SOSSAMON v. TEXAS ET AL.
No. 08-1438
Supreme Court of the United States
Argued November 2, 2010—Decided April 20, 2011
563 U.S. 277
Kevin K. Russell argued the cause for petitioner. With him on the briefs were Amy Howe, Patricia A. Millett, Thomas C. Goldstein, Pamela S. Karlan, and Jeffrey L. Fisher.
Sarah E. Harrington argued the cause for the United States as amicus curiae urging reversal. With her on the brief were Acting Solicitor General Katyal, Assistant Attorney General Perez, Deputy Assistant Attorney General Bagenstos, and Jessica Dunsay Silver.
James C. Ho, Solicitor General of Texas, argued the cause for respondents. With him on the brief were Greg Abbott, Attorney General, Daniel T. Hodge, First Assistant Attorney General, David S. Morales, Deputy First Assistant Attorney General, Bill Cobb, Deputy Attorney General, and
JUSTICE THOMAS delivered the opinion of the Court.
This case presents the question whether the States, by accepting federal funds, consent to waive their sovereign immunity to suits for money damages under the Religious Land Use and Institutionalized Persons Act of 2000 (RLUIPA),
*Briefs of amici curiae urging reversal were filed for the American Civil Liberties Union et al. by Gene C. Schaerr, Steffen N. Johnson, Linda T. Coberly, Daniel Mach, David C. Fathi, David M. Shapiro, Ayesha N. Khan, K. Hollyn Hollman, James T. Gibson, Marc Stern, and Richard Foltin; for the Becket Fund for Religious Liberty by Kevin J. Hasson, Eric C. Rassbach, Hannah C. Smith, and Luke W. Goodrich; for the National Association of Evangelicals by Kelly J. Shackelford and Hiram S. Sasser III; and for Charles E. Sisney by Kathryn M. Davis, Peter R. Afrasiabi, and Richard L. Johnson.
Briefs of amici curiae urging affirmance were filed for the State of Florida et al. by Bill McCollum, Attorney General of Florida, Scott D. Makar, Solicitor General, and Courtney Brewer, Deputy Solicitor General, and by the Attorneys General for their respective States as follows: Troy King of Alabama, Daniel S. Sullivan of Alaska, Terry Goddard of Arizona, Edmund G. Brown, Jr., of California, John W. Suthers of Colorado, Thurbert E. Baker of Georgia, Mark J. Bennett of Hawaii, Lawrence G. Wasden of Idaho, Lisa Madigan of Illinois, Gregory F. Zoeller of Indiana, Janet T. Mills of Maine, Douglas F. Gansler of Maryland, Michael A. Cox of Michigan, Jim Hood of Mississippi, Steve Bullock of Montana, Jon Bruning of Nebraska, Catherine Cortez Masto of Nevada, Michael A. Delaney of New Hampshire, Wayne Stenehjem of North Dakota, Richard Cordray of Ohio, W. A. Drew Edmondson of Oklahoma, Thomas W. Corbett, Jr., of Pennsylvania, Patrick C. Lynch of Rhode Island, Henry D. McMaster of South Carolina, Marty J. Jackley of South Dakota, Mark Shurtleff of Utah, Kenneth T. Cuccinelli II of Virginia, J. B. Van Hollen of Wisconsin, and Bruce A. Salzburg of Wyoming.
Briefs of amici curiae were filed for the Christian Legal Society et al. by James K. Lehman, William C. Wood, Jr., Jay T. Thompson, and Kimberlee Wood Colby; and for The Rutherford Institute by John W. Whitehead and Mitchell A. Karlan.
I
A
RLUIPA is Congress’ second attempt to accord heightened statutory protection to religious exercise in the wake of this Court‘s decision in Employment Div., Dept. of Human Resources of Ore. v. Smith, 494 U. S. 872 (1990). Congress first enacted the Religious Freedom Restoration Act of 1993 (RFRA),
Congress responded by enacting RLUIPA pursuant to its Spending Clause and Commerce Clause authority. RLUIPA borrows important elements from RFRA—which continues to apply to the Federal Government—but RLUIPA is less sweeping in scope. See Cutter v. Wilkinson, 544 U. S. 709, 715 (2005). It targets two areas of state and local action: land-use regulation,
Section 3 of RLUIPA provides that “[n]o government shall impose a substantial burden on the religious exercise” of an institutionalized person unless, as in RFRA, the government demonstrates that the burden “is in furtherance of a compelling governmental interest” and “is the least restrictive means of furthering” that interest.
RLUIPA also includes an express private cause of action that is taken from RFRA: “A person may assert a violation of [RLUIPA] as a claim or defense in a judicial proceeding and obtain appropriate relief against a government.”
B
Petitioner Harvey Leroy Sossamon III is an inmate in the Robertson Unit of the Texas Department of Criminal Justice, Correctional Institutions Division. In 2006, Sossamon sued the State of Texas and various prison officials in their official capacities under RLUIPA‘s private cause of action, seeking injunctive and monetary relief. Sossamon alleged that two prison policies violated RLUIPA: (1) a policy preventing inmates from attending religious services while on cell restriction for disciplinary infractions; and (2) a policy barring use of the prison chapel for religious worship. The District Court granted summary judgment in favor of respondents and held, as relevant here, that sovereign immunity barred Sossamon‘s claims for monetary relief.2 See 713 F. Supp. 2d 657, 662-663 (WD Tex. 2007).
The Court of Appeals for the Fifth Circuit affirmed. 560 F. 3d 316, 329 (2009). Acknowledging that Congress enacted RLUIPA pursuant to the Spending Clause, the court determined that Texas had not waived its sovereign immunity by accepting federal funds. The Court of Appeals strictly construed the text of RLUIPA‘s cause of action in favor of the State and concluded that the statutory phrase “appropriate relief against a government” did not “unambiguously notif[y]” Texas that its acceptance of funds was conditioned on a waiver of immunity from claims for money damages. Id., at 330-331. We granted certiorari to resolve a division of authority among the Courts of Appeals on this question.3 560 U. S. 923 (2010).
II
“Dual sovereignty is a defining feature of our Nation‘s constitutional blueprint.” Federal Maritime Comm‘n v. South Carolina Ports Authority, 535 U. S. 743, 751 (2002). Upon ratification of the Constitution, the States entered the Union “with their sovereignty intact.” Ibid. (internal quotation marks omitted).
Immunity from private suits has long been considered “central to sovereign dignity.” Alden v. Maine, 527 U. S. 706, 715 (1999). As was widely understood at the time the Constitution was drafted:
“It is inherent in the nature of sovereignty not to be amenable to the suit of an individual without its consent.
This is the general sense, and the general practice of mankind; and the exemption, as one of the attributes of sovereignty, is now enjoyed by the government of every State in the Union.” The Federalist No. 81, p. 511 (B. Wright ed. 1961) (A. Hamilton).
Indeed, when this Court threatened state immunity from private suits early in our Nation‘s history, the people responded swiftly to reiterate that fundamental principle. See Hans v. Louisiana, 134 U. S. 1, 11 (1890) (discussing Chisholm v. Georgia, 2 Dall. 419 (1793), and the Eleventh Amendment).
Sovereign immunity principles enforce an important constitutional limitation on the power of the federal courts. See Pennhurst State School and Hospital v. Halderman, 465 U. S. 89, 98 (1984). For over a century now, this Court has consistently made clear that “federal jurisdiction over suits against unconsenting States ‘was not contemplated by the Constitution when establishing the judicial power of the United States.‘” Seminole Tribe of Fla. v. Florida, 517 U. S. 44, 54 (1996) (quoting Hans, supra, at 15); see Seminole Tribe, supra, at 54-55, n. 7 (collecting cases). A State, however, may choose to waive its immunity in federal court at its pleasure. Clark v. Barnard, 108 U. S. 436, 447-448 (1883).
Accordingly, “our test for determining whether a State has waived its immunity from federal-court jurisdiction is a stringent one.” College Savings Bank v. Florida Prepaid Postsecondary Ed. Expense Bd., 527 U. S. 666, 675 (1999) (internal quotation marks omitted). A State‘s consent to suit must be “unequivocally expressed” in the text of the relevant statute. Pennhurst State School and Hospital, supra, at 99; see Atascadero State Hospital v. Scanlon, 473 U. S. 234, 238, n. 1, 239-240 (1985). Only by requiring this “clear declaration” by the State can we be “certain that the State in fact consents to suit.” College Savings Bank, 527 U. S., at 680. Waiver may not be implied. Id., at 682.
III
A
RLUIPA‘s authorization of “appropriate relief against a government,”
1
“[A]ppropriate relief” is open-ended and ambiguous about what types of relief it includes, as many lower courts have recognized. See, e. g., 560 F. 3d, at 330-331.5 Far from clearly identifying money damages, the word “appropriate” is inherently context dependent. See Webster‘s Third New International Dictionary 106 (1993) (defining “appropriate” as “specially suitable: FIT, PROPER“). The context here—where the defendant is a sovereign—suggests, if anything, that monetary damages are not “suitable” or “proper.” See Federal Maritime Comm‘n, 535 U. S., at 765 (“[S]tate sovereign immunity serves the important function of shielding state treasuries . . . “).
Indeed, both the Court and dissent appeared to agree in West v. Gibson, 527 U. S. 212 (1999), that “appropriate” relief, by itself, does not unambiguously include damages against a sovereign. The question was whether the Equal Employment Opportunity Commission, which has authority to enforce Title VII of the Civil Rights Act against the Federal Government “through appropriate remedies,” could require the Federal Government to pay damages.
Sossamon argues that, because RLUIPA expressly limits the United States to “injunctive or declaratory relief” to enforce the statute, the phrase “appropriate relief” in the private cause of action necessarily must be broader.
Sossamon also emphasizes that the statute requires that it be “construed in favor of a broad protection of religious exercise.”
These plausible arguments demonstrate that the phrase “appropriate relief” in RLUIPA is not so free from ambiguity that we may conclude that the States, by receiving federal funds, have unequivocally expressed intent to waive their sovereign immunity to suits for damages. Strictly construing that phrase in favor of the sovereign—as we must, see Lane, 518 U. S., at 192—we conclude that it does not include suits for damages against a State.
2
The Court‘s use of the phrase “appropriate relief” in Franklin v. Gwinnett County Public Schools, 503 U. S. 60 (1992), and Barnes v. Gorman, 536 U. S. 181 (2002), does not compel a contrary conclusion. In those cases, the Court addressed what remedies are available against municipal entities under the implied right of action to enforce Title IX of the Education Amendments of 1972,
The presumption in Franklin and Barnes is irrelevant to construing the scope of an express waiver of sovereign immunity. See Lane, supra, at 196 (“[R]eliance on Franklin . . . is misplaced” in determining whether damages are avail-
B
Sossamon contends that, because Congress enacted § 3 of RLUIPA pursuant to the Spending Clause, the States were necessarily on notice that they would be liable for damages. He argues that Spending Clause legislation operates as a contract and damages are always available relief for a breach of contract, whether the contract explicitly includes a damages remedy or not. Relying on Barnes and Franklin, he asserts that all recipients of federal funding are “‘generally on notice that [they are] subject . . . to those remedies traditionally available in suits for breach of contract,‘” including compensatory damages. Brief for Petitioner 27 (quoting Barnes, 536 U. S., at 187; emphasis deleted).
In any event, applying ordinary contract principles here would make little sense because contracts with a sovereign are unique. They do not traditionally confer a right of action for damages to enforce compliance: “‘The contracts between a Nation and an individual are only binding on the conscience of the sovereign and have no pretensions to compulsive force. They confer no right of action independent of the sovereign will.‘” Lynch v. United States, 292 U. S. 571, 580-581 (1934) (quoting The Federalist, No. 81, at 511 (A. Hamilton)).7
More fundamentally, Sossamon‘s implied-contract-remedies proposal cannot be squared with our longstanding rule that a waiver of sovereign immunity must be expressly and unequivocally stated in the text of the relevant statute. It would be bizarre to create an “unequivocal statement” rule and then find that every Spending Clause enactment, no matter what its text, satisfies that rule because it includes unexpressed, implied remedies against the States. The requirement of a clear statement in the text of the statute ensures that Congress has specifically considered state sovereign immunity and has intentionally legislated on the matter. Cf. Spector v. Norwegian Cruise Line Ltd., 545 U. S. 119, 139 (2005) (plurality opinion) (“[C]lear statement rules ensure Congress does not, by broad or general language, legislate on a sensitive topic inadvertently or without due deliberation“). Without such a clear statement from Congress and notice to the States, federal courts may not step in and abrogate state sovereign immunity.8
IV
Sossamon also argues that § 1003 of the Rehabilitation Act Amendments of 1986,
The statutory provisions specifically listed in § 1003 confirm that § 3 does not unequivocally come within the scope of the residual clause. “[G]eneral words,” such as the residual clause here, “are construed to embrace only objects similar in nature to those objects enumerated by the preceding specific words.” Washington State Dept. of Social and Health Servs. v. Guardianship Estate of Keffeler, 537 U. S. 371, 384 (2003) (internal quotation marks omitted); see also Jarecki v. G. D. Searle & Co., 367 U. S. 303, 307 (1961) (noting that this maxim “is often wisely applied where a word is capable of many meanings in order to avoid the giving of unintended breadth to the Acts of Congress“). Unlike § 3, each of the statutes specifically enumerated in § 1003 explicitly prohibits “discrimination.” See
We conclude that States, in accepting federal funding, do not consent to waive their sovereign immunity to private suits for money damages under RLUIPA because no statute expressly and unequivocally includes such a waiver. The judgment of the United States Court of Appeals for the Fifth Circuit is affirmed.
It is so ordered.
JUSTICE KAGAN took no part in the consideration or decision of this case.
JUSTICE SOTOMAYOR, with whom JUSTICE BREYER joins, dissenting.
The Court holds that the term “appropriate relief” is too ambiguous to provide States with clear notice that they will be liable for monetary damages under the Religious Land Use and Institutionalized Persons Act of 2000 (RLUIPA),
I
A
As the Court acknowledges, the proposition that “States may waive their sovereign immunity” is an “unremarkable” one. Seminole Tribe of Fla. v. Florida, 517 U. S. 44, 65 (1996); see also Alden v. Maine, 527 U. S. 706, 737 (1999) (“[W]e have not questioned the general proposition that a State may waive its sovereign immunity and consent to suit“); Atascadero State Hospital v. Scanlon, 473 U. S. 234, 238 (1985) (noting the “well-established” principle that “if a State waives its immunity and consents to suit in federal court, the Eleventh Amendment does not bar the action“); Petty v. Tennessee-Missouri Bridge Comm‘n, 359 U. S. 275, 276 (1959) (noting that a State may waive sovereign immunity “at its pleasure“).
Neither the majority nor respondents (hereinafter Texas) dispute that, pursuant to its power under the Spending Clause,
Thus, in order to attach a waiver of sovereign immunity to federal funds, Congress “must do so unambiguously,” so as to “enable the States to exercise their choice knowingly.” Pennhurst State School and Hospital v. Halderman, 451 U. S. 1, 17 (1981). In other words, the State must have notice of the condition it is accepting. See Arlington Central School Dist. Bd. of Ed. v. Murphy, 548 U. S. 291, 298 (2006) (“[C]lear notice . . . is required under the Spending Clause“). The reason for requiring notice is simple: “‘States cannot knowingly accept conditions of which they are “unaware” or which they are “unable to ascertain.“‘” Id., at 296 (quoting Pennhurst, 451 U. S., at 17). In assessing whether a federal statute provides clear notice of the conditions attached, “we must view the [statute] from the perspective of a state official who is engaged in the process of deciding whether the State should accept [federal] funds and the obligations that go with those funds.” Arlington Central, 548 U. S., at 296.
There is also no dispute that RLUIPA clearly conditions a State‘s receipt of federal funding on its consent to suit for violations of the statute‘s substantive provisions. The statute states that “program[s] or activit[ies] that receiv[e] Federal financial assistance” may not impose a “substantial burden on the religious exercise of a person residing in or confined to an institution.”
B
The Court holds that the phrase “appropriate relief” does not provide state officials clear notice that monetary relief will be available against the States, meaning that they could not have waived their immunity with respect to that particular type of liability. This holding is contrary to general remedies principles and our precedents.
RLUIPA straightforwardly provides a private right of action to “obtain appropriate relief against a government.”
If, despite the clarity of this background principle, state officials reading RLUIPA were somehow still uncertain as to whether the phrase “appropriate relief” encompasses monetary damages, our precedents would relieve any doubt. In Franklin we made clear that, “absent clear direction to the contrary by Congress,” federal statutes providing a private right of action authorize all “appropriate relief,” including damages, against violators of its substantive terms. 503 U. S., at 70-71, 75-76. We reiterated this principle in Barnes v. Gorman, 536 U. S. 181, 185, 187 (2002), affirming that “the scope of ‘appropriate relief‘” includes compensatory damages.2 The holdings in these cases are fully consistent with the general principle that monetary relief is available for violations of the substantive conditions Congress attaches, through Spending Clause legislation, to the acceptance of federal funding. See Davis v. Monroe County Bd. of Ed., 526 U. S. 629, 640 (1999) (“[P]ursuant to Congress’
C
Accordingly, it is difficult to understand the basis for the Court‘s position that the phrase “appropriate relief” in
It is not apparent, however, why the phrase “appropriate relief” is too ambiguous to secure a waiver of state sovereign immunity with respect to damages but is clear enough as to injunctive and other forms of equitable relief. The majority appears to believe that equitable relief is a “suitable” or “proper” remedy for a state violation of RLUIPA‘s substantive provisions but monetary relief is not; therefore, a state official reading the “open-ended and ambiguous” phrase “appropriate relief” will be unaware that it includes damages but fully apprised that it makes equitable relief available. See ante, at 286. But sovereign immunity is not simply a defense against certain classes of remedies—it is a defense against being sued at all. See, e. g., Federal Maritime Comm‘n v. South Carolina Ports Authority, 535 U. S. 743, 766 (2002). As a result, there is no inherent reason why the phrase “appropriate relief” would provide adequate notice as to equitable remedies but not as to monetary ones. In fact, as discussed earlier, in light of general remedies principles the presumption arguably should be the reverse. See supra, at 296-298.
The majority suggests that equitable relief is the sole “appropriate relief” for statutory violations “where the defendant is a sovereign.” Ante, at 286. There can be little doubt, however, that the “appropriateness” of relief to be afforded a civil plaintiff is generally determined by the na-
The majority‘s additional arguments in support of its holding also fail to persuade. The majority contends that the use of a “context dependent” word like “appropriate” necessarily renders the provision ambiguous. Ante, at 286. But the fact that the precise relief afforded by a court may vary depending on the particular injury to be addressed in a given
Next, the majority repeats Texas’ dictionary-based contention that in using the word “relief” Congress meant to “connot[e] equitable relief.” Ante, at 287. This proposition suffers from three flaws. First, it is not established by the dictionary to which the majority cites. See Black‘s Law Dictionary 1293 (7th ed. 1999) (“relief . . . Also termed remedy“); id., at 1296 (“remedy . . . The means of enforcing a right or preventing or redressing a wrong; legal or equitable relief” (emphasis added)). Second, it is inconsistent with our precedent. See Barnes, 536 U. S., at 185-187 (noting that “appropriate relief” includes monetary and injunctive relief). Third, it is undermined by the fact that, on numerous occasions, Congress has deemed it necessary to specify that “relief” includes injunctive and other equitable relief. See
Finally, the majority asserts that because the parties to this case advance opposing “plausible arguments” regarding the correct interpretation of RLUIPA‘s text, we must conclude that the statute is ambiguous. Ante, at 288. This view of how we adjudicate cases is incorrect as a descriptive
In sum, the majority‘s conclusion that States accepting federal funds have not consented to suit for monetary relief cannot be reconciled with the fact that the availability of such relief is evident in light of RLUIPA‘s plain terms and the principles animating our relevant precedents. In so holding, the majority discovers ambiguity where none is to be found.
II
There is another reason to question the soundness of today‘s decision. The Court‘s reading of
As the majority acknowledges, RLUIPA was Congress’ second attempt to guarantee by statute the “broad protection” of religious exercise that we found to be unwarranted as a constitutional matter in Employment Div., Dept. of Human Resources of Ore. v. Smith, 494 U. S. 872 (1990). As we have previously recognized, in passing RLUIPA Congress was clearly concerned that state institutions regularly imposed “frivolous or arbitrary barriers imped[ing] institutionalized persons’ religious exercise.” Cutter, 544 U. S., at 716 (internal quotation marks omitted); see also 146 Cong. Rec. 16698, 16699 (2000) (joint statement of Sen. Hatch and Sen. Kennedy on RLUIPA) (“Whether from indifference, ignorance, bigotry, or lack of resources, some institutions restrict religious liberty in egregious and unnecessary ways“); ibid. (“Institutional residents’ right to practice their faith is at the mercy of those running the institution . . . “). It is difficult to believe that Congress would have devoted such care and effort to establishing significant statutory protections for religious exercise and specifically extended those protections to persons in state institutions, yet withheld from plaintiffs a crucial tool for securing the rights the statute guarantees.
By depriving prisoners of a damages remedy for violations of their statutory rights, the majority ensures that plaintiffs suing state defendants under RLUIPA will be forced to seek enforcement of those rights with one hand tied behind their backs. Most obviously, the majority‘s categorical denial of monetary relief means that a plaintiff who prevails on the merits of his claim that a State has substantially burdened
In addition, the unavailability of monetary relief will effectively shield unlawful policies and practices from judicial review in many cases. Under state law, discretion to transfer prisoners “in a wide variety of circumstances is vested in prison officials.” Meachum v. Fano, 427 U. S. 215, 227 (1976). A number of RLUIPA suits seeking injunctive relief have been dismissed as moot because the plaintiff was transferred from the institution where the alleged violation took place prior to adjudication on the merits. See, e. g., Colvin v. Caruso, 605 F. 3d 282, 287, 289 (CA6 2010); Simmons v. Herrera, No. C 09-0318 JSW (PR), 2010 WL 1233815, *3 (ND Cal., Mar. 26, 2010); see generally Brief for American Civil Liberties Union et al. as Amici Curiae 8-11. Absent a damages remedy, longstanding RLUIPA challenges may well be dismissed for lack of a case or controversy conferring Article III jurisdiction on the federal court. Cf. Moussazadeh v. Texas Dept. of Crim. Justice, Civ. Action No. G-07-574, 2009 WL 819497, *9 (SD Tex., Mar. 26, 2009) (dismissing as moot plaintiff‘s RLUIPA claim because he had been transferred to a facility that provided kosher food), remanded, 364 Fed. Appx. 110 (CA5 2010); Opening Brief for Plaintiff-Appellant in Moussazadeh v. Texas Dept. of Crim. Justice, No. 09-40400 (CA5), p. 11 (noting that transfer to a special facility took place 19 months after the plaintiff filed
Of course, under the rule the majority announces, Congress can revise RLUIPA to provide specifically for monetary relief against the States, perhaps by inserting the phrase “including monetary relief” into the text of
More problematically, because there is no apparent reason why the term “appropriate relief” is sufficiently clear as to
As explained above, nothing in our precedent demands the result the majority reaches today. The conclusion that RLUIPA fails to provide States with sufficient notice that they are liable for monetary relief cannot be squared with the straightforward terms of the statute and the general principles evident in our prior cases. For these reasons, and because the majority‘s decision significantly undermines Congress’ ability to provide needed redress for violations of individuals’ rights under federal law, I respectfully dissent.
