OPINION
This is an action asserting claims of copyright infringement under the Copyright Act, 17 U.S.C. § 501 et seq., and trademark infringement under § 43(a) of the Lanham Act, 15 U.S.C. § 1125(a), and alternatively asserting state law claims for common law idea misappropriation, deceptive business practices, and false advertising, based on defendants’ alleged unlawful copying of plaintiffs cartoon drawing of a purported squirrel-rat hybrid she calls “Sqrat.” Defendants move for summary judgment as to all of plaintiffs claims. For the reasons set forth below, the motion is granted and plaintiffs complaint is dismissed in its entirety.
BACKGROUND
Unless otherwise noted, the following facts are not in dispute.
1
Plaintiff Ivy
During the period in which Silberstein began to promote her Sqrat, Twentieth Century Fox Film Corporation (“Fox”) was in the early stages of production on an animated feature film called Ice Age. (Defs.’ 56.1 ¶¶1 — 3.) Blue Sky Studios, Inc. (“Blue Sky”), an animation company, was engaged to create the animation for the film. (Id. at ¶ 2.) The film’s creators strove to portray the historical period in which the film’s events took place — the onset of the Ice Age — with some historical accuracy (as evidenced by visits by members of Blue Sky’s creative team to the Museum of Natural History and the Bronx Zoo, and reviewing books and magazines containing pictures of prehistoric animals, Defs.’ 56.1 ¶ 5). Although the three main characters in the film were based on animals that had actually existed during the Ice Age, one character prominently featured in the film was based on a prehistoric creature, the leptictidium, that predated the Ice Age by several million years. (White Decl. ¶¶ 5, 24.) This character was known as “Scrat,” a rodential being with bulging eyes, a long snout, saber teeth, a raccoon-like striped tail, and an anxious mien. His was a modest part, serving as a plot device and comic relief; but his hilarious antics in the theater release of the film received greater exposure in the home DVD release of Ice Age, which contained a short film called “Scrat’s Missing Adventure.” (Wedge Decl. Ex. 5.) An image of Scrat from Ice Age is appended to this opinion as Exhibit B.
Silberstein initiated this lawsuit upon learning of the film
Ice Age
and the Scrat character, which she alleges was a knockoff of her own Sqrat. The Corrected Third Amended Complaint alleges violations of the federal Copyright Act, 17 U.S.C. § 101
et seq.;
of § 43(a) of the Lanham Act, 15 U.S.C. § 1125(a); §§ 349 and 350 of the New York General Business
Indeed, Silberstein’s Sqrat was virtually a dead ringer for “Beaver Cartoon #2,” (“the Beaver”), a copyrighted image then available on a CD-ROM and in a book both created by Smart Designs, a company in Tempe, Arizona. (Id.; Zavin Decl. Ex. A, 78:18 — 24.) A copy of the Beaver is appended to this opinion as Exhibit C. The Beaver was altered by the artist hired by Silberstein to create the Sqrat logo in a few respects: the beaver’s tail was replaced with a tail that the artist intended to be a squirrel’s tail (Zavin Decl. Ex. A, 82:24 — 83:2); the ears were made rounder; whiskers were added; the artist allegedly “played with the teeth a little” (Id at 81:20) (though the buekteeth of the Beaver and those of Sqrat logo are not discernibly different); and Sqrat holds a sign reading “SQRAT.”
Silberstein undisputedly did not know and was not told by her artist that his rendering of Sqrat was based on a clip-art drawing until after the fact was uncovered by counsel for defendants. (Cane Decl. Ex. B, 188:8 — 23; Silberstein Decl. ¶ 92.) After the derivative nature of Sqrat came to light, however, the need to nail down the intellectual property rights at stake in the Sqrat/Scrat skirmish engendered a flurry of activity on both sides of this dispute. In or around March 2002, Fox entered into a written agreement with Digital Art Solutions, Inc. (“DAS”), the successor in interest to Smart Designs, which warranted that it was the sole owner of the copyright in and to the Beaver and transferred and assigned its rights, title and interest in and to the Beaver to Fox, retroactive to the date of the Beaver’s creation. (Cane Decl. Ex. C.)
3
It was soon revealed, however, that DAS might have transferred more rights than it had, since the Beaver, once thought to have been created as a work-for-hire by an employee of Smart Designs, was actually drawn by an artist named Ron Szafarczyk, an independent contractor. (Id, Ex. D at 50:6 — 14, 108:14 — 22.) The ensuing dispute between
In spite of this scramble to assert ownership of the Beaver copyright, defendants are not contending that they based their Scrat on the Beaver. Rather, they base their motion for summary judgment on five primary fronts. First, they argue that their license to use the Beaver cartoon operates to preclude a copyright infringement claim as to any features of plaintiffs Sqrat that were in the original Beaver cartoon. 4 Second, they claim that Silber-stein has failed to present evidence that the creators of the Ice Age Scrat ever had access to the Sqrat logo, as would be necessary for her to prove that copying had taken place. Third, they maintain that the evidence of independent creation of Scrat defeats any claim of actual copying of Sqrat. Fourth, they contend that Scrat is not substantially similar to the protectible elements of the Sqrat logo. Fifth, they argue that the evidence does not support a claim of trademark infringement because (1) Silberstein has not used the word “Sqrat” or the Sqrat logo in commerce; (2) “Sqrat” is a descriptive term, thus necessitating a showing that the term had secondary meaning, and Silberstein has failed to put in evidence of secondary meaning; and (3) the evidence cannot support a claim of likelihood of confusion. Defendants also contend that the evidence cannot support plaintiffs state law claims.
DISCUSSION
I. Summary Judgment
Rule 56 of the Federal Rules of Civil Procedure provides that summary judgment “shall be rendered forthwith if the pleadings, depositions, answers to interrogatories, and admissions on file, together with affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” Fed. R.Civ.P. 56(c). In reviewing the record, the district court must assess the evidence in “a light most favorable to the nonmov-ing party” and resolve all ambiguities and “draw all reasonable inferences” in its favor.
LaBounty v. Coughlin,
II. Federal Intellectual Property Claims
While graphic representations of characters such as Sqrat are often protected both by copyright law and by trademark law,
see Museum Boutique Intercontinental, Ltd. v. Picasso,
A. Copyright Claim Regarding the Sqrat Logo
In order to prove copyright infringement, the owner of a valid copyright is required to show both that the defendant actually copied her work, and that the copying amounts to an improper or unlawful appropriation of the owner’s protectible material.
Laureyssens v. Idea Group, Inc.,
1. Actual Copying of the Sqrat Logo
In order to withstand defendants’ motion as to her copyright claim, plaintiff must submit evidence creating a genuine issue of material fact as to whether defendants actually copied Sqrat. Since direct proof of such copying is seldom available, courts have recognized that a plaintiff may satisfy her burden via circumstantial evidence, by showing that defendants had access to the allegedly infringed work, and that there are similarities between the works that are probative of copying.
Jorgensen v. Epic/Sony Records,
Access.
“Access” means that the alleged infringer had a reasonable opportunity to observe or copy plaintiffs work.
Tisi v. Patrick,
In further support of her allegations of access, Silberstein also contends that she directly approached Meredith Lipsky, Director of Field Publicity and Promotions for Twentieth Century Fox (the film division of Fox) at a film premiere party, and spoke to Lipsky about Sqrat. (Lipsky Deck ¶ 1; Silberstein Deck ¶¶ 57 — 58.) Silberstein claims that she showed Lipsky a magazine article about Sqrat, and that Lipsky indicated that she was familiar with Sqrat. (Silberstein Deck ¶ 58.)
5
While
Looking at the evidence in the light most favorable to plaintiff, it can be inferred that Lipsky spoke to Silberstein and perhaps even received promotional materials about Sqrat. Such an interaction would constitute “bare corporate receipt” of plaintiffs work by an individual with no alleged connection with anyone involved in the creation of the
Ice Age
Scrat, which is insufficient to show access.
Jorgensen,
Silberstein further supports her access argument by enumerating the entertainment industry professionals to whom
she pitched Sqrat (Silberstein Deck ¶ 30), and the media mentions of Sqrat, some of which were made even “before the ‘Sqrat’ was created”
(Id.
at ¶¶ 54 — 55, 78 — 83). Silberstein does not offer evidence that anyone in the industry to whom she pitched Sqrat ever communicated about Sqrat to anyone involved in the creation of
Ice Age,
does not produce evidence that anyone involved in
Ice Age
ever saw or heard about any media mentions of Sqrat, and does not provide any other indication of a nexus between receivers of information about Sqrat and the
Ice Age
creators. Plaintiff places a great deal of emphasis on a mention of Sqrat in a late September-early October issue of
License
magazine, which is apparently a trade publication for the licensed characters industry.
(Id.
at ¶¶ 53 — 55.) Plaintiff presents evidence to support her allegation that the magazine was sent to several officers and employees of various subsidiaries of Fox Entertainment Group.
(Id.
at ¶ 56.) However, there is no evidence that anyone at Fox or Blue Sky ever received or saw the issue of
License
before this litigation, and employees of Blue Sky and Fox involved in the creation of the
Ice Age
Scrat uniformly deny having seen the issue in question. (Bogin Deck ¶¶ 2 — 4; Wedge Deck ¶ 31; DeFeo Deck ¶ 36; Frake Deck ¶ 14; de Séve Deck ¶ 14.) The bare possibility that a defendant may have seen a plaintiffs copyrighted material through some public
Silberstein has contended that her Sqrat was widely disseminated in the media, and argues that this widespread dissemination should allow an inference of access. This court has consistently recognized widespread dissemination giving rise to an inference of access exclusively in eases where the allegedly infringed work has had considerable commercial success or is readily available on the market.
See ABKCO Music, Inc. v. Harrisongs Music, Ltd,
Ultimately, plaintiffs claim of access is based upon speculation and conjecture, not on evidence showing a reasonable possibility that the creators of
Ice Age
ever had access to Sqrat. Conjecture cannot create a genuine issue of material fact as to access.
Jorgensen,
Probative Similarity.
Assuming plaintiffs evidence had created a triable issue as to access, plaintiff would also have to show similarities probative of copying in order to prove actual copying.
Procter & Gamble Co. v. Colgate-Palmolive Co.,
Independent Creation.
Even where a plaintiff is successful in creating a triable issue of fact with respect to actual copying, a defendant may defeat a copyright infringement claim by demonstrating independent creation of the allegedly infringing work. Evidence of independent creation is an established ground for granting summary judgment.
See, e.g., Cox v. Abrams,
No. 93 Civ. 6899,
2. Unlawful Appropriation
Protectible Elements of the Sqrat Logo.
Sqrat is undisputedly derived from the Beaver. Compare Exhibit A to Exhibit C. Both plaintiff and defendant Fox have the right to use the Beaver, owing to (1) the confirmation of the arbitration award determining that Szafarczyk and DAS each held an undivided one-half copyright interest in the Beaver;
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(2) the subsequent retroactive transfer of Szafarc-zyk’s copyright interest to Silberstein; and (3) the subsequent retroactive license granted to Fox by DAS. There can be no copyright infringement action by a holder of a copyright against a licensee of another holder of the same copyright.
Country Road Music, Inc. v. MPS.com, Inc.,
Derivative works' are entitled to copyright protection, but only to the extent of “material contributed by the author of such work, as distinguished from the preexisting material employed in the work, and [copyright in the derivative work] does not imply any exclusive right in the preexisting material.” 17 U.S.C. § 103(b).
See also Feist Publ’ns, Inc. v. Rural Tel. Serv. Co.,
The elements that have been contributed to the Beaver to create the Sqrat logo are the round ear, the bushy tail, whiskers, and a sign reading “SQRAT.” 8 Copyright does not lend protection to all these elements. Names of cartoon characters, in particular, are not considered protectible. See 37 C.F.R. § 202.1 (“The following are examples of works not subject to copyright and applications for registration of such works cannot be entertained:
... Words and short phrases such as names, titles, and slogans.”). Trademark, not copyright, is the source of protection of character names.
See, e.g., Titan Sports, Inc. v. Hellwig,
No. 3:98-CV-467,
Substantial Similarity.
Even were plaintiff able to create an issue of actual copying that could not be defeated by defendants’ showing of independent creation, substantial similarities between the allegedly infringing work and the pro-tectible elements of the plaintiffs work must be shown. “Although the question of substantial similarity is usually one of fact, it may, if warranted, be decided as a matter of law.”
Conan,
When evaluating the presence or absence of substantial similarity when the allegedly infringed work contains protectible and non-protectible elements, the court conducts a more discerning inquiry
B. Trademark Claim Regarding the Sqrat Logo
Plaintiffs trademark infringement claim is deficient as a matter of law. “To prevail on a claim of trademark infringement, a plaintiff must show, first, that its mark merits protection, and, second, that the defendant’s use of a similar mark is likely to cause consumer confusion.”
Brennan’s, Inc. v. Brennan’s Rest., L.L.C.,
Any person who, on or in connection with any goods or services, or any container for goods, uses in commerce any word, term, name, [or] symbol, ... which ... is likely to cause confusion, or to cause mistake, or to deceive as to the affiliation, connection, or association of such person with another person, or as to the origin, sponsorship, or approval of his or her goods, services, or commercial activities by another person ... shall be liable in a civil action by any person who believes that he or she is or is likely to be damaged by such act.
15 U.S.C. § 1125(a). Section 43(a) requires that a use of a potentially confusing word, term, name or symbol be “in commerce” and “in connection with any goods or services” in order to be actionable as trademark infringement. Moreover, trademark doctrine dictates that not only the infringer, but also the infringed, must be using the mark in commerce. “The Supreme Court explained long ago that the right to a particular mark grows out of its use, not its mere adoption; its function is simply to designate the goods as the product of a particular trader and to protect his good will against the sale of another’s product as his; and it is not the subject of property except in connection with an existing business.”
Buti v. Perosa, S.R.L.,
There can be no confusion as to the source of a product if there is no product. Silberstein distributed items emblazoned with the Sqrat logo, but her avowed purpose in doing so was to generate interest in Sqrat, not to differentiate or identify the origin of the goods, which were merely vehicles for the logo. She believed that Sqrat “had huge commercial potential for use in an animated film or television series,” and her distribution of materials promoting Sqrat were “part of [her] campaign to license Sqrat as an animated movie star.” (Silberstein Decl. ¶¶ 6, 21.) Silberstein characterizes her promotion of Sqrat as an “all-out advertising and marketing campaign.”
{Id.
at ¶ 40.) “Mere advertising and promotion of a mark in this country are not enough to constitute ‘use’ of the mark ‘in commerce,’ so as to bring the activity within the scope of the Lanham Act.”
Morningside Group Ltd. v. Morningside Capital Group, L.L.C.,
III. State Law Claims
Having granted defendants’ summary judgment motion as to all plaintiffs federal claim, I decline to exercise jurisdiction over the pendent state law claims.
See Carnegie-Mellon Univ. v. Cohill,
CONCLUSION
For the foregoing reasons, defendants’ motion is hereby GRANTED in its entirety, and all claims are dismissed. The Clerk of the Court is directed to close this case.
SO ORDERED.
Notes
. The facts are drawn from the following documents, and are cited as indicated herein: Defendants’ Statement of Undisputed Facts Pursuant to Local Civil Rule 56.1 ("Defs.' 56.1 ¶_”); Declaration of Jonathan Zavin in Support of Defendants' Motion for Summary Judgment ("Zavin Decl. ¶_”) and attached exhibits; Declaration of Chris Wedge in Support of Defendants’ Motion for Summary Judgment ("Wedge Decl. ¶_") and attached exhibits; Declaration of Peter de Séve in Support of Defendants’ Motion for Summary Judgment ("de Séve Decl. ¶._”) and attached exhibits; Declaration of William H. Frake III in Support of Defendants’ Motion for Summary Judgment ("Frake Decl. V_”) and at
. After this litigation was commenced, Sil-berstein, through her attorney, attempted to revive her trademark application, but her petition was denied on December 6, 2002. (Silbertstein Deck V 9 n. 1; Zavin Reply Deck, Ex. P.)
. Plaintiff submits declarations from the artist who created Sqrat from the Beaver, Peter Levine, and Levine's former business partner, Alan Zaslau, alleging that representatives for Fox improperly offered them money if they would deny that Silberstein owned the rights to Sqrat and sell Fox their rights. Both Levine and Zaslau allegedly rejected the offer. (Fact Witness Declarations, Exs. 11 & 20.)
. While the record does not contain a copyright registration for Sqrat, reference to such a registration is contained in defendants' papers (Zavin Decl. Ex. D, 258:17 — 19), and no issue of the validity of the Sqrat copyright is raised in defendants’ motion, so validity will be assumed for the purposes of this opinion.
. Silberstein’s declaration diverges from her earlier account of this meeting with Lipsky,
. A layperson's review of Sqrat and Scrat does not point to obvious copying. Compare Exhibit A to Exhibit B. Moreover, the court notes that Gerberg does not opine as to whether there is copying of the elements in Silberstein's Sqrat that were derived entirely from the Beaver cartoon or the few additional elements added to the Beaver cartoon by Sil-berstein's artist. Compare Exhibits A and C to Exhibit B.
. Defendant argues that the issue of ownership of the Beaver copyright was decided in a final judgment, therefore operating to collaterally estop re-litigation of this issue. Plaintiff urges the court to reject defendant's issue preclusion argument on the basis of
Postlewaite
v.
McGraw-Hill, Inc.,
in which the Second Circuit held that there could be no pre-clusive effect to a judgment if the issue in question was not actually decided in the prior proceeding.
Postlewaite v. McGraw-Hill, Inc.,
. Plaintiff claims that the Sqrat's teeth should be regarded as a protectible element of the Sqrat logo, as the artist who derived the Sqrat logo from the Beaver testified that he “played with the teeth a little.” (Zavin Decl. Ex. A, 81:20.) However, even the most searching inspection yields no identifiable difference between the Sqrat's teeth and the Beaver's teeth. While the threshold for originality under copyright law is low, the Second Circuit has consistently held that "the only aspects of [derivative works] entitled to copyright protection are the non-trivial, original features, if any, contributed by the author or creator of these derivative works.”
Durham Industries, Inc. v. Tomy Corp.,
. Such a conclusion would be inescapable even under the less demanding "ordinary observer” test applied to wholly original works,
viz.:
"whether an average lay observer would overlook any dissimilarities between the works and would conclude that one was copied from the other.”
Nihon Keizai Shimbun, Inc. v. Comline Business Data, Inc.,
. Plaintiff filed a trademark registration for the word mark "SQRAT” in June 1999, which was deemed abandoned by the PTO in March 2001, evidently before advertising and marketing of Ice Age began; the film was released after this action was commenced in February 2002. As noted supra, plaintiff's refiled application was denied by the PTO. An action for infringement of a registered trademark therefore could not lie; see 15 U.S.C. § 1115(b).
