FOR
EDUCATIONAL USE ONLY
Copr.
8 West 2000 No Claim to Orig. U.S. Govt. Works
108
S.Ct. 2597
101 L.Ed.2d 569,
56 USLW 4835
(Cite
as: 487 U.S. 654, 108 S.Ct. 2597)
<YELLOW FLAG>
Alexia MORRISON, Independent Counsel, Appellant,
v.
Theodore B. OLSON, Edward C. Schmults and Carol E. Dinkins.
No. 87‑1279.
Supreme Court of the United States
Argued April 26, 1988.
Decided June 29, 1988.
Three
former government officials brought suit challenging authority of independent
counsel appointed under provisions of Ethics and Government Act to issue
subpoenas compelling their testimony before grand jury. The United States District Court for the
District of Columbia, 665 F.Supp. 56, Aubrey E. Robinson, Jr., Chief Judge,
found officials in contempt for failing to answer subpoenas, and they
appealed. The Court of Appeals, 838
F.2d 476, Silberman, Circuit Judge, reversed, and appeal was taken. The Supreme Court, Chief Justice Rehnquist,
held that: (1) Act did not violate
appointments clause; (2) Act did not
violate Article III; and (3) Act did
not violate separation of powers doctrine.
Reversed.
Justice Scalia, dissented and filed opinion.
Justice Kennedy took no part in consideration or decision of case.
[1] CONTEMPT k66(3)
93k66(3)
Independent counsel waived objection to
appellate review of constitutionality of independent counsel statute, in action
finding defendants in contempt for failure to comply with grand jury subpoena,
where prosecutor failed to object to district court's consideration of merits of
defendants' constitutional claims.
[2] UNITED STATES k35
393k35
Independent counsel appointed pursuant to
Ethics in Government Act was
"inferior" officer, such that counsel's appointment by Special
Division does not violate appointments clause of Federal Constitution, in that
counsel was removable by higher Executive Branch official, was empowered to
perform only certain, limited duties, and counsel's office was limited in
jurisdiction and tenure. U.S.C.A.
Const. Art. 2, ' 2, cl. 2.
[3] CONSTITUTIONAL LAW k74
92k74
Appointment of independent counsel, an
"inferior" officer, by Special Division does not violate appointments
clause of Federal Constitution;
appointment of independent counsel by court does not run afoul of
constitutional limitation on "incongruous" interbranch appointments,
in that judges of Special Division are not allowed to participate in any
matters relating to independent counsel they have appointed. 28 U.S.C.A. ' 49(f); U.S.C.A. Const. Art. 2, ' 2, cl. 2.
[3] UNITED STATES k35
393k35
Appointment of independent counsel, an
"inferior" officer, by Special Division does not violate appointments
clause of Federal Constitution;
appointment of independent counsel by court does not run afoul of
constitutional limitation on "incongruous" interbranch appointments,
in that judges of Special Division are not allowed to participate in any
matters relating to independent counsel they have appointed. 28 U.S.C.A. ' 49(f); U.S.C.A. Const. Art. 2, ' 2, cl. 2.
[4] CONSTITUTIONAL LAW k60
92k60
Congress acted within its authority under
appointments clause in creating Special Division with authority to appoint
independent counsel to investigate misconduct in Executive Branch, provided
that such counsel's jurisdiction be related to factual circumstances giving
rise to Attorney General's request for appointment. 28 U.S.C.A. ' 593(b);
U.S.C.A. Const. Art. 2, ' 2, cl. 2.
[4] UNITED STATES k35
393k35
Congress acted within its authority under
appointments clause in creating Special Division with authority to appoint
independent counsel to investigate misconduct in Executive Branch, provided
that such counsel's jurisdiction be related to factual circumstances giving
rise to Attorney General's request for appointment. 28 U.S.C.A. ' 593(b);
U.S.C.A. Const. Art. 2, ' 2, cl. 2.
[5] CONSTITUTIONAL LAW k74
92k74
Miscellaneous functions granted to Special
Division pursuant to Ethics in Government Act did not violate Article III
prohibition against judicial exercise of executive powers in that such
functions were either passive or essentially ministerial, and were analogous to
functions that federal judges performed in other contexts. 28 U.S.C.A. '' 592(a)(3), (b)(1),
593(c)(2)(B), (f), 594(e, f), (h)(1)(A, B), (h)(2); U.S.C.A. Const. Art. 3, ' 1 et seq.
[6] CONSTITUTIONAL LAW k74
92k74
Provision in Ethics in Government Act giving
Special Division power to terminate office of independent counsel does not
violate Article III prohibition against judicial exercise of executive power in
that such termination may occur only when duties of counsel are completed or so
substantially completed that there is no need for any continued action by
independent counsel. 28 U.S.C.A. '
596(b)(2); U.S.C.A. Const. Art. 3, ' 1
et seq.
[7] CONSTITUTIONAL LAW k74
92k74
Ethics in Government Act provisions providing
for creation of Special Division with authority to appoint independent counsel
does not pose threat to impartial and independent federal adjudication of
claims within judicial power of United States, such as would violate Article
III, in that statute isolates Special Division and its judges from review of
independent counsel's activities. 28
U.S.C.A. '' 49(f), 596(a)(3); U.S.C.A.
Const. Art. 3, ' 1 et seq.
[7] UNITED STATES k35
393k35
Ethics in Government Act provisions providing
for creation of Special Division with authority to appoint independent counsel
does not pose threat to impartial and independent federal adjudication of
claims within judicial power of United States, such as would violate Article
III, in that statute isolates Special Division and its judges from review of
independent counsel's activities. 28
U.S.C.A. '' 49(f), 596(a)(3); U.S.C.A.
Const. Art. 3, ' 1 et seq.
[8] UNITED STATES k35
393k35
Special Division has no authority to take any
action or undertake any duties that are not specifically authorized by Ethics
in Government Act. 28 U.S.C.A. ' 591 et
seq.
[9] CONSTITUTIONAL LAW k58
92k58
Ethics in Government Act restricting Attorney
General's power to remove independent counsel to only those instances in which
he can show "good cause" does not impermissibly interfere with
President's exercise of his constitutionally appointed functions, in violation
of separation of powers doctrine;
independent counsel is inferior officer under appointments clause and
President's need to control counsel is not so essential to functioning of
Executive Branch as to require as matter of constitutional law that counsel be
terminable at will by President. 28
U.S.C.A. ' 596(a)(1); U.S.C.A. Const.
Art. 2, ' 2, cl. 2; Art. 3, ' 1 et seq.
[9] UNITED STATES k35
393k35
Ethics in Government Act restricting Attorney
General's power to remove independent counsel to only those instances in which
he can show "good cause" does not impermissibly interfere with
President's exercise of his constitutionally appointed functions, in violation
of separation of powers doctrine;
independent counsel is inferior officer under appointments clause and
President's need to control counsel is not so essential to functioning of
Executive Branch as to require as matter of constitutional law that counsel be
terminable at will by President. 28
U.S.C.A. ' 596(a)(1); U.S.C.A. Const.
Art. 2, ' 2, cl. 2; Art. 3, ' 1 et seq.
[10] CONSTITUTIONAL LAW k58
92k58
Ethics in Government Act does not violate
separation of powers doctrine by reducing President's ability to control
prosecutorial powers exercised by independent counsel in that Act does not vest
Executive Branch functions in either legislative or judicial branches, and
provides for the Executive Branch, through Attorney General, to initiate
investigation by independent counsel, to define counsel's jurisdiction, and to
remove counsel for good cause. 28
U.S.C.A. ' 591 et seq.; U.S.C.A. Const.
Art. 3, ' 1 et seq.
[10] CONSTITUTIONAL LAW k74
92k74
Ethics in Government Act does not violate
separation of powers doctrine by reducing President's ability to control
prosecutorial powers exercised by independent counsel in that Act does not vest
Executive Branch functions in either legislative or judicial branches, and
provides for the Executive Branch, through Attorney General, to initiate
investigation by independent counsel, to define counsel's jurisdiction, and to
remove counsel for good cause. 28
U.S.C.A. ' 591 et seq.; U.S.C.A. Const.
Art. 3, ' 1 et seq.
[10] UNITED STATES k35
393k35
Ethics in Government Act does not violate
separation of powers doctrine by reducing President's ability to control
prosecutorial powers exercised by independent counsel in that Act does not vest
Executive Branch functions in either legislative or judicial branches, and
provides for the Executive Branch, through Attorney General, to initiate
investigation by independent counsel, to define counsel's jurisdiction, and to
remove counsel for good cause. 28
U.S.C.A. ' 591 et seq.; U.S.C.A. Const.
Art. 3, ' 1 et seq.
**2599 Syllabus [FN*]
FN* The syllabus constitutes no part
of the opinion of the Court but has been prepared by the Reporter of Decisions
for the convenience of the reader. See
United States v. Detroit Lumber Co., 200 U.S. 321, 337, 26 S.Ct. 282, 287, 50
L.Ed. 499.
*654 This case presents the question of the constitutionality of the
independent counsel provisions of the Ethics in Government Act of 1978 (Act).
It arose when the House Judiciary Committee began an investigation into the
Justice Department's role in a controversy between the House and the
Environmental Protection Agency (EPA) with regard to the Agency's limited
production of certain documents that had been subpoenaed during an earlier House
investigation. The Judiciary
Committee's Report suggested that an official of the Attorney General's Office
(appellee Olson) had given false testimony during the earlier EPA
investigation, and that two other officials of that Office (appellees Schmults and
Dinkins) had obstructed the EPA investigation by wrongfully withholding certain
documents. A copy of the report was
forwarded to the Attorney General with a request, pursuant to the Act, that he
seek appointment of an independent counsel to investigate the allegations
against appellees. Ultimately, pursuant
to the Act's provisions, the Special Division (a special court created by the
Act) appointed appellant as independent counsel with respect to Olson only, and
gave her jurisdiction to investigate whether Olson's testimony, or any other
matter related thereto, violated federal law, and to prosecute any
violations. When a dispute arose
between independent counsel and the Attorney General, who refused to furnish as
"related matters" the Judiciary Committee's allegations against
Schmults and Dinkins, the Special Division ruled that its grant of jurisdiction
to counsel was broad enough to permit inquiry into whether Olson had conspired
with others, including Schmults and Dinkins, to obstruct the EPA investigation.
Appellant then caused a grand jury to issue subpoenas on appellees, who moved
in Federal District Court to quash the subpoenas, claiming that the Act's
independent counsel provisions were unconstitutional and that appellant
accordingly had no authority to proceed.
The court upheld the Act's constitutionality, denied the motions, and
later ordered that appellees be held in contempt for continuing to refuse to
comply with the subpoenas. The Court of
Appeals reversed, holding that the Act violated the Appointments Clause of the
Constitution, Art. II, ' 2, cl. 2; the
limitations *655 OF **2600 articLE III; and the principle of separation of powers by interfering with the
President's authority under Article II.
Held:
1. There is no merit to appellant's
contention‑‑based on Blair v. United States, 250 U.S. 273, 39 S.Ct.
468, 63 L.Ed. 979, which limited the issues that may be raised by a person who
has been held in contempt for failure to comply with a grand jury subpoena‑‑that
the constitutional issues addressed by the Court of Appeals cannot be raised on
this appeal from the District Court's contempt judgment. The Court of Appeals ruled that, because
appellant had failed to object to the District Court's consideration of the
merits of appellees' constitutional claims, she had waived her opportunity to
contend on appeal that Blair barred review of those claims. Appellant's contention is not
"jurisdictional" in the sense that it cannot be waived by failure to
raise it at the proper time and place.
Nor is it the sort of claim which would defeat jurisdiction in the
District Court by showing that an Article III "Case or Controversy"
is lacking. Pp. 2607‑2608.
2. It does not violate the Appointments
Clause for Congress to vest the appointment of independent counsel in the
Special Division. Pp. 2608‑2611.
(a) Appellant is an "inferior"
officer for purposes of the Clause, which‑‑after providing for the
appointment of certain federal officials ("principal" officers) by
the President with the Senate's advice and consent‑‑ states that
"the 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." Although
appellant may not be "subordinate" to the Attorney General (and the
President) insofar as, under the Act, she possesses a degree of independent
discretion to exercise the powers delegated to her, the fact that the Act
authorizes her removal by the Attorney General indicates that she is to some
degree "inferior" in rank and authority. Moreover, appellant is
empowered by the Act to perform only certain, limited duties, restricted
primarily to investigation and, if appropriate, prosecution for certain federal
crimes. In addition, appellant's office
is limited in jurisdiction to that which has been granted by the Special
Division pursuant to a request by the Attorney General. Also, appellant's office is
"temporary" in the sense that an independent counsel is appointed
essentially to accomplish a single task, and when that task is over the office
is terminated, either by counsel herself or by action of the Special
Division. Pp. 2608‑2609.
(b) There is no merit to appellees' argument
that, even if appellant is an
"inferior" officer, the Clause does not empower Congress to
place the power to appoint such an officer outside the Executive Branch‑‑that
*656 is, to make "interbranch appointments." The Clause's language as to
"inferior" officers admits of no limitation on interbranch
appointments, but instead seems clearly to give Congress significant discretion
to determine whether it is "proper" to vest the appointment of, for
example, executive officials in the "courts of Law." The Clause's history provides no support for
appellees' position. Moreover, Congress was concerned when it created the
office of independent counsel with the conflicts of interest that could arise
in situations when the Executive Branch is called upon to investigate its own
high‑ranking officers, and the most logical place to put the appointing
authority was in the Judicial Branch.
In light of the Act's provision making the judges of the Special
Division ineligible to participate in any matters relating to an independent
counsel they have appointed, appointment of independent counsels by that court
does not run afoul of the constitutional limitation on "incongruous"
interbranch appointments. Pp. 2609‑2611.
3. The powers vested in the Special Division
do not violate Article III, under which executive or administrative duties of a
nonjudicial nature may not be imposed on **2601 judges holding office
under Article III. Pp. 2611‑
2616.
(a) There can be no Article III objection to
the Special Division's exercise of the power, under the Act, to appoint
independent counsel, since the power itself derives from the Appointments
Clause, a source of authority for judicial action that is independent of
Article III. Moreover, the Division's
Appointments Clause powers encompass the power to define the independent
counsel's jurisdiction. When, as here,
Congress creates a temporary "office," the nature and duties of which
will by necessity vary with the factual circumstances giving rise to the need
for an appointment in the first place, it may vest the power to define the
office's scope in the court as an incident to the appointment of the officer
pursuant to the Appointments Clause.
However, the jurisdiction that the court decides upon must be
demonstrably related to the factual circumstances that gave rise to the
Attorney General's request for the appointment of independent counsel in the particular
case. Pp. 2612‑2613.
(b) Article III does not absolutely prevent
Congress from vesting certain miscellaneous powers in the Special Division
under the Act. One purpose of the broad
prohibition upon the courts' exercise of executive or administrative duties of
a nonjudicial nature is to maintain the separation between the Judiciary and
the other branches of the Federal Government by ensuring that judges do not
encroach upon executive or legislative authority or undertake tasks that are
more properly accomplished by those branches.
Here, the Division's miscellaneous powers‑‑such as the
passive powers to "receive" (but not to act on or specifically
approve) various reports from independent counsel or the Attorney General‑‑do
not encroach upon the Executive Branch's authority. The Act *657 simply does not give the Division power to
"supervise" the independent counsel in the exercise of counsel's
investigative or prosecutorial authority.
And, the functions that the Division is empowered to perform are not
inherently "Executive," but are directly analogous to functions that
federal judges perform in other contexts.
P. 2613.
(c) The Special Division's power to terminate
an independent counsel's office when counsel's task is completed‑‑although
"administrative" to the extent that it requires the Division to
monitor the progress of counsel's proceedings and to decide whether counsel's
job is "completed"‑‑is not such a significant judicial
encroachment upon executive power or upon independent counsel's prosecutorial
discretion as to require that the Act be invalidated as inconsistent with
Article III. The Act's termination
provisions do not give the Division anything approaching the power to remove
the counsel while an investigation or court proceeding is still underway‑‑this
power is vested solely in the Attorney General. Pp. 2614‑2615.
(d) Nor does the Special Division's exercise
of the various powers specifically granted to it pose any threat to the
impartial and independent federal adjudication of claims within the judicial
power of the United States. The Act gives the Division itself no power to
review any of the independent counsel's actions or any of the Attorney
General's actions with regard to the counsel.
Accordingly, there is no risk of partisan or biased adjudication of
claims regarding the independent counsel by that court. Moreover, the Act prevents the Division's
members from participating in "any judicial proceeding concerning a matter
which involves such independent counsel while such independent counsel is
serving in that office or which involves the exercise of such independent
counsel's official duties, regardless of whether such independent counsel is
still serving in that office." Pp.
2615‑2616.
4. The Act does not violate separation of
powers principles by impermissibly interfering with the functions of the
Executive Branch. Pp. 2616‑2622.
(a) The Act's provision restricting the
Attorney General's power to remove the independent counsel to only those
instances **2602 in which he can show "good cause," taken by
itself, does not impermissibly interfere with the President's exercise of his
constitutionally appointed functions.
Here, Congress has not attempted to gain a role in the removal of
executive officials other than its established powers of impeachment and
conviction. The Act instead puts the
removal power squarely in the hands of the Executive Branch. Bowsher v. Synar, 478 U.S. 714, 106 S.Ct.
3181, 92 L.Ed.2d 583, and Myers v. United States, 272 U.S. 52, 47 S.Ct. 21, 71
L.Ed. 160, distinguished. The
determination of whether the Constitution allows Congress to impose a
"good cause"‑type restriction on the President's power to
remove an official does not turn on whether or not that official is classified
as "purely executive." The
*658 analysis contained in this Court's removal cases is designed not to
define rigid categories of those officials who may or may not be removed at
will by the President, but to ensure that Congress does not interfere with the
President's exercise of the "executive power" and his
constitutionally appointed duty to "take care that the laws be faithfully
executed" under Article II. Cf.
Humphrey's Executor v. United States, 295 U.S. 602, 55 S.Ct. 869, 79 L.Ed.
1611; Wiener v. United States, 357 U.S.
349, 78 S.Ct. 1275, 2 L.Ed.2d 1377.
Here, the Act's imposition of a "good cause" standard for
removal by itself does not unduly trammel on executive authority. The congressional determination to limit the
Attorney General's removal power was essential, in Congress' view, to establish
the necessary independence of the office of independent counsel. Pp. 2616‑2620.
(b) The Act, taken as a whole, does not
violate the principle of separation of powers by unduly interfering with the
Executive Branch's role. This case does
not involve an attempt by Congress to increase its own powers at the expense of
the Executive Branch. The Act does
empower certain Members of Congress to request the Attorney General to apply
for the appointment of an independent counsel, but the Attorney General has no
duty to comply with the request, although he must respond within a certain time
limit. Other than that, Congress' role
under the Act is limited to receiving reports or other information and to
oversight of the independent counsel's activities, functions that have been
recognized generally as being incidental to the legislative function of
Congress. Similarly, the Act does not
work any judicial usurpation of properly executive functions. Nor does the Act impermissibly undermine the
powers of the Executive Branch, or disrupt the proper balance between the
coordinate branches by preventing the Executive Branch from accomplishing its
constitutionally assigned functions.
Even though counsel is to some degree "independent" and free
from Executive Branch supervision to a greater extent than other federal
prosecutors, the Act gives the Executive Branch sufficient control over the
independent counsel to ensure that the President is able to perform his
constitutionally assigned duties. Pp.
2620‑2622.
267 U.S.App.D.C. 178, 838 F.2d 476 (1988),
reversed.
REHNQUIST, C.J., delivered the opinion of the
Court, in which BRENNAN, WHITE, MARSHALL, BLACKMUN, STEVENS, and O'CONNOR, JJ.,
joined. SCALIA, J., filed a dissenting
opinion, post, p. ‑‑‑.
KENNEDY, J., took no part in the consideration or decision of the case.
Alexia Morrison, appellant, argued the cause
pro se. With her on the briefs were Earl C. Dudley, Jr., and Louis *659
F. Claiborne. Michael Davidson argued
the cause for the United States Senate as amicus curiae in support of
appellant. With him on the brief were
Ken U. Benjamin, Jr., and Morgan J. Frankel.
Thomas S. Martin argued the cause for
appellees. With him on the brief for
appellee Olson were Anthony C. Epstein, David E. Zerhusen, David W. DeBruin,
and Carl S. Nadler. Brendan V.
Sullivan, Jr., Barry S. Simon, Jacob A. Stein, and Robert F. Muse filed a brief
for appellees Schmults et al. Solicitor
General Fried argued the cause for the United States as amicus curiae in
support of appellees. With him on the
brief were Assistant Attorney General Bolton, Deputy Solicitors General Cohen
and Bryson, Deputy Assistant Attorneys General Spears and Cynkar, Edwin S.
Kneedler, Richard G. Taranto, Robert E. Kopp, and Douglas Letter.*
* Briefs of amici curiae urging reversal were
filed for the American Bar Association by Robert MacCrate and Irvin B.
Nathan; for Common Cause by Archibald
Cox, Donald J. Simon, Paul A. Freund, and Philip B. Heymann; for the Center for Constitutional Rights by
Morton Stavis, Michael Ratner, Frank Askin, and Daniel Pollitt; for Public Citizen by Eric R. Glitzenstein
and Alan B. Morrison; for Burton D.
Linne et al. by Edwin Vieira, Jr.; and
for Lawrence E. Walsh by Laurence H. Tribe, Paul L. Friedman, and Guy Miller
Struve.
Briefs of amici curiae urging affirmance were
filed for Michael K. Deaver by Herbert J. Miller, Jr., and Randall J.
Turk; and for Edward H. Levi et al. by
David A. Strauss.
Briefs of amici curiae were filed for the
Speaker and Leadership Group of the House of Representatives by Steven R. Ross,
Charles Tiefer, and Michael L. Murray;
for the American Federation of Labor and Congress of Industrial
Organizations by Robert M. Weinberg, Michael H. Gottesman, and Laurence Gold;
and for Whitney North Seymour, Jr., by Mr. Seymour, pro se, George F. Hritz,
Benjamin R. Civiletti, and Ramsey Clark.
**2603 Chief Justice REHNQUIST delivered the opinion of the Court.
This case presents us with a challenge to the
independent counsel provisions of the Ethics in Government Act of 1978, 28
U.S.C. '' 49, 591 et seq. (1982 ed., Supp. V).
We hold *660 today that these provisions of the Act do not
violate the Appointments Clause of the Constitution, Art. II, ' 2, cl. 2, or
the limitations of Article III, nor do they impermissibly interfere with the President's
authority under Article II in violation of the constitutional principle of
separation of powers.
I
Briefly stated, Title VI of the Ethics in
Government Act (Title VI or the Act), 28 U.S.C. '' 591‑599 (1982 ed.,
Supp. V), [FN1] allows for the appointment of an "independent
counsel" to investigate and, if appropriate, prosecute certain high‑ranking
Government officials for violations of federal criminal laws. [FN2] The Act requires the Attorney General, upon
receipt of information that he determines is "sufficient to constitute
grounds to investigate whether any person [covered by the Act] may have
violated any Federal criminal law," to conduct a preliminary investigation
of the matter. When the Attorney *661 General has completed this
investigation, or 90 days has elapsed, he is required to report to a special
court (the Special Division) created by the Act "for the purpose of
appointing independent counsels."
28 U.S.C. ' 49 (1982 ed., Supp. V). [FN3] If the Attorney General determines that "there are no
reasonable grounds to believe that further investigation is warranted,"
then he must notify the Special Division of this result. In such a case, "the division of the
court shall have no power to appoint an independent counsel." '
592(b)(1). If, however, the Attorney
General has determined that there are "reasonable grounds to believe that
further investigation or prosecution is warranted," then he "shall
apply to the division of the court for the appointment of an independent counsel."
[FN4] The Attorney General's
application to the court "shall contain sufficient **2604
information to assist the [court] in selecting an independent counsel and in
defining that independent counsel's prosecutorial jurisdiction." '
592(d). Upon receiving this
application, the Special Division "shall appoint an appropriate
independent counsel and shall define that independent counsel's prosecutorial
jurisdiction." ' 593(b). [FN5]
FN1. The Act was first enacted by
Congress in 1978, Pub.L. 95‑521, 92 Stat. 1867, and has been twice
reenacted, with amendments. See Pub.L.
97‑ 409, 96 Stat. 2039; Pub.L.
100‑191, 101 Stat. 1293. The
current version of the statute states that, with certain exceptions, it shall
"cease to be effective five years after the date of the enactment of the
Independent Counsel Reauthorization Act of 1987." 28 U.S.C. ' 599 (1982 ed., Supp. V).
FN2. Under 28 U.S.C. ' 591(a) (1982
ed., Supp. V), the statute applies to violations of "any Federal criminal
law other than a violation classified as a Class B or C misdemeanor or an
infraction." See also ' 591(c)
("any Federal criminal law other than a violation classified as a Class B
or C misdemeanor or an infraction").
Section 591(b) sets forth the individuals who may be the target of an
investigation by the Attorney General, including the President and Vice
President, Cabinet level officials, certain high‑ranking officials in the
Executive Office of the President and the Justice Department, the Director and
Deputy Director of Central Intelligence, the Commissioner of Internal Revenue,
and certain officials involved in the President's national political campaign.
Pursuant to ' 591(c), the Attorney General may also conduct a preliminary
investigation of persons not named in ' 591(b) if an investigation by the
Attorney General or other Department of Justice official "may result in a
personal, financial, or political conflict of interest."
FN3. The Special Division is a
division of the United States Court of Appeals for the District of Columbia
Circuit. 28 U.S.C. ' 49 (1982 ed., Supp. V).
The court consists of three circuit court judges or justices appointed
by the Chief Justice of the United States.
One of the judges must be a judge of the United States Court of Appeals
for the District of Columbia Circuit, and no two of the judges may be named to
the Special Division from a particular court.
The judges are appointed for 2‑year terms, with any vacancy being
filled only for the remainder of the 2‑year period. Ibid.
FN4. The Act also requires the
Attorney General to apply for the appointment of an independent counsel if 90
days elapse from the receipt of the information triggering the preliminary
investigation without a determination by the Attorney General that there are no
reasonable grounds to believe that further investigation or prosecution is
warranted. ' 592(c)(1). Pursuant to '
592(f), the Attorney General's decision to apply to the Special Division for
the appointment of an independent counsel is not reviewable "in any
court."
FN5. Upon request of the Attorney
General, in lieu of appointing an independent counsel the Special Division may
"expand the prosecutorial jurisdiction of an independent
counsel." ' 593(c). Section 593 also authorizes the Special
Division to fill vacancies arising because of the death, resignation, or removal of an independent counsel. ' 593(e). The court, in addition, is
empowered to grant limited extensions of time for the Attorney General's
preliminary investigation, ' 592(a)(3), and to award attorney's fees to
unindicted individuals who were the subject of an investigation by an independent
counsel, ' 593(f) (as amended by Pub.L. 101‑191, 101 Stat. 1293).
*662 With respect to all matters within the independent counsel's
jurisdiction, the Act grants the counsel "full power and independent
authority to exercise all investigative and prosecutorial functions and powers
of the Department of Justice, the Attorney General, and any other officer or
employee of the Department of Justice." ' 594(a). [FN6] The functions of the independent counsel
include conducting grand jury proceedings and other investigations,
participating in civil and criminal court proceedings and litigation, and
appealing any decision in any case in which the counsel participates in an
official capacity. '' 594(a)(1)‑(3). Under ' 594(a)(9), the counsel's powers
include "initiating and conducting prosecutions in any court of competent
jurisdiction, framing and signing indictments, filing informations, and
handling all aspects of any case, in the name of the United States." The counsel may appoint employees, ' 594(c),
may request and obtain assistance from the Department of Justice, ' 594(d), and
may accept referral of matters from the Attorney General if the matter falls
within the counsel's jurisdiction as defined by the Special Division, ' 594(e). The Act also states that an independent
counsel "shall, except where not possible, comply with the written or
other established policies of the Department of Justice respecting enforcement
of the criminal laws." ' 594(f). In
addition, whenever a matter has been referred to an independent counsel under
the Act, the Attorney General *663 and the Justice Department are
required to suspend all investigations and proceedings regarding the matter. '
597(a). An independent counsel has
"full authority to dismiss matters within [his or her] prosecutorial
jurisdiction without conducting an investigation or at any subsequent time
before prosecution, if to do so would be consistent" with Department of
Justice policy. ' 594(g). [FN7]
FN6. The Attorney General, however,
retains "direction or control as to those matters that specifically
require the Attorney General's personal action under section 2516 of title
18." ' 594(a).
FN7. The 1987 amendments to the Act
specify that the Department of Justice "shall pay all costs relating to the
establishment and operation of any office of independent counsel." The Attorney General must report to Congress
regarding the amount expended on investigations and prosecutions by independent counsel. ' 594(d)(2). In addition, the independent counsel must also file a report of
major expenses with the Special Division every six months. ' 594(h)(1)(A).
Two statutory provisions govern the length of
an independent counsel's tenure in office.
The first defines the procedure for removing an independent
counsel. Section 596(a)(1) provides:
"An independent counsel
appointed under this chapter may be removed from office, other than by
impeachment and conviction, only by the personal action of the Attorney General
and only for good cause, physical disability, mental incapacity, or any other
condition that substantially impairs the performance of such independent
counsel's duties."
If an independent counsel is removed pursuant
to this section, the Attorney General is required to submit a report to both
the Special Division and the Judiciary Committees of the Senate and the House
"specifying **2605 the facts found and the ultimate grounds for
such removal." ' 596(a)(2). Under the current version of the Act, an
independent counsel can obtain judicial review of the Attorney General's action
by filing a civil action in the United States District Court for the District
of Columbia. Members of the Special
Division "may not hear or determine any such civil action or any appeal of
a decision *664 in any such civil action." The reviewing court is authorized to grant
reinstatement or "other appropriate relief." ' 596(a)(3). [FN8]
FN8. Under the Act as originally
enacted, an independent counsel who was removed could obtain judicial review of
the Attorney General's decision in a civil action commenced before the Special
Division. If the removal was
"based on error of law or fact," the court could order
"reinstatement or other appropriate relief." 28 U.S.C. ' 596(a)(3).
The other provision governing the tenure of
the independent counsel defines the procedures for "terminating" the
counsel's office. Under ' 596(b)(1),
the office of an independent counsel terminates when he or she notifies the
Attorney General that he or she has completed or substantially completed any
investigations or prosecutions undertaken pursuant to the Act. In addition, the Special Division, acting
either on its own or on the suggestion of the Attorney General, may terminate
the office of an independent counsel at any time if it finds that "the
investigation of all matters within the prosecutorial jurisdiction of such
independent counsel ... have been completed or so substantially completed that
it would be appropriate for the Department of Justice to complete such
investigations and prosecutions."
' 596(b)(2). [FN9]
FN9. Sections 596(b)(1)(B) and
596(b)(2) also require that the independent counsel have filed a final report
with the Special Division in compliance with ' 594(h)(1)(B).
Finally, the Act provides for congressional
oversight of the activities of independent counsel. An independent counsel may from time to time send Congress
statements or reports on his or her activities. ' 595(a)(2). The
"appropriate committees of the Congress" are given oversight
jurisdiction in regard to the official conduct of an independent counsel, and
the counsel is required by the Act to cooperate with Congress in the exercise
of this jurisdiction. ' 595(a)(1). The counsel is required to inform the House
of Representatives of *665 "substantial and credible information
which [the counsel] receives ... that may constitute grounds for an
impeachment." ' 595(c). In addition, the Act gives certain
congressional committee members the power to "request in writing that the
Attorney General apply for the appointment of an independent
counsel." ' 592(g)(1). The Attorney General is required to respond
to this request within a specified time but is not required to accede to the
request. ' 592(g)(2).
The proceedings in this case provide an
example of how the Act works in practice.
In 1982, two Subcommittees of the House of Representatives issued
subpoenas directing the Environmental Protection Agency (EPA) to produce
certain documents relating to the efforts of the EPA and the Land and Natural
Resources Division of the Justice Department to enforce the "Superfund
Law." [FN10] At that time,
appellee Olson was the Assistant Attorney General for the Office of Legal
Counsel (OLC), appellee Schmults was Deputy Attorney General, and appellee
Dinkins was the Assistant Attorney General for the Land and Natural Resources
Division. Acting on the advice of the
Justice Department, the President ordered the Administrator of EPA to invoke
executive privilege to withhold certain of the documents on the ground that
they contained "enforcement sensitive information." The Administrator obeyed this order and
withheld the documents. In response,
the House voted to hold the Administrator in contempt, after which the
Administrator and the United States together filed a lawsuit against the
House. The **2606 conflict
abated in March 1983, when the administration agreed to give the House
Subcommittees limited access to the documents.
FN10. Comprehensive Environmental
Response, Compensation, and Liability Act of 1980, Pub.L. 96‑510, 94
Stat. 2767, 42 U.S.C. ' 9601 et seq.
The following year, the House Judiciary
Committee began an investigation into the Justice Department's role in the
controversy over the EPA documents. During this investigation, appellee Olson
testified before a House Subcommittee *666 on March 10, 1983. Both before and after that testimony, the
Department complied with several Committee requests to produce certain
documents. Other documents were at
first withheld, although these documents were eventually disclosed by the
Department after the Committee learned of their existence. In 1985, the majority members of the
Judiciary Committee published a lengthy report on the Committee's
investigation. Report on Investigation
of the Role of the Department of Justice in the Withholding of Environmental
Protection Agency Documents from Congress in 1982‑83, H.R.Rep. No. 99‑435
(1985). The report not only criticized
various officials in the Department of Justice for their role in the EPA
executive privilege dispute, but it also suggested that appellee Olson had
given false and misleading testimony to the Subcommittee on March 10, 1983, and
that appellees Schmults and Dinkins had wrongfully withheld certain documents
from the Committee, thus obstructing the Committee's investigation. The Chairman of the Judiciary Committee
forwarded a copy of the report to the Attorney General with a request, pursuant
to 28 U.S.C. ' 592(c), that he seek the appointment of an independent counsel
to investigate the allegations against Olson, Schmults, and Dinkins.
The Attorney General directed the Public
Integrity Section of the Criminal Division to conduct a preliminary investigation. The Section's report concluded that the
appointment of an independent counsel was warranted to investigate the
Committee's allegations with respect to all three appellees. After consulting
with other Department officials, however, the Attorney General chose to apply
to the Special Division for the appointment of an independent counsel solely
with respect to appellee Olson. [FN11]
The Attorney General accordingly *667 requested appointment of an
independent counsel to investigate whether Olson's March 10, 1983, testimony
"regarding the completeness of [OLC's] response to the Judiciary
Committee's request for OLC documents, and regarding his knowledge of EPA's
willingness to turn over certain disputed documents to Congress, violated 18
U.S.C. ' 1505, ' 1001, or any other provision of federal criminal
law." Attorney General Report, at
2‑3. The Attorney General also
requested that the independent counsel have authority to investigate "any
other matter related to that allegation."
Id., at 11.
FN11. The Attorney General concluded
that appellees Schmults and Dinkins lacked the requisite "criminal
intent" to obstruct the Committee's investigation. See Report of Attorney General Pursuant to
28 U.S.C. ' 592(c)(1) Regarding Allegations Against Department of Justice
Officials in United States House Judiciary Committee Report 22, 45 (Apr. 10,
1986), filed in No. 86‑1 (CADC) (Attorney General Report).
On April 23, 1986, the Special Division
appointed James C. McKay as independent counsel to investigate "whether
the testimony of ... Olson and his revision of such testimony on March 10,
1983, violated either 18 U.S.C. ' 1505 or ' 1001, or any other provision of
federal law." The court also
ordered that the independent counsel
"shall have jurisdiction to
investigate any other allegation of evidence of violation of any Federal
criminal law by Theodore Olson developed during investigations, by the
Independent Counsel, referred to above, and connected with or arising out of
that investigation, and Independent Counsel shall have jurisdiction to
prosecute for any such violation."
Order, Div. No. 86‑1 (CADC Special Division, April 23, 1986).
McKay later resigned as independent counsel,
and on May 29, 1986, the Division appointed **2607 appellant Morrison as
his replacement, with the same jurisdiction.
In January 1987, appellant asked the Attorney
General pursuant to ' 594(e) to refer
to her as "related matters" the Committee's allegations against
appellees Schmults and Dinkins. The
Attorney General refused to refer the matters, concluding that his decision not
to request the appointment of *668 an independent counsel in regard to
those matters was final under ' 592(b)(1).
Appellant then asked the Special Division to order that the matters be
referred to her under ' 594(e). On
April 2, 1987, the Division ruled that the Attorney General's decision not to
seek appointment of an independent counsel with respect to Schmults and Dinkins
was final and unreviewable under ' 592(b)(1), and that therefore the court had
no authority to make the requested referral.
In re Olson, 260 U.S.App.D.C. 168, 818 F.2d 34. The court ruled, however, that its original
grant of jurisdiction to appellant was broad enough to permit inquiry into
whether Olson may have conspired with others, including Schmults and Dinkins,
to obstruct the Committee's investigation.
Id., at 181‑182, 818 F.2d, at 47‑48.
Following this ruling, in May and June 1987,
appellant caused a grand jury to issue and serve subpoenas ad testificandum and
duces tecum on appellees. All three
appellees moved to quash the subpoenas, claiming, among other things, that the
independent counsel provisions of the Act were unconstitutional and that
appellant accordingly had no authority to proceed. On July 20, 1987, the District Court upheld the constitutionality
of the Act and denied the motions to quash.
In re Sealed Case, 665 F.Supp. 56 (DC).
The court subsequently ordered that appellees be held in contempt
pursuant to 28 U.S.C. ' 1826(a) for continuing to refuse to comply with the
subpoenas. See App. to Juris. Statement
140a, 143a, 146a. The court stayed the
effect of its contempt orders pending expedited appeal.
A divided Court of Appeals reversed. In re Sealed Case, 267 U.S.App.D.C. 178, 838
F.2d 476 (1988). The majority ruled
first that an independent counsel is not an "inferior Officer" of the
United States for purposes of the Appointments Clause. Accordingly, the court found the Act invalid
because it does not provide for the independent counsel to be nominated by the
President and confirmed by the Senate, as the Clause requires for
"principal" officers. The court then *669 went on to consider
several alternative grounds for its conclusion that the statute was unconstitutional. In the majority's view, the Act also
violates the Appointments Clause insofar as it empowers a court of law to
appoint an "inferior" officer who performs core executive functions; the Act's delegation of various powers to
the Special Division violates the limitations of Article III; the Act's restrictions on the Attorney
General's power to remove an independent counsel violate the separation of
powers; and finally, the Act interferes
with the Executive Branch's prerogative to "take care that the Laws be
faithfully executed," Art. II, ' 3.
The dissenting judge was of the view that the Act was constitutional.
267 U.S.App.D.C., at 238, 838 F.2d, at 536.
Appellant then sought review by this Court, and we noted probable
jurisdiction. 484 U.S. 1058, 108 S.Ct.
1010, 98 L.Ed.2d 976 (1988). We now
reverse.
II
[1] Before we get to the merits, we first
must deal with appellant's contention that the constitutional issues addressed
by the Court of Appeals cannot be reviewed on this appeal from the District
Court's contempt judgment. Appellant relies on Blair v. United States, 250 U.S.
273, 39 S.Ct. 468, 63 L.Ed. 979 (1919), in which this Court limited rather
sharply the issues that may be raised by an individual who has been subpoenaed
as a grand jury witness and has been held in contempt for failure to comply
with the subpoena. On the facts of this
case, however, we find it unnecessary **2608 to consider whether Blair
has since been narrowed by our more recent decisions, as appellees contend and
the Court of Appeals found in another related case, In re Sealed Case, 264
U.S.App.D.C. 125, 827 F.2d 776 (1987).
Appellant herself admits that she failed to object to the District
Court's consideration of the merits of appellees' constitutional claims, and as
a result, the Court of Appeals ruled that she had waived her opportunity to
contend on appeal that review of those claims was barred by Blair. We see no reason why the Court of Appeals
was not entitled to conclude *670 that the failure of appellant to object
on this ground in the District Court was a sufficient reason for refusing to
consider it, and we likewise decline to consider it. Appellant's contention is not "jurisdictional" in the
sense that it cannot be waived by failure to raise it at the proper time and
place. It is not the sort of claim
which would defeat jurisdiction in the District Court by showing that an
Article III "Case" or "Controversy" is lacking. Appellees are subject to the burden of
complying with the grand jury subpoena as a result of the District Court's
contempt order, there is a legitimate adversarial relationship between the
parties, and the courts possess the power to redress or resolve the current
controversy. See Bender v. Williamsport
Area School District, 475 U.S. 534, 541‑543, 106 S.Ct. 1326, 1331‑1332,
89 L.Ed.2d 501 (1986). We therefore
turn to consider the merits of appellees' constitutional claims.
III
The Appointments Clause of Article II reads
as follows:
"[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, whose Appointments are not herein
otherwise provided for, and which shall be established by Law: but the 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." U.S. Const., Art. II, ' 2, cl. 2.
The parties do not dispute that "[t]he
Constitution for purposes of appointment ... divides all its officers into two
classes." United States v.
Germaine, 99 U.S. (9 Otto) 508, 509, 25 L.Ed. 482 (1879). As we stated in Buckley v. Valeo, 424 U.S.
1, 132, 96 S.Ct. 612, 688, 46 L.Ed.2d 659 (1976): "[P]rincipal 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." The initial *671 question is,
accordingly, whether appellant is an "inferior" or a
"principal" officer. [FN12]
If she is the latter, as the Court of Appeals concluded, then the Act is
in violation of the Appointments Clause.
FN12. It is clear that appellant is
an "officer" of the United States, not an "employee." See Buckley, 424 U.S., at 126, and n. 162,
96 S.Ct., at 685, and n. 162.
[2] The line between "inferior" and
"principal" officers is one that is far from clear, and the Framers
provided little guidance into where it should be drawn. See, e.g., 2 J. Story, Commentaries on the
Constitution ' 1536, pp. 397‑398 (3d ed. 1858) ("In the practical
course of the government there does not seem to have been any exact line drawn,
who are and who are not to be deemed inferior officers, in the sense of the
constitution, whose appointment does not necessarily require the concurrence of
the senate"). We need not attempt
here to decide exactly where the line falls between the two types of officers,
because in our view appellant clearly falls on the "inferior officer"
side of that line. Several factors lead
to this conclusion.
First, appellant is subject to removal by a
higher Executive Branch official.
Although appellant may not be "subordinate" to the Attorney
General (and the President) **2609 insofar as she possesses a degree of
independent discretion to exercise the powers delegated to her under the Act,
the fact that she can be removed by the Attorney General indicates that she is
to some degree "inferior" in rank and authority. Second, appellant is empowered by the Act to
perform only certain, limited duties.
An independent counsel's role is restricted primarily to investigation
and, if appropriate, prosecution for certain federal crimes. Admittedly, the Act delegates to appellant
"full power and independent authority to exercise all investigative and
prosecutorial functions and powers of the Department of Justice," '
594(a), but this grant of authority does not include any authority to formulate
policy for the Government or the Executive Branch, nor does it give appellant
any administrative duties outside of those necessary *672 to operate her
office. The Act specifically provides
that in policy matters appellant is to comply to the extent possible with the
policies of the Department. ' 594(f).
Third, appellant's office is limited in
jurisdiction. Not only is the Act
itself restricted in applicability to certain federal officials suspected of
certain serious federal crimes, but an independent counsel can only act within
the scope of the jurisdiction that has been granted by the Special Division
pursuant to a request by the Attorney General.
Finally, appellant's office is limited in tenure. There is concededly no time limit on the
appointment of a particular counsel.
Nonetheless, the office of independent counsel is "temporary"
in the sense that an independent counsel is appointed essentially to accomplish
a single task, and when that task is over the office is terminated, either by
the counsel herself or by action of the Special Division. Unlike other prosecutors, appellant has no
ongoing responsibilities that extend beyond the accomplishment of the mission
that she was appointed for and authorized by the Special Division to undertake. In our view, these factors relating to the
"ideas of tenure, duration ... and duties" of the independent
counsel, Germaine, supra, 9 Otto, at 511, are sufficient to establish that
appellant is an "inferior" officer in the constitutional sense.
This conclusion is consistent with our few
previous decisions that considered the question whether a particular Government
official is a "principal" or an "inferior" officer. In United States v. Eaton, 169 U.S. 331, 18
S.Ct. 374, 42 L.Ed. 767 (1898), for example, we approved Department of State
regulations that allowed executive officials to appoint a "vice‑consul"
during the temporary absence of the consul, terming the "vice‑consul"
a "subordinate officer" notwithstanding the Appointment Clause's
specific reference to "Consuls" as principal officers. As we stated: "Because the subordinate officer is charged with the
performance of the duty of the superior for a limited time and under special
and temporary conditions he is not thereby transformed into the superior and
permanent official." *673 Id., at 343, 18 S.Ct., at 379. In Ex parte Siebold, 100 U.S. (10 Otto) 371,
25 L.Ed. 717 (1880), the Court found that federal "supervisor[s] of
elections," who were charged with various duties involving oversight of
local congressional elections, see id., 10 Otto at 379‑380, were inferior
officers for purposes of the Clause. In
Go‑Bart Importing Co. v. United States, 282 U.S. 344, 352‑353, 51
S.Ct. 153, 156‑157, 75 L.Ed. 374 (1931), we held that "United States
commissioners are inferior officers."
Id., at 352, 51 S.Ct., at 156.
These commissioners had various judicial and prosecutorial powers,
including the power to arrest and imprison for trial, to issue warrants, and to
institute prosecutions under "laws relating to the elective franchise and
civil rights." Id., at 353, n. 2,
51 S.Ct., at 156, n. 2. All of this is
consistent with our reference in United States v. Nixon, 418 U.S. 683, 694,
696, 94 S.Ct. 3090, 3100, 3101, 41 L.Ed.2d 1039 (1974), to the office of
Watergate Special Prosecutor‑‑whose authority was similar to that
of appellant, see id., at 694, n. 8, 94 S.Ct., at 3100, n. 8‑‑as a
"subordinate officer."
**2610 [3] This does not, however, end our inquiry under the Appointments
Clause. Appellees argue that even if
appellant is an "inferior" officer, the Clause does not empower
Congress to place the power to appoint such an officer outside the Executive
Branch. They contend that the Clause
does not contemplate congressional authorization of "interbranch appointments,"
in which an officer of one branch is appointed by officers of another branch.
The relevant language of the Appointments Clause is worth repeating. It reads:
"... but the 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."
On its face, the language of this "excepting clause" admits of
no limitation on interbranch appointments.
Indeed, the inclusion of "as they think proper" seems clearly
to give Congress significant discretion to determine whether it is
"proper" to vest the appointment of, for example, executive officials
in the "courts of Law." We
recognized as much in one of our few decisions in this area, Ex parte Siebold,
supra, where we stated:
*674
"It is no doubt usual and proper to vest the appointment of
inferior officers in that department of the government, executive or judicial,
or in that particular executive department to which the duties of such officers
appertain. But there is no absolute
requirement to this effect in the Constitution; and, if there were, it would be difficult in many cases to
determine to which department an office properly belonged....
"But as the Constitution
stands, the selection of the appointing power, as between the functionaries
named, is a matter resting in the discretion of Congress. And, looking at the subject in a practical
light, it is perhaps better that it should rest there, than that the country
should be harassed by the endless controversies to which a more specific
direction on this subject might have given rise." Id., 100 U.S. (10 Otto), at 397‑ 398.
Our only decision to suggest otherwise, Ex
parte Hennen, 13 Pet. 230, 10 L.Ed. 138 (1839), from which the first sentence
in the above quotation from Siebold was derived, was discussed in Siebold and
distinguished as "not intended to define the constitutional power of
Congress in this regard, but rather to express the law or rule by which it
should be governed." 100 U.S. (10
Otto), at 398. Outside of these two
cases, there is very little, if any, express discussion of the propriety of
interbranch appointments in our decisions, and we see no reason now to depart
from the holding of Siebold that such appointments are not proscribed by the
excepting clause.
We also note that the history of the Clause
provides no support for appellees' position.
Throughout most of the process of drafting the Constitution, the
Convention concentrated on the problem of who should have the authority to
appoint judges. At the suggestion of
James Madison, the Convention adopted a proposal that the Senate should have
this authority, 1 Records of the Federal Convention of 1787, pp. 232‑233
(M. Farrand ed. 1966), and several attempts to transfer the appointment power
to the President were rejected. *675
See 2 id., at 42‑44, 80‑83.
The August 6, 1787, draft of the Constitution reported by the Committee
of Detail retained Senate appointment of Supreme Court Judges, provided also
for Senate appointment of ambassadors, and vested in the President the authority
to "appoint officers in all cases not otherwise provided for by this
Constitution." Id., at 183,
185. This scheme was maintained until
September 4, when the Committee of Eleven reported its suggestions to the
Convention. This Committee suggested
that the Constitution be amended to state that the President "shall
nominate and by and with the advice and consent of the Senate shall appoint
ambassadors, and other public Ministers, Judges of the Supreme Court, and all
other Officers of the [United States], whose appointments are not otherwise
herein provided for." Id., at 498‑499. After **2611 the addition of
"Consuls" to the list, the Committee's proposal was adopted, id., at
539, and was subsequently reported to the Convention by the Committee of Style. See id., at 599. It was at this point, on September 15, that Gouverneur Morris
moved to add the Excepting Clause to Art. II, ' 2. Id., at 627. The one
comment made on this motion was by Madison, who felt that the Clause did not go
far enough in that it did not allow Congress to vest appointment powers in
"Superior Officers below Heads of Departments." The first vote on Morris' motion ended in a
tie. It was then put forward a second time, with the urging that "some
such provision [was] too necessary, to be omitted." This time the proposal was adopted. Id., at 627‑628. As this discussion shows, there was little
or no debate on the question whether the Clause empowers Congress to provide
for interbranch appointments, and there is nothing to suggest that the Framers
intended to prevent Congress from having that power.
We do not mean to say that Congress' power to
provide for interbranch appointments of "inferior officers" is
unlimited. In addition to separation‑
of‑powers concerns, which would arise if such provisions for appointment
had the potential to *676 impair the constitutional functions assigned
to one of the branches, Siebold itself suggested that Congress' decision to
vest the appointment power in the courts would be improper if there was some
"incongruity" between the functions normally performed by the courts
and the performance of their duty to appoint.
100 U.S. (10 Otto), at 398 ("[T]he duty to appoint inferior
officers, when required thereto by law, is a constitutional duty of the courts; and in the present case there is no such
incongruity in the duty required as to excuse the courts from its performance,
or to render their acts void"). In
this case, however, we do not think it impermissible for Congress to vest the
power to appoint independent counsel in a specially created federal court. We thus disagree with the Court of Appeals'
conclusion that there is an inherent incongruity about a court having the power
to appoint prosecutorial officers. [FN13]
We have recognized that courts may appoint private attorneys to act as
prosecutor for judicial contempt judgments.
See Young v. United States ex rel. Vuitton et Fils S.A., 481 U.S. 787,
107 S.Ct. 2124, 95 L.Ed.2d 740 (1987).
In Go‑Bart Importing Co. v. United States, 282 U.S. 344, 51 S.Ct.
153, 75 L.Ed. 374 (1931), we approved court appointment of United States
commissioners, who exercised certain limited prosecutorial powers. Id., at 353, n. 2, 51 S.Ct., at 156, n. 2. In Siebold, as well, we indicated that
judicial appointment of federal marshals, who are "executive
officer[s]," would not be inappropriate.
Lower courts have also upheld interim judicial appointments of United
States Attorneys, see United States v. Solomon, 216 F.Supp. 835 (SDNY 1963),
and Congress itself has vested the power to make these interim appointments in
the district courts, see 28 *677 U.S.C. ' 546(d) (1982 ed., Supp. V).
[FN14] Congress, of course, was concerned when it created the office of
independent counsel with the conflicts of interest that could arise in
situations when the Executive Branch is called upon to investigate its own high‑ranking
officers. If it were to remove the appointing authority from the Executive
Branch, the most logical place to put it was in the Judicial Branch. In the light of **2612 the Act's
provision making the judges of the Special Division ineligible to participate
in any matters relating to an independent counsel they have appointed, 28
U.S.C. ' 49(f) (1982 ed., Supp. V) we do not think that appointment of the
independent counsel by the court runs afoul of the constitutional limitation on
"incongruous" interbranch appointments.
FN13. Indeed, in light of judicial
experience with prosecutors in criminal cases, it could be said that courts are
especially well qualified to appoint prosecutors. This is not a case in which judges are given power to appoint an officer in an area in
which they have no special knowledge or expertise, as in, for example, a
statute authorizing the courts to appoint officials in the Department of
Agriculture or the Federal Energy Regulatory Commission.
FN14. We note also the longstanding
judicial practice of appointing defense attorneys for individuals who are
unable to afford representation, see 18 U.S.C. ' 3006A(b) (1982 ed., Supp. V),
notwithstanding the possibility that the appointed attorney may appear in court
before the judge who appointed him.
IV
Appellees next contend that the powers vested
in the Special Division by the Act conflict with Article III of the
Constitution. We have long recognized
that by the express provision of Article III, the judicial power of the United
States is limited to "Cases" and "Controversies." See Muskrat v. United States, 219 U.S. 346,
356, 31 S.Ct. 250, 253, 55 L.Ed. 246 (1911). As a general rule, we have broadly
stated that "executive or administrative duties of a nonjudicial nature
may not be imposed on judges holding office under Art. III of the
Constitution." Buckley, 424 U.S.,
at 123, 96 S.Ct., at 684 (citing United States v. Ferreira, 13 How. 40, 14
L.Ed. 40 (1852); Hayburn's Case, 2
Dall. 409 (1792)). [FN15] The purpose
*678 of this limitation is to help ensure the independence of the Judicial
Branch and to prevent the Judiciary from encroaching into areas reserved for
the other branches. See United States
Parole Comm'n v. Geraghty, 445 U.S. 388, 396, 100 S.Ct. 1202, 1208, 63 L.Ed.2d
479 (1980). With this in mind, we
address in turn the various duties given to the Special Division by the Act.
FN15. In several cases, the Court
has indicated that Article III "judicial Power" does not extend to
duties that are more properly performed by the Executive Branch. Hayburn's Case, for example, involved a
statute empowering federal and state courts to set pensions for disabled
veterans of the Revolutionary War. See
Act of Mar. 23, 1792, ch. 11, 1 Stat. 243. The Act "undertook to devolve
upon the Circuit Court of the United States the duty of examining proofs, of
determining what amount of the monthly pay would be equivalent to the
disability ascertained, and to certify the same to the Secretary of
War." Muskrat, 219 U.S., at 352,
31 S.Ct., at 252. The court's decision was to be reported to the Secretary of
War, who had the discretion to either adopt or reject the court's
findings. Ibid. This Court did not
reach the constitutional issue in Hayburn's Case, but the opinions of several
Circuit Courts were reported in the margins of the Court's decision in that
case, and have since been taken to reflect a
proper understanding of the role of the Judiciary under the Constitution. See,
e.g., Ferreira, 13 How., at 50‑51.
In Ferreira, Congress passed a
statute authorizing a federal court in Florida to hear and adjudicate claims
for losses for which the United States was to be held responsible under the
1819 treaty with Spain that ceded Florida to the United States. Id., at 45.
As in Hayburn's Case, the results of the court proceeding were to be
reported to an executive official, the Secretary of the Treasury, who would
make the final determination whether to pay the claims. 13 How., at 47. The Court recognized that the powers conferred on the judge by the
statute were "judicial in their nature," in that they involved
"judgment and discretion."
Id., at 48. Nonetheless, they
were not "judicial ... in the sense in which judicial power is granted by
the Constitution to the courts of the United States." Ibid.
Because the District Court's decision in Ferreira was not an exercise of
Article III judicial power, the Court ruled that it had no jurisdiction to hear
the appeal. Id., at 51‑52.
[4] Most importantly, the Act vests in the
Special Division the power to choose who will serve as independent counsel and
the power to define his or her jurisdiction.
' 593(b). Clearly, once it is
accepted that the Appointments Clause gives Congress the power to vest the
appointment of officials such as the independent counsel in the "courts of
Law," there can be no Article III objection to the Special Division's
exercise of that power, as the power itself derives from the Appointments
Clause, a source of authority for judicial action *679 that is
independent of Article III. [FN16]
Appellees**2613 contend, however, that the Division's
Appointments Clause powers do not encompass the power to define the independent
counsel's jurisdiction. We
disagree. In our view, Congress' power
under the Clause to vest the "Appointment" of inferior officers in
the courts may, in certain circumstances, allow Congress to give the courts
some discretion in defining the nature and scope of the appointed official's
authority. Particularly when, as here,
Congress creates a temporary "office" the nature and duties of which
will by necessity vary with the factual circumstances giving rise to the need
for an appointment in the first place, it may vest the power to define the
scope of the office in the court as an incident to the appointment of the
officer pursuant to the Appointments Clause.
This said, we do not think that Congress may give the Division unlimited
discretion to determine the independent counsel's jurisdiction. In order for the Division's definition of
the counsel's jurisdiction to be truly "incidental" to its power to
appoint, the jurisdiction that the court decides upon must be demonstrably
related to the factual circumstances that gave rise to the Attorney General's
investigation and request for the appointment of the independent counsel in the
particular case. [FN17]
FN16. We do not think that judicial
exercise of the power to appoint, per se, is in any way inconsistent as a
functional matter with the courts' exercise of their Article III powers. We note that courts have long participated
in the appointment of court officials such as United States commissioners or
magistrates, see Go‑Bart Importing Co. v. United States, 282 U.S. 344, 51
S.Ct. 153, 75 L.Ed.2d 374 (1931); 28
U.S.C. ' 631(a), without disruption of normal judicial functions. And certainly the Court in Ex parte Hennen,
13 Pet. 230, 10 L.Ed. 138 (1839), deemed it entirely appropriate that a court
should have the authority to appoint its own clerk.
FN17. Our conclusion that the power
to define the counsel's jurisdiction is incidental to the power to appoint also
applies to the Division's authority to expand the jurisdiction of the counsel
upon request of the Attorney General under ' 593(c)(2).
*680 The Act also vests in the Special Division various powers and duties in
relation to the independent counsel that, because they do not involve
appointing the counsel or defining his or her jurisdiction, cannot be said to
derive from the Division's Appointments Clause authority. These duties include granting extensions for
the Attorney General's preliminary investigation, ' 592(a)(3); receiving the report of the Attorney General
at the conclusion of his preliminary investigation, '' 592(b)(1),
593(c)(2)(B); referring matters to the
counsel upon request, ' 594(e) [FN18];
receiving reports from the counsel regarding expenses incurred, '
594(h)(1)(A); receiving a report from
the Attorney General following the removal of an independent counsel, '
596(a)(2); granting attorney's fees
upon request to individuals who were investigated but not indicted by an
independent counsel, ' 593(f); receiving a final report from the counsel, '
594(h)(1)(B); deciding whether to
release the counsel's final report to Congress or the public and determining
whether any protective orders should be issued, ' 594(h)(2); and terminating an independent counsel when
his or her task is completed, ' 596(b)(2).
FN18. In our view, this provision
does not empower the court to expand the original scope of the counsel's
jurisdiction; that may be done only
upon request of the Attorney General pursuant to ' 593(c)(2). At most, ' 594(e) authorizes the court
simply to refer matters that are "relate [d] to the independent counsel's
prosecutorial jurisdiction" as already
defined.
[5] Leaving aside for the moment the
Division's power to terminate an independent counsel, we do not think that
Article III absolutely prevents Congress from vesting these other miscellaneous
powers in the Special Division pursuant to the Act. As we observed above, one purpose of the broad prohibition upon
the courts' exercise of "executive or administrative duties of a
nonjudicial nature," Buckley, 424 U.S., at 123, 96 S.Ct., at 684, is to
maintain the separation between the Judiciary and the other branches of the
Federal Government by ensuring that judges do not encroach upon executive or
legislative authority or undertake tasks that are more properly accomplished
*681 by those branches. In this
case, the miscellaneous powers described above do not impermissibly trespass
upon the authority of the Executive Branch.
Some of these allegedly "supervisory" powers conferred on the
court are passive: the Division merely
"receives" reports from the counsel or the Attorney General, it is
not entitled to act on them or to specifically approve or disapprove of their
contents. **2614 Other provisions
of the Act do require the court to exercise some judgment and discretion,
[FN19] but the powers granted by these provisions are themselves essentially
ministerial. The Act simply does not
give the Division the power to "supervise" the independent counsel in
the exercise of his or her investigative or prosecutorial authority. And, the functions that the Special Division
is empowered to perform are not inherently "Executive"; indeed, they are directly analogous to
functions that federal judges perform in other contexts, such as deciding
whether to allow disclosure of matters occurring before a grand jury, see Fed.
Rule Crim.Proc. 6(e), deciding to extend a grand jury investigation, Rule 6(g),
or awarding attorney's fees, see, e.g., 42 U.S.C. ' 1988. [FN20]
FN19. The Special Division must
determine whether the Attorney General has shown "good cause" for his
or her request for an extension of the time limit on his or her preliminary
investigation, ' 592(a)(3); the court
must decide whether and to what extent it should release to the public the
counsel's final report or the Attorney General's removal report, '' 596(a)(2),
(b)(2); and the court may consider the
propriety of a request for attorney's fees, ' 593(f).
FN20. By way of comparison, we also
note that federal courts and judges have long performed a variety of functions
that, like the functions involved here, do not necessarily or directly involve
adversarial proceedings within a trial or appellate court. For example, federal courts have traditionally
supervised grand juries and assisted in their
"investigative function" by, if necessary, compelling the testimony
of witnesses. See Brown v. United
States, 359 U.S. 41, 49, 79 S.Ct. 539, 545‑546, 3 L.Ed.2d 609
(1959). Federal courts also participate
in the issuance of search warrants, see Fed. Rule Crim. Proc. 41, and review
applications for wiretaps, see 18 U.S.C. '' 2516, 2518 (1982 ed. and Supp. IV),
both of which may require a court to consider the nature and scope of criminal
investigations on the basis of evidence or affidavits submitted in an ex parte
proceeding. In Young v. United States
ex rel. Vuitton et Fils S.A., 481 U.S. 787, 793‑802, 107 S.Ct. 2124, 2130‑
2135, 95 L.Ed.2d 740 (1987), we recognized that federal courts possess inherent
authority to initiate contempt proceedings for disobedience to their orders,
and this authority necessarily includes the ability to appoint a private
attorney to prosecute the contempt.
*682 [6] We are more doubtful about the Special Division's power to
terminate the office of the independent counsel pursuant to ' 596(b)(2). As
appellees suggest, the power to terminate, especially when exercised by the
Division on its own motion, is "administrative" to the extent that it
requires the Special Division to monitor the progress of proceedings of the
independent counsel and come to a decision as to whether the counsel's job is
"completed." '
596(b)(2). It also is not a power that
could be considered typically "judicial," as it has few analogues
among the court's more traditional powers.
Nonetheless, we do not, as did the Court of Appeals, view this provision
as a significant judicial encroachment upon executive power or upon the
prosecutorial discretion of the independent counsel.
We think that the Court of Appeals overstated
the matter when it described the power to terminate as a "broadsword and
... rapier" that enables the court to "control the pace and depth of
the independent counsel's activities."
267 U.S.App.D.C., at 217, 838 F.2d, at 515. The provision has not been tested in practice, and we do not mean
to say that an adventurous special court could not reasonably construe the
provision as did the Court of Appeals;
but it is the duty of federal courts to construe a statute in order to
save it from constitutional infirmities, see, e.g., Commodity Futures Trading
Comm'n v. Schor, 478 U.S. 833, 841, 106 S.Ct. 3245, 3251, 92 L.Ed.2d 675
(1986), and to that end we think a narrow construction is appropriate
here. The termination provisions of the
Act do not give the Special Division anything approaching the power to remove
the counsel while an investigation or court proceeding is still underway‑‑this
power is vested solely in the Attorney General. As we see it, "termination" may occur only when the
duties of *683 the counsel are truly "completed" or "so
substantially completed" that there remains no need for any continuing
**2615 action by the independent counsel. [FN21] It is basically a device for removing from the public payroll an
independent counsel who has served his or her purpose, but is unwilling to
acknowledge the fact. So construed, the
Special Division's power to terminate does not pose a sufficient threat of
judicial intrusion into matters that are more properly within the Executive's
authority to require that the Act be invalidated as inconsistent with Article
III.
FN21. As the dissenting opinion
noted below, the termination provision was "intended to serve only as a
measure of last resort." See In re
Sealed Case, 267 U.S.App.D.C. 178, 224, n. 13, 838 F.2d 476, 522, n. 13
(1988). The Senate Report on the
provision states:
"This paragraph provides for
the unlikely situation where a special prosecutor may try to remain as special
prosecutor after his responsibilities under this chapter are completed.... The drastic remedy of terminating the office
of special prosecutor without the consent of the special prosecutor should
obviously be executed with caution."
S.Rep. No. 95‑170, p. 75 (1977).
[7] Nor do we believe, as appellees contend,
that the Special Division's exercise of the various powers specifically granted
to it under the Act poses any threat to the "impartial and independent
federal adjudication of claims within the judicial power of the United
States." Commodity Futures Trading
Comm'n v. Schor, supra, at 850, 106 S.Ct., at 3256. We reach this conclusion for two reasons. First, the Act as it currently stands gives
the Special Division itself no power to review any of the actions of the
independent counsel or any of the actions of the Attorney General with regard
to the counsel. Accordingly, there is
no risk of partisan or biased adjudication of claims regarding the independent
counsel by that court. Second, the Act
prevents members of the Special Division from participating in "any
judicial proceeding concerning a matter which involves such independent counsel
while such independent counsel is serving in that office or which involves the
exercise of such independent counsel's official duties, regardless *684
of whether such independent counsel is still serving in that office." 28 U.S.C. ' 49(f) (1982 ed., Supp. V)
(emphasis added); see also ' 596(a)(3)
(preventing members of the Special Division from participating in review of the
Attorney General's decision to remove an independent counsel). We think both the special court and its
judges are sufficiently isolated by these statutory provisions from the review
of the activities of the independent counsel so as to avoid any taint of the
independence of the Judiciary such as would render the Act invalid under
Article III.
[8] We emphasize, nevertheless, that the
Special Division has no authority to take any action or undertake any duties
that are not specifically authorized by the Act. The gradual expansion of the authority of the Special Division
might in another context be a bureaucratic success story, but it would be one
that would have serious constitutional ramifications. The record in other cases involving independent counsel indicate
that the Special Division has at times given advisory opinions or issued orders
that are not directly authorized by the Act.
Two examples of this were cited by the Court of Appeals, which noted
that the Special Division issued "orders" that ostensibly exempted
the independent counsel from conflict‑of‑interest laws. See 267 U.S.App.D.C., at 216, and n. 60, 838
F.2d, at 514, and n. 60 (citing In re Deaver, No. 86‑2 (CADC Special
Division, July 2, 1986), and In re Olson, No. 86‑1 (CADC Special
Division, June 18, 1986)). In another
case, the Division reportedly ordered that a counsel postpone an investigation
into certain allegations until the completion of related state criminal
proceedings. See H.R.Rep.Conf.Rep. No.
100‑452, p. 26 (1987), U.S.Code Cong. & Admin.News 1987, pp. 2150,
2192. The propriety of the Special
Division's actions in these instances is not before us as such, but we
nonetheless think it appropriate to point out not only that there is no
authorization for such actions in the Act itself, but that the Division's
exercise of unauthorized *685 powers risks the **2616
transgression of the constitutional limitations of Article III that we have
just discussed. [FN22]
FN22. We see no impropriety in the
Special Division's actions with regard
to its response to appellant's request for referral of additional matters in
this case. See In re Olson, 260
U.S.App.D.C. 168, 818 F.2d 34 (Special Division 1987). The Division has statutory authority to respond
to appellant's request pursuant to ' 594(e), and it was only proper that it
first consider whether it could exercise its statutory authority without
running afoul of the Constitution. As
to the Division's alleged "reinterpretation" of its original grant of
jurisdiction, the power to "reinterpret" or clarify the original
grant may be seen as incidental to the court's referral power. After all, in order to decide whether to
refer a matter to the counsel, the court must be able to determine whether the
matter falls within the scope of the original grant. See n. 18, supra. We express
no view on the merits of the Division's interpretation of the original grant or
of its ruling in regard to its power to refer matters that the Attorney General
has previously refused to refer.
V
We now turn to consider whether the Act is
invalid under the constitutional principle of separation of powers. Two related issues must be addressed: The first is whether the provision of the
Act restricting the Attorney General's power to remove the independent counsel
to only those instances in which he can show "good cause," taken by
itself, impermissibly interferes with the President's exercise of his
constitutionally appointed functions.
The second is whether, taken as a whole, the Act violates the separation
of powers by reducing the President's ability to control the prosecutorial
powers wielded by the independent counsel.
A
Two Terms ago we had occasion to consider
whether it was consistent with the separation of powers for Congress to pass a
statute that authorized a Government official who is removable only by Congress
to participate in what we found to be "executive powers." Bowsher v. Synar, 478 U.S. 714, 730, 106
S.Ct. 3181, 3190, 92 L.Ed.2d 583 (1986).
We held in Bowsher that "Congress cannot reserve *686 for
itself the power of removal of an officer charged with the execution of the
laws except by impeachment." Id.,
at 726, 106 S.Ct., at 3188. A primary
antecedent for this ruling was our 1926 decision in Myers v. United States, 272
U.S. 52, 47 S.Ct. 21, 71 L.Ed. 160 (1926). Myers had considered the propriety
of a federal statute by which certain postmasters of the United States could be
removed by the President only "by and with the advice and consent of the
Senate." There too, Congress'
attempt to involve itself in the removal of an executive official was found to
be sufficient grounds to render the statute invalid. As we observed in Bowsher, the essence of the decision in Myers
was the judgment that the Constitution prevents Congress from "draw[ing]
to itself ... the power to remove or the right to participate in the exercise
of that power. To do this would be to
go beyond the words and implications of the [Appointments Clause] and to
infringe the constitutional principle of the separation of governmental
powers." Myers, supra, at 161, 47
S.Ct., at 40.
Unlike both Bowsher and Myers, this case does
not involve an attempt by Congress itself to gain a role in the removal of
executive officials other than its established powers of impeachment and
conviction. The Act instead puts the removal
power squarely in the hands of the Executive Branch; an independent counsel may be removed from office, "only by
the personal action of the Attorney General, and only for good cause." ' 596(a)(1). [FN23] There is no requirement of congressional approval
of the Attorney General's removal decision, though the decision is subject to
judicial **2617 review. ' 596(a)(3).
In our view, the removal provisions of the Act make this case more
analogous to Humphrey's Executor v. United States, 295 U.S. 602, 55 S.Ct. 869,
79 L.Ed. 1611 (1935), and Wiener v. United States, 357 U.S. 349, 78 S.Ct. 1275,
2 L.Ed.2d 1377 (1958), than to Myers or Bowsher.
FN23. As noted, an independent
counsel may also be removed through impeachment and conviction. In addition, the Attorney General may remove
a counsel for "physical disability, mental incapacity, or any other
condition that substantially impairs the performance" of his or her
duties. ' 596(a)(1).
*687 In Humphrey's Executor, the issue was whether a statute restricting the
President's power to remove the Commissioners of the Federal Trade Commission
(FTC) only for "inefficiency, neglect of duty, or malfeasance in
office" was consistent with the Constitution. 295 U.S., at 619, 55 S.Ct., at 870. We stated that whether Congress can "condition the
[President's power of removal] by fixing a definite term and precluding a
removal except for cause, will depend upon the character of the office." Id., at 631, 55 S.Ct., at 875. Contrary to the implication of some dicta in
Myers, [FN24] the President's power to remove Government officials simply was
not "all‑ inclusive in respect of civil officers with the exception
of the judiciary provided for by the Constitution." 295 U.S., at 629, 55 S.Ct., at 874. At least in regard to "quasi‑legislative"
and "quasi‑judicial" agencies such as the FTC, [FN25]
"[t]he authority of Congress, in creating [such] agencies, to require them
to act in discharge of their duties independently of executive control ...
includes, as an appropriate incident, power to fix the period during which they
shall continue in office, and to forbid their removal except for cause in the
meantime." Ibid. In Humphrey's Executor, we found it
"plain" that the Constitution did not give the President
"illimitable power of removal" over the officers of independent
agencies. Ibid. Were the President to have *688 the
power to remove FTC Commissioners at will, the "coercive influence"
of the removal power would "threate[n] the independence of [the]
commission." Id., at 630, 55
S.Ct., at 875.
FN24. The Court expressly
disapproved of any statements in Myers that "are out of harmony" with
the views expressed in Humphrey's Executor. 295 U.S., at 626, 55 S.Ct., at
873. We recognized that the only issue
actually decided in Myers was that "the President had power to remove a
postmaster of the first class, without the advice and consent of the Senate as
required by act of Congress." 295
U.S., at 626, 55 S.Ct., at 873.
FN25. See id., at 627‑628, 55
S.Ct., at 873‑874. We described
the FTC as "an administrative body created by Congress to carry into
effect legislative policies embodied in the statute in accordance with the
legislative standard therein prescribed, and to perform other specified duties
as a legislative or as a judicial aid."
Such an agency was not "an arm or an eye of the executive,"
and the commissioners were intended to perform their duties "without
executive leave and ... free from executive control." Id., at 628, 55 S.Ct., at 874. As we put it at the time, the powers of the
FTC were not "purely" executive, but were "quasi‑legislative
or quasi‑judicial." Ibid.
Similarly, in Wiener we considered whether
the President had unfettered discretion to remove a member of the War Claims
Commission, which had been established by Congress in the War Claims Act of
1948, 62 Stat. 1240. The Commission's function was to receive and adjudicate
certain claims for compensation from those who had suffered personal injury or
property damage at the hands of the enemy during World War II. Commissioners were appointed by the
President, with the advice and consent of the Senate, but the statute made no
provision for the removal of officers, perhaps because the Commission itself
was to have a limited existence. As in
Humphrey's Executor, however, the Commissioners were entrusted by Congress with
adjudicatory powers that were to be exercised free from executive control. In this context, "Congress did not wish
to have hang over the Commission the Damocles' sword of removal by the
President for no reason other than that he preferred to have on that Commission
men of his own choosing." 357
U.S., at 356, 78 S.Ct., at 1279. Accordingly, we rejected the President's
attempt to remove a Commissioner "merely because he wanted his own
appointees on [the] Commission," stating that "no such power is given
to the President directly **2618 by the Constitution, and none is
impliedly conferred upon him by statute."
Ibid.
Appellees contend that Humphrey's Executor
and Wiener are distinguishable from this case because they did not involve
officials who performed a "core executive function." They argue that our decision in Humphrey's
Executor rests on a distinction between "purely executive" officials
and officials who exercise "quasi‑legislative" and "quasi‑judicial"
powers. In their view, when a
"purely executive" official is involved, the governing precedent is
Myers, not Humphrey's Executor. See
Humphrey's Executor, supra, 295 U.S., at 628, 55 S.Ct., at 874. And, under Myers, the President must have
absolute discretion to *689 discharge "purely" executive
officials at will. See Myers, 272 U.S.,
at 132‑134, 47 S.Ct., at 30‑31. [FN26]
FN26. This same argument was raised
by the Solicitor General in Bowsher v. Synar, 478 U.S. 714, 106 S.Ct. 3181, 92
L.Ed.2d 583 (1986), although as Justice WHITE noted in dissent in that case,
the argument was clearly not accepted by the Court at that time. Id., at 738‑739, and nn. 1‑3,
106 S.Ct., at 3206‑3207, and nn. 1‑3.
We undoubtedly did rely on the terms
"quasi‑legislative" and "quasi‑ judicial" to
distinguish the officials involved in Humphrey's Executor and Wiener from those
in Myers, but our present considered view is that the determination of whether
the Constitution allows Congress to impose a "good cause"‑type
restriction on the President's power to remove an official cannot be made to
turn on whether or not that official is classified as "purely
executive." [FN27] The analysis
contained in our removal cases is designed not to define rigid categories of
those officials who may or may not be removed at will by the President, [FN28]
but to ensure that Congress does *690 not interfere with the President's
exercise of the "executive power" and his constitutionally appointed
duty to "take care that the laws be faithfully executed" under
Article II. Myers was undoubtedly
correct in its holding, and in its broader suggestion that there are some
"purely executive" officials who must be removable by the President
at will if he is to be able to accomplish **2619 his constitutional
role. [FN29] See 272 U.S., at 132‑
134, 47 S.Ct., at 30‑31. But as
the Court noted in Wiener:
FN27. Indeed, this Court has never
held that the Constitution prevents Congress from imposing limitations on the
President's power to remove all executive officials simply because they wield
"executive" power. Myers
itself expressly distinguished cases in which Congress had chosen to vest the
appointment of "inferior" executive officials in the head of a
department. See 272 U.S., at 161‑163,
164, 47 S.Ct., at 40‑41, 41. In
such a situation, we saw no specific constitutional impediment to
congressionally imposed restrictions on the President's removal powers. See
also United States v. Perkins, 116 U.S. 483, 485, 6 S.Ct. 449, 450, 29 L.Ed. 700 (1886) (" 'The
constitutional authority in Congress to thus vest the appointment [of inferior
officers in the heads of departments] implies authority to limit, restrict, and
regulate the removal by such laws as Congress may enact in relation to the
officers so appointed' ") (quoting the Court of Claims' decision in the
case).
FN28. The difficulty of defining
such categories of "executive" or "quasi‑
legislative" officials is illustrated by a comparison of our decisions in
cases such as Humphrey's Executor, Buckley v. Valeo, 424 U.S. 1, 140‑
141, 96 S.Ct. 612, 692‑693, 46 L.Ed.2d 659 (1976), and Bowsher, supra,
478 U.S., at 732‑734, 106 S.Ct., at 3191‑3192. In Buckley, we indicated that the functions
of the Federal Election Commission are "administrative," and
"more legislative and judicial in nature," and are "of kinds
usually performed by independent regulatory agencies or by some department in
the Executive Branch under the direction of an Act of Congress." 424 U.S., at 140‑141, 96 S.Ct., at 692‑693. In Bowsher, we found that the functions of
the Comptroller General were "executive" in nature, in that he was
required to "exercise judgment concerning facts that affect the
application of the Act," and he must "interpret the provisions of the
Act to determine precisely what budgetary calculations are required." 478 U.S., at 733, 106 S.Ct., at 3191. Compare this with the description of the FTC's powers in Humphrey's Executor,
which we stated "occupie[d] no place in the executive
department": "The [FTC] is an
administrative body created by Congress to carry into effect legislative
policies embodied in the statute in accordance with the legislative standard
therein prescribed, and to perform other specified duties as a legislative or
as a judicial aid." 295 U.S., at
628, 55 S.Ct., at 874. As Justice WHITE
noted in his dissent in Bowsher, it is hard to dispute that the powers of the
FTC at the time of Humphrey's Executor would at the present time be considered
"executive," at least to some degree. See 478 U.S., at 761, n. 3, 106 S.Ct., at 3206, n. 3.
FN29. The dissent says that the
language of Article II vesting the executive power of the United States in the
President requires that every officer of the United States exercising any part
of that power must serve at the pleasure of the President and be removable by
him at will. Post, at 2626. This rigid demarcation‑‑a
demarcation incapable of being altered by law in the slightest degree, and
applicable to tens of thousands of holders of offices neither known nor
foreseen by the Framers‑‑depends upon an extrapolation from general
constitutional language which we think is more than the text will bear. It is also contrary to our holding in United
States v. Perkins, supra, decided more than a century ago.
"The assumption was short‑lived
that the Myers case recognized the President's inherent constitutional power to
remove officials no matter what the relation of the executive to the discharge
of their duties and no matter what restrictions Congress may have imposed
regarding the nature of their tenure."
357 U.S., at 352, 78 S.Ct., at 1277.
At the other end of the spectrum from Myers,
the characterization of the agencies in Humphrey's Executor and Wiener *691
as "quasi‑legislative" or "quasi‑judicial" in
large part reflected our judgment that it was not essential to the President's
proper execution of his Article II powers that these agencies be headed up by
individuals who were removable at will. [FN30] We do not mean to suggest that
an analysis of the functions served by the officials at issue is
irrelevant. But the real question is
whether the removal restrictions are of such a nature that they impede the
President's ability to perform his constitutional duty, and the functions of
the officials in question must be analyzed in that light.
FN30. The terms also may be used to
describe the circumstances in which Congress might be more inclined to find
that a degree of independence from the Executive, such as that afforded by a
"good cause" removal standard, is necessary to the proper functioning
of the agency or official. It is not difficult to imagine situations in
which Congress might desire that an official performing "quasi‑judicial"
functions, for example, would be free of executive or political control.
[9] Considering for the moment the "good
cause" removal provision in isolation from the other parts of the Act at
issue in this case, we cannot say that the imposition of a "good
cause" standard for removal by itself unduly trammels on executive
authority. There is no real dispute
that the functions performed by the independent counsel are
"executive" in the sense that they are law enforcement functions that
typically have been undertaken by officials within the Executive Branch. As we noted above, however, the independent
counsel is an inferior officer under the Appointments Clause, with limited
jurisdiction and tenure and lacking policymaking or significant administrative
authority. Although the counsel
exercises no small amount of discretion and judgment in deciding how to carry
out his or her duties under the Act, we simply do not see how the President's
need to control the exercise of that discretion is so central to the
functioning of the Executive Branch as to require as a matter of constitutional
*692 law that the counsel be terminable at will by the President. [FN31]
FN31. We note by way of comparison
that various federal agencies whose
officers are covered by "good cause" removal restrictions exercise
civil enforcement powers that are analogous to the prosecutorial powers wielded
by an independent counsel. See, e.g.,
15 U.S.C. ' 45(m) (giving the FTC the authority to bring civil actions to
recover civil penalties for the violations of rules respecting unfair
competition); 15 U.S.C. '' 2061, 2071,
2076(b)(7)(A) (giving the Consumer Product Safety Commission the authority to
obtain injunctions and apply for seizure of hazardous products).
Nor do we think that the "good
cause" removal provision at issue here impermissibly burdens the
President's power to control or supervise the independent counsel, as an
executive official, in the execution of his or her duties under the Act. This is not a case in which the power to
remove an executive official has been completely stripped from the President,
thus providing no means for the President to ensure the **2620
"faithful execution" of the laws.
Rather, because the independent counsel may be terminated for "good
cause," the Executive, through the Attorney General, retains ample
authority to assure that the counsel is competently performing his or her
statutory responsibilities in a manner that comports with the provisions of the
Act. [FN32] Although we need not decide
in this case exactly what is encompassed within the term "good cause"
under the Act, the legislative history of the removal provision also makes
clear that the Attorney General may remove an independent counsel for
"misconduct." See
H.R.Conf.Rep. No. 100‑452, p. 37 (1987).
Here, as with the provision of the Act conferring the appointment
authority of *693 the independent counsel on the special court, the
congressional determination to limit the removal power of the Attorney General
was essential, in the view of Congress, to establish the necessary independence
of the office. We do not think that
this limitation as it presently stands sufficiently deprives the President of
control over the independent counsel to interfere impermissibly with his constitutional
obligation to ensure the faithful execution of the laws. [FN33]
FN32. Indeed, during the hearings on
the 1982 amendments to the Act, a Justice Department official testified that
the "good cause" standard contained in the amendments "would make
the special prosecutor no more independent than officers of the many so‑called
independent agencies in the executive branch." Ethics in Government Act Amendments of 1982, Hearing before the
Subcommittee on Oversight of Government Management of the Senate Committee on
Governmental Affairs, 97th Cong., 2d Sess., 7 (1981) (Associate Attorney
General Giuliani).
FN33. We see no constitutional
problem in the fact that the Act provides
for judicial review of the removal decision.
' 596(a)(3). The purpose of such
review is to ensure that an independent counsel is removed only in accordance
with the will of Congress as expressed in the Act. The possibility of judicial review does not inject the Judicial
Branch into the removal decision, nor does it, by itself, put any additional
burden on the President's exercise of executive authority. Indeed, we note that the legislative history
of the most recent amendment to the Act indicates that the scope of review to
be exercised by the courts under ' 596(a)(3) is to be "the standards
established by existing case law on the removal of [other] officials" who
are subject to "good cause" removal.
H.R.Conf.Rep. No. 100‑452, p. 37 (1987).
B
[10] The final question to be addressed is
whether the Act, taken as a whole, violates the principle of separation of
powers by unduly interfering with the role of the Executive Branch. Time and again we have reaffirmed the
importance in our constitutional scheme of the separation of governmental
powers into the three coordinate branches.
See, e.g., Bowsher v. Synar, 478 U.S., at 725, 106 S.Ct., at 3187
(citing Humphrey's Executor, 295 U.S., at 629‑630, 55 S.Ct., at 874‑875). As we stated in Buckley v. Valeo, 424 U.S.
1, 96 S.Ct. 612, 46 L.Ed.2d 659 (1976), the system of separated powers and
checks and balances established in the Constitution was regarded by the Framers
as "a self‑executing safeguard against the encroachment or
aggrandizement of one branch at the expense of the other." Id., at 122, 96 S.Ct., at 684. We have not hesitated to invalidate
provisions of law which violate this principle. See id., at 123, 96 S.Ct., at 684. On the other hand, we have never held that the Constitution
requires that the three *694 branches of Government "operate with
absolute independence." United
States v. Nixon, 418 U.S., at 707, 94 S.Ct., at 3107; see also Nixon v. Administrator of General Services, 433 U.S.
425, 442, 97 S.Ct. 2777, 2789, 53 L.Ed.2d 867 (1977) (citing James Madison in
The Federalist No. 47, and Joseph Story in 1 Commentaries on the Constitution '
525 (M. Bigelow, 5th ed. 1905)). In the
often‑quoted words of Justice Jackson:
"While the Constitution
diffuses power the better to secure liberty, it also contemplates that practice
will integrate the dispersed powers into a workable government. It enjoins upon its branches separateness
but interdependence, autonomy but reciprocity." Youngstown Sheet & Tube Co. v. Sawyer, 343 U.S. 579, 635, 72
**2621 S.Ct. 863, 870, 96 L.Ed. 1153 (1952) (concurring opinion).
We observe first that this case does not
involve an attempt by Congress to increase its own powers at the expense of the
Executive Branch. Cf. Commodity Futures
Trading Comm'n v. Schor, 478 U.S., at 856, 106 S.Ct., at 3259‑3260. Unlike some of our previous cases, most
recently Bowsher v. Synar, this case simply does not pose a "dange[r] of
congressional usurpation of Executive Branch functions." 478 U.S., at 727, 106 S.Ct., at 3188; see also INS v. Chadha, 462 U.S. 919, 958,
103 S.Ct. 2764, 2777, 77 L.Ed.2d 317 (1983).
Indeed, with the exception of the power of impeachment‑‑which
applies to all officers of the United States‑‑Congress retained for
itself no powers of control or supervision over an independent counsel. The Act does empower certain Members of
Congress to request the Attorney General to apply for the appointment of an
independent counsel, but the Attorney General has no duty to comply with the
request, although he must respond within a certain time limit. ' 529(g).
Other than that, Congress' role under the Act is limited to receiving
reports or other information and oversight of the independent counsel's
activities, ' 595(a), functions that we have recognized generally as being
incidental to the legislative function of Congress. See McGrain v. Daugherty, 273 U.S. 135, 174, 47 S.Ct. 319, 328,
71 L.Ed. 580 (1927).
*695 Similarly, we do not think that the Act works any judicial usurpation
of properly executive functions. As
should be apparent from our discussion of the Appointments Clause above, the
power to appoint inferior officers such as independent counsel is not in itself
an "executive" function in the constitutional sense, at least when
Congress has exercised its power to vest the appointment of an inferior office
in the "courts of Law." We
note nonetheless that under the Act the Special Division has no power to
appoint an independent counsel sua sponte;
it may only do so upon the specific request of the Attorney General, and
the courts are specifically prevented from reviewing the Attorney General's
decision not to seek appointment, ' 592(f).
In addition, once the court has appointed a counsel and defined his or
her jurisdiction, it has no power to supervise or control the activities of the
counsel. As we pointed out in our
discussion of the Special Division in relation to Article III, the various
powers delegated by the statute to the Division are not supervisory or
administrative, nor are they functions that the Constitution requires be
performed by officials within the Executive Branch. The Act does give a federal
court the power to review the Attorney General's decision to remove an
independent counsel, but in our view this is a function that is well within the
traditional power of the Judiciary.
Finally, we do not think that the Act
"impermissibly undermine[s]" the powers of the Executive Branch,
Schor, supra, 478 U.S., at 856, 106 S.Ct., at 3260, or "disrupts the
proper balance between the coordinate branches [by] prevent [ing] the Executive
Branch from accomplishing its constitutionally assigned functions," Nixon
v. Administrator of General Services, supra, 433 U.S., at 443, 97 S.Ct., at
2790. It is undeniable that the Act
reduces the amount of control or supervision that the Attorney General and,
through him, the President exercises over the investigation and prosecution of
a certain class of alleged criminal activity.
The Attorney General is not allowed to appoint the individual of his
choice; he does not determine the
counsel's jurisdiction; and his *696
power to remove a counsel is limited. [FN34] Nonetheless, the Act does give the
Attorney General several means of supervising or controlling the prosecutorial
powers that may be wielded **2622 by an independent counsel. Most importantly, the Attorney General
retains the power to remove the counsel for "good cause," a power
that we have already concluded provides the Executive with substantial ability
to ensure that the laws are "faithfully executed" by an independent
counsel. No independent counsel may be
appointed without a specific request by the Attorney General, and the Attorney
General's decision not to request appointment if he finds "no reasonable
grounds to believe that further investigation is warranted" is committed
to his unreviewable discretion. The Act
thus gives the Executive a degree of control over the power to initiate an
investigation by the independent counsel.
In addition, the jurisdiction of the independent counsel is defined with
reference to the facts submitted by the Attorney General, and once a counsel is
appointed, the Act requires that the counsel abide by Justice Department policy
unless it is not "possible" to do so. Notwithstanding the fact that
the counsel is to some degree "independent" and free from executive
supervision to a greater extent than other federal prosecutors, in our view
these features of the Act give the Executive Branch sufficient control over the
independent counsel to ensure that the President is able to perform his
constitutionally assigned duties.
FN34. With these provisions, the
degree of control exercised by the Executive Branch over an independent counsel
is clearly diminished in relation to that exercised over other prosecutors,
such as the United States Attorneys, who are appointed by the President and
subject to termination at will.
VI
In sum, we conclude today that it does not
violate the Appointments Clause for Congress to vest the appointment of
independent counsel in the Special Division;
that the powers exercised by the Special Division under the Act do not
violate *697 Article III; and that the Act does not violate the
separation‑of‑powers principle by impermissibly interfering with
the functions of the Executive Branch.
The decision of the Court of Appeals is therefore
Reversed.
Justice KENNEDY took no part in the
consideration or decision of this case.
Justice SCALIA, dissenting.
It is the proud boast of our democracy that
we have "a government of laws and not of men." Many Americans are familiar with that
phrase; not many know its
derivation. It comes from Part the
First, Article XXX, of the Massachusetts Constitution of 1780, which reads in
full as follows:
"In the government of this
Commonwealth, the legislative department shall never exercise the executive and
judicial powers, or either of them: The
executive shall never exercise the legislative and judicial powers, or either
of them: The judicial shall never
exercise the legislative and executive powers, or either of them: to the end it may be a government of laws
and not of men."
The Framers of the Federal Constitution
similarly viewed the principle of separation of powers as the absolutely
central guarantee of a just Government.
In No. 47 of The Federalist, Madison wrote that "[n]o political
truth is certainly of greater intrinsic value, or is stamped with the authority
of more enlightened patrons of liberty."
The Federalist No. 47, p. 301 (C. Rossiter ed. 1961) (hereinafter
Federalist). Without a secure structure
of separated powers, our Bill of Rights would be worthless, as are the bills of
rights of many nations of the world that have adopted, or even improved upon,
the mere words of ours.
The principle of separation of powers is
expressed in our Constitution in the first section of each of the first three
Articles. Article I, ' 1, provides that
"[a]ll legislative Powers herein granted shall be vested in a Congress of
the United *698 States, which shall consist of a Senate and House of
Representatives." Article III, '
1, provides that "[t]he judicial Power of the United States, shall be
vested in one supreme Court, and in such inferior Courts as the Congress may
from time to time ordain and establish."
And the provision at issue here, Art. II, ' 1, cl. 1, provides that
"[t]he executive Power shall be vested in a President of the United States
of America."
**2623 But just as the mere words of a Bill of Rights are not self‑
effectuating, the Framers recognized "[t]he insufficiency of a mere
parchment delineation of the boundaries" to achieve the separation of
powers. Federalist No. 73, p. 442 (A.
Hamilton). "[T]he great
security," wrote Madison, "against a gradual concentration of the
several powers in the same department consists in giving to those who
administer each department the necessary constitutional means and personal motives
to resist encroachments of the others.
The provision for defense must in this, as in all other cases, be made
commensurate to the danger of attack."
Federalist No. 51, pp. 321‑322.
Madison continued:
"But it is not possible to
give to each department an equal power of self‑ defense. In republican government, the legislative
authority necessarily predominates. The
remedy for this inconveniency is to divide the legislature into different
branches; and to render them, by
different modes of election and different principles of action, as little
connected with each other as the nature of their common functions and their
common dependence on the society will admit.... As the weight of the legislative authority requires that it
should be thus divided, the weakness of the executive may require, on the other
hand, that it should be fortified."
Id., at 322‑323.
The major "fortification" provided,
of course, was the veto power. But in
addition to providing fortification, the Founders conspicuously and very
consciously declined to sap the Executive's strength in the same way they had
weakened *699 the Legislature:
by dividing the executive power.
Proposals to have multiple executives, or a council of advisers with
separate authority were rejected. See 1
M. Farrand, Records of the Federal Convention of 1787, pp. 66, 71‑74, 88,
91‑92 (rev. ed. 1966); 2 id., at
335‑337, 533, 537, 542. Thus,
while "[a]ll legislative Powers herein granted shall be vested in a
Congress of the United States, which shall consist of a Senate and House of
Representatives," U.S. Const., Art. I, ' 1 (emphasis added), "[t]he
executive Power shall be vested in a President of the United States," Art.
II, ' 1, cl. 1 (emphasis added).
That is what this suit is about. Power.
The allocation of power among Congress, the President, and the courts in
such fashion as to preserve the equilibrium the Constitution sought to
establish‑‑so that "a gradual concentration of the several
powers in the same department," Federalist No. 51, p. 321 (J. Madison),
can effectively be resisted. Frequently
an issue of this sort will come before the Court clad, so to speak, in sheep's
clothing: the potential of the asserted
principle to effect important change in the equilibrium of power is not
immediately evident, and must be discerned by a careful and perceptive
analysis. But this wolf comes as a
wolf.
I
The present case began when the Legislative
and Executive Branches became
"embroiled in a dispute concerning the scope of the congressional
investigatory power," United States v. House of Representatives of United
States, 556 F.Supp. 150, 152 (DC 1983), which‑‑as is often the case
with such interbranch conflicts‑‑became quite acrimonious. In the course of oversight hearings into the
administration of the Superfund by the Environmental Protection Agency (EPA),
two Subcommittees of the House of Representatives requested and then subpoenaed
numerous internal EPA documents. The
President responded by personally directing the EPA Administrator not to turn
over certain of the documents, *700 see Memorandum of November 30, 1982,
from President Reagan for the Administrator, Environmental Protection Agency,
reprinted in H.R.Rep. No. 99‑435, pp. 1166‑1167 (1985), and by
having the Attorney General notify the congressional Subcommittees of this
assertion of executive privilege, see Letters of November 30, 1982, from
Attorney General William French Smith to Hon. John D. Dingell **2624 and
Hon. Elliott H. Levitas, reprinted, id., at 1168‑1177. In his decision to assert executive
privilege, the President was counseled by appellee Olson, who was then
Assistant Attorney General of the Department of Justice for the Office of Legal
Counsel, a post that has traditionally had responsibility for providing legal
advice to the President (subject to approval of the Attorney General). The House's response was to pass a
resolution citing the EPA Administrator, who had possession of the documents,
for contempt. Contempt of Congress is a
criminal offense. See 2 U.S.C. ' 192. The United States Attorney, however, a member
of the Executive Branch, initially took no steps to prosecute the contempt
citation. Instead, the Executive Branch
sought the immediate assistance of the Third Branch by filing a civil action
asking the District Court to declare that the EPA Administrator had acted
lawfully in withholding the documents under a claim of executive
privilege. See ibid. The District Court declined (in my view
correctly) to get involved in the controversy, and urged the other two branches
to try "[c]ompromise and cooperation, rather than
confrontation." 556 F.Supp., at
153. After further haggling, the two
branches eventually reached an agreement giving the House Subcommittees limited
access to the contested documents.
Congress did not, however, leave things
there. Certain Members of the House
remained angered by the confrontation, particularly by the role played by the
Department of Justice. Specifically,
the Judiciary Committee remained disturbed by the possibility that the Department
had persuaded the President to assert executive privilege despite reservations
by the *701 EPA; that the
Department had "deliberately and unnecessarily precipitated a
constitutional confrontation with Congress"; that the Department had not properly reviewed and selected the
documents as to which executive privilege was asserted; that the Department had directed the United
States Attorney not to present the contempt certification involving the EPA
Administrator to a grand jury for prosecution; that the Department had made the decision to sue the House of
Representatives; and that the
Department had not adequately advised and represented the President, the EPA,
and the EPA Administrator. H.R.Rep. No.
99‑435, p. 3 (1985) (describing unresolved "questions" that
were the basis of the Judiciary Committee's investigation). Accordingly, staff counsel of the House
Judiciary Committee were commissioned (apparently without the knowledge of many
of the Committee's members, see id., at 731) to investigate the Justice
Department's role in the controversy.
That investigation lasted 2 1/2 years, and produced a 3,000‑page
report issued by the Committee over the vigorous dissent of all but one of its
minority‑party members. That
report, which among other charges questioned the truthfulness of certain
statements made by Assistant Attorney General Olson during testimony in front
of the Committee during the early stages of its investigation, was sent to the
Attorney General along with a formal request that he appoint an independent
counsel to investigate Mr. Olson and others.
As a general matter, the Act before us here
requires the Attorney General to apply for the appointment of an independent
counsel within 90 days after receiving a request to do so, unless he determines
within that period that "there are no reasonable grounds to believe that
further investigation or prosecution is warranted." 28 U.S.C. ' 592(b)(1). As a practical matter, it would be
surprising if the Attorney General had any choice (assuming this statute is
constitutional) but to seek appointment of an independent counsel to pursue the
charges against the principal object of the congressional *702 request,
Mr. Olson. Merely the political
consequences (to him and the President) of seeming to break the law by refusing
to do so would have been substantial.
How could it not be, the public would ask, that a 3,000‑page
indictment drawn by our representatives over 2 1/2 years does not even
establish "reasonable **2625 grounds to believe" that further
investigation or prosecution is warranted with respect to at least the
principal alleged culprit? But the Act
establishes more than just practical compulsion. Although the Court's opinion
asserts that the Attorney General had "no duty to comply with the
[congressional] request," ante, at 2620, that is not entirely
accurate. He had a duty to comply
unless he could conclude that there were "no reasonable grounds to
believe," not that prosecution was warranted, but merely that
"further investigation " was warranted, 28 U.S.C. ' 592(b)(1) (1982
ed., Supp. V) (emphasis added), after a 90‑day investigation in which he
was prohibited from using such routine investigative techniques as grand
juries, plea bargaining, grants of immunity, or even subpoenas, see '
592(a)(2). The Court also makes much of
the fact that "the courts are specifically prevented from reviewing the
Attorney General's decision not to seek appointment, ' 592(f)." Ante, at 2621. Yes, [FN1] but Congress is not prevented from reviewing it. The context of this statute is acrid with
the smell of threatened impeachment.
Where, as here, a request for appointment of an independent *703
counsel has come from the Judiciary Committee of either House of Congress, the
Attorney General must, if he decides not to seek appointment, explain to that
Committee why. See also 28 U.S.C. '
595(c) (1982 ed., Supp. V) (independent counsel must report to the House of
Representatives information "that may constitute grounds for an
impeachment").
FN1. I agree with the Court on this
point, but not because of the section of the statute that it cites, '
592(f). What that provides is that
"[t]he Attorney General's determination ... to apply to the division of
the court for the appointment of an independent counsel shall not be reviewable
in any court." Quite obviously,
the determination to apply is not the same as the determination not to
apply. In other contexts, we have
sternly avoided "construing" a statute to mean what it plainly does
not say, merely in order to avoid constitutional problems. See Commodity Futures Trading Comm'n v.
Schor, 478 U.S. 833, 841, 106 S.Ct. 3245, 3251, 92 L.Ed.2d 675 (1986). In my view, however, the Attorney General's
decision not to refer would in any event be nonreviewable as the exercise of
prosecutorial discretion. See Heckler
v. Chaney, 470 U.S. 821, 105 S.Ct. 1649, 84 L.Ed.2d 714 (1985).
Thus, by the application of this statute in
the present case, Congress has effectively compelled a criminal investigation
of a high‑level appointee of the President in connection with his actions
arising out of a bitter power dispute between the President and the Legislative
Branch. Mr. Olson may or may not be
guilty of a crime; we do not know. But we do know that the investigation of him
has been commenced, not necessarily because the President or his authorized
subordinates believe it is in the interest of the United States, in the sense
that it warrants the diversion of resources from other efforts, and is worth
the cost in money and in possible damage to other governmental interests; and not even, leaving aside those normally
considered factors, because the President or his authorized subordinates
necessarily believe that an investigation is likely to unearth a violation
worth prosecuting; but only because the
Attorney General cannot affirm, as Congress demands, that there are no
reasonable grounds to believe that further investigation is warranted. The decisions regarding the scope of that
further investigation, its duration, and, finally, whether or not prosecution
should ensue, are likewise beyond the control of the President and his
subordinates.
II
If to describe this case is not to decide it,
the concept of a government of separate and coordinate powers no longer has
meaning. The Court devotes most of its
attention to such relatively technical details as the Appointments Clause and
the removal power, addressing briefly and only at the end of its opinion the
separation of powers. As my prologue
suggests,*704 I think that has it backwards. Our opinions are full of the recognition that it is the principle
of separation of powers, and the inseparable **2626 corollary that each
department's "defense must ... be made commensurate to the danger of
attack," Federalist No. 51, p. 322 (J. Madison), which gives
comprehensible content to the Appointments Clause, and determines the
appropriate scope of the removal power.
Thus, while I will subsequently discuss why our appointments and removal
jurisprudence does not support today's holding, I begin with a consideration of
the fountainhead of that jurisprudence, the separation and equilibration of
powers.
First, however, I think it well to call to
mind an important and unusual premise that underlies our deliberations, a
premise not expressly contradicted by the Court's opinion, but in my view not
faithfully observed. It is rare in a
case dealing, as this one does, with the constitutionality of a statute passed
by the Congress of the United States, not to find anywhere in the Court's
opinion the usual, almost formulary caution that we owe great deference to
Congress' view that what it has done is constitutional, see, e.g., Rostker v.
Goldberg, 453 U.S. 57, 64, 101 S.Ct. 2646, 2651, 69 L.Ed.2d 478 (1981); Fullilove v. Klutznick, 448 U.S. 448, 472,
100 S.Ct. 2758, 2771, 65 L.Ed.2d 902 (1980) (opinion of Burger, C.J.); Columbia Broadcasting System, Inc. v.
Democratic National Committee, 412 U.S. 94, 102, 93 S.Ct. 2080, 2086, 36
L.Ed.2d 772 (1973); United States v.
National Dairy Products Corp., 372 U.S. 29, 32, 83 S.Ct. 594, 597, 9 L.Ed.2d
561 (1963), and that we will decline to apply the statute only if the
presumption of constitutionality can be overcome, see Fullilove, supra, 448
U.S., at 473, 100 S.Ct., at 2772; Columbia Broadcasting, supra, 412 U.S., at
103, 93 S.Ct., at 2087. That caution is
not recited by the Court in the present case because it does not apply. Where a private citizen challenges action of
the Government on grounds unrelated to separation of powers, harmonious
functioning of the system demands that we ordinarily give some deference, or a
presumption of validity, to the actions of the political branches in what is
agreed, between themselves at least, to be within their respective
spheres. But where the issue pertains
to separation of powers, *705 and the political branches are (as here)
in disagreement, neither can be presumed correct. The reason is stated concisely by Madison: "The several departments being
perfectly co‑ordinate by the terms of their common commission, neither of
them, it is evident, can pretend to an exclusive or superior right of settling
the boundaries between their respective powers...." Federalist No. 49, p. 314. The playing field for the present case, in
other words, is a level one. As one of
the interested and coordinate parties to the underlying constitutional dispute,
Congress, no more than the President, is entitled to the benefit of the doubt.
To repeat, Article II, ' 1, cl. 1, of the
Constitution provides:
"The executive Power shall
be vested in a President of the United States."
As I described at the outset of this opinion,
this does not mean some of the executive power, but all of the executive
power. It seems to me, therefore, that
the decision of the Court of Appeals invalidating the present statute must be
upheld on fundamental separation‑of‑powers principles if the
following two questions are answered affirmatively: (1) Is the conduct of a criminal prosecution (and of an
investigation to decide whether to prosecute) the exercise of purely executive
power? (2) Does the statute deprive the
President of the United States of exclusive control over the exercise of that
power? Surprising to say, the Court appears to concede an affirmative answer to
both questions, but seeks to avoid the inevitable conclusion that since the
statute vests some purely executive power in a person who is not the President
of the United States it is void.
The Court concedes that "[t]here is no
real dispute that the functions performed by the independent counsel are
'executive'," though it qualifies that concession by adding "in the
sense that they are law enforcement functions that typically have been
undertaken by officials within the Executive**2627 Branch." Ante, at 2619. The qualifier adds nothing but atmosphere. *706 In what other sense can one
identify "the executive Power" that is supposed to be vested in the
President (unless it includes everything the Executive Branch is given to do)
except by reference to what has always and everywhere‑‑if conducted
by government at all‑‑been conducted never by the legislature,
never by the courts, and always by the executive. There is no possible doubt that the independent counsel's
functions fit this description. She is vested with the "full power and
independent authority to exercise all investigative and prosecutorial functions
and powers of the Department of Justice [and] the Attorney General." 28 U.S.C. ' 594(a) (1982 ed., Supp. V)
(emphasis added). Governmental
investigation and prosecution of crimes is a quintessentially executive
function. See Heckler v. Chaney, 470
U.S. 821, 832, 105 S.Ct. 1649, 1656, 84 L.Ed.2d 714 (1985); Buckley v. Valeo, 424 U.S. 1, 138, 96 S.Ct.
612, 691, 46 L.Ed.2d 659 (1976); United
States v. Nixon, 418 U.S. 683, 693, 94 S.Ct. 3090, 3100, 41 L.Ed.2d 1039
(1974).
As for the second question, whether the
statute before us deprives the President of exclusive control over that quintessentially
executive activity: The Court does not, and could not possibly, assert that it
does not. That is indeed the whole
object of the statute. Instead, the
Court points out that the President, through his Attorney General, has at least
some control. That concession is alone
enough to invalidate the statute, but I cannot refrain from pointing out that
the Court greatly exaggerates the extent of that "some" Presidential
control. "Most importan[t]"
among these controls, the Court asserts, is the Attorney General's "power
to remove the counsel for 'good cause.' "
Ante, at 2621. This is somewhat
like referring to shackles as an effective means of locomotion. As we recognized in Humphrey's Executor v.
United States, 295 U.S. 602, 55 S.Ct. 869, 79 L.Ed. 1611 (1935)‑‑indeed,
what Humphrey's Executor was all about‑‑limiting removal power to
"good cause" is an impediment to, not an effective grant of,
Presidential control. We said that
limitation was necessary with respect to members of the Federal Trade
Commission, which we found to be "an agency of the legislative and
judicial *707 departments," and "wholly disconnected from the
executive department," id., at 630, 55 S.Ct., at 875, because "it is
quite evident that one who holds his office only during the pleasure of
another, cannot be depended upon to maintain an attitude of independence
against the latter's will." Id.,
at 629, 55 S.Ct., at 874. What we in
Humphrey's Executor found to be a means of eliminating Presidential control,
the Court today considers the "most importan[t]" means of assuring
Presidential control. Congress, of
course, operated under no such illusion when it enacted this statute,
describing the "good cause" limitation as "protecting the
independent counsel's ability to act independently of the President's direct
control" since it permits removal only for "misconduct." H.R.Conf.Rep. 100‑452, p. 37 (1987).
Moving on to the presumably "less
important" controls that the President retains, the Court notes that no
independent counsel may be appointed without a specific request from the
Attorney General. As I have discussed
above, the condition that renders such a request mandatory (inability to find
"no reasonable grounds to believe" that further investigation is
warranted) is so insubstantial that the Attorney General's discretion is
severely confined. And once the
referral is made, it is for the Special Division to determine the scope and
duration of the investigation. See 28
U.S.C. ' 593(b) (1982 ed., Supp. V).
And in any event, the limited power over referral is irrelevant to the
question whether, once appointed, the independent counsel exercises executive
power free from the President's control.
Finally, the Court points out that the Act directs the independent
counsel to abide by general Justice Department policy, except when not
"possible." See 28 U.S.C. '
594(f) (1982 ed., Supp. V). **2628
The exception alone shows this to be an empty promise. Even without that, however, one would be
hard put to come up with many investigative or prosecutorial
"policies" (other than those imposed by the Constitution or by
Congress through law) that are absolute.
Almost all investigative and prosecutorial decisions *708
including the ultimate decision whether, after a technical violation of the law
has been found, prosecution is warranted‑‑involve the balancing of
innumerable legal and practical considerations. Indeed, even political considerations (in the nonpartisan sense)
must be considered, as exemplified by the recent decision of an independent
counsel to subpoena the former Ambassador of Canada, producing considerable
tension in our relations with that country.
See N.Y. Times, May 29, 1987, p. A12, col. 1. Another pre‑eminently political decision is whether getting
a conviction in a particular case is worth the disclosure of national security
information that would be necessary.
The Justice Department and our intelligence agencies are often in
disagreement on this point, and the Justice Department does not always
win. The present Act even goes so far
as specifically to take the resolution of that dispute away from the President
and give it to the independent counsel.
28 U.S.C. ' 594(a)(6). In sum,
the balancing of various legal, practical, and political considerations, none
of which is absolute, is the very essence of prosecutorial discretion. To take this away is to remove the core of
the prosecutorial function, and not merely "some" Presidential
control.
As I have said, however, it is ultimately
irrelevant how much the statute reduces Presidential control. The case is over when the Court
acknowledges, as it must, that "[i]t is undeniable that the Act reduces
the amount of control or supervision that the Attorney General and, through
him, the President exercises over the investigation and prosecution of a
certain class of alleged criminal activity." Ante, at 2621. It effects
a revolution in our constitutional jurisprudence for the Court, once it has
determined that (1) purely executive functions are at issue here, and (2) those
functions have been given to a person whose actions are not fully within the
supervision and control of the President, nonetheless to proceed further to sit
in judgment of whether "the President's need to control the exercise of
[the independent counsel's] *709 discretion is so central to the
functioning of the Executive Branch" as to require complete control, ante,
at 2619 (emphasis added), whether the conferral of his powers upon someone else
"sufficiently deprives the President of control over the independent
counsel to interfere impermissibly with [his] constitutional obligation to ensure
the faithful execution of the laws," ante, at 2619‑2620 (emphasis
added), and whether "the Act give[s] the Executive Branch sufficient
control over the independent counsel to ensure that the President is able to
perform his constitutionally assigned duties," ante, at 2621 (emphasis
added). It is not for us to determine,
and we have never presumed to determine, how much of the purely executive
powers of government must be within the full control of the President. The Constitution prescribes that they all
are.
The utter incompatibility of the Court's
approach with our constitutional traditions can be made more clear, perhaps, by
applying it to the powers of the other two branches. Is it conceivable that if Congress passed a statute depriving
itself of less than full and entire control over some insignificant area of
legislation, we would inquire whether the matter was "so central to the
functioning of the Legislative Branch" as really to require complete
control, or whether the statute gives Congress "sufficient control over
the surrogate legislator to ensure that Congress is able to perform its
constitutionally assigned duties"?
Of course we would have none of that.
Once we determined that a purely legislative power was at issue we would
require it to be exercised, wholly and entirely, by Congress. Or to bring the point closer to home,
consider a statute giving to **2629 non‑Article III judges just a
tiny bit of purely judicial power in a relatively insignificant field, with
substantial control, though not total control, in the courts‑‑perhaps
"clear error" review, which would be a fair judicial equivalent of
the Attorney General's "for cause" removal power here. Is there any doubt that we would not pause
to inquire whether the matter was "so central to the *710
functioning of the Judicial Branch" as really to require complete control,
or whether we retained "sufficient control over the matters to be decided
that we are able to perform our constitutionally assigned duties"? We would say that our "constitutionally
assigned duties" include complete control over all exercises of the
judicial power‑‑or, as the plurality opinion said in Northern
Pipeline Construction Co. v. Marathon Pipe Line Co., 458 U.S. 50, 58‑59,
102 S.Ct. 2858, 2865, 73 L.Ed.2d 598 (1982):
"The inexorable command of
[Article III] is clear and definite:
The judicial power of the United States must be exercised by courts
having the attributes prescribed in Art. III." We should say here that the President's constitutionally assigned
duties include complete control over investigation and prosecution of
violations of the law, and that the inexorable command of Article II is clear
and definite: the executive power must
be vested in the President of the United States.
Is it unthinkable that the President should
have such exclusive power, even when alleged crimes by him or his close
associates are at issue? No more so
than that Congress should have the exclusive power of legislation, even when what
is at issue is its own exemption from the burdens of certain laws. See Civil Rights Act of 1964, Title VII, 42
U.S.C. ' 2000e et seq. (prohibiting "employers," not defined to
include the United States, from discriminating on the basis of race, color,
religion, sex, or national origin). No
more so than that this Court should have the exclusive power to pronounce the
final decision on justiciable cases and controversies, even those pertaining to
the constitutionality of a statute reducing the salaries of the Justices. See United States v. Will, 449 U.S. 200, 211‑217,
101 S.Ct. 471, 478‑482, 66 L.Ed.2d 392 (1980). A system of separate and coordinate powers necessarily involves
an acceptance of exclusive power that can theoretically be abused. As we reiterate this very day, "[i]t is
a truism that constitutional protections have costs." Coy v. Iowa, 487 U.S. 1012, 1020, 108 S.Ct.
2798, ‑‑‑‑, 101 L.Ed.2d 857 (1988). While the separation of powers may prevent
us from righting every wrong, it does so in order to ensure that we do not lose
liberty. *711 The checks against
any branch's abuse of its exclusive powers are twofold: First, retaliation by one of the other
branch's use of its exclusive powers:
Congress, for example, can impeach the executive who willfully fails to
enforce the laws; the executive can
decline to prosecute under unconstitutional statutes, cf. United States v.
Lovett, 328 U.S. 303, 66 S.Ct. 1073, 90 L.Ed. 1252 (1946); and the courts can dismiss malicious
prosecutions. Second, and ultimately,
there is the political check that the people will replace those in the
political branches (the branches more "dangerous to the political rights
of the Constitution," Federalist No. 78, p. 465) who are guilty of
abuse. Political pressures produced
special prosecutors‑‑for Teapot Dome and for Watergate, for example‑‑long
before this statute created the independent counsel. See Act of Feb. 8, 1924, ch. 16, 43 Stat. 5‑6; 38 Fed.Reg. 30738 (1973).
The Court has, nonetheless, replaced the
clear constitutional prescription that the executive power belongs to the
President with a "balancing test." What are the standards to
determine how the balance is to be struck, that is, how much removal of
Presidential power is too much? Many
countries of the world get along with an executive that is much weaker than
ours‑‑in fact, entirely dependent upon the continued support of the
legislature. Once we depart from the
text of the Constitution, just where short of that do we stop? The most amazing
feature of the Court's opinion **2630 is that it does not even purport
to give an answer. It simply announces,
with no analysis, that the ability to control the decision whether to
investigate and prosecute the President's closest advisers, and indeed the
President himself, is not "so central to the functioning of the Executive
Branch" as to be constitutionally required to be within the President's
control. Apparently that is so because
we say it is so. Having abandoned as
the basis for our decision‑making the text of Article II that "the
executive Power" must be vested in the President, the Court does not even
attempt to craft a substitute criterion‑‑a "justiciable
standard," see, e.g., Baker v. Carr, *712 369 U.S. 186, 210, 82
S.Ct. 691, 706, 7 L.Ed.2d 663 (1962);
Coleman v. Miller, 307 U.S. 433, 454‑455, 59 S.Ct. 972, 982, 83
L.Ed. 1385 (1939), however remote from the Constitution‑‑that today
governs, and in the future will govern, the decision of such questions. Evidently, the governing standard is to be
what might be called the unfettered wisdom of a majority of this Court,
revealed to an obedient people on a case‑by‑case basis. This is not only not the government of laws
that the Constitution established; it
is not a government of laws at all.
In my view, moreover, even as an ad hoc,
standardless judgment the Court's conclusion must be wrong. Before this statute was passed, the
President, in taking action disagreeable to the Congress, or an executive
officer giving advice to the President or testifying before Congress concerning
one of those many matters on which the two branches are from time to time at
odds, could be assured that his acts and motives would be adjudged‑‑insofar
as the decision whether to conduct a criminal investigation and to prosecute is
concerned‑‑in the Executive Branch, that is, in a forum attuned to
the interests and the policies of the Presidency. That was one of the natural advantages the Constitution gave to
the Presidency, just as it gave Members of Congress (and their staffs) the
advantage of not being prosecutable for anything said or done in their
legislative capacities. See U.S.
Const., Art. I, ' 6, cl. 1; Gravel v.
United States, 408 U.S. 606, 92 S.Ct. 2614, 33 L.Ed.2d 583 (1972). It is the very object of this legislation to
eliminate that assurance of a sympathetic forum. Unless it can honestly be said that there are "no reasonable
grounds to believe" that further investigation is warranted, further
investigation must ensue; and the
conduct of the investigation, and determination of whether to prosecute, will
be given to a person neither selected by nor subject to the control of the
President‑‑who will in turn assemble a staff by finding out,
presumably, who is willing to put aside whatever else they are doing, for an
indeterminate period of time, in order to investigate and prosecute the
President or a particular named individual in his administration. The prospect is frightening (as I will
discuss *713 at some greater length at the conclusion of this opinion)
even outside the context of a bitter, interbranch political dispute. Perhaps the boldness of the President
himself will not be affected‑‑though I am not even sure of
that. (How much easier it is for
Congress, instead of accepting the political damage attendant to the
commencement of impeachment proceedings against the President on trivial
grounds‑‑or, for that matter, how easy it is for one of the
President's political foes outside of Congress‑‑simply to trigger a
debilitating criminal investigation of the Chief Executive under this
law.) But as for the President's high‑level
assistants, who typically have no political base of support, it is as utterly
unrealistic to think that they will not be intimidated by this prospect, and
that their advice to him and their advocacy of his interests before a hostile
Congress will not be affected, as it would be to think that the Members of
Congress and their staffs would be unaffected by replacing the Speech or Debate
Clause with a similar provision. It deeply wounds the President, by
substantially reducing the President's ability to protect himself and his
staff. That is the whole object of the
law, of **2631 course, and I cannot imagine why the Court believes it
does not succeed.
Besides weakening the Presidency by reducing
the zeal of his staff, it must also be obvious that the institution of the
independent counsel enfeebles him more directly in his constant confrontations
with Congress, by eroding his public support.
Nothing is so politically effective as the ability to charge that one's
opponent and his associates are not merely wrongheaded, naive, ineffective,
but, in all probability, "crooks."
And nothing so effectively gives an appearance of validity to such
charges as a Justice Department investigation and, even better,
prosecution. The present statute provides
ample means for that sort of attack, assuring that massive and lengthy investigations
will occur, not merely when the Justice Department in the application of its
usual standards believes they are called for, but whenever it *714
cannot be said that there are "no reasonable grounds to believe" they
are called for. The statute's highly
visible procedures assure, moreover, that unlike most investigations these will
be widely known and prominently displayed.
Thus, in the 10 years since the institution of the independent counsel
was established by law, there have been nine highly publicized investigations,
a source of constant political damage to two administrations. That they could not remotely be described as
merely the application of "normal" investigatory and prosecutory
standards is demonstrated by, in addition to the language of the statute
("no reasonable grounds to believe"), the following facts: Congress appropriates approximately $50
million annually for general legal activities, salaries, and expenses of the
Criminal Division of the Department of Justice. See 1989 Budget Request of the Department of Justice, Hearings
before a Subcommittee of the House Committee on Appropriations, 100th Cong., 2d
Sess., pt. 6, pp. 284‑285 (1988) (DOJ Budget Request). This money is used to support
"[f]ederal appellate activity," "[o]rganized crime
prosecution," "[p]ublic integrity" and "[f]raud"
matters, "[n]arcotic & dangerous drug prosecution,"
"[i]nternal security," "[g]eneral litigation and legal
advice," "special investigations," "[p]rosecution
support," "[o]rganized crime drug enforcement," and
"[m]anagement & administration."
Id., at 284. By comparison, between May 1986 and August 1987, four
independent counsel (not all of whom were operating for that entire period of
time) spent almost $5 million (1/10th of the amount annually appropriated to
the entire Criminal Division), spending almost $1 million in the month of
August 1987 alone. See Washington Post,
Oct. 21, 1987, p. A21, col. 5. For
fiscal year 1989, the Department of Justice has requested $52 million for the
entire Criminal Division, DOJ Budget Request 285, and $7 million to support the
activities of independent counsel, id., at 25.
In sum, this statute does deprive the
President of substantial control over the prosecutory functions performed by
the *715 independent counsel, and it does substantially affect the
balance of powers. That the Court could
possibly conclude otherwise demonstrates both the wisdom of our former
constitutional system, in which the degree of reduced control and political
impairment were irrelevant, since all purely executive power had to be in the
President; and the folly of the new
system of standardless judicial allocation of powers we adopt today.
III
As I indicated earlier, the basic separation‑of‑powers
principles I have discussed are what give life and content to our jurisprudence
concerning the President's power to appoint and remove officers. The same result of unconstitutionality is
therefore plainly indicated by our case law in these areas.
Article II, ' 2, cl. 2, of the Constitution
provides as follows:
"[The President] shall
nominate, and by and with the Advice and Consent of the the Senate, shall
appoint Ambassadors, other public Ministers and Consuls, **2632 Judges
of the supreme Court, and all other Officers of the United States, whose
Appointments are not herein otherwise provided for, and which shall be
established by Law: but the 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."
Because appellant (who all parties and the
Court agree is an officer of the United States, ante, at 2608, n. 12) was not
appointed by the President with the advice and consent of the Senate, but
rather by the Special Division of the United States Court of Appeals, her
appointment is constitutional only if (1) she is an "inferior"
officer within the meaning of the above Clause, and (2) Congress may vest her
appointment in a court of law.
As to the first of these inquiries, the Court
does not attempt to "decide exactly" what establishes the line
between *716 principal and "inferior" officers, but is
confident that, whatever the line may be, appellant "clearly falls on the
'inferior officer' side" of it.
Ante, at 2608. The Court gives
three reasons: First, she "is
subject to removal by a higher Executive Branch official," namely, the
Attorney General. Ibid. Second, she is "empowered by the Act to
perform only certain, limited duties."
Ante, at 2608. Third, her office
is "limited in jurisdiction" and "limited in tenure." Ibid.
The first of these lends no support to the
view that appellant is an inferior officer.
Appellant is removable only for "good cause" or physical or
mental incapacity. 28 U.S.C. '
596(a)(1) (1982 ed., Supp. V). By
contrast, most (if not all) principal officers in the Executive Branch may be
removed by the President at will. I
fail to see how the fact that appellant is more difficult to remove than most
principal officers helps to establish that she is an inferior officer. And I do not see how it could possibly make
any difference to her superior or inferior status that the President's limited
power to remove her must be exercised through the Attorney General. If she were removable at will by the
Attorney General, then she would be subordinate to him and thus properly
designated as inferior; but the Court
essentially admits that she is not subordinate. See ante, at 2608. If it
were common usage to refer to someone as "inferior" who is subject to
removal for cause by another, then one would say that the President is
"inferior" to Congress.
The second reason offered by the Court‑‑that
appellant performs only certain, limited duties‑‑may be relevant to
whether she is an inferior officer, but it mischaracterizes the extent of her
powers. As the Court states: "Admittedly, the Act delegates to
appellant [the] 'full power and independent authority to exercise all
investigative and prosecutorial functions and powers of the Department of
Justice.' " Ante, at 2608, quoting
28 U.S.C. ' 594(a) (1982 ed., Supp. V) (emphasis *717 added). [FN2] Moreover, in addition to this general grant
of power she is given a broad range of specifically enumerated powers,
including a power not even the Attorney General possesses: to "contes[t] in court ... any claim of
privilege or attempt to withhold evidence on grounds of national
security." ' 594(a)(6). [FN3] Once
all **2633 of this is "admitted," it seems *718 to me
impossible to maintain that appellant's authority is so "limited" as
to render her an inferior officer. The
Court seeks to brush this away by asserting that the independent counsel's
power does not include any authority to "formulate policy for the
Government or the Executive Branch."
Ante, at 2608. But the same
could be said for all officers of the Government, with the single exception of
the President. All of them only
formulate policy within their respective spheres of responsibility‑‑as
does the independent counsel, who must comply with the policies of the
Department of Justice only to the extent possible. ' 594(f).
FN2. The Court omits the further
provision that the independent counsel exercises within her sphere the
"full power" of "the Attorney General, [with one minor exception
relating to wiretap authorizations] and any other officer or employee of the
Department of Justice[.]" '
594(a). This is, of course, quite
difficult to square with the Court's assertion that appellant is " 'inferior' in rank and authority" to
the Attorney General. Ante, at 2608.
FN3. The independent counsel's
specifically enumerated powers include the following:
"(1) conducting proceedings
before grand juries and other investigations;
"(2) participating in court
proceedings and engaging in any litigation, including civil and criminal
matters, that [the] independent counsel deems necessary;
"(3) appealing any decision of
a court in any case or proceeding in which [the] independent counsel
participates in an official capacity;
"(4) reviewing all documentary
evidence available from any source;
"(5) determining whether to
contest the assertion of any testimonial privilege;
"(6) receiving appropriate
national security clearances and, if necessary contesting in court ... any
claim of privilege or attempt to withhold evidence on grounds of national security;
"(7) making applications to any
Federal court for a grant of immunity to any witness ... or for warrants,
subpoenas, or other court orders, and for purposes of sections 6003, 6004, and
6005 of title 18, exercising the
authority vested in a United States attorney or the Attorney General;
"(8) inspecting, obtaining, or
using the original or a copy of any tax return ...;
"(9) initiating and conducting
prosecutions in any court of competent jurisdiction, framing and signing
indictments, filing informations, and handling all aspects of any case filed in
the name of the United States; and
"(10) consulting with the
United States Attorney for the district in which the violation was alleged to
have occurred." '' 594(a)(1)‑(10).
In addition, the statute empowers
the independent counsel to hire a staff of a size as large as she "deems
necessary," ' 594(c), and to enlist and receive "where necessary to
perform [her] duties" the assistance, personnel and resources of the
Department of Justice, ' 594(d).
The final set of reasons given by the Court
for why the independent counsel clearly is an inferior officer emphasizes the
limited nature of her jurisdiction and tenure.
Taking the latter first, I find nothing unusually limited about the
independent counsel's tenure. To the
contrary, unlike most high‑ranking Executive Branch officials, she
continues to serve until she (or the Special Division) decides that her work is
substantially completed. See ''
596(b)(1), (b)(2). This particular
independent prosecutor has already served more than two years, which is at
least as long as many Cabinet officials.
As to the scope of her jurisdiction, there can be no doubt that is small
(though far from unimportant). But
within it she exercises more than the full power of the Attorney General. The Ambassador to Luxembourg is not anything
less than a principal officer, simply because Luxembourg is small. And the
federal judge who sits in a small district is not for that reason "inferior
in rank and authority." If the
mere fragmentation of executive responsibilities into small compartments
suffices to render the heads of each of those compartments inferior officers,
then Congress could deprive the President of the right to appoint his chief law
enforcement officer by dividing up the Attorney General's responsibilities
among a number of "lesser" functionaries.
*719 More fundamentally, however, it is not clear from the Court's opinion
why the factors it discusses‑‑even if applied correctly to the
facts of this case‑‑are determinative of the question of inferior
officer status. The apparent source of
these factors is a statement in United States v. Germaine, 99 U.S. (9 Otto)
508, 511 25 L.Ed. 482 (1879) (discussing United States v. Hartwell, 6 Wall.
385, 393, 18 L.Ed. 830 (1868)), that "the term [officer] embraces the
ideas of tenure, duration, emolument, and duties." See ante, at 2608. Besides the fact that this was dictum, it
was dictum in a case where the distinguishing characteristics of inferior
officers versus superior officers were in no way relevant, but rather only the
distinguishing characteristics of an "officer of the United States"
(to which the criminal statute at issue applied) as opposed to a mere employee. Rather than erect a theory of who is an
inferior officer **2634 on the foundation of such an irrelevancy, I
think it preferable to look to the text of the Constitution and the division of
power that it establishes. These
demonstrate, I think, that the independent counsel is not an inferior officer
because she is not subordinate to any officer in the Executive Branch (indeed,
not even to the President).
Dictionaries in use at the time of the Constitutional Convention gave the
word "inferiour" two meanings which it still bears today: (1) "[l]ower in place, ... station, ...
rank of life, ... value or excellency," and (2)
"[s]ubordinate." S. Johnson,
Dictionary of the English Language (6th ed. 1785). In a document dealing with the structure (the constitution) of a
government, one would naturally expect the word to bear the latter meaning‑‑
indeed, in such a context it would be unpardonably careless to use the word
unless a relationship of subordination was intended. If what was meant was merely "lower in station or rank,"
one would use instead a term such as "lesser officers." At the only other point in the Constitution
at which the word "inferior" appears, it plainly connotes a
relationship of subordination. Article
III vests the judicial power of the United States in "one supreme Court,
and in such inferior Courts as *720 the Congress may from time to time
ordain and establish." U.S.
Const., Art. III, ' 1 (emphasis added). In Federalist No. 81, Hamilton pauses
to describe the "inferior" courts authorized by Article III as
inferior in the sense that they are "subordinate" to the Supreme
Court. See id., 6 Wall. at 485, n.,
490, n.
That "inferior" means
"subordinate" is also consistent with what little we know about the
evolution of the Appointments Clause.
As originally reported to the Committee on Style, the Appointments
Clause provided no "exception" from the standard manner of
appointment (President with the advice and consent of the Senate) for inferior
officers. 2 M. Farrand, Records of the
Federal Convention of 1787, pp. 498‑499, 599 (rev. ed. 1966). On September 15, 1787, the last day of the
Convention before the proposed Constitution was signed, in the midst of a host
of minor changes that were being considered, Gouverneur Morris moved to add the
exceptions clause. Id., at 627. No great debate ensued; the only disagreement was over whether it
was necessary at all. Id., at 627‑628.
Nobody thought that it was a fundamental change, excluding from the
President's appointment power and the Senate's confirmation power a category of
officers who might function on their own, outside the supervision of those
appointed in the more cumbersome fashion.
And it is significant that in the very brief discussion Madison mentions
(as in apparent contrast to the "inferior officers" covered by the
provision) "Superior Officers."
Id., at 637. Of course one is
not a "superior officer" without some supervisory responsibility,
just as, I suggest, one is not an "inferior officer" within the
meaning of the provision under discussion unless one is subject to supervision
by a "superior officer." It
is perfectly obvious, therefore, both from the relative brevity of the
discussion this addition received, and from the content of that discussion,
that it was intended merely to make clear (what Madison thought already was
clear, see id., at 627) that those officers appointed by the President with
Senate *721 approval could on their own appoint their subordinates, who
would, of course, by chain of command still be under the direct control of the
President.
This interpretation is, moreover, consistent
with our admittedly sketchy precedent in this area. For example, in United States v. Eaton, 169 U.S. 331, 18 S.Ct.
374, 42 L.Ed. 767 (1898), we held that the appointment by an Executive Branch
official other than the President of a "vice‑consul," charged
with the duty of temporarily performing the function of the consul, did not
violate the Appointments Clause. In
doing so, we repeatedly referred to the "vice‑consul" as a
"subordinate" officer. Id.,
at 343, 18 S.Ct., at 879. See also
United States v. Germaine, supra, 9 Otto at 511 (comparing "inferior" commissioners and
**2635 bureau officers to heads of department, describing the former as
"mere ... subordinates") (dicta);
United States v. Hartwell, supra, 6 Wall. at 394 (describing clerk
appointed by Assistant Treasurer with approval of Secretary of the Treasury as
a "subordinate office [r]") (dicta).
More recently, in United States v. Nixon, 418 U.S. 683, 94 S.Ct. 3090,
41 L.Ed.2d 1039 (1974), we noted that the Attorney General's appointment of the
Watergate Special Prosecutor was made pursuant to the Attorney General's
"power to appoint subordinate officers to assist him in the discharge of
his duties." Id., at 694, 94
S.Ct., at 3100 (emphasis added). The Court's citation of Nixon as support for
its view that the independent counsel is an inferior officer is simply not
supported by a reading of the case. We
explicitly stated that the Special Prosecutor was a "subordinate office[r],"
ibid., because, in the end, the President or the Attorney General could have
removed him at any time, if by no other means than amending or revoking the
regulation defining his authority. Id.,
at 696, 94 S.Ct., at 3101. Nor are any
of the other cases cited by the Court in support of its view inconsistent with
the natural reading that an inferior officer must at least be subordinate to
another officer of the United States.
In Ex parte Siebold, 100 U.S. (10 Otto) 371, 25 L.Ed. 717 (1880), we
upheld the appointment by a court of federal "Judges of Election,"
who were charged with various duties involving the overseeing *722 of
local congressional elections. Contrary to the Court's assertion, see ante, at
2609, we did not specifically find that these officials were inferior officers
for purposes of the Appointments Clause, probably because no one had contended
that they were principal officers. Nor
can the case be said to represent even an assumption on our part that they were
inferior without being subordinate. The
power of assisting in the judging of elections that they were exercising was
assuredly not a purely executive power, and if we entertained any assumption it
was probably that they, like the marshals who assisted them, see Siebold, 100
U.S. (10 Otto), at 380, were subordinate to the courts, see id., 10 Otto at
397. Similarly, in Go‑Bart
Importing Co. v. United States, 282 U.S. 344, 51 S.Ct. 153, 75 L.Ed. 374
(1931), where we held that United States commissioners were inferior officers,
we made plain that they were subordinate to the district courts which appointed
them: "The commissioner acted not
as a court, or as a judge of any court, but as a mere officer of the district
court in proceedings of which that court had authority to take control at any
time." Id., at 354, 51 S.Ct., at
157.
To be sure, it is not a sufficient condition
for "inferior" officer status that one be subordinate to a principal
officer. Even an officer who is
subordinate to a department head can be a principal officer. That is clear from the brief exchange
following Gouverneur Morris' suggestion of the addition of the exceptions
clause for inferior officers. Madison
responded:
"It does not go far enough
if it be necessary at all‑‑Superior Officers below Heads of Departments
ought in some cases to have the appointment of the lesser offices." 2 M. Farrand, Records of the Federal
Convention, of 1787, p. 627 (rev. ed. 1966) (emphasis added).
But it is surely a necessary condition for
inferior officer status that the officer be subordinate to another officer.
The independent counsel is not even
subordinate to the President. The Court
essentially admits as much, noting that "appellant may not be
'subordinate' to the Attorney General (*723 and the President) insofar
as she possesses a degree of independent discretion to exercise the powers
delegated to her under the Act."
Ante, at 2608‑2609. In
fact, there is no doubt about it. As
noted earlier, the Act specifically grants her the "full power and
independent authority to exercise all investigative and prosecutorial functions
of the Department of Justice," 28 U.S.C. ' 594(a) (1982 ed., Supp. V), and
makes her removable only for "good cause," a limitation specifically**2636
intended to ensure that she be independent of, not subordinate to, the
President and the Attorney General. See
H.R.Conf.Rep. No. 100‑452, p. 37 (1987).
Because appellant is not subordinate to
another officer, she is not an
"inferior" officer and her appointment other than by the
President with the advice and consent of the Senate is unconstitutional.
IV
I will not discuss at any length why the
restrictions upon the removal of the independent counsel also violate our
established precedent dealing with that specific subject. For most of it, I simply refer the reader to
the scholarly opinion of Judge Silberman for the Court of Appeals below. See In re Sealed Case, 267 U.S.App.D.C. 178,
838 F.2d 476 (1988). I cannot avoid
commenting, however, about the essence of what the Court has done to our removal
jurisprudence today.
There is, of course, no provision in the
Constitution stating who may remove executive officers, except the provisions
for removal by impeachment. Before the
present decision it was established, however, (1) that the President's power to
remove principal officers who exercise purely executive powers could not be
restricted, see Myers v. United States, 272 U.S. 52, 127, 47 S.Ct. 21, 28‑29,
71 L.Ed. 160 (1926), and (2) that his power to remove inferior officers who
exercise purely executive powers, and whose appointment Congress had removed
from the usual procedure of Presidential appointment with Senate consent, could
be restricted, at least where the appointment had been made by *724 an
officer of the Executive Branch, see ibid.;
United States v. Perkins, 116 U.S. 483, 485, 6 S.Ct. 449, 450, 29 L.Ed.
700 (1886). [FN4]
FN4. The Court misunderstands my
opinion to say that "every officer of the United States exercising any
part of [the executive] power must serve at the pleasure of the President and
be removable by him at will."
Ante, at 2618‑2619, n. 29.
Of course, as my discussion here demonstrates, that has never been the
law and I do not assert otherwise. What
I do assert‑‑ and what the Constitution seems plainly to prescribe‑‑is
that the President must have control over all exercises of the executive
power. See supra, at 2606. That requires that he have plenary power to
remove principal officers such as the independent counsel, but it does not
require that he have plenary power to remove inferior officers. Since the latter are, as I have described,
subordinate to, i.e., subject to the supervision of, principal officers who
(being removable at will) have the President's complete confidence, it is
enough‑‑at least if they have been appointed by the President or by
a principal officer‑‑that they be removable for cause, which would
include, of course, the failure to accept supervision. Thus, Perkins is in no way inconsistent with
my views.
The Court could have resolved the removal
power issue in this case by simply relying upon its erroneous conclusion that
the independent counsel was an inferior officer, and then extending our holding
that the removal of inferior officers appointed by the Executive can be
restricted, to a new holding that even the removal of inferior officers
appointed by the courts can be restricted.
That would in my view be a considerable and unjustified extension,
giving the Executive full discretion in neither the selection nor the removal
of a purely executive officer. The
course the Court has chosen, however, is even worse.
Since our 1935 decision in Humphrey's
Executor v. United States, 295 U.S. 602, 55 S.Ct. 869, 79 L.Ed. 1611‑‑which
was considered by many at the time the product of an activist, anti‑New
Deal Court bent on reducing the power of President Franklin Roosevelt‑‑it
has been established that the line of permissible restriction upon removal of
principal officers lies at the point at which the powers exercised by those
officers are no longer purely executive. Thus, removal restrictions have been
generally regarded as lawful for so‑ called "independent regulatory
*725 agencies," such as the Federal Trade Commission, see ibid.; 15 U.S.C. ' 41, the Interstate Commerce
Commission, see 49 U.S.C. ' 10301(c) (1982 ed., Supp. IV), and the Consumer
Product Safety Commission, see 15 U.S.C. ' 2053(a), which engage substantially
in what has **2637 been called the "quasi‑legislative
activity" of rulemaking, and for members of Article I courts, such as the
Court of Military Appeals, see 10 U.S.C. ' 867(a)(2), who engage in the
"quasi‑ judicial" function of adjudication. It has often been observed, correctly in my
view, that the line between "purely executive" functions and
"quasi‑ legislative" or "quasi‑judicial"
functions is not a clear one or even a rational one. See ante, at 2618‑2619;
Bowsher v. Synar, 478 U.S. 714, 761, n. 3, 106 S.Ct. 3181, 3206, n. 3
(1986) (WHITE, J., dissenting); FTC v.
Ruberoid Co., 343 U.S. 470, 487‑488, 72 S.Ct. 800, 810, 96 L.Ed. 1081
(1952) (Jackson, J., dissenting). But
at least it permitted the identification of certain officers, and certain
agencies, whose functions were entirely within the control of the President. Congress had to be aware of that restriction
in its legislation. Today, however,
Humphrey's Executor is swept into the dustbin of repudiated constitutional
principles. "[O]ur present
considered view," the Court says, "is that the determination of whether
the Constitution allows Congress to impose a 'good cause'‑type
restriction on the President's power to remove an official cannot be made to
turn on whether or not that official is classified as 'purely executive.'
" Ante, at 2617. What Humphrey's Executor (and presumably
Myers ) really means, we are now told, is not that there are any "rigid
categories of those officials who may or may not be removed at will by the
President," but simply that Congress cannot "interefere with the
President's exercise of the 'executive power' and his constitutionally
appointed duty to 'take care that the laws be faithfully executed,' "
ante, at 2617‑2618.
One can hardly grieve for the shoddy
treatment given today to Humphrey's Executor, which, after all, accorded the same
indignity (with much less justification) to Chief Justice *726 Taft's
opinion 10 years earlier in Myers v. United States, 272 U.S. 52, 47 S.Ct. 21,
71 L.Ed. 160 (1926)‑‑ gutting, in six quick pages devoid of textual
or historical precedent for the novel principle it set forth, a carefully
researched and reasoned 70‑page opinion.
It is in fact comforting to witness the reality that he who lives by the
ipse dixit dies by the ipse dixit. But
one must grieve for the Constitution.
Humphrey's Executor at least had the decency formally to observe the
constitutional principle that the President had to be the repository of all
executive power, see 295 U.S., at 627‑628, 55 S.Ct., at 874, which, as
Myers carefully explained, necessarily means that he must be able to discharge
those who do not perform executive functions according to his liking. As we noted in Bowsher, once an officer is
appointed " 'it is only the authority that can remove him, and not the
authority that appointed him, that he must fear and, in the performance of his
functions, obey.' " 478 U.S., at
726, 106 S.Ct., at 3188, quoting Synar v. United States, 626 F.Supp. 1374, 1401
(DC 1986) (Scalia, Johnson, and Gasch, JJ.).
By contrast, "our present considered view" is simply that any
executive officer's removal can be restricted, so long as the President remains
"able to accomplish his constitutional role." Ante, at 2618. There are now no lines.
If the removal of a prosecutor, the virtual embodiment of the power to
"take care that the laws be faithfully executed," can be restricted,
what officer's removal cannot? This is
an open invitation for Congress to experiment.
What about a special Assistant Secretary of State, with responsibility
for one very narrow area of foreign policy, who would not only have to be
confirmed by the Senate but could also be removed only pursuant to certain
carefully designed restrictions? Could
this possibly render the President "[un]able to accomplish his
constitutional role"? Or a special
Assistant Secretary of Defense for Procurement? The possibilities are endless, and the Court does not understand
what the separation of powers, what "[a]mbition ... counteract[ing]
ambition," Federalist No. 51, p. 322 (Madison), is all about, if it does
not expect Congress to try them. As far
as I can discern from the Court's opinion, it is now *727 open season
upon the President's removal power for all executive **2638 officers,
with not even the superficially principled restriction of Humphrey's Executor
as cover. The Court essentially says to
the President: "Trust us. We will make sure that you are able to
accomplish your constitutional role."
I think the Constitution gives the President‑‑and the people‑‑more
protection than that.
V
The purpose of the separation and equilibration
of powers in general, and of the unitary Executive in particular, was not
merely to assure effective government but to preserve individual freedom. Those who hold or have held offices covered
by the Ethics in Government Act are entitled to that protection as much as the
rest of us, and I conclude my discussion by considering the effect of the Act
upon the fairness of the process they receive.
Only someone who has worked in the field of
law enforcement can fully appreciate the vast power and the immense discretion
that are placed in the hands of a prosecutor with respect to the objects of his
investigation. Justice Robert Jackson, when he was Attorney General under
President Franklin Roosevelt, described it in a memorable speech to United
States Attorneys, as follows:
"There is a most important
reason why the prosecutor should have, as nearly as possible, a detached and
impartial view of all groups in his community.
Law enforcement is not automatic.
It isn't blind. One of the
greatest difficulties of the position of prosecutor is that he must pick his
cases, because no prosecutor can even investigate all of the cases in which he
receives complaints. If the Department
of Justice were to make even a pretense of reaching every probable violation of
federal law, ten times its present staff will be inadequate. We know that no local police force can
strictly enforce the traffic laws, or it would arrest half the driving
population on *728 any given morning.
What every prosecutor is practically required to do is to select the
cases for prosecution and to select those in which the offense is the most
flagrant, the public harm the greatest, and the proof the most certain.
"If the prosecutor is
obliged to choose his case, it follows that he can choose his defendants. Therein is the most dangerous power of the
prosecutor: that he will pick people that he thinks he should get, rather than
cases that need to be prosecuted. With
the law books filled with a great assortment of crimes, a prosecutor stands a fair
chance of finding at least a technical violation of some act on the part of
almost anyone. In such a case, it is
not a question of discovering the commission of a crime and then looking for
the man who has committed it, it is a question of picking the man and then
searching the law books, or putting investigators to work, to pin some offense
on him. It is in this realm‑‑in
which the prosecutor picks some person whom he dislikes or desires to
embarrass, or selects some group of unpopular persons and then looks for an
offense, that the greatest danger of abuse of prosecuting power lies. It is here that law enforcement becomes
personal, and the real crime becomes that of being unpopular with the
predominant or governing group, being attached to the wrong political views, or
being personally obnoxious to or in the way of the prosecutor
himself." R. Jackson, The Federal
Prosecutor, Address Delivered at the Second Annual Conference of United States
Attorneys, April 1, 1940.
Under our system of government, the primary
check against prosecutorial abuse is a political one. The prosecutors who exercise this awesome discretion are selected
and can be removed by a President, whom the people have trusted enough to
elect. Moreover, when crimes are not
investigated and prosecuted fairly, nonselectively, with a reasonable *729
sense of proportion, the President pays the cost in political damage to his
administration. If federal prosecutors
"pick people that [they] thin[k] **2639 [they] should get, rather
than cases that need to be prosecuted," if they amass many more resources
against a particular prominent individual, or against a particular class of
political protesters, or against members of a particular political party, than
the gravity of the alleged offenses or the record of successful prosecutions
seems to warrant, the unfairness will come home to roost in the Oval
Office. I leave it to the reader to
recall the examples of this in recent years.
That result, of course, was precisely what the Founders had in mind when
they provided that all executive powers would be exercised by a single Chief
Executive. As Hamilton put it,
"[t]he ingredients which constitute safety in the republican sense are a
due dependence on the people, and a due responsibility." Federalist No. 70, p. 424. The President is directly dependent on the
people, and since there is only one President, he is responsible. The people know whom to blame, whereas "one
of the weightiest objections to a plurality in the executive ... is that it tends
to conceal faults and destroy responsibility." Id., at 427.
That is the system of justice the rest of us
are entitled to, but what of that select class consisting of present or former
high‑level Executive Branch officials?
If an allegation is made against them of any violation of any federal
criminal law (except Class B or C misdemeanors or infractions) the Attorney
General must give it his attention.
That in itself is not objectionable.
But if, after a 90‑day investigation without the benefit of normal
investigatory tools, the Attorney General is unable to say that there are
"no reasonable grounds to believe" that further investigation is
warranted, a process is set in motion that is not in the full control of
persons "dependent on the people," and whose flaws cannot be blamed
on the President. An independent counsel is selected, and the scope of his or
her authority prescribed, by a *730 panel of judges. What if they are politically partisan, as
judges have been known to be, and select a prosecutor antagonistic to the
administration, or even to the particular individual who has been selected for
this special treatment? There is no
remedy for that, not even a political one.
Judges, after all, have life tenure, and appointing a surefire
enthusiastic prosecutor could hardly be considered an impeachable offense. So if there is anything wrong with the
selection, there is effectively no one to blame. The independent counsel thus selected proceeds to assemble a
staff. As I observed earlier, in the
nature of things this has to be done by finding lawyers who are willing to lay
aside their current careers for an indeterminate amount of time, to take on a
job that has no prospect of permanence and little prospect for promotion. One thing is certain, however: it involves investigating and perhaps
prosecuting a particular individual.
Can one imagine a less equitable manner of fulfilling the executive
responsibility to investigate and prosecute?
What would be the reaction if, in an area not covered by this statute,
the Justice Department posted a public notice inviting applicants to assist in
an investigation and possible prosecution of a certain prominent person? Does this not invite what Justice Jackson
described as "picking the man and then searching the law books, or putting
investigators to work, to pin some offense on him"? To be sure, the investigation must relate to
the area of criminal offense specified by the life‑tenured judges. But that has often been (and nothing
prevents it from being) very broad‑‑and should the independent
counsel or his or her staff come up with something beyond that scope, nothing
prevents him or her from asking the judges to expand his or her authority or,
if that does not work, referring it to the Attorney General, whereupon the
whole process would recommence and, if there was "reasonable basis to
believe" that further investigation was warranted, that new offense would
be referred to the Special Division, which would in all likelihood assign it to
the same *731 independent counsel.
It seems to me not conducive to fairness. But even if it were entirely evident that unfairness was
**2640 in fact the result‑‑the judges hostile to the
administration, the independent counsel an old foe of the President, the staff
refugees from the recently defeated administration‑‑there would be
no one accountable to the public to whom the blame could be assigned.
I do not mean to suggest that anything of
this sort (other than the inevitable self‑selection of the prosecutory
staff) occurred in the present case. I
know and have the highest regard for the judges on the Special Division, and
the independent counsel herself is a woman of accomplishment, impartiality, and
integrity. But the fairness of a
process must be adjudged on the basis of what it permits to happen, not what it
produced in a particular case. It is
true, of course, that a similar list of horribles could be attributed to an
ordinary Justice Department prosecution‑‑a vindictive prosecutor,
an antagonistic staff, etc. But the
difference is the difference that the Founders envisioned when they established
a single Chief Executive accountable to the people: the blame can be assigned to someone who can be punished.
The above described possibilities of
irresponsible conduct must, as I say, be considered in judging the
constitutional acceptability of this process.
But they will rarely occur, and in the average case the threat to
fairness is quite different. As
described in the brief filed on behalf of three ex‑Attorneys General from
each of the last three administrations:
"The problem is less
spectacular but much more worrisome. It
is that the institutional environment of the Independent Counsel‑‑specifically,
her isolation from the Executive Branch and the internal checks and balances it
supplies‑‑is designed to heighten, not to check, all of the
occupational hazards of the dedicated prosecutor; the danger of too narrow a focus, of the loss of perspective, of
preoccupation with the pursuit of one alleged suspect to the exclusion of other
interests." Brief for Edward
*732 H. Levi, Griffin B. Bell, and William French Smith as Amici Curiae
11. It is, in other words, an
additional advantage of the unitary Executive that it can achieve a more
uniform application of the law. Perhaps
that is not always achieved, but the mechanism to achieve it is there. The mini‑Executive that is the
independent counsel, however, operating in an area where so little is law and
so much is discretion, is intentionally cut off from the unifying influence of
the Justice Department, and from the perspective that multiple responsibilities
provide. What would normally be
regarded as a technical violation (there are no rules defining such things),
may in his or her small world assume the proportions of an indictable
offense. What would normally be
regarded as an investigation that has reached the level of pursuing such
picayune matters that it should be concluded, may to him or her be an
investigation that ought to go on for another year. How frightening it must be to have your own independent counsel
and staff appointed, with nothing else to do but to investigate you until
investigation is no longer worthwhile‑‑with whether it is
worthwhile not depending upon what such judgments usually hinge on, competing
responsibilities. And to have that
counsel and staff decide, with no basis for comparison, whether what you have
done is bad enough, willful enough, and provable enough, to warrant an
indictment. How admirable the
constitutional system that provides the means to avoid such a distortion. And how unfortunate the judicial decision
that has permitted it.
* * *
The notion that every violation of law should
be prosecuted, including‑‑ indeed, especially‑‑every
violation by those in high places, is an attractive one, and it would be risky
to argue in an election campaign that that is not an absolutely overriding
value. Fiat justitia, ruat coelum. Let justice be done, though the heavens may
fall. The reality is, however, that it
is not an absolutely overriding value, and **2641 it *733 was
with the hope that we would be able to acknowledge and apply such realities
that the Constitution spared us, by life tenure, the necessity of election
campaigns. I cannot imagine that there
are not many thoughtful men and women in Congress who realize that the benefits
of this legislation are far outweighed by its harmful effect upon our system of
government, and even upon the nature of justice received by those men and women
who agree to serve in the Executive Branch. But it is difficult to vote not to
enact, and even more difficult to vote to repeal, a statute called,
appropriately enough, the Ethics in Government Act. If Congress is controlled
by the party other than the one to which the President belongs, it has little
incentive to repeal it; if it is
controlled by the same party, it dare not.
By its shortsighted action today, I fear the Court has permanently
encumbered the Republic with an institution that will do it great harm.
Worse than what it has done, however, is the
manner in which it has done it. A
government of laws means a government of rules. Today's decision on the basic issue of fragmentation of executive
power is ungoverned by rule, and hence ungoverned by law. It extends into the very heart of our most
significant constitutional function the "totality of the
circumstances" mode of analysis that this Court has in recent years become
fond of. Taking all things into
account, we conclude that the power taken away from the President here is not
really too much. The next time
executive power is assigned to someone other than the President we may
conclude, taking all things into account, that it is too much. That opinion, like this one, will not be
confined by any rule. We will describe,
as we have today (though I hope more accurately) the effects of the provision
in question, and will authoritatively announce: "The President's need to control the exercise of the
[subject officer's] discretion is so central to the functioning of the
Executive Branch as to require complete control." This is not analysis; it is ad hoc judgment. And it fails to explain why it is not true
that‑‑as the text of *734 the Constitution seems to require,
as the Founders seemed to expect, and as our past cases have uniformly assumed‑‑all
purely executive power must be under the control of the President.
The ad hoc approach to constitutional
adjudication has real attraction, even apart from its work‑saving
potential. It is guaranteed to produce
a result, in every case, that will make a majority of the Court happy with the
law. The law is, by definition,
precisely what the majority thinks, taking all things into account, it ought to
be. I prefer to rely upon the judgment
of the wise men who constructed our system, and of the people who approved it,
and of two centuries of history that have shown it to be sound. Like it or not, that judgment says, quite
plainly, that "[t]he executive Power shall be vested in a President of the
United States."