OPINION OF THE COURT
NASA V. NELSON
562 U. S. ____ (2011)
SUPREME COURT OF THE UNITED STATES
NO. 09-530
NATIONAL AERONAUTICS AND SPACE ADMIN- ISTRATION,
et al., PETITIONERS
v. ROBERT M. NELSON
et al.
on writ of certiorari to the united states court of
appeals for the ninth circuit
[January 19, 2011]
Justice Alito delivered the
opinion of the Court.
In two cases decided more than 30
years ago, this Court referred broadly to a constitutional privacy
“interest in avoiding disclosure of personal matters.”
Whalen v.
Roe,
429 U. S. 589, 599–600 (1977);
Nixon v.
Administrator of General Services,
433 U. S. 425,
457 (1977). Respondents in this case, federal contract employees at
a Government laboratory, claim that two parts of a standard
employment background investigation violate their rights under
Whalen and
Nixon. Respondents challenge a section
of a form questionnaire that asks employees about treatment or
counseling for recent illegal-drug use. They also object to certain
open-ended questions on a form sent to employees’ designated
references.
We assume, without deciding, that the
Constitution protects a privacy right of the sort mentioned in
Whalen and
Nixon. We hold, however, that the
challenged portions of the Government’s background check do not
violate this right in the present case. The Government’s interests
as employer and proprietor in managing its internal operations,
combined with the protections against public dissemination provided
by the Privacy Act of 1974, 5 U. S. C. §552a, satisfy any
“interest in avoiding disclosure” that may “arguably ha[ve] its
roots in the Constitution.”
Whalen,
supra, at
599, 605.
I
A
The National Aeronautics and
Space Administration (NASA) is an independent federal agency
charged with planning and conducting the Government’s “space
activities.” Pub. L. 111–314, §3, 124 Stat. 3333, 51 U. S. C.
§20112(a)(1). NASA’s workforce numbers in the tens of thousands of
employees. While many of these workers are federal civil servants,
a substantial majority are employed directly by Government
contractors. Contract employees play an important role in NASA’s
mission, and their duties are functionally equivalent to those
performed by civil servants.
One NASA facility, the Jet
Propulsion Laboratory (JPL) in Pasadena, California, is staffed
exclusively by contract employees. NASA owns JPL, but the
California Institute of Technology (Cal Tech) operates the facility
under a Government contract. JPL is the lead NASA center for
deep-space robotics and communications. Most of this country’s
unmanned space missions—from the Explorer 1 satellite in 1958 to
the Mars Rovers of today—have been developed and run by JPL. JPL
scientists contribute to NASA earth-observation and
technology-development projects. Many JPL employees also engage in
pure scientific research on topics like “the star formation history
of the universe” and “the fundamental properties of quantum
fluids.” App. 64–65, 68.
Twenty-eight JPL employees are respondents
here. Many of them have worked at the lab for decades, and none has
ever been the subject of a Government background investigation. At
the time when respondents were hired, background checks were
standard only for federal civil servants. See Exec. Order No.
10450, 3 CFR 936 (1949–1953 Comp.). In some instances, individual
contracts required background checks for the employees of federal
contractors, but no blanket policy was in place.
The Government has recently taken steps to
eliminate this two-track approach to background investigations.
In 2004, a recommendation by the 9/11 Commission prompted the
President to order new, uniform identification standards for
“[f]ederal employees,” including “contractor employees.” Homeland
Security Presidential Directive/HSPD–12—Policy for a Common
Identification Standard for Federal Employees and Contractors,
Public Papers of the President, George W. Bush, Vol. 2, Aug. 27,
p. 1765 (2007) (hereinafter HSPD–12), App. 127. The Department
of Commerce implemented this directive by mandating that contract
employees with long-term access to federal facilities complete a
standard background check, typically the National Agency Check with
Inquiries (NACI). National Inst. of Standards and Technology,
Personal Identity Verification of Federal Employees &
Contractors, pp. iii–vi, 1–8, 6 (FIPS PUB 201–1, Mar. 2006)
(hereinafter FIPS PUB 201–1), App. 131–150, 144–145.[
Footnote 1]
An October 2007 deadline was set for
completion of these investigations. Memorandum from Joshua B.
Bolten, Director, OMB, to the Heads of all Departments and Agencies
(Aug. 5, 2005), App. 112. In January 2007, NASA modified its
contract with Cal Tech to reflect the new background-check
requirement. JPL management informed employees that anyone failing
to complete the NACI process by October 2007 would be denied access
to JPL and would face termination by Cal Tech.
B
The NACI process has long been
the standard background investigation for prospective civil
servants. The process begins when the applicant or employee fills
out a form questionnaire. Employees who work in “non-sensitive”
positions (as all respondents here do) complete Standard Form 85
(SF–85). Office of Personnel Management (OPM), Standard Form 85,
Questionnaire for Non-Sensitive Positions, App. 88–95.[
Footnote 2]
Most of the questions on SF–85
seek basic biographical information: name, address, prior
residences, education, employment history, and personal and
professional references. The form also asks about citizenship,
selective-service registration, and military service. The last
question asks whether the employee has “used, possessed, supplied,
or manufactured illegal drugs” in the last year.
Id., at
94. If the answer is yes, the employee must provide details,
including information about “any treatment or counseling received.”
Ibid. A “truthful response,” the form notes, cannot be
used as evidence against the employee in a criminal proceeding.
Ibid. The employee must certify that all responses on the
form are true and must sign a release authorizing the Government to
obtain personal information from schools, employers, and others
during its investigation.
Once a completed SF–85 is on file, the “agency
check” and “inquiries” begin. 75 Fed. Reg. 5359 (2010). The
Government runs the information provided by the employee through
FBI and other federal-agency databases. It also sends out form
questionnaires to the former employers, schools, landlords, and
references listed on SF–85. The particular form at issue in this
case—the Investigative Request for Personal Information, Form
42—goes to the employee’s former landlords and references.
Ibid.[
Footnote 3]
Form 42 is a two-page document that takes
about five minutes to complete. See
ibid. It explains to
the reference that “[y]our name has been provided by” a particular
employee or applicant to help the Government determine that
person’s “suitability for employment or a security clearance.” App.
96–97. After several preliminary questions about the extent of the
reference’s associations with the employee, the form asks if the
reference has “any reason to question” the employee’s “honesty or
trustworthiness.”
Id., at 97. It also asks if the
reference knows of any “adverse information” concerning the
employee’s “violations of the law,” “financial integrity,” “abuse
of alcohol and/or drugs,” “mental or emotional stability,” “general
behavior or conduct,” or “other matters.”
Ibid. If “yes”
is checked for any of these categories, the form calls for an
explanation in the space below. That space is also available for
providing “additional information” (“derogatory” or “favorable”)
that may bear on “suitability for government employment or a
security clearance.”
Ibid.
All responses to SF–85 and Form 42 are subject
to the protections of the Privacy Act. The Act authorizes the
Government to keep records pertaining to an individual only when
they are “relevant and necessary” to an end “required to be
accomplished” by law. 5 U. S. C. §552a(e)(1). Individuals are
permitted to access their records and request amendments to them.
§§552a(d)(1),(2). Subject to certain exceptions, the Government may
not disclose records pertaining to an individual without that
individual’s written consent. §552a(b).
C
About two months before the
October 2007 deadline for completing the NACI, respondents brought
this suit, claiming, as relevant here, that the background-check
process violates a constitutional right to informational privacy.
App. 82 (Complaint for Injunctive and Declaratory Relief).[
Footnote 4] The District Court denied
respondents’ motion for a preliminary injunction, but the Ninth
Circuit granted an injunction pending appeal, 506 F. 3d 713
(2007), and later reversed the District Court’s order. The court
held that portions of both SF–85 and Form 42 are likely
unconstitutional and should be preliminarily enjoined. 512
F. 3d 1134, vacated and superseded, 530 F. 3d 865
(2008).
Turning first to SF–85, the Court
of Appeals noted respondents’ concession “that most of the
questions” on the form are “unproblematic” and do not “implicate
the constitutional right to informational privacy.” 530 F. 3d,
at 878. But the court determined that the “group of questions
concerning illegal drugs” required closer scrutiny.
Ibid.
Applying Circuit precedent, the court upheld SF–85’s inquiries into
recent involvement with drugs as “necessary to further the
government’s legitimate interest” in combating illegal-drug use.
Id., at 879. The court went on to hold, however, that the
portion of the form requiring disclosure of drug “treatment or
counseling” furthered no legitimate interest and was thus likely to
be held unconstitutional.
Ibid.
Form 42, in the Court of Appeals’ estimation,
was even “more problematic.”
Ibid. The form’s “open-ended
and highly private” questions, the court concluded, were not
“narrowly tailored” to meet the Government’s interests in verifying
contractors’ identities and “ensuring the security of the JPL.”
Id., at 881, 880. As a result, the court held, these
“open-ended” questions, like the drug-treatment question on SF–85,
likely violate respondents’ informational-privacy rights.[
Footnote 5]
Over the dissents of five judges, the Ninth
Circuit denied rehearing en banc. 568 F. 3d 1028 (2009). We
granted certiorari. 559 U. S. ___ (2010).
II
As noted, respondents contend
that portions of SF–85 and Form 42 violate their “right to
informational privacy.” Brief for Respondents 15. This Court
considered a similar claim in
Whalen,
429 U. S. 589, which concerned New
York’s practice of collecting “the names and addresses of all
persons” prescribed dangerous drugs with both “legitimate and
illegitimate uses.”
Id., at 591. In discussing that claim,
the Court said that “[t]he cases sometimes characterized as
protecting ‘privacy’ ” actually involved “at least two
different kinds of interests”: one, an “interest in avoiding
disclosure of personal matters”;[
Footnote 6] the other, an interest in “making certain
kinds of important decisions” free from government
interference.[
Footnote 7] The
patients who brought suit in
Whalen argued that New York’s
statute “threaten[ed] to impair” both their “nondisclosure”
interests and their interests in making healthcare decisions
independently.
Id., at 600. The Court, however, upheld the
statute as a “reasonable exercise of New York’s broad police
powers.”
Id., at 598.
Whalen acknowledged that
the disclosure of “private information” to the State was an
“unpleasant invasion of privacy,”
id., at 602, but the
Court pointed out that the New York statute contained “security
provisions” that protected against “public disclosure” of patients’
information,
id., at 600–601. This sort of “statutory or
regulatory duty to avoid unwarranted disclosures” of “accumulated
private data” was sufficient, in the Court’s view, to protect a
privacy interest that “arguably ha[d] its roots in the
Constitution.”
Id., at 605–606. The Court thus concluded
that the statute did not violate “any right or liberty protected by
the Fourteenth Amendment.”
Id., at 606.
Four months later, the Court referred again
to a constitutional “interest in avoiding disclosure.”
Nixon, 433 U. S., at 457 (internal quotation marks
omitted). Former President Nixon brought a challenge to the
Presidential Recordings and Materials Preservation Act, 88 Stat.
1695, note following 44 U. S. C. §2111, a statute that
required him to turn over his presidential papers and tape
recordings for archival review and screening. 433 U. S., at
455–465. In a section of the opinion entitled “Privacy,” the Court
addressed a combination of claims that the review required by this
Act violated the former President’s “Fourth and Fifth Amendmen[t]”
rights.
Id., at 455, and n. 18, 458–459. The Court
rejected those challenges after concluding that the Act at issue,
like the statute in
Whalen, contained protections against
“undue dissemination of private materials.” 433 U. S., at 458.
Indeed, the Court observed that the former President’s claim was
“weaker” than the one “found wanting . . . in
Whalen,” as
the Government was required to return immediately all “purely
private papers and recordings” identified by the archivists.
Id., at 458–459. Citing Fourth Amendment precedent, the
Court also stated that the public interest in preserving
presidential papers outweighed any “legitimate expectation of
privacy” that the former President may have enjoyed.
Id.,
at 458 (citing
Katz v.
United States,
389 U. S. 347 (1967);
Camara
v.
Municipal Court of City and County of San Francisco,
387 U. S. 523
(1967); and
Terry v.
Ohio,
392 U. S. 1
(1968)).[
Footnote 8]
The Court announced the decision in
Nixon in the waning days of October Term 1976. Since then,
the Court has said little else on the subject of an “individual
interest in avoiding disclosure of personal matters.”
Whalen,
supra, at 599;
Nixon,
supra, at 457. A few opinions have mentioned the concept
in passing and in other contexts. See
Department of
Justice v.
Reporters Comm. for Freedom of Press,
489 U. S. 749,
762–763 (1989);
New York v.
Ferber,
458 U. S. 747, 759,
n. 10 (1982). But no other decision has squarely addressed a
constitutional right to informational privacy.[
Footnote 9]
III
As was our approach in
Whalen, we will assume for present purposes that the
Government’s challenged inquiries implicate a privacy interest of
constitutional significance. 429 U. S., at 599, 605.[
Footnote 10] We hold, however, that,
whatever the scope of this interest, it does not prevent the
Government from asking reasonable questions of the sort included on
SF–85 and Form 42 in an employment background investigation that is
subject to the Privacy Act’s safeguards against public
disclosure.
A
1
As an initial matter, judicial
review of the Government’s challenged inquiries must take into
account the context in which they arise. When the Government asks
respondents and their references to fill out SF–85 and Form 42, it
does not exercise its sovereign power “to regulate or license.”
Cafeteria & Restaurant Workers v.
McElroy,
367 U. S. 886,
896 (1961). Rather, the Government conducts the challenged
background checks in its capacity “as proprietor” and manager of
its “internal operation.”
Ibid. Time and again our cases
have recognized that the Government has a much freer hand in
dealing “with citizen employees than it does when it brings its
sovereign power to bear on citizens at large.”
Engquist v.
Oregon Dept. of Agriculture,
553 U. S. 591, 598
(2008);
Waters v.
Churchill,
511 U. S. 661, 674
(1994) (plurality opinion). This distinction is grounded on the
“common-sense realization” that if every “employment decision
became a constitutional matter,” the Government could not function.
See
Connick v.
Myers,
461 U. S. 138, 143
(1983); see also
Bishop v.
Wood,
426 U. S. 341, 350
(1976) (“The Due Process Clause . . . is not a guarantee against
incorrect or ill-advised personnel decisions”).
An assessment of the
constitutionality of the challenged portions of SF–85 and Form 42
must account for this distinction. The questions challenged by
respondents are part of a standard employment background check of
the sort used by millions of private employers. See Brief for
Consumer Data Indus. Assn. et al. as
Amici Curiae 2
(hereinafter CDIA Brief) (“[M]ore than 88% of U. S. companies …
perform background checks on their employees”). The Government
itself has been conducting employment investigations since the
earliest days of the Republic. L. White, The Federalists: A Study
in Administrative History 262–263 (1948); see OPM, Biography of An
Ideal: History of the Federal Civil Service 8 (2002) (noting that
President Washington “set a high standard” for federal office and
finalized appointments only after “investigating [candidates’]
capabilities and reputations”). Since 1871, the President has
enjoyed statutory authority to “ascertain the fitness of
applicants” for the civil service “as to age, health, character,
knowledge and ability for the employment sought,” Act of Mar. 3,
1871, Rev. Stat. §1753, as amended, 5 U. S. C. §3301(2), and
that Act appears to have been regarded as a codification of
established practice.[
Footnote
11] Standard background investigations similar to those at
issue here became mandatory for all candidates for the federal
civil service in 1953. Exec. Order No. 10450, 3 CFR 936. And
the particular investigations challenged in this case arose from a
decision to extend that requirement to federal contract employees
requiring long-term access to federal facilities. See HSPD–12, at
1765, App. 127; FIPS PUB 201–1, at iii–vi, 1–8, App. 131–150.
As this long history suggests, the Government
has an interest in conducting basic employment background checks.
Reasonable investigations of applicants and employees aid the
Government in ensuring the security of its facilities and in
employing a competent, reliable workforce. See
Engquist,
supra, at 598–599. Courts must keep those interests in
mind when asked to go line-by-line through the Government’s
employment forms and to scrutinize the choice and wording of the
questions they contain.
Respondents argue that, because they are
contract employees and not civil servants, the Government’s broad
authority in managing its affairs should apply with diminished
force. But the Government’s interest as “proprietor” in managing
its operations,
Cafeteria & Restaurant Workers,
supra, at 896, does not turn on such formalities. See
Board of Comm’rs, Wabaunsee Cty. v.
Umbehr,
518 U. S. 668,
678, 679 (1996) (formal distinctions such as whether a “service
provider” has a “contract of employment or a contract for services”
with the government is a “very poor proxy” for constitutional
interests at stake). The fact that respondents’ direct employment
relationship is with Cal Tech—which operates JPL under a Government
contract—says very little about the interests at stake in this
case. The record shows that, as a “practical matter,” there are no
“[r]elevant distinctions” between the duties performed by NASA’s
civil-service workforce and its contractor workforce. App. 221. The
two classes of employees perform “functionally equivalent duties,”
and the extent of employees’ “access to NASA … facilities” turns
not on formal status but on the nature of “the jobs they perform.”
Ibid.
At JPL, in particular, the work that contract
employees perform is critical to NASA’s mission. Respondents in
this case include “the lead trouble-shooter for … th[e] $568
[million]” Kepler space observatory, 7 Record 396; the leader of
the program that “tests … all new technology that NASA will use in
space,” App. 60; and one of the lead “trajectory designers for …
the Galileo Project and the Apollo Moon landings,”
id., at
62. This is important work, and all of it is funded with a
multibillion dollar investment from the American taxpayer. See
NASA, Jet Propulsion Laboratory Annual Report 09, p. 35
(2010), online at
http://www.jpl.nasa.gov/annualreport/2009-report.pdf. The
Government has a strong interest in conducting basic background
checks into the contract employees minding the store at
JPL.[
Footnote 12]
2
With these interests in view, we
conclude that the challenged portions of both SF–85 and Form 42
consist of reasonable, employment-related inquiries that further
the Government’s interests in managing its internal operations. See
Engquist, 553 U. S., at 598–599;
Whalen, 429 U.
S., at 597–598. As to SF–85, the only part of the form challenged
here is its request for information about “any treatment or
counseling received” for illegal-drug use within the previous year.
The “treatment or counseling” question, however, must be considered
in context. It is a followup to SF–85’s inquiry into whether the
employee has “used, possessed, supplied, or manufactured illegal
drugs” during the past year. The Government has good reason to ask
employees about their recent illegal-drug use. Like any employer,
the Government is entitled to have its projects staffed by
reliable, law-abiding persons who will “ ‘efficiently and
effectively’ ” discharge their duties. See
Engquist,
supra, at 598–599. Questions about illegal-drug use are a
useful way of figuring out which persons have these
characteristics. See,
e.g., Breen & Matusitz, An
Updated Examination of the Effects of Illegal Drug Use in the
Workplace, 19 J. Human Behavior in the Social Environment, 434
(2009) (illicit drug use negatively correlated with workplace
productivity).
In context, the follow-up
question on “treatment or counseling” for recent illegal-drug use
is also a reasonable, employment-related inquiry. The Government,
recognizing that illegal-drug use is both a criminal and a medical
issue, seeks to separate out those illegal-drug users who are
taking steps to address and overcome their problems. The Government
thus uses responses to the “treatment or counseling” question as a
mitigating factor in determining whether to grant contract
employees long-term access to federal facilities.[
Footnote 13]
This is a reasonable, and indeed a humane,
approach, and respondents do not dispute the legitimacy of the
Government’s decision to use drug treatment as a mitigating factor
in its contractor credentialing decisions. Respondents’ argument is
that, if drug treatment is only used to mitigate, then the
Government should change the mandatory phrasing of SF–85—“Include
[in your answer] any treatment or counseling received”—so as to
make a response optional. App. 94. As it stands, the mandatory
“treatment or counseling” question is unconstitutional, in
respondents’ view, because it is “more intrusive than necessary to
satisfy the government’s objective.” Brief for Respondents 26; 530
F. 3d, at 879 (holding that “treatment or counseling” question
should be enjoined because the form “appears to
compel
disclosure”).
We reject the argument that the Government,
when it requests job-related personal information in an employment
background check, has a constitutional burden to demonstrate that
its questions are “necessary” or the least restrictive means of
furthering its interests. So exacting a standard runs directly
contrary to
Whalen. The patients in
Whalen, much
like respondents here, argued that New York’s statute was
unconstitutional because the State could not “demonstrate the
necessity” of its program. 429 U. S., at 596. The Court quickly
rejected that argument, concluding that New York’s collection of
patients’ prescription information could “not be held
unconstitutional simply because” a court viewed it as “unnecessary,
in whole or in part.”
Id., at 596–597.
That analysis applies with even greater force
where the Government acts, not as a regulator, but as the manager
of its internal affairs. See
Engquist,
supra, at
598–599. SF–85’s “treatment or counseling” question reasonably
seeks to identify a subset of acknowledged drug users who are
attempting to overcome their problems. The Government’s considered
position is that phrasing the question in more permissive terms
would result in a lower response rate, and the question’s
effectiveness in identifying illegal-drug users who are suitable
for employment would be “materially reduced.” Reply Brief for
Petitioners 19. That is a reasonable position, falling within the
“ ‘wide latitude’ ” granted the Government in its
dealings with employees. See
Engquist,
supra, at
600.
3
The Court of Appeals also held
that the broad, “open-ended questions” on Form 42 likely violate
respondents’ informational-privacy rights. Form 42 asks applicants’
designated references and landlords for “information” bearing on
“suitability for government employment or a security clearance.”
App. 97. In a series of questions, the Government asks if the
reference has any “adverse information” about the applicant’s
“honesty or trustworthiness,” “violations of the law,” “financial
integrity,” “abuse of alcohol and/or drugs,” “mental or emotional
stability,” “general behavior or conduct,” or “other matters.”
Ibid.
These open-ended inquiries,
like the drug-treatment question on SF–85, are reasonably aimed at
identifying capable employees who will faithfully conduct the
Government’s business. See Engquist,
supra, at
598–599. Asking an applicant’s designated references broad,
open-ended questions about job suitability is an appropriate tool
for separating strong candidates from weak ones. It would be a
truly daunting task to catalog all the reasons why a person might
not be suitable for a particular job, and references do not have
all day to answer a laundry list of specific questions. See CDIA
Brief 6–7 (references “typically have limited time to answer
questions from potential employers,” and “open-ended questions”
yield more relevant information than narrow inquiries). Form 42, by
contrast, takes just five minutes to complete. 75 Fed. Reg.
5359.
The reasonableness of such open-ended
questions is illustrated by their pervasiveness in the public and
private sectors. Form 42 alone is sent out by the Government over
1.8 million times annually.
Ibid. In addition, the use of
open-ended questions in employment background checks appears to be
equally commonplace in the private sector. See,
e.g., S.
Bock et al., Mandated Benefits 2008 Compliance Guide, Exh.
20.1, A Sample Policy on Reference Checks on Job Applicants
(“Following are the guidelines for conducting a telephone reference
check: … Ask open-ended questions, then wait for the respondent to
answer”); M. Zweig, Human Resources Management 87 (1991) (“Also
ask, ‘Is there anything else I need to know about [candidate’s
name]?’ This kind of open-ended question may turn up all kinds of
information you wouldn’t have gotten any other way”). The use of
similar open-ended questions by the Government is reasonable and
furthers its interests in managing its operations.
B
1
Not only are SF–85 and Form 42
reasonable in light of the Government interests at stake, they are
also subject to substantial protections against disclosure to the
public. Both
Whalen and
Nixon recognized that
government “accumulation” of “personal information” for “public
purposes” may pose a threat to privacy.
Whalen, 429 U. S.,
at 605; see
Nixon 433 U. S., at 457–458, 462. But both
decisions also stated that a “statutory or regulatory duty to avoid
unwarranted disclosures” generally allays these privacy concerns.
Whalen,
supra, at 605;
Nixon,
supra, at 458–459. The Court in
Whalen, relying
on New York’s “security provisions” prohibiting public disclosure,
turned aside a challenge to the collection of patients’
prescription information. 429 U. S., at 594, and n. 12,
600–601, 605. In
Nixon, the Court rejected what it
regarded as an even “weaker” claim by the former President because
the Presidential Recordings and Materials Preservation Act “[n]ot
only . . . mandate[d] regulations” against “undue dissemination,”
but also required immediate return of any “purely private”
materials flagged by the Government’s archivists. 433 U. S., at
458–459.
Respondents in this case, like
the patients in
Whalen and former President Nixon, attack
only the Government’s
collection of information on SF–85
and Form 42. And here, no less than in
Whalen and
Nixon, the information collected is shielded by statute
from “unwarranted disclosur[e].” See
Whalen,
supra, at 605. The Privacy Act, which covers all
information collected during the background-check process, allows
the Government to maintain records “about an individual” only to
the extent the records are “relevant and necessary to accomplish” a
purpose authorized by law. 5 U. S. C. §552a(e)(1). The Act
requires written consent before the Government may disclose records
pertaining to any individual. §552a(b). And the Act imposes
criminal liability for willful violations of its nondisclosure
obligations. §552a(i)(1). These requirements, as we have noted,
give “forceful recognition” to a Government employee’s interest in
maintaining the “confidentiality of sensitive information . . . in
his personnel files.”
Detroit Edison Co. v.
NLRB,
440 U. S. 301,
318, n. 16 (1979). Like the protections against disclosure in
Whalen and
Nixon, they “evidence a proper
concern” for individual privacy.
Whalen,
supra,
at 605;
Nixon,
supra, at 458–459.
2
Notwithstanding these safeguards,
respondents argue that statutory exceptions to the Privacy Act’s
disclosure bar, see §§552a(b)(1)–(12), leave its protections too
porous to supply a meaningful check against “unwarranted
disclosures,”
Whalen,
supra, at 605. Respondents
point in particular to what they describe as a “broad” exception
for “routine use[s],” defined as uses that are “compatible with the
purpose for which the record was collected.” §§552a(b)(3),
(a)(7).
Respondents’ reliance on these
exceptions rests on an incorrect reading of both our precedents and
the terms of the Privacy Act. As to our cases, the Court in
Whalen and
Nixon referred approvingly to
statutory or regulatory protections against “
unwarranted
disclosures” and “
undue dissemination” of personal
information collected by the Government.
Whalen,
supra, at 605;
Nixon,
supra, at 458.
Neither case suggested that an ironclad disclosure bar is needed to
satisfy privacy interests that may be “root[ed] in the
Constitution.”
Whalen,
supra, at 605. In
Whalen, the New York statute prohibiting “[p]ublic
disclosure of the identity of patients” was itself subject to
several exceptions. 429 U. S., at 594–595, and n. 12. In
Nixon, the protections against “undue dissemination”
mentioned in the opinion were not even before the Court, but were
to be included in forthcoming regulations “mandate[d]” by the
challenged Act. 433 U. S., at 458; see
id., at 437–439
(explaining that the Court was limiting its review to the Act’s
“facial validity” and was not considering the Administrator’s
forthcoming regulations). Thus, the mere fact that the Privacy
Act’s nondisclosure requirement is subject to exceptions does not
show that the statute provides insufficient protection against
public disclosure.
Nor does the substance of the “routine use”
exception relied on by respondents create any undue risk of public
dissemination. None of the authorized “routine use[s]” of
respondents’ background-check information allows for release to the
public. 71 Fed. Reg. 45859–45860, 45862 (2006); 60 Fed. Reg. 63084
(1995), as amended, 75 Fed. Reg. 28307 (2010). Rather, the
established “routine use[s]” consist of limited, reasonable steps
designed to complete the background-check process in an efficient
and orderly manner. See
Whalen,
supra, at 602
(approving disclosures to authorized New York Department of Health
employees that were not “meaningfully distinguishable” from routine
disclosures “associated with many facets of health care”). One
routine use, for example, involves a limited disclosure to persons
filling out Form 42 so that designated references can “identify the
individual” at issue and can understand the “nature and purpose of
the investigation.” App. 89. Authorized JPL employees also review
each completed SF–85 to verify that all requested information has
been provided.
Id., at 211. These designated JPL employees
may not “disclose any information contained in the form to anyone
else,”
ibid., and Cal Tech is not given access to adverse
information uncovered during the Government’s background check,
id., at 207–208. The “remote possibility” of public
disclosure created by these narrow “routine use[s]” does not
undermine the Privacy Act’s substantial protections. See
Whalen, 429 U. S., at 601–602 (“remote possibility” that
statutory security provisions will “provide inadequate protection
against unwarranted disclosures” not a sufficient basis for
striking down statute).
Citing past violations of the Privacy
Act,[
Footnote 14]
respondents note that it is possible that their personal
information could be disclosed as a result of a similar breach. But
data breaches are a possibility any time the Government stores
information. As the Court recognized in
Whalen, the mere
possibility that security measures will fail provides no “proper
ground” for a broad-based attack on government
information-collection practices.
Ibid. Respondents also
cite a portion of SF–85 that warns of possible disclosure “[t]o the
news media or the general public.” App. 89. By its terms, this
exception allows public disclosure only where release is “in the
public interest” and would not result in “an unwarranted invasion
of personal privacy.”
Ibid. Respondents have not cited any
example of such a disclosure, nor have they identified any
plausible scenario in which their information might be unduly
disclosed under this exception.[
Footnote 15]
In light of the protection provided by the
Privacy Act’s nondisclosure requirement, and because the challenged
portions of the forms consist of reasonable inquiries in an
employment background check, we conclude that the Government’s
inquiries do not violate a constitutional right to informational
privacy.
Whalen,
supra, at 605.
* * *
For these reasons, the judgment
of the Court of Appeals is reversed, and the case is remanded for
further proceedings consistent with this opinion.
It is so ordered.
Justice Kagan took no part in the
consideration or decision of this case.
Footnote 1
As alternatives to the NACI process, the
Department of Commerce also authorized federal agencies to use
another “Office of Personnel Management … or National Security
community investigation required for Federal employment.” App. 145.
None of these alternative background checks are at issue here.
Footnote 2
For public-trust and national-security
positions, more detailed forms are required. See OPM, Standard Form
85P, Questionnaire for Public Trust Positions, online at
http://www.opm.gov/Forms/pdf_fill/sf85p.pdf; (all Internet
materials as visited Jan. 13, 2011, and available in Clerk of
Court’s case file); OPM, Standard Form 86, Questionnaire for
National Security Positions, online at http://www.opm.gov/Forms/
pdf_fill/sf86.pdf.
Footnote 3
The Government sends separate forms to
employers (Form 41), educational institutions (Form 43), record
repositories (Form 40), and law enforcement agencies (Form 44). 75
Fed. Reg. 5359. None of these forms are at issue here.
Footnote 4
Respondents sought to represent a class of
“JPL employees in non-sensitive positions.” App. 79. No class has
been certified.
Footnote 5
In the Ninth Circuit, respondents also
challenged the criteria that they believe the Government will use
to determine their “suitability” for employment at JPL. Respondents
relied on a document, which had been temporarily posted on the JPL
intranet, that listed factors purportedly bearing on suitability
for federal employment. App. 98–104. Among the listed factors were
a failure to “mee[t] financial obligations,” “health issues,” and
“mental, emotional, psychological, or psychiatric issues.”
Id., at 98, 102. Other factors, which were listed under
the heading “Criminal or Immoral Conduct,” included “indecent
exposure,” “voyeurism,” “indecent proposal[s],” and “carnal
knowledge.”
Id., at 98. The document also stated that
while “homosexuality,” “adultery,” and “illegitimate children” were
not “suitability” issues in and of themselves, they might pose
“security issue[s]” if circumstances indicated a “susceptibility to
coercion or blackmail.”
Id., at 102. The Court of Appeals
rejected respondents’ “challenges to . . . suitability
determination[s]” as unripe. 530 F. 3d, at 873. Although
respondents did not file a cross-petition from that portion of the
Ninth Circuit’s judgment, they nonetheless discuss these
suitability criteria at some length in their brief before this
Court. Respondents’ challenge to these criteria is not before us.
We note, however, the Acting Solicitor General’s statement at oral
argument that “NASA will not and does not use” the document to
which respondents object “to make contractor credentialing
decisions.” Tr. of Oral Arg. 22.
Footnote 6
429 U. S., at 598–599, and n. 25 (citing
Olmstead v.
United States,
277 U. S. 438, 478
(1928) (Brandeis, J., dissenting) (describing “the right to be let
alone” as “the right most valued by civilized men”);
Griswold v.
Connecticut,
381 U. S. 479, 483
(1965) (“[T]he First Amendment has a penumbra where privacy is
protected from governmental intrusion”);
Stanley v.
Georgia,
394 U. S. 557, 559, 568
(1969);
California Bankers Assn. v.
Shultz,
416 U. S. 21, 79
(1974) (Douglas, J., dissenting); and
id., at 78 (Powell,
J., concurring)).
Footnote 7
429 U. S., at 599–600, and n. 26 (citing
Roe v.
Wade,
410 U. S. 113 (1973);
Doe v.
Bolton,
410 U. S. 179 (1973);
Loving v.
Virginia,
388
U. S. 1 (1967);
Griswold v.
Connecticut,
supra; Pierce v.
Society of Sisters,
268 U. S. 510 (1925);
Meyer v.
Nebraska,
262 U. S. 390 (1923);
and
Allgeyer v.
Louisiana,
165 U. S. 587
(1897)).
Footnote 8
The Court continued its discussion of Fourth
Amendment principles throughout the “Privacy” section of the
opinion. See 433 U. S., at 459 (citing
United States v.
Miller,
425
U. S. 435 (1976),
United States v.
Dionisio,
410 U. S. 1
(1973), and
Katz,
389 U. S. 347)); 433 U. S., at 460–462
(addressing the former President’s claim that the Act was
“tantamount to a general warrant” under
Stanford v.
Texas,
379
U. S. 476 (1965)); 433 U. S., at 463–465, and n. 26
(concluding that the challenged law was analogous to the
wiretapping provisions of Title III of the Omnibus Crime Control
and Safe Streets Act of 1968, notwithstanding the lack of a
“warrant requirement”).
Footnote 9
State and lower federal courts have offered a
number of different interpretations of
Whalen and
Nixon over the years. Many courts hold that disclosure of
at least some kinds of personal information should be subject to a
test that balances the government’s interests against the
individual’s interest in avoiding disclosure.
E.g.,
Barry v.
New York, 712 F. 2d 1554, 1559 (CA2
1983);
Fraternal Order of Police v.
Philadelphia, 812 F. 2d 105, 110 (CA3 1987);
Woodland v.
Houston, 940 F. 2d 134, 138 (CA5
1991)
(per curiam); In re Crawford, 194 F. 3d 954,
959 (CA9 1999);
State v.
Russo, 259 Conn. 436,
459–464, 790 A. 2d 1132, 1147–1150 (2002). The Sixth Circuit
has held that the right to informational privacy protects only
intrusions upon interests “that can be deemed fundamental or
implicit in the concept of ordered liberty.”
J. P. v.
DeSanti, 653 F. 2d 1080, 1090 (1981) (internal
quotation marks omitted). The D. C. Circuit has expressed
“grave doubts” about the existence of a constitutional right to
informational privacy.
American Federation of Govt.
Employees v.
HUD, 118 F. 3d 786, 791 (1997).
Footnote 10
The opinions concurring in the judgment
disagree with this approach and would instead provide a definitive
answer to the question whether there is a constitutional right to
informational privacy.
Post, at 6–7 (opinion of Scalia,
J.);
post, at 1 (opinion of Thomas, J.). One of these
opinions expresses concern that our failure to do so will “har[m]
our image, if not our self-respect,”
post, at 7 (Scalia,
J.), and will cause practical problems,
post, at 8–9.
There are sound reasons for eschewing the concurring opinions’
recommended course.
“The premise of our adversarial system is that
appellate courts do not sit as self-directed boards of legal
inquiry and research, but essentially as arbiters of legal
questions presented and argued by the parties before them.”
Carducci v.
Regan, 714 F. 2d 171, 177 (CADC
1983) (opinion for the court by Scalia, J.). In this case,
petitioners did not ask us to hold that there is no constitutional
right to informational privacy, and respondents and their
amici thus understandably refrained from addressing that
issue in detail. It is undesirable for us to decide a matter of
this importance in a case in which we do not have the benefit of
briefing by the parties and in which potential
amici had
little notice that the matter might be decided. See Pet. for Cert.
15 (“no need in this case” for broad decision on “the scope of a
constitutionally-based right to privacy for certain information”).
Particularly in cases like this one, where we have only the “scarce
and open-ended” guideposts of substantive due process to show us
the way, see
Collins v.
Harker Heights,
503 U. S. 115, 125
(1992), the Court has repeatedly recognized the benefits of
proceeding with caution.
E.g.,
Herrera v.
Collins,
506 U. S. 390, 417
(1993) (joined by Scalia, J.) (assuming “for the sake of argument …
that in a capital case a truly persuasive demonstration of ‘actual
innocence’ ” made after conviction would render execution
unconstitutional);
Cruzan v.
Director, Mo. Dept. of
Health,
497 U.
S. 261, 279 (1990) (joined by Scalia, J.) (“[W]e assume that
the United States Constitution would grant a competent person a
constitutionally protected right to refuse lifesaving hydration and
nutrition”);
Regents of Univ. of Mich. v.
Ewing,
474 U. S. 214,
222–223 (1985) (“assum[ing], without deciding, that federal courts
can review an academic decision of a public educational institution
under a substantive due process standard”);
Board of Curators
of Univ. of Mo. v.
Horowitz,
435 U. S. 78, 91–92
(1978) (same); see also
New York State Club Assn., Inc. v.
City of New York,
487 U. S. 1, 20 (1988)
(Scalia, J., concurring in part and concurring in judgment)
(joining the Court’s opinion on the understanding that it “assumes
for purposes of its analysis, but does not hold, the existence of a
constitutional right of private association for other than
expressive or religious purposes”).
Justice Scalia provides no support for his
claim that our approach in this case will “dramatically increase
the number of lawsuits claiming violations of the right to
informational privacy,”
post, at 9, and will leave the
lower courts at sea. We take the same approach here that the Court
took more than three decades ago in
Whalen and
Nixon, and there is no evidence that those decisions have
caused the sky to fall.
We therefore decide the case before us and
leave broader issues for another day.
Footnote 11
The debate on the 1871 Act in the House of
Representatives contained this exchange on presidential authority
to conduct background checks:
“Mr. Peters: Has he not that power [to conduct
the proposed investigations of candidates for the civil service]
now?
“Mr. Dawes: He has all that power. If you will
go up to the War Department or the Department of the Interior you
will see pretty much all of this nailed up on the doors, in the
form of rules and regulations.” Cong. Globe, 41st Cong., 3d Sess.,
1935 (1871).
Footnote 12
In their brief, respondents also rely on the
fact that many of them have been working at JPL for years and that
Cal Tech previously vetted them through standard “employment
reference checks.” Brief for Respondents 52–53. The record
indicates that this may be wrong as a factual matter.
E.g., 7 Record 391 (“I have not been required to undergo
any type of background investigation to maintain my position with
JPL”);
id., at 397 (“I have never been required to undergo
any type of background investigation to maintain my position with
JPL other than … [one] which required that I provide my name,
social security number, and current address” to facilitate a “check
for outstanding warrants, arrests, or convictions”);
id.,
at 356, 367, 386–387 (similar). Even if it were correct, the fact
that Cal Tech once conducted a background check on respondents does
not diminish the Government’s interests in conducting its own
standard background check to satisfy itself that contract employees
should be granted continued access to the Government’s facility. In
any event, counsel abandoned this position at oral argument. Tr. of
Oral Arg. 38.
Footnote 13
Asking about treatment or counseling could
also help the Government identify chronic drug abusers for whom,
“despite counseling and rehabilitation programs, there is little
chance for effective rehabilitation.” 38 Fed. Reg. 33315 (1973). At
oral argument, however, the Acting Solicitor General explained that
NASA views treatment or counseling solely as a “mitigat[ing]”
factor that ameliorates concerns about recent illegal drug use. Tr.
of Oral Arg. 19.
Footnote 14
E.g., GAO, Personal Information:
Data Breaches are Frequent, but Evidence of Resulting Identity
Theft is Limited; However, the Full Extent Is Unknown 5, 20 (GAO
07–737, 2007) (over 3-year period, 788 data breaches occurred at 17
federal agencies).
Footnote 15
Respondents further contend that the Privacy
Act’s ability to deter unauthorized release of private information
is significantly hampered by the fact that the statute provides
only “an
ex post money-damages action,” not
injunctive relief. Brief for Respondents 44 (citing
Doe v.
Chao,
540
U. S. 614, 635 (2004) (Ginsburg, J., dissenting)). Nothing in
Whalen or
Nixon suggests that any private right
of action—for money damages or injunctive relief—is needed in order
to provide sufficient protection against public disclosure.
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