LUCERO, Circuit Judge.
Arizona Secretary of State Ken Bennett and Kansas Secretary of State Kris Kobach sought, on behalf of their respective states, that the Election Assistance Commission ("EAC") add language requiring documentary proof of citizenship to each
The present appeal is the latest installment in a long-running dispute over the Federal Form. In 2004, Arizona passed Proposition 200, which requires documentary proof of citizenship for voter registration. On December 12, 2005, Arizona asked the EAC to add language to the Federal Form's state-specific instructions indicating a documentary proof of citizenship requirement. The EAC's Executive Director denied the request, leading Arizona to ask the EAC commissioners to reconsider the denial. By a 22 vote, the commissioners effectively confirmed the Executive Director's denial.
Meanwhile, various organizations and individuals, many of them Intervenor-Appellants in this case, challenged Proposition 200 in federal court. Their suit culminated in the Supreme Court holding that the National Voter Registration Act ("NVRA") "precludes Arizona from requiring a Federal Form applicant to submit information beyond that required by the form itself." ITCA, 133 S.Ct. at 2260. Anticipating this case, the Court stated: "Arizona may, however, request anew that the EAC include such a requirement among the Federal Form's state-specific instructions, and may seek judicial review of the EAC's decision under the [APA]." Id.
Just two days after the ITCA decision, Arizona again asked the EAC to include documentary proof of citizenship language as a state-specific instruction on the Federal Form. Kansas, which had enacted legislation similar to Proposition 200, made a similar contemporaneous request. Both petitions were deferred on the basis that the EAC lacked a quorum of commissioners. Kobach and Bennett then sued the EAC in the U.S. District Court for the District of Kansas, alleging that the EAC's failure to act violated the APA and that the NVRA is unconstitutional as applied. The district court ordered the EAC to issue a final agency action by January 17, 2014.
After receiving and reviewing 423 public comments, including comments from Arizona,
We review questions of statutory interpretation de novo. United States v. Porter, 145 F.3d 1035, 1040 (10th Cir. 2014). Likewise, we review district court decisions under the APA de novo. Forest Guardians v. U.S. Forest Serv., 641 F.3d 423, 428 (10th Cir.2011). Our de novo review includes the question of whether an agency acted within the scope of its authority. Wyoming v. U.S. Dep't of Agric., 661 F.3d 1209, 1227 (10th Cir.2011).
The arguments of the parties and intervenors require us to address four issues: (1) as preliminary matters, (a) is the Executive Director's decision a final agency action over which we may exercise jurisdiction, and (b) if so, is it procedurally valid, such that we may reach the merits; (2) does the EAC have a nondiscretionary duty to approve the states' requests under the NVRA; (3) is the Executive Director's decision arbitrary and capricious; and (4) is the Executive Director's decision unconstitutional?
At the outset, we must consider two broad issues: (1) whether the Executive Director's decision constituted final agency action; and (2) if so, whether the Executive Director's decision was procedurally valid.
We must first determine whether the Executive Director's decision constituted final agency action, a question that necessarily implicates our own jurisdiction. The APA authorizes judicial review only of final agency actions. Norton v. S. Utah Wilderness Alliance, 542 U.S. 55, 61-62, 124 S.Ct. 2373, 159 L.Ed.2d 137 (2004). "[T]o be final, agency action must mark the consummation of the agency's decisionmaking process, and must either determine rights or obligations or occasion legal consequences." Alaska Dep't of Envtl. Conservation v. EPA, 540 U.S. 461, 483, 124 S.Ct. 983, 157 L.Ed.2d 967 (2004) (quotations omitted).
There is a "presumption in favor of judicial review of administrative action." Block v. Cmty. Nutrition Inst., 467 U.S. 340, 348, 104 S.Ct. 2450, 81 L.Ed.2d 270 (1984); accord Painter v. Shalala, 97 F.3d 1351, 1356 (10th Cir.1996). Additionally, we construe the concept of final agency action pragmatically, rather than inflexibly. Abbott Labs. v. Gardner, 387 U.S. 136, 149-50, 87 S.Ct. 1507, 18 L.Ed.2d 681 (1967); Coal. for Sustainable Res., Inc. v. U.S. Forest Serv., 259 F.3d 1244, 1251 (10th Cir.2001); Sierra Club v. Yeutter, 911 F.2d 1405, 1417 (10th Cir.1990). Even if "the agency has not dressed its decision with the conventional procedural accoutrements of finality, its own behavior [could] belie[] the claim that its interpretation is not final." Whitman v. Am. Trucking Ass'ns, 531 U.S. 457, 479, 121 S.Ct. 903, 149 L.Ed.2d 1 (2001).
An agency cannot render its action final merely by styling it as such.
On September 12, 2008, the EAC commissioners subdelegated several responsibilities to the Executive Director, including the responsibility to "[m]aintain the Federal Voter Registration Form consistent with the NVRA and EAC Regulations and policies," in its Roles and Responsibilities Policy. The subdelegated responsibilities also included, inter alia, the responsibilities to "[m]anage the daily operations of EAC consistent with Federal statutes, regulations and EAC policies;" "[i]mplement and interpret policy directives, regulations, guidance, guidelines, manuals and other policies of general applicability issued by the commissioners;" and "[a]nswer questions from stakeholders regarding the application of NVRA or HAVA [the Help America Vote Act] consistent with EAC's published Guidance, regulations, advisories and policy[.]"
We owe deference to the EAC's interpretation of the statute it was charged with administering when it issued this policy, and to its conclusion that HAVA, the EAC's enabling statute,
Absent some indication in an agency's enabling statute that subdelegation is forbidden, subdelegation to subordinate personnel within the agency is generally permitted. Fleming v. Mohawk Wrecking & Lumber Co., 331 U.S. 111, 121, 67 S.Ct. 1129, 91 L.Ed. 1375 (1947).
Because the text of HAVA, the EAC's enabling statute, neither explicitly permits nor forbids subdelegation, subdelegation is presumed permissible. HAVA provides for an Executive Director, a General Counsel, and other staff, 52 U.S.C. § 20924, indicating that Congress contemplated some degree of subdelegation to those staff members. Cf. Norman v. United States, 392 F.2d 255, 263 (Ct.Cl.1968) (noting that Congress' authorization of a staff to assist the Secretary of the Air Force supports the conclusion that the Secretary could subdelegate his duties).
Further, in NLRB v. Duval Jewelry Co. of Miami, 357 U.S. 1, 7, 78 S.Ct. 1024, 2 L.Ed.2d 1097 (1958), the Court held that the "limited nature of the delegated authority" exercised by a subordinate official justifies upholding a delegation to such an official.
The key inquiry then involves what kind of questions the Executive Director is authorized to decide in maintaining the Federal Form. As relevant here, the EAC argues that the 2008 subdelegation permits the Executive Director to give effect to existing EAC precedent in maintaining the Federal Form by making decisions concerning the contents of the Federal Form. Specifically, the EAC contends that the Executive Director was subdelegated the authority to make decisions regarding state requests to modify the contents of the Federal Form. We agree. The authority to make decisions concerning the maintenance of the Federal Form naturally includes the authority to make decisions concerning the contents of the Federal Form. Indeed, although the states vigorously contend that the Executive Director does not have discretion to deny their requests to modify the contents of
By the time the Executive Director issued her decision purporting to act on the agency's behalf, the EAC lacked a quorum of Commissioners. This lack of a quorum rendered further review of the Executive Director's decision by the EAC Commissioners impracticable.
In Teamsters Local Union No. 455 v. NLRB, 765 F.3d 1198, 1200-01 (10th Cir. 2014), we concluded that the finality of an agency action turns in part on "whether the action's impact is direct and immediate." Id. at 1201 (quotations omitted). We reasoned that, despite questions about the agency action's procedural validity that stemmed from the agency board's composition, the action was final and reviewable because it "denied the union's requested relief, marked the end of the road for the agency's consideration of the issue, and purported to decide the union's rights under the [statute]. The order could be invalid and issued without authority, but none of that would destroy our jurisdiction to hear the case." Id.; see also George Hyman Constr. Co. v. Occupational Safety & Health Review Comm'n, 582 F.2d 834, 837 (4th Cir.1978) (holding that a commission's lack of a quorum does not render their delegee's order unappealable, because "[u]nless the order is appealable the employer is placed in a jurisdictional limbo that would prevent him from seeking judicial relief from a possibly erroneous decision"); Marshall v. Sun Petroleum Prods. Co., 622 F.2d 1176, 1179-80 (3d Cir.1980) (reaching the same conclusion).
Guided by Teamsters, we conclude that the lack of a quorum in January 2014 — though presenting a colorable question regarding the procedural validity of the Executive Director's decision, which we address infra — does not affect the finality of that decision. As in Teamsters, the decision had "direct and immediate" impact, because as soon as it was issued, it denied Kobach's and Bennett's requests to modify the Federal Form. It also marked the end of the agency's consideration of the issue and purported to decide the parties' rights under the NVRA. The Executive Director's decision therefore constitutes a final order, notwithstanding a subsequent
Finally, we assess the procedural validity of the Executive Director's decision. Kobach and Bennett argue that 52 U.S.C. § 20928's requirement that "[a]ny action which the Commission is authorized to carry out under this chapter may be carried out only with the approval of at least three of its members" renders the Executive Director's decision ultra vires because it was not approved by three commissioners. But because the decision is consistent with and relies in substantial part upon the EAC's established policies, it falls within the scope of the 2008 subdelegation, which was approved by three commissioners. Moreover, § 20928 explicitly applies only to actions authorized in the same chapter. The decision at issue in this case was authorized by 52 U.S.C. § 20508, which was contained in a different chapter of the Code when § 20928 was passed.
Moreover, because the 2008 delegation only passes limited authority to a subordinate outside the delegating group, it grants the Executive Director powers that survive the later loss of a quorum of commissioners. In New Process Steel, L.P. v. NLRB, 560 U.S. 674, 676, 130 S.Ct. 2635, 177 L.Ed.2d 162 (2010), the Supreme Court invalidated actions taken by two members of the National Labor Relations Board ("NLRB") when the statute required a quorum of at least three members to be present. However, the Court stated that its decision "does not cast doubt on the prior delegations of authority to nongroup members, such as the regional directors or the general counsel." Id. at 684 n. 4, 130 S.Ct. 2635. The Court explicitly noted that "we do not adopt the District of Columbia Circuit's equation of a quorum requirement with a membership requirement that must be satisfied or else the power of any entity to which the Board has delegated authority is suspended." Id. (citing Laurel Baye Healthcare of Lake Lanier, Inc. v. NLRB, 564 F.3d 469, 475 (D.C.Cir.2009)). All other circuits to consider the issue have rejected Laurel Baye and allowed delegations to nongroup members to survive loss of a quorum. Kreisberg v. HealthBridge Mgmt., LLC, 732 F.3d 131, 140 (2d Cir.2013); Frankl, 650 F.3d at 1354; Osthus v. Whitesell Corp., 639 F.3d 841, 844 (8th Cir.2011); Overstreet v. El Paso Disposal, L.P., 625 F.3d 844, 852-854 (5th Cir.2010).
The 2008 subdelegation parallels the "prior delegations of authority to nongroup members" that New Process Steel distinguished from the broad intra-group delegation struck down in that case. 560 U.S. at 684 n. 4, 130 S.Ct. 2635. In New Process Steel, the Court invalidated a redelegation of "all of the Board's power" by a quorum of commissioners to a subgroup of two commissioners in anticipation of impending loss of a quorum. Id. at 677, 130 S.Ct. 2635. The Court repeatedly emphasized that the power the subgroup had attempted to exercise was the full power of the agency. See 560 U.S. at 681, 130 S.Ct. 2635 (noting the "command implicit in both the delegation clause and in the Board quorum requirement that the Board's full power be vested in no fewer than three members") (emphasis added); id. at 688, 130 S.Ct. 2635 ("Congress' decision to require that the Board's full power be delegated to no fewer than three members, and to provide for a Board quorum of three, must be given practical effect rather than swept aside in the face of admittedly difficult circumstances.") (emphasis added).
In contrast, the 2008 subdelegation did not transfer the Commissioners' full power.
Our decision in Perlmutter v. Commissioner, 373 F.2d 45 (10th Cir.1967), further supports our conclusion. In Perlmutter, we upheld an agency regulation authorizing the Commissioner of Internal Revenue to "redelegate authority to perform functions, including issuance of deficiency notices, to other officers or employees under his supervision and control." Id. at 46 (quotations omitted). Perlmutter noted that "[f]rom a practical standpoint, the office of District Director cannot cease operating because of the Director's illness." Id. Similarly, it would be impractical to simply shutter the EAC while it lacks a quorum. Kobach and Bennett essentially concede as much by asking the EAC to modify the Federal Form to include their requested text despite its lack of a quorum.
In sum, we conclude that the Executive Director's decision is not only a final agency action, but also a procedurally valid action. Having determined that the Executive Director's decision is reviewable and procedurally sound, we proceed to its merits.
According to the district court's interpretation of the NVRA, the EAC lacks discretion to determine what information is "necessary" for state officials to assess an applicant's eligibility to vote. Under this reasoning, the EAC has a nondiscretionary duty to approve state requests to include state voter qualifications on the Federal Form. Exhaustive examination of the NVRA by the ITCA Court, however, is dispositive of that issue. We are compelled by ITCA to conclude that the NVRA preempts Arizona's and Kansas' state laws insofar as they require Federal Form applicants to provide documentary evidence of citizenship to vote in federal elections. Accordingly, we hold that the EAC is not compulsorily mandated to approve state-requested changes to the Federal Form.
In ITCA, the Supreme Court considered "whether the [NVRA's] requirement that States `accept and use' the Federal Form pre-empts Arizona's state-law requirement that officials `reject' the application of a prospective voter who submits a completed Federal Form unaccompanied by documentary
The Court expressly rejected the argument that states have exclusive authority to regulate elections under the Elections Clause, U.S. Const. Art. I. § 4, cl. 1. ITCA, 133 S.Ct. at 2257. Instead, the Court reaffirmed its precedent interpreting the Elections Clause to permit federal regulation of federal elections. Id. at 2253. "The Clause's substantive scope is broad. `Times, Places, and Manner,' we have written, are `comprehensive words,' which `embrace authority to provide a complete code for congressional elections,' including, as relevant here and as petitioners do not contest, regulations relating to `registration.'" Id. (quoting Smiley v. Holm, 285 U.S. 355, 366, 52 S.Ct. 397, 76 L.Ed. 795 (1932)).
Turning to the text of the NVRA, the Court "conclude[d] that the fairest reading of the statute is that a state-imposed requirement of evidence of citizenship not required by the Federal Form is `inconsistent with' the NVRA's mandate that States `accept and use' the Federal Form." Id. at 2257.
Even as the ITCA Court reaffirmed that the United States has authority under the Elections Clause to set procedural requirements for registering to vote in federal elections (i.e., that documentary evidence of citizenship may not be required), it noted that individual states retain the power to set substantive voter qualifications (i.e., that voters be citizens).
To prove preclusion, said the Court, "a State may request that the EAC alter the Federal Form to include information the State deems necessary to determine eligibility," and "may challenge the EAC's rejection of that request in a suit under the [APA]." Id. at 2259.
By contrast, the district court held that the states' averment that their requested text is necessary for enforcement was, on its own, sufficient to impose a nondiscretionary duty on the EAC. Kobach v. U.S. Election Assistance Comm'n, 6 F.Supp.3d 1252, 1271 (D.Kan.2014) ("[T]he states' determination that a mere oath is not sufficient is all the states are required to establish."). This holding is inconsistent with the Supreme Court's statements that states must "request" (rather than direct) the EAC to include the requested text, and must "establish" (rather than merely aver) their need for it. See ITCA, 133 S.Ct. at 2259-60. Moreover, the Court explained that states may "assert ... that it would be arbitrary for the EAC to refuse to include" a requested instruction, and support that assertion by comparison with other EAC decisions. Id. at 2260. Were a state's mere averments truly sufficient to obligate the EAC to grant its requests, there would be no need for states to advance and substantiate an argument that their requests had been arbitrarily refused.
We accordingly conclude that the district court incorrectly interpreted the NVRA as subjecting the EAC to a nondiscretionary duty to approve state requests. The EAC does have discretion to reject such requests, subject to judicial review of its decisions under the APA.
Next, we hold that the Executive Director's decision to reject the states' request was a consistent and valid exercise of limited subdelegated authority. Kobach and Bennett have thus failed to carry the burden ITCA establishes for them: to convince a court conducting APA review that the denial of their request precluded them from obtaining information that is "necessary"
The Executive Director's decision was an informal adjudication carried out pursuant to 5 U.S.C. § 555.
Although Kobach and Bennett complain that the Executive Director did not apply a particular standard of proof, they misunderstand the nature of informal adjudications. When an agency undertakes an informal adjudication, we require only that "the grounds upon which the agency acted ... be clearly disclosed in, and sustained by, the record." Olenhouse v. Commodity Credit Corp., 42 F.3d 1560, 1575 (10th Cir.1994). The Executive Director's detailed memorandum clearly discloses the grounds for its decision.
Kobach and Bennett also charge that the Executive Director did not accurately evaluate the evidence before her. We disagree. The Executive Director supported her conclusion in detail with evidence in the record, rationally connected that evidence to the conclusions that she drew, and was fully consistent with the EAC's own regulations and prior reasonable interpretation of the NVRA in its 2006 response to Arizona. Specifically, the Executive Director's decision discussed in significant detail no fewer than five alternatives to requiring documentary evidence of citizenship that states can use to ensure that noncitizens do not register using the Federal Form. Kobach and Bennett do not dispute that these means exist, and merely contend that they are overly onerous. But, in ITCA, the Court stated that the states must carry their burden "to establish in a reviewing court that a mere oath will not suffice." ITCA, 133 S.Ct. at 2260. Generalized complaints that the memorandum's suggested approaches present logistical difficulties do not meet ITCA's standard.
The states have failed to meet their evidentiary burden of proving that they cannot enforce their voter qualifications
Moreover, had the EAC accepted the states' requests, it would have risked arbitrariness, because Kobach and Bennett offered little evidence that was not already offered in Arizona's 2005 request, which the EAC rejected. Changing course and acceding to their requests absent relevant new facts would conflict with the EAC's earlier decision. See In re FCC 11-161, 753 F.3d at 1142 (noting that "[t]he arbitrary-and-capricious standard requires an agency to provide an adequate explanation to justify treating similarly situated parties differently" (quotation omitted)); see also Eagle Broad. Grp., Ltd. v. FCC, 563 F.3d 543, 551 (D.C.Cir.2009) (observing that "an agency may not treat like cases differently" and that "an agency's unexplained departure from precedent must be overturned as arbitrary and capricious" (citations omitted)).
Finally, we consider the states' constitutional claims. Kobach and Bennett argue that the EAC's denial creates an unconstitutional preclearance regime. See Shelby Cnty. v. Holder, ___ U.S. ___, 133 S.Ct. 2612, 2631, 186 L.Ed.2d 651 (2013). They also argue that states' constitutional powers to enforce voter qualifications trump Congress' Elections Clause power to enact regulations governing the procedures for federal elections.
Unlike the statute at issue in Shelby County, the NVRA does not require preclearance of state election laws. Cf. id. at 2624. Instead, the NVRA establishes that the Federal Form for voter registration can only be modified by the federal government, not directly by states, and that states must "accept and use" the Federal Form to register voters for federal elections. See ITCA, 133 S.Ct. at 2259. The NVRA therefore leaves Arizona and Kansas free to choose whether to impose a documentary evidence of citizenship requirement on voters in state elections.
Accordingly, Shelby County does not cast doubt on the NVRA's constitutionality as interpreted in ITCA. Rather, Shelby County cites ITCA for the proposition that the federal government retains "significant control over federal elections." Shelby County, 133 S.Ct. at 2623.
Kobach's and Bennett's argument that the states' Qualifications Clause powers
With the Supreme Court's recent precedent squarely against their position, we cannot accept Kobach's and Bennett's contention that states' Qualifications Clause powers trump Congress' Elections Clause powers. Nor can we credit their contention that the EAC's refusal to modify the Federal Form unconstitutionally precludes them from enforcing their laws intended to prevent noncitizen voting. As discussed in Section II.C, supra, there are at least five alternate means available to the states to enforce their laws, and they have not provided substantial evidence of noncitizens registering to vote using the Federal Form.
In sum, the EAC had valid authority under HAVA to subdelegate decisionmaking authority to its Executive Director relating to the contents of the Federal Form. Under the unique circumstances of this case (involving a quorum-less EAC), an appeal from the Executive Director's decision to deny the states' requests to modify the contents of the Federal Form was impracticable. Consequently, the Executive Director's decision constitutes final agency action. And that action — which fell within the bounds of the subdelegation that the EAC issued when it had a quorum — was procedurally valid. Contrary to Kobach's and Bennett's claims, the NVRA does not impose a ministerial duty on the EAC to approve state requests to change the Federal Form. The Executive Director's denial of the states' requests survives our APA review, and the states' constitutional claims are unavailing. We therefore