Académique Documents
Professionnel Documents
Culture Documents
Second Circuit
Plaintiffs-Counter-Defendants-Appellees,
– v. –
Defendant-Counter-Claimant-Appellant.
––––––––––––––––––––––––––––––
ON APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF NEW YORK
counsel for The Dramatists Legal Defense Fund hereby certifies that it is
not a publicly-traded entity, it does not have a corporate parent, and there is no
i
TABLE OF AUTHORITIES
CASES
Abilene Music Inc. v. Sony Music Entertainment, Inc., 320 F. Supp.2d 84, 91
(S.D.N.Y. 2003) ................................................................................................... 13
Adjmi v. DLT Entm’t Ltd., 97 F. Supp. 3d 512 (S.D.N.Y. 2015) .............................. 7
Authors Guild, Inc. v. Google Inc., 954 F. Supp. 2d 282 (S.D.N.Y. 2013) ...... 16, 22
Bill Graham Archives v. Dorling Kindersley Ltd., 448 F.3d 605 (2d Cir. 2006) .... 20
Blanch v. Koons, 467 F.3d 244 (2d Cir. 2006) .......................................................... 8
Bourne Co. v. Twentieth Century Fox Film Corp., 602 F. Supp. 2d 499 (S.D.N.Y.
2009) ............................................................................................................... 11, 16
Brownmark Films LLC v. Comedy Partners, 682 F. 3d 687 (7th Cir. 2012) ........... 23
Campbell v. Acuff-Rose Music, 510 U.S. 569 (1994) .......................................passim
Cariou v. Prince, 714 F.3d 694 (2d Cir. 2013) ................................................passim
Castle Rock Entertainment, Inc. v. Carol Publishing Group, 150 F.3d 132 (2d Cir.
1998) ..................................................................................................................... 16
DC Comics Inc. v. Reel Fantasy, 696 F.2d 24 (2d Cir. 1982) ................................. 23
Dr. Seuss Enters., L.P. v. ComicMix LLC, No. 16cv2779-JLS (BGS) (S.D. Cal.
June 9, 2017) ........................................................................................................ 22
Dr. Seuss Enters., L.P. v. Penguin Books USA, Inc., 109 F.3d 1394, 1400 (9th Cir.
1997) ..................................................................................................................... 13
Harrell v. Can Der Plas, 2009 U.S. Dist. LEXIS 104828, *23 (S.D.N.Y. 2009) .. 28
Hudson v. Universal Studios, Inc., 2009 U.S. Dist. LEXIS 18729, *2 (S.D.N.Y.
2009) ..................................................................................................................... 28
Int’l News Serv. v. Assoc. Press, 248 U.S. 215, 250 (1918) .................................... 27
Iowa State Univ. Research Found., Inc. v. Am. Broad. Cos., 621 F.2d 57 (2d Cir.
1980) ....................................................................................................................... 2
Jovani Fashions Ltd. v. Cinderella Divine, Inc., 820 F. Supp. 2d 569 (S.D.N.Y.
2011) ..................................................................................................................... 29
LaChapelle v. Fenty, 812 F.Supp. 2d 434, 448 (S.D.N.Y. 2011) ........................... 23
Leibowitz v. Paramount Pictures Corporation, 137 F.3d 109 (2d Cir 1998) ... 13, 23
Maxtone-Graham v. Burtchaell, 631 F. Supp. 1432 (S.D.N.Y. 1980) ...................... 4
Nash v. CBS, Inc., 899 F.2d 1537, 1540 (7th Cir. 1990) ......................................... 27
Penguin Books U.S.A., Inc. v. New Christian Church of Full Endeavor, Ltd., 2004
U.S. Dist. LEXIS 5648, *5 (S.D.N.Y. 2004) ....................................................... 28
Salinger v. Colting, 641 F.Supp. 250 (S.D.N.Y. 2009) ........................................... 14
Suntrust Bank v. Houghton Mifflin Co., 268 F.3d 1257 (11th Cir. 2001) ................ 18
Third Degree Films v. Does 1-47, 286 F.R.D. 188, 190 (D. Mass. 2012) .............. 28
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STATUTES
17 U.S.C. §107 ......................................................................................................... 11
H.R. Rep. No 94-1476 (1976) ................................................................................... 2
S. Rep. No. 94-473 (1975) ......................................................................................... 2
OTHER AUTHORITIES
Ben Depoorter and Robert Kirk Walker, Copyright False Positives, 89 Notre Dame
L. Rev. 319 (2013) ...............................................................................4, 26, 27, 28
C. Edwin Baker, First Amendment Limits on Copyright, 55 Vand. L. Rev. 891
(2002) ................................................................................................................... 27
Elisabeth Vincentelli, ‘Who’s Holiday!’ Is a Raunchy Riff on Dr. Seuss’s Yuletide
Tale, N.Y. Times, Dec. 4, 2017 ............................................................................. 13
Judge Pierre Leval , Toward a Fair Use Standard, 103 Harv. L. Rev. 1105, 1107
(1990) ........................................................................................................... 2, 8, 16
Nimmer on Copyright § 19E.05[C][2] ................................................................ 3, 25
Rebecca Tushnet, Copyright Law as a Model for Free Speech Law: What
Copyright Has in Common with Anti-Pornography Laws, Campaign Finance
Reform, and Telecommunications Regulation, 42 B.C. L. Rev. 1, 2 (2000) ....... 24
Regina Robbins, Who’s Holiday!, Time Out New York, Nov. 28, 2017 ................ 13
TheaterWorks Pearl Street, Christmas On The Rocks (2013) ................................. 12
William M. Landes & Richard A. Posner, An Economic Analysis of Copyright
Law, 18 J. Legal Stud. 325 (1989) ................................................................. 26, 27
Yochai Benkler, Free as the Air to Common Use: First Amendment Constraints on
Enclosure of the Public Domain, 74 N.Y.U. L. Rev. 354, 411 (1999) ................ 27
YouTube (Nov. 10, 2009) ........................................................................................ 12
Zachary Steward, Who’s Holiday, Theatermania, Nov. 28, 2017 ........................... 13
iii
The Dramatists Legal Defense Fund (the “DLDF”) respectfully submits this
(“Mr. Lombardo”), the author of the play Who’s Holiday!, and to apprise the Court
of its property, sought to silence his speech with claims of infringement. But, as
Act’s “fair use” exception as a parody and otherwise transformative use of the
book entitled How the Grinch Stole Christmas! A ruling that Who’s Holiday! is not
a fair use would have negative reverberations throughout the theater industry,
particularly for dramatists, who are not only authors who make fair use of elements
of works that have come before, but are also copyright owners whose works may
entities, and allow such entities to use their superior economic power to chill
1
PRELIMINARY STATEMENT
DSE is an entity that owns How the Grinch Stole Christmas! (the
“Children’s Book”). Its ownership, however, should not prevent a playwright like
Mr. Lombardo from making fair use of elements of the Children’s Book, as such
“rigid application of the copyright statute . . . would stifle the very creativity which
that law is designed to foster.” Iowa State Univ. Research Found., Inc. v. Am.
“From the infancy of copyright protection, some opportunity for fair use of
purpose, ‘[t]o promote the Progress of Science and the useful Arts.’” Campbell v.
Acuff-Rose Music, 510 U.S. 569, 575 (1994). According to legislative policy, this
(1975).
In the Second Circuit, the stage was set for fair use jurisprudence with
Toward a Fair Use Standard, 103 Harv. L. Rev. 1105 (1990), by Judge Pierre
Leval. In this seminal article, Judge Leval states, “The copyright is not an
inevitable, divine, or natural right that confers on authors the absolute ownership of
their creations. It is designed rather to stimulate activity and progress in the arts
for the intellectual enrichment of the public.” Id. at 1107; see also Cariou v.
2
Prince, 714 F.3d 694, 705 (2d Cir. 2013). The DLDF believes it is important to
keep the words of Judge Leval in mind to ensure that the law encourages the
creative activity of authors like Mr. Lombardo, whose works draw on our cultural
However, the necessity for the Court to uphold Mr. Lombardo’s fair use
claim on this appeal is not limited to furthering the purposes of Copyright; it is also
imperative for the protection of the First Amendment itself. First Amendment
copyrightable expression and uncopyrightable facts and ideas, and the latitude for
scholarship and comment traditionally afforded by fair use.” See Harper & Row
It is this doctrine of fair use that acts as our society’s safety valve for free
the Copyright Clause and the First Amendment are in conflict, the courts are well
advised to consider that “the fair use defense is recognized as not merely a nicety
3
Furthermore, curbing the over-broad assertion of copyright is particularly
important in a matter like the one now before the Court, where one party is an
another author’s works. The exception for fair use is necessary to mitigate “the
Burtchaell, 631 F. Supp. 1432, 1435 (S.D.N.Y. 1980), especially when owners of
or making other fair use, a practice so dangerous and pervasive that it has been
branded with a label, the “Copyright False Positive.” Ben Depoorter & Robert
Kirk Walker, Copyright False Positives, 89 Notre Dame L. Rev. 319 (2013).
tends to tease, mock, or even scorn the underlying work by definition. Parodies
may draw heavily on characters and situations in the works they parody because
creation of new works protected by the First Amendment that will enrich the
theater artists (as well as audiences, schools, students, and the culture at large), all
4
of whom are confronting censorship and other related issues of public import,
The Dramatists Guild of America, Inc. (the “Guild”) formed the DLDF in
2009 to advocate for free expression in the dramatic arts as guaranteed in the First
Clause.”
includes such renowned dramatists as J.T. Rogers (Oslo, Blood and Gifts), Sarah
Ruhl (In the Next Room), Lydia Diamond (Stick Fly), and the current President,
John Weidman (Assassins, Contact, Anything Goes). The Board also includes
several lawyers well established within the theater industry. The sole member of
the DLDF is the Dramatists Guild, a century-old trade association with a governing
board of playwrights and musical theater authors that includes Marsha Norman
(The Color Purple, ‘Night Mother), Stephen Sondheim (Sweeney Todd, Company),
Tony Kushner (Angels in America), John Guare (House of Blue Leaves, Six
1
Counsel for all parties have consented to the filing of this amicus curiae brief.
No counsel to any party authored this brief in whole or in part, and no person or
entity other than amicus and its counsel made a monetary contribution intended to
fund the preparation or submission of this brief.
5
Degrees of Separation), and Stephen Schwartz (Wicked, Godspell, Pippin). The
current president of the Guild is Doug Wright (I Am My Own Wife, War Paint).
Guild. Regardless, the DLDF and the Guild recognize that their interests and the
interests of the public are threatened by DSE’s attempts to silence his critique of
How the Grinch Stole Christmas! The freedom of expression guaranteed by the
life of all dramatists, including but not limited to Guild members. It is for this
reason that the DLDF participated as amicus and submitted an amicus brief in the
proceedings below and is submitting its views as amicus on this appeal as well.
for their works. Some have drawn on material in the public domain, like Phantom
of the Opera, Les Miserables, and Natasha, Pierre & The Great Comet of 1812.
But this practice is not a recent phenomenon. Shakespeare’s King Lear was based
on a well-known folk tale, and there was another play at the time based on the
same story (The True Chronicle History of King Leir). In modern times, The
Disney Company has adapted public domain stories into films and then into stage
musicals like Beauty and the Beast, The Little Mermaid, and Aladdin, not to
mention The Lion King, which is loosely based on Hamlet. Several shows on
Broadway recently are based on stories or historical facts in the public domain,
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such as Come From Away, Indecent, and Oslo. Sometimes plays are based so
closely on existing works that are protected by copyright (such as films, novels,
television shows, or even other plays) that the new works may be developed in
collaboration with the original creators and, in any event, rightly require the
permission of the owners of the original works. Examples in the last Broadway
season include Groundhog Day, Anastasia, Amelie, Charlie and the Chocolate
create works of their own that cannot be considered adaptations. Often, they want
cultural impact. One recent example is Clybourne Park, a drama that won the
Tony Award and Pulitzer Prize in 2012. The author incorporated a character from
the classic drama, A Raisin in the Sun, as well as some historical events of the
period. Off-Broadway, too, we have the example of David Adjmi’s play 3C, a
parody of the TV situation comedy Three’s Company that the Second Circuit
recognized as a transformative work and a fair use. See Adjmi v. DLT Entm’t Ltd.,
7
who are most vulnerable to these harms sit on the Guild’s Council. Similarly, a
fledgling playwright may not gain deserved attention or be able to maintain control
of his or her work if copyright is infringed; many of these emerging talents are
among the Guild’s 6,500 members nationwide. In fact, the dramatists’ rights to
own their copyrights and to control their work are the founding principles on which
economically disadvantaged labor status for the last ninety years or so, in order to
law] establishes in creative works, which must be protected up to a point, and the
supra at 1109. See Blanch v. Koons, 467 F.3d 244, 250 (2d Cir. 2006); see also
Cariou, 714 F.3d at 705. This gives the DLDF a unique perspective – and duty –
way or the other. From this rare vantage point, the DLDF can see that Who’s
8
protected as a fair use so that dramatists (and others) will be assured and aware of
affirming the lower court’s ruling on fair use will curb the chilling effects that
STATEMENT OF FACTS
How the Grinch Stole Christmas! is a famous children’s book by the author
known as Dr. Seuss, originally published in 1957 and still under copyright
registration. In the book, the Grinch hates Christmas enough to plan its ruin in
nearby Whoville. While ransacking one of the many Whoville houses, he is caught
eventually realizes that the Whos’ celebration of Christmas is not related to the
decorations and things, but to a genuine feeling of love shared by the Whoville
community. This transforms the Grinch into a kind being who ends up returning
the Christmas loot and celebrating the holiday with his erstwhile victims.
of the Children’s Book, first as part of a larger evening of theater called “Christmas
on the Rocks,” later developed to the subject work, Who’s Holiday! This work
parodies How the Grinch Stole Christmas! by discussing the ideas from the
Children’s Book not through the Grinch’s point of view, but the point of view of a
9
middle-aged Cindy-Lou Who. What ensues is a vivisection of the innocent, rosy
production for the coming holiday season. DSE, through its attorneys, began
sending cease & desist letters almost immediately, which ultimately caused
cancellation of the show. This cancellation eventually led to the case at bar.
based on the pleadings. DSE filed this appeal relying on several arguments, but
transforming the underlying themes to a new and original message, told from a
completely different point of view, is actually a sequel to the tale of how the
Grinch tried to steal the spoils of Christmas only to discover the purity of holiday
This amicus brief addresses the copyright question of fair use in this case, as
well as its constitutional and public policy implications. The DLDF believes that
Judge Hellerstein was unquestionably correct in holding that Mr. Lombardo’s work
was both parody and transformative—as thus protected by the fair use doctrine—
and that First Amendment considerations also support affirmance of the decision
below.
10
ARGUMENT
I. Appellees’ Who’s Holiday! is a Parody of How the Grinch Stole Christmas!
parodies the 1957 children’s book How the Grinch Stole Christmas!, in which DSE
holds the copyright, and as such constitutes a proper fair use under copyright law.
17 U.S.C. §107. Anyone reading the script of Who’s Holiday! can tell that Who’s
“parody” well established by the Supreme Court in Campbell and by this court in
Bourne Co. v. Twentieth Century Fox Film Corp., 602 F. Supp. 2d 499 (S.D.N.Y.
2009), among many others. DSE’s position that Who’s Holiday! is merely a sequel
of the underlying work, is clearly contradicted by the play itself. See Answer to
Compl. and Countercls. at 17. In making such a claim, DSE exhibits a staggering
children’s Christmas book, and its success was based on its entertaining appeal to
children, and its ability to instill in them a love of reading and to teach life lessons,
but not such life lessons as the risk of poverty, domestic violence, teenage
clearly disturbed by Mr. Lombardo’s depiction of its property, and now seeks to
11
use superior economic power to suppress what it perceives as a disrespectful threat,
The fair use defense requires only “that ‘a parodic character may be
reasonably perceived,” Bourne, 602 F. Supp. at 507, quoting Campbell, 510 U.S. at
582-83. In fact, the original ten-minute iteration of Who’s Holiday!, then named
Going Green, was presented in a show called Christmas on the Rocks, which was
video of the Christmas on the Rocks production refers to the show as a “delightful
The Hartford Courant described the show as a “sassy, easy-going parody.” Frank
Courant, Dec. 9, 2013. In one review, Mr. Lombardo’s Going Green was
described as having an “extra dollop of style on top of the parody.” Karen Bovard,
Dec. 7, 2015. The disputed production was also advertised as a parody. The Who’s
Holiday! website and website for ticket sales both describe the play as a “heartfelt
parody.” Am. Compl. at 13. Apparently, no one but the underlying copyright
12
DSE produced reviews that did not use the word “parody.” See, e.g.,
Yuletide Tale, New York Times, Dec. 4, 2017; Regina Robbins, Who’s Holiday!,
Time Out New York, Nov. 28, 2017; Zachary Steward, Who’s Holiday,
some reviews does not undermine the many reviewers who reasonably perceived
socially significant value as free speech under the First Amendment.” Dr. Seuss
Enters., L.P. v. Penguin Books USA, Inc., 109 F.3d 1394, 1400 (9th Cir. 1997). As
stated in Campbell, “For the purposes of copyright law, the nub of the definitions,
and the heart of any parodist’s claim to quote from existing material, is the use of
some elements of a prior author’s composition to create a new one that, at least in
part, comments on that author’s works.” 510 U.S. at 580; Bourne, 602 F. Supp. at
504-05; Abilene Music Inc. v. Sony Music Entertainment, Inc., 320 F. Supp.2d 84,
114 (2d Cir 1998); Seuss, 109 F. 3d at 1400. Additionally, “[p]arody needs to
mimic an original to make its point, and so has some claim to use the creation of its
13
victim’s (or collective victims’) imagination . . . .” Campbell, 510 U.S. at 580-81.
Furthermore, the “parody must target the original, and not just its general style, the
original, it may target those features as well).” Id. at 597 (Kennedy, J.,
concurring); see also Salinger v. Colting, 641 F.Supp. 250, 256-57 (S.D.N.Y.
2009) (stating that a “parody must critique or comment on the work itself”).
some elements of the prior work, including the setting of Who-ville, key
characters, and rhyming couplets to target the original and perhaps also target the
original, mimicking the story arc and “’look and feel’ of an authorized Dr. Seuss
work.” Id.
In Abilene, the court found that the new work’s “sarcastic” use of “What a
Wonderful World” was protected as parody because “the song’s take on the world .
. . highlights the contrast between the two worldviews, and expresses the rapper’s
belief in the realism of his own perspective.” Abilene, 320 F. Supp. 2d at 91. This
finding is “on all fours” with the fact-pattern here. Mr. Lombardo’s work, as stated
by all parties in this dispute, is an attempt to bring adult humor and themes to the
14
D. Conclusion of Who’s Holiday! as Parody
Court of the United States, the Second Circuit, and the Southern District of New
Holiday! must be seen as what it is: a parody; a form of social and literary
II. Who’s Holiday! is a transformative use of How the Grinch Stole Christmas!
found to be transformative.
[T]he law imposes no requirement that a work comment on the original or its
author in order to be considered transformative, and a secondary work may
constitute a fair use even if it serves some purpose other than those
(criticism, comment, news reporting, teaching, scholarship, and research)
identified in the preamble to the statute.
the secondary use adds value to the original—if [the original work] is used
as raw material, transformed in the creation of new information, new
aesthetics, new insights and understandings—this is the very type of activity
that the fair use doctrine intends to protect for the enrichment of society.
15
Leval, supra at 1007; see also Castle Rock Entertainment, Inc. v. Carol Publishing
Group, 150 F.3d 132 (2d Cir. 1998); Authors Guild, Inc. v. Google Inc., 954 F.
transformative, the court investigates “whether the new work merely supersede[s]
the objects of original creation, or instead adds something new, with a further
purpose or different character, altering the first with new expression, meaning, or
The Second Circuit has consistently found a new work transformative when
it manifests an entirely different aesthetic from the original work. For example, in
Cariou, the court found fair use transformation where the original photographs
were “serene and deliberately composed portraits” but the new works were “hectic
and provocative.” Cariou, 714 F.3d at 706. The original works were reproduced,
but adjusted in “composition, presentation, scale, color palette, and media.” Id.
Not only related to the visual arts, but even from a literary perspective, the
work. For example, in the precedent of Bourne Co., the court found that a cynical
16
In a much more obvious way, Mr. Lombardo has transformed the premise of
the Children’s Book into something dark, troubling, and destructive, thus
The Second Circuit has consistently found a new work transformative when
it updates the message of an old work. For example, in Bourne, the court stated
that a new work that is both “very similar to the original” but “strikingly different
Lombardo has referenced characters and the plot of How the Grinch Stole
strikingly different tone, meaning, and message by, for example, exposing ways in
which innocent Cindy-Lou Who’s life turned upside down as she grew older. See
Am. Compl. at 5. This is clearly an updated message to a work that is nearly sixty
years old.
the work, relying on Salinger v. Colting, 607 F.3d 68 (2d Cir. 2009). However, the
Second Circuit clearly set forth the indicia of a sequel: incidents in the subject
work parallel those in the underlying work, the subject work comments satirically
17
on the underlying work’s author, and the subject work was explicitly marketed as a
Here, Who’s Holiday! briefly recounts the events of the underlying work,
though from the point of view of a different character (Suntrust Bank v. Houghton
Mifflin Co., 268 F.3d 1257 (11th Cir. 2001)), from a jaded innocent rather than a
Mr. Lombardo never marketed his work as a sequel. Consequently, DSE’s reliance
premises, it clearly has transformed the original work from teaching the “true”
meaning of Christmas to a dramatic work that reflects unforgiving reality from the
Suntrust, 268 F.3d at 1257; Bourne, 602 F. Supp. 2d at 499. This new aesthetic
yields new messages from the original, especially with respect to ostracization,
unplanned pregnancy, and violence. Far from being a sequel, Who’s Holiday! has
no parallel plot lines, does not attempt to satirize Dr. Seuss as the original author,
18
Furthermore, the stageplay has done so as a form of criticism of the original
work, which is a use that would not be licensable for the very reason that DSE has
pursued this case against Mr. Lombardo: it does not like what the playwright has
said about its book. Nevertheless, the stage play at issue is a form of expression
that is at the core of fair use. “Transformative works . . . lie at the heart of the fair
use doctrine’s guarantee of breathing space.” Campbell, 510 U.S. at 579. For
so held.
III. Who’s Holiday! Complies With the Other Fair Use Factors
In examining the other three factors applied in a fair use analysis of Who’s
Holiday!, the Court will note that any reasonable assessment of the other factors
publicly known, expressive works.” Campbell, 510 U.S. at 586. Even with
as here, ‘the creative work of art is being used for a transformative purpose.’”
19
Cariou, 714 F.3d at 710, (quoting Bill Graham Archives v. Dorling Kindersley
Ltd., 448 F.3d 605, 612 (2d Cir. 2006)). Hence, this factor is irrelevant to Who’s
“[T]he extent of permissible copying varies with the purpose and character
of the use.” Campbell, 510 U.S. at 579. In fact, neither the Second Circuit “nor
any of our sister circuits has ever ruled that the copying of an entire work favors
fair use, [but] courts have concluded that such copying does not necessarily weigh
against fair use . . . .” Graham, 448 F.3d at 613; see Cariou, 714 F.3d at 710.
Moreover, “the law does not require that the secondary artist may take no more
least enough of the original’ to fulfill its transformative purpose.” Cariou, 714
F.3d at 710 (quoting Campbell, 510 U.S. at 587-88 (emphasis added by Cariou)).
the amount and substantiality of How the Grinch Stole Christmas! is, like the
nature of the copyrighted work, irrelevant as well. Mr. Lombardo conjured up the
the original. Amicus has read the script and is only able to find original
20
expressions of the ideas presented in the Children’s Book. Mr. Lombardo appears
merely to recount the underlying work’s plot, giving the theater audience context
and establishing that this is not a sequel but a transformative comment with a
different aesthetic.
D. Fourth Factor: Effect on the Market for the Value of the Copyrighted
Work
copyrighted work. “Indeed, as to parody pure and simple, it is more likely that the
new work will not affect the market for the original in a way cognizable under this
factor, that is, by acting as a substitute for it.” Campbell, 510 U.S. at 591.
intellectual property, “it does not produce a harm cognizable under the Copyright
Act.” Id. at 591-92; see also Bourne, 602 F. Supp. 2d at 510 (stating, “the parody
Here, it seems clear that the book How the Grinch Stole Christmas! and the
dramatic play Who’s Holiday! can co-exist, each on its own terms. Whereas
DSE’s book and authorized derivative works are a Christmas tradition for children
and their families, Mr. Lombardo’s play is an evening out for adults. To wit, the
21
performance of Christmas on the Rocks was well-received as an adult re-evaluation
use is not ‘absolutely necessary’ to a finding of fair use, ‘the goal of copyright, to
Campbell, 510 U.S. at 579). Therefore, the most likely effect Who’s Holiday! will
have on the potential market for How the Grinch Stole Christmas! is a positive
may be inclined to share How the Grinch Stole Christmas!, as a book, movie, or
DSE may try to bootstrap its recent survival in Dr. Seuss Enters., L.P. v.
ComicMix LLC, No. 16cv2779-JLS (BGS) (S.D. Cal. June 9, 2017), as justification
for the Court to silence a playwright in the Southern District of New York.
However, this case is easily distinguished: the lawsuit against ComicMix survived
a motion to dismiss, taking as true DSE’s statement of market harm; here, DSE has
already lost its dismissal against the playwright, Mr. Lombardo, while emphasizing
22
works from 1966 through 2018, “as well as film strips used in classrooms, an
Grinch books, and licensed goods bearing source-identifying indicia related to the
work, such as downloadable and hosted digital books, games, and digital
harm to the original work’s market. See, e.g., Leibovitz at 137 F.3d at 116;
Brownmark Films LLC v. Comedy Partners, 682 F. 3d 687 (7th Cir. 2012); DC
Comics Inc. v. Reel Fantasy, 696 F.2d 24 (2d Cir. 1982); LaChapelle v. Fenty, 812
F.Supp. 2d 434, 448 (S.D.N.Y. 2011). DSE cannot reasonably assert or even
identify any cognizable form of market harm created by Mr. Lombardo’s theatrical
parody, so one must conclude, therefore, that this corporation’s manifest mission is
IV. Public Policy Favors a Strong Declaration of the Rights of the Dramatist
More is at stake here than mechanical application of the fair use factors.
allowed to generate heavy social costs that harm not only the artists, but also the
broad social interest. Consideration should also be given to the risk that economic
23
disparity between parties may endanger foundational Constitutional rights.
Thankfully, there is well-established precedent for the court to weigh these public
The principle that courts should protect against private censorship was first
embodied in the Statute of Anne and later the Copyright Clause “to be the engine
of free expression.” See Harper & Row Publishers, Inc., 471 U.S. at 558. First
copyrightable expression and uncopyrightable facts and ideas, and the latitude for
scholarship and comment traditionally afforded by fair use.” Id. at 560. In fact,
the Copyright Act was meant, among other things, to encourage free speech. See
Rebecca Tushnet, Copyright Law as a Model for Free Speech Law: What
that “[t]he First Amendment gets government off speakers’ backs, while the
Copyright Act enables speakers to make money from speaking and thus
encourages them to enter the public marketplace of ideas”). When the Copyright
Clause and the First Amendment come into conflict, it is not surprising that courts
are advised to consider that “the fair use defense is recognized as not merely a
24
nicety of copyright law. It is tasked by the Constitution to be the First
19E.05[C][2].
benefits that DSE has reaped and is entitled to continue to reap from the book sales
however, in seeking to suppress Who’s Holiday!, DSE’s main concern is not any
simply does not like what the playwright has to say. Yet Mr. Lombardo’s
commentary and critique of How the Grinch Stole Christmas! is exactly what the
Copyright Act was designed to protect, and the Court should employ fair use as the
there are significant costs to society for the court to consider. Should the court
allow DSE to stop Mr. Lombardo’s speech, it risks adding to a growing body of
25
“copyright false positives” that will impair freedom of speech for the U.S. as a
whole, add to unnecessary litigation and transactional costs for appropriate use of
pre-existing artistic material, and weaken the public’s willingness to adhere to the
Copyright Act. The DLDF requests that the court weigh these social costs in favor
some wrong doing when he or she should not be.” A. Mitchell Polinsky & Steven
Shavell, The Economic Theory of Public Enforcement of Law, 38 J. Econ. Lit. 45,
enforcement actions target activities that are not infringements . . . .” Depoorter &
copyright owners to seek enforcement of rights that are . . . outside the scope of
can have a variety of unnecessary and negative social costs that should be avoided.
Law, 18 J. Legal Stud. 325, 332-33, 349-59 (1989) (describing social costs of the
copyright system).
One significant social cost of Copyright False Positives is that they can
“hamper free speech and the rightful exercise of copyright exceptions.” Depoorter
& Walker (2013), supra at 340. See C. Edwin Baker, First Amendment Limits on
26
Copyright, 55 Vand. L. Rev. 891 (2002); Yochai Benkler, Free as the Air to
74 N.Y.U. L. Rev. 354, 411 (1999); Marci A. Hamilton, Copyright at the Supreme
of the First Amendment, and, if they are not curbed, have the effect of bestowing
property rights upon copyright owners for material that should be “free as the air to
common use.” Int’l News Serv. v. Assoc. Press, 248 U.S. 215, 250 (1918)
(Brandeis, J., dissenting). This stifles the production of new work, even in
detriments to that same class from lost royalties. Landes & Posner, supra at 332-
33, 349-59.
Another social cost is “increased litigation and transactional costs” for valid
uses of pre-existing works. Depoorter & Walker (2013), supra at 343; see, e.g.,
Nash v. CBS, Inc., 899 F.2d 1537, 1540 (7th Cir. 1990) (stating, “Once a work has
been written and published, any rule requiring people to compensate the author
slows progress in literature and art, making useful expressions too expensive,
forcing authors to re-invent the wheel, and so on. Every work uses scraps of
thought from thousands of predecessors, far too many to compensate, even if the
27
legal system were frictionless, which it isn’t”). The widely acknowledged trend of
“copyright trolling” also attests to these increased social costs. See, e.g., Third
Degree Films v. Does 1-47, 286 F.R.D. 188, 190 (D. Mass. 2012). The instant
case is the epitome of this social cost: an individual artist has been forced to prove
that his use is non-infringing, or risk the sharp end of Damocles’ sword.
boundaries and serves private but not public interests” could weaken society’s
& Walker (2013), supra at 345-46; see, e.g., Lawrence Lessig, Free Culture 184-
87 (2004). The DLDF hopes the court will address this demonstrated social cost.
infringement suits. See Harrell v. Can Der Plas, 2009 U.S. Dist. LEXIS 104828,
*23 (S.D.N.Y. 2009); Hudson v. Universal Studios, Inc., 2009 U.S. Dist. LEXIS
18729, *2 (S.D.N.Y. 2009); Penguin Books U.S.A., Inc. v. New Christian Church
of Full Endeavor, Ltd., 2004 U.S. Dist. LEXIS 5648, *5 (S.D.N.Y. 2004). They
have acknowledged the concern that the threat of a lawsuit may deter people “from
28
exercising [their] rights, because pressing a meritorious defense is more costly than
surrendering it.” Jovani Fashions Ltd. v. Cinderella Divine, Inc., 820 F. Supp. 2d
This recognized concern is at the center of the facts here. DSE’s letter to the
Shubert Organization prompted Shubert to terminate its license agreement for the
theater with Mr. Lombardo. See Am. Compl. at 10. The Shubert Organization was
unwilling to be subject to lawsuits for any copyright infringement, perhaps for fear
of a costly suit by a deep-pocketed corporation. After delay of his play’s debut and
the opportunity to produce his play late last year, Mr. Lombardo resolved to pursue
and enforce his First Amendment rights in keeping with the purpose of the
Copyright Act. Who knows how many other authors may have decided not to
fight, or not to create new works that refer to any successful properties, just
because they or the theater they are working with cannot risk the cost of a lawsuit
and cannot risk investing their time and talent in creating a work that the threat of
V. Conclusion
transformative parody of How the Grinch Stole Christmas!, it complies with all the
29
factors of a fair use analysis, and it is thus deserving of the benefits of the First
Amendment via the fair use exception. Judge Hellerstein carefully and sensitively
weighed the relevant factors, and correctly reached the same conclusion.
Furthermore, the public policies that underlie our constitutional values prompt the
DLDF to urge a strong declaration that the law provides plenty of room for a
parody like Who’s Holiday! This is exactly the kind of creative activity by an
individual artist that risks being stifled by the overbroad assertion of copyright
to have their properties targeted for mockery, but dramatists recognize that, when
they publish or perform their own works, they too are subject to criticism that may
take the form of parody, and elements of their work may be transformed by other
artists. They recognize that artists have the right to mock, and more than that, they
For all of the foregoing reasons, and in keeping with both the Copyright
Clause of the United States Constitution and the Copyright Act, controlling
Supreme Court and Second Circuit case law, and well-accepted practices of the
theater industry, the Dramatists Legal Defense Fund respectfully submits that the
31
CERTIFICATE OF COMPLIANCE
I hereby certify that to the best of my knowledge and belief, the forgoing complies
29(a)(5), 32(a)(7)(B) and 32(f). This brief contains 7,000 words. I also hereby certify
that to the best of my personal knowledge and belief, the forgoing complies with the
32(a)(5) and 32(a)(6). This brief has been prepared using a proportionately spaced
/s/David H. Faux
David H. Faux, Esq.