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The Copyright Act (Act) generally requires copyright holders to register their works before suing for copyright infringement. 17 U. S. C. A. §411(a). The complaint in this consolidated, class-action copyright infringement suit alleged that the named plaintiffs each own at least one copyright, typically in a freelance article written for a newspaper or magazine, that they had registered in accordance with §411(a). The class, however, included both authors who had registered their works and authors who had not. The parties moved the District Court to certify a settlement class and approve a settlement agreement. The District Court did so over the objections of some freelance authors. On appeal, the Second Circuit sua sponte raised the question whether §411(a) deprives federal courts of subject-matter jurisdiction over infringement claims involving unregistered copyrights, concluding that the District Court lacked jurisdiction to certify the class or approve the settlement.
Held: Section 411(a)'s registration requirement is a precondition to filing a copyright infringement claim. A copyright holder's failure to comply with that requirement does not restrict a federal court's subject-matter jurisdiction over infringement claims involving unregistered works. Pp. 5-16.
(a) "Jurisdiction" refers to "a court's adjudicatory authority," Kontrick v. Ryan,
(b) Like the Title VII numerosity requirement in Arbaugh, §411(a) does not "clearly stat[e]" that its registration requirement is "jurisdictional."
(c) A contrary result is not required by Bowles v. Russell,
(d) The Court declines to apply judicial estoppel to affirm the Second Circuit's judgment vacating the settlement. While some of petitioners' arguments below are in tension with those made in this Court, accepting their arguments here does not create the type of "inconsistent court determinations" in their favor that estoppel is meant to address. See New Hampshire v. Maine,
(e) Because §411(a) does not restrict a federal court's subject-matter jurisdiction, this Court need not address the question whether the District Court had authority to approve the settlement under the Second Circuit's erroneous reading of §411. The Court also declines to decide whether §411(a)'s registration requirement is a mandatory precondition to suit that district courts may or should enforce sua sponte by dismissing copyright infringement claims involving unregistered works. Pp. 15-16.
509 F. 3d 116, reversed and remanded.
Thomas, J., delivered the opinion of the Court, in which Roberts, C. J., and Scalia, Kennedy, and Alito, JJ., joined. Ginsburg, J., filed an opinion concurring in part and concurring in the judgment, in which Stevens and Breyer, JJ., joined. Sotomayor, J., took no part in the consideration or decision of the case.
REED ELSEVIER, INC., et al., PETITIONERS v. IRVIN
MUCHNICK et al.
on writ of certiorari to the united states court of appeals for the second circuit
[March 2, 2010]
Justice Thomas delivered the opinion of the Court.
Subject to certain exceptions, the Copyright Act (Act) requires copyright holders to register their works before suing for copyright infringement. 17 U. S. C. A. §411(a) (Supp. 2009). In this case, the Court of Appeals for the Second Circuit held that a copyright holder's failure to comply with §411(a)'s registration requirement deprives a federal court of jurisdiction to adjudicate his copyright infringement claim. We disagree. Section 411(a)'s registration requirement is a precondition to filing a claim that does not restrict a federal court's subject-matter jurisdiction.
I
A
The Constitution grants Congress the power "[t]o promote the Progress of Science and useful Arts, by securing for limited Times to Authors ... the exclusive Right to ... their ... Writings." Art. I, §8, cl. 8. Exercising this power, Congress has crafted a comprehensive statutory scheme governing the existence and scope of "[c]opyright protection" for "original works of authorship fixed in any tangible medium of expression." 17 U. S. C. §102(a). This scheme gives copyright owners "the exclusive rights" (with specified statutory exceptions) to distribute, reproduce, or publicly perform their works. §106. "Anyone who violates any of the exclusive rights of the copyright owner as provided" in the Act "is an infringer of the copyright." §501(a). When such infringement occurs, a copyright owner "is entitled, subject to the requirements of section 411, to institute an action" for copyright infringement. §501(b) (emphasis added).
This case concerns "the requirements of section 411" to which §501(b) refers. Section 411(a) provides, inter alia and with certain exceptions, that "no civil action for infringement of the copyright in any United States work shall be instituted until preregistration or registration of the copyright claim has been made in accordance with this title."1 This provision is part of the Act's remedial scheme. It establishes a condition--copyright registration--that plaintiffs ordinarily must satisfy before filing an infringement claim and invoking the Act's remedial provisions. We address whether §411(a) also deprives federal courts of subject-matter jurisdiction to adjudicate infringement claims involving unregistered works.
B
The relevant proceedings in this case began after we issued our opinion in New York Times Co. v. Tasini,
The consolidated complaint alleged that the named plaintiffs each own at least one copyright, typically in a freelance article written for a newspaper or a magazine, that they had registered in accordance with §411(a). The class, however, included both authors who had registered their copyrighted works and authors who had not. See App. 94.
Because of the growing size and complexity of the lawsuit, the District Court referred the parties to mediation. For more than three years, the freelance authors, the publishers (and their insurers), and the electronic databases (and their insurers) negotiated. Finally, in March 2005, they reached a settlement agreement that the parties intended "to achieve a global peace in the publishing industry." In re Literary Works in Electronic Databases Copyright Litigation, 509 F. 3d 116, 119 (CA2 2007).
The parties moved the District Court to certify a class for settlement and to approve the settlement agreement. Ten freelance authors, including Irvin Muchnick (hereinafter Muchnick respondents), objected. The District Court overruled the objections; certified a settlement class of freelance authors under Federal Rules of Civil Procedure 23(a) and (b)(3); approved the settlement as fair, reasonable, and adequate under Rule 23(e); and entered final judgment. At no time did the Muchnick respondents or any other party urge the District Court to dismiss the case, or to refuse to certify the class or approve the settlement, for lack of subject-matter jurisdiction.
The Muchnick respondents appealed, renewing their objections to the settlement on procedural and substantive grounds. Shortly before oral argument, the Court of Appeals sua sponte ordered briefing on the question whether §411(a) deprives federal courts of subject-matter jurisdiction over infringement claims involving unregistered copyrights. All parties filed briefs asserting that the District Court had subject-matter jurisdiction to approve the settlement agreement even though it included unregistered works.
Relying on two Circuit precedents holding that §411(a)'s registration requirement was jurisdictional, see 509 F. 3d, at 121 (citing Well-Made Toy Mfg. Corp. v. Goffa Int'l Corp., 354 F. 3d 112, 114-115 (CA2 2003); Morris v. Business Concepts, Inc., 259 F. 3d 65, 72-73 (CA2 2001)), the Court of Appeals concluded that the District Court lacked jurisdiction to certify a class of claims arising from the infringement of unregistered works, and also lacked jurisdiction to approve a settlement with respect to those claims, 509 F. 3d, at 121 (citing "widespread agreement among the circuits that section 411(a) is jurisdictional").2
Judge Walker dissented. He concluded "that §411(a) is more like the [nonjurisdictional] employee-numerosity requirement in Arbaugh [v. Y & H Corp.,
We granted the owners' and publishers' petition for a writ of certiorari, and formulated the question presented to ask whether §411(a) restricts the subject-matter jurisdiction of the federal courts over copyright infringement actions. 555 U. S. ____ (2009). Because no party supports the Court of Appeals' jurisdictional holding, we appointed an amicus curiae to defend the Court of Appeals' judgment.3 556 U. S. ____ (2009). We now reverse.
II
A
"Jurisdiction" refers to "a court's adjudicatory authority." Kontrick v. Ryan,
While perhaps clear in theory, the distinction between jurisdictional conditions and claim-processing rules can be confusing in practice. Courts--including this Court--have sometimes mischaracterized claim-processing rules or elements of a cause of action as jurisdictional limitations, particularly when that characterization was not central to the case, and thus did not require close analysis. See Arbaugh, supra, at 511-512 (citing examples); Steel Co.,
In light of the important distinctions between jurisdictional prescriptions and claim-processing rules, see, e.g., id., at 514, we have encouraged federal courts and litigants to "facilitat[e]" clarity by using the term "jurisdictional" only when it is apposite, Kontrick, supra, at 455. In Arbaugh, we described the general approach to distinguish "jurisdictional" conditions from claim-processing requirements or elements of a claim:
"If the Legislature clearly states that a threshold limitation on a statute's scope shall count as jurisdictional, then courts and litigants will be duly instructed and will not be left to wrestle with the issue. But when Congress does not rank a statutory limitation on coverage as jurisdictional, courts should treat the restriction as nonjurisdictional in character."
The plaintiff in Arbaugh brought a claim under Title VII of the Civil Rights Act of 1964, which makes it unlawful "for an employer . . . to discriminate," inter alia, on the basis of sex. 42 U. S. C. §2000e-2(a)(1). But employees can bring Title VII claims only against employers that have "fifteen or more employees." §2000e(b). Arbaugh addressed whether that employee numerosity requirement "affects federal-court subject-matter jurisdiction or, instead, delineates a substantive ingredient of a Title VII claim for relief."
Our holding turned principally on our examination of the text of §2000e(b), the section in which Title VII's numerosity requirement appears. Section 2000e(b) does not "clearly stat[e]" that the employee numerosity threshold on Title VII's scope "count[s] as jurisdictional." Id., at 515-516, and n. 11. And nothing in our prior Title VII cases compelled the conclusion that even though the numerosity requirement lacks a clear jurisdictional label, it nonetheless imposed a jurisdictional limit. See id., at 511-513. Similarly, §2000e(b)'s text and structure did not demonstrate that Congress "rank[ed]" that requirement as jurisdictional. See id., at 513-516. As we observed, the employee numerosity requirement is located in a provision "separate" from §2000e-5(f)(3), Title VII's jurisdiction-granting section, distinguishing it from the "amount-in-controversy threshold ingredient of subject-matter jurisdiction ... in diversity-of-jurisdiction under 28 U. S. C. §1332." Arbaugh, 546 U. S., at 514-515. Accordingly, the numerosity requirement could not fairly be read to " 'speak in jurisdictional terms or in any way refer to the jurisdiction of the district courts.' " Id., at 515 (quoting Zipes v. Trans World Airlines, Inc.,
We now apply this same approach to §411(a).
B
Section 411(a) provides:
"Except for an action brought for a violation of the rights of the author under section 106A(a), and subject to the provisions of subsection (b), no civil action for infringement of the copyright in any United States work shall be instituted until preregistration or registration of the copyright claim has been made in accordance with this title. In any case, however, where the deposit, application, and fee required for registration have been delivered to the Copyright Office in proper form and registration has been refused, the applicant is entitled to institute a civil action for infringement if notice thereof, with a copy of the complaint, is served on the Register of Copyrights. The Register may, at his or her option, become a party to the action with respect to the issue of registrability of the copyright claim by entering an appearance within sixty days after such service, but the Register's failure to become a party shall not deprive the court of jurisdiction to determine that issue."
We must consider whether §411(a) "clearly states" that its registration requirement is "jurisdictional." Arbaugh, supra, at 515. It does not. Amicus disagrees, pointing to the presence of the word "jurisdiction" in the last sentence of §411(a) and contending that the use of the term there indicates the jurisdictional cast of §411(a)'s first sentence as well. Brief for Court-Appointed Amicus Curiae in support of Judgment Below 18 (hereinafter Amicus Brief). But this reference to "jurisdiction" cannot bear the weight that amicus places upon it. The sentence upon which amicus relies states:
"The Register [of Copyrights] may, at his or her option, become a party to the [copyright infringement] action with respect to the issue of registrability of the copyright claim by entering an appearance within sixty days after such service, but the Register's failure to become a party shall not deprive the court of jurisdiction to determine that issue." §411(a) (emphasis added).
Congress added this sentence to the Act in 1976, 90 Stat. 2583, to clarify that a federal court can determine "the issue of registrability of the copyright claim" even if the Register does not appear in the infringement suit. That clarification was necessary because courts had interpreted §411(a)'s precursor provision,4 which imposed a similar registration requirement, as prohibiting copyright owners who had been refused registration by the Register of Copyrights from suing for infringement until the owners first sought mandamus against the Register. See Vacheron & Constantin-Le Coultre Watches, Inc. v. Benrus Watch Co., 260 F. 2d 637, 640-641 (CA2 1958) (construing §411(a)'s precursor). The 1976 amendment made it clear that a federal court plainly has adjudicatory authority to determine "that issue," §411(a) (emphasis added)--i.e., the issue of registrability--regardless of whether the Register is a party to the infringement suit. The word "jurisdiction," as used here, thus says nothing about whether a federal court has subject-matter jurisdiction to adjudicate claims for infringement of unregistered works.
Moreover, §411(a)'s registration requirement, like Title VII's numerosity requirement, is located in a provision "separate" from those granting federal courts subject-matter jurisdiction over those respective claims. See Arbaugh, supra, at 514-515. Federal district courts have subject-matter jurisdiction over copyright infringement actions based on 28 U. S. C. §§1331 and 1338. But neither §1331, which confers subject-matter jurisdiction over questions of federal law, nor §1338(a), which is specific to copyright claims, conditions its jurisdictional grant on whether copyright holders have registered their works before suing for infringement. Cf. Arbaugh, supra, at 515 ("Title VII's jurisdictional provision" does not "specif[y] any threshold ingredient akin to 28 U. S. C. §1332's monetary floor").
Nor does any other factor suggest that 17 U. S. C. A. §411(a)'s registration requirement can be read to " 'speak in jurisdictional terms or refer in any way to the jurisdiction of the district courts.' " Arbaugh,
That the numerosity requirement in Arbaugh could be considered an element of a Title VII claim, rather than a prerequisite to initiating a lawsuit, does not change this conclusion, as our decision in Zipes demonstrates. Zipes (upon which Arbaugh relied) held that Title VII's requirement that sex-discrimination claimants timely file a discrimination charge with the EEOC before filing a civil action in federal court was nonjurisdictional. See 455 U. S., at 393; 42 U. S. C. §2000e-5(f)(1) (establishing specific time periods within which a discrimination claimant must file a lawsuit after filing a charge with the EEOC). A statutory condition that requires a party to take some action before filing a lawsuit is not automatically "a jurisdictional prerequisite to suit." Zipes,
The registration requirement in 17 U. S. C. A. §411(a) fits in this mold. Section 411(a) imposes a precondition to filing a claim that is not clearly labeled jurisdictional, is not located in a jurisdiction-granting provision, and admits of congressionally authorized exceptions. See §§411(a)-(c). Section 411(a) thus imposes a type of precondition to suit that supports nonjurisdictional treatment under our precedents.
C
Amicus insists that our decision in Bowles,
Bowles did not hold that any statutory condition devoid of an express jurisdictional label should be treated as jurisdictional simply because courts have long treated it as such. Nor did it hold that all statutory conditions imposing a time limit should be considered jurisdictional.7 Rather, Bowles stands for the proposition that context, including this Court's interpretation of similar provisions in many years past, is relevant to whether a statute ranks a requirement as jurisdictional.
In Bowles, we considered 28 U. S. C. §2107, which requires parties in a civil action to file a notice of appeal within 30 days of the judgment being appealed, and Rule 4 of the Federal Rules of Appellate Procedure, which "carries §2107 into practice."
Bowles therefore demonstrates that the relevant question here is not (as amicus puts it) whether §411(a) itself has long been labeled jurisdictional, but whether the type of limitation that §411(a) imposes is one that is properly ranked as jurisdictional absent an express designation. The statutory limitation in Bowles was of a type that we had long held did "speak in jurisdictional terms" even absent a "jurisdictional" label, and nothing about §2107's text or context, or the historical treatment of that type of limitation, justified a departure from this view. That was not the case, however, for the types of conditions in Zipes and Arbaugh.
Here, that same analysis leads us to conclude that §411(a) does not implicate the subject-matter jurisdiction of federal courts. Although §411(a)'s historical treatment as "jurisdictional" is a factor in the analysis, it is not dispositive. The other factors discussed above demonstrate that §411(a)'s registration requirement is more analogous to the nonjurisdictional conditions we considered in Zipes and Arbaugh than to the statutory time limit at issue in Bowles.8 We thus conclude that §411(a)'s registration requirement is nonjurisdictional, notwithstanding its prior jurisdictional treatment.9
III
Amicus argues that even if §411(a) is nonjurisdictional, we should nonetheless affirm on estoppel grounds the Court of Appeals' judgment vacating the District Court's order approving the settlement and dismissing the case. According to amicus, petitioners asserted previously in these proceedings that copyright registration was jurisdictional, and this assertion should estop them from now asserting a right to waive objections to the authors' failure to register. Amicus urges us to prevent the parties "from 'playing fast and loose with the courts' by 'deliberately changing positions according to the exigencies of the moment.' " Amicus Brief 58 (quoting New Hampshire v. Maine,
We agree that some statements in the parties' submissions to the District Court and the Court of Appeals are in tension with their arguments here. But we decline to apply judicial estoppel. As we explained in New Hampshire, that doctrine typically applies when, among other things, a "party has succeeded in persuading a court to accept that party's earlier position, so that judicial acceptance of an inconsistent position in a later proceeding would create the perception that either the first or the second court was misled." Id., at 750 (internal quotation marks omitted).
Such circumstances do not exist here for two reasons. First, the parties made their prior statements when negotiating or defending the settlement agreement. We do not fault the parties' lawyers for invoking in the negotiations binding Circuit precedent that supported their clients' positions. Perhaps more importantly, in approving the settlement, the District Court did not adopt petitioners' interpretation of §411(a) as jurisdictional. Second, when the Court of Appeals asked petitioners to brief whether §411(a) restricted the District Court's subject-matter jurisdiction, they argued that it did not, and the Court of Appeals rejected their arguments. See App. to Reply Brief for Petitioners 3a-5a, and n. 2. Accepting petitioners' arguments here thus cannot create "inconsistent court determinations" in their favor. New Hampshire, supra, at 751 (internal quotation marks omitted). We therefore hold that the District Court had authority to adjudicate the parties' request to approve their settlement.
IV
Our holding that §411(a) does not restrict a federal court's subject-matter jurisdiction precludes the need for us to address the parties' alternative arguments as to whether the District Court had authority to approve the settlement even under the Court of Appeals' erroneous reading of §411. In concluding that the District Court had jurisdiction to approve the settlement, we express no opinion on the settlement's merits.
We also decline to address whether §411(a)'s registration requirement is a mandatory precondition to suit that--like the threshold conditions in Arizona v. California,
* * *
We reverse the judgment of the Court of Appeals for the Second Circuit and remand this case for proceedings consistent with this opinion.
It is so ordered.
Justice Sotomayor took no part in the consideration or decision of this case.
REED ELSEVIER, INC., et al., PETITIONERS v. IRVIN MUCHNICK et al.
on writ of certiorari to the united states court of appeals for the second circuit
[March 2, 2010]
Justice Ginsburg, with whom Justice Stevens and Justice Breyer join, concurring in part and concurring in the judgment.
I agree with the Court's characterization of 17 U. S. C. A. §411(a) (Supp. 2009). That provision, which instructs authors to register their copyrights before commencing suit for infringement, "is a precondition to filing a claim that does not restrict a federal court's subject-matter jurisdiction." Ante, at 1. I further agree that Arbaugh v. Y & H Corp.,
In Arbaugh, we held nonjurisdictional a prescription confining Title VII's coverage to employers with 15 or more employees, 42 U. S. C. §2000e-2(a)(1). After observing that "the 15-employee threshold ... 'd[id] not speak in jurisdictional terms or refer in any way to the jurisdiction of the district courts,' "
"If the Legislature clearly states that a threshold limitation on a statute's scope shall count as jurisdictional, then courts and litigants will be duly instructed and will not be left to wrestle with the issue. But when Congress does not rank a statutory limitation on coverage as jurisdictional, courts should treat the restriction as nonjurisdictional in character. Applying that readily administrable bright line to this case, we hold that the threshold number of employees for application of Title VII is an element of a plaintiff's claim for relief, not a jurisdictional issue."
As the above-quoted passage indicates, the unanimous Arbaugh Court anticipated that all federal courts would thereafter adhere to the "bright line" held dispositive that day.
Bowles moved in a different direction. A sharply divided Court there held "mandatory and jurisdictional" the time limits for filing a notice of appeal stated in 28 U. S. C. §2107(a), (c).
Bowles and Arbaugh can be reconciled without distorting either decision, however, on the ground that Bowles "rel[ied] on a long line of this Court's decisions left undisturbed by Congress." Union Pacific R. Co. v. Locomotive Engineers and Trainmen Gen. Comm. of Adjustment, Central Region, 558 U. S. ___, ___ (2009) (slip op., at 13) (citing Bowles,
Plainly read, Arbaugh and Bowles both point to the conclusion that §411(a) is nonjurisdictional. Section 411(a) "does not speak in jurisdictional terms or refer in any way to the jurisdiction of the district courts." Zipes,
Bowles does not detract from that determination. Amicus, reading Bowles as I do, urges on its authority that we hold §411(a) jurisdictional lest we disregard " 'a century's worth of precedent.' " Brief for Court-Appointed Amicus Curiae in Support of Judgment Below 26 (quoting Bowles,
* * *
For the reasons stated, I join the Court's judgment and concur in part in the Court's opinion.
Other sections of the Act--principally §§408-410--detail the registration process, and establish remedial incentives to encourage copyright holders to register their works, see, e.g., §410(c); 17 U. S. C. A. §412 (2005 ed. and Supp. 2009).
See La Resolana Architects, PA v. Clay Realtors Angel Fire, 416 F. 3d 1195, 1200-1201 (CA10 2005); Positive Black Talk Inc. v. Cash Money Records Inc., 394 F. 3d 357, 365 (CA5 2004); Xoom, Inc. v. Imageline, Inc., 323 F. 3d 279, 283 (CA4 2003); Murray Hill Publications, Inc. v. ABC Communications, Inc., 264 F. 3d 622, 630, and n. 1 (CA6 2001); Brewer-Giorgio v. Producers Video, Inc., 216 F. 3d 1281, 1285 (CA11 2000); Data Gen. Corp. v. Grumman Systems Support Corp., 36 F. 3d 1147, 1163 (CA1 1994).
We appointed Deborah Jones Merritt to brief and argue the case, as amicus curiae, in support of the Court of Appeals' judgment. Ms. Merritt has ably discharged her assigned responsibilities.
See Act of Mar. 4, 1909, §12, 35 Stat. 1078.
Cf. Zipes,
See Jones v. Bock,
Bowles, for example, distinguished Scarborough v. Principi,
This conclusion mirrors our holding in Zipes that Title VII's EEOC filing requirement was nonjurisdictional, even though some of our own decisions had characterized it as jurisdictional. See
Amicus' remaining jurisdictional argument--that the policy goals underlying copyright registration support construing §411(a)'s registration provisions as jurisdictional, see Amicus Brief 45--is similarly unavailing. We do not agree that a condition should be ranked as jurisdictional merely because it promotes important congressional objectives. See Arbaugh v. Y & H Corp.,
* E.g., Eberhart v. United States,
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No. 08-103
Argued: October 07, 2009
Decided: March 02, 2010
Court: United States Supreme Court
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