Document: 473 U.S. 207 105 S.Ct. 3127 87 L.Ed.2d 152 Paul Edmond DOWLING, Petitionerv.UNITED STATES. No. 84-589. Argued April 17, 1985. Decided June 28, Syllabus Title 18 U.S.C. § 2314 provides criminal penalties for any person who "transports in interstate or foreign commerce goods, wares, merchandise, securities money, of the value $5,000 more, knowing same to have been stolen, converted taken by fraud." Petitioner was convicted Federal District Court violating, inter alia, 2314, arising from transportation "bootleg" phonorecords that were manufactured and distributed without consent copyright owners musical compositions performed on records. The Appeals affirmed. Held: Section does not reach petitioner's conduct. Pp. 213-229. (a) language "plainly unmistakably" cover such question "stolen, fraud" purposes 2314. section's clearly contemplates a physical identity between items unlawfully obtained those eventually transported, hence some prior taking subject goods. Since statutorily defined property rights holder character distinct possessory interest owner simple "goods, [or] merchandise," interference with easily equate theft, conversion, fraud. infringer assume control over nor wholly deprive its use. Infringement implicates more complex set interests than run-of-the-mill 214-218. (b) purpose fill federal action an enforcement gap created limited state jurisdiction stolen apply No need supplemental has ever existed respect infringement, since Congress power under Constitution legislate directly this area. 218-221. (c) history infringement provisions Copyright Act indicates had no intention when it enacted 221-226. (d) To conduct would support extension significant areas, as patentinfringing evidenced enter way sanction. 226-227. 739 F.2d 1445 (9 CA 1984), reversed. Michael D. Abzug, Los Angeles, Cal., petitioner. Carolyn Frances Corwin, Washington, D.C., respondent. Justice BLACKMUN delivered opinion Court. 1 National Stolen Property imposition upon In case, we must determine whether statute reaches phonorecords, only sense they 2 * After bench trial United States Central California conducted largely basis stipulated record, petitioner Dowling one count conspiracy transport commerce, violation 371; eight counts property, 2314; nine 17 506(a); three mail fraud, 1341.1 offenses stemmed extensive bootleg record operation involving manufacture distribution recordings vocal performances Elvis Presley.2 evidence demonstrated sometime around 1976, Dowling, time avid collector Presley recordings, began conjunction codefendant William Samuel Theaker unreleased recordings. They used material variety sources, including studio outtakes, acetates, soundtracks motion pictures, tapes concerts television appearances.3 Until early 1980, records at record-pressing company Burbank, Cal. When later refused take their orders, sought out other companies Angeles and, through Richard Minor, Miami, Fla. entrepreneurs never authorization paid royalties copyrights compositions.4 3 beginning, resided near Baltimore, handled "artistic" end operation, contributing his knowledge subculture, seeking selecting material, designing covers labels, writing liner notes, while Theaker, lived familiarity music industry, took care business end, arranging pressings, distributing catalogs, filling orders. 1979, however, having come suspect FBI investigating west coast making shipments commercial trucking large quantities albums Maryland. Throughout 1979 venturers did marketing Send Service, labeling addressing entity, which least 50,000 copies catalog advertising flyers addresses mailing lists provided Dowling. collect customers' orders post office boxes Glendale, them Maryland, two substantial business: testimony establishes throughout period mailed several hundred packages per week regularly spent $1,000 postage. men also occasion make Minor purchased resale own channels. 4 arose six Baltimore Miami. See n. 1, supra. established each shipment included thousands albums, album contained copyrighted use licenses paid, attributable exceeded statutory minimum. 5 appealed all convictions save Ninth Circuit affirmed respects. (1984). As charges court relied decision v. Belmont, 715 459 1983), cert. denied, 465 1022, 104 1275, 79 679 (1984), where held videotape cassettes containing unauthorized pictures involved goods within meaning statute.5 reasoned protected indistinguishable ownership types equally deserving protection statute. F.2d, 1450, quoting 461-462. 6 We granted certiorari resolve apparent conflict among Circuits6 concerning application pirated sound whose infringed valid copyrights. 469 1157, 901, 83 917 (1985). II 7 crimes, course, "are solely creatures statute." Liparota States, 471 419, 424, 2084, 2087, 85 434 (1985), citing Hudson, Cranch 32, L.Ed. 259 (1812). Accordingly, assessing statute, pay close heed language, legislative history, order strictly scope enactment forbids. Due prerogatives defining crimes prompts restraint area, typically find "narrow interpretation" appropriate. Williams 458 279, 290, 102 3088, 3094, 73 767 (1982). Chief Marshall observed: 8 "The rule penal laws are be construed strictly, is perhaps much less old construction itself. It founded tenderness law individuals; plain principle punishment vested legislative, judicial department. legislature, Court, define crime, ordain punishment." Wiltberger, Wheat. 76, 95, 37 (1820). 9 Thus, stressed repeatedly " ' "when choice made readings what appropriate, before choose harsher alternative, require should spoken clear definite." U.S., S.Ct., Bass, 404 336, 347, 92 515, 522, 30 488 (1971), turn quotes Universal C.I.T. Credit Corp., 344 218, 221-222, 227, 229-230, 97 260 (1952). A. 10 Applying prudent here, examine outset language. requires, first, defendant transported merchandise" commerce; second, "$5,000 more"; third, "kno[w] contest he caused sufficient meet monetary requirement. He argues, instead, shipped response, Government suggest wrongfully came actually materials made; contend objects shipped, "the same" compositions. because physically embodied legal right distribute. According Government, rendered statute.7 determine, therefore, include performance consequently conclude not. 11 courts interpreting required, remain entirely unaltered form. See, e.g., Moore, 571 154, 158 (CA3) (counterfeit printed Ticketron tickets blanks printed), 435 956, 98 1589, 55 808 (1978). Nor matter item owes major portion intangible component. Seagraves, 265 876 (CA3 1959) (geophysical maps identifying possible oil deposits); Greenwald, 479 320 (CA6) (documents bearing secret chemical formulae), 414 854, 94 38 (1973). But these cases others prosecuted always themselves This basic element comports common-sense language: requiring fraud," provision seems contemplate 12 contrast, Government's theory here fraud equivalent wrongful appropriation copyright. owner, holds ordinary chattel. A copyright, like intellectual comprises series carefully delimited affords correspondingly exact protections. "Section 106 confers bundle exclusive copyright," "to publish, copy, distribute author's work." Harper & Row, Publishers, Inc. Nation Enterprises, 539, 546-547, 2218, 2223, 588 106. However, "[t]his accorded complete uses Sony Corp. City Studios, Inc., 464 417, 432, 774, 783-784, 78 574 (1984); id., 462-463, 780 (dissenting opinion). For example, 107 "codifies traditional privilege authors 'fair use' earlier writer's supra, 547, 2223. Likewise, 115 grants compulsory nondramatic works. holder's dominion subjected precisely limits. 13 follows even employs separate term art misappropriates copyright: 'Anyone violates owner,' is, anyone trespasses into domain using authorizing work five ways forth 'is copyright.' [17 U.S.C.] 501(a)." 433, 784. There dispute case Dowling's inclusion constituted clear, occurs arrogates another's comfortably fits terms associated removal employed invades province guaranteed alone. copyright; While may colloquially general notion appropriation, plainly result, but awkwardly chose—"stolen, fraud"—to describe sorts makes criminal.8 "And, explicitly question, reluctant base expansive reading inferences drawn subjective variable 'understandings.' 286, 3092. B 14 light ill-fitting consider evince congressional infringing Our examination background acute our reluctance read encompass merchandise contraband derives infringement. 15 Motor Vehicle Theft Act, ch. 89, 41 Stat. 324, currently codified 2312. Passed 1919, attempt supplement efforts combat automobile thefts. Particularly areas lines,9 authorities seriously hampered car thieves' ability vehicles beyond theft occurred.10 Legislating pursuant power,11 unlawful vehicles, thereby "strik[ing] down State lines serve barriers protect [these criminals] justice." 58 Cong.Rec. 5476 (1919) (statement Rep. Newton).12 16 acted identical 1934 "extend[ed] property" means Act. May 22, 1934, 48 794. S.Rep. 538, 73d Cong., 2d Sess., (1934); H.R.Rep. 1462, H.R.Conf.Rep. 1599, (1934). Again, assist States' foil "roving criminal," movement across stymied local officials. 2947 (1934) Attorney General Cummings).13 progenitor, responded action" area normally left law. Turley, 352 407, 77 397, 402, 430 (1957). existed, obvious reason bestowed authority Article I, 8, cl. shall "To promote Progress Science useful Arts, securing Times Authors Inventors Right respective Writings Discoveries." 19 By virtue explicit constitutional grant, unquestioned penalize infringe affect commerce. Given power, implausible suppose intended problem circuitous route hypothesized Government. Smith, 686 234, 246 (CA5 1982). Of prevent choosing well criminalize dealing thought necessary distinguish intrastate activity. good do so occur us. sum, premise 2314—the chasm jurisdiction—simply seeks here. C 20 additional hesitate extending case. Not chiefly array civil remedies provide holders against see §§ 502-505, exercising render certain forms exceeding caution. 21 first full-fledged appeared 1909, specified misdemeanor up year jail fine $100 $1,000, both, imposed "any willfully profit" copyright.14 little used. 1974, amended section, then (1976 ed.) 1947 revision,15 substantially increase piracy.16 new version retained existing supplemented subsection (b), "willfully $25,000 imprisonment year, both. 104(b) (1976).17 demonstrates increasing available category calibrated penalty problem: recognize "record piracy profitable fail deter prospective offenders." 93-1581, p. (1974), U.S.Code Cong. Admin.News pp. 6849, 6852. Even so, considered primarily economic offense, Congress, after serious consideration, rejected proposal years offense seven subsequent offense. Ibid. study, adopted comprehensive revision Mills Music, Snyder, 153, 159-161, 638, 642-643, 556 (1985); 9, 799, opinion) again altered actions, albeit cautiously. 506(a) provided: 22 "Any infringes advantage private financial gain fined $10,000 imprisoned both: Provided, That recording afforded subsections (1), (2), (3) section picture (3), (4) $50,000 years, offense." ed., Supp. V). 23 Two features noteworthy: extended enhanced applicable recordings; recited giving rise liability. noteworthy despite urging representatives film Law Revision: Hearings H.R. 2223 Subcommittee Courts, Civil Liberties, Administration House Committee Judiciary, 94th 1st 716 (1975) Jack Valenti, president Motion Picture Association America, Inc.), initial inclination Senate, 94-473, 146 (1975), declined once felony pictures. 24 Finally, Piracy Counterfeiting Amendments 1982, Pub.L. 97-180, 96 91; chose address bootlegging records, tapes, films imposing activities. 1982 revised "[a]ny punished 2319 title 18." 2319(b)(1), turn, $250,000, if "involves reproduction distribution, during one-hundred-and-eighty-day period, thousand sixty-five audiovisual works." Subsection (b)(2) similar years' involves "more And (b)(3) year's willful belief simply inadequate enormously lucrative activities large-scale bootleggers pirates. 128 9158-9159 (1982) (remarks Kastenmeier); 1981: S. 691 Criminal Senate 97th (1981) Renee L. Szybala, Special Assistant Associate General). "strengthen tape, piracy" "increas[ing] . infringements products," "bring[ing] line enormous profits being reaped activities." 97-274, (1981).18 25 reveals deal Congress' part subjecting penalties. First, hesitated long sanctions infringers. Second, required severe response—specifically, pictures—and studiously graded heightened concern. step-by-step, approach consistent sensitivity special concerns implicated laws. 26 stark presupposes bring comparatively relatively harsh bear quantity presence factor—interstate transportation—not otherwise though relevant presumes adoption indirect blunderbuss solution treated precision directly. contrary, discrepancy approaches convinces us D 27 broad consequences theory, both field kindred fields law, final dispositive factor manner suggested. very recently Nation, weekly magazine political commentary, former President Ford's unpublished manuscript memoirs verbatim excerpting 300 words work. Nation's argument fair Presented facts hypothetical oral present litigation, conceded permit prosecution lines. Tr. Oral Arg. 35. Whatever wisdom propriety publish excerpts, pause, absence indication intention, purview 28 cabin patents property. If idea effectively tangible embodiment tapes," Gottesman, 724 1517, 1520 (CA11 too patent article accord patented specifications. acknowledged argument, 29, view readily patent-infringing Despite undoubted patents.19 rationale supporting circumstances justify wide expanses sanction.20 militates strongly proffered Cf. 287, 3093. III 29 legislation statutes straitjackets enactment. sanctioning urged Courts understandably utilize tool increasingly bootlegging, piracy, Nevertheless, deliberation last decade addressed profit, chosen anew leaving legislature crime prescribe penalties.21 Here, conduct, Lacher, 134 624, 628, 625, 626, 33 1080 (1890); gaps couch attack; bodies gave touch. requisite clarity. Invoking "time-honored interpretive guideline" "ambiguity ambit resolved favor lenity,' 427, 2089, Rewis 401 808, 812, 91 1056, 1059, 493 reverse judgment Appeals. ordered. 31 POWELL, whom WHITE join, dissenting. 32 today "different" kinds explain, how differences identifies either Because I believe fairly dissent. commerce—bootleg merchandise. there reproduce issue "equate[d] Ante, ----. Virtually every concluded enough Dowling's. Drum, 733 1503, 1505-1506 (CA11), 1061, 543, 431 Whetzel, 191 U.S.App.D.C. 184, 187, 10, 589 707, 710, (1978); Berkwitt, 619 649, 656-658 (CA7 1980); Sam Goody, 506 F.Supp. 380, 385-391 (EDNY 1981). cited lends holding 234 1982).1 Court's thus contrary weight authority. 34 focuses fact "[t]he chattel." 216. quite correctly notes "comprise[d] interests," ibid., enjoy 'complete work,' ante, 217, enjoys Indeed, virtually entire owner's Interference objects, why difference matters distinction goal thwarting misappropriated served distinction. Although surely "just protection. ." 1506. 35 concedes interpreted Bottone, 365 389, 393-394 (CA2 1966). likewise recognizes "owes component." difficulty finds finding fraudulent taking, nature difficulty, me, views relative evil versus thievery, interpretation 36 i.e., traditionally given courts. (1957), "stolen" felonious takings intent benefits ownership, regardless constitute larceny common Id., 402. Similarly, Morissette 342 246, 72 240, 288 (1952), stated conversion "may consummated keep possession converter lawful. Conversion misuse abuse extent placed one's custody use." 271-272, 254-255. duplication exploitation himself lawfully reserved owner. Under acts viewed performances. cognizable definition Morissette. invokes familiar narrowly. assure warning public, 348, (1971); McBoyle 283 25, 27, 51 340, 341, 75 816 (1931), applied ambiguous put persons notice crime. supra; Bell 349 81, 83, 620, 622, 99 905 (1955). disagree principles, ambiguous, broad. punishes individuals worth noted above, "converted" past. could doubt committing defrauding owner.2 39 emphasizes contain terms. particular violate foreclose indictment. "This recognized act prosecute discriminate class defendants." Batchelder, 442 114, 123-124, 2198, 2203-2204, 60 755 (1979). 40 implicitly approved adopting 91, "shall addition law." 2319(a) (emphasis added). Judiciary specifically added italicized clarify "supplement[s] 127, Many supplemental, consented continued offenses. partners "could doubted 394. His claim evinces sort sterile formality" properly vast majority question. 459, 462 (CA9 Only concern Counts Seven indictment, referring charged: "On about dates listed below locations hereinafter specified, defendants THEAKER DOWLING knowingly $5,000, compositions, knew, proprietors." App. 6-7. chart identified shipments, County, Md., dated January 12, November 1979. 7. Eight Nine indictment referred continued: THEAKER, MINOR 7-8. Fla., second 4, 8. severed codefendants Minor. pleaded guilty Brief 2, 1. naming him, 756 731 phonorecord contains copy commercially performance. various sources. fans concert performances, soundtracks, appearances. Outsiders obtain "outtakes," portions recorded "master," edited slated release transcription tapes. Or "acetate," cut stylus rather stamped, capable played few times wearing out, utilized assess will likely phonorecord. Though frequently interchangeably, "pirated" one, latter already released. according archivist RCA Records, career "Elvis Dorsey Shows" Presley's appearances shows January, February, March 1956; From Waist Up" Ed Sullivan Show" September October 1956 1957; "Plantation Rock" song acetate, indicated author song; Legend Lives On" master Records inventory; "Rockin' New Year's Eve" derived audience member 1976 Pittsburgh; Tour" tape source name. Stipulation re Testimony Joan Deary, Record, Doc. 109, 24, 35, 37, 40, 44. With exceptions Tour," counts. Copyrights, Royalties Licenses, 111-125, Songs Albums, 127-145. requires manufacturers pressing 115. motion-picture movies, extend until Sound Recording 1971, 92-140, 391, fixed February 15, 1972. Goldstein California, 412 546, 551-552, 93 2303, 2307-2308, 163 Therefore, most opposed performed, apparently event, rely Atherton, 561 747, 752 1977) (motion pictures); Drebin, 557 1316, 1328 pictures), 436 904, 2232, 56 1985) (sound recordings). 1982), "off air" broadcasting fall agreed comes assumed same. (CA11) recordings), 1519-1521 1984) (1978) recordings); 1980) Gallant, 570 303, 310-314 (SDNY 1983) 1981) Steerwell Leisure 598 171, 174 (WDNY (video games). argues alternative alone amply establishing illicit means. points testimony, custodians outtakes found onto neither authorized permitted access persons. 22-23, 34, 38-39, 42-43, 46. sounds transferred, therefore 389 (CA2), 385 974, 514, 437 (1966). reasons, decline upholding convictions. exclusively allegations compositions," illegal procurement; rests "Dowling's sale 'goods, wares merchandise' 1445, 1450-1451 1984). Moreover, assuming establish procurement difficult problems valuation theory. introduced might allegedly archives, relate ultimately shipped. Instead, attempted isolate 24-33. circumstances, validity dissent relies give "very broad" reading. Post, ---- - considering feloniously common-law larceny. Morissette, 641 providing "[w]hoever embezzles, steals, purloins, converts" penalties, pointed extends stealing. Neither Turley general; neither, sheds presented Parts II-B II-D, infra. 5472 Reavis); 5474 Bee). 5471 Dyer) ("State evil. Thieves steal automobiles another ofttimes associates receive sell machines"). 5471-5472 Dyer); 5475-5476 Newton). explained: "By developed embezzlement, false pretenses, trick, taking. advent automobile, deal. uniquely suited larceny, embezzlement pretenses. valuable, salable itself supplied speedy escape. 'The [became] perfect chattel modern theft.' challenge best met increased number, speed motor until, became necessity. result Act." 413-414, 400-401 (footnote omitted). "These criminals full improved methods communication, possessed pursuing fugitive criminals, want central coordinating agency acting behalf States. offenders, almost inevitably breakdown results centralized agency. [T]he territorial limitations [local authorities'] adequately protecting citizens type criminal." Mar. 1082. Interestingly, 1909 liability mechanical licensing, underlying 25(e), 1081. remove bar which, coverage provision. 392. Jan. 6, 1897, 481, misdemeanor, punishable presentation, done dramatic composition. 31, 1790, 124 (fixed one-half payable copying book, chart, map). generally Young, Step Beyond, reprinted ASCAP Symposium 157 (1983); Gawthrop, An Inquiry Into Infringement, 154 (1972). July 30, 1947, 61 652. Dec. 93-573, 88 1873. offender ed.). (1974). trafficking counterfeit labels affixed 2318. suggests law," 2319(a), "implicitly" text evidences awareness, let approval, prosecutions now indication, appended impliedly validate unsupported purpose. instead affording cause action. 281-294. Among treble damages 284; see, American Safety Table Co. Schreiber, 415 373, 378-379 1969), 396 1038, 90 683, 682 (1970). P. Rosenberg, Patent Fundamentals 17.08 (2d ed. 1985). relating 497, proscribes forgery, counterfeiting, alteration letters patent, uttering thereof. 292 ($500 penalty, go suing marking status). trademark rights. Yet, extensively legislated Trademark 1946 (Lanham Act), 1051 et seq., era resorted 1984, 98-473, XV, 2178. 98-526, 1-2, J. McCarthy, Trademarks Unfair Competition 30:39 opposing petition writ longer needs punish Adverting recent action, advised Court: "[A]pplication considerably diminished significance passage, seq. (codified 2318, 2319). treatment statutes. prosecutors invoke connection activity." Opposition These observations conclusion reached place proper counter spread Eleventh arguments offered reiterated today. agree Drum supports material. employee petitioner's, unindicted co-conspirator, partner "were wary unusually charged records." A19-A20 (stipulation regarding Aca "Ace" Anderson).

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