[Report prepared for COMM 4454- Media Law, Fall 2011]
Source: Warner Bros. Entertainment Inc. and J.K. Rowling v. RDR Books, 07 Civ. 9667. (2008)
US District Court Southern District of New York
Overview
On September 8, 2008, Harry Potter author J.K. Rowling won her copyright infringement lawsuit in a U.S. District Court (Southern District of NY) against Michigan publisher Steve Vander Ark. Vander Ark, who began collecting Potter facts to build a fan Web site for the series, included detailed descriptions of Rowling’s original characters, creatures, spells and potions in “The Harry Potter Lexicon,” a reference guide to the children’s fantasy franchise. U.S. District Judge Robert P. Patterson permanently barred publication of the work and awarded copyright owners Rowling and Warner Brothers $6,750 in statutory damages. Judge Robert P. Patterson found that "The Harry Potter Lexicon" contained excessive, verbatim copying of material in the novels and that although the creation of reference guides can at times fall under the copyright exception for fair use, the Lexicon appropriated too much of Rowling's work and thus was infringing. Attorneys for Vander Ark admitted that his book copied portions of the Harry Potter novels, but argued that it was not infringement because the book was not "substantially similar" to the originals. Alternatively, they argued that the encyclopedia constituted a fair use of the copyrighted material.
In Vander Ark’s case, an avid fan has been ostracized from the community of his passion by other fans as well as its creator. Based on several factors, including the definitions of fair use, unfair competition, and misappropriation, he has a very real opportunity to appeal and continue his fight, making his story a compelling one for TV or film.
Facts/ Legal Issue
Vander Ark explained that, in 1999, he decided “there was so much information [in each novel] that it was hard to keep track, so [he] came up with the idea of a site that would list everything from where and when each character appears to what each spell did.” The Harry Potter Lexicon website went live in 2000. Following the release of movies based on the series, the website grew to contain information pertaining to the films and actors. In 2004, Rowling herself gave The Lexicon a “fan site award.” She declared, “This is such a great site that I have been known to sneak into an internet cafĂ© while out writing and check a fact rather than go into a bookshop and buy a copy of Harry Potter (which is embarrassing).” In 2005, Warner Brothers flew Vander Ark out to the UK film premiere of Harry Potter and the Order of the Phoenix. Producer David Heyman told him that The Lexicon was used on set as a fact checking reference on a daily basis. Vander Ark was also invited to visit the office of Electronic Arts, the company which produced the series video games. He claimed that the EA artists “had printouts of the Lexicon taped all over their walls."
The Lexicon appeared to cause no trouble while the information remained only on the Internet. That changed in 2007 when Vander Ark declared his intent to publish the Lexicon in book form and signed a deal with RDR Books. Warner Brothers and Rowling immediately sought an injunction to prevent its publication. They claimed the Lexicon would infringe on Rowling’s copyright and ability to encyclopedize her own work. RDR argued that The Lexicon, along with a long history of secondary reference works, was acceptable under the definition of “fair use”.
Rules
According to Feist Publications, Inc. v. Rural Telephone Service Co., Inc. (1991), “factual items organized or selected or coordinated in some novel or artful manner,” would be protected by copyright law. Vander Ark’s use of the same information for an online database organized topically seemed to cause no harm. A fundamental principle of the case to be considered then becomes whether there is a material difference between the information being published on the Internet versus in print. Dave Hammer, RDR's New York attorney, argued that the law didn’t distinguish between digital and printed copyright of the information. He claimed, "It would create a legal precedent were Rowling and Warner Bros to win. If Rowling was happy with the content of the website, she cannot object to the publication of the book." In response, Rowling's lawyers claimed the Lexicon had no creative value, it contributed nothing to the readers' understanding of the Harry Potter series, and that merely rearranging facts into an alphabetical order did not turn it into a secondary, scholarly reference work.
Fair Use
RDR Books argued that the function of the HP Lexicon as a research tool amounted to a “transformative use” of the purpose of the original work, which would qualify it for fair use protection from copyright. This claim was based on a test developed in 2001 by the California Supreme Court decision that if transformative elements are added to the work, the free expression takes precedence. Warner Brothers and Rowling argued instead that once the information was taken from the Internet to be sold in book form, the appropriation of Rowling’s work became used for commercial purposes and lost its fair use protection. In determining whether the use of a particular work is a fair use, Section 107 of the judicial doctrine of fair use in the revision of copyright law by the 1976 Congress stated that four factors would be considered:
1. The purpose and character of the use
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
4. The effect of the use on the potential market for or value of the copyrighted work
Unfair Competition
Rowling’s final argument was the claim that Vander Ark’s Lexicon would interfere with sales of her own derivative works should she ever choose to annotate and encyclopedize the series herself. In Associated Press v. International News Service (1919), Justice Mahlon Pitney said there was a distinct difference between publishing the same information for use by readers and taking the information and transmitting it for commercial use in competition with the plaintiff. He said this action was unfair competition- interference with the opposing business precisely at the point where profit is to be reaped. This unfair competition doctrine, or law of misappropriation, is intended to stop a person trying to pass off the work of someone else as his or her own. “The critical legal issue in an unfair competition or misappropriation suit is whether there is a likelihood that an appreciable number of ordinarily prudent purchasers will be misled, or simply confused, as to the source of goods in question” (Pember and Calvert).
Analysis
In considering the ruling of Feist Publications, Inc. v. Rural Telephone Service Co., Inc. (1991), it is left to each individual’s personal opinions whether Vander Ark’s organizational strategies were enough to qualify as an “artful manner.” Rather than listing information entirely in alphabetical order such as in the case of a telephone book, Vander Ark carefully selected what facts to include and organized them topically into lists. The HP Lexicon contained excessive verbatim copying of material in the novels and didn’t provide much of Vander Ark’s own input or scholarly comment, but this in itself did not appear to be the problem. Rowling showed no sign of malice toward Vander Ark’s use of the same information when it was disseminated online. It was only when she learned that he would make some profit on its printed form that she chose to enforce her copyright on the material.
Application of Fair Use Factors
According to the factors which are considered, the work may or may not be considered fair use. The “purpose and character of the use” was for it to be utilized as a teaching tool or for scholarly research by those already interested in the Harry Potter series. In this manner, The Lexicon would meet the standard to qualify as fair use.
When considering the “nature of the copyrighted work,” The Lexicon had less chance of qualifying as fair use. Rowling’s copyright protection took precedence based on the fact that the Potter books were still available, not “consumable”, and a published creative work.
The decision to enjoin Vander Ark’s Lexicon publication in book form was almost entirely based on the loss of it qualifying as fair use based on the “portion or percentage of the work used.” Judge Patterson decided that although the creation of reference guides can at times fall under the copyright exception for fair use, the Lexicon appropriated too much of Rowling's work and thus was infringing. He claimed that “to serve the public interest, copyright law must prevent the misappropriation of the skills, creative energies, and resources which are invested in the protected work,” or risk depleting the incentive for original authors to create new works.
In Harper & Row Publishers v. Nation Enterprises, Justice Sandra Day O’Connor claimed that the last factor was undoubtedly the most important element of fair use. She wrote, “To negate fair use one need only show that if the challenged use should become more widespread, it would adversely affect the potential market for the copyrighted work.” If this is truly the case, The Lexicon should have received fair use protection from copyright. It had no effect on the potential market for or value of the copyrighted work as a supplement to Rowling’s books rather than a substitute; it is useless unless you've read her original works. It would also have had no effect on the sales of Rowling’s own annotated or encyclopedized derivative works if she ever released them since no reasonable fan would choose to purchase Vander Ark’s work over that of the author herself.
Unfair Competition and Misappropriation
Vander Ark’s Lexicon could not qualify as unfair competition, as it does not “interfere with the opposing business precisely at the point where profit is to be reaped.” As previously discussed, the encyclopedia does not interfere with sales of Rowling’s work in question- the original Potter series novels. This is also not a case of misappropriation as Vander Ark never tried to pass off Rowling’s work as his own. He merely organized her creation for the reader’s benefit.
Conclusion
Some of the biggest critics of Rowling’s actions claim that she is hypocritical and driven by greed. Author of the novel Ender’s Game, Orson Scott Card argues that Rowling’s suit against the Lexicon publisher has no merit. He claims that she doesn’t admit to many similarities between her own work in the Harry Potter novels and works published before, including his own novel. Ryan Paul points out cases where Rowling has been accused of borrowing more blatantly from the works of contemporary authors and claims, “Inventive borrowing is the lifeblood of the fantasy genre and her attitude on the subject reflects some hypocrisy.”
Vander Ark could easily choose to appeal the current ruling in this case based on his Lexicon fitting the description of fair use in its purpose and character as well as lack of competition it poses to Rowling’s work in any form. It offers no unfair competition and makes no attempt at misappropriation.
While it appears admirable that Rowling is so concerned with her ability to produce her own encyclopedia and donate profits to charity, the overkill with which she aggressively pursued this case displays what Crace calls the equivalency of “using a sledgehammer to crack a nut.” A similar lexicon exists for most examples of a major series within the fantasy genre, from Lord of the Rings to Chronicles of Narnia. The purpose of each is not to provide commentary, but to organize and help clarify for readers the ideas which authors have made factual in the world of their creation. Rowling clearly saw the value in his work when the Lexicon was an online database which she, producers of her films, and creators of her video games all used on a regular basis. As such a prominent figure in the literary community, Rowling could have avoided the scorn and contempt of some fans and colleagues by finding a more lenient solution. One mutually beneficial compromise would have been for Rowling to buy the rights to Vander Ark’s Lexicon database and hire him to maintain it. While he wouldn’t suffer the authoritative vice grip of a figure which he admired, Rowling would have a significant head start on the Lexicon for her own series to be published in print form later rather than starting from scratch.