Check how courts have cited this case. Use our free citator for the most current treatment.
No. 10006648
United States Court of Appeals for the Ninth Circuit
Gonzales & Gonzales Bonds & Insurance Agency, Inc. v. Usdhs
No. 10006648 · Decided July 18, 2024
No. 10006648·Ninth Circuit · 2024·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
July 18, 2024
Citation
No. 10006648
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
GONZALES & GONZALES BONDS No. 22-16552
& INSURANCE AGENCY, INC.;
TOPPER BROKERAGE, INC.; D.C. No.
LEXINGTON NATIONAL 4:20-cv-08897-
INSURANCE CORPORATION; KAW
AMERICAN SURETY COMPANY;
ALLEGHENY CASUALTY
COMPANY, OPINION
Plaintiffs-Appellees,
v.
U.S. DEPARTMENT OF
HOMELAND SECURITY; CHAD F.
WOLF, Under the title of Acting
Secretary of Homeland Security;
UNITED STATES CITIZENSHIP
AND IMMIGRATION SERVICES;
KENNETH T. CUCCINELLI, Under
the title of Senior Official Performing
the Duties of the Deputy Secretary of
Homeland Security,
Defendants-Appellants.
2 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Appeal from the United States District Court
for the Northern District of California
Kandis A. Westmore, Magistrate Judge, Presiding
Argued and Submitted October 19, 2023
San Francisco, California
Filed July 18, 2024
Before: Carlos T. Bea, Morgan Christen, and Anthony D.
Johnstone, Circuit Judges.
Opinion by Judge Bea;
Concurrence by Judge Johnstone;
Dissent by Judge Christen
SUMMARY *
Federal Vacancies Reform Act
In an action in which companies that post immigration
surety bonds challenged a Department of Homeland Security
(“DHS”) rule on the ground that the Acting Secretary of
DHS who promulgated the rule was not duly appointed, the
panel reversed the district court’s summary judgment in
favor of Plaintiffs and remanded.
An immigration bond secures a promise that an alien will
appear for immigration proceedings. In 2020, Acting
*
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 3
Secretary Chad Wolf promulgated a rule permitting DHS to
refuse business from certain surety firms (the “Rule”). But,
as the panel explained, Wolf was not duly appointed under
the applicable law and thus lacked authority to promulgate
the Rule. In 2021, Secretary of Homeland Security
Alejandro Mayorkas, who was duly appointed, ratified the
Rule.
The panel held that the Federal Vacancies Reform Act of
1998 (“FVRA”) did not bar Mayorkas from ratifying the
Rule, and that ratification cured any defects in the Rule’s
promulgation. The panel explained that the Ratification Bar,
5 U.S.C. § 3348(d)(2), prohibits ratification of certain
actions taken by a purported officer serving in violation of
the FVRA. The panel concluded that the Ratification Bar
applies only to “functions or duties” that are
“nondelegable.” By the statute’s own definition, the
Ratification Bar applies only to nondelegable functions or
duties because only nondelegable functions or duties are
“required by statute [or regulation] to be performed by the
applicable officer (and only that officer).” 5 U.S.C.
§ 3348(a)(2).
Judge Johnstone concurred in the lead opinion except for
its conclusion that the meaning of the phrase “the applicable
officer (and only that officer)” is plain. Looking to extrinsic
evidence from the court’s co-equal branches to resolve this
ambiguity, Judge Johnstone nonetheless concluded that
“function or duty” includes only the officer’s nondelegable
duties.
Dissenting, Judge Christen wrote that the text, structure,
and purpose of the FVRA make clear that application of the
ratification bar does not turn on whether a duty is
delegable. Rather, the ratification bar applies to all functions
4 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
and duties that Congress assigns to a single officer (and
excludes functions and duties that Congress authorizes more
than one officer to perform). Judge Christen wrote that the
majority’s decision renders the FVRA a near-dead letter by
deciding that the FVRA does not apply to the vast majority
of actions taken by officials serving in violation of the
FVRA.
COUNSEL
Joseph C. Gjonola, (argued), Gary A. Nye, and David R.
Ginsburg, Roxborough Pomerance Nye & Adreani LLP,
Woodland Hills, California; for Plaintiffs-Appellees.
Anna O. Mohan (argued) and Melissa N. Patterson,
Appellate Staff Attorneys; Stephanie Hinds, United States
Attorney; Brian M. Boynton, Principal Deputy Assistant
Attorney General; Civil Division, United States Department
of Justice, Washington, D.C.; James C. Luh, Assistant
United States Attorney, United States Department of Justice,
Washington, D.C.; for Defendants-Appellants.
Brian R. Frazelle (argued), Brianne J. Gorod, and Elizabeth
B. Wydra, Constitutional Accountability Center,
Washington, D.C., for Amicus Curiae Constitutional
Accountability Center.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 5
OPINION
BEA, Circuit Judge:
In certain immigration cases, the Department of
Homeland Security (“DHS”) requires a bond—similar to a
bail bond in criminal cases—to avoid detention of the alien
pending deportation. The bond secures a promise that the
alien will appear for immigration proceedings, which will
determine whether the alien can remain in the United States.
Commercial firms, known as sureties, provide such bonds.
In 2020, the “Acting Secretary” of the DHS promulgated a
rule that permitted the agency to refuse business from certain
surety firms that were serially delinquent in making
payments for absconding aliens or that had garnered a
reputation for posting bonds for frequent absconders. See
Procedures and Standards for Declining Surety Immigration
Bonds and Administrative Appeal Requirement for
Breaches, 85 Fed. Reg. 45968, 45968–69 (July 31, 2020)
(the “Rule”).
But some of those sureties that were not too fond of this
new Rule, which cut into their business, realized that the
“Acting Secretary” who promulgated the Rule may not have
been duly appointed. Hence, the Rule might be invalid and
the sureties might have been improperly banned from doing
business with the DHS.
Unfortunately for the sureties’ pretensions, in 2021
Secretary of Homeland Security Alejandro Mayorkas, who
was duly appointed, ratified the Rule. But that leaves the
question—does the exercise of ratification cure the alleged
defect in the Rule’s promulgation? We hold that it does.
Under principles of agency law and Circuit precedent,
Secretary Mayorkas had the authority to ratify an action
6 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
taken by an improperly appointed Acting Secretary, who
would not otherwise have been authorized to take that action.
See Consumer Fin. Prot. Bureau v. Gordon, 819 F.3d 1179,
1190–92 (9th Cir. 2016). But there was a possible hurdle to
the exercise of ratification. Under the so-called “Ratification
Bar,” Secretary Mayorkas could not ratify promulgation of
the Rule if such promulgation could be performed only by
the Secretary of Homeland Security himself. See 5 U.S.C.
§ 3348(a)(2), (d)(2).
We conclude that the Secretary had the authority to
delegate promulgation of the Rule; it was not a function or
duty singularly entrusted to the Secretary. See 6 U.S.C.
§ 112(b)(1). Because the Secretary could have delegated
promulgation of the Rule, Secretary Mayorkas could ratify
the 2020 promulgation of the Rule, regardless whether the
Rule’s promulgation had been actually delegated. Thus,
ratification of the Rule by Secretary Mayorkas cured any
defect in the Rule’s promulgation.
The question in this case is whether 5 U.S.C.
§ 3348(d)(2), the Ratification Bar, which prohibits
ratification of certain actions taken by a purported officer
serving in violation of the Federal Vacancies Reform Act of
1998 (“FVRA”), applies only to “functions or duties” that
are singularly entrusted by statute or regulation to that
officer, and in other words are “nondelegable.” We hold that
it does. By the statute’s own definition, 1 § 3348(d)’s
Ratification Bar applies only to nondelegable functions or
duties because only nondelegable functions or duties are
“required by statute [or regulation] to be performed by the
applicable officer (and only that officer).” 5 U.S.C.
1
Judge Johnstone concurs in this opinion, except for its conclusion that
the meaning of the statute is plain and unambiguous. Con. Op. 33–34.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 7
§ 3348(a)(2). Thus, we hold that the district court erred in
granting Plaintiffs’ motion for summary judgment because
the FVRA did not bar Secretary Mayorkas from ratifying the
Rule, and that ratification cured any defects in the Rule’s
2020 promulgation.
I. BACKGROUND
Article II of the Constitution gives the President the
authority to appoint “Officers of the United States,” but
requires the President to obtain the “Advice and Consent of
the Senate” to make those appointments effective. U.S.
CONST. art. II, § 2, cl. 2. To avoid negative repercussions of
vacancies in those positions, “Congress has long accounted
for th[e] reality” of vacancies “by authorizing the President
to direct certain officials to temporarily carry out the duties
of a vacant . . . office in an acting capacity, without Senate
confirmation.” NLRB v. SW Gen., Inc., 580 U.S. 288, 293
(2017). The current version of that authorization is the
FVRA, 5 U.S.C. §§ 3345–49e.
Under the FVRA, when an Executive agency officer
“whose appointment to office is required to be made by the
President, by and with the advice and consent of the Senate,
dies, resigns, or is otherwise unable to perform the functions
and duties of the office[,] the first assistant to the office of
such officer shall perform the functions and duties of the
office temporarily in an acting capacity,” 5 U.S.C.
§ 3345(a)(1), unless the President selects either another
officer who was previously Presidentially appointed and
Senate-confirmed or an officer or employee of the same
agency who has served a specified time in that agency, id.
§ 3345(a)(2)–(3).
The FVRA is the “exclusive means for temporarily
authorizing an acting official to perform the functions and
8 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
duties of any office of an Executive agency . . . for which
appointment is required to be made by the President, by and
with the advice and consent of the Senate, unless a statutory
provision expressly authorizes the President, a court, or the
head of an Executive department” to designate the acting
officer, a statute designates the acting officer, or the
President makes an appointment during a Senate recess. Id.
§ 3347(a).
In December 2016, President Obama exercised his
authority under § 3345(a) to establish an order of succession
for the Office of Secretary of Homeland Security in case of
an office vacancy. Exec. Order No. 13753, 81 Fed. Reg.
90667 (Dec. 9, 2016) (“Executive Order 13753”). Later that
month, Congress amended the Homeland Security Act to
give the Secretary of Homeland Security independent
authority to create an order of succession, but did not change
the order of succession established by President Obama’s
Executive Order 13753. National Defense Authorization
Act for Fiscal Year 2017, Pub. L. No. 114-328, § 1903, 130
Stat. 2000, 2672 (2016) (codified at 6 U.S.C. § 113(g)).
President Obama signed the Act, and it became law.
A. Chad Wolf’s Ascension to “Acting Secretary” of
the DHS
In April 2019, Kirsjten Nielsen, on her last day of service
as Secretary of Homeland Security, modified an order titled
“DHS Orders of Succession and Delegations of Authority
for Named Positions,” also known as Delegation 00106.
Delegation 00106, both before and as amended, provided in
subparts II.A–B:
A. In case of the Secretary’s death,
resignation, or inability to perform the
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 9
functions of the Office, the orderly
succession of officials is governed by
Executive Order 13753, amended on
December 9, 2016.
B. I hereby delegate to the officials
occupying the identified positions in the
order listed (Annex A), my authority to
exercise the powers and perform the
functions and duties of my office, to the
extent not otherwise prohibited by law, in
the event I am unavailable to act during a
disaster or catastrophic emergency.
(emphasis added). In a document titled “Amending the
Order of Succession in the Department of Homeland
Security,” Secretary Nielsen invoked her authority under 6
U.S.C. § 113(g)(2), and “designate[d] the order of
succession for the Secretary of Homeland Security as
follow[ed].” What followed were instructions to strike
Annex A and replace it with a new list, still titled “Annex A.
Order for Delegation of Authority by the Secretary of the
Department of Homeland Security.” Notably, Secretary
Nielsen did not change the text of Delegation 00106,
subpart II.A; so, Annex A, both before and after Secretary
Nielsen’s order, applied only to delegations occurring
“during a disaster or catastrophic emergency.” As a result,
absent a delegation during a disaster or catastrophic
emergency, subpart II.A, “the orderly succession of
officials” to the Secretary’s office, was still “governed by
Executive Order 13753.”
As of Secretary Nielsen’s last day in office, the list of
names in Secretary Nielsen’s Annex A and Executive Order
13753 differed. Annex A listed (1) the Deputy Secretary of
10 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Homeland Security, (2) the Under Secretary for
Management, (3) the Commissioner of Customs and Border
Protection (“CBP”), and (4) the Administrator of the Federal
Emergency Management Agency (“FEMA”), in that order.
In contrast, Executive Order 13753’s order of succession
began with the same first two positions as Annex A, (1) the
Deputy Secretary of Homeland Security and (2) the Under
Secretary for Management, but then it listed (3) the
Administrator of FEMA (rather than the Commissioner of
CBP) followed by (4) the Under Secretary for National
Protection and Programs (“NPP”), renamed the Director of
the Cybersecurity and Infrastructure Security Agency
(“CISA”) (rather than the Administrator of FEMA). 2 81
Fed. Reg. at 90667.
When Secretary Nielsen resigned the next day, the
offices of Deputy Secretary of Homeland Security and
Under Secretary for Management were both vacant, so the
Commissioner of CBP, Kevin McAleenan, became “Acting
Secretary,” apparently relying on Secretary Nielsen’s
amendments to Annex A. No one disputes that there was no
applicable “disaster or catastrophic emergency” on that day.
So, under the operative orders—Delegation 00106, subpart
II.A, and Executive Order 13753—and because the FEMA
Administrator office was also vacant, the Director of the
CISA, Christopher Krebs, should have assumed the role of
Acting Secretary, rather than McAleenan. However, Krebs
2
The NPP was renamed CISA in November 2018. Cybersecurity and
Infrastructure Security Agency Act of 2018, Pub. L. No. 115-278,
§ 2202, 132 Stat. 4168, 4169 (2018) (codified at 6 U.S.C. § 652). The
position Under Secretary for the NPP refers to the Director of the CISA.
6 U.S.C. § 652(b)(3).
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 11
did not do so; instead, McAleenan assumed the role. Thus,
McAleenan was not a duly appointed Acting Secretary.
Nonetheless, in November 2019, McAleenan amended
Delegation 00106, changing subpart II.A to reference Annex
A instead of Executive Order 13753. McAleenan also
amended Annex A, replacing the fourth position with the
Under Secretary for Strategy, Policy, and Plans. Soon
thereafter, McAleenan resigned, and because the first three
positions of Annex A were vacant, the Under Secretary for
Strategy, Policy, and Plans—Chad Wolf—became “Acting
Secretary” pursuant to McAleenan’s purported order of
succession, rather than the Director of the CISA, Christopher
Krebs, as would have ensued under Executive Order 13753.
No one disputes that there was no applicable “disaster or
catastrophic emergency” on that day either. Hence, Wolf
was no more duly appointed than had been McAleenan.
B. “Acting Secretary” Wolf’s Promulgation of the
Rule
As noted, the DHS has a policy of releasing aliens from
custody while removal proceedings are pending if they post
an immigration bond, a guarantee that the alien will appear
upon government request for future proceedings or
otherwise cooperate with Immigration and Customs
Enforcement (“ICE”) officials. See 85 Fed. Reg. at 45968–
69. One type of bond is a surety bond, which is guaranteed
by companies certified by the Department of Treasury to
underwrite federal bonds. Id. at 45969. If an alien fails to
appear to removal proceedings, the DHS can determine
whether the bond has been breached, and if so, require the
surety to pay the bond amount to the government. Id. at
45969. But the sureties do not always pay, and the DHS
12 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
asserts this has deprived the DHS of millions of dollars. See
id. at 45970.
To address this concern, Wolf promulgated the Rule in
July 2020 while purportedly serving as “Acting Secretary.”
See id. at 45968. The Rule delegated to ICE the discretion
to reject surety bonds from companies with outstanding
balances owed and unpaid to the DHS or with high breach
rates, and further required administrative exhaustion, filings
and procedures within DHS by sureties wishing to challenge
DHS bond-breach decisions, prior to the sureties seeking
relief by filing actions in court. See id. at 45971–73.
C. Procedural History and Ratification of the Rule
In December 2020, five companies engaged in the
business of posting immigration surety bonds with the DHS
(“Plaintiffs”) sued the DHS, ICE, Wolf, and Kenneth
Cuccinelli, under the title of Senior Official Performing the
Duties of the Deputy Secretary of Homeland Security
(collectively, “the government”) in the United States District
Court for the Northern District of California, claiming that
the Rule should be set aside under the Administrative
Procedure Act (“APA”), 5 U.S.C. §§ 701–06. 3 Plaintiffs
argued the Rule had not been properly promulgated because
Wolf was not properly serving as Acting Secretary of DHS
when he purported to promulgate the Rule.
However, in April 2021, Secretary Alejandro Mayorkas,
who no one disputes was properly appointed by President
Biden and confirmed by the Senate, ratified the Rule, stating
that he had “full knowledge” of the Rule and believed
ratification was “consistent with the Department’s
3
The parties consented to the jurisdiction of a United States Magistrate
Judge pursuant to 28 U.S.C. § 636.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 13
authorities.” In August 2021, Plaintiffs amended their
complaint to state that Secretary Mayorkas did not have the
authority to ratify Wolf’s promulgation of the Rule, but the
government nonetheless moved to dismiss the amended
complaint under Federal Rule of Civil Procedure 12(b)(6).
In denying the government’s motion to dismiss the amended
complaint, the district court held that Wolf had never
lawfully held the title of “Acting Secretary” and that
Secretary Mayorkas’s ratification of the Rule was barred by
“the FVRA’s plain and unambiguous language,” the
Ratification Bar.
In May 2022, Plaintiffs moved for summary judgment
on the issue whether the “Rule was lawfully promulgated.”
The district court granted Plaintiffs’ motion predominantly
for the same reasons it had earlier denied the government’s
12(b)(6) motion to dismiss the amended complaint. On the
question whether Wolf was validly appointed as Acting
Secretary, the district court found that Secretary Nielsen
failed properly to amend the order of succession, rendering
McAleenan’s and Wolf’s purported ascension to Acting
Secretary invalid and their service improper. On the
question whether Secretary Mayorkas’s ratification cured
the defect, the district court echoed its previous order and
held that the FVRA barred ratification of the improperly
promulgated Rule. The district court granted Plaintiffs’
motion for summary judgment and vacated the Rule. The
Plaintiff sureties were back in business. But the government
timely appealed.
II. JURISDICTION & STANDARD OF REVIEW
We have jurisdiction over this appeal under 28 U.S.C.
§ 1291. We review the district court’s grant of summary
14 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
judgment de novo. Desire, LLC v. Manna Textiles, Inc., 986
F.3d 1253, 1259 (9th Cir. 2021).
III. DISCUSSION
A. DHS Order of Succession
On Secretary Nielsen’s last day serving as Secretary of
Homeland Security, she failed to amend Delegation 00106,
subpart II.A—the order of succession to her office “[i]n case
of the Secretary’s death, resignation, or inability to perform
the functions of the Office.” Instead, she amended Annex
A—the order of delegation in the event she was “unavailable
to act during a disaster or catastrophic emergency” pursuant
to Delegation 00106, subpart II.B. Hence, her amended
order of delegation could be effective only during a “disaster
or catastrophic emergency.” The parties do not dispute that
neither McAleenan’s nor Wolf’s succession to the
secretaryship of DHS occurred during such events. Despite
the plain language of the order, the government has argued—
and at least seven times failed to persuade district courts—
that Secretary Nielsen’s error should be excused. See
Asylumworks v. Mayorkas, 590 F. Supp. 3d 11, 20–21
(D.D.C. 2022); Behring Reg’l Ctr. LLC v. Wolf, 544 F. Supp.
3d 937, 943–44 (N.D. Cal. 2021); Chamber of Com. of U.S.
v. U.S. Dep’t of Homeland Sec., No. 20-cv-07331-JSW,
2021 WL 4198518, at *4–5 (N.D. Cal. Sept. 15, 2021);
Pangea Legal Servs. v. U.S. Dep’t of Homeland Sec., 512 F.
Supp. 3d 966, 974–75 (N.D. Cal. 2021); La Clínica de la
Raza v. Trump, No. 19-cv-04980-PJH, 2020 WL 7053313,
at *6–7 (N.D. Cal. Nov. 25, 2020); Batalla Vidal v. Wolf,
501 F. Supp. 3d 117, 131–32 (E.D.N.Y. 2020); Casa de Md.,
Inc. v. Wolf, 486 F. Supp. 3d 928, 957–60 (D. Md. 2020).
At this point, the government’s position that Secretary
Nielsen’s error should be excused seems, at best, untenable,
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 15
and at worst, frivolous. And though the government assured
us at oral argument that the government’s intentions were
not “nefarious,” Secretary Nielsen’s best intentions did not
transform the modification of Annex A into a modification
of Delegation 00106, subpart II.A. As a result, McAleenan
improperly assumed the role of “Acting Secretary” over
Christopher Krebs, who was next in line under Executive
Order 13753. Therefore, McAleenan was without authority
in November 2019 to amend Delegation 00106, though his
attempt demonstrated awareness that his predecessor should
have amended subpart II.A to reference Annex A instead of
Executive Order 13753. When McAleenan resigned, Wolf
improperly assumed the role of “Acting Secretary” pursuant
to McAleenan’s version of Annex A instead of Executive
Order 13753. Therefore, “Acting Secretary” Wolf lacked
authority to promulgate the Rule. Undeterred, Wolf went on
to promulgate the contested Rule.
B. Ratification and the FVRA’s Ratification Bar
This raises the question whether, despite Wolf’s
improper service as “Acting Secretary,” any defect in the
2020 promulgation of the Rule was cured by Secretary
Mayorkas’s 2021 ratification of the Rule, or whether any
such ratification was barred by the FVRA.
1. Secretary Mayorkas’s authority to ratify the
Rule
The Supreme Court has instructed that when one officer
acts without authority, the validity of an “‘after-the-fact’
authorization” by another officer with authority to take the
action “is at least presumptively governed by principles of
agency law, and in particular the doctrine of ratification.”
FEC v. NRA Pol. Victory Fund, 513 U.S. 88, 98 (1994); see
Gordon, 819 F.3d at 1191–92 (following this guidance and
16 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
discussing the Second and Third Restatements of Agency).
“[T]he party [or principal] ratifying should be able not
merely to do the act ratified at the time the act was done, but
also at the time the ratification was made.” Cook v. Tullis,
85 U.S. 332, 338 (1874); see also RESTATEMENT (SECOND)
OF AGENCY § 84(1) (AM. L. INST. 1958). If properly ratified,
then the original act is normally treated as if it had been
properly performed. See RESTATEMENT (SECOND) OF
AGENCY § 100 cmt. a.
Where an invalidly appointed person takes an action on
behalf of an agency, a subsequent, valid ratification cures
any deficiencies in the original appointment. Gordon, 819
F.3d at 1190–91. In Gordon, the Consumer Financial
Protection Bureau (“CFPB”) brought a civil enforcement
action against a lawyer for violations of the Consumer
Financial Protection Act based on unfair and deceptive
practices. Id. at 1186. The lawyer challenged the
prosecution on the grounds that the CFPB brought the action
while being led by an improperly appointed Director. Id.
The lawyer claimed the President had unconstitutionally
appointed the Director. Id. President Obama had initially
relied on his recess-appointment power to appoint Richard
Cordray as Director. Id. at 1185. But after the Supreme
Court rejected other similar appointments in NLRB v. Noel
Canning, 573 U.S. 513, 518–19 (2014), President Obama
“renominated” Cordray, and he was later confirmed by the
Senate. Gordon, 819 F.3d at 1185. Cordray then ratified his
previous actions, including the enforcement action against
the lawyer. Id. at 1186. Analyzing the Second and Third
Restatements of Agency, this Court held that Cordray’s
proper appointment and his ratification of prior acts cured
any claimed appointment defects under Article II of the
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 17
Constitution. Id. at 1191–92 (citing RESTATEMENT
(SECOND) OF AGENCY § 93(3)).
Here, we similarly find that Secretary Mayorkas, who
was appointed by President Biden and confirmed by the
Senate in February 2021, had the authority under agency law
to ratify the Rule in April 2021. Like in Gordon, Secretary
Mayorkas ratified Wolf’s promulgation of the Rule. At all
times relevant here, it is undisputed that the principal—the
Secretary of Homeland Security—had the authority to
“establish such regulations; prescribe such forms of bond,
reports, entries, and other papers; issue such instructions;
and perform such other acts as he deems necessary for
carrying out his authority.” 8 U.S.C. § 1103(a)(3); see
Gordon, 819 F.3d at 1191 (“[I]f the principal (here, CFPB)
had authority to bring the action in question, then the
subsequent . . . ratification . . . is sufficient.”). Because the
Secretary of Homeland Security had the authority to
promulgate the Rule “at the time the act was done, [and] also
at the time the ratification was made,” Secretary Mayorkas
had authority under agency law to ratify the Rule. See
Gordon, 819 F.3d at 1191 (quoting NRA Pol. Victory Fund,
513 U.S. at 98) (emphasis removed); see also Kajmowicz v.
Whitaker, 42 F.4th 138, 147 (3d Cir. 2022) (“If a lawfully
appointed official ratifies his predecessor’s action and does
so in accordance with the law, that ratification may ‘remedy
a defect arising from the decision of an improperly
appointed’ predecessor.” (quoting Jooce v. FDA, 981 F.3d
26, 28 (D.C. Cir. 2020))).
2. The FVRA’s Ratification Bar
But not so fast. The authority to ratify is not unlimited.
One limit on the ability to ratify the unauthorized actions of
a purported Acting Secretary is the FVRA’s Ratification
18 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Bar—the very crux of this case. See 5 U.S.C. § 3348(d)(2).
The parties dispute the applicability of the Ratification Bar.
The subsection that contains the Ratification Bar provides
that actions “taken by any person who is not acting under”
the FVRA “in the performance of any function or duty of a
vacant office . . . shall have no force or effect” and “may not
be ratified.” Id. § 3348(d) (emphasis added). Unfortunately,
the district court failed to grapple with § 3348’s definition of
“function or duty,” thus ignoring a key aspect of the statute
being interpreted. See id. § 3348(a)(2). Because this Court
has never interpreted the Ratification Bar provision of the
FVRA, we do so now and join the other circuit courts in
holding that the Ratification Bar embodied in § 3348(d)
applies only to those duties of an officer that are
nondelegable. See Kajmowicz, 42 F.4th at 148; Arthrex, Inc.
v. Smith & Nephew, Inc., 35 F.4th 1328, 1336 (Fed. Cir.
2022), cert. denied, 143 S. Ct. 2493 (2023).
We hold that promulgation of the Rule was not a
nondelegable duty of the Secretary of Homeland Security.
Since promulgation of the Rule could have been delegated
by the Secretary to another person, and was not an action
which only the Secretary could take, the Ratification Bar
does not invalidate Secretary Mayorkas’s ratification of
Wolf’s promulgation of the Rule.
As always, we “begin by analyzing the statutory
language, ‘assum[ing] that the ordinary meaning of that
language accurately expresses the legislative purpose.’”
Hardt v. Reliance Standard Life Ins. Co., 560 U.S. 242, 251
(2010) (alteration in original) (quoting Gross v. FBL Fin.
Servs., Inc., 557 U.S. 167, 175 (2009)). And where statutory
language is plain and unambiguous, it must be enforced
“according to its terms.” Id.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 19
In prescribing the penalties for failure to comply with the
FVRA, § 3348(d) provides:
(1) An action taken by any person who is not
acting under [the FVRA] in the performance of
any function or duty of a vacant office to which
[the FVRA applies] shall have no force or effect.
(2) An action that has no force or effect under
paragraph (1) may not be ratified.
Id. (emphasis added). Notably, “function or duty” is a term
defined in the same statute:
(a) In this section--
...
(2) the term “function or duty” means any function
or duty of the applicable office that--
(A) (i) is established by statute; and
(ii) is required by statute to be performed by the
applicable officer (and only that officer); or
(B) (i)(I) is established by regulation; and
(II) is required by such regulation to be
performed by the applicable officer (and only
that officer); and
(ii) includes a function or duty to which clause
(i)(I) and (II) applies, and the applicable
regulation is in effect at any time during the 180-
day period preceding the date on which the
vacancy occurs.
Id. § 3348(a) (emphasis added).
The plain and unambiguous language of § 3348(d)(1),
and subsection (d)(2)’s Ratification Bar, applies only to “any
20 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
function or duty of a vacant office.” § 3348(d)(1) (emphasis
added). As “function or duty” is defined within § 3348 as
one that is “required by statute to be performed by the
applicable officer (and only that officer),” the plain language
of that definition is determinative. See Stenberg v. Carhart,
530 U.S. 914, 942 (2000) (“When a statute includes an
explicit definition, we must follow that definition . . . .”).
Further, it is “a cardinal principle of statutory construction
that we must ‘“give effect, if possible, to every clause and
word of a statute.”’” Williams v. Taylor, 529 U.S. 362, 404
(2000) (quoting United States v. Menasche, 348 U.S. 528,
538–39 (1955)); see ANTONIN SCALIA & BRYAN A. GARNER,
READING LAW: THE INTERPRETATION OF LEGAL TEXTS 174–
79 (2012) (discussing the surplusage canon).
Equipped with these guiding principles, the plain and
unambiguous text and the FVRA’s structure support an
interpretation of “function or duty” that includes a
Ratification Bar only to exclusive, or nondelegable, duties of
the Secretary. We explain below why the promulgation of
the Rule is not a “function or duty” which a statute or
regulation requires only the Secretary to perform, but a duty
which the Secretary can lawfully delegate. Thus, the
Ratification Bar does not apply here.
a. Text
A “function or duty” under § 3348 must be exclusive to
the officer, or nondelegable, based on the plain and
unambiguous meaning of the parenthetical modifier “and
only that officer.” 5 U.S.C. § 3348(a)(2). Though Plaintiffs
correctly note that the word nondelegable “appears nowhere
in the statute,” to assign the parenthetical modifier any other
interpretation would strain the plain meaning of the phrase
“and only that officer.” In 1998, when the FVRA was
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 21
passed, the pertinent definition of the adverb “only” meant
what it means today: “solely, exclusively.” MERRIAM-
WEBSTER’S COLLEGIATE DICTIONARY 812 (10th ed. 1998).
The plain meaning of “only that officer” means the “function
or duty” must be entrusted to and performed exclusively by
that officer and no one other than that officer. It does not,
as the dissent suggests, merely “exclude[] instances in which
Congress has directed more than one officer to perform a
function or duty,” each by himself or together with another
officer. Diss. Op. 51–52. If a statute required a duty to be
performed by “the Secretary and/or anyone of the
Secretary’s choosing,” despite no other officer being
assigned that duty, surely that duty would not constitute a
“function or duty” under § 3348(a)(2), because that duty
would not be “required by statute” to be performed by “only
that officer.” See 5 U.S.C. § 3348(a)(2)(A)(ii). The
dissent’s interpretation would negate the plain meaning of
the parenthetical “and only that officer.”
The plain meaning of the parenthetical “and only that
officer” is further clarified by the definition’s introductory
language. The definition of “function or duty” refers to “the
applicable office” and then “the applicable officer,” but the
parenthetical “only that officer” refers to the officer, not the
office. Id. § 3348(a)(2). By “officer” Congress means “an
individual who is . . . engaged in the performance of a
Federal function under authority of law or an Executive act.”
Id. § 2104(a)(2). By “office” Congress means a particular
set of functions or duties established by law. See id.
§ 2104(a)(3) (an officer is “subject to the supervision of an
authority . . . while engaged in the performance of the duties
of his office”). Functions and duties are established, or
vested, in an office. See id. § 3348(a)(2)(A)(i). They are
performed, and with proper authority may be delegated, by
22 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
an officer. See id. § 3348(a)(2)(A)(ii). Thus, the “only that
officer” parenthetical applies to who performs or delegates
the function or duty (the officer) instead of where the
function or duty is established or vested (the office).
Congress chose to define “function or duty” in terms of
which specific officer is required to perform that duty. That
choice supports an interpretation that incorporates a
requirement of nondelegation for the Ratification Bar to
apply.
An interpretation of “function or duty” narrower than
that proposed by the dissent, and in keeping with this
opinion, has been endorsed by every other circuit to decide
the issue, and for sound reasons. See Kajmowicz, 42 F.4th
at 148; Arthrex, 35 F.4th at 1336 (“This statutory language
[of § 3348] is unambiguous: the FVRA applies only to
functions and duties that a [Presidentially appointed and
Senate-confirmed] officer alone is permitted by statute or
regulation to perform. It does not apply to delegable
functions and duties.”).
In Kajmowicz, the Third Circuit affirmed a district
court’s dismissal of a suit challenging the promulgation of a
rule by a purported “Acting Attorney General.” Kajmowicz,
42 F.4th at 144. The court held that Attorney General
William Barr’s later ratification of the rule was not barred by
the FVRA and foreclosed Kajmowicz’s challenge. Id. at
144, 154. The court wrote that the statutory language was
unambiguous and that the definition of “function or duty”
does not include delegable functions and duties. Id. at 148–
49. The court was unpersuaded by the fact that § 3348 does
not contain the words “nondelegable” or “exclusive”
because “Congress need not have included these terms when
it already included the parenthetical qualifier ‘and only that
officer.’” Id. at 148 (quoting § 3348(a)(2)(A)(ii)). The court
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 23
also explicitly rejected the argument that “if a statute assigns
a duty to a single office rather than multiple offices, then it
does so exclusively.” Id. at 149. Referencing the
presumption that delegation is “permissible absent
affirmative evidence of a contrary congressional intent,” the
court gave “effect to Congress’s decision to define a
‘function or duty’ in terms of what the statute requires, not
what it permits.” Id. at 149–50 (quoting La. Forestry Ass’n
v. Sec’y U.S. Dep’t of Lab., 745 F.3d 653, 671 (3d Cir.
2014)). Applying this interpretation, and acknowledging
that “most statutes that confer authority will permit
subdelegation,” and thus permit ratification under the
FVRA, 4 the court determined that Attorney General Barr’s
ratification of the promulgated rule was not prohibited by the
FVRA and cured any defects. Id. at 151–52.
Here, applying the plain text of the statute, the relevant
question is whether promulgation of immigration surety
bond rules was a “function or duty” “established by statute”
and “required by statute to be performed by” the Secretary
of Homeland Security (and only the Secretary of Homeland
Security). See 5 U.S.C. § 3348(a)(2)(A). Under 8 U.S.C.
4
Judge Fisher’s concurring opinion in Kajmowicz articulated an
additional requirement to conclude an action is not a “function or duty”
under § 3348: that the authority for that action not just be delegable but
have been previously delegated. Kajmowicz, 42 F.4th at 154. This idea
rests on the misconception that if the officer “has not actually delegated
the authority to undertake a particular action, the statutory authority
requires the action to be performed by only the [officer].” Id. As the
majority opinion in Kajmowicz explained, § 3348(a)(2) is framed in
terms of what a statute requires, not what it permits. Id. at 150. The
absence of an officer exercising his authority to delegate a duty has no
effect on whether a duty is “required by statute to be performed by the
applicable officer (and only that officer).” See 5 U.S.C.
§ 3348(a)(2)(A)(ii) (emphasis added).
24 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
§ 1103(a)(3), the Secretary of Homeland Security “shall
establish such regulations; prescribe such forms of bond,
reports, entries, and other papers; issue such instructions;
and perform such other acts as he deems necessary for
carrying out his authority.” And under 6 U.S.C. § 112(b)(1),
the Secretary “except as otherwise provided by this chapter,
may delegate any of the Secretary’s functions to any officer,
employee, or organizational unit of the Department.” This
broad authority to delegate is reinforced by the presumption
that “as far as delegation to subordinates is concerned,
‘[e]xpress statutory authority for delegation is not
required.’” Frankl v. HTH Corp., 650 F.3d 1334, 1350 (9th
Cir. 2011) (alteration in original) (quoting Loma Linda Univ.
v. Schweiker, 705 F.2d 1123, 1128 (9th Cir. 1983)). We are
not aware of any law that limits the Secretary’s ability to
delegate promulgation of immigration surety bond rules.
Because no statute required the Secretary, and only the
Secretary, to promulgate immigration surety bond rules,
promulgation of the Rule was delegable—and therefore not
a “function or duty” within the meaning of § 3348. Hence,
ratification of the Rule Wolf promulgated was not barred by
the FVRA.
b. Structure
A textual interpretation of the statute that incorporates
the “nondelegable” requirement as a necessary element to
bar ratification is supported by the structure of the FVRA
and will not, as Plaintiffs insist, “eviscerate the FVRA’s
remedial scheme.” Nor does a textual reading require us to
view this provision in isolation or disrupt the statute’s
structure.
To begin, our interpretation of “function or duty” will not
allow agencies to skirt the FVRA’s requirements. Amicus
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 25
Constitutional Accountability Center (“Center”) posits that
a requirement of nondelegation to invoke the Ratification
Bar would allow agencies to “rely on their vesting-and-
delegation authority to circumvent [the FVRA], knowing
that their unlawful actions could not be held void under
§ 3348(d)(1) and, if necessary, could be ratified.” Not so.
First, actions of officers who are exempt from § 3348,5
including its Ratification Bar, can still be found without legal
force based on other provisions of the FVRA. See SW Gen.,
580 U.S. at 298–305, 309 (affirming the lower court’s
decision to vacate an NLRB order where the officer served
in violation of § 3345, even though his office was exempt
from § 3348, including the Ratification Bar). Second, the
FVRA is not the only limit on agency action, and a court
could “hold unlawful and set aside agency action” taken by
someone without authority to act on behalf of the agency as
“not in accordance with law . . . [or] in excess of
statutory . . . authority.” See 5 U.S.C. § 706(2). Third,
subsequent ratification of an action taken by an improperly
appointed Acting Secretary is not inevitable. The
subsequent Secretary would have to exercise his lawful
authority to ratify the action, an action he could take
independently in his capacity as Secretary, and only if
Congress had not made that earlier action nondelegable.
Thus, agencies hypothetically could rely on their vesting-
and-delegation authority, even if knowingly violating the
FVRA, but that would neither make their actions
immediately lawful nor ensure their ratification.
5
Section 3348(e) provides a list of officers to whom that section,
including the Ratification Bar, does not apply. The Secretary of
Homeland Security is not among those officers.
26 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
As we have explained, not “every violation of the FVRA
will result in the invalidation of the challenged agency
action.” Hooks v. Kitsap Tenant Support Servs., Inc., 816
F.3d 550, 564 (9th Cir. 2016) (dismissing the NLRB’s
petition “for lack of proper authorization” by Acting General
Counsel, even though he was exempt from § 3348). And yet,
even where functions and duties performed in violation of
the FVRA fall outside of the scope of § 3348, those actions
are “voidable, not void.” Id. (quoting SW Gen., Inc. v.
NLRB, 796 F.3d 67, 79 (D.C. Cir. 2015)). “Voidable” means
the action may be challenged, but that the agency may raise
“defenses based on harmless error or the de facto officer
doctrine . . . to overcome the consequences of particular
FVRA violations.” Id. Or, as in this case, the agency may
raise a ratification defense. See Gordon, 819 F.3d at 1191–
92. Violations of the FVRA that are not void under
§ 3348(d) remain voidable on other grounds, subject to
applicable defenses. See, e.g., L.M.-M. v. Cuccinelli, 442 F.
Supp. 3d 1, 35 (D.D.C. 2020) (rejecting prejudicial error and
de facto officer defenses to invalidation). Properly
construed in this context, our interpretation of § 3348, which
limits the Ratification Bar’s application to nondelegable
duties, does not leave the FVRA toothless.
Further, interpreting the parenthetical modifier “and only
that officer” to denote duties exclusive to that officer is
consistent with a similar use of the same parenthetical
modifier in § 3345(a). That section provides that “the
President (and only the President) may direct” eligible
people to serve as acting officers. See 5 U.S.C.
§ 3345(a)(2)–(3). Though § 3345 is framed in terms of what
the President “may” do, and § 3348 in terms of what a statute
or regulation “require[s],” in both instances the modifier
“only” emphasizes the singularity or exclusivity of the action
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 27
to the person discussed, be it “only the President” or “only
that officer.” See Gustafson v. Alloyd Co., 513 U.S. 561, 568
(1995) (“[W]e adopt the premise that the term should be
construed, if possible, to give it a consistent meaning
throughout the Act. That principle follows from our duty to
construe statutes, not isolated provisions.”); SCALIA &
GARNER, supra, 170–73 (“The presumption of consistent
usage applies also when different sections of an act or code
are at issue.”).
Moreover, applying the plain meaning of “only that
officer,” which narrows the scope of the Ratification Bar,
will not render subsection (e) of § 3348 superfluous.
Subsection (e) lists officers who are exempt from § 3348,
including its Ratification Bar. But Congress’s choice not to
exempt an officer from § 3348 while also narrowly defining
which “functions and duties” are unratifiable is not
irrational, even if Plaintiffs thought the distinction more
significant. After all, the Ratification Bar is a severe
restriction. Similarly, whether an action is a “function or
duty” under § 3348, the only section this definition applies
to, is a question a court need not address if the officer is listed
in § 3348(e). An officer’s absence from § 3348(e), however,
does not mean that any action taken in violation of the FVRA
is necessarily subject to § 3348(d). The inquiry whether an
action constitutes a “function or duty” under § 3348 is
distinct, meaning our interpretation in no way renders
§ 3348(e) surplusage.
Next, interpreting “function or duty” in § 3348 to include
only nondelegable duties does not alter § 3347(b)’s dictate
regarding general vesting-and-delegation statutes.
Subsection 3347(a)(1) provides that the FVRA is the
exclusive means for appointing Acting officials “unless a
statutory provision expressly authorizes the President, a
28 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
court, or the head of an Executive department” to designate
the acting officer, or a separate statute designates the acting
officer. Section 3347(b) provides, “Any statutory provision
providing general authority to the head of an Executive
agency . . . to delegate duties statutorily vested in that
agency head to, or to reassign duties among, officers or
employees of such Executive agency, is not a statutory
provision to which subsection (a)(1) applies.” Therefore,
§ 3347(b) clarifies that general vesting-and-delegation
statutes are not sufficient to authorize the department to
choose the acting officer under the FVRA, but this does not
impact the meaning of “function or duty” in § 3348. 6 See
Arthrex, 35 F.4th at 1338. That a department head cannot
rely on a general vesting-and-delegation statute to designate
the acting officer in the event of a vacancy, § 3347(b),
answers a question wholly distinct from the consequences of
violations of the FVRA under § 3348. 7 Our interpretation
6
The distinction between § 3347 and § 3348 is further supported by the
phrase “In this section,” which introduces the definition of “function or
duty” in § 3348(a)(2). As we have recognized, “‘[t]hroughout the
FVRA, the Congress was precise in its use of internal cross-references,’
using the term ‘subsection’ or ‘paragraph’ when it meant to refer to
something less than a whole section.” Hooks, 816 F.3d at 559 (alteration
in original) (quoting SW Gen., 796 F.3d at 74 (D.C. Cir. 2015)). Though
§ 3347 provides context as to the FVRA’s structure, it is less instructive
than the dissent posits for interpreting the definition of “function or duty”
applicable in § 3348, the section to which the definition applies.
7
In fact, § 3347(b) addresses a specific past practice of the executive
branch. Until Congress enacted the FVRA, the Department of Justice
maintained that its general “vesting-and-delegation authority . . .
permit[ted] the Attorney General to reassign the duties of such Senate-
confirmed positions to other officials of the Department, outside the
limits of the Vacancies Act.” The Vacancies Act, 22 Op. O.L.C. 44, 45
(1998). The general delegation exclusion in § 3347(b) addresses this
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 29
does not “place[] §§ 3347(b) and 3348(d) at odds.” Diss.
Op. 55. Rather, it recognizes that who is authorized to act
and the various consequences of an unauthorized person’s
actions are not necessarily congruent, and that Congress was
aware of this when it drafted the FVRA. 8
Lastly, the Center incorrectly argues that “[m]any duties
that are established by regulation are delegations,” so the
definition of “function or duty” under § 3348(a)(2)(A) must
include delegable duties. This conclusion is wrong.
Section 3348(a)(2)(B) uses similar language as
§ 3348(a)(2)(A) but defines “function or duty” in terms of
those “required by . . . regulation to be performed by the
applicable officer (and only that officer).” 5 U.S.C.
§ 3348(a)(2)(B)(i)(II) (emphasis added). What logically
follows from the structure of § 3348(a)(2) is that even if a
statute does not make a duty nondelegable, an agency can tie
its own hands by doing so in a regulation. See Stand Up for
Cal.! v. U.S. Dep’t of the Interior, 994 F.3d 616, 622 (D.C.
Cir. 2021) (“Appellants do not argue that any statute vests
exclusive authority with the Secretary or the [Assistant
Secretary], and we are unaware of any such statute. We must
specific problem of agencies evading the requirements for designating
acting officers.
8
The dissent tries to have it both ways, at once arguing that we read the
parenthetical in isolation, but also faulting us for recognizing that our
interpretation will not frustrate the FVRA’s statutory scheme. Diss. Op.
52, 57. Though the dissent argues that “[w]hether other statutes [such as
the APA] may provide means of redress” to enforce the FVRA “says
nothing about the correct interpretation of the FVRA,” we disagree.
Diss. Op. 57. First, this case was brought under the APA, so
consideration of that statute in conjunction with the FVRA is, at a
minimum, “our task.” Diss. Op. 57. Second, that our interpretation
accounts for a variety of consequences for violations of the FVRA is both
supported by the plain text and sensible.
30 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
therefore determine whether the Department itself has
cabined this authority.”). The Center reasons that if some
duties established by regulation are “functions and duties”
under § 3348, and “many” duties established by regulation
are delegations, then some “functions and duties” under
§ 3348(a)(2)(A) must be delegable. But this is a faulty
syllogism, as an action that is delegable under the statutory
scheme, and therefore not a “function or duty” under
§ 3348(a)(2)(A), could be made nondelegable by regulation,
and satisfy and give independent meaning to
§ 3348(a)(2)(B). The practice of delegating duties by
regulation does not justify interpreting “and only that
officer” out of the statute Congress enacted.
If a statute’s provision “has a plain meaning or is
unambiguous, the statutory interpretation inquiry ends
there.” CVS Health Corp. v. Vividus, LLC, 878 F.3d 703,
706 (9th Cir. 2017). Plaintiffs and the Center rely on SW
General and the Supreme Court’s explanation of the
FVRA’s development and statutory scheme for the
proposition that, because Congress passed the FVRA in
response to a perceived threat to the Senate’s power,
§ 3348’s enforcement mechanism must have broad
applicability. See SW Gen., 580 U.S. at 293–96. To be sure,
the Court in SW General said that “[t]he FVRA ensures
compliance by providing that, in general, ‘any function or
duty of a vacant office’ performed by a person not properly
serving under the statute ‘shall have no force or effect.’” SW
Gen., 580 U.S. at 296 (quoting § 3348(d)). But the Court did
not go on to interpret “function or duty” under § 3348
because the Court’s analysis focused on § 3345 in holding
that § 3345(b)(1) applies not only to first assistants who
assume their acting duties under § 3345(a)(1), but to
“anyone performing acting service under the FVRA.” See
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 31
id. at 299–308. Thus, the Court’s explanation of § 3348(d)’s
enforcement mechanism in general does not require the
broader interpretation of “function or duty” Plaintiffs seek.
Even had the Court in SW General reached the issue of
interpreting “function or duty” under § 3348, the
interpretation would not have been determinative because
the officer at issue was the General Counsel of the NLRB,
who is exempt from § 3348. See 5 U.S.C. § 3348(e); SW
Gen., 580 U.S. at 297–98. And the Court’s affirmance of the
lower court’s decision to vacate an NLRB order because the
General Counsel served in violation of § 3345(b)(1) further
illustrates how our interpretation of § 3348 does not leave
the FVRA without force. 9 See SW Gen., 580 U.S. at 297–
99, 309.
Lastly, even assuming various department heads can
delegate virtually all of their functions or duties, this does
not change Congress’s authority under the current statutory
scheme to alter the scope of those delegations, as it has done
before. See 6 U.S.C. § 624(c)(2) (“The Secretary may not
delegate the authority under paragraph (1) [regarding certain
emergency orders] to any official other than the Director of
the Cybersecurity and Infrastructure Security Agency.”); 31
U.S.C. § 1344(d)(3) (“The authority to make
9
We recognize the Supreme Court did not reach the issue whether
§ 3348(e)(1) renders the actions of an improperly serving Acting NLRB
General Counsel voidable because the NLRB did not seek certiorari on
that issue. See SW Gen., 580 U.S. at 298 n.2. But the Supreme Court
affirmed the D.C. Circuit’s decision vacating an NLRB order because
the acting general counsel of the NLRB violated § 3345(b)(1) by
continuing to serve in that role after being nominated to fill the position
in a permanent capacity. Id. at 309. Thus, the Acting General Counsel’s
order was vacated for violating the FVRA without reliance on § 3348.
Our interpretation in no way misreads SW General. See Diss. Op. 57.
32 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
designations . . . and to make determinations pursuant to
[various subsections] may not be delegated . . . .”); 54
U.S.C. § 306114 (“The head of the agency may not delegate
the responsibility to document a decision pursuant to this
section.”). To be sure, the Secretary’s authority to delegate
under 6 U.S.C. § 112(b)(1) is broad, and other department
heads have similarly broad authority to delegate. See L.M.-
M., 442 F. Supp. 3d at 31 n.11 (listing other cabinet-level
departments with similar vesting-and-delegation statutes,
including the Departments of Defense, Education, State,
Justice, Treasury, Veterans Affairs, Housing and Urban
Development, Energy, Interior, Transportation, Commerce,
Labor, Agriculture, and Health and Human Services). But
concerns regarding the current ability of department heads
to delegate authority do not sound in statutory interpretation;
rather, they are concerns of “undesirable policy
consequences.” Bostock v. Clayton Cnty., 590 U.S. 644, 680
(2020). We cannot concern ourselves with policy
consequences. “The place to make new legislation, or
address unwanted consequences of old legislation, lies in
Congress.” Id. at 680–81.
Regardless, our interpretation does not leave the FVRA
without force. Instead, our interpretation complies with the
text of the statute Congress crafted to limit the scope of one
of the statute’s most severe restrictions. Because the plain
text of the FVRA unambiguously requires an interpretation
of “function or duty” encompassing only nondelegable
duties, and promulgation of the contested Rule was a task
delegable by the Secretary, the FVRA did not bar Secretary
Mayorkas’s ratification of the Rule.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 33
IV. CONCLUSION
For the reasons stated above, we reverse the district
court’s order, which granted Plaintiffs’ motion for summary
judgment and which vacated the Rule, and we remand for
further proceedings.
REVERSED AND REMANDED.
Johnstone, J., concurring:
When a purported acting officer serves in violation of the
Federal Vacancies Reform Act of 1998, an action taken by
that officer in the performance of “any function or duty” of
the vacant office may be challenged. 5 U.S.C. § 3348(a)(2).
Subsection 3348(d)(2) provides one especially potent
remedy: it voids, and prohibits ratification of, the action. But
Congress limited the application of this ratification bar to the
performance of a “function or duty” that “is required . . . to
be performed by the applicable officer (and only that
officer).” 5 U.S.C. § 3348(a)(2)(A)(ii), (B)(i)(II).
I agree with the lead opinion’s analysis of the FVRA’s
text and structure. But our analysis cannot stop there
because, even after considering text and structure, the phrase
“the applicable officer (and only that officer)” is ambiguous.
So we must look to extrinsic evidence from our co-equal
branches to determine its meaning. The best evidence of the
FVRA’s history and practice resolves this ambiguity: the
defined “function or duty” includes only the officer’s
nondelegable duties. Therefore, § 3348(d)(2) did not
prohibit the Secretary of Homeland Security’s ratification of
the surety bonds rule. Accordingly, except for its conclusion
34 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
that the meaning of the statute is plain, I concur in the lead
opinion.
I. The FVRA’s definition of “function or duty” is
ambiguous.
To determine the scope of the ratification bar we must
ask: what is a function or duty “required by statute to be
performed by the applicable officer (and only that officer)”?
5 U.S.C. § 3348(a)(2)(A)(ii). One answer: a function or duty
“is required . . . to be performed by the applicable officer
(and only that officer)” when it cannot be delegated to
anyone else. Few functions and duties of federal offices are
nondelegable, so this reading gives a narrow scope to the
actions subject to § 3348(d). The lead opinion concludes that
the FVRA’s text unambiguously requires this narrower
interpretation. At least two other courts agree. Kajmowicz v.
Whitaker, 42 F.4th 138, 148–50 (3d Cir. 2022); Arthrex, Inc.
v. Smith & Nephew, Inc., 35 F.4th 1328, 1335–38 (Fed. Cir.
2022).
Other courts that find the same language unambiguous,
however, come up with a different answer: a function or duty
“is required . . . to be performed by the applicable officer
(and only that officer)” when only a single officer is vested
with the function or duty. Asylumworks v. Mayorkas, 590 F.
Supp. 3d 11, 22–25 (D.D.C. 2022); Behring Reg’l Ctr. v.
Wolf, 544 F. Supp. 3d 937, 945–47 (N.D. Cal. 2021). Most
functions and duties of federal offices are vested in single
officers, so this reading gives a broad scope to the actions
subject to § 3348(d). The dissent concludes that the FVRA’s
purpose requires this broader interpretation.
Whether this language is ambiguous matters because
when the text is clear, we do not look to outside evidence to
interpret it. See NLRB v. SW Gen., Inc., 580 U.S. 288, 305
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 35
(2017); United States ex rel. Hartpence v. Kinetic Concepts,
Inc., 792 F.3d 1121, 1128 (9th Cir. 2015) (en banc). But
whether a statute is ambiguous can be a difficult question.
Reasonable people, including judges, often disagree about a
text’s ambiguity. See Ward Farnsworth et al., Ambiguity
About Ambiguity: An Empirical Inquiry into Legal
Interpretation, 2 J. Legal Analysis 257, 276 (2010); see also
Brett M. Kavanaugh, Fixing Statutory Interpretation, 129
Harv. L. Rev. 2118, 2134–44 (2016) (reviewing Robert A.
Katzmann, Judging Statutes (2014)). “[T]here is no errorless
test for identifying or recognizing ‘plain’ or ‘unambiguous’
language.” United States v. Turkette, 452 U.S. 576, 580
(1981).
Wherever the line between plain meaning and ambiguity
lies, in my view the text at issue falls on the side of
ambiguity. The linguistic meaning of the phrase “and only
that officer” does not resolve that proposition’s legal
meaning in the context of the FVRA. Despite the invocation
of competing definitions by the lead opinion and dissent,
dictionaries fortify neither interpretation from doubt. Cf.
Cabell v. Markham, 148 F.2d 737, 739 (2d Cir. 1945) (L.
Hand, J.) (warning “not to make a fortress out of the
dictionary”), aff’d, 326 U.S. 404 (1945). And the phrase
“and only that officer” appears to be unprecedented in
federal law, so there are no established usages to draw upon
elsewhere in the United States Code. Cf. Antonin Scalia &
Brian A. Garner, Reading Law: The Interpretation of Legal
Texts 167–68 (2012) (explaining the whole-text canon).
Those terms do not obviously describe nondelegable duties.
Congress could have simply referred to delegation by name
in § 3348, but it did not. Elsewhere, Congress used
delegation only to broaden, not narrow, the FVRA’s reach.
See 5 U.S.C. § 3347(b). It is no surprise that our fellow
36 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
federal courts have diverged in their interpretations of this
statute. So while I agree that the lead opinion’s narrower
reading of the statute’s text and structure is more likely than
the alternative, it is not sufficiently clear to dismiss the
dissent’s broader reading of the FVRA’s purpose.
II. Legislative history supports the narrower reading.
When a statute’s meaning is not plain, we may consider
its legislative history. See Silvers v. Sony Pictures Ent., Inc.,
402 F.3d 881, 885–86 (9th Cir. 2005) (en banc); e.g.,
Delaware v. Pennsylvania, 598 U.S. 115, 138–39 (2023)
(relying in part on a Senate Report to construe the limiting
parenthetical “(other than a third party bank check)” in 12
U.S.C. § 2503). When we use legislative history to
understand linguistic usage of words in a statute, rather than
the drafters’ intent or the law’s purpose, it is just as probative
as any dictionary. See Scalia & Garner, supra, at 388. Thus,
in our search for a statute’s meaning, legislative history may
“supply[] a well-informed, contemporaneous account of the
relevant background to the enactment.” John F. Manning,
Textualism as a Nondelegation Doctrine, 97 Colum. L. Rev.
673, 732 (1997). This is because “[c]larity depends on
context, which legislative history may illuminate,” bearing
in mind that “the search is not for the contents of the authors’
heads but for the rules of language they used.” In re Sinclair,
870 F.2d 1340, 1342 (7th Cir. 1989) (Easterbrook, J.). We
also must not misuse legislative history to establish
overriding legislative purposes that were not enacted in
statutory text. “Extrinsic materials have a role in statutory
interpretation only to the extent they shed a reliable light on
the enacting Legislature’s understanding of otherwise
ambiguous terms.” Exxon Mobil Corp. v. Allapattah Servs.,
Inc., 545 U.S. 546, 568 (2005).
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 37
The FVRA’s primary legislative history is a Senate
Report on an earlier version of the bill. See generally S. Rep.
No. 105-250 (1998) (discussing the materially identical
FVRA bill later enacted as part of an omnibus appropriations
act). Committee reports, “which presumably are well
considered and carefully prepared,” are generally more
reliable than other Congressional materials that trouble
skeptics of legislative history. Schwegmann Bros. v. Calvert
Corp., 341 U.S. 384, 395 (1951) (Jackson, J., concurring)
(“Resort to legislative history is only justified where the face
of the Act is inescapably ambiguous, and then I think we
should not go beyond Committee reports.”). And while
“legislative history is itself often murky, ambiguous, and
contradictory,” Exxon Mobil Corp., 545 U.S. at 568, this
Senate Report speaks clearly and consistently to § 3348 and
the text at issue.
The FVRA’s legislative history is particularly probative
of its meaning because members of Congress are more than
the authors of the statute; in the case of the Senate they are
also a central audience for it. This confluence narrows any
gap between linguistic conventions of the regulators and the
regulated, lessening any potential notice concerns. See Amy
Coney Barrett, Congressional Insiders and Outsiders, 84 U.
Chi. L. Rev. 2193, 2202 (2017). Especially where the text is
technical and arises from a lengthy course of dealing
between the branches, evidence of legislative usage may be
a more reliable guide to the words Congress chose than
dueling dictionary definitions. See Abbe R. Gluck & Lisa
Schultz Bressman, Statutory Interpretation from the
Inside—An Empirical Study of Congressional Drafting,
Delegation, and the Canons: Part I, 65 Stan. L. Rev. 901,
939 (2013) (Congressional drafters “emphasized the utility
38 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
of legislative history far more than dictionaries in resolving
statutory ambiguities”).
The Senate Report’s discussion of § 3348 maps the
concept of nondelegable duties onto the phrase “function or
duty required to be performed by the applicable officer (and
only that officer),” and therefore supports the narrower
reading. It shows that the FVRA’s remedy applies only to
functions and duties the law requires “only that officer” to
perform, meaning they are nondelegable to other officers.
While the dissent is correct that the term “nondelegable”
does not appear in the statute, it appears throughout the
Senate Report’s discussion of the functions and duties
defined in § 3348. This statutory definition of “function or
duty” discussed in the report applies equally to all
subsections “[i]n this section,” 5 U.S.C. § 3348(a), including
the ratification bar of § 3348(d)(2).
The report summarizes the “function or duty” definition
at issue “as those functions or duties that . . . are established
by statute and are required to be performed only by the
applicable officer.” S. Rep. No. 105-250, at 17. It then
discusses this definition in the context of the subsection
providing that only the head of the agency in which the
vacant office occurs “may perform any function or duty of
such office.” 5 U.S.C. § 3348(b)(2). The report explains that
the “function or duty” defined in § 3348(a) refers to “the
non-delegable functions or duties of the officer . . . .” S. Rep.
No. 105-250, at 18; see also id. (“Delegable functions of the
office could still be performed by other officers or
employees, but the functions and duties to be performed only
by the [Presidentially appointed, Senate confirmed (“PAS”)]
officer . . . could be performed solely by the head of the
executive agency.”). According to the Senate Report,
therefore, the phrase “functions or duties” of an office means
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 39
nondelegable duties of the office, which the drafters then
described as “required . . . to be performed by the applicable
officer (and only that officer).” Id. at 27 (text of § 3348(a)).
This definition of functions or duties was also
consistently used by Senators providing additional or
dissenting views. A group of five Senators worried about “an
unintended shutdown of the Federal agency within which the
vacancy exists due to administrative paralysis,” and
requested that the legislation clarify “that the non-delegable
duties we intend to have performed only by the agency head
are only those expressly vested by law or regulation
exclusively in the vacant position.” Id. at 31 (views of Sens.
Glenn, Levin, Lieberman, Cleland, & Torricelli). And the
minority urged: “It is imperative that the bill unequivocally
ensure that the affected functions and duties of the office are
only those that are expressly deemed nondelegable by statute
or regulation.” Id. at 36 (minority views of Sens. Durbin &
Akaka). 1
Taken as evidence of linguistic usage, the legislative
history of the FVRA shows that the Senators who supported
the bill used “and only that officer” to express the
1
The Committee reported the bill by a vote of 9-1, with Senators
Cleland, Glenn, Levin, and Lieberman joining the majority in voting
Yea. Senator Durbin was the only member voting Nay. S. Rep. No. 105-
250, at 11. The Senate failed to invoke cloture on the original version of
the Act by a vote of 53-38, with Senators Akaka, Cleland, Durbin, Glenn,
Levin, and Lieberman voting Nay after several of them objected to their
inability to make amendments unrelated to the nondelegable duty issue.
105 Cong. Rec. 22526 (1998). A month later a Conference Committee
reported the Act in an omnibus appropriations bill. H.R. Rep. 108-825,
at 633–38 (1998). The House agreed to the conference report by a vote
of 333-95, and the Senate agreed to it by a vote of 65-29. 105 Cong. Rec.
22347–48, 27483 (1998).
40 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
nondelegable function or duty meaning that we apply today.
The Senators who expressed concerns about the FVRA
agreed, but worried that the text did not express that reading
unambiguously, an observation the dissent and I share.
The plaintiffs and amicus the Center for Constitutional
Accountability make general claims about the FVRA’s
purpose, rooted in part in the Senate Report’s summary of
the bill, to support their broader reading of § 3348. Yet
assertions that the purpose of the FVRA is to limit the
President’s power under the Appointments Clause do not
prove how, exactly, its text does so. Legislative history is
most reliable to prove what statutory text may mean, not
what the statute should do. The dissent discerns a similar
legislative intent in the report’s criticism of Doolin Sec. Sav.
Bank, F.S.B. v. Office of Thrift Supervision, 139 F.3d 203
(D.C. Cir. 1998). But we cannot “give[] authoritative weight
to a single passage of legislative history that is in no way
anchored in the text of the statute.” Shannon v. United States,
512 U.S. 573, 583 (1994). Unlike these general discussions
of the purposes or other provisions of the FVRA, the Senate
Report’s section-by-section analysis of the § 3348(a)(2)
definition of “function or duty” specifically refers to it as
“the non-delegable functions or duties of the officer.” S.
Rep. No. 105-250, at 18. Nowhere does the Senate Report
use the definition of “function or duty” to mean what the
plaintiffs, amicus, and dissent interpret it to say: vested by
statute in a single officer and not multiple officers.
III. Legislative and executive practice supports the
narrower reading.
A quarter-century of practice under the FVRA by both
Congress and the Administration confirms the narrower
reading. As James Madison observed: “All new laws, though
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 41
penned with the greatest technical skill, and passed on the
fullest and most mature deliberation, are considered as more
or less obscure and equivocal, until their meaning be
liquidated and ascertained by a series of particular
discussions and adjudications.” The Federalist No. 37, at
236 (James Madison) (Jacob E. Cooke ed., 1961). Thus, in
separation of powers disputes generally, and appointments
disputes specifically, we may look to the “liquidation” of
ambiguous terms through government practice. See NLRB v.
Noel Canning, 573 U.S. 513, 525 (2014); see also
M’Culloch v. Maryland, 17 U.S. 316, 401 (1819) (“[A]
doubtful question” of separation of powers, “if not put at rest
by the practice of the government, ought to receive a
considerable impression from that practice.”); SEC v.
Jarkesy, 603 U.S. ___, 2024 WL 3187811, at *12 n.2 (June
27, 2024) (“Practice may be probative when it reflects the
settled institutional understandings of the branches.”). We
should not overread post-enactment practice to interpret the
FVRA when evidence is too sparse to represent the positions
of the respective branches. SW Gen., 580 U.S. at 308. But as
to the specific definition of “function or duty” in § 3348,
both branches have converged on the narrower reading.
Congress charged the Comptroller General of the United
States, the head of the Government Accountability Office in
the legislative branch, with monitoring executive branch
compliance with the FVRA. See 5 U.S.C. § 3349; see
Bowsher v. Synar, 478 U.S. 714, 731–32 (1986) (holding
that the Comptroller General is an officer of the legislative
branch). That office is thus uniquely situated to interpret the
statute. Despite its position in the legislative branch it has
given § 3348 the narrower reading. In a legal opinion for
Senators, the General Counsel for the Comptroller General
explained that the functions and duties set forth in
42 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
§ 3348(a)(2) “are described as non-delegable.” The
Honorable Richard J. Durbin et al., B-310780, 2008 U.S.
Comp. Gen. LEXIS 101, at *7–8 (Comp. Gen. June 13,
2008). “[T]he Vacancies Act[’s] focus is on specified duties
and functions which under statutory or regulatory language
must be performed exclusively by the incumbent of the
office,” which “requires language that clearly signals duties
or functions that cannot be delegated.” Id. at *11–12.
Perhaps unsurprisingly, the executive branch agrees with
this narrower reading. Still, it has taken the position
deliberately and consistently. Shortly after the FVRA’s
enactment, the Department of Justice issued an opinion
explaining that “a ‘function or duty’ is defined as any
function or duty of the PAS office that is required by statute
or regulation to be performed exclusively by the holder of
that office.” Guidance on Application of Fed. Vacancies
Reform Act of 1998, 23 Op. O.L.C. 60, 70–71 (1999) (citing
5 U.S.C. § 3348(a)(2)). Thus, “the Act permits non-
exclusive responsibilities to be delegated to other
appropriate officers and employees in the agency.” Id. at 72.
The Department has maintained that view. See, e.g., Fed.
Vacancies Reform Act’s Application to a Vacancy for
Which Prior Presidents Submitted Multiple Nominations, 46
Op. O.L.C. __, 2022 WL 16694120, at *6 (O.L.C. Oct. 21,
2022); Under Sec’y of the Treasury for Enf’t, 26 Op. O.L.C.
230, 233–34 (2002).
We have refused to give formal deference to agency
interpretations of the FVRA, Hooks v. Kitsap Tenant
Support Servs., 816 F.3d 550, 564 (9th Cir. 2016), and no
party suggests a deference canon applies here. Still, the
legislative and executive branches’ thorough, reasoned, and
consistent guidance on this question provides additional
persuasive evidence of the statute’s probable, if not plain,
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 43
meaning. See Skidmore v. Swift & Co., 323 U.S. 134, 140
(1944); Loper Bright Enters. v. Raimondo, 603 U.S. ___,
2024 WL 3208360, at *13 (June 28, 2024)
(contemporaneous and consistent executive branch
interpretations “may be especially useful in determining the
statute’s meaning”). The FVRA arose from disagreements
between our co-equal branches about the scope of the
President’s power to fill vacancies without the Senate’s
advice and consent. So it is significant that, here, agencies in
each branch agree upon the same, narrower reading of
§ 3348. The dissent’s broader reading would unsettle this
mutual understanding.
***
A leading commentator observes, “[f]or all the detail
given to permissible types of acting officials, their tenures,
and the severe consequences of violations, the Vacancies
Act now appears to provide an easy workaround in many
cases: delegate the tasks of the vacant office.” Anne Joseph
O’Connell, Actings, 120 Colum. L. Rev. 613, 633 (2020).
“[T]hese delegation practices are pervasive.” Id. at 633
n.105. The dissent is correct that under our reading the
FVRA’s voidness and ratification provision does not apply
to “the vast majority of actions taken by officials serving in
violation of the act.” But it is not our reading of the FVRA
itself that does that limiting work.
We have recognized that Congress can authorize
delegations implicitly: “as far as delegation to subordinates
is concerned, ‘[e]xpress statutory authority for delegation is
not required.’” Frankl v. HTH Corp., 650 F.3d 1334, 1350
(9th Cir. 2011) (alteration in original) (quoting Loma Linda
Univ. v. Schweiker, 705 F.2d 1123, 1128 (9th Cir.1983)); see
also U.S. Telecom Ass’n v. FCC, 359 F.3d 554, 565 (D.C.
44 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Cir. 2004) (“When a statute delegates authority to a federal
officer or agency, subdelegation to a subordinate federal
officer or agency is presumptively permissible absent
affirmative evidence of a contrary congressional intent.”); cf.
Assiniboine & Sioux Tribes v. Bd. of Oil & Gas
Conservation, 792 F.2d 782, 795 (9th Cir. 1986) (“Without
express congressional authorization for a subdelegation, we
must look to the purpose of the statute to set its
parameters.”). The plaintiffs do not meaningfully challenge
the delegability of the duties here. See 8 U.S.C. § 1103(a)(3)
(vesting forms of bond in the Secretary); 6 U.S.C.
§ 112(b)(1) (authorizing delegation of “any of the
Secretary’s functions”). Nor do they question the broader
doctrine of implied delegation. And practically speaking, it
is this presumption that duties are delegable that narrows the
scope of the FVRA’s statutory remedy.
The cumulative evidence of the text, structure, history,
and practice of the FVRA establishes that the “function or
duty” definition of § 3348(a)(2) applies only to the
nondelegable functions or duties of the applicable office.
Therefore, § 3348(d)(2) did not prohibit ratification of the
surety bonds rule.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 45
Christen, J., dissenting:
This case requires us to decide when consequences result
for violations of the Federal Vacancies Reform Act of 1998
(FVRA), the statute that limits the time temporary officials
may serve in Executive Branch positions that require
presidential appointment and Senate confirmation.
Congress crafted a stiff enforcement mechanism for
violations of the FVRA: actions taken by officials serving in
violation of the Act have no force or effect, and the Act bars
later ratification of those actions. See 5 U.S.C.
§ 3348(d)(1)–(2). Unfortunately, today’s decision renders
the FVRA a near-dead letter because the court decides that
the FVRA does not apply to the vast majority of actions
taken by officials serving in violation of the Act. The
majority reaches this conclusion by reasoning that the
FVRA’s integrated scheme applies only to those functions
and duties that Congress expressly forbids an officer from
delegating to a subordinate. In my view, this conclusion is
inconsistent with the text, structure, and purpose of the
FVRA, all of which make clear that the Act applies to
functions and duties that Congress requires a single officer
to perform and excludes functions and duties that Congress
authorizes more than one officer to perform.
Turning to the subject appeal, I agree with the majority
that Chad Wolf was not lawfully serving as Acting Secretary
of the Department of Homeland Security (DHS) when he
promulgated the surety bonds rule at the heart of the parties’
dispute. But I respectfully dissent from the majority’s
decision to reverse the judgment of the district court because
I conclude that the FVRA’s ratification bar prevented Wolf’s
successor from ratifying the rule Wolf adopted.
46 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
I
The Constitution vests the President with the power and
duty to nominate officers of the United States, subject to the
advice and consent of the Senate. U.S. Const. art. II, § 2, cl.
2. An officer of the United States is an official who
“exercis[es] significant authority pursuant to the laws of the
United States.” Freytag v. Comm’r, 501 U.S. 868, 881
(1991) (quoting Buckley v. Valeo, 424 U.S. 1, 126 (1976)).
Vacancies in Executive offices arise frequently, and the
nomination and confirmation of a successor is rarely a swift
process. As a practical—and often politically expedient—
workaround, the Executive Branch frequently turns to the
use of temporary, or “acting,” officers to fill vacant
positions. The Legislative Branch has allowed this practice,
but it has also placed limits on it to ensure that reliance on
temporary officers does not usurp the Senate’s advice-and-
consent role. See NLRB v. SW Gen., Inc., 580 U.S. 288, 294–
95 (2017).
The FVRA is Congress’s latest attempt to reign in the
Executive Branch’s use of acting officers. The FVRA’s
predecessor, the Vacancies Act, dated to 1868. See Act of
July 23, 1868, ch. 227, 15 Stat. 168. The Vacancies Act
initially allowed temporary officers to serve for just 10 days
in most circumstances, a grace period that was later
lengthened to 30 days and then 120 days. SW Gen., 580 U.S.
at 294–95. The Vacancies Act did not impose any
consequences for the Executive Branch failing to comply
with these limits, however. See 15 Stat. 168. For more than
a century, the Vacancies Act was understood to be the sole
means of temporarily filling vacancies in Executive offices.
See Morton Rosenberg, Cong. Rsch. Serv., RL 98-892, The
New Vacancies Act: Congress Acts to Protect the Senate’s
Confirmation Prerogative 2 (1998) (Rosenberg).
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 47
In 1973, the Department of Justice took the position that
the Vacancies Act was just one way of filling vacancies. Id.
at 2–3; see also SW Gen., 580 U.S. at 294. A second way,
according to DOJ, was for an agency head to delegate all her
functions and duties to a subordinate officer or agency
employee before leaving office, pursuant to the agency’s
vesting-and-delegation statute. Rosenberg at 2–3. Vesting-
and-delegation statutes are general provisions that vest all
functions of an agency in the agency head and allow
delegation of those functions to subordinates. For example,
DHS’s vesting-and-delegation statute provides that “[a]ll
functions of all officers, employees, and organizational units
of the Department are vested in the Secretary” and the
Secretary “may delegate any of the Secretary’s functions to
any officer, employee, or organizational unit of the
Department.” 6 U.S.C. § 112(a)(3), (b)(1). Taken to the
extreme, DOJ’s position could allow an office subject to
Senate confirmation to go unfilled indefinitely while a
subordinate officer or agency employee performs the duties
of the vacant office.
As the Supreme Court explained in SW General, the
“interbranch conflict . . . over the Vacancies Act” came to a
head in the late-1990s. 580 U.S. at 294–95. In 1998, about
20% of Executive offices requiring Senate confirmation
were filled by acting officials, “most of whom had served
beyond the 120–day limitation period” in the Vacancies Act.
Id. at 295 (quoting Rosenberg at 1). “Perceiving a threat to
the Senate’s advice and consent power, Congress . . .
replaced the Vacancies Act with the FVRA.” Id. (citing
Rosenberg at 6).
The FVRA spans 5 U.S.C. §§ 3345 to 3349. Section
3345 identifies who may serve in an acting capacity when a
Senate-confirmed member of the Executive Branch dies,
48 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
resigns, or is otherwise unable to perform her duties.
Pursuant to the Act, the default replacement is the officer’s
first assistant, who “shall perform the functions and duties of
the office” in an acting capacity. 5 U.S.C § 3345(a)(1).
Alternatively, Congress provided that the President may
direct another Senate-confirmed officer, or an officer or
employee who has served in their position for at least 90
days during the year preceding the vacancy and has a rate of
pay of at least GS-15, to perform the functions and duties of
the vacant office in an acting capacity. Id. § 3345(a)(2)–(3).
Section 3346 limits the period an acting officer appointed
pursuant to § 3345 may serve to 210 days from the date of
the vacancy. Id. § 3346(a)(1). The 210-day period restarts
if the Senate rejects a nominee. Id. § 3346(b)(1).
Section 3347(a) confirms that §§ 3345 and 3346 “are the
exclusive means” for the appointment of officers to
temporarily fill positions that require Senate confirmation,
unless Congress expressly enacts an alternative order of
succession for a given office or expressly gives the
President, a court, or a department head the power to
designate a different order of succession. Id. § 3347(a)–
(a)(1). Of critical importance to this appeal, § 3347(b) states
that the alternative order of succession referred to in
§ 3347(a)(1) does not include general vesting-and-
delegation statutes. Id. § 3347(b) (“Any statutory provision
providing general authority to the head of an Executive
agency . . . to delegate duties statutorily vested in that agency
head to, or to reassign duties among, officers or employees
of such Executive agency, is not a statutory provision to
which [§ 3347(a)(1)] applies.” (emphasis added)). In other
words, the FVRA explicitly rejected the workaround
position DOJ took starting in 1973 that vesting-and-
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 49
delegation statutes offer another way for a subordinate to
perform the duties of an agency head.
Unlike the Vacancies Act, § 3348 of the FVRA sets out
two consequences for the Executive Branch’s failure to
comply with §§ 3345, 3346, and 3347. When an officer
serves without valid acting authority, or continues to serve
beyond the time in which she has valid acting authority,
§ 3348(d) unequivocally requires that any action taken by
that officer in the performance of any function or duty of that
office “shall have no force or effect.” Id. § 3348(d)(1).
Second, the Act states that an action that has no force or
effect under § 3348(d)(1) “may not be ratified.” Id.
§ 3348(d)(2).
Section 3348(a) goes on to define the functions and
duties that are subject to the ratification bar:
(2) the term “function or duty” means any function
or duty of the applicable office that—
(A)(i) is established by statute; and
(ii) is required by statute to be performed by
the applicable officer (and only that officer);
....
Id. § 3348(a). 1 Finally, § 3349 requires the head of each
Executive agency to report to the Comptroller General and
to Congress all vacancies, acting officers, and nominees. Id.
§ 3349(a).
1
I focus primarily on the ratification bar at § 3348(d)(2) because that is
the dispositive provision in this case. However, the majority’s
interpretation of “function or duty” equally limits § 3348(d)(1)’s
requirement that actions taken in violation of the FVRA have “no force
or effect,” i.e., they “are void ab initio.” SW Gen., 580 U.S. at 298 n.2.
50 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
At issue in this case is a rule regulating immigration
surety bonds promulgated in 2020 by then-Acting DHS
Secretary Chad Wolf. In 2021, Wolf’s successor, Senate-
confirmed DHS Secretary Alejandro Mayorkas, issued a
directive purporting to ratify the surety bonds rule. I agree
with the majority that Wolf was not properly appointed as
Acting DHS Secretary when he issued the surety bonds rule.
The dispositive question is whether the FVRA’s ratification
bar rendered Mayorkas’s ratification of the rule ineffective.
The answer to that question turns on whether issuing rules
for surety bonds is a “function or duty” of the DHS Secretary
within the meaning of § 3348(a)(2) of the FVRA.
Congress directed the DHS Secretary to promulgate
bond rules. See 8 U.S.C. § 1103(a)(1), (3) (“The Secretary
of Homeland Security . . . shall establish such regulations;
prescribe such forms of bond, reports, entries, and other
paper; issue such instructions; and perform such other acts
as he deems necessary for carrying out his authority . . . .”).
Congress did not direct any other officer to perform this
duty. Because this duty was one that Congress required only
the DHS Secretary to perform, the 2020 surety bonds rule
was without force or effect and could not be ratified. The
majority nevertheless concludes that Secretary Mayorkas
successfully ratified the rule, reasoning that the duty to
promulgate surety bonds rules was not a “function or duty”
of the DHS Secretary because the Secretary was free to
delegate virtually all his duties to subordinates.
II
My colleagues adopt a definition of “function or duty”
that turns what the Supreme Court has described as the Act’s
“general rule” into an exception. SW Gen., 580 U.S. at 298
n.2. In my view, the majority’s conclusion cannot be
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 51
squared with the plainest reading of the statutory text, the
statutory design, or the Act’s purpose. I would hold that the
FVRA bars ratification of actions taken by improperly
serving acting officials in the performance of functions or
duties that Congress required to be performed by that officer
and not by more than one officer.
A
As a majority of this panel recognizes, the FVRA’s
definition of “function or duty” is susceptible to at least two
permissible readings. The statute provides that functions
and duties of officers requiring Senate confirmation are
those that are “required by statute to be performed by the
applicable officer (and only that officer).”
§ 3348(a)(2)(A)(ii). The plainest reading of this text is that
where Congress directs an officer to perform a duty, and
does not also direct one or more other officers to perform it,
Congress has required that officer—and only that officer—
to perform the duty. See Require, Black’s Law Dictionary
(6th ed. 1990) (defining “[r]equire” as “[t]o direct, order,
demand, instruct, command, claim, compel, request, need,
exact”). Several federal district courts have adopted this
reading. See, e.g., Behring Reg’l Ctr. LLC v. Wolf, 544 F.
Supp. 3d 937, 948 (N.D. Cal. 2021); Asylumworks v.
Mayorkas, 590 F. Supp. 3d 11, 25 (D.D.C. 2022).
Under this interpretation of the Act, the parenthetical
“(and only that officer)” excludes instances in which
Congress has directed more than one officer to perform a
function or duty. For example, 18 U.S.C. § 2332(d) provides
that “[n]o prosecution for [certain crimes against U.S.
nationals that occur outside the U.S.] shall be undertaken by
the United States except on written certification of the
Attorney General or the highest ranking subordinate of the
52 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Attorney General with responsibility for criminal
prosecutions” that the prosecution meets certain
requirements. Because this statute directs either the
Attorney General or her highest-ranking subordinate to
authorize certain prosecutions, this duty is not required to be
performed by the Attorney General and only the Attorney
General, and it is therefore not a “function or duty” within
the meaning of the FVRA.
Another plausible reading of the “function or duty”
provision, at least when the text is considered in isolation, is
the one adopted by the majority and two of our sister circuits.
See Arthrex, Inc. v. Smith & Nephew, Inc., 35 F.4th 1328,
1336–38 (Fed. Cir. 2022); Kajmowicz v. Whitaker, 42 F.4th
138, 148 (3d Cir. 2022). Under this interpretation, the
parenthetical “(and only that officer)” implicitly excludes
statutory functions and duties that an officer is permitted to
delegate to a subordinate, because if a duty is delegable, the
statute does not require only that officer to perform it. To
appreciate the breadth of the hole this interpretation blasts
through the FVRA, it is important to understand that there
are several ways for Executive officers to delegate their
statutory duties to subordinates.
First, a specific duty may be made expressly delegable
by statute. Alternatively, general vesting-and-delegation
statutes allow agency heads to delegate any of their duties,
so long as another statutory provision does not forbid them
from doing so. Finally, we have recognized a “general
presumption that delegations to subordinates are permissible
in cases of statutory silence.” Frankl v. HTH Corp., 650
F.3d 1334, 1350 (9th Cir. 2011). Because there are several
ways for duties to be delegable, my colleagues’ read of the
FVRA—as barring ratification of actions taken in the
performance of functions or duties only where Congress has
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 53
expressly forbidden delegation—excludes nearly every
statutory function or duty in the United States Code. This
interpretation is strained, but I agree that if we were limited
to consulting the text of § 3348(a)(2) alone, the statutory
language could conceivably sustain it. The problem is that
the structure and purpose of the FVRA confirm that the
majority’s interpretation is an inferior reading of the text.
The author of the majority reads the text of § 3348(a)(2)
in isolation and concludes that it unambiguously refers to
functions or duties that are expressly nondelegable. But for
the reasons explained, the provision is susceptible to more
than one reading even when divorced from the statutory
context. 2 The majority author’s conclusion also does not
account for the bedrock principle that the “plainness or
ambiguity” of a provision must be “determined by reference
to the language itself, the specific context in which the
language is used, and the broader context of the statute as a
whole.” Robinson v. Shell Oil Co., 519 U.S. 337, 341
(1997).
B
Because the meaning of “function or duty” is
“ambiguous, we must turn to the broader structure of the Act
to determine the [provision’s] meaning.” King v. Burwell,
576 U.S. 473, 492 (2015). “It is a fundamental canon of
statutory construction that the words of a statute must be read
in their context and with a view to their place in the overall
statutory scheme.” FDA v. Brown & Williamson Tobacco
Corp., 529 U.S. 120, 133 (2000) (internal quotation marks
and citation omitted).
2
The third member of our panel agrees that § 3348(a)(2) is ambiguous.
54 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
The FVRA’s provisions work together to restrict the
Executive Branch’s discretion to allow officials to serve in
Senate-confirmed positions without actually receiving
Senate confirmation. The Act allows limited use of acting
officers, but the consequences Congress imposed for
violating the FVRA incentivize the nomination of permanent
officials who are subjected to the Senate confirmation
process. Three separate aspects of the FVRA’s statutory
design support the conclusion that “function or duty” of a
vacant office refers to duties that Congress directs a single
officer to perform, and excludes duties that Congress directs
more than one officer to perform. Of the permissible
readings of “function or duty” in § 3348(a)(2), only this one
“produces a substantive effect that is compatible with the
rest of the law.” United Sav. Ass’n of Tex. v. Timbers of
Inwood Forest Assocs., Ltd., 484 U.S. 365, 371 (1988).
1
First, Congress’s inclusion of § 3347(b) strongly favors
reading § 3348(d)(2)’s ratification bar to apply to all
functions and duties that Congress has assigned to a single
officer, without regard to whether a duty is delegable. In
§ 3347(b), Congress acknowledged general vesting-and-
delegation statutes and expressly rejected the practice of
relying on them to bypass the FVRA’s rules of succession.
Section 3348(d) ensures that there are consequences if the
rules of succession are not followed. Sections 3347(b) and
3348(d) therefore work in tandem to cabin the discretion of
the Executive Branch to use acting officers.
My colleagues conclude that § 3347(b) “does not impact
the meaning of ‘function or duty’ in § 3348.” I disagree.
Both sections are necessary parts of the exclusive scheme
Congress adopted for the Executive Branch to temporarily
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 55
fill vacancies. In § 3347(b), Congress took the unusual step
of anticipating that the Executive Branch might invoke
general delegation authority as a loophole to circumvent the
Act’s rules of succession, and expressly foreclosed the
Executive Branch from doing so. The majority nevertheless
concludes the very same general delegation authority
enables the Executive Branch to avoid the Act’s
consequences. Rather than working in tandem, the
majority’s interpretation places §§ 3347(b) and 3348(d) at
odds.
2
Context provides a second clue as to which reading of
“function or duty” is most consistent with the FVRA’s
statutory design. The majority holds that Congress defined
“function or duty” to include only those duties that are made
expressly nondelegable by statute, even though the terms
“delegate” or “nondelegable” do not appear anywhere in the
definition of “function or duty.” Such a glaring omission is
cause enough to second-guess the majority’s conclusion.
But the significance of the omission of “nondelegable” from
§ 3348(a)(2) is magnified by the FVRA’s use of the word
“delegate” in the immediately preceding subsection,
§ 3347(b), because we must give meaning to the variation in
word choice between the two provisions. If a statute “has
used one term in one place, and a materially different term
in another, the presumption is that the different term denotes
a different idea.” Sw. Airlines Co. v. Saxon, 596 U.S. 450,
457–58 (2022) (quoting Antonin Scalia & Bryan A. Garner,
Reading Law: The Interpretation of Legal Texts 170 (2012)).
In § 3347(b), Congress explicitly used the word
“delegate”; accordingly, we presume that the words in
§ 3348(a)(2)(A)(ii)—that a function or duty is one “required
56 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
by statute to be performed by the applicable officer (and only
that officer)”—do not mean that the functions and duties that
may not be ratified are limited to those that Congress has
affirmatively deemed nondelegable. Congress’s use of
“delegate” in § 3347(b) “shows that when Congress
intended to” refer to delegable duties, “it knew how to do
so.” Custis v. United States, 511 U.S. 485, 492 (1994). The
majority’s failure to account for the variation between
§§ 3347(b) and 3348(a)(2) further confirms that it adopts a
strained reading of the statutory text.
3
A third rule that counsels against my colleagues’
interpretation is that we must not adopt a reading that renders
an ambiguous provision “almost a nullity.” Hernandez v.
Williams, Zinman & Parham PC, 829 F.3d 1068, 1077 (9th
Cir. 2016); see also Henderson v. United States, 568 U.S.
266, 281 (2013) (Scalia, J., dissenting) (“A rudimentary
principle of textual interpretation . . . is that if one
interpretation of an ambiguous provision causes it to serve a
purpose consistent with the entire text, and the other
interpretation renders it pointless, the former prevails.”).
The majority recognizes that its conclusion “limit[s] the
scope” of the ratification bar. But this concession buries the
lede. The majority actually renders the ratification bar all
but inoperative by making it applicable only to a
“vanishingly small” number of functions and duties.
Arthrex, 35 F.4th at 1337 (citation omitted).
Undeterred, the majority insists it “does not leave the
FVRA toothless” because actions not subject to the
ratification bar under the majority’s interpretation of
“function or duty” “can still be found without legal force
based on other provisions of the FVRA” and “remain
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 57
voidable on other grounds.” But the majority fails to identify
what other statutory basis exists in the FVRA that allows
courts to find actions “voidable.” The cases the majority
cites do not support its position because each of them
expressly states that whether the agency’s action was
voidable was not at issue. See SW Gen., 580 U.S. at 298 n.2
(declining to reach whether NLRB action was voidable
under the FVRA because the NLRB “did not seek certiorari
on this issue”); SW Gen., Inc. v. NLRB, 796 F.3d 67, 79 (D.C.
Cir. 2015) (assuming without deciding that NLRB action
was voidable under the FVRA), aff’d, 580 U.S. 288 (2017);
Hooks v. Kitsap Tenant Support Servs., Inc., 816 F.3d 550,
564 (9th Cir. 2016) (deeming NLRB action voidable under
the FVRA because the NLRB did not contest that remedy). 3
My colleagues speculate that their interpretation of
“function or duty” might not wind up frustrating the FVRA’s
remedial scheme because, depending on the circumstances,
the Administrative Procedure Act might invalidate agency
actions taken by improperly serving officers. This sidesteps
our task, which is to interpret the statute before us and to
adopt a permissible reading that allows it to be understood
as a harmonious whole. Whether other statutes may provide
means of redress says nothing about the correct
interpretation of the FVRA.
The concurrence relies on legislative history contained
in a Senate committee report addressing a prior version of
the bill that became the FVRA, and concludes that the report
supports the majority’s reading of “function or duty.” See S.
3
These courts did not consider the meaning of the ratification bar
because the General Counsel of the NLRB is one of several offices the
FVRA exempts from the penalty provisions of § 3348(d). See
§ 3348(e)(1).
58 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
Rep. No. 105-250 (1998). Although the Senate report refers
to nondelegable functions and duties, it does so in reference
to a different subsection of the bill, § 3348(b), that addresses
a scenario not raised by the present case. 4 See id. at 17–18.
The reference the concurrence calls out demonstrates
that Congress knew precisely how to refer to nondelegable
duties, and yet it did not use those words in the text
§ 3348(a)(2). When the Federal Circuit considered the
meaning of “function or duty” in the FVRA, it noted the
same language in the Senate report. See Arthrex, 35 F.4th at
1336–37. Far from conclusive, the Federal Circuit found
that the references to nondelegable duties in the Senate
4
Section 3348(b) requires that a Senate-confirmed agency head take on
all functions and duties of a vacant subordinate office unless an acting
officer fills the vacant subordinate office pursuant to the FVRA’s
succession rules. 5 U.S.C. § 3348(b). The Senate report contemplates,
however, that the functions and duties the agency head must perform are
limited to “the non-delegable functions or duties of the [subordinate]
officer.” S. Rep. No. 105-250, at 18. The report reflects the concerns of
committee members who worried that “administrative paralysis” would
result if an agency head were forced to perform the numerous delegable
functions and duties of vacant subordinate offices. S. Rep. No. 105-250,
at 31. When addressing the duties subject to the ratification bar, the
Senate report makes clear that the committee was treating the situation
in the present case—where the agency head lacks valid acting
authority—differently from a situation where a subordinate officer lacks
valid acting authority pursuant to § 3348(b). The Senate report states
that when one who, “not being the agency head” “perform[s]
nondelegable duties of” a subordinate office—in violation of
§ 3348(b)—the ratification bar applies. Id. at 19. But it also provides,
without limitation, that “the successor in the office by virtue of his
appointment by the President by and with the advice and the consent of
the Senate may not ratify the actions of a person who filled the office in
violation of the legislation’s provisions.” Id.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 59
report merely revealed the “competing narratives in the
legislative history.” Id. at 1337.
The concurrence nevertheless sees unequivocal support
for the majority’s interpretation in the Senate report,
overlooking that the report leaves no doubt that the Senate
committee’s unambiguous aim was to avoid the very result
that the majority urges here. Specifically, the report explains
that the FVRA was intended “[t]o ensure an effective
enforcement mechanism and to overturn the recent decision
of the United States Court of Appeals for the District of
Columbia Circuit in Doolin Security Savings Bank v. Office
of Thrift Supervision, 139 F.3d 203 (D.C. Cir. 1998).” S.
Rep. No. 105-250, at 11. In Doolin, the D.C. Circuit
addressed a challenge to an order issued by the now-defunct
Office of Thrift Supervision (OTS). 139 F.3d at 204. An
acting director of OTS initiated administrative enforcement
proceedings against a bank and resigned two and a half years
later, before adopting an administrative law judge’s
recommended decision. Id. The President invoked the
Vacancies Act to name a new acting director, and that
director issued a final opinion and cease and desist order
against the bank. Id. The bank appealed and argued that the
cease and desist order was void because the first acting
director—who initiated the enforcement action—was not
appointed pursuant to the Vacancies Act and because the
second acting director—who signed the final order—was
appointed after the President’s authority under the Vacancies
Act had expired. Id. at 207, 211. The D.C. Circuit held that
the second acting director was validly appointed pursuant to
the Vacancies Act. Id. at 211. The court further held that
any violation of the Vacancies Act with respect to the first
acting director was harmless because the second acting
director ratified his predecessor’s initiation of the
60 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
enforcement action when he issued the final cease and desist
order. Id. at 211, 214.
The Senate report makes plain the committee’s reaction
to Doolin’s ratification holding: “if any subsequent acting
official or anyone else can ratify the actions of a person who
served beyond the length of time provided by the Vacancies
Act, then no consequence will derive from an illegal acting
designation.” S. Rep. No. 105-250, at 8. The Senate report
explains that the committee included the ratification bar in
the FVRA because it was “concerned that the ratification
approach taken by the court in Doolin would render
enforcement of the [FVRA] a nullity in many instances.” Id.
at 20. Thus, if the legislative history in the Senate report is
considered, it does not support the majority’s conclusion that
the Act permits end runs around the ratification bar. To the
contrary, because the function at issue in Doolin was one the
OTS director could have delegated to a subordinate, the
committee’s intent to overrule Doolin makes clear that it
could not have intended the ratification bar to be limited to
only those actions taken in the performance of nondelegable
duties. 5
5
OTS’s authorizing statutes vested in the director the “power to enforce”
the agency’s statutes and regulations, 12 U.S.C. § 1464(d)(1)(A) (1994),
and to “issue such orders” as necessary, 12 U.S.C. § 1462a(b)(2) (1994).
Just as with DHS in this case, Congress permitted the OTS director to
“delegate to any employee, representative, or agent any” of the director’s
powers. Id. § 1462a(h)(4)(A)(ii). Indeed, the first acting director
obtained his purported authority when the outgoing director “delegated
to him ‘all the powers of the Director’” pursuant to § 1462a(h)(4)(A)(ii).
Doolin, 139 F.3d at 211. Thus, the acting director who initiated the
enforcement action in Doolin was exercising a delegable function. Yet,
under the majority’s view, the FVRA’s ratification bar still would not
prevent ratification of that acting director’s actions.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 61
Our analysis should be grounded in the Act’s text and
structure. The permissible reading of “function or duty” that
allows the FVRA’s provisions to work together is also the
plainest reading of the words Congress used: when officials
improperly serve in positions that require presidential
appointment and Senate confirmation, the FVRA bars
ratification of actions those officials take in performing any
function or duty that Congress required a single officer to
perform.
C
This reading of the ratification bar is further confirmed
by “the context in which [the FVRA] was enacted and the
purposes it was designed to accomplish.” Jones v. R.R.
Donnelley & Sons Co., 541 U.S. 369, 377 (2004) (turning to
context and purpose after deeming statutory text
ambiguous). As the Supreme Court has explained, the
FVRA was Congress’s response to the Executive Branch
allowing acting officers to serve well past the deadlines in
the Vacancies Act and using vesting-and-delegation statutes
to entirely circumvent the Vacancies Act’s grace period. See
SW Gen., 580 U.S. at 294–95; see also Rosenberg at 1–3.
Indeed, the Vacancies Act lacked any enforcement
mechanism, see 15 Stat. 168, and the remedial provision in
§ 3348(d) was the key innovation of the FVRA.
With this context, the clear purpose of the FVRA is to
allow for the limited use of acting officers while
strengthening protection of the Senate’s advice-and-consent
role, in part by encouraging the advancement of nominees
by adding consequences for the Executive Branch’s
noncompliance. See SW Gen., 580 U.S. at 295–96. To
further this purpose, the ratification bar must extend to the
duties Congress grants to a single officer—and not to those
62 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
functions and duties granted to multiple officers. The
majority’s limitation of the ratification bar to only those
duties that Congress expressly deems nondelegable guts the
FVRA. See N.Y. State Dep’t of Soc. Servs. v. Dublino, 413
U.S. 405, 419–20 (1973) (“We cannot interpret federal
statutes to negate their own stated purposes.”).
At least some agencies have applied the majority’s
interpretation of the FVRA to continue operating as if the
statute had never been enacted. For example, when there
have been vacancies in both the Director and Deputy
Director positions in the United States Patent and Trademark
Office (USPTO), the agency has used the Commissioner of
Patents to perform the duties of the Director and explained
that the Commissioner “has not been, and need not be,
appointed ‘Acting Director’ of the USPTO under the
[FVRA].” 6 Though Congress required only the Director to
perform these duties, see, e.g., 35 U.S.C. § 3(a)(2)(A), the
USPTO asserted that it need not comply with the FVRA
because compliance with the Act “is only needed” when
there are duties “that are exclusive to that particular [Senate-
confirmed] Officer” and “[a]ll of the Director[’s] duties . . .
are delegable (i.e., non-exclusive) duties.” 7 Other agencies
have adopted a similar practice. See, e.g., Bullock v. U.S.
Bureau of Land Mgmt., 489 F. Supp. 3d 1112, 1128–29 (D.
Mont. 2020) (finding that a deputy director of the Bureau of
Land Management violated the FVRA when he used general
6
See Notice of Delegation of Functions and Duties at the USPTO, U.S.
Pat. & Trademark Off. (Nov. 22, 2013),
www.uspto.gov/trademarks/trademark-updates-and-
announcements/notice-delegation-functions-and-duties-uspto
[https://perma.cc/77BE-CS8J] (USPTO Notice).
7
See USPTO Notice.
GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS 63
delegation authority to perform the duties of the vacant
Director’s office). This is the precise end-run that § 3347(b)
was enacted to prevent. 8
I recognize that the ratification bar is a harsh
consequence and that the interpretation I advance has the
potential to imperil many agency actions if an official has
served in violation of the Act. I also recognize that the
lengthy confirmation process, and the large number of
Executive positions requiring Senate confirmation,
necessitates reliance on acting officers to keep the wheels of
our federal government turning. But the ratification bar only
kicks in if an agency does not follow the FVRA’s chain of
succession or if an acting officer serves for longer than 210
days. The Act also accounts for the uncertainties of the
confirmation process: if an initial nominee is rejected or
returned by the Senate, or withdraws from consideration, the
210-day limit starts anew. See § 3346(b)(1). Once a second
nominee is submitted to the Senate, the acting officer may
continue to serve until the nominee is confirmed or for 210
days after the second nominee is rejected, returned, or
withdrawn. § 3346(b)(2). The FVRA’s design thus prevents
the President from simply failing to nominate a permanent
officer for the Senate’s consideration. There have been a
8
The concurrence notes that Professor Anne Joseph O’Connell has
written that broad delegations of authority “appear[] to provide an easy
workaround” to the FVRA. Anne Joseph O’Connell, Actings, 120
Colum. L. Rev. 613, 633 (2020). But Professor O’Connell explained
that she only “treats [agencies’ delegation practices] as permissible
(though not necessarily desirable) under the” FVRA because they “are
pervasive and have largely been upheld by the limited courts to consider
them.” Id. at 633 n.105. Professor O’Connell’s careful observation
about Executive Branch practice and the nascent state of the relevant
caselaw did not endorse of agencies’ circumvention of the FVRA nor
analyze the Act’s definition of “function or duty.”
64 GONZALES & GONZALES BONDS & INS. AGENCY, INC. V. USDHS
few notable exceptions, but officials serving in violation of
the Act have not been common.
D
With the meaning of “function or duty” in hand, the
outcome of this appeal is straightforward. Chad Wolf was
without authority to issue the surety bonds rule because he
was not properly acting as DHS Secretary under the FVRA.
Congress directed only the DHS Secretary to promulgate
surety bond rules. See 8 U.S.C. § 1103(a)(3). The issuance
of surety bonds rules is a “function or duty” of the DHS
Secretary within the meaning of § 3348(a)(2), so it follows
under § 3348(d) that Wolf’s promulgation of the surety
bonds rule was without force or effect and could not be
ratified by Wolf’s successor.
III
I would affirm the district court’s order granting
Plaintiff-Appellees’ motion for summary judgment.
Accordingly, I respectfully dissent.
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT GONZALES & GONZALES BONDS No.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT GONZALES & GONZALES BONDS No.