1). He
“direct[s]” and “supervis[es]” the Office and “the issuance of
patents.” §3(a)(2)(A). He may even “fix the rate of basic pay for
the administrative patent judges.” §3(b)(6). And ultimately, after
the Board has reached a decision in a specific case, the Director
alone has the power to take final action to cancel a patent claim
or confirm it. §318(b).
Also like the Judge Advocate General in
Edmond, the
Director prescribes uniform procedural rules and formulates
policies and procedures for Board proceedings. Among other things,
he has issued detailed regulations that govern “Trial Practice and
Procedure” before the Board. 37 CFR pt. 42 (2020); see also
ibid. (prescribing regulations governing,
inter alia,
discovery, oral argument, termination of trial, notice, privilege,
filing fees, etc.); see also 35 U. S. C. §§2(b)(2),
316(a)(4), 326(a)(4). He has designed a process to designate and
de-designate Board decisions as precedential. Patent Trial and
Appeal Board, Standard Operating Procedure 2 (Revision 10), pp. 1–2
(Sept. 20, 2018) (SOP2). He may issue binding policy directives
that govern the Board. §3(a)(2)(A). And he may release
“instructions that include exemplary applications of patent laws to
fact patterns, which the Board can refer to when presented with
factually similar cases.” 941 F. 3d, at 1331. His oversight is
not just administrative; it is substantive as well.
§3(a)(2)(A).
The Director has yet another “powerful tool for control.”
Edmond, 520 U. S., at 664. He may designate which of
the 250-plus administrative patent judges hear certain cases and
may remove administrative patent judges from their specific
assignments without cause. See §6(c). So, if any administrative
patent judges depart from the Director’s direction, he has ample
power to rein them in to avoid erroneous decisions. And, if an
administrative patent judge consistently fails to follow
instructions, the Secretary has the authority to fire him. 5
U. S. C. §7513(a); 35 U. S. C. §3(c);
Cobert v.
Miller, 800 F. 3d 1340, 1351 (CA Fed.
2015) (interpreting §7513(a) to allow removal for “ ‘[f]ailure
to follow instructions or abide by requirements [that] affec[t] the
agency’s ability to carry out its mission’ ”).[
2]
To be sure, the Director’s power over administrative patent
judges is not complete. He cannot singlehandedly reverse decisions.
Still, he has two powerful checks on Board decisions not found in
Edmond.
Unlike the Judge Advocate General and CAAF in
Edmond, the Director
may influence individual
proceedings. The Director decides in the first instance whether to
institute, refuse to institute, or de-institute particular reviews,
a decision that is “final and nonappealable.” 35 U. S. C.
§314(d); see also §314(a). If the Director institutes review, he
then may select which administrative patent judges will hear the
challenge. §6(c). Alternatively, he can avoid assigning
any
administrative patent judge to a specific dispute and instead
designate himself, his Deputy Director, and the Commissioner of
Patents. In addition, the Director decides which of the thousands
of decisions issued each year bind other panels as precedent. SOP2,
at 8. No statute bars the Director from taking an active role to
ensure the Board’s decisions conform to his policy direction.
But, that is not all. If the administrative patent judges
“(somehow) reach a result he does not like, the Director can add
more members to the panel—including himself—and order the case
reheard.”
Oil States Energy Services,
LLC v.
Greene’s Energy Group,
LLC, 584 U. S. ___, ___
(2018) (Gorsuch, J., dissenting) (slip op., at 3). There is a
formalized process for this type of review. The Director may
unilaterally convene a special panel—the Precedential Opinion
Panel—to review a decision in a case and determine whether to order
rehearing
sua sponte. SOP2, at 5. (Any party to a
proceeding or any Board member can also recommend rehearing by the
Precedential Opinion Panel.
Ibid.) The default members of
the panel are the Director, the Commissioner for Patents, and the
Chief Administrative Patent Judge.
Id., at 4. So even if
all administrative patent judges decide to defy the
Director’s authority and go their respective ways, the Director and
the Commissioner for Patents can still put a stop to it. And, if
the Commissioner for Patents is running amuck, the Director may
expand the size of the panel or may replace the Commissioner with
someone else, including his Deputy Director.
Ibid. Further,
this panel is not limited to reviewing whether there is “competent
evidence” as the CAAF was. It can correct anything that may “have
been misapprehended or overlooked” in the previous opinion. 37 CFR
§41.79(b)(1). This broad oversight ensures that administrative
patent judges “have no power to render a final decision on behalf
of the United States unless permitted to do so by other Executive
officers.”
Edmond, 520 U. S., at 665.
B
The Court today appears largely to agree with all of this. “In
every respect” save one, the plurality says, “[administrative
patent judges] appear to be inferior officers.”
Ante, at
20–21. But instead of finding it persuasive that administrative
patent judges seem to be inferior officers—“an understanding
consistent with their appointment”—the majority suggests most of
Edmond is superfluous: All that matters is whether the
Director has the statutory authority to individually reverse Board
decisions. See
ante, at 10; see also
ante, at 20
(plurality opinion).
The problem with that theory is that there is no precedential
basis (or historical support)[
3] for boiling down
“inferior-officer” status to the way Congress structured a
particular agency’s process for reviewing decisions. If anything,
Edmond stands for the proposition that a “limitation upon
review does not . . . render [officers] principal
officers.” 520 U. S., at 665. Recall that the CAAF could not
reevaluate certain factual conclusions reached by the military
judges on the Court of Criminal Appeals.
Ibid. And recall
that neither CAAF nor the Judge Advocate General could “attempt to
influence” individual proceedings.
Id., at 664. Yet, those
constraints on supervision and control did not matter because the
Court in
Edmond considered all the means of supervision and
control exercised by the superior officers. Although CAAF could not
reevaluate everything, “[w]hat is significant” is that CAAF could
oversee the military judges in other ways: The military judges
could not render “a final decision on behalf of the United States
unless permitted to do so by other Executive officers.”
Id.,
at 665. Here, the Director cannot singlehandedly reevaluate
individual decisions, but he still directs and “supervises
. . . the Board members responsible for deciding patent
disputes.”
Oil States Energy Services, 584 U. S., at
___ (Gorsuch, J., dissenting) (slip op., at 3).
C
Perhaps the better way to understand the Court’s opinion today
is as creating a new form of intrabranch separation-of-powers law.
Traditionally, the Court’s task when resolving Appointments Clause
challenges has been to discern whether the challenged official
qualifies as a specific sort of officer and whether his appointment
complies with the Constitution. See
Lucia v.
SEC, 585
U. S. ___, ___ (2018) (slip op., at 1) (“This case requires us
to decide whether administrative law judges . . . qualify
as [officers of the United States]”). If the official’s appointment
is inconsistent with the constitutional appointment process for the
position he holds, then the Court provides a remedy.
Id., at
___ (slip op., at 12). Otherwise, the Court must conclude that the
“appointments at issue in th[e] case are . . . valid.”
Edmond, 520 U. S., at 666.
Today’s majority leaves that tried-and-true approach behind. It
never expressly tells us whether administrative patent judges are
inferior officers or principal. And the Court never tells us
whether the appointment process complies with the Constitution. The
closest the Court comes is to say that “the source of the
constitutional violation” is
not “the appointment of
[administrative patent judges] by the Secretary.”
Ante, at
23 (plurality opinion). Under our precedent and the Constitution’s
text, that should resolve the suit. If the appointment process for
administrative patent judges—appointment by the Secretary—does not
violate the Constitution, then administrative patent judges must be
inferior officers. See Art. II, §2, cl. 2. And if
administrative patent judges are inferior officers and have been
properly appointed as such, then the Appointments Clause challenge
fails. After all, the Constitution provides that “Congress may by
Law vest the Appointment of . . . inferior Officers
. . . in the Heads of Departments.”
Ibid.
The majority’s new Appointments Clause doctrine, though, has
nothing to do with the validity of an officer’s appointment.
Instead, it polices the dispersion of executive power among
officers. Echoing our doctrine that Congress may not mix duties and
powers from different branches into one actor, the Court finds that
the constitutional problem here is that Congress has given a
specific power—the authority to finally adjudicate inter partes
review disputes—to one type of executive officer that the
Constitution gives to another. See
ante, at 21 (plurality
opinion); see also,
e.g.,
Stern v.
Marshall,
564 U. S. 462, 503 (2011) (assignment of Article III power to
Bankruptcy Judge);
Bowsher v.
Synar, 478 U. S.
714, 728–735 (1986) (assignment of executive power to a legislative
officer). That analysis is doubly flawed.
For one thing, our separation-of-powers analysis does not fit.
The Constitution recognizes executive, legislative, and judicial
power, and it vests those powers in specific branches. Nowhere does
the Constitution acknowledge any such thing as “inferior-officer
power” or “principal-officer power.” And it certainly does not
distinguish between these sorts of powers in the Appointments
Clause.
And even if it did, early patent dispute schemes establish that
the power exercised by the administrative patent judges here does
not belong exclusively to principal officers. Nonprincipal officers
could—and did—render final decisions in specific patent disputes,
not subject to any appeal to a superior executive officer. In 1793,
Congress provided that resolution of disputes, where two applicants
sought a patent for the same invention, “shall be submitted to the
arbitration of three persons” chosen by the Secretary or by the
parties, and that “the decision or award . . . ,
delivered to the Secretary of State . . . or any two of
them, shall be final, as far as respects the granting of the
patent.” Act of Feb. 21, 1793, §9, 1 Stat. 322–333. In 1836,
Congress allowed applicants to appeal the denial of a patent
application to “a board of examiners, to be composed of three
disinterested persons, who shall be appointed for that purpose by
the Secretary of State.” Act of July 4, 1836, §7, 5 Stat. 119–120.
The Board had the power “to reverse the decision of the
Commissioner, either in whole or in part,” and the decision
governed “further proceedings.”
Ibid. These two early
examples show, at a minimum, that the final resolution of patent
disputes is not the sole preserve of principal officers.
More broadly, interpreting the Appointments Clause to bar any
nonprincipal officer from taking “final” action poses serious
line-drawing problems. The majority assures that not every decision
by an inferior officer must be reviewable by a superior officer.
Ante, at 19. But this sparks more questions than it answers.
Can a line prosecutor offer a plea deal without sign off from a
principal officer?[
4] If faced with a
life-threatening scenario, can an FBI agent use deadly force to
subdue a suspect? Or if an inferior officer temporarily fills a
vacant office tasked with making final decisions, do those
decisions violate the Appointments Clause?[
5] And
are courts around the country supposed to sort through lists of
each officer’s (or employee’s) duties, categorize each one as
principal or inferior, and then excise any that look
problematic?
Beyond those questions, the majority’s nebulous approach also
leaves open the question of how much “principal-officer power”
someone must wield before he becomes a principal officer. What
happens if an officer typically engages in normal inferior-officer
work but also has several principal-officer duties? Is he a hybrid
officer, properly appointed for four days a week and improperly
appointed for the fifth? And whatever test the Court ultimately
comes up with to sort through these difficult questions, are we
sure it is encapsulated in the two words “inferior officer”?
D
The majority offers one last theory. Although the parties raise
only an Appointments Clause challenge and the plurality concedes
that there is no appointment defect,
ante, at 23, the Court
appears to suggest that the
real issue is that this scheme
violates the Vesting Clause. See Art. II, §1, cl.1; see also
a
nte, at 13–14 (citing
Free Enterprise Fund v.
Public Company Accounting Oversight Bd., 561 U. S. 477,
496 (2010));
Myers v.
United States, 272 U. S.
52, 135 (1926)). According to the majority, the PTAB’s review
process inverts the executive “chain of command,” allowing
administrative patent judges to wield “unchecked . . .
executive power” and to “dictat[e ]” what the Director must
do.
Ante, at 11, 14. This final offering falters for several
reasons.
First no court below passed on this issue. See 941 F. 3d,
at 1327 (addressing whether “the [administrative patent judges] who
presided over this
inter partes review were . . .
constitutionally appointed”). Given that this Court is generally
one “of review, not of first view,” it is unclear why we would
grant relief on this ground.
Cutter v.
Wilkinson, 544
U. S. 709, 718, n. 7 (2005).
Second, the idea that administrative patent judges are at the
top of the chain of command is belied not only by the
statutory scheme, see
supra, at 7–10, but also by the
majority’s own refusal to ever name these judges principal
officers. See
ante, at 19.
Third, even if the chain of command were broken, Senate
confirmation of an administrative patent judge would offer no fix.
As Madison explained, the Senate’s role in appointments is an
exception to the vesting of executive power in the
President; it gives another branch a say in the hiring of executive
officials. 1 Annals of Cong. 463 (1789). An Article II Vesting
Clause problem cannot be remedied by stripping away even more power
from the Executive.
Fourth, and finally, historical practice establishes that the
vesting of executive power in the President did not require that
every patent decision be appealable to a principal officer. As the
majority correctly explains, these sorts of final decisions were
routinely made by inferior executive officers (or, perhaps, by mere
executive employees). See
ante, at 17–18. If no statutory
path to appeal to an executive principal officer existed then, I
see no constitutional reason why such a path must exist now.
Perhaps this Vesting Clause theory misunderstands the
majority’s argument. After all, the Court never directly says that
any law or action violates the Vesting Clause. The Court simply
criticizes as overly formalistic the notion that both Clauses do
exactly what their names suggest: The Appointments Clause governs
only appointments; the Vesting Clause deals just with the vesting
of executive power in the President.
Ante, at 13. I would
not be so quick to stare deeply into the penumbras of the Clauses
to identify new structural limitations.
III
In the end, the Court’s remedy underscores that it is
ambivalent about the idea of administrative patent judges
actually being principal officers. Instead of holding as
much explicitly, the Court rewrites the statutory text to ensure
that the Director can directly review Board decisions.
Ante,
at 21–22 (plurality opinion). Specifically, the Court declares
unenforceable the statutory provision that “prevents the Director
from reviewing the decisions of the [Board] on his own.”
Ante, at 22. And as a remedy, the Court “remand[s] to the
Acting Director for him to decide whether to rehear the petition.”
Ibid. In that way, the Court makes extra clear what should
already be obvious: Administrative patent judges are inferior
officers.
But neither reading of the majority’s opinion—(1) that
administrative patent judges are principal officers that the Court
has converted to inferior officers, or (2) that administrative
patent judges are inferior officers whose decisions must
constitutionally be reversible by the Director alone—supports its
proposed remedy.
Take the principal officer view. If the Court truly believed
administrative patent judges are principal officers, then the Court
would need to vacate the Board’s decision. As this Court has twice
explained, “the ‘appropriate’ remedy for an adjudication tainted
with an appointments violation is a new ‘hearing before a properly
appointed’ official.”
Lucia, 585 U. S., at ___ (slip
op., at 12) (quoting
Ryder v.
United States, 515
U. S. 177, 183, 188 (1995)). If administrative patent judges
are (or were) constitutionally deficient principal officers, then
surely Arthrex is entitled to a new hearing before officers
untainted by an appointments violation. But, the Court does not
vacate the Board’s decision. In fact, it expressly disavows the
existence of an appointments violation.
Ante, at 23
(plurality opinion).
The quasi-separation-of-powers view fares no better. If we
accept as true the Court’s position that the Appointments Clause
inherently grants the Director power to reverse Board decisions,
then another problem arises: No constitutional violation has
occurred in this suit. The Board had the power to decide and
lawfully did decide the dispute before it. The Board did not
misinterpret its statutory authority or try to prevent direct
review by the Director. Nor did the Director wrongfully decline to
rehear the Board’s decision. Moreover, Arthrex has not argued that
it sought review by the Director. So to the extent “the source of
the constitutional violation is the restraint on the review
authority of the Director,”
ibid., his review was not
constrained. Without any constitutional violation in this suit to
correct, one wonders how the Court has the power to issue a remedy.
See
Carney v.
Adams, 592 U. S. ___, ___ (2020)
(slip op., at 4) (Article III prevents “the federal courts from
issuing advisory opinions”).
Perhaps the majority thinks Arthrex should receive some kind of
bounty for raising an Appointments Clause challenge and
almost identifying a constitutional violation. But the
Constitution allows us to award judgments, not participation
trophies.
IV
Although unnecessary to resolve this suit, at some point it may
be worth taking a closer look at whether the functional element of
our test in
Edmond—the part that the Court relies on
today—aligns with the text, history, and structure of the
Constitution. The founding era history surrounding the Inferior
Officer Clause points to at least three different definitions of an
inferior officer, none of which requires a case-by-case functional
examination of exactly how much supervision and control another
officer has. The rationales on which
Edmond relies to graft
a functional element into the inferior-officer inquiry do not
withstand close scrutiny.
A
Early discussions of inferior officers reflect at least three
understandings of who these officers were—and who they were
not—under the Appointments Clause. Though I do not purport to
decide today which is best, it is worth noting that administrative
patent judges would be inferior under each.
1
The narrowest understanding divides all executive officers into
three categories: heads of departments, superior officers, and
inferior officers. During the Constitutional Convention, James
Madison supported this view in a brief discussion about the
addition of the Inferior Officer Clause. 2 Records of the Federal
Convention of 1787, p. 627 (M. Farrand ed. 1911) (Farrand); see
also Mascott, Who Are “Officers of the United States,” 70 Stan.
L. Rev. 443, 468, n. 131 (2018). Gouverneur Morris moved
to add the clause. But Madison initially resisted. He argued that
it did “not go far enough if it be necessary at all [because]
Superior Officers below Heads of Departments ought in some cases to
have the appointment of the lesser offices.” 2 Farrand 627. The
motion nonetheless passed. The crux of Madison’s objection appears
to rely on the idea that there are three types of officers:
inferior officers, superior officers, and department heads.
Congress could vest the appointment of inferior officers in the
President, the courts, or a department head. But the others must be
appointed by the President with Senate confirmation.
Some held a second understanding: Inferior officers encompass
nearly
all officers. As Justice Story put it, “[w]hether the
heads of departments are inferior officers in the sense of
the constitution, was much discussed, in the debate on the
organization of the department of foreign affairs, in 1789.” 3
Commentaries on the Constitution of the United States 386,
n. 1 (1833) (emphasis added). Proponents of this understanding
argued that the Secretary of State should be an inferior officer
because he was inferior to the President, “the Executive head of
the department.” 1 Annals of Cong. 509. In other words, inferior
officers would encompass
all executive officers inferior to
the President, other than those specifically identified in the
Constitution: “Ambassadors, other public Ministers and Consuls.”
Art. II, §2.
The constitutional text and history provide some support for
this rationale. By using the adjective “such” before “inferior
Officers,” the Clause about inferior officers could be understood
to refer back to “all other Officers of the United States, whose
Appointments are not herein otherwise provided for, and which shall
be established by Law.”
Ibid.; see also 2 S. Johnson, A
Dictionary of the English Language (6th ed. 1785) (defining “such”
to mean “[c]omprehended under the term premised, like what has been
said”). And to be “inferiour” means simply to be “[l]ower in
place”; “[l]ower in station or rank of life” and “[s]ubordinate” to
another officer. 1
ibid. Department heads are officers, and
they are lower in rank and subordinate to the President. See
U. S. Const., Art. II, §1.
But others disagreed, contending this went “too far; because
the Constitution” elsewhere specifies “ ‘the principal officer
in each of the Executive departments.’ ” 1 Annals of Cong.
459. These Framers endorsed a third understanding, which
distinguished just between inferior and principal officers. See
id., at 518 (“We are to have a Secretary for Foreign
Affairs, another for War, and another for the Treasury; now, are
not these the principal officers in those departments”). A single
officer could not simultaneously be both. Ultimately, this group
won out, “expressly designat[ing]” the Secretary of the Department
of Foreign Affairs as a “principal officer,” not an inferior one.
Edmond, 520 U. S., at 663 (quoting Act of July 27,
1789, ch. 4, §§1–2, 1 Stat. 28–29).
This principal-inferior dichotomy also finds roots in the
structure of the Constitution, which specifically identifies both
principal officers (in the Opinions Clause and the Twenty-fifth
Amendment) and inferior officers (in the Appointments Clause). And
it comports with contemporaneous dictionary definitions. A
“principal” officer is “[a] head” officer; “a chief; not a second.”
2 Johnson, Dictionary of the English Language. Other executive
officers would, by definition, be lower than or subordinate to
these head officers.
The principal-inferior officer divide played out in other
contexts as well. In the debate over removability of officers,
Representative Smith indicated that he “had doubts whether [an]
officer could be removed by the President” in light of the
impeachment process. 1 Annals of Cong. 372. Madison disagreed,
arguing that impeachment alone for all removals “would in effect
establish every officer of the Government on the firm tenure of
good behaviour; not the heads of Departments only, but all the
inferior officers of those Departments, would hold their offices
during good behaviour.”
Ibid.
State constitutions at the founding lend credence to this idea
that inferior officers encompass all officers except for the heads
of departments. For example, the 1789 Georgia State Constitution
provided that “militia officers and the secretaries of the governor
. . . shall be appointed by the governor.” Art. IV,
§2. But “[t]he general assembly may vest the appointment of
inferior officers in the governor, the courts of justice, or in
such other manner as they may by law establish.”
Ibid. The
law thus distinguished between secretaries and inferior officers.
Similarly, the Delaware Constitution directed that “[t]he State
treasurer shall be appointed annually by the house of
representatives, with the concurrence of the Senate.”
Art. VIII, §3 (1792). But “all inferior officers in the
treasury department” were to be “appointed in such manner as is or
may be directed by law.” §6.
Although not dipositive, this Court has adopted the
nomenclature of the principal-inferior distinction. See,
e.g.,
ante, at 5–6;
Edmond, 520 U. S., at
661 (“distinguishing between principal and inferior officers for
Appointments Clause purposes”);
Buckley v.
Valeo, 424
U. S. 1, 132 (1976) (
per curiam) (“Principal officers
are selected by the President with the advice and consent of the
Senate. Inferior officers Congress may allow to be appointed by the
President alone, by the heads of departments, or by the
Judiciary”); cf.
Lucia, 585 U. S., at ___ (Thomas, J.,
concurring) (slip op., at 2) (“While principal officers must be
nominated by the President and confirmed by the Senate, Congress
can authorize the appointment of ‘inferior Officers’ by ‘the
President alone,’ ‘the Courts of Law,’ or ‘the Heads of
Departments’ ”);
United States v.
Germaine, 99
U. S. 508, 511 (1879) (“the principal officer in” the Opinions
Clause “is the equivalent of the head of department in the other”).
And in reasoning adopted unanimously by the Court, at least one
opinion defined “principal officers” for purposes of the
Appointments Clause to be “ambassadors, ministers, heads of
departments, and judges.”
Freytag v.
Commissioner,
501 U. S. 868, 884 (1991).
2
Regardless of which of the three interpretations is correct,
all lead to the same result here. Administrative patent judges are
inferior officers.
Start with the broadest understanding. A careful read of the
Appointments Clause reveals that the office of “administrative
patent judge” does not appear amidst the offices of ambassador,
consul, public minister, and Supreme Court judge the Constitution
identifies. See Art. II, §2, cl. 2. So, if inferior
officers are all executive officers other than those with special
appointment processes laid out in the Constitution, then
administrative patent judges squarely fit.
Administrative patent judges also fall on the inferior-officer
side of the inferior-principal divide. It is agreed that
administrative patent judges are not the heads of any department.
See
ante, at 8; Brief for Arthrex, Inc., 5–6 (noting that
the Secretary of Commerce is the relevant “department head”). Thus,
to the extent a “principal officer . . . is the
equivalent of the head of department,” administrative patent judges
are not one.
Germaine, 99 U. S., at 511.
And under the Madisonian tripartite system, administrative
patent judges would still be inferior. These judges are not heads
of departments. Nor are they “superior officers.” An administrative
patent judge is not “[h]igher” than or “greater in dignity or
excellence” to other officers inferior to him. 2 Johnson,
Dictionary of the English Language (defining “Superiour”).
Tellingly, neither respondent nor the majority identify a
single officer lower in rank or subordinate to
administrative patent judges. Surely if “[w]hether one is an
‘inferior’ officer depends on whether he has a superior,” then
whether one is a superior officer depends on whether he has an
inferior.
Edmond, 520 U. S., at 662; see also
Morrison, 487 U. S., at 720 (Scalia, J., dissenting)
(“Of course one is not a ‘superior officer’ without some
supervisory responsibility”). In contrast, an administrative patent
judge
is lower in rank and subordinate to both the Director
and the Secretary.
* * *
To be clear, I do not purport to have exhausted all
contemporaneous debates, sources, and writings. Perhaps there is
some reason to believe that the inherent nature of an inferior
officer requires that all of their decisions be directly appealable
to a Senate-confirmed executive officer. But the majority does not
identify one. And, without any justification in the text, in the
history, or in our precedent, I would not impose that
requirement.
B
If anything, the Court’s functional prong in
Edmond may
merit reconsideration. The
Edmond opinion highlighted three
justifications for its decision to require more than just a lower
rank and a superior officer. But having reviewed the history, it is
worth checking whether these reasons are sound. They may not
be.
First,
Edmond highlighted the Constitution’s use of the
term “inferior officer.” 520 U. S., at 663. Were the
Appointments Clause meant to identify only lower ranking officers,
then the Constitution could have used the phrase “ ‘lesser
officer.’ ”
Ibid. But Madison’s objection to the
Inferior Officer Clause pokes a hole in this distinction. After
all, Madison used almost exactly this “lesser officer” phrasing: He
urged a broader clause so that “superior officers” could “have the
appointment of the
lesser offices.” 2 Farrand 627 (emphasis
added). If Madison understood the two terms to be interchangeable,
perhaps this Court should too.
Second,
Edmond flagged that the Appointments Clause was
designed “to preserve political accountability relative to
important Government assignments.” 520 U. S., at 663. But the
accountability feature of the Appointments Clause was not about
accountability for specific
decisions made by inferior
officers, but rather accountability for “ ‘a bad
nomination.’ ”
Id., at 660 (quoting The Federalist No.
77, p. 392 (M. Beloff ed. 1987)). The Appointments Clause “provides
a direct line of accountability for any poorly performing
officers back to the actor who selected them.” Mascott, 70
Stan. L. Rev., at 447 (emphasis added).
And third,
Edmond noted that legislation adopted by
early Congresses revealed that inferior officers were subject to
the discretion and direct oversight of the principal officer. 520
U. S., at 663. Take, for example, the Act establishing the
Department of War: It referred “to the Secretary of that department
as a ‘principal officer,’ ” and provided that “the Chief
Clerk, would be ‘employed’ within the Department as the Secretary
‘shall deem proper,’ as an ‘inferior officer.’ ”
Edmond, 520 U. S., at 664 (quoting ch. 7, 1 Stat.
49–50).
But not every officer was neatly categorized as a principal
officer or an inferior one. For example, the Act of Congress
Establishing the Treasury Department created “the following
officers, namely: a Secretary of the Treasury, to be deemed head of
the department; a Comptroller . . . , and an
Assistant to the Secretary of the Treasury, which assistant shall
be appointed by the said Secretary.” Act of Sept. 2, 1789, ch. 12,
§1, 1 Stat. 65. The statute does not label the Comptroller as a
principal officer or a department head. Nor is he expressly
designated as an inferior officer. Moreover, his duties extended
beyond doing merely what the Secretary deemed proper. The
Comptroller’s statutory power and authority included
“countersign[ing] all warrants drawn by the Secretary of Treasury,”
“provid[ing] for the regular and punctual payment of all monies
which may be collected,” and “direct[ing] prosecutions for all
delinquencies of officers of the revenue, and for debts that are,
or shall be due to the United States.” §3,
id., at 66. This
quasi-judicial figure’s “principal duty seems to be deciding upon
the lawfulness and justice of the claims and accounts subsisting
between the United States and particular citizens.” 1 Annals of
Cong. 611–612 (Madison); see also
ante, at 14–15. Yet at
least one early legislator (with no recorded objections) thought
“the Comptroller was an inferior officer.” 1 Annals of Cong. 613
(Stone).
Given the lack of historical support, it is curious that the
Court has decided to expand
Edmond’s “functional” prong to
elevate administrative patent judges to principal-officer status
(only to demote them back to inferior-officer status). Perhaps the
Court fears that a more formal interpretation might be too easy to
subvert. A tricky Congress could allow the Executive to sneak a
powerful, Cabinet-level-like officer past the Senate by merely
giving him a low rank. Maybe. But this seems like an odd case to
address that concern. And, even if this suit did raise the issue,
the Court should be hesitant to enforce its view of the
Constitution’s spirit at the cost of its text.
* * *
The Court today draws a new line dividing inferior officers
from principal ones. The fact that this line places administrative
patent judges on the side of Ambassadors, Supreme Court Justices,
and department heads suggests that something is not quite right. At
some point, we should take stock of our precedent to see if it
aligns with the Appointments Clause’s original meaning. But, for
now, we must apply the test we have. And, under that test,
administrative patent judges are both formally and functionally
inferior to the Director and to the Secretary. I respectfully
dissent.