Nos. 99-224 and 99-582
In the Supreme Court of the United States
CHARLES B. MILLER, ET AL., PETITIONERS
v.
RICHARD A. FRENCH, ET AL.
UNITED STATES OF AMERICA, PETITIONER
v.
RICHARD A. FRENCH, ET AL.
ON WRITS OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE SEVENTH CIRCUIT
BRIEF FOR THE UNITED STATES
SETH P. WAXMAN
Solicitor General
Counsel of Record
BILL LANN LEE
Acting Assistant Attorney
General
BARBARA D. UNDERWOOD
Deputy Solicitor General
IRVING L. GORNSTEIN
Assistant to the Solicitor General
MARK L. GROSS
Attorney
Department of Justice
Washington, D.C. 20530
(202) 514-2217
QUESTIONS PRESENTED
Under the automatic stay provision of the Prison Litigation Reform Act of
1995, 18 U.S.C. 3626(e) (Supp. III 1997), the filing of a motion to terminate
prospective relief shall operate as a stay during the period beginning 30
days after the filing of the motion and ending on the date the court rules
on the motion. A court may postpone the effective date of the automatic
stay for not more than 60 days for good cause, and any order staying, suspending,
delaying, or barring the operation of the automatic stay (other than a postponement
for not more than 60 days) is appealable under 28 U.S.C. 1292(a)(1). The
questions presented are:
1. Whether a district court has authority to suspend the automatic stay
and thereby preserve the status quo under traditional equitable standards.
2. Whether the automatic stay provision violates constitutional separation-of-powers
principles.
PARTIES TO THE PROCEEDING
The petitioner in No. 99-582 is the United States. The petitioners in No.
99-224 are Charles B. Miller, Superintendent of the Pendleton Correctional
Facility, Edward I. Cohn, Commissioner, Indiana Department of Correction,
and Herbert Newkirk, Regional Director, Indiana Department of Correction.
The respondents are Richard A. French, Morris E. Dozier, Martin W. Bradberry,
and Henry C. Jennings.
In the Supreme Court of the United States
No. 99-224
CHARLES B. MILLER, ET AL., PETITIONERS
v.
RICHARD A. FRENCH, ET AL.
No. 99-582
UNITED STATES OF AMERICA, PETITIONER
v.
RICHARD A. FRENCH, ET AL.
ON WRITS OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE SEVENTH CIRCUIT
BRIEF FOR THE UNITED STATES
OPINION BELOW
The opinion of the court of appeals (Pet. App. 1a-23a)1 is reported at 178
F.3d 437.
JURISDICTION
The judgment of the court of appeals was entered on May 6, 1999. On July
29, 1999, Justice Stevens extended the time for filing a petition for a
writ of certiorari to and including September 3, 1999, and on August 23,
1999, Justice Stevens extended the time for filing a petition to and including
October 3, 1999. The petition for a writ of certiorari in No. 99-582 was
filed on October 4, 1999 (a Monday), and was granted on December 6, 1999.
The petition in No. 99-224 was granted on the same day. This Court has jurisdiction
under 28 U.S.C. 1254(1).
STATUTORY PROVISIONS INVOLVED
The relevant statutory provisions are reproduced in an appendix to the petition
in No. 99-582. Pet. App. 40a-42a.
STATEMENT
1. In 1996, Congress enacted the Prison Litigation Reform Act of 1995 (PLRA),
Pub. L. No. 104-134, Tit. VIII, § § 801-810, 110 Stat. 1321-66
to 1321-77. The PLRA sets forth standards for the entry and termination
of prospective relief in civil actions challenging conditions at prison
facilities. Under the PLRA, prospective relief in prison conditions cases
"shall extend no further than necessary to correct the violation of
the Federal right of a particular plaintiff or plaintiffs." 18 U.S.C.
3626(a)(1)(A) (Supp. III 1997).
The PLRA provides for the "immediate termination" of relief that
does not conform to that standard. 18 U.S.C. 3626(b)(2) (Supp. III 1997).
It specifies that "[i]n any civil action with respect to prison conditions,
a defendant or intervenor shall be entitled to the immediate termination
of any prospective relief if the relief was approved or granted in the absence
of a finding by the court that the relief is narrowly drawn, extends no
further than necessary to correct the violation of the Federal right, and
is the least intrusive means necessary to correct the violation of the Federal
right." 18 U.S.C. 3626(b)(2) (Supp. III 1997). That statutory mandate
is subject to an important qualification. "Prospective relief shall
not be terminated if the court makes written findings based on the record
that prospective relief remains necessary to correct a current and ongoing
violation of the Federal right, extends no further than necessary to correct
the violation of the Federal right, and that the prospective relief is narrowly
drawn and the least intrusive means to correct the violation." 18 U.S.C.
3626(b)(3) (Supp. III 1997). A party may seek immediate termination even
if the relief "was originally granted or approved before * * * the
date of the [PLRA's enactment]." 18 U.S.C. 3626 note (Supp. III 1997).
In addition to permitting a party to move for the immediate termination
of decrees that were entered without the necessary findings, the PLRA also
permits a party to move periodically for termination of any prison conditions
decree, including a decree entered with the necessary findings. 18 U.S.C.
3626(b)(1) (Supp. III 1997). A party may seek termination two years after
the entry of relief, one year after a denial of a motion to terminate, and,
in the case of pre-PLRA decrees, two years after the date of the PLRA's
enactment. Ibid. In April 1998, all pre-PLRA decrees became subject to periodic
motions for termination. Motions that are based on the passage of time are
subject to the same important limitation as motions that are based on the
absence of necessary findings. The relief may not be terminated if the court
finds that it remains necessary to correct a current and ongoing violation,
and that it is narrowly drawn and the least intrusive means to correct the
violation. 18 U.S.C. 3626(b)(3) (Supp. III 1997).
The PLRA establishes special procedures that govern motions for termination.
A court is required to "promptly rule" on such a motion. 18 U.S.C.
3626(e)(1) (Supp. III 1997). When a court fails to issue a prompt ruling,
mandamus "shall lie" as a remedy. Ibid. In addition, under the
automatic stay provision, at issue here, the filing of a motion for termination
"shall operate as a stay during the period * * * beginning on the 30th
day after such motion is filed * * * and * * * ending on the date the court
enters a final order ruling on the motion." 18 U.S.C. 3626(e)(2) (Supp.
III 1997). A court may "postpone the effective date of an automatic
stay * * * for not more than 60 days for good cause," but no postponement
is permissible "because of general congestion of the court's calendar."
18 U.S.C. 3626(e)(3) (Supp. III 1997). Any order "staying, suspending,
delaying, or barring the operation of the automatic stay" (other than
an order postponing the automatic stay under the 60-day postponement provision)
is subject to appellate review. Such an order "shall be treated as
an order refusing to dissolve or modify an injunction and shall be appealable
pursuant to section 1292(a)(1) of title 28." 18 U.S.C. 3626(e)(4) (Supp.
III 1997).2
2. In 1975, a class of inmates at the Pendleton Correctional Facility (respondents),
filed suit against several Indiana prison officials (the State), alleging
that the conditions at the facility violated state and federal law. After
a trial, the district court found violations of state and federal law and
entered a remedial order designed to correct those violations. French v.
Owens, 538 F. Supp. 910 (S.D. Ind. 1982). While an appeal from that judgment
was pending, this Court held in Pennhurst State School and Hospital v. Halderman,
465 U.S. 89 (1984), that the Eleventh Amendment deprives federal courts
of jurisdiction to issue prospective relief against state officers based
on state law. The Seventh Circuit remanded the case to the district court
for reconsideration in light of Pennhurst.
On remand, the district court found that most of the state law violations
also violated federal law. J.A. 27-42. The district court also issued an
amended remedial order that took into account improvements that had been
made at the facility. J.A. 21-26. The Seventh Circuit affirmed in part and
vacated in part. French v. Owens, 777 F.2d 1250 (1985). It upheld the provisions
of the district court's order addressing extreme overcrowding, double celling,
improper use of mechanical restraints, inadequate medical care, unsanitary
kitchen services, and insufficient staffing; it vacated the provisions addressing
exercise and recreation, fire and safety, and protective custody. Id. at
1258. The parties resolved the remaining issues through joint stipulations.
J.A. 45-47.
3. In 1997, the State filed a motion under the PLRA for termination of the
district court's remedial orders. J.A. 49-51. The State argued that it was
entitled to termination of those orders because they did not contain any
finding that the relief is narrowly drawn, extends no further than necessary
to correct the violation of respondents' constitutional rights, and is the
least intrusive means to correct those constitutional violations. J.A. 46.
The State's motion did not address whether the relief in the decree remained
necessary to remedy a violation of federal law. J.A. 45-47.
Respondents filed a motion for a preliminary injunction to suspend the operation
of the automatic stay and thereby maintain the status quo. J.A. 49-51. Finding
that the automatic stay provision "is clearly unconstitutional,"
that respondents "were likely to succeed on the merits" of their
challenge to the automatic stay, and that the State "would not be harmed
by the entry of [a] preliminary injunction," the district court granted
respondents' motion. Pet. App. 36a-37a. The court ordered that "there
shall be no stay of prospective relief in this matter and the parties shall
continue to comply with this Court's prior orders and judgments until further
order of the Court." Id. at 37a.
The State appealed the order suspending the automatic stay, and the United
States intervened in the appeal, pursuant to 28 U.S.C. 2403(a), to defend
the constitutionality of the automatic stay provision. The United States
argued that the automatic stay provision does not deprive a court of authority
to suspend the automatic stay and thereby preserve the status quo in accordance
with traditional equitable standards and that, when so construed, the automatic
stay provision does not violate constitutional separation-of-powers principles.
4. The court of appeals affirmed the district court's order. Pet. App. 1a-23a.
The court of appeals interpreted the automatic stay as a legislative command
that a stay of prospective relief occur no later than 90 days after the
filing of a motion for termination. Id. at 9a-12a. The court expressly rejected
the view of the United States and of the Sixth Circuit in Hadix v. Johnson,
144 F.3d 925 (1998), that a court has authority to suspend the automatic
stay and thereby preserve the status quo in accordance with traditional
equitable standards. Pet. App. 9a-13a. The court noted that the statutory
text refers to the stay as "automatic," provides that the filing
of a motion for termination "shall" operate as a stay, and "specifie[s]
not only a clear starting point, but also the ending point for the stay."
Id. at 12a. The court concluded that "[e]ven though we do not lightly
assume that Congress meant to restrict the equitable powers of the federal
courts, we find it impossible to read this language as doing anything less
than that." Ibid.
The court then ruled that the automatic stay provision "violates the
separation of powers principle because it is a direct legislative suspension
of a court order." Pet. App. 18a-19a. The court noted that in Plaut
v. Spendthrift Farm, Inc., 514 U.S. 211, 218-219 (1995), this Court stated
that Article III "gives the Federal Judiciary the power, not merely
to rule on cases, but to decide them, subject to review only by superior
courts in the Article III hierarchy." Pet. App. 19a (emphasis omitted).
The court of appeals concluded that the automatic stay provision violates
that principle because it "places the power to review judicial decisions
outside of the judiciary: it is a self-executing legislative determination
that a specific decree of a federal court * * * must be set aside at least
for a period of time, no matter what the equities, no matter what the urgency
of keeping it in place." Ibid.
The court of appeals also concluded that the automatic stay provision violates
the separation-of-powers principle established in United States v. Klein,
80 U.S. (13 Wall.) 128 (1871). Pet. App. 19a-20a. The court characterized
Klein as holding that "Congress does not have the power to impose a
rule of decision for pending judicial cases, apart from its power to change
the underlying applicable law." Id. at 20a. The court concluded that
the automatic stay provision "falls comfortably within the rule of
Klein," because it mandates that prospective relief must be terminated
during the pendency of the case. Ibid.
A majority of the judges in regular active service did not vote to hear
the case en banc. Pet. App. 23a n.3. Judge Easterbrook (joined by Chief
Judge Posner and Judge Manion) dissented from the denial of rehearing en
banc. Id. at 23a-35a. The dissenters agreed with the panel that a district
court does not have authority to suspend the automatic stay and thereby
preserve the status quo under traditional equitable standards. Id. at 23a.
The dissenters concluded, however, that the automatic stay provision, as
so construed, does not violate separation-of-powers principles.
The dissenters disagreed with the panel's conclusion that the automatic
stay provision unconstitutionally interferes with a court's ability to adjudicate
a case. Pet. App. 26a-30a. In their view, the automatic stay provision simply
"goads" courts to rule promptly on the merits of a motion for
termination, id. at 28a, and the Constitution does not give courts an immunity
from deadlines, id. at 28a-29a. The dissenters also disagreed with the majority's
conclusion that the automatic stay provision violates the rule in Klein.
They reasoned that the automatic stay provision does not mandate a rule
of decision without a change in the underlying law, but simply stays prospective
relief until the court determines whether that relief complies with the
new standard set forth in the termination provision. Id. at 30a-31a. The
dissenters asserted that the panel's decision threatens the constitutionality
of the automatic stay in bankruptcy, 11 U.S.C. 362(a)(2), Federal Rule of
Civil Procedure 65(b)'s 10-day limit on temporary restraining orders, the
Speedy Trial Act's requirement that an indictment must be dismissed if the
case is not tried within the time limits set forth in the Act, 18 U.S.C.
3161, 3162(a)(2), and other federal statutes that set deadlines for judicial
action. Pet. App. 31a-35a.
SUMMARY OF ARGUMENT
Federal courts have always enjoyed the power to issue equitable relief to
preserve the status quo pending the resolution of a case that is before
them. The automatic stay provision's requirement that a motion for termination
"shall operate as a stay," within 30 days of its filing, 18 U.S.C.
3626(e)(2) (Supp. III 1997), does not displace that traditional equitable
authority. Particularly when read against the background principle that
federal courts retain traditional equitable authority absent the clearest
congressional command to the contrary, the automatic stay provision simply
describes what will occur in the absence of judicial intervention. Thus,
if the statutory period passes and the court does not intervene, a stay
of the judgment automatically occurs. But the text of the automatic stay
provision does not purport to limit the authority of a court to exercise
its historic authority to preserve the status quo when a termination motion
cannot be resolved before the automatic stay takes effect and the traditional
prerequisites for the issuance of equitable relief-irreparable injury and
probability of success- have been satisfied.
That construction of the automatic stay provision is consistent with Congress's
decision to limit good cause postponements to 60 days. Any factor affecting
a court's ability to resolve the case within 30 days, other than general
docket congestion, can justify a 60-day postponement. Congress's unwillingness
to permit a postponement of the automatic stay under that generous good
cause standard for more than 60 days does not imply that Congress intended
to foreclose a court from suspending the automatic stay for a longer period
of time when justified under the far more demanding standards for obtaining
equitable relief.
The provision for appellate review of orders suspending the automatic stay
further supports that conclusion. That provision manifests Congress's understanding
that courts would have authority to issue a suspension order to preserve
the status quo in an appropriate case, and gives prison officials a right
to appellate review of such an order under the traditional abuse of discretion
standard.
Interpreting the automatic stay to preserve a court's traditional authority
to preserve the status quo is also consistent with Congress's purpose of
preventing premature termination of relief that is necessary to remedy a
violation of the Constitution. Because Congress's termination standard requires
a court to assess the current conditions of institutions that it may not
have examined for years, it will not always be possible for the court to
resolve the merits of a termination motion before the automatic stay takes
effect. In those cases, when the parties opposing termination can show that
they will suffer irreparable harm if the automatic stay goes into effect,
and that they are likely to prevail on the termination motion, an order
preserving the status quo helps to fulfill Congress's overall purposes.
Finally, interpreting the automatic stay to preserve a court's authority
to maintain the status quo is supported by the principle that a statute
should be interpreted to avoid a serious constitutional question if such
a construction is possible. Under Plaut v. Spendthrift Farm, Inc., 514 U.S.
211 (1995), Congress may not through retroactive legislation reopen a final
judgment that is no longer subject to appeal, and under Hayburn's Case,
2 U.S. (2 Dall.) 409 (1792), Congress may not directly suspend a court decision.
If construed to foreclose equitable relief, the automatic stay provision
would raise a serious Article III question under those decisions, because
in cases in which there is insufficient time for a court to resolve the
termination motion before the automatic stay takes effect, the automatic
stay provision would legislatively effect the suspension of a final judgment
without affording a court any role in the suspension decision. And it would
do so even though the relief in the judgment may be necessary to remedy
a violation of federal law. In contrast, if the automatic stay is interpreted
to preserve a court's authority to maintain the status quo, a court would
retain control over whether its judgment should be suspended, and the constitutional
question would be avoided.
Although the question is a close one, we believe that, in light of Congress's
broad power to affect prospective relief, its general authority to control
the exercise of a court's equitable discretion, and the 90-day window for
resolving the merits of a termination motion, a statute that foreclosed
equitable relief would still be constitutional. But because the statute
does not clearly deprive courts of their traditional equitable powers, and
because construing it to do so would raise a serious constitutional question,
that construction should not be adopted.
ARGUMENT
THE AUTOMATIC STAY PROVISION DOES NOT DISPLACE A COURT'S AUTHORITY TO PRE-SERVE
THE STATUS QUO UNDER TRADITIONAL EQUITABLE STANDARDS AND DOES NOT VIOLATE
CONSTITUTIONAL SEPARATION-OF-POWERS PRINCIPLES
The "automatic" stay provision of the PLRA specifies that, after
30 days (with a possible extension to 90 days upon a showing of good cause),
a motion to terminate prospective relief "shall operate as a stay."
18 U.S.C. 3626(e)(2) (Supp. III 1997). The court of appeals interpreted
that provision to displace a court's traditional equitable authority to
preserve the status quo pending the resolution of the merits of a matter
before it. Based on that interpretation, the court of appeals invalidated
the automatic stay provision on separation-of-powers grounds.
The court of appeals' interpretation of the automatic stay provision is
incorrect. That provision does not affect a court's traditional equitable
authority to preserve the status quo. Thus, if the party opposing a termination
motion can show that a stay of the relief in outstanding decrees would cause
irreparable injury, that the termination motion is likely to be defeated,
and that the merits of the motion cannot be resolved before the automatic
stay takes effect, a court has discretion to suspend the automatic stay
and require prison officials to comply with outstanding court orders until
the court resolves the termination motion on the merits. When construed
in that way, the automatic stay provision satisfies constitutional separation-of-powers
principles.
A. Absent Clear And Unequivocal Language, An Act Of Congress Should Not
Be Interpreted To Strip A Court Of Its Traditional Authority To Preserve
The Status Quo
1. The Judiciary Act of 1789 conferred on federal courts jurisdiction over
"all suits * * * in equity." Ch. 20, 1 Stat. 78. That statute
gives federal courts "authority to administer in equity suits the principles
of the system of judicial remedies which had been devised and was being
administered by the English Court of Chancery at the time of the separation
of the two countries." Grupo Mexicano de Desarrollo v. Alliance Bond
Fund, Inc., 119 S. Ct. 1961, 1968 (1999).
As one component of that authority, federal courts have always enjoyed the
power to issue equitable relief to preserve the status quo pending a resolution
of a case that is before them. 11A Charles Alan Wright et al., Federal Practice
and Procedure § 2943, at 79 (1995); see id. §§ 2941, 2948,
at 33, 133-134. That traditional authority includes the power to keep an
outstanding injunction in place pending the resolution of a motion to dissolve
the injunction. Pennsylvania v. The Wheeling & Belmont Bridge Co., 59
U.S. (18 How.) 421, 436 (1855).
Thus, absent the automatic stay provision, a court presented with a motion
to terminate a under the PLRA would have authority to keep the decree in
place and thereby preserve the status quo until the court resolves on the
merits the question whether the decree should be terminated. The question
presented in this case is whether the automatic stay provision entirely
removes that traditional authority in cases in which the merits of a termination
motion cannot be resolved before the automatic stay takes effect.
2. The starting point for resolving that question is the firmly established
principle that courts retain their traditional equitable authority unless
Congress makes its intent to displace that authority absolutely clear. The
Court has used several formulations to describe the requisite degree of
clarity that is needed before an Act of Congress will be construed to displace
traditional equitable authority. It has stated that, "[a]bsent the
clearest command to the contrary from Congress, federal courts retain their
equitable power to issue injunctions in suits over which they have jurisdiction."
Califano v. Yamasaki, 442 U.S. 682, 705 (1979). It has said that, "[u]nless
a statute in so many words, or by a necessary and inescapable inference,
restricts the court's jurisdiction in equity, the full scope of that jurisdiction
is to be recognized and applied." Porter v. Warner Holding Co., 328
U.S. 395, 398 (1946). And it has stated that, when "Congress desire[s]
to make * * * an abrupt departure from traditional equity practice,"
it makes "its desire plain." Hecht Co. v. Bowles, 321 U.S. 321,
330 (1944).
3. Several decisions of this Court are particularly instructive in illuminating
the scope of that clear statement rule. In Bowles, the Court addressed whether
the Emergency Price Control Act of 1942, ch. 26, 56 Stat. 23, required a
court to issue relief once a violation of the Act was proven. The Act provided
that, "upon a showing by the Administrator that [a] person has engaged
or is about to engage in any * * * acts or practices [in violation of the
Act], a permanent or temporary injunction, restraining order, or other order
shall be granted without bond." 56 Stat. 33 (emphasis added). Even
though the literal language of the Act appeared to require courts to issue
a compliance order in all cases in which a violation was established, the
Court rejected that interpretation. 321 U.S. at 328-329. The Court explained
that, "if Congress had intended to make such a drastic departure from
the traditions of equity practice, an unequivocal statement of its purpose
would have been made." Id. at 329.
In Scripps-Howard Radio Corp. v. FCC, 316 U.S. 4 (1942), the Court addressed
whether a court of appeals had authority to issue a stay of an administrative
order issued under the Communications Act of 1934, pending review of that
order. One section of the Act provided for judicial review of certain orders
in the district court and expressly authorized the district court to issue
a temporary stay of the order under review. A companion section of the Act
provided for review of other orders in the court of appeals and did not
authorize the court of appeals to issue a stay of the order. Id. at 7-8.
Although for those orders an ordinary application of the principle of expressio
unius est exclusio alterius would have supported the conclusion that a court
of appeals lacked authority to issue a stay, id. at 18 (Douglas, J. dissenting),
the Court rejected that interpretation of the Act. The Court stated "that
Congress would not, without clearly expressing such a purpose, deprive the
Court of Appeals of its customary power to stay orders under review."
Id. at 11. Since Congress had not explicitly denied the court of appeals
authority to issue a stay, the court of appeals retained that historic power.
Id. at 17.
Finally, in Honig v. Doe, 484 U.S. 305 (1988), the Court addressed whether
a court had authority under the Education of the Handicapped Act to require
a change in a child's educational placement pending the resolution of litigation
directed to determining where the child should be placed. The "stay
put" provision of the Act specified that "[d]uring the pendency
of any proceedings conducted pursuant to [the Act] unless the State or local
education agency and the parents or guardian otherwise agree, the child
shall remain in the then current educational placement of such child."
Id. at 312. The Court held that the language of the Act was "unequivocal"
and precluded a school from expelling a child during the pendency of proceedings
without the parent's consent, even if the child was dangerous. Id. at 323-324.
At the same time, the Court held that the "stay put" provision
"in no way purports to limit or pre-empt the authority conferred on
courts [to issue equitable relief]," and that school officials could
therefore seek injunctive relief to change the placement of a child in appropriate
cases. Id. at 327-328. In such proceedings, the Court explained, the "stay
put" provision "effectively creates a presumption in favor of
the child's current educational placement which school officials can overcome
only by showing that maintaining the child in his or her current placement
is substantially likely to result in injury either to himself or herself,
or to others." Id. at 328.
In each of the above cases, the statute at issue could readily have been
interpreted to displace traditional equitable authority if ordinary principles
of statutory construction had been applied. Because none of the statutes
explicitly prohibited courts from exercising traditional equitable authority,
however, the Court held that such authority had not been displaced.
B. The Automatic Stay Provision Does Not Preclude A Court From Issuing An
Order To Preserve The Status Quo In Appropriate Circumstances
1. The automatic stay provision states that the filing of a motion for termination
"shall operate as a stay during the period * * * beginning on the 30th
day after such motion is filed * * * and * * * ending on the date the court
enters a final order ruling on the motion." 18 U.S.C. 3626(e)(2) (Supp.
III 1997). Particularly when read against the background principle that
federal courts retain traditional equitable authority "[a]bsent the
clearest command to the contrary" (Yamasaki, 442 U.S. at 705), that
statutory text does not deprive a court of authority to maintain the status
quo by suspending the automatic stay and requiring observance of the terms
of a decree until the merits of the termination motion can be resolved.
Instead, it simply describes what will occur in the absence of judicial
intervention. While otherwise disagreeing with our interpretation of the
automatic stay provision, Judge Easterbrook described the provision in precisely
those terms. He explained that the automatic stay provision "does not
tell judges when, how, or what to do, but specifies what happens if the
judge does not act." Pet. App. 26a (Easterbrook, J., dissenting from
the denial of rehearing en banc).
Thus, if the statutory period passes and the court does not intervene, a
stay of the judgment automatically occurs and it remains in effect until
the termination motion is decided. Nothing in the language of the automatic
stay provision, however, purports to limit the authority of a court to exercise
its historic authority to preserve the status quo in those cases in which
the termination motion cannot be resolved before the automatic stay takes
effect and the traditional standards for the issuance of equitable relief
have been satisfied.
The automatic stay provision therefore operates in much the same way as
the "stay put" provision at issue in Honig. Like the "stay
put" provision, the automatic stay provision governs what happens during
the pendency of litigation in the absence of judicial intervention. It does
not, however, foreclose a court from exercising the traditional equitable
authority it otherwise possesses.
The court of appeals interpreted the automatic stay provision to foreclose
the exercise of equitable authority because the statutory text describes
the stay as "automatic," states that the stay "shall"
take effect, and specifies when the stay begins and ends. Pet. App. 12a.
Those features of the statute, however, are perfectly consistent with the
statute establishing what will happen in the absence of judicial intervention;
they do not demonstrate that Congress took the extraordinary step of eliminating
a court's historic authority to preserve the status quo. The "stay
put" provision at issue in Honig took effect automatically, used the
term "shall" and specified a starting point and ending point.
484 U.S. at 312. And the judicial relief provision at issue in Bowles used
the term "shall." 321 U.S. at 326. The Court nonetheless concluded
in both cases that the statutes at issue did not displace a court's traditional
equitable authority. The same conclusion is warranted here.
2. The power to issue equitable relief to maintain the status quo does not
imply the authority to do so in any and all circumstances. The automatic
stay provision effectively creates a presumption in favor of changing the
status quo by staying the judgment at the point at which the automatic stay
is scheduled to take effect, and requires those seeking to preserve the
status quo to satisfy the traditional standards for obtaining equitable
relief. Cf. Honig, 484 U.S. at 328 ("stay put" provision "effectively
creates a presumption" in favor of the child's current placement which
school officials must overcome).
The "traditional standard" for granting an injunction preserving
the status quo until the merits of a case can be resolved requires the party
seeking such relief "to show that in the absence of its issuance he
will suffer irreparable injury and also that he is likely to prevail on
the merits." Doran v. Salem Inn, Inc., 422 U.S. 922, 931 (1975). In
deciding whether to grant such relief, the court also weighs the harm to
others and the public interest. Yakus v. United States, 321 U.S. 414, 440
(1944). A court is also required to exercise its traditional equitable authority
in a way that is consistent with the larger policies of the Act. Bowles,
321 U.S. at 331. Based on those considerations, a party seeking to avoid
the effect of the automatic stay ordinarily must show that (1) a stay of
the outstanding orders would cause the party irreparable injury, (2) the
termination motion is likely to be defeated, and (3) the merits of the motion
cannot be resolved before the automatic stay takes effect. Once such a showing
is made, a court has discretion to maintain the status quo by suspending
the automatic stay and requiring prison officials to observe the terms of
the decree until the merits of a termination motion can be resolved.3
C. Other Provisions Of The Act Show That The Automatic Stay Provision Does
Not Foreclose Equitable Relief
Related provisions of the Act also support the conclusion that Congress
did not intend to strip a federal court of its authority to maintain the
status quo under traditional equitable standards.
1. The provision appearing immediately after the automatic stay provision-the
"good cause postponement provision"-specifies that "[t]he
court may postpone the effective date of an automatic stay * * * for not
more than 60 days for good cause," which does not include "general
congestion of the court's calendar." 18 U.S.C. 3626(e)(3). If Congress
had intended for the automatic stay provision to block judicial intervention
under traditional equitable standards, Congress could easily have added
another sentence to the good cause postponement provision stating that:
Except as provided herein, a court shall have no authority to stay, suspend,
delay, or bar the operation of the automatic stay.
The absence of such an express restriction confirms that the automatic stay
provision does not displace judicial authority to preserve the status quo
in accordance with traditional equitable standards when the merits of a
termination motion cannot be resolved before the automatic stay takes effect.
Nor does the grant of authority to postpone the automatic stay under a good
cause standard for no more than 60 days imply that a court lacks authority
to suspend the automatic stay under traditional equitable standards for
a longer period of time. Under the statutory good cause standard, any factor
affecting a court's ability to resolve the merits of a termination motion
within 30 days, other than general docket congestion, could justify a postponement
of up to 60 days. Thus, a counsel's scheduling conflict, the unavailability
of a witness, a general need for discovery, or a court's prior involvement
in another pressing matter could all serve as a basis for a statutory postponement
order. Compare Fed. R. Civ. P. 6(b) (authorizing a court to extend the deadlines
imposed by the Rules "for cause shown"); 4A Charles Alan Wright
et al., supra, § 1165, at 475 (a party must demonstrate some justification
for an extension of a deadline, but an application for an extension under
Rule 6 will normally be granted absent bad faith or prejudice to the adverse
party). In contrast, in order to obtain a suspension of the automatic stay
under traditional equitable standards, a party ordinarily must show not
only that the merits of the termination motion cannot be resolved before
the automatic stay takes effect, but also that a stay of the court's orders
would cause the party irreparable injury and that the party is likely to
defeat the termination motion. Doran, 422 U.S. at 931.
Congress's unwillingness to permit a postponement of the automatic stay
under a generous good cause standard for more than 60 days does not imply
that Congress foreclosed a court from suspending the automatic stay when
justified under the far more demanding standards for obtaining equitable
relief. To the contrary, the fact that Congress has limited judicial authority
in one respect implies that the court remains free to exercise the traditional
authority that has not been restricted.
2. Significantly, Congress also provided for appellate review of orders
"staying, suspending, delaying, or barring the operation of the automatic
stay" (other than an order postponing the automatic stay under the
60-day postponement provision). 18 U.S.C. 3626(e)(4) (Supp. III 1997). Such
orders "shall be treated as an order refusing to dissolve or modify
an injunction and shall be appealable pursuant to section 1292(a)(1) of
title 28." Ibid.
That appellate review provision further supports the conclusion that Congress
did not intend to displace a court's authority to preserve the status quo
under traditional equitable standards. As one court of appeals has explained,
it is unlikely that Congress would have provided for appellate review of
orders suspending the automatic stay "if the courts did not have the
authority to issue such orders." Hadix v. Johnson, 144 F.3d 925, 938
(6th Cir. 1998). Thus, the most likely explanation for the appellate review
provision is that "Congress understood that there would be some cases
in which a conscientious district court acting in good faith would perceive
that equity required that it suspend the (e)(2) thirty-day stay and Congress
therefore permitted the district court to do so, subject to appellate review."
Ruiz v. Johnson, 178 F.3d 385, 394 (5th Cir. 1999).
Congress's failure to provide any standard for review of orders suspending
the automatic stay lends additional weight to that conclusion. An appellate
court ordinarily reviews an order affording equitable relief by determining
whether the district court abused its discretion in its application of the
traditional equitable factors. Doran, 422 U.S. at 931-932. Congress's failure
to specify a different standard for review of orders suspending the automatic
stay suggests that Congress intended for that traditional standard to be
applied.
The alternative explanation for the appellate review provision-that it facilitates
prompt reversal of all orders suspending the automatic stay-is unpersuasive.
If that were Congress's intent, it could have provided for appellate correction
through mandamus, which is the procedure that has traditionally been used
"to confine an inferior court to a lawful exercise of its prescribed
jurisdiction or to compel it to exercise its authority when it is its duty
to do so." Roche v. Evaporated Milk Ass'n, 319 U.S. 21, 26 (1943).
Congress manifested its awareness of the distinction between review by appeal
and review by mandamus in the PLRA itself. At the same time that Congress
provided for an appeal of an order suspending the automatic stay, it also
provided for review by mandamus of a court's failure to perform its duty
to issue a prompt ruling on a motion for termination. 18 U.S.C. 3626(e)(1)
(Supp. III 1997). Thus, the appellate review provision reflects a recognition
that a district court has authority to suspend the automatic stay under
traditional equitable standards, and gives prison officials a right to an
appellate determination on whether such an order conforms to those standards.4
D. Interpreting The Automatic Stay Provision To Preserve A Court's Equitable
Authority Furthers The PLRA's General Purposes And Is Consistent With Congress's
General Practice
1. Interpreting the automatic stay provision to preserve a court's authority
to maintain the status quo under traditional equitable standards is also
consistent with the delicate balance that Congress sought to strike when
it enacted the PLRA. The predecessor to the bill that ultimately became
law provided that "in any civil action with respect to prison conditions,
a defendant or intervenor shall be entitled to the immediate termination
of any prospective relief, if the relief was approved or granted in the
absence of a finding by the court that prison conditions violated a federal
right." H.R. 667, 104th Cong., 1st Sess. § 301(b) (1995); H.R.
Rep. No. 21, 104th Cong., 1st Sess. 25-26 (1995). That bill did not require
any analysis of whether the relief was in fact necessary to remedy a violation
of a federal right. Ibid.
The bill Congress enacted contains a provision that is similar to the predecessor
bill. That provision requires termination of any decree "approved or
granted in the absence of a finding by the court that the relief is narrowly
drawn, extends no further than necessary to correct the violation of the
Federal right, and is the least intrusive means necessary to correct the
violation of the Federal right." 18 U.S.C. 3626(b)(2) (Supp. III 1997).
Unlike the predecessor bill, however, the bill Congress enacted contains
an important qualification. It provides that "[p]rospective relief
shall not be terminated if the court makes written findings based on the
record that prospective relief remains necessary to correct a current and
ongoing violation of the Federal right, extends no further than necessary
to correct the violation of the Federal right, and that the prospective
relief is narrowly drawn and the least intrusive means to correct the violation."
18 U.S.C. 3626(b)(3) (Supp. III 1997).
That change is significant. In the bill it enacted, Congress sought to balance
two objectives. It sought to facilitate the prompt termination of relief
that is not necessary to remedy a violation of a federal right. At the same
time, however, it also sought to prevent premature termination of relief
that is necessary to remedy a violation of a federal right. Those dual purposes
are best accommodated when a court has authority to preserve the status
quo beyond 90 days in the cases in which those opposing the termination
motion can show that a stay of relief will cause irreparable injury, the
termination motion is likely to be defeated, and the termination motion
cannot be resolved on the merits before the automatic stay takes effect.
That is particularly true in light of the standard Congress established
for deciding whether prospective relief should be terminated-whether the
relief remains necessary to remedy a violation of a federal right. That
inquiry necessarily requires a court to assess the current conditions of
facilities that it may not have examined for years. When the relief applies
to a single institution, it may be possible to resolve the merits of the
motion before the automatic stay becomes effective. But when the relief
affects all or most state institutions, as it does in several States, it
may be unrealistic to expect that the inquiry can be completed before the
automatic stay takes effect. It would frustrate Congress's intent to avoid
premature termination of relief that is necessary to remedy a violation
of federal law to read into the automatic stay provision an unstated intent
to displace entirely a court's historic authority to maintain the status
quo in those cases.
Nor does recognition of such authority undermine Congress's purpose of ensuring
prompt termination of relief that is not necessary to remedy a violation
of a federal right. In those cases in which a district court suspends the
automatic stay without adequate justification, prison officials may obtain
appellate review of that decision under 18 U.S.C. 3626(e)(4) (Supp. III
1997). And in those cases in which the district court's suspension of the
stay is justified, but the district court fails to decide the merits of
the termination motion with "reasonable promptness," prison officials
may obtain a writ of mandamus to compel a prompt determination. 18 U.S.C.
3626(e)(1) (Supp. III 1997).5
2. Congress has a long tradition of respecting the authority of courts to
exercise traditional equitable authority to preserve the status quo. Congress
has rarely stripped courts of that authority, and when it has done so, it
has done so in unmistakable terms. For example, the statute at issue in
Yakus, 321 U.S. at 437-443, expressly provided that "the court shall
have the powers of a district court with respect to the jurisdiction conferred
on it by this Act; except that the court shall not have power to issue any
temporary restraining order or interlocutory decree staying or restraining,
in whole or in part, the effectiveness of any regulation or order"
issued under the Act. Emergency Price Control Act of 1942, ch. 26, §
204(c), 56 Stat. 32.
That statute demonstrates that when Congress wants to displace a court's
traditional equitable authority to maintain the status quo, it knows how
to select language that is suitable to the task. Congress did not enact
such language here. Under the exacting standards established by this Court,
and given the absence of language comparable to that used in the statute
at issue in Yakus, the automatic stay provision should not be interpreted
to displace a court's authority to issue equitable relief to maintain the
status quo. See Scripps-Howard Radio, 316 U.S. at 17 ("Where Congress
wished to deprive the courts of this historic power [to maintain the status
quo pending appeal], it knew how to use apt words-only once has it done
so and in a statute born of the exigencies of war.").
E. Interpreting The Automatic Stay Provision To Permit A Court To Maintain
The Status Quo Under Traditional Equitable Standards Avoids A Serious Constitutional
Question
1. In Plaut v. Spendthrift Farm, Inc., 514 U.S. 211 (1995), the Court invalidated
an Act of Congress that required federal courts to reopen certain cases
that were dismissed as time-barred if the cases would have been timely filed
under a somewhat longer statute of limitations. The Court held that Congress
lacks authority under the Constitution to enact retroactive legislation
that commands a federal court to reopen a final judgment no longer subject
to appellate review. Id. at 218-219, 240. The Court explained that Article
III "gives the Federal Judiciary the power, not merely to rule on cases,
but to decide them, subject to review only by superior courts in the Article
III hierarchy." Id. at 218-219 (emphasis omitted).
In Plaut, the Court also identified a related principle derived from Hayburn's
Case, 2 U.S. (2 Dall.) 409 (1792), "that Congress cannot vest review
of the decisions of Article III courts in officials of the Executive Branch."
514 U.S. at 218. The Court indicated that the same underlying principle
also precludes Congress from reviewing the decisions of Article III courts.
The Court quoted with approval Judge Iredell's statement in Hayburn's Case,
2 U.S. (2 Dall.) at 413, that "no decision of any court of the United
States can, under any circumstances, . . . be liable to a revision, or even
suspension, by the Legislature itself, in whom no judicial power of any
kind appears to be vested." Plaut, 514 U.S. at 226 (emphasis added).6
A constitutional question arises under Plaut and Hayburn's Case, when prison
officials file a motion to terminate a decree entered before the effective
date of the PLRA, and there is insufficient time for a court to resolve
the merits of the motion before the automatic stay takes effect. If the
automatic stay provision were interpreted to displace a court's traditional
authority to maintain the status quo in such cases, it would resemble a
direct legislative suspension of a final judgment of an Article III court.
Like a direct legislative suspension, it would legislatively effect the
suspension of a final judgment without affording a court any role in the
suspension decision. And it would do so even though the relief in the decree
may remain necessary to remedy a violation of federal law. There is a serious
constitutional question under Plaut and Hayburn's Case whether such legislation
would encroach on the judicial function in violation of Article III.
In contrast, if the automatic stay is interpreted to permit a court to maintain
the status quo under traditional equitable standards, the court retains
control over whether its judgment should be suspended. As two courts of
appeals have held, and the court of appeals in this case acknowledged, that
interpretation thereby avoids any serious Article III question. Ruiz, 178
F.3d at 395; Hadix, 144 F.3d at 937; Pet App. 11a n.1; see Plaut, 514 U.S.
at 231-232 (a legislative waiver of the res judicata effect of a final judgment
does not raise a separation-of-powers concern when "[w]aiver [is] subject
to the control of the courts themselves"). Interpreting the automatic
stay provision to preserve such authority is therefore supported by the
principle that a statute should be interpreted to avoid "serious constitutional
problems," unless such a construction is "plainly contrary to
the intent of Congress." Edward J. DeBartolo Corp. v. Florida Gulf
Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988); see
also Jones v. United States, 526 U.S. 227, 238-240 (1999); United States
v. X-Citement Video, Inc., 513 U.S. 64, 78 (1994).
2. We do not suggest that the automatic stay provision would be unconstitutional
under Plaut and Hayburn's Case if construed to foreclose equitable relief,
but rather that it would pose a substantial constitutional question not
fully answered by existing precedents. Unlike the statute at issue in Plaut,
the automatic stay provision concerns prospective relief only; and unlike
the statute at issue in Hayburn's Case, the automatic stay provision does
not authorize officers of a nonjudicial branch of government to review judgments
in individual cases. Those distinctions, however, do not eliminate entirely
the serious constitutional question that would be presented if the automatic
stay provision were construed to foreclose equitable relief, because some
of the concerns underlying Plaut and Hayburn's Case would remain.
a. Unlike the statute at issue in Plaut, which reopened claims for money
damages, the automatic stay provision affects only prospective relief. 18
U.S.C. 3626(e)(2) (Supp. III 1997). That distinction is potentially significant,
because under Wheeling Bridge, supra, Congress has substantial authority
to enact legislation that affects the prospective relief in final judgments.
In Wheeling Bridge, the Court affirmed a judgment ordering a bridge to be
removed, because the bridge was too low for passing ships and therefore
constituted a public nuisance. Congress then enacted a statute declaring
the bridge a "lawful structure" and a "post road." The
Court held that Congress did not have authority to alter the judgment to
the extent that it awarded costs to the plaintiff. 59 U.S. (18 How.) at
431. The Court reached a different conclusion, however, with respect to
the part of the judgment that required the bridge to be removed:
But that part of the decree, directing the abatement of the obstruction,
is executory, a continuing decree, which requires not only the removal of
the bridge, but enjoins the defendants against any reconstruction or continuance.
Now, whether it is a future existing or continuing obstruction depends upon
the question whether or not it interferes with the right of navigation.
If, in the mean time, since the decree, this right has been modified by
the competent authority, so that the bridge is no longer an unlawful obstruction,
it is quite plain the decree of the court cannot be enforced.
Id. at 431-432. In Plaut, the Court reaffirmed Wheeling Bridge, stating
that it had established that Congress may enact legislation that "alter[s]
the prospective effect of injunctions entered by Article III courts."
514 U.S. at 232.
Wheeling Bridge, however, does not eliminate the serious constitutional
question that would be presented if the automatic stay provision were interpreted
to displace a court's traditional equitable authority. The legislation at
issue in Wheeling Bridge did not purport to dissolve the injunction to remove
the bridge by operation of law, but instead established a new legal regime
under which the Court dissolved the injunction after deciding that the injunction
was no longer necessary to prevent a violation of federal law.
In that respect, the Wheeling Bridge legislation operated like the PLRA's
termination provision, which is not at issue in this case. That provision
does not purport to terminate a judgment by operation of law. Instead, it
requires a court to terminate the prospective relief unless it finds that
the relief remains necessary to remedy a violation of federal law. 18 U.S.C.
3626(b)(1), (2), and (3) (Supp. III 1997). As the courts of appeals have
uniformly concluded, the termination provision therefore falls comfortably
within Congress's authority under Wheeling Bridge, supra, to affect prospective
relief. See Berwanger v. Cottey, 178 F.3d 834 (7th Cir. 1999); Nichols v.
Hopper, 173 F.3d 820 (11th Cir. 1999); Benjamin v. Kerik, 172 F.3d 144 (2d
Cir.) (en banc), cert. denied, 120 S. Ct. 72 (1999); Imprisoned Citizens
Union v. Ridge, 169 F.3d 178 (3d Cir. 1999); Hadix v. Johnson, 133 F.3d
940 (6th Cir.), cert. denied, 118 S. Ct. 2368 (1998); Inmates of Suffolk
County Jail v. Rouse, 129 F.3d 649 (1st Cir. 1997), cert. denied, 118 S.
Ct. 2366 (1998); Dougan v. Singletary, 129 F.3d 1424 (11th Cir. 1997), cert.
denied, 118 S. Ct. 2375 (1998); Gavin v. Branstad, 122 F.3d 1081 (8th Cir.
1997), cert. denied, 118 S. Ct. 2374 (1998); Plyler v. Moore, 100 F.3d 365
(4th Cir. 1996), cert. denied, 520 U.S. 1277 (1997).
The automatic stay provision, by contrast-if interpreted to foreclose equitable
relief-would operate differently from the legislation at issue in Wheeling
Bridge and the termination provision. Unlike those provisions, it would
effect a suspension of the final judgment by operation of law, rather than
through a judicial act, and it would do so even though the relief in the
decree may remain necessary to remedy a violation of federal law. Thus,
notwithstanding Wheeling Bridge, that interpretation would raise a serious
Article III question concerning the extent of Congress's power to interfere
with the final judgments of Article III courts. See Brian M. Hoffstadt,
Retaking the Field: The Constitutional Constraints On Federal Legislation
That Displaces Consent Decrees, 77 Wash. U. L.Q. 53, 90 (1999) (Congress
has authority under Wheeling Bridge to modify the law and require courts
to modify decrees to the extent that they are inconsistent with the new
law, "[b]ut when Congress declares an outstanding decree null and void,
it may cross the line of permissible activity by negating a judicial order
and encroaching upon the prerogative of the Judiciary to render dispositive
judgments").
b. The statute at issue in Hayburn's Case provided that circuit courts would
decide pension claims, and that the Secretary of War would then review the
decisions and withhold relief when he suspected that the court had erred
in its determination. Act of Mar. 23, 1972, ch. 11, 1 Stat. 244. The automatic
stay provision does not authorize either Congress or the Executive branch
to review judgments in particular prison conditions cases in order to determine
whether the court erred in rendering its judgments.
That distinction, however, does not fully answer the separation-of-powers
concern that would be raised if the automatic stay provision were interpreted
to displace traditional equitable authority. The critical point, for separation
of powers purposes, is that, in a certain class of cases, the automatic
stay provision would still legislatively effect a suspension of a final
judgment without affording a court any role in that decision. And it would
do so even though the relief may be necessary to remedy a violation of federal
law. Such a statute sufficiently resembles a direct legislative suspension
of a final judgment to raise serious Article III concerns.
3. We do not suggest that legislative interference with equitable authority
necessarily and in all cases raises constitutional concerns. It is well
established that Congress "may intervene and guide or control the exercise
of the court's discretion." Weinberger v. Romero-Barcelo, 456 U.S.
305, 313 (1982) (emphasis added). For example, in Yakus, the Court upheld
legislation providing that a court could not enter a temporary restraining
order or a preliminary injunction in a certain class of cases. 321 U.S.
at 441-442. And in TVA v. Hill, 437 U.S. 153, 193-195 (1978), the Court
held that Congress had authority to require a court to enjoin projects that
threaten an endangered species. See Romero-Barcelo, 456 U.S. at 313-314
(reaffirming Hill). But neither of those cases raised the problem of legislative
interference with a final judgment that is no longer subject to appeal.
Moreover, in both of those cases Congress mandated that a court either exercise
or refrain from exercising its discretion in a particular way. In neither
case did Congress attempt to bypass the judiciary by mandating a particular
result by operation of law. Accordingly, those cases do not fully answer
the constitutional question that would be raised if the automatic stay provision
were interpreted to displace a court's traditional equitable authority.
4. The statutes discussed by the State in its petition (Pet. 13-14) and
by Judge Easterbrook in his dissent from the denial of rehearing en banc
(Pet. App. 31a-35a) do not pose the same constitutional problem.
a. For example, while the automatic stay in bankruptcy goes into effect
upon the filing of a bankruptcy petition, 11 U.S.C. 362(a)(1), a court immediately
has broad authority to "terminat[e], annul[], modify[], or condition[]
such stay." 11 U.S.C. 362(d). Because the automatic stay in bankruptcy
is subject to judicial control, it does not raise the Article III question
that would be presented if the PLRA automatic stay were interpreted to foreclose
equitable relief. See Plaut, 514 U.S. at 231-232.
In addition, since the time that Congress first exercised its plenary authority
under the Bankruptcy Clause to provide "uniform Laws on the subject
of Bankruptcies throughout the United States," U.S. Const. Art. I,
§ 8, the judgments that have been issued by Article III courts have
been qualified by that system of laws. That feature of bankruptcy law has
significant Article III consequences. As the Court explained in Plaut:
The finality that a court can pronounce is no more than what the law in
existence at the time of judgment will permit it to pronounce. If the law
then applicable says that the judgment may be reopened for certain reasons,
that limitation is built into the judgment itself, and its finality is so
conditioned.
514 U.S. at 234. By contrast, the PLRA stay provision does not simply build
certain limitations into future judgments; it imposes such limitations on
previously existing decrees.
b. The 10-day limit on temporary restraining orders set forth in Federal
Rule of Civil Procedure 65(b) similarly does not raise the Article III question
presented here. Rule 65 does not purport to suspend final judgments of Article
III courts by operation of law; the 10-day limit on temporary restraining
orders is built into the orders that a court issues; and a court retains
authority to preserve the status quo by issuing a preliminary injunction
once the 10-day period expires. See Fed. R. Civ. P. 65(b).
c. The requirement in the Speedy Trial Act of 1974, 18 U.S.C. 3162(a)(2),
that an indictment must be dismissed if the defendant is not tried within
the statutory period similarly does not raise Article III concerns. A failure
to try a defendant within the statutory period results in the dismissal
of an indictment, not in the suspension of a judgment. Ibid. The dismissal
of the indictment requires a judicial act; it does not occur by operation
of law. Ibid. And the court retains broad authority to extend the applicable
period and to dismiss without prejudice. 18 U.S.C. 3161(h), 3162(a)(2).
d. The 30-day expedited review provision for appeals by persons incarcerated
for contempt of a grand jury, 28 U.S.C. 1826(b), likewise does not pose
Article III concerns. That provision applies to judgments that are subject
to appeal. Such legislation does not raise the same Article III problems
as legislation affecting judgments that are no longer subject to appeal.
Plaut, 514 U.S. at 226-227. Section 1826(b), moreover, simply specifies
a time limit for a decision; it does not specify a consequence for a court's
failure to meet the deadline. A court is therefore free to decide what effect,
if any, a failure to meet the statutory deadline will have on the court's
judgment.
e. The various other statutes that set forth time limits on judicial decisionmaking
are also inapposite here. Pet. App. 33a-35a (Easterbrook, J., dissenting
from the denial of rehearing en banc) (discussing the relevant statutes).
The constitutional problem with interpreting the automatic stay provision
to foreclose equitable relief is not that it would require a court to make
a decision on the merits of a termination motion within a specified time
period. The problem is that, if the court does not make a decision on the
merits within a specified period, relief in a final judgment that may be
necessary to remedy a violation of federal law would be suspended by operation
of law. None of the time limit statutes raise that constitutional problem.
5. If the Court concludes that it is necessary to decide the difficult constitutional
question presented if the automatic stay provision is construed to foreclose
a court's authority to issue equitable relief, we believe that, on balance,
Congress's broad authority to affect prospective relief, Wheeling Bridge,
supra, its general power to control the exercise of equitable discretion,
Romeo-Barcelo, supra, and the 90-day window for judicial action on the merits
before the automatic stay takes effect would be sufficient to sustain its
constitutionality. That construction of the automatic stay provision, however,
would raise serious Article III concerns that are not presented when the
automatic stay provision is interpreted to permit the exercise of traditional
equitable authority. Since the automatic stay provision can fairly be interpreted
to permit a court to suspend the automatic stay and thereby preserve the
status quo in accordance with traditional equitable standards, the court
of appeals erred in failing to adopt that interpretation.
CONCLUSION
The judgment of the court of appeals should be reversed.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
BILL LANN LEE
Acting Assistant Attorney
General
BARBARA D. UNDERWOOD
Deputy Solicitor General
IRVING L. GORNSTEIN
Assistant to the Solicitor General
MARK L. GROSS
Attorney
FEBRUARY 2000
1 Pet. App. refers to the appendix to the petition in No. 99-582.
2 As originally enacted, the automatic stay provision specified that "[a]ny
prospective relief subject to a pending motion shall be automatically stayed,"
beginning on the 30th day after the filing of a motion for termination and
ending on the date the court rules on the motion. § 802, 110 Stat.
1321-68. The 1997 Amendments to the PLRA revised the automatic stay provision
to its current form. The 1997 amendments also added: (1) the provision authorizing
mandamus when a court fails to rule promptly on a motion for termination,
18 U.S.C. 3626(e)(1) (Supp. III 1997); (2) the provision authorizing a court
to postpone the automatic stay for 60 days for good cause, 18 U.S.C. 3626(e)(3)
(Supp. III 1997); and (3) the provision authorizing an appeal from an order
suspending the automatic stay. 18 U.S.C. 3626(e)(4) (Supp. III 1997). See
H.R. Conf. Rep. No. 405, 105th Cong., 1st Sess. 132-133 (1997); 143 Cong.
Rec. S12,269 (daily ed., Nov. 9, 1997) (remarks of Sen. Abraham). Congress
specified that the 1997 amendments "shall take effect upon the date
of the enactment of this Act and shall apply to pending cases." 18
U.S.C. 3626 note (Supp. III 1997).
3 A court applying traditional equitable standards also would have discretion
to maintain the status quo when discovery concerning present conditions
is necessary to establish the traditional prerequisites for equitable relief
and plaintiffs, although diligent, have been prevented from obtaining sufficient
discovery because defendants have obstructed those efforts. Other similarly
compelling equitable circumstances would also justify a suspension of the
automatic stay to maintain the status quo.
4 The court of appeals concluded that Congress may have enacted the appellate
review provisions to facilitate appeals from orders invalidating the automatic
stay provisions on constitutional grounds. While that may have been one
of Congress's purposes, nothing in the text of the Act suggests that facilitating
appeals from constitutional rulings was Congress's exclusive purpose.
5 The limited legislative history of the automatic stay provision is largely
unilluminating on the question presented in this case. That history suggests
that the automatic stay provision was intended to encourage district courts
to rule promptly on motions for termination. 143 Cong. Rec. S12,268 (daily
ed. Nov. 9, 1997) (statement of Sen. Abraham) (amended automatic stay provision);
H.R. Rep. No. 21, 104th Cong., 1st Sess. 26 (1995) (original provision);
104 Cong. Rec. H1562 (daily ed. Feb. 10, 1995) (statement of Rep. Canady)
(same). Nothing in the legislative history suggests that Congress intended
to displace a court's historic authority to maintain the status quo in those
cases in which a motion for termination could not be resolved before the
automatic stay was scheduled to take effect and plaintiff was able to establish
the traditional prerequisites for equitable relief.
6 Hayburn's Case involved the administration of a pension statute for disabled
Revolutionary War veterans. Act of Mar. 23, 1792, ch. 11, 1 Stat. 243. Under
that statute, circuit courts were directed to examine pension applicants
to determine the nature and degree of their disability and to "transmit
the result of their inquiry" to the Secretary of War, if "in their
opinion, the applicant should be put on the pension list." 1 Stat.
244. The Secretary of War, in turn, was authorized to "withhold the
name of such applicant from the pension list, and make report * * * to Congress,"
in any case in which he had "cause to suspect imposition or mistake."
Ibid. Hayburn's Case became moot before this Court had occasion to address
the constitutionality of the pension statute. See 2 U.S. (2 Dall.) at 409-410.
Act of Feb. 28, 1798, ch. 17, 1 Stat. 324 (repealing challenged provision).
In their capacity as circuit justices, however, five of the six Justices
of this Court expressed the view that the statute was unconstitutional.
The views of those Justices, which are collected in the report of Hayburn's
Case, 2 U.S. (2 Dal.) at 410-414, "have since been taken to reflect
a proper understanding of the role of the Judiciary under the Constitution."
Morrison v. Olsen, 487 U.S. 654, 678 n.15 (1988).