Lead Opinion
Many disputes may be compromised by converting the stakes to a common denominator such as money and splitting the difference. Few commercial disputes end up in court, because the disputants may readily compromise and move on. Other disputes are harder to resolve because they seem to involve principles for which no compromise is readily apparent. The result may be a private war. A dispute that would be resolved quickly in the commercial world may fester. We have such a dispute. It is about the order in which the names of an article’s authors will be listed. The article is D.J. Belsheim, R.A. Hutchinson & M.M. Weinstein, The Design and Evaluation of a Clinical Clerkship for Hospital Pharmacists, 50 Am. J. Pharmaceutical Education 139-45 (1986). Weinstein believes that it should have been published as M.M. Weinstein, D.J. Belsheim & R.A. Hutchinson, Etc. According to Weinstein, the publication of the article with the names in the wrong order violated the due process clause of the fourteenth amendment.
I
Weinstein was an Assistant Professor of Pharmacy Administration in the College of Pharmacy of the University of Illinois at Chicago. According to his complaint, from which we take these facts, he proposed a clinical program for practicing pharmacists, who would operate for two weeks in a “clerkship” under the guidance of professors. Several efforts to obtain funding for such a program were unsuccessful. The University finally supplied funds from its own budget for a program in August 1983. The proposal to the University was made jointly by Weinstein, Belsheim (another assistant professor and Director of Continuing Education in the College of Pharmacy), and Hutchinson (Director of Pharmacy Practice at the University of Illinois Hospital, where the clerkship program would be carried out). All three participated in the program. Although Weinstein asserts that he supplied most of the ideas and did most of the work, he concedes that the three agreed to write jointly on the results. Weinstein believes that he had an agreement with Belsheim under which Weinstein would be the first-listed author of a paper describing the clerkship and the data obtained from questionnaires, while Belsheim would be lead author of a paper to be called “Teaching Problem Solving in a Post-Graduate Clinical Pharmacy Clerkship.”
In January 1984 Weinstein gave Belsheim a draft. Belsheim was dissatisfied. The two disagreed about the subjects to be covered and the conclusions to be drawn. By January 1985 Weinstein had completed another draft. One day he found the draft in Belsheim’s wastebasket, with many editorial marks and sections snipped out. Belsheim denied doing more than making “notes” but shortly produced a new draft, revising both the text and the order of listing of authors. Weinstein did not like either the new order or the new text. Belsheim raised the matter with T. Donald Rucker, head of the Department of Pharmacy Administration in the College of Pharmacy. Rucker urged “that a ruling be sought from a representative group of peers, the College Executive Committee.” Neither Belsheim nor Rucker asked the committee to act. Henri R. Manasse, Dean of the College, also offered some advice to Weinstein. He suggested further consultation among the authors but expressed impatience with their slow progress. He explained: “The work described in the present draft is a clear articulation of the
Weinstein says that the listing of names is no small matter. He is seeking a topic on which to write a dissertation and believes that the clerkship program would have been suitable, but that Belsheim’s being listed as first author precludes it. (The record does not contain an affidavit or other evidence confirming that his thesis adviser would take this view, and if things are as Weinstein portrays them it is hard to see why the adviser would, but given the procedural posture of the case we must accept Weinstein’s allegations.) He also believes that because the principal author is listed first,
We shall assume, given the posture of the case, that Weinstein could make good his claims of injury-in-fact. We shall also assume that the acts of Belsheim, an employee of a state university, were taken “under color of state law”, see Lugar v. Edmondson Oil Co.,
II
The district court concluded that the article was the University’s property rather than Weinstein’s because it was a “work for hire”. The copyright law gives an em
(1) The terms of a University agreement with an external party require the University to hold or transfer ownership in the copyrightable work, or
(2) Works expressly commissioned in writing by the University, or
(3) Works created as a specific requirement of employment or as an assigned University duty. Such requirements or duties may be contained in a job description or an employment agreement which designates the content of the employee’s University work. If such requirements or duties are not so specified, such works will be those for which the topic or content is determined by the author’s employment duties and/or which are prepared at the University’s instance and expense, that is, when the University is the motivating factor in the preparation of the work.
The district court held that Weinstein’s work is covered by paragraph (3) because the University funded the clerkship program and because, as a clinical professor, Weinstein was required to conduct and write about clinical programs.
This interpretation of the University’s policy collides with the role of the three categories as exceptions to a rule that faculty members own the copyrights in their academic work. A university “requires” all of its scholars to write. Its demands — especially the demands of departments deciding whether to award tenure — will be “the motivating factor in the preparation of” many a scholarly work. When Dean Manasse told Weinstein to publish or perish, he was not simultaneously claiming for the University a copyright on the ground that the work had become a “requirement or duty” within the meaning of paragraph (3). The University concedes in this court that a professor of mathematics who proves a new theorem in the course of his employment will own the copyright to his article containing that proof. This has been the academic tradition since copyright law began, see M. Nimmer, Copyright § 5.03[B][l][b] (1978 ed.), a tradition the University’s policy purports to retain. The tradition covers scholarly articles and other intellectual property. When Saul Bellow, a professor at the University of Chicago, writes a novel, he may keep the royalties.
The University’s copyright policy reads more naturally when applied to administrative duties. Perhaps the University forms a committee to study the appropriate use of small computers and conscripts professors as members. The committee may publish a report, in which the University will claim copyright. We do not say that a broader reading is impossible, but such a reading should be established by evidence about the deliberations underlying the policy and the course of practice — material that is neither in the record nor an appropriate basis on which to dismiss the complaint for failure to state a claim. We would be surprised if any member of the faculty of the College of Pharmacy treats his academic work as the property of the University. Dean Manasse, for example, has not submitted an affidavit stating that the faculty regularly obtains consent (or a transfer of copyright) from the University before publishing articles. The record does not contain the contracts between the American Journal of Pharmaceutical Education and Professors Belsheim, Hutchinson, and Weinstein, but we venture a guess that each represented
If the members of the University’s faculty own the copyright interest in their scholarly articles, Weinstein has some “property”. But did the University “deprive” him of this property without “due process”? Both “deprivation” and “due process” are problematic. If the University does not own the copyright, the article is covered by 17 U.S.C. § 201(a), which states that “[t]he authors of a joint work are coowners of copyright in the work.” This provision applies to all works of joint authorship, and Weinstein concedes that the article in question is (and was supposed to be) a jointly written work. See also Latman’s Copyright Law 115-17 (W. Patry 6th ed. 1986). Each coowner of a copyright may revise the work (that is, make a derivative work) and publish the original or the revision. See Oddo v. Ries,
Perhaps Weinstein, Belsheim, and the University could have agreed by contract to give the University the power to make binding decisions concerning disputes over academic papers, but Weinstein does not identify any such agreement. The University therefore had no more power over this manuscript than it did over the title to Belsheim’s car or Weinstein’s family heirlooms. The potential use of contracts does identify the essence of this dispute, however. It is really a contract dispute between Belsheim and Weinstein about their contributions to the article. Authors may make contracts as they please about their endeavors. These derive their force from private agreement, and disputes about them arise under state law rather than copyright law. See Oddo and Judge
The courts of Illinois are open to Weinstein if he claims that the state “deprived” him of any rights established by contract with Belsheim. Contractual rights are a kind of property. See Board of Regents v. Roth,
Ill
If war is the extension of diplomacy by other means, this suit — like other litigation a form of warfare — is the extension of academic politics by other means. Weinstein and Belsheim were unable to compromise, and Weinstein has dragged his fellow scholars and the University into the contest. His willingness, even eagerness, to sue his colleagues may be explained by the fact that the University has fired him.
Weinstein was an instructor from 1968 until 1980, when he was hired as an assistant professor, his first tenure-track position. Professors on the tenure track at the University of Illinois have contracts specifying that the professor has no expectation of renewal. From time to time the faculty evaluates the candidate, with the expectation that by the end of six years the candidate will be given tenure or be released. Weinstein’s first formal evaluation, in 1983, was negative. He had not published anything in a refereed journal in three years and was told to shape up. He did not publish anything new by the spring of 1984, when the second review occurred. This review was negative too. Department head Rucker, who made the critical recom
Weinstein insists that his discharge violates the Constitution, which is absurd. He lacked a property interest in his position.
Weinstein is litigating a defunct claim. He hasn’t a chance; he never did; but he has put the University to some expense. This is frivolous litigation. Fed. R. App.P. 38 allows us to award attorneys’ fees to parties who resist frivolous claims on appeal. For a sample of our more recent cases, see Reis v. Morrison,
Awards of attorneys’ fees induce people to reconsider and ensure that refusals to surrender do not burden the innocent. See Coleman v. CIR,
Affirmed.
Notes
. We assume that the custom in Weinstein’s profession is as he describes it. This is not universal. All three members of this panel have followed the custom in the legal profession of listing authors in alphabetical order. E.g., R.D. Cudahy & J.R. Malko, Electric Peak-Load Pricing: Madison Gas and Beyond, 1976 Wisc.L.Rev. 47; F.H. Easterbrook & D.R. Fischel, Corporate Control Transactions, 91 Yale LJ. 698 (1982); W.M. Landes & R.A. Posner, The Positive Economic Theory of Tort Law, 15 Ga.L.Rev. 851 (1981). The listing "Belsheim, Hutchinson & Weinstein” is alphabetical. Of course, the practice in the legal profession is subject to exceptions. See, e.g., the listing of members of this panel at the beginning of the opinion, or the listing on any brief.
. There will not necessarily be citations to it. Weinstein has published 13 articles other than the one in question. According to the Social Science Citation Index and the Science Citation Index, only two have been cited (once each) since 1969. If neither Index should report a citation to this article, the order in which the authors are listed would be academic. Even if there should be a citation, other professors know the Indexed practice of collecting citations under the name of the first author, so with a list of Weinstein’s articles they would know under what names to look; still, this is a pain, and perhaps putative employers would not bother.
. Weinstein tries to avoid this by asserting droit moral, the Continental principle that an author may prevent mutilation or misuse of his work. Copyright persists in “derivative works”, see 17 U.S.C. § 103, which gives authors control over changes and republications along the lines of droit moral, see WGN Continental Broadcasting Co. v. United Video, Inc.,
. He makes a first amendment argument in passing, but he was not fired on account of the political slant of his views. He was fired for not having any views, at least none recently in print. A public university is entitled to insist that its faculty conform to the same standards of scholarly productivity and quality that private universities use. That includes publishing useful work, even though the first amendment extends to the public at large a "right to keep silent" as a corollary of the right to decide what to say. Wooley v. Maynard,
. The status of Hogue is unclear, in light of the efforts by a divided panel of the Eighth Circuit to confine that decision. See Skeets v. Johnson,
Concurrence Opinion
concurring in part and dissenting in part.
I agree that Weinstein must lose in all branches of his case, although I believe that the majority inaccurately diminishes Weinstein’s complaint by saying that it involves only the order of authors’ names. Maj. op. at 1092. Weinstein also alleges that the procedure employed by the university to evaluate him for a tenured position denied him due process, that the publication of his article in a revised form denied him his property interest in the writing without due process and that the university violated his first amendment rights.
With respect to the literary property claim, I am less inclined than the majority to concede the existence of state action. As the majority points out, this is essentially a contract controversy between two professors. The involvement of the state in this private dispute can be described as peripheral at best. If the state did not deprive Weinstein of his property interest, we need not discuss the relative virtues of pre- and post-deprivation remedies.
In any event, I cannot join in the portion of the majority opinion that awards attorney’s fees on appeal with respect to the discharge claim. The university did not request fees and I have serious doubts whether, in the ordinary case and absent egregious circumstances, we should reach out to make fee awards based only on our own assessment of lack of merit. This is bound to be a capricious business, punishing some while far worse offenders go unsanctioned.
Of course, the courts have a strong interest — quite apart from that of the litigants — in discouraging frivolous litigation. It is also arguable that the discharge claim here is sufficiently meritless to at least border on the frivolous. But the university may have reasons of its own not to request fees and quite possibly those reasons outweigh in this case the public interest in discouraging poorly supported lawsuits.
I therefore respectfully dissent from the award of fees.
. It might be fairer just to adopt the English rule and say, "If you lose, you pay.”
