Andrew DIVERSEY, Plaintiff-Appellant, v. David SCHMIDLY; Richard Holder; Charles Fleddermann; James Koch; Raymond Sanchez; Martha Bedard; Jack Fortner, all individually and in their official capacities, Defendants-Appellees.
No. 13-2058.
United States Court of Appeals, Tenth Circuit.
Dec. 23, 2013.
1196
CONCLUSION
For the reasons discussed above, we affirm the district court‘s dismissal of Myers’ Fourteenth Amendment claim and reverse the district court‘s dismissal of Myers’ Fourth Amendment claim. Accordingly, the judgment of the district court is reversed, in part, and the case is remanded for further proceedings consistent with this opinion. Koopman‘s arguments regarding absolute and qualified immunity should be addressed in the first instance by the district court.6
Case number 12-1482 is AFFIRMED in part, REVERSED in part, and REMANDED.
Case number 12-1487, the cross-appeal, is DISMISSED for lack of jurisdiction.
Kimberly N. Bell, Associate University Counsel, The University of New Mexico, Albuquerque, NM, for Defendants-Appellees.
Before MATHESON, Circuit Judge, PORFILIO, and O‘BRIEN, Senior Circuit Judges.
O‘BRIEN, Senior Circuit Judge.
Andrew Diversey sued several administrators and members of the Board of Regents of the University of New Mexico (UNM) for infringing his copyright to an unpublished dissertation. The district court dismissed Diversey‘s complaint as untimely under
BACKGROUND AND PROCEDURAL HISTORY
Since we accept all well pleaded facts as true, our factual recitation comes primarily from Diversey‘s amended complaint. He was a doctor-of-philosophy (Ph.D.) student studying linguistics at the University of New Mexico. His complaint paints a picture of intractable difficulties with the members of his dissertation committee. The members did not provide him with mentorship or feedback on his dissertation drafts, even after he complained to departmental and university administrators, including Charles Fleddermann, UNM‘s Dean of Graduate Studies. Diversey claims the dissertation committee failed to review the final draft of the dissertation, and says, “[t]he dissertation must ... be fully reviewed and evaluated in its final form by the committee members and director before being officially approved and submitted; otherwise it is illegitimate and thus of no academic value.” (R. Vol. I at 68.)
As Diversey continued to attempt to convince UNM officials to correct the deficiencies in the dissertation process, he provided a copy of the draft dissertation to UNM Dissertation Coordinator Doug Weintraub, who volunteered to proofread it. Before Weintraub could do so, Fleddermann allegedly confiscated the draft.
Diversey escalated his complaints: he contacted UNM‘s President, its Dean of Student Affairs, and several members and officers of UNM‘s Board of Regents to no avail. Then, on June 16, 2009, Diversey discovered two copies of his dissertation: one in UNM‘s Zimmerman Library and another in the collection of the Zimmerman Library‘s Center for Southwest Research. These copies were available to the general public. Diversey wrote each of the appellees, including the Dean of University Libraries, citing his copyright and requesting the return of all copies of his dissertation. On October 5, 2009, UNM‘s counsel sent Diversey a letter refusing Diversey‘s request.1
On June 15, 2012, Diversey filed a complaint for copyright infringement. In dismissing the case, the magistrate judge2 concluded the copyright infringement claims accrued in February 2008 when Diversey was notified of the dissertation‘s deposit in the Zimmerman Library and became aware it had been sent to ProQuest. Thus, he concluded, the three-year limitation period elapsed by February 2011, and Diversey‘s June 2012 complaint was not timely. He also rejected Diversey‘s argument that UNM‘s ongoing distribution of his work in its libraries was a continuing infringement for which the cause of action did not accrue until the infringement ceased.
DISCUSSION
Our review of a
We first examine and apply the law relating to the limitation period applicable to Diversey‘s claims. Then, we examine the two alternative rationales the appellees assert in defense of the dismissal.3
A. Limitation Period for Copyright Infringement Claims
A claim for copyright infringement must be brought “within three years after the claim accrued.”
Diversey relies in part on the minority interpretation of
The minority view is not compelling. First, the statute itself says nothing to support a special limitation rule for “continuing wrongs.” See
B. Copying and Distribution Claims
Diversey contends the district court erred in concluding his claims were barred under the three-year limitation period. In particular, he argues the judge erred by “failing to recognize separate ... accrual dates for each distinct infringement.” (Appellant Br. at 16.) We agree and conclude Diversey‘s claim for infringement of his distribution right is not time-barred.
Diversey argues “there are actually several distinct copyright infringements giving rise to several independent claims for relief, each of which has its own corresponding ... accrual date.” (Appellant Br. at 17.) According to his amended complaint, there were two alleged infringements. First, his exclusive right to make copies was infringed when the draft dissertation was reproduced for deposit in UNM‘s Zimmerman Library and its Center for Southwest Research. See
As to the copies made for deposit in the libraries, the judge‘s analysis was correct. Holder‘s February 7, 2008, letter apprised Diversey of the deposit of his dissertation in Zimmerman Library, which also houses the collection of the Center for Southwest Research. This notice appears to have been effective, as it prompted Diversey to contact ProQuest, UNM‘s dissertation publisher, to inquire as to whether it, too, had received a copy of the draft dissertation.6 When ProQuest confirmed it had received a copy on February 20, 2008, Diversey knew at least one unauthorized copy had been made. Thus, his claim for unauthorized copying under
In the appellees’ view, Diversey had actual notice of the alleged infringement of his distribution right when he was informed his dissertation “had been deposited in Zimmerman Library” on February 7, 2008. (Appellee Br. 8.) This assertion elides the distinction between the deposit in the library and the library‘s subsequent distribution of the work. Given Diversey‘s objections and the routine processing time necessary for the libraries to add the dissertation to their collections, the deposit of the dissertation in the library was not tantamount to the distribution of the work.
Diversey‘s claim of infringement of his right to distribution accrued on June 16, 2009, and his June 15, 2012, complaint was timely as to this claim. The judge‘s contrary conclusion was an error.8
C. Fair Use
As an alternative basis for affirmance, the appellees contend their use was permissible under the statutory provisions for fair use. See
The Copyright Act of 1976 recognizes the common-law defense of fair use.
- the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes; the nature of the copyrighted work;
- the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
- the effect of the use upon the potential market for or value of the copyrighted work.
Here, only the first factor—purpose and character of use—weighs strongly in the appellees’ favor. The use at issue is the distribution of the dissertation via the UNM libraries. This is a non-commercial, educational purpose at the heart of the protection for fair use. The libraries themselves, while they apparently serve the public, are academic libraries existing primarily for scholarly and research purposes.
The second factor—the nature of the copyrighted work—weighs strongly in Diversey‘s favor. As he notes, “[u]nder ordinary circumstances, the author‘s right to control the first public appearance of his undisseminated expression will outweigh a claim of fair use.” (Appellant Br. at 28 (quoting Harper & Row, 471 U.S. at 555).); see Harper & Row, 471 U.S. at 553 (noting the copyright owner‘s heightened interest in the right of first publication relative to the other exclusive rights provided under
The third factor—the amount and substantiality of the portion used in relation to the whole—also weighs strongly in Diversey‘s favor because the UNM libraries are distributing the entire dissertation.
The fourth factor—the effect of the use on the potential market for or value of the copyrighted work—is somewhat harder to assess. Diversey does not allege his work was intended for the commercial market. Rather, the value of the work is in the opportunities it affords him to properly complete his doctoral program, compete for academic jobs, and advance the scholarship in his discipline. At this stage, we accept as true his assertion that he cannot effectively complete the dissertation review and defense process at another institution while UNM still lists his work in its libraries’ catalogs. This has completely deprived him of the value of the dissertation. This factor weighs in his favor.
Because, at this stage, the fair-use factors tilt heavily against the appellees, their use cannot be considered fair under
D. Involvement of Each of the Appellees
As another alternative basis for affirmance, the appellees contend Diversey‘s amended complaint fails to allege any of them personally “undertook any act to cause the dissertation to be cataloged.” (Appellee Br. 13.) We leave this issue for the district court to resolve on remand.
Ordinarily, there are two elements to a claim for liability for copyright infringement. A plaintiff must show (1) he owns a valid copyright to the allegedly infringed work, and (2) the defendant violated one of his exclusive rights as copyright owner. Country Kids ‘N City Slicks, Inc. v. Sheen, 77 F.3d 1280, 1284 & n. 2 (10th Cir.1996); see
Here, there appears to be no dispute as to the validity of Diversey‘s copyright. And, in light of the above discussion, Diversey‘s exclusive right to control the distribution of his dissertation was infringed. The appellees ask us to determine whether the amended complaint adequately alleges sufficient involvement to expose each of them to liability. In the appellees’ view, the complaint fails to allege any of them personally listed the dissertation in the libraries’ catalog system or asked anyone else to do so.
On the contrary, this is exactly what the complaint alleges with respect to Fleddermann. It alleges he confiscated the draft dissertation from Weintraub‘s office and provided it to the UNM libraries for inclusion in their collections. As this resulted in the libraries’ distribution of the
We are, however, reluctant to extend our analysis beyond Fleddermann.9 The judge did not address the arguments with respect to any of the other appellees in his memorandum opinion. Because Diversey‘s claims include allegations of secondary liability, a fact-intensive analysis will be necessary to determine whether he has stated a plausible claim against each appellee. We decline to decide this issue in the first instance. See Lowe v. Town of Fairland, Okla., 143 F.3d 1378, 1381 (10th Cir. 1998) (“As a general rule an appellate court does not consider an issue not passed upon below.“).
CONCLUSION
With respect to Diversey‘s claims of infringement of his exclusive right to copy his dissertation, we AFFIRM the judgment of the district court. With respect to his claim of infringement of his exclusive right of distribution, we REVERSE and REMAND for further proceedings consistent with this opinion.
Bigler Jobe STOUFFER, II,
Petitioner-Appellant,
v.
Anita TRAMMELL, Warden, Oklahoma State Penitentiary, Respondent-Appellee.
No. 11-6293.
United States Court of Appeals, Tenth Circuit.
Dec. 26, 2013.
