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SUPREME COURT OF THE UNITED STATES
_________________
No. 10–1024
_________________
FEDERAL AVIATION ADMINISTRATION, et al.,
PETITIONERS
v. STANMORE CAWTHON COOPER
on writ of certiorari to the united states
court of appeals for the ninth circuit
[March 28, 2012]
Justice Alito delivered the opinion of the
Court.
The Privacy Act of 1974, codified in part at 5
U. S. C. §552a, contains a comprehensive and detailed set
of requirements for the management of confidential records held by
Executive Branch agencies. If an agency fails to comply with those
requirements “in such a way as to have an adverse effect on an
individual,” the Act authorizes the individual to bring a civil
action against the agency. §552a(g)(1)(D). For violations found to
be “intentional or willful,” the United States is liable for
“actual damages.” §552a(g)(4)(A). In this case, we must decide
whether the term “actual damages,” as used in the Privacy Act,
includes damages for mental or emotional distress. We hold that it
does not.
I
The Federal Aviation Administration (FAA)
requires pilots to obtain a pilot certificate and medical
certificate as a precondition for operating an aircraft. 14 CFR
§§61.3(a), (c) (2011). Pilots must periodically renew their medical
certificates to ensure compliance with FAA medical standards. See
§61.23(d). When applying for renewal, pilots must disclose any
illnesses, disabilities, or surgeries they have had, and they must
identify any medications they are taking. See 14 CFR pt. 67.
Respondent Stanmore Cooper has been a private
pilot since 1964. In 1985, he was diagnosed with a human im-
munodeficiency virus (HIV) infection and began taking
antiretroviral medication. At that time, the FAA did not issue
medical certificates to persons with respondent’s condition.
Knowing that he would not qualify for renewal of his medical
certificate, respondent initially grounded himself and chose not to
apply. In 1994, however, he ap- plied for and received a medical
certificate, but he did so without disclosing his HIV status or his
medication. He renewed his certificate in 1998, 2000, 2002, and
2004, each time intentionally withholding information about his
condition.
When respondent’s health deteriorated in 1995,
he applied for long-term disability benefits under Title II of the
Social Security Act, 42 U. S. C. §401
et seq.
To substantiate his claim, he disclosed his HIV status to the
Social Security Administration (SSA), which awarded him benefits
for the year from August 1995 to August 1996.
In 2002, the Department of Transportation (DOT),
the FAA’s parent agency, launched a joint criminal investigation
with the SSA, known as “Operation Safe Pilot,” to identify
medically unfit individuals who had obtained FAA certifications to
fly. The DOT gave the SSA a list of names and other identifying
information of 45,000 licensed pilots in northern California. The
SSA then compared the list with its own records of benefit
recipients and compiled a spreadsheet, which it gave to the
DOT.
The spreadsheet revealed that respondent had a
current medical certificate but had also received disability
benefits. After reviewing respondent’s FAA medical file and his SSA
disability file, FAA flight surgeons determined in 2005 that the
FAA would not have issued a medical cer- tificate to respondent had
it known his true medical condition.
When investigators confronted respondent with
what had been discovered, he admitted that he had intention- ally
withheld from the FAA information about his HIV status and other
relevant medical information. Because of these fraudulent
omissions, the FAA revoked respondent’s pilot certificate, and he
was indicted on three counts of making false statements to a
Government agency, in violation of 18
placecountry-regionU. S. C. §1001. Respondent ultimately
pleaded guilty to one count of making and delivering a false
official writing, in violation of §1018. He was sentenced to two
years of probation and fined $1,000.[
1]
Claiming that the FAA, DOT, and SSA (hereinafter
Government) violated the Privacy Act by sharing his records with
one another, respondent filed suit in the United States District
Court for the Northern District of California. He alleged that the
unlawful disclosure to the DOT of his confidential medical
information, including his HIV status, had caused him “humiliation,
embarrassment, mental anguish, fear of social ostracism, and other
severe emotional distress.” App. to Pet. for Cert. 120a. Notably,
he did not allege any pecuniary or economic loss.
The District Court granted summary judgment
against respondent. 816 F. Supp. 2d 778, 781 (2008). The court
concluded that the Government had violated the Privacy Act and that
there was a triable issue of fact as to whether the violation was
intentional or willful.[
2] But
the court held that respondent could not recover damages because he
alleged only mental and emotional harm, not economic loss. Finding
that the term “actual damages” is “facially ambiguous,”
id.,
at 791, and relying on the sovereign immunity canon, which provides
that waivers of sovereign immunity must be strictly construed in
favor of the Government, the court concluded that the Act does not
authorize the recovery of damages from the Government for
nonpecuniary mental or emotional harm.
The United States Court of Appeals for the Ninth
Circuit reversed and remanded. 622 F.3d 1016, 1024 (2010). The
court acknowledged that the term “actual damages” is a
“ ‘chameleon’ ” in that “its meaning changes with the
specific statute in which it is found.”
Id., at 1029. But
the court nevertheless held that, as used in the Privacy Act, the
term includes damages for mental and emotional distress. Looking to
what it described as “[i]ntrinsic” and “[e]xtrinsic” sources,
id., at 1028, 1031, the court concluded that the meaning of
“actual damages” in the Privacy Act is not ambiguous and that “a
construction that limits recovery to pecuniary loss” is not
“plausible,”
id., at 1034.
The Government petitioned for rehearing or
rehearing en banc, but a divided court denied the petition.
Id., at 1019. The Government then petitioned for certiorari,
and we granted review. 564 U. S. ___ (2011).
II
Because respondent seeks to recover monetary
compensation from the Government for mental and emotional harm, we
must decide whether the civil remedies provision of the Privacy Act
waives the Government’s sovereign immunity with respect to such a
recovery.
A
We have said on many occasions that a waiver
of sovereign immunity must be “unequivocally expressed” in
statutory text. See,
e.g., Lane v.
Peña,
518 U.S.
187, 192 (1996);
United States v.
Nordic Village,
Inc.,
503 U.S.
30, 33 (1992);
Irwin v.
Department of Veterans
Affairs,
498 U.S.
89, 95 (1990). Legislative history cannot supply a waiver that
is not clearly evident from the language of the statute.
Lane,
supra, at 192. Any ambiguities in the statutory
language are to be construed in favor of immu- nity,
United
States v.
Williams,
514 U.S.
527, 531 (1995), so that the Government’s consent to be sued is
never en- larged beyond what a fair reading of the text requires,
Ruckelshaus v.
Sierra Club,
463
U.S. 680, 685–686 (1983) (citing
Eastern Transp. Co. v.
United States,
272 U.S.
675, 686 (1927)). Ambiguity exists if there is a plausible
interpretation of the statute that would not authorize money
damages against the Government.
Nordic Village,
supra, at 34, 37.
The question that confronts us here is not
whether Congress has consented to be sued for damages under the
Privacy Act. That much is clear from the statute, which expressly
authorizes recovery from the Government for “actual damages.”
Rather, the question at issue concerns the
scope of that
waiver. For the same reason that we refuse to enforce a waiver that
is not unambiguously expressed in the statute, we also construe any
ambiguities in the scope of a waiver in favor of the sovereign.
Lane,
supra, at 192.
Although this canon of interpretation requires
an unmistakable statutory expression of congressional intent to
waive the Government’s immunity, Congress need not state its intent
in any particular way. We have never required that Congress use
magic words. To the contrary, we have observed that the sovereign
immunity canon “is a tool for interpreting the law” and that it
does not “displac[e] the other traditional tools of statutory
construction.”
Richlin Security Service Co. v.
Chertoff,
553 U.S.
571, 589 (2008). What we thus require is that the scope of
Congress’ waiver be clearly discernable from the statutory text in
light of traditional interpretive tools. If it is not, then we take
the interpretation most favorable to the Government.
B
The civil remedies provision of the Privacy
Act provides that, for any “intentional or willful” refusal or
failure to comply with the Act, the United States shall be liable
for “actual damages sustained by the individual as a result of the
refusal or failure, but in no case shall a person entitled to
recovery receive less than the sum of $1,000.” 5 U. S. C.
§552a(g)(4)(A). Because Congress did not define “actual damages,”
respondent urges us to rely on the ordinary meaning of the word
“actual” as it is defined in standard general-purpose dictionaries.
But as the Court of Appeals explained, “actual damages” is a legal
term of art, 622 F. 3d, at 1028, and it is a “cardinal rule of
statutory construction” that, when Congress employs a term of art,
“ ‘it presumably knows and adopts the cluster of ideas that
were attached to each borrowed word in the body of learning from
which it was taken,’ ”
Molzof v.
United States,
502 U.S.
301, 307 (1992) (quoting
Morissette v.
United
States,
342 U.S.
246, 263 (1952)).
Even as a legal term, however, the meaning of
“actual damages” is far from clear. The latest edition of Black’s
Law Dictionary available when Congress enacted the Privacy Act
defined “actual damages” as “[r]eal, substantial and just damages,
or the amount awarded to a complainant in compensation for his
actual and real loss or injury, as opposed on the one hand to
‘nominal’ damages, and on the other to ‘exemplary’ or ‘punitive’
damages.” Black’s Law Dictionary 467 (rev. 4th ed. 1968). But this
general (and notably circular) definition is of little value here
because, as the Court of Appeals accurately observed, the precise
meaning of the term “changes with the specific statute in which it
is found.” 622 F. 3d, at 1029.
The term is sometimes understood to include
nonpecuniary harm. Take, for instance, some courts’ interpretations
of the Fair Housing Act (FHA), 42 U. S. C. §3613(c), and
the Fair Credit Reporting Act (FCRA), 15 U. S. C.
§§1681n, 1681
o. A number of courts have construed “actual”
damages in the remedial provisions of both statutes to include
compensation for mental and emotional distress. See,
e.g.,
Seaton v.
Sky Realty Co., 491 F.2d 634, 636–638 (CA7
1974) (authorizing compensatory damages under the FHA, 42
U. S. C. §3612, the predecessor to §3613, for
humiliation);
Steele v.
Title Realty Co., 478 F.2d
380, 384 (CA10 1973) (stating that damages under the FHA “are not
limited to out-of-pocket losses but may include an award for
emotional distress and humiliation”);
Thompson v.
San
Antonio Retail Merchants Assn., 682 F.2d 509, 513–514 (CA5
1982)
(per curiam) (explaining that, “[e]ven when there
are no out-of-pocket expenses, humiliation and mental distress do
constitute recoverable elements of damage” under the FCRA);
Millstone v.
O’Hanlon Reports, Inc., 528 F.2d 829,
834–835 (CA8 1976) (approving an award of damages under the FCRA
for “loss of sleep, nervousness, frustration and mental
anguish”).
In other contexts, however, the term has been
used or construed more narrowly to authorize damages for only
pecuniary harm. In the wrongful-death provision of the Federal Tort
Claims Act (FTCA), for example, Congress authorized “actual or
compensatory damages, measured by the pecuniary injuries resulting
from such death.” 28 U. S. C. §2674, ¶2. At least one
court has defined “actual damages” in the Copyright Act of 1909, 17
U. S. C. §101(b) (1970 ed.), as “the extent to which the
market value of a copyrighted work has been injured or destroyed by
an infringement.”
Frank Music Corp. v.
Metro-Goldwyn-Mayer, Inc., 772 F.2d 505, 512 (CA9 1985); see
also
Mackie v.
Rieser,
296 F.3d 909,
917 (CA9 2002) (holding that “ ‘hurt feelings’ over the
nature of the infringement” have no place in the actual damages
calculus). And some courts have construed “actual damages” in the
Securities Exchange Act of 1934, 15 U. S. C. §78bb(a), to
mean “some form of economic loss.”
Ryan v.
Foster &
Marshall, Inc., 556 F.2d 460, 464 (CA9 1977); see also
Osofsky v.
Zipf, 645 F.2d 107, 111 (CA2 1981)
(stating that the purpose of §78bb(a) “is to compensate civil
plaintiffs for economic loss suffered as a result of wrongs
committed in violation of the 1934 Act”);
Herpich v.
Wallace, 430 F.2d 792, 810 (CA5 1970) (noting that the
“gist” of an action for damages under the Act is “economic
injury”).[
3]
Because the term “actual damages” has this
chameleon-like quality, we cannot rely on any all-purpose
definition but must consider the particular context in which the
term appears.[
4]
C
The Privacy Act directs agencies to establish
safeguards to protect individuals against the disclosure of
confiden- tial records “which could result in substantial harm,
embarrassment, inconvenience, or unfairness to any indi- vidual on
whom information is maintained.” 5 U. S. C. §552a(e)(10);
see also §2(b), 88Stat. 1896 (stating that the “purpose of this Act
is to provide certain safeguards for an individual against an
invasion of personal privacy”). Because the Act serves interests
similar to those protected by defamation and privacy torts, there
is good reason to infer that Congress relied upon those torts in
drafting the Act.
In
Doe v.
Chao,
540 U.S.
614 (2004), we held that the Privacy Act’s remedial provision
authorizes plaintiffs to recover a guaranteed minimum award of
$1,000 for violations of the Act, but only if they prove at least
some “actual damages.”
Id., at 620, 627; see §552a(g)(4)(A).
Although we did not address the meaning of “actual damages,”
id., at 622, n. 5, 627, n. 12, we observed that
the provision “parallels” the remedial scheme for the common-law
torts of libel
per quod and slander, under which plaintiffs
can recover “general damages,” but only if they prove “special
harm” (also known as “special damages”),
id., at 625; see
also 3 Restatement of Torts §575, Comments
a and
b
(1938) (hereinafter Restatement); D. Dobbs, Law of Remedies §7.2,
pp. 511–513 (1973) (hereinafter Dobbs).[
5] “Special damages” are limited to actual pecuniary loss,
which must be specially pleaded and proved. 1 D. Haggard, Cooley on
Torts §164, p. 580 (4th ed. 1932) (hereinafter Cooley).[
6] “General damages,” on the other
hand, cover “loss of reputation, shame, mortification, injury to
the feelings and the like and need not be alleged in detail and
require no proof.”
Id., §164, at 579.[
7]
This parallel between the Privacy Act and the
common-law torts of libel
per quod and slander suggests the
possibility that Congress intended the term “actual damages” in the
Act to mean special damages. The basic idea is that Privacy Act
victims, like victims of libel
per quod or slander, are
barred from any recovery unless they can first show actual—that is,
pecuniary or material—harm. Upon showing some pecuniary harm, no
matter how slight, they can recover the statutory minimum of
$1,000, presumably for any unproven harm. That Congress would
choose to use the term “actual damages” instead of “special
damages” was not without precedent. The terms had occasionally been
used interchangeably. See,
e.g., Wetzel v.
Gulf Oil
Corp., 455 F.2d 857, 862 (CA9 1972) (holding that plaintiff
could not establish libel
per quod because he “did not
introduce any valid and sufficient evidence of actual damage”);
Electric Furnace Corp. v.
Deering Milliken Research
Corp., 325 F.2d 761, 765 (CA6 1963) (stating that “libel per
quod standing alone without proof of actual damages . . .
will not support a verdict for the plaintiff”);
M & S Furniture Sales Co. v.
Edward J. De Bartolo Corp., 249 Md. 540, 544, 241 A.2d 126,
128 (1968) (“In the case of words or conduct actionable only
per
quod, the injurious effect must be established by allegations
and proof of special damage and in such cases it is not only
necessary to plead and show that the words or actions were
defamatory, but it must also appear that such words or conduct
caused actual damage”);
Clementson v.
Minnesota Tribune
Co., 45 Minn. 303, 47 N.W. 781 (1891) (distinguishing “actual,
or, as they are sometimes termed, ‘special,’ damages” from “general
damages—that is, damages not pecuniary in their nature”).[
8]
Any doubt about the plausibility of construing
“actual damages” in the Privacy Act synonymously with “special
damages” is put to rest by Congress’ refusal to authorize “general
damages.” In an uncodified section of the Act, Congress established
the Privacy Protection Study Commission to consider, among other
things, “whether the Federal Government should be liable for
general dam- ages.” §5(c)(2)(B)(iii), 88Stat. 1907, note following
5 U. S. C. §552a, p. 712. As we explained in
Doe,
“Congress left the question of general damages . . . for
another day.” 540 U. S., at 622. Although the Commission later
recom- mended that general damages be allowed,
ibid.,
n. 4, Congress never amended the Act to include them. For that
reason, we held that it was “beyond serious doubt” that general
damages are not available for violations of the Privacy Act.
Id., at 622.
By authorizing recovery for “actual” but not for
“general” damages, Congress made clear that it viewed those terms
as mutually exclusive. In actions for defamation and related
dignitary torts, two categories of compensa- tory damages are
recoverable: general damages and special damages. Cooley §164, at
579; see also 4 Restatement §867, Comment
d (1939) (noting
that damages for interference with privacy “can be awarded in the
same way in which general damages are given for
defamation”).[
9] Because
Congress declined to authorize “general damages,” we think it
likely that Congress intended “actual dam- ages” in the Privacy Act
to mean special damages for proven pecuniary loss.
Not surprisingly, this interpretation was
accepted by the Privacy Protection Study Commission, an expert body
authorized by Congress and highly sensitive to the Act’s goals. The
Commission understood “actual damages” in the Act to be “a synonym
for special damages as that term is used in defamation cases.”
Personal Privacy in an Information Society: The Report of the
Privacy Protection Study Commission 530 (July 1977); see also
ibid. (“The legislative history and language of the Act
suggest that Congress meant to restrict recovery to specific
pecuniary losses until the Commission could weigh the propriety of
extending the standard of recovery”). Although we are not bound in
any way by the Commission’s report, we think it confirms the
reasonableness of interpreting “actual damages” in the unique
context of the Privacy Act as the equivalent of special
damages.
D
We do not claim that the contrary reading of
the statute accepted by the Court of Appeals and advanced now by
respondent is inconceivable. But because the Privacy Act waives the
Federal Government’s sovereign immunity, the question we must
answer is whether it is plausible to read the statute, as the
Government does, to authorize only damages for economic loss.
Nordic Village, 503 U. S., at 34, 37. When waiving the
Government’s sovereign immunity, Congress must speak unequivocally.
Lane, 518 U. S., at 192. Here, we conclude that it did
not. As a consequence, we adopt an interpretation of “actual
damages” limited to proven pecuniary or economic harm. To do
otherwise would expand the scope of Congress’ sovereign immunity
waiver beyond what the statutory text clearly requires.
III
None of respondent’s contrary arguments
suffices to overcome the sovereign immunity canon.
A
Respondent notes that the term “actual
damages” has often been defined broadly in common-law cases, and in
our own, to include all compensatory damages. See Brief for
Respondent 18–25. For example, in
Birdsall v.
Coolidge,
93 U.S. 64
(1876), a patent infringement case, we observed that
“[c]ompensatory damages and actual damages mean the same thing.”
Ibid. And in
Gertz v.
Robert Welch, Inc.,
418 U.S.
323 (1974), we wrote that actual injury in the defamation
context “is not limited to out-of-pocket loss” and that it
customarily includes “impairment of reputation and standing in the
community, personal humiliation, and mental anguish and suffering.”
Id., at 350.
These cases and others cited by respondent stand
for the unremarkable point that the term “actual damages”
can include nonpecuniary loss. But this generic meaning does
not establish with the requisite clarity that the Privacy Act, with
its distinctive features, authorizes damages for mental and
emotional distress. As we already explained, the term “actual
damages” takes on different meanings in different contexts.
B
Respondent’s stronger argument is that the
exclusion of “general damages” from the statute simply means that
there can be no recovery for presumed damages. Privacy Act victims
can still recover for mental and emotional distress, says
respondent, so long as it is proved. See Brief for Respondent
54–56.[
10]
This argument is flawed because it suggests that
proven mental and emotional distress does not count as
general damages. The term “general damages” is not limited to
compensation for unproven injuries; it includes compensation for
proven injuries as well. See 3 Restatement §621, Comment
a
(noting that general damages compensate for “harm which
. . . is proved, or, in the absence of proof, is assumed
to have caused to [the plaintiff’s] reputation”). To be sure,
specific proof of emotional harm is not required to recover general
damages for dignitary torts. Dobbs §7.3, at 529. But it does not
follow that general damages cannot be recovered for emotional harm
that is actually proved.
Aside from the fact that general damages need
not be proved, what distinguishes those damages, whether proved or
not, from the only other category of compensa- tory damages
available in the relevant common-law suits is the
type of
harm. In defamation and privacy cases, “the affront to the
plaintiff’s dignity and the emotional harm done” are “called
general damages, to distinguish them from proof of actual economic
harm,” which is called “special damages.”
Id., §3.2, at 139;
see also
supra, at 10, 12–13, and nn. 6, 7, 9.
Therefore, the converse of general damages is special damages, not
all proven damages, as respondent would have it. Because Congress
removed “general damages” from the Act’s remedial provision, it is
reasonable to infer that Congress foreclosed recovery for
nonpecuniary harm, even if such harm can be proved, and instead
waived the Government’s sovereign immunity only with respect to
harm compensable as special damages.
C
Looking beyond the Privacy Act’s text,
respondent points to the use of the term “actual” damages in the
remedial provisions of the FHA, 42 U. S. C. §3613(c), and
the FCRA, 15 U. S. C. §§1681n, 1681
o. As
previously mentioned, courts have held that “actual” damages within
the meaning of these statutes include compensation for mental and
emotional distress.
Supra, at 7. Citing the rule of
construction that Congress intends the same language in similar
statutes to have the same meaning, see
Northcross v.
Board of Ed. of Memphis City Schools,
412 U.S.
427, 428 (1973)
(per curiam), respondent argues
that the Privacy Act should also be interpreted as authorizing
damages for mental and emotional distress. See Brief for Respondent
25–32.
Assuming for the sake of argument that these
lower court decisions are correct, they provide only weak support
for respondent’s argument here. Since the term “actual damages” can
mean different things in different contexts, statutes other than
the Privacy Act provide only limited interpretive aid, and that is
especially true here. Neither the FHA nor the FCRA contains text
that precisely mirrors the Privacy Act.[
11] In neither of those statutes did Congress
specifically decline to authorize recovery for general damages as
it did in the Privacy Act.
Supra, at 12–13. And most
importantly, none of the lower court cases interpreting the
statutes, which respondent has cited, see Brief for Respondent
29–31, involves the sovereign immunity canon.
Respondent also points to the FTCA, but the
FTCA’s general liability provision does not even use the term
“actual damages.” It instead provides that the “United States shall
be liable” for certain tort claims “in the same manner and to the
same extent as a private individual” under relevant state law. 28
U. S. C. §2674, ¶1. For that reason alone, the FTCA’s
general liability provision is not a reliable source for
interpreting the term “actual damages” in the Privacy Act. Nor does
the FTCA’s wrongful- death provision—which authorizes “actual or
compensa- tory damages, measured by the pecuniary injuries
resulting from such death,” §2674, ¶2—prove that Congress
understood the term “actual damages” in the Privacy Act to include
nonpecuniary mental and emotional harm. To the contrary, it proves
that actual damages can be understood to entail only pecuniary harm
depending on the context. Because the FTCA, like the FHA and FCRA,
does not share the same text or design as the Privacy Act, it is
not a fitting analog for construing the Act.
D
Finally, respondent argues that excluding
damages for mental and emotional harm would lead to absurd results.
Persons suffering relatively minor pecuniary loss would be entitled
to recover $1,000, while others suffering only severe and
debilitating mental or emotional distress would get nothing. See
Brief for Respondent 33–35.
Contrary to respondent’s suggestion, however,
there is nothing absurd about a scheme that limits the Government’s
Privacy Act liability to harm that can be substantiated by proof of
tangible economic loss. Respondent insists that such a scheme would
frustrate the Privacy Act’s remedial purpose, but that ignores the
fact that, by deliberately refusing to authorize general damages,
Congress intended to cabin relief, not to maximize it.[
12]
* * *
In sum, applying traditional rules of
construction, we hold that the Privacy Act does not unequivocally
authorize an award of damages for mental or emotional distress.
Accordingly, the Act does not waive the Federal Government’s
sovereign immunity from liability for such harms. We therefore
reverse the judgment of the United States Court of Appeals for the
Ninth Circuit and remand the case for further proceedings
consistent with this opinion.
It is so ordered.
Justice Kagan took no part in the consideration
or decision of this case.