Document: 449 U.S. 200 101 S.Ct. 471 66 L.Ed.2d 392 UNITED STATES, Appellant,v.Hubert L. WILL et al. Appellant, v. Hubert Nos. 79-983, 79-1689. Argued Oct. 13, 1980. Decided Dec. 15, Syllabus An interlocking network of federal statutes fixes the compensation high-level officials, including judges, and provides for annual cost-of-living adjustments in salary determined same way as those employees generally. In four consecutive fiscal years (hereafter Years 1, 2, 3, 4), Congress, with respect to these enacted stop or reduce previously authorized increases initially intended be automatically operative under that statutory scheme. 2 became law before start year, 1 4 on after first day year. A number United States District Court Judges (appellees) filed class actions against Court, challenging validity Compensation Clause Constitution, which judges shall receive "shall not diminished during their Continuance Office." The granted summary judgments appellees. Held : 1. This has jurisdiction appeals 28 U.S.C. § 1252, providing this from holding an Act Congress unconstitutional any civil action is a party. And had over 1346(a)(2), confers district courts Claims concurrent based Constitution when amount controversy does exceed $10,000, none individual claims here having been alleged have exceeded amount. Pp. 210-211. 2. Title 455-which requires judge disqualify himself proceeding his impartiality might reasonably questioned where he financial interest subject matter party proceeding-by reason Rule Necessity operate all Justices deciding issues presented by cases. Where, circumstances cases, Article III outcome so it was possible assign substitute Chief Justice remit appeal, do statute, division Appeals who are disqualification provisions 455, common-law Necessity, judge, even though case, duty hear decide case if cannot otherwise heard, prevails standards 455. Far promoting 455's purpose reaching there another whom may assigned, failure apply cases would contrary effect denying some litigants right forum. public denied resolution crucial involved Judge now were ignore mandate decline answer questions presented. 211-217. 3. question 4, but violated Clause. 217-230. (a) each question, repeal postpone simply consign such limbo account due payable. 221-224. (b) Since statute applying Year time already taken effect, purported increase force thus "diminished" judges. That included "freeze" other officials protected did insulate direct diminution judges' salaries clear 224-226. (c) But 3 scheduled i. e., they become part hence no sense receiving. 226-229. (d) Even referred only "executive employees, includes Members Congress," expressly mention appears include Accordingly, similarly revoke granting 229-230. No. D.C., 478 F.Supp. 621, 79-1689, affirmed part, reversed remanded. Kenneth S. Geller, Washington, appellant. Kevin M. Forde, Chicago, Ill., BURGER delivered opinion Court. These present whether Clause, Art. III, modify statutorily defined formula and, so, must act particular take effect. * fix Executive, Legislative, Judicial Branches, It quadrennial review overall levels fashion years, Executive Branch, salaries, scheme, once two legislation signed President year; A. set Postal Revenue Federal Salary 1967, 81 Stat. 642, amended, §§ 351-361 (1976 ed. Supp. III). review, starting 1969, officials' compensation. Commission Salaries periodically examines positions relation one General Schedule (GS), matrix grades steps determines most employees. Its recommendations submitted President, turn submits report next budget. Each House vote President's proposal within 60 days. If both Houses approve, adjustment takes at pay period beginning 30 days thereafter.1 1975, adopted Cost-of-Living Adjustment Act, Pub.L. 94-82, 89 419. subjects covered made Pay Comparability 1970, 5 5305-5306. year designate agent compare data private-sector compiled Bureau Labor Statistics. undertake certain investigation ultimately, submit recommending deemed appropriate bring employees' line prevailing rates private sector. separate Advisory Committee then reviews makes its own independent recommendation. Thereafter, order adjusting listing percentage reports him subject. believes economic conditions national emergency make planned inappropriate, September alternative plan salaries. controls unless continuous legislative session either adopts disapproving proposed plan. disapproves, agent's recommendation governs. October complex web base adjusted annually service again quadrennially higher-rank led following definition judge's compensation: 6 "Each court rate section 225 1967 (2 351-361), 461 title." 135. 7 Similarly phrased judges.2 GS adjustment, rounded nearest multiple $100, section, effective period. figure paid monthly, coinciding calendar month. See 5505. change October, B 8 1975 increased average 5% terms Act. received similar increases. however, altered application three branches it. To avoid confusion generated year's different begins, we refer 4. We specific question. 9 1976, 4.8% procedures outlined earlier. On new relevant period, Legislative Branch Appropriation 1977, 94-440, 90 1439. II provided: 10 "[N]one funds contained used Representatives . No appropriated position office 225(f) amended 356), Delegate Representatives, exceeds 30, ." 11 By virtue reference applied judges; import, therefore, prohibit paying raise well Branch. 12 March high-ranking raises pursuant example, $54,500; circuit special appellate $57,500; Associate Supreme $72,000. 42 Fed.Reg. 10297 (1977).3 13 generally 7.1% July 11, 95-66, 91 270, 14 "[T]he which, date enactment individuals [the 1977], effect: 15 16 "(3) title 28, Code, relating comparability justices, commissioners, referees 17 Parallel subdivisions According Report measure, inappropriate earlier H.R.Rep.No.95-458, p. (1977), U.S.Code Cong. & Admin.News 464.4 nullify contemplated executive 18 For 1978, approved 5.5%. final preceding 1979, 95-391, 92 763. Section 304(a) stated: 19 "No ending legislative, executive, judicial branch, government Columbia, (or maximum rate, higher) basic payable 1978 provision 5.5% 1978. 20 transmitted 10.41%. However, August 31, invoked power alter rate; reduced 7% 10.41% recommended. increases, Government concedes, took 1979. Moreover, because (Year 3) prohibited well; along brought total 12.9%.5 Nevertheless, contends days, since 12, 96-86, 93 656. 101(c) stated, part: 21 "For 1980, available payment existing entitled approximately 12.9 percent pay, employee elected appointed official sum excess 5.5 accepted lieu year." 22 None appellees exercised option accept clause statute; acceptance operates waiver higher than concedes continued C 23 February 7, (No. 79-983 Court) Northern Illinois. complaint, named defendant, challenged U.S.Const., 1.6 plaintiff certified representatives classes 2.7 Government, while opposing certification classes, defended statutes. 24 29, judgment plaintiffs, here. 621. corresponding entered 24. appeal postponed decision hearing merits directed parties address any, 444 1068, 100 1010, 62 749 (1980). 25 79-1689 comes us complaint Illinois 19, 79-983. At issue joined other, sought represent years.8 defendant. member presided proceedings 26 January certifying Based held noted employees." doubtful intend. Judgment formally 12. Government's consideration consolidated briefing oral argument. 447 919, 3008, 65 1111 Jurisdiction 27 Although doubt whatever Court's 12529 1346(a)(2) ed., III).10 455 2811 neither nor implication purports deal jurisdiction. face specified circumstances; affect court. Nothing text history suggests intended, amend vast array conferring matters various courts. Disqualification being clear, our inquiry traditional canons12 issues. threshold reaches full agreement require Judge, himself. Rather, agree ancient Notwithstanding concurrence views resulting concession, sensitivity leads applicability degree care attention employ asserted lacked mandates without exception. 29 generally, disqualified aside allows normal administrative processes disqualified. us, outcome; assignment possible. more recused quorum six eligible remains available, see continue case. 2109 authorizes disqualified.13 highly unusual setting authority sit temporarily 291-296 III), convene precisely considerations kind gave rise well-settled principle common that, Pollack put it, "although better not, can avoided, personal interest, yet heard otherwise." F. Pollack, First Book Jurisprudence 270 (6th 1929). genesis least five half centuries ago. earliest recorded invocation 1430, Chancellor Oxford could appointment judge. Y.B.Hil. Hen. VI, f. pl. 6.14 Early country confirmed vitality Rule.15 31 consistently state State ex rel. Mitchell Sage Stores Co., 157 Kan. 622, 143 P.2d 652 (1943), Kansas observed: 32 "[I]t established actual last resort will excuse performing result denial litigant's constitutional properly court, adjudicated." Id., 629, P.2d, 33 Similarly, Pennsylvania held: 34 "The true rule unquestionably wherever becomes necessary interest-where calling in, else place-it decide, however disagreeable be." Philadelphia Fox, 64 Pa. 169, 185 (1870). 35 Other state16 federal17 also recognized Rule. 36 concept absolute revealed supra, reflected decisions Our dealing directly involve name them parties, express found. See,e. g., O'Malley Woodrough, 307 277, 59 838, 83 L.Ed. 1289 (1939); O'Donoghue States, 289 516, 53 740, 77 1356 (1933); Evans Gore, 253 245, 40 550, 887 (1920). Evans, behalf, dealt Rule: 37 "Because members ., regret solution falls declined renounced. invoke respects compensation, interest; tribunal go." 247-248, S.Ct., 550-551.18 38 appear, continuing extended discussion needed.19 D Limited Purpose 39 objective reality positive appearance bias. Senate Reports reflect constant assumption upon assigned example: "[I]f [any] reasonable factual basis doubting impartiality, should let preside case." S.Rep.No.93-419, (1973) (emphasis added); H.R.Rep.No.93-1453, added), 1974, pp. 6351, 6355. continued: 41 contain ample chief replace [under 455]." 6357. congressional clearly expressed gives hint altering doctrine prior statutes.20 declared guarantee fair forum pursue claims. purpose, Rule, availability especially important As observed elsewhere, designed benefit, individuals, competent judiciary. 253, 553. balance, served requiring 43 therefore hold time-honored Necessity. casually infer Branches foreclose exercising "the province department say what is." Marbury Madison, Cranch 137, 177, (1803). 44 roots longstanding Anglo-American tradition Judiciary. Judiciary free control Legislature essential decided potential domination government. promotes independence specifically providing: 45 Judges, supreme inferior Courts, Offices good Behavior, shall, stated Times, Services, Compensation, 46 Hamilton, Federalist 79, 491 (1918) deleted), emphasized importance protecting 47 "In general course human nature, man's subsistence amounts will." 48 relationship means idea initiated authors Constitution. Settlement 1701, correct abuses prevalent reign Stuart Kings, accession successor Princess Anne, 49 "Judges Commissions Quamdiu se bene gesserint [during behavior], ascertained Will. ch. cl. (1701). 50 English acknowledgment tenure incompatible truly judiciary, improper influence forces Later, Parliament passed, King assented to, implementing decreased "so long Patents them, respectively, remain force." Geo. 23, (1760). "to maintain dignity judges." W. Blackstone, Commentaries *267. 51 Originally, protections colonial well. 1761, converted pleasure.21 interference administration justice Colonies soon major objections voiced Crown. Indeed, Declaration Independence, grievances King, complained: 52 "He dependent Will alone, offices, salaries." Independence won, colonists forget reasons caused Mother Country. Thus, Framers met 1787 draft organic law, articles evils Revolution separation. 54 Madison's notes Constitutional Convention reveal draftsmen reached tentative arrangement whereby decrease Gouverneur Morris succeeded striking prohibition increases; others, believed liberty meet contingencies inflation, phenomenon known ours. Madison opposed ground tend defer unduly body considering 55 concern ravages inflation comment: 56 variations value money, guarded agst. taking standard wheat thing permanent value." Farrand, Records 1787, (1911). 57 criticized overlooking changes economy; change, said, leave undercompensated. finally Morris' motion allow thereby accepting limited risk external accommodate need times changed.22 Hamilton later explained: 58 "It readily understood, fluctuations society, rendered fixed [of judges] inadmissible. What extravagant to-day century penurious inadequate. discretion legislature vary conformity restrictions out condition worse." 491-492 (1818). serves another, related purpose. independence, ensures prospective abandoning practice-more often lucrative bench-the post diminish. Beyond doubt, assurance attract able lawyers bench enhances quality justice. U.S., 553; J. Kent, American Law 276 (1826). IV never addressed Court: when, ever, repealing enacted? "vests"-i. irreversible Is protection ? 61 Appellees argue reach They contend halt funding If, contend, appropriations measures substantive nevertheless obliged them; authorize payment. submit, violate regardless rescinded passed. rule, "repeals favored." Posadas National City Bank, 296 497, 503, 349, 352, 80 351 (1936). TVA Hill, 437 153, 189, 98 2279, 2299, 117 (1978), Morton Mancari, 417 535, 549, 94 2474, 2482, 290 (1974). applies especial advanced measure bill. 190, 2299. rules limit ability through measures. Standing XVI(4); XXI(2). desires suspend force, "[t]here accomplish amendment appropriation bill, Dickerson, 310 554, 555, 1034, 1035, 84 (1940). whole depends intention statutes." Mitchell, 109 146, 150, 151, (1883). Belknap 150 588, 594, 183, 185, 1191 (1893).23 63 conclude effect." 270. plain words insofar 1977. reading finds support repeatedly uses language "eliminate expected 1977 adjustment." 466. floor remarks Senators confirm construction understood.24 although limiting funds, 205-206, 207, 208, block generate. Representative Shipley introduced rider "preven[t] automatic 122 Cong.Rec. 28872 (1976).25 Floor view.26 characterized "change [in] law," H.R.Rep.No.95-1254, described creating one-year "pay freeze," id., 35. "continu[e] called 'cap' " S.Rep.No.95-1024, (1978). debate construction.27 "reduc[ing] mandatory entitlement per centum centum." H.R.Rep.No.96-500, 1979). bill law. Later Conference "restricts percent" just begun. H.R.Conf.Rep.No.96-513, (1979). debates understanding.28 passages indicate rescind entirely, intent resolves itself into violating business 1976. time, month-and year-at day. signing 1; force. Thus judges.29 67 "discriminate" such, process. save however. quite situation (1939). There offended income tax levied taxpayers; discrimination like citizens, share material burden 282, 840. inclusion freeze Clause; exceptions "nondiscriminatory" reductions.30 class, violates III. 68 Unlike confronts squarely may, increase, date. definitions 204, n. moment on, purposes. Subsequent reducing "diminishes" meaning Relying 254, 553, reduces "a promised," promised fall 69 unable analysis result. Framers' 219-220, conclusion erect ban conceivably adverse judges.31 embodies prohibiting decreases allowing practical balancing changes, substantial undue influence. delegated necessity placed faith integrity sound enact changing demand. 70 periodically, modified determining abandon passed effect-before departure policy receiving; refused formula.32 71 paramount-indeed, indispensable-ingredient powers coequal branch recognize limits boundaries branches. method calculating executed mean command carry announced future vests exclusively Congress.33 "vests" purposes With regard represents constitutionally valid exercise authority. 72 purposes, legal indistinguishable eliminated-before 1-the implemented. 30. forth 73 Before implicated resolve problem construction. face, Congress." 208. statute. 74 satisfied Congress' use phrase employees," context, well.34 undeniably discern indication chose single exemption officials. Most important, Chairman Appropriations Committee, speaking floor, explicit implicit: (1979); 125 27530, 27532 (1979) (remarks Rep. Whitten).35 75 Having concluded confronted Here again, governing revoking class. V 76 calculated precise dollar Further required questions. remanded further consistent opinion. ordered. 78 BLACKMUN prescribe occurs disapproves. 359 (the Court); 44(d) (circuit judges); 173 (Court Claims); 213 Customs Patent Appeals); 252 International Trade (formerly Court)). achieved left Therefore, appellees' affected 6, infra. 123 7126 (1977) Sen. Scott) ("prevents people receiving year"); 21121 Solarz) ("individuals current second well"); infra, 222, computed stood addition deferred compounding felt combined 12.9%. explains additional 0.4%. plaintiffs earned until supra. serving newly thereafter. signed. "Any interlocutory judgment, decree action, suit, agencies, officer thereof, employee, party." $10,000. complaints allegation disputed. App. 9a, 62a. "(a) Any justice, magistrate questioned. "(b) He circumstances: "(4) knows .; "(5) "(i) See, e. ABA, Code Conduct, Canon 3(C). provides, "If absence qualified remitted arose, sitting banc specially constituted composed senior commission sit, direct. conclusive. event disability filled provided chapter paragraph enter affirming extant, precedential affirmance equally divided original version ensure antitrust Interstate Commerce appealed always form review. H.R.Rep.No.1317, 78th Cong., 2d Sess., (1944). broadened 1948 revision H.R.Rep.No.308, 80th 1st A175-A176 (1947). Rolle's Abridgment summarized follows: sued there, Judges." H. Rolle, Many Cases Resolutions Common (1668) (translation). Mooers White, Johns.Ch. 360 (N.Y.1822), Kent despite brother-in-law's party; New York chancellor. re Leefe, Barb.Ch. (N.Y.1846). cited Annot., A.L.R. 1476 (1925). E. Moulton Byrd, 224 Ala. 403, 140 So. 384 (1932); Olson Cory, Cal.3d 672, 164 Cal.Rptr. 217, 609 991 (1980); Nellius Stiftel, 402 A.2d (Del.1978); Dacey Connecticut Bar Assn., 170 Conn. 520, 368 (1976); Wheeler Board Trustees Fargo Consol. School Dist., Ga. 323, S.E.2d 322 (1946); Schward Ariyoshi, Haw. 348, 555 1329 Higer Hansen, Idaho 45, 411 Gordy Dennis, 176 Md. 106, (1936); Gardner Holm, 241 Minn. 125, N.W.2d (1954); West Jersey Traction Co. Public Works, N.J.L. 431, 163 (1894); Long Watts, 183 N.C. 99, 110 S.E. 765 (1922); Bank Trust Ellwein, 221 N.W. 509 (N.D.), cert. denied, 419 1026, 95 798, 816 (1974); McCoy Handlin, S.D. 487, 153 361 (1915); Alamo San Antonio S.W.2d 814 (Tex.Civ.App.), writ ref'd, rev. error (Tex.1962). Atkins 214 Ct.Cl. 186, 556 F.2d 1028 434 1009, 718, 751 (1978); Pilla 542 (CA8 1976); Brinkley Hassig, (CA10 1936); Corrigan, 401 795 (Wyo.1975). cast n.31, fact indicates aspect unrelated Marshall's exposition Cohens Virginia, Wheat. 264, 257 (1821), explanation Necessity; wrote "must should. judiciary cannot, approaches confines constitution. pass by, doubtful. doubts, difficulties, attended, us. given, usurp given. treason Questions occur gladly avoid; them." 404 added). Mar. 1911, 231, 20, 21, 1090 (current 144, III)). existence demonstrates side standards. Carpenter, Tenure 2-3 (1918). rejection suggestion tying price commodity arisen Virginia's unsatisfactory experience scheme clergy tobacco. Gipson, Coming Revolution, 1763-1775, 46-54 Scott, Aspects "Parson's Cause," Pol.Sci.Q. 558 (1916). ultimately tobacco subsequent indications early dissatisfaction Crown, widespread publicity surrounding surely wary indexing commodity. Belknap, below previous operated levels. 7095 Byrd) ("salaries obviat[ing] provisions"); ibid. Baker) ("forgo adjustment"); ("knock[s] 21125 Ammerman) ("deny increase"). Shipley's Representatives. expanded cover 28877 (1976). studying recommended deleted altogether, S.Rep.No.94-1201, (1976), 29132-29133 positions, H.R.Conf.Rep.No.94-1559, prevailed. 28865 (1976) Armstrong) (a "freeze salaries"); Yates) ("freeze McClory) ("effectively eliminate increases"); 28870 Derwinski) ("freezing level"); 28871 Miller) ("stopping raise"); 28879 Anderson) ("block increase"); 29132 Taft) salaries-the given 29164 Allen) compensation"); 29172 ("denied upcoming increase"; "salaries frozen 29372 Bartlett) ("automatic eliminated"); 31892 Shipley) ("no made"; "proscribe[s] increase[s]"); 31896 Riegle) ("elimination raise"). 124 17603 (1978) ("pay freeze"); 17604 permitted"); 24375 Sasser) ("freeze, pay"). Whitten) ("sharply decreas[es] 27533 Jacobs) ("rollback 12.9-percent 28019 ("put cap 28020 Magnuson) ("this nature cap, limitation"); 28108 Conte) ("reduces asks fractions day, see, Lapeyre Wall. 191, 606 (1873); argued treat assent reject[s] disputes." 141. Here, acknowledges almost ago, '[W]henever ends conflicting interests, look unit time. purely convenience, give whenever rights unreasonable arbitrary rules.' Louisville Savings 104 469, 474-475, 775 (1881) (quoting Grosvenor Magill, Ill. 239, 240-241 (1865); citations omitted). Accord, Combe Pitt, Burr. 1423, 97 Eng.Rep. 907 (K.B.1763); C. Sands, Sutherland Statutory Construction 33.10 (4th 1973). Burgess Salmon, 381, 1104 (1878), compared event. notwithstanding person subjected fine engaged conduct occurred. impose penalty innocent performed render facto 384-385. much benefits penalties limitations Executive. context periodic Ex Post Facto I, 9, places President. Because implications, logic action. evidence invalidate 252, 552, (1939), immunity extend exempting taxes, shared citizens. forbid everything adversely saying extent Miles Graham, 268 501, 601, 1067 (1925), inconsistent, "cannot survive." 282-283, relied read undermine reasoning decision. More (CC DC 1803), dism'd want jurisdiction, 159, 397 (1805), contrary. system fees compensating justices peace Columbia subsequently abolished fees. indictment charge fees, defendant demurred. Circuit diminishing (here, abolishing) 161 More, fee place justices' repealed contrast, particularly ironic bind themselves rejected proposal. 220. Of course, techniques improved 1787. repeated rejections according predetermined formula, itself. covered, explain title. Several acknowledged rolling back 27529-27530 Latta); 27531-27533 Whitten); Jacobs); 28022 Stevens). Whitten, determination regarding issue." 27532.

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