Allen v. Cooper
Allen v. Cooper
Opinion
*998
In two basically identical statutes passed in the early 1990s, Congress sought to strip the States of their sovereign immunity from patent and copyright infringement suits. Not long after, this Court held in
*999
Florida Prepaid Postsecondary Ed. Expense Bd. v. College Savings Bank
,
I
In 1717, the pirate Edward Teach, better known as Blackbeard, captured a French slave ship in the West Indies and renamed her Queen Anne's Revenge . The vessel became his flagship. Carrying some 40 cannons and 300 men, the Revenge took many prizes as she sailed around the Caribbean and up the North American coast. But her reign over those seas was short-lived. In 1718, the ship ran aground on a sandbar a mile off Beaufort, North Carolina. Blackbeard and most of his crew escaped without harm. Not so the Revenge . She sank beneath the waters, where she lay undisturbed for nearly 300 years.
In 1996, a marine salvage company named Intersal, Inc., discovered the shipwreck. Under federal and state law, the wreck belongs to North Carolina. See
This suit arises from North Carolina's publication of some of Allen's videos and photos. Allen first protested in 2013 that the State was infringing his copyrights by uploading his work to its website without permission. To address that allegation, North Carolina agreed to a settlement paying Allen $15,000 and laying out the parties' respective rights to the materials. But Allen and the State soon found themselves embroiled in another dispute. Allen complained that North Carolina had impermissibly posted five of his videos online and used one of his photos in a newsletter. When the State declined to admit wrongdoing, Allen filed this action in Federal District Court. It charges the State with copyright infringement (call it a modern form of piracy) and seeks money damages.
North Carolina moved to dismiss the suit on the ground of sovereign immunity. It invoked the general rule that federal courts cannot hear suits brought by individuals against nonconsenting States. See State Defendants' Memorandum in No. 15-627 (EDNC), Doc. 50, p. 7. But Allen responded that an exception to the rule applied because Congress had abrogated the States' sovereign immunity from suits like his. See Plaintiffs' Response, Doc. 57, p. 7. The Copyright Remedy Clarification Act of 1990 (CRCA or Act) provides that a State "shall not be immune, under the Eleventh Amendment [or] any other doctrine of sovereign immunity, from suit in Federal court" for copyright infringement.
The District Court agreed. Quoting the CRCA's text, the court first found that "Congress has stated clearly its intent to abrogate sovereign immunity for copyright claims against a state."
On interlocutory appeal, the Court of Appeals for the Fourth Circuit reversed. It read
Florida Prepaid
to prevent recourse to Section 5 no less than to Article I. A Section 5 abrogation, the Fourth Circuit explained, must be "congruent and proportional" to the Fourteenth Amendment injury it seeks to remedy.
Because the Court of Appeals held a federal statute invalid, this Court granted certiorari. 587 U.S. ----,
II
In our constitutional scheme, a federal court generally may not hear a suit brought by any person against a nonconsenting State. That bar is nowhere explicitly set out in the Constitution. The text of the Eleventh Amendment (the single most relevant provision) applies only if the plaintiff is not a citizen of the defendant State.
2
But this Court has long understood that Amendment to "stand not so much for what it says" as for the broader "presupposition of our constitutional structure which it confirms."
Blatchford v. Native Village of Noatak
,
But not entirely. This Court has permitted a federal court to entertain a suit against a nonconsenting State on two conditions. First, Congress must have enacted "unequivocal statutory language" abrogating the States' immunity from the suit.
Seminole Tribe
,
*1001
see
Dellmuth v. Muth
,
No one here disputes that Congress used clear enough language to abrogate the States' immunity from copyright infringement suits. As described above, the CRCA provides that States "shall not be immune" from those actions in federal court. § 511(a) ; see
supra,
at 999 - 1000. And the Act specifies that a State stands in the identical position as a private defendant-exposed to liability and remedies "in the same manner and to the same extent." § 501(a); see § 511(b). So there is no doubt what Congress meant to accomplish. Indeed, this Court held in
Florida Prepaid
that the essentially verbatim provisions of the Patent Remedy Act "could not have [made] any clearer" Congress's intent to remove the States' immunity.
The contested question is whether Congress had authority to take that step. Allen maintains that it did, under either of two constitutional provisions. He first points to the clause in Article I empowering Congress to provide copyright protection. If that fails, he invokes Section 5 of the Fourteenth Amendment, which authorizes Congress to "enforce" the commands of the Due Process Clause. Neither contention can succeed. The slate on which we write today is anything but clean. Florida Prepaid , along with other precedent, forecloses each of Allen's arguments.
A
Congress has power under Article I "[t]o promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries." § 8, cl. 8. That provision-call it the Intellectual Property Clause-enables Congress to grant both copyrights and patents. And the monopoly rights so given impose a corresponding duty (
i.e.,
not to infringe) on States no less than private parties. See
Goldstein v. California
,
In Allen's view, Congress's authority to abrogate sovereign immunity from copyright suits naturally follows. Abrogation is the single best-or maybe, he says, the only-way for Congress to "secur[e]" a copyright holder's "exclusive Right[s]" as against a State's intrusion. See Brief for Petitioners 20 (quoting Art. I, § 8, cl. 8). So, Allen contends, the authority to take that step must fall within the Article I grant of power to protect intellectual property.
The problem for Allen is that this Court has already rejected his theory. The Intellectual Property Clause, as just noted, covers copyrights and patents alike. So it was the first place the
Florida Prepaid
Court looked when deciding whether the Patent Remedy Act validly stripped the States of immunity from infringement suits. In doing so, we acknowledged the reason for Congress to put "States on the same footing as private parties" in patent litigation.
*1002
We based that conclusion on
Seminole Tribe
v.
Florida
, decided three years earlier. There, the Court had held that "Article I cannot be used to circumvent" the limits sovereign immunity "place[s] upon federal jurisdiction."
Allen claims, however, that a later case offers an exit ramp from
Florida Prepaid
. In
Central Va. Community College v. Katz
,
But everything in
Katz
is about and limited to the Bankruptcy Clause; the opinion reflects what might be called bankruptcy exceptionalism. In part,
Katz
rested on the "singular nature" of bankruptcy jurisdiction.
Indeed,
Katz
's view of the Bankruptcy Clause had a yet more striking aspect, which further separates it from any other. The Court might have concluded from its analysis that the Clause allows Congress
*1003
to abrogate the States' sovereign immunity (as Allen argues the Intellectual Property Clause does). But it did not; it instead went further. Relying on the above account of the Framers' intentions, the Court found that
the Bankruptcy Clause itself
did the abrogating.
Id., at 379,
And even if
Katz
's confines were not so clear,
Florida Prepaid
, together with
stare decisis
, would still doom Allen's argument. As Allen recognizes, if the Intellectual Property Clause permits the CRCA's abrogation, it also would permit the Patent Remedy Act's. See Tr. of Oral Arg. 9 (predicting that if his position prevailed, "ultimately, the Patent Remedy Act would be revisited and properly upheld as a valid exercise of Congress's Article I power"). Again, there is no difference between copyrights and patents under the Clause, nor any material difference between the two statutes' provisions. See
supra,
at 999, and n. 1, 6. So we would have to overrule
Florida Prepaid
if we were to decide this case Allen's way. But
stare decisis
, this Court has understood, is a "foundation stone of the rule of law."
Michigan v. Bay Mills Indian Community
,
B
Section 5 of the Fourteenth Amendment, unlike almost all of Article I, can authorize Congress to strip the States of immunity. The Fourteenth Amendment "fundamentally altered the balance of state and federal power" that the original Constitution and the Eleventh Amendment struck.
Seminole Tribe
,
*1004
For an abrogation statute to be "appropriate" under Section 5, it must be tailored to "remedy or prevent" conduct infringing the Fourteenth Amendment's substantive prohibitions.
City of Boerne v. Flores
,
To decide whether a law passes muster, this Court has framed a type of means-end test. For Congress's action to fall within its Section 5 authority, we have said, "[t]here must be a congruence and proportionality between the injury to be prevented or remedied and the means adopted to that end."
Boerne
,
All this raises the question: When does the Fourteenth Amendment care about copyright infringement? Sometimes, no doubt. Copyrights are a form of property. See
Fox Film Corp. v. Doyal
,
Because the same is true of patent infringement,
Florida Prepaid
again serves as the critical precedent. That decision defined the scope of unconstitutional infringement in line with the caselaw cited above-as intentional conduct for which there is no adequate state remedy. See
In enacting the Patent Remedy Act,
Florida Prepaid
found, Congress did not identify a pattern of unconstitutional patent infringement. To begin with, we explained, there was only thin evidence of States infringing patents at all-putting aside whether those actions violated due process. The House Report, recognizing that "many states comply with patent law," offered just two examples of patent infringement suits against the States.
Given that absence of evidence,
Florida Prepaid
held, the Patent Remedy Act swept too far. Recall what the Patent Remedy Act did-and did not. It abrogated sovereign immunity for any and every patent suit, thereby "plac[ing] States on the same footing as private parties."
*1006 Could, then, this case come out differently? Given the identical scope of the CRCA and Patent Remedy Act, that could happen only if the former law responded to materially stronger evidence of infringement, especially of the unconstitutional kind. Allen points to a significant disparity in how Congress created a record for the two statutes. See Brief for Petitioners 7-10, 47-50. Before enacting the CRCA, Congress asked the then-Register of Copyrights, Ralph Oman, to submit a report about the effects of the Eleventh Amendment on copyright enforcement. Oman and his staff conducted a year-long examination, which included a request for public comments eliciting letters from about 40 copyright holders and industry groups. The final 158-page report concluded that "copyright proprietors have demonstrated they will suffer immediate harm if they are unable to sue infringing states in federal court." Copyright Office, Copyright Liability of States and the Eleventh Amendment 103 (1988) (Oman Report). Is that report enough, as Allen claims, to flip Florida Prepaid 's outcome when it comes to copyright cases against the States?
It is not. Behind the headline-grabbing conclusion, nothing in the Oman Report, or the rest of the legislative record, cures the problems we identified in Florida Prepaid . As an initial matter, the concrete evidence of States infringing copyrights (even ignoring whether those acts violate due process) is scarcely more impressive than what the Florida Prepaid Court saw. Despite undertaking an exhaustive search, Oman came up with only a dozen possible examples of state infringement. He listed seven court cases brought against States (with another two dismissed on the merits) and five anecdotes taken from public comments (but not further corroborated). See Oman Report, at 7-9, 90-97. In testifying about the report, Oman acknowledged that state infringement is "not widespread" and "the States are not going to get involved in wholesale violation of the copyright laws." Hearings on H. R. 1131 before the Subcommittee on Courts, Intellectual Property, and the Administration of Justice, 101st Cong., 1st Sess., 53 (1989) (House Hearings). Indeed, he opined: "They are all respectful of the copyright law" and "will continue to respect the law"; what State, after all, would "want[ ] to get a reputation as a copyright pirate?" Id., at 8. The bill's House and Senate sponsors got the point. The former admitted that "there have not been any significant number" of copyright violations by States. Id., at 48 (Rep. Kastenmeier). And the latter conceded he could not currently see "a big problem." Hearings on S. 497 before the Subcommittee on Patents, Copyrights and Trademarks, 101st Cong., 1st Sess., 130 (1989) (Sen. DeConcini). This is not, to put the matter charitably, the stuff from which Section 5 legislation ordinarily arises.
And it gets only worse. Neither the Oman Report nor any other part of the legislative record shows concern with whether the States' copyright infringements (however few and far between) violated the Due Process Clause. Of the 12 infringements listed in the report, only two appear intentional, as they must be to raise a constitutional issue. See Oman Report, at 7-8, 91 (describing a judicial finding of "willful" infringement and a public comment charging continued infringement after a copyright owner complained). As Oman testified, the far greater problem was the frequency of "honest mistakes" or "innocent" misunderstandings; the benefit of the bill, he therefore thought, would be to "guard against sloppiness." House Hearings, at 9. Likewise, the legislative record contains no information about the availability of state-law remedies for copyright infringement (such as contract or unjust enrichment suits)-even though
*1007
they might themselves satisfy due process. Those deficiencies in the record match the ones
Florida Prepaid
emphasized. See
Under
Florida Prepaid
, the CRCA thus must fail our "congruence and proportionality" test.
Boerne
,
That conclusion, however, need not prevent Congress from passing a valid copyright abrogation law in the future. In doing so, Congress would presumably approach the issue differently than when it passed the CRCA. At that time, the Court had not yet decided Seminole Tribe , so Congress probably thought that Article I could support its all-out abrogation of immunity. See supra, at 1002. And to the extent it relied on Section 5, Congress acted before this Court created the "congruence and proportionality" test. See supra, at 1004. For that reason, Congress likely did not appreciate the importance of linking the scope of its abrogation to the redress or prevention of unconstitutional injuries-and of creating a legislative record to back up that connection. But going forward, Congress will know those rules. And under them, if it detects violations of due process, then it may enact a proportionate response. That kind of tailored statute can effectively stop States from behaving as copyright pirates. Even while respecting constitutional limits, it can bring digital Blackbeards to justice.
III
Florida Prepaid all but prewrote our decision today. That precedent made clear that Article I's Intellectual Property Clause could not provide the basis for an abrogation of sovereign immunity. And it held that Section 5 of the Fourteenth Amendment could not support an abrogation on a legislative record like the one here. For both those reasons, we affirm the judgment below.
It is so ordered.
Justice THOMAS, concurring in part and concurring in the judgment.
I agree with the Court's conclusion that the Copyright Remedy Clarification Act of 1990,
First, although I agree that
Florida Prepaid Postsecondary Ed. Expense Bd. v. College Savings Bank
,
Here, adherence to our precedent is warranted because petitioners have not demonstrated that our decision in
Florida Prepaid
"is incorrect, much less demonstrably erroneous."
Gamble
, 587 U.S., at ----, 139 S.Ct., at 1989 (same).The Court in
Florida Prepaid
correctly concluded that "Congress may not abrogate state sovereign immunity pursuant to its Article I powers," including its powers under the Intellectual Property Clause.
Second, I do not join the Court's discussion regarding future copyright legislation. In my view, we should opine on "only the case before us in light of the record before us."
Manhattan Community Access Corp.
v.
Halleck
, 587 U.S. ----, ----,
Finally, I believe the question whether copyrights are property within the original meaning of the Fourteenth Amendment's Due Process Clause remains open. The Court relies on
Fox Film Corp. v. Doyal
,
For these reasons, I join all of the Court's opinion except for the final paragraph in Part II-A and the final paragraph in Part II-B.
Justice BREYER, with whom Justice GINSBURG joins, concurring in the judgment.
The Constitution gives Congress certain enumerated powers. One of them is set forth in the Intellectual Property Clause: Congress may "promote the Progress of
*1009
Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries." Art. I, § 8, cl. 8. "And the monopoly rights so given," the Court acknowledges, operate against "States no less than private parties."
Ante
, at 1006. States, in other words, have "a specific duty" not to infringe that "is assigned by law" and upon which "individual rights depend."
Marbury v. Madison
, 5 U.S. (1 Cranch) 137, 166,
Yet the Court holds otherwise. In its view, Congress' power under the Intellectual Property Clause cannot support a federal law providing that, when proven to have pirated intellectual property, States must pay for what they plundered. Ante , at 1002 - 1004. To subject nonconsenting States to private suits for copyright or patent infringement, says the Court, Congress must endeavor to pass a more "tailored statute" than the one before us, relying not on the Intellectual Property Clause, but on § 5 of the Fourteenth Amendment. Ante , at 1002. Whether a future legislative effort along those lines will pass constitutional muster is anyone's guess. But faced with the risk of unfairness to authors and inventors alike, perhaps Congress will venture into this great constitutional unknown.
That our sovereign-immunity precedents can be said to call for so uncertain a voyage suggests that something is amiss. Indeed, we went astray in
Seminole Tribe of Fla. v. Florida
,
Because I adhere to our precedents regarding Article I and state sovereign immunity, I continue to believe that
Central Va. Community College v. Katz
,
The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See
United States v. Detroit Timber & Lumber Co.
,
The CRCA served as the model for the Patent and Plant Variety Protection Clarification Act (Patent Remedy Act), passed two years later (and repudiated by this Court in
Florida Prepaid
, see
supra,
at 989 - 999). Using the same language, the latter statute provided that a State "shall not be immune, under the [E]leventh [A]mendment [or] any other doctrine of sovereign immunity, from suit in Federal court" for patent infringement. § 2,
The Eleventh Amendment reads: "The Judicial Power of the United States shall not be construed to extend to any suit in law or equity, commenced or prosecuted against one of the United States by Citizens of another State, or by Citizens or Subjects of any Foreign State."
Reference
- Full Case Name
- Frederick L. ALLEN, Et Al., Petitioners v. Roy A. COOPER, III, Governor of North Carolina, Et Al.
- Cited By
- 120 cases
- Status
- Published