Authors Guild, Inc. v. HathiTrust

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Authors Guild, Inc. v. HathiTrust
Seal of the United States Court of Appeals for the Second Circuit.svg
Court United States District Court for the Southern District of New York, United States Court of Appeals for the Second Circuit
Full case nameAuthors Guild v. HathiTrust
DecidedJune 10, 2014 (2d Cir.); October 10, 2012 (SDNY)
Citation(s)755 F.3d 87 (2d Cir. 2014); 902 F.Supp.2d 445, 104 U.S.P.Q.2d 1659, Copyr.L.Rep. ¶ 30327 (SDNY)
Court membership
Judge(s) sitting Harold Baer Jr. (SDNY); John M. Walker, Jr., José A. Cabranes, Barrington Daniels Parker, Jr. (2d Cir.)
Keywords
copyright infringement, fair use

Authors Guild v. HathiTrust, 755 F.3d 87 (2d Cir. 2014), is a United States copyright decision finding search and accessibility uses of digitized books to be fair use.

Contents

The Authors Guild, other author organizations, and individual authors claimed that the HathiTrust Digital Library had infringed their copyrights through its use of books scanned by Google. A federal court ruled against the plaintiffs in October 2012, finding that HathiTrust's use was permissible under fair use. [1] [2] The plaintiffs appealed the decision to the Second Circuit, and were rebuffed in 2014. In an opinion by Barrington Daniels Parker, Jr., the Second Circuit largely affirmed the lower court's findings of fair use for accessibility and search, remanding only to consider whether the plaintiffs had standing to sue about library preservation copies. [3] [4] The remaining claims were settled on January 6, 2015. [5] [6] [7]

Background

The HathiTrust Digital Library (HTDL) is a spin-off of the Google Books Library Project. It was founded in 2008 by the Committee on Institutional Cooperation and the University of California system. [8] The collections of these university libraries were digitized by Google and then combined by HTDL. The digitization by Google has been the subject of a separate lawsuit.

HTDL's main objective is the long-term preservation of the collection. Member libraries may order replacement copies of works if "(1) the member already owned an original copy, (2) the member's original copy is lost, destroyed, or stolen, and (3) a replacement copy is unobtainable at a fair price." [3] The HTDL main functionality is full-text search. When search results are found in works in the public domain, the work is displayed online, and so are works for which the copyright holder has granted permission. For other works, only page numbers and the number of search results per page are shown. In addition, the HTDL makes its collection available to students with print disabilities by offering them secure system access for screen readers. The collection of works available to print-disabled students through HTDL is often larger and easier to navigate than those offered through most university student disability student services offices. [1]

Additionally, the University of Michigan library administers a project to identify orphan works. [9] An orphan work is a copyrighted work whose owner cannot be identified or contacted. The Orphan Works Project focuses primarily on works in the HTDL. The project originally planned to automatically publish suspected orphan works after a 90-day notice. This plan was never implemented and was suspended indefinitely after the complaint in this case was filed.

District court opinion

In its decisions, the district court first discusses the standing of the plaintiffs. Three plaintiffs, the Authors Guild, the Writers' Union of Canada and the Australian Society of Authors don't own any copyrights, but seek to assert the copyrights of their members. The court rules that under U.S. law [10] only copyright owners and exclusive licensees may sue for copyright infringement. However, four foreign organizations are allowed to sue on behalf of their members because they have that right under foreign law. The thirteen remaining plaintiffs are copyright owners and all have standing.

The court then addresses the Orphan Works Project. The plaintiffs asked the court for a declaration that "distribution and display of copyrighted works through the HathiTrust Orphan Works Project will infringe the copyrights of Plaintiffs and others likely to be affected" [1] as well as an injunction to stop the project. However, since the project never made it out of the planning phase, the court refuses to grant such an injunction. The court is missing "crucial information about what that program will look like should it come to pass and whom it will impact." [1] The court says the plaintiffs can always request relief after the actual project has been launched.

Fair use

Finally, the court considers the main fair-use argument of the case. The plaintiffs argue that because the defendants are libraries, they are governed by 17 U.S.C.   § 108 and can't claim a fair use [11] defense. The court rules that the special rights granted to libraries in §108 are in addition to fair use rights and continues to evaluate the defendants' fair use claims. As the court explains, there are four independent factors to address in any fair use evaluation [11] :

  1. The purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes;
  2. the nature of the copyrighted work;
  3. the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
  4. the effect of the use upon the potential market for or value of the copyrighted work.

Regarding the purpose and character of the use, the court deems all uses of the work by HTDL transformative. Use as a search engine has been deemed transformative before in Kelly v. Arriba Soft and Perfect 10 v. Amazon . Regarding accessibility, the court notes "the provision of access for [print-disabled users] was not the intended use of the original work (enjoyment and use by sighted persons) and this use is also transformative." [1] Finally the court also says that non-commercial preservation is transformative.

With respect to the nature of the copyrighted works, the court declares that because the use is transformative, the nature of the works need not be considered. As for the amount of the works used, the court writes that "entire copies were necessary to fulfill Defendants' purposes of facilitation of searches and access for print-disabled individuals." [1]

The court concludes with a discussion of how the defendants' use affects the market for the copyrighted works. The plaintiffs claim that the digitization of the books by the libraries represents lost sale of electronic books; the court explains however that e-books are not sufficient for the defendants' search engine and accessibility uses. The plaintiffs also claim that the defendants have opened the door to mass piracy by digitizing their works, but the court believes the defendants have taken adequate security measures to prevent that. Finally, the plaintiffs claim that the HTDL harms their future plans to open or license their own library or search engine. However, the court declines to rule on potential harm and also points out that transformative use "does not cause the copyright holder to suffer market harm due to the loss of license fees." [1] The defendants also argue, and the court agrees, that plaintiffs will never "develop a market to license the use of works for search purposes, access for print-disabled individuals, or preservation purposes" because it is not a "commercially viable endeavor". [1]

Weighing all these factors, the court concludes that all uses of the copyrighted works by the HTDL are fair use. The court also notes that while all of the HTDL is covered under fair use, the Americans with Disabilities Act of 1990 and the Chafee amendment [12] also grant the libraries the right to provide access to copyrighted materials to print-disabled users.

Circuit court opinion

The circuit court largely concurs with the district court's findings, except for two details. The circuit court disagrees with the district court that providing access to the print-disabled is a transformative use. The circuit court argues that merely making a work available to a broader audience than originally intended is not transformative. The court compares providing access to the print-disabled to translating a work into a different language, where the latter is not generally considered transformative. However, the court falls back on a Supreme Court decision in Sony v Universal [13] to assert that providing access to the print-disabled is in and of itself fair use.

The circuit court does not want to decide on the issue of the production of replacement copies for preservation purposes. The plaintiffs have not shown that any of their works would not be replaceable at a fair price, because works that are replaceable as such will not be reproduced by the HTDL. Therefore, the court vacates the lower court's decision on this issue and remands it back to them. The rest of the original judgment is affirmed by the court.

See also

Related Research Articles

Fair use is a doctrine in United States law that permits limited use of copyrighted material without having to first acquire permission from the copyright holder. Fair use is one of the limitations to copyright intended to balance the interests of copyright holders with the public interest in the wider distribution and use of creative works by allowing as a defense to copyright infringement claims certain limited uses that might otherwise be considered infringement. Unlike "fair dealing" rights that exist in most countries with a British legal history, the fair use right is a general exception that applies to all different kinds of uses with all types of works and turns on a flexible proportionality test that examines the purpose of the use, the amount used, and the impact on the market of the original work.

<span class="mw-page-title-main">Google Books</span> Service from Google

Google Books is a service from Google Inc. that searches the full text of books and magazines that Google has scanned, converted to text using optical character recognition (OCR), and stored in its digital database. Books are provided either by publishers and authors through the Google Books Partner Program, or by Google's library partners through the Library Project. Additionally, Google has partnered with a number of magazine publishers to digitize their archives.

In United States copyright law, transformative use or transformation is a type of fair use that builds on a copyrighted work in a different manner or for a different purpose from the original, and thus does not infringe its holder's copyright. Transformation is an important issue in deciding whether a use meets the first factor of the fair-use test, and is generally critical for determining whether a use is in fact fair, although no one factor is dispositive.

The Michigan Digitization Project is a project in partnership with Google Books to digitize the entire print collection of the University of Michigan Library. The digitized collection is available through the University of Michigan Library catalog, Mirlyn, the HathiTrust Digital Library, and Google Books. Full-text of works that are out of copyright or in the public domain are available.

<i>Castle Rock Entertainment, Inc. v. Carol Publishing Group Inc.</i> 1998 US legal case

Castle Rock Entertainment Inc. v. Carol Publishing Group, 150 F.3d 132, was a U.S. copyright infringement case involving the popular American sitcom Seinfeld. Some U.S. copyright law courses use the case to illustrate modern application of the fair use doctrine. The United States Court of Appeals for the Second Circuit upheld a lower court's summary judgment that the defendant had committed copyright infringement. The decision is noteworthy for classifying Seinfeld trivia not as unprotected facts, but as protectable expression. The court also rejected the defendant's fair use defense finding that any transformative purpose possessed in the derivative work was "slight to non-existent" under the Supreme Court ruling in Campbell v. Acuff-Rose Music, Inc., 510 U.S. 569 (1994).

<span class="mw-page-title-main">HathiTrust</span> Digital library

HathiTrust Digital Library is a large-scale collaborative repository of digital content from research libraries including content digitized via Google Books and the Internet Archive digitization initiatives, as well as content digitized locally by libraries.

<i>Kelly v. Arriba Soft Corp.</i>

Kelly v. Arriba Soft Corporation, 280 F.3d 934 withdrawn, re-filed at 336 F.3d 811, is a U.S. court case between a commercial photographer and a search engine company. During the case, ownership of Arriba Soft changed to Sorceron, the operator of the Internet search engine Ditto.com. The court found that US search engines may use thumbnails of images, though the issue of inline linking to full size images instead of going to the original site was not resolved.

<i>Bridgeman Art Library v. Corel Corp.</i> U.S. legal case on copyright originality

Bridgeman Art Library v. Corel Corp., 36 F. Supp. 2d 191, was a decision by the United States District Court for the Southern District of New York, which ruled that exact photographic copies of public domain images could not be protected by copyright in the United States because the copies lack originality. Even though accurate reproductions might require a great deal of skill, experience and effort, the key element to determine whether a work is copyrightable under US law is originality.

<span class="mw-page-title-main">Derivative work</span> Expressive work created from a major part of a different, original artwork

In copyright law, a derivative work is an expressive creation that includes major copyrightable elements of an original, previously created first work. The derivative work becomes a second, separate work independent in form from the first. The transformation, modification or adaptation of the work must be substantial and bear its author's personality sufficiently to be original and thus protected by copyright. Translations, cinematic adaptations and musical arrangements are common types of derivative works.

Fair dealing is a limitation and exception to the exclusive rights granted by copyright law to the author of a creative work. Fair dealing is found in many of the common law jurisdictions of the Commonwealth of Nations.

The copyright law of the United States grants monopoly protection for "original works of authorship". With the stated purpose to promote art and culture, copyright law assigns a set of exclusive rights to authors: to make and sell copies of their works, to create derivative works, and to perform or display their works publicly. These exclusive rights are subject to a time limit, and generally expire 70 years after the author's death or 95 years after publication. In the United States, works published before January 1, 1928, are in the public domain.

<i>Authors Guild, Inc. v. Google, Inc.</i> U.S. copyright law case, 2015

Authors Guild v. Google 721 F.3d 132 was a copyright case heard in the United States District Court for the Southern District of New York, and on appeal to the United States Court of Appeals for the Second Circuit between 2005 and 2015. The case concerned fair use in copyright law and the transformation of printed copyrighted books into an online searchable database through scanning and digitization. The case centered on the legality of the Google Book Search Library Partner project that had been launched in 2003.

<span class="mw-page-title-main">Orphan works in the United States</span>

An orphan work is a work whose copyright owner is impossible to identify or contact. This inability to request permission from the copyright owner often means orphan works cannot be used in new works nor digitized, except when fair use exceptions apply. Until recently, public libraries could not distribute orphaned books without risking being fined up to $150,000 if the owner of the copyright were to come forward. This problem was addressed in the 2011 case Authors Guild, Inc. v. Google.

<i>NXIVM Corp. v. Ross Institute</i> 2004 US Federal Court of Appeals decision

NXIVM Corp. v. The Ross Institute, 364 F.3d 471, was a United States Court of Appeals for the Second Circuit decision that held that the defendant's critical analysis of material obtained in bad faith, i.e., in violation of a non-disclosure agreement, was fair use since the secondary use was transformative as criticism and was not a potential replacement for the original on the market, regardless of how the material was obtained.

<i>Murphy v. Millennium Radio Group LLC</i>

Murphy v. Millennium Radio Group LLC is a 2011 U.S. Third Circuit Court of Appeals case concerning the Digital Millennium Copyright Act (DMCA), copyright infringement, and defamation with regards to the online posting of a photocopy of a magazine photograph. After New Jersey radio station WKXW 101.5 copied onto its website a magazine picture of two of the station's talk show hosts, Craig Carton and Ray Rossi, the photographer of the picture, Peter Murphy, brought a suit against station owner Millennium Radio Group, as well as Carton and Rossi. The Third Circuit ruled that the station's actions did constitute both a violation of the DMCA and copyright infringement, which vacated the district court's judgment.

<i>Cambridge University Press v. Patton</i>

Cambridge University Press et al. v. Patton et al., 1:2008cv01425, was a case in the United States District Court for the Northern District of Georgia in which three publishers, Cambridge University Press, SAGE Publications, and Oxford University Press, initially filed suit in 2008 against Georgia State University for copyright infringement.

<i>Salinger v. Random House, Inc.</i> American legal case

Salinger v. Random House, Inc., 811 F.2d 90 is a United States case on the application of copyright law to unpublished works. In a case about author J. D. Salinger's unpublished letters, the Second Circuit held that the right of an author to control the way in which their work was first published took priority over the right of others to publish extracts or close paraphrases of the work under "fair use". In the case of unpublished letters, the decision was seen as favoring the individual's right to privacy over the public right to information. However, in response to concerns about the implications of this case on scholarship, Congress amended the Copyright Act in 1992 to explicitly allow for fair use in copying unpublished works, adding to 17 U.S.C. 107 the line, "The fact that a work is unpublished shall not itself bar a finding of fair use if such finding is made upon consideration of all the above factors."

<i>Wright v. Warner Books, Inc.</i> American legal case

Wright v. Warner Books (1991) was a case in which the widow of the author Richard Wright (1908–1960) claimed that his biographer, the poet and writer Margaret Walker (1915–1998), had infringed copyright by using content from some of Wright's unpublished letters and journals. The court took into account the recent ruling in Salinger v. Random House, Inc. (1987), which had found that a copyright owner had the right to control first publication, but found in favor of Walker after weighing all factors. The case had broad implications by allowing the use of library special collections for academic research.

<i>Civic Chandran v. Ammini Amma</i>

Civic Chandran v. Ammini Amma is a landmark case in Indian copyright law decided by Kerala High Court in which the judgment held that even substantial copying of copyrighted work is permissible under the fair dealing exception; if the copying is in public interest.

<span class="mw-page-title-main">Controlled digital lending</span> Digital library lending model

Controlled digital lending (CDL) is a model by which libraries digitize materials in their collection and make them available for lending. It is based on interpretations of the United States copyright principles of fair use and copyright exhaustion.

References

  1. 1 2 3 4 5 6 7 8 Authors Guild v. HathiTrust, 902F.Supp.2d445 (SDNYOctober 10, 2012).
  2. Albanese, Andrew (11 October 2012). "Google Scanning is Fair Use Says Judge". Publishers Weekly . Retrieved 11 October 2012.
  3. 1 2 Authors Guild v. HathiTrust(2d Cir.June 10, 2014).Text
  4. "U.S. Appeals Court Rules Against Authors in Book-Scanning Lawsuit". Reuters. June 10, 2014.
  5. Andrew Albanese, "Authors Guild Drops HathiTrust Case", Publishers Weekly , Jan. 8, 2015.
  6. Krista Cox, "Authors Guild v. HathiTrust Litigation Ends in a Victory for Fair Use", Association of Research Libraries, Jan. 8, 2015.
  7. Stipulation, Authors Guild v. HathiTrust, Southern District of New York, Case 1:11-cv-06351-NRB Document 182, Filed Jan. 6, 2015.
  8. "Launch of HathiTrust". October 13, 2008. Retrieved 17 October 2014.
  9. "Orphan Works Project". lib.umich.edu. University of Michigan Library. Archived from the original on 21 October 2014. Retrieved 17 October 2014.
  10. 17 U.S.C.   § 501(b)
  11. 1 2 17 U.S.C.   § 107
  12. 17 U.S.C.   § 121
  13. Sony Corp. of America v. Universal City Studios, Inc. , 464U.S.417, 455 n.40.

Further reading