Source: https://www.scribd.com/document/320525213/Well-Made-Toy-Mfg-Corp-a-Corporation-of-the-State-of-New-York-Plaintiff-Counter-Defendant-Appellant-v-Goffa-International-Corp-a-Corporation-of
Timestamp: 2018-07-20 07:33:32
Document Index: 139690139

Matched Legal Cases: ['§ 411', '§ 411', '§ 106', '§ 411', '§ 7', '§ 411', '§\n106', '§ 101', '§ 106', '§ 3']

Well-Made Toy Mfg. Corp., a Corporation of the State of New York, Plaintiff-Counter-Defendant-Appellant v. Goffa International Corp., a Corporation of the State of New York, King Kullen Grocery Co., Inc., Defendants-Counter-Claimants-Appellees, 354 F.3d 112, 2d Cir. (2003) | Derivative Work | Substantial Similarity
Description: Filed: 2003-12-02 Precedential Status: Precedential Citations: 354 F.3d 112 Docket: 02-7881
Filed: 2003-12-02 Precedential Status: Precedential Citations: 354 F.3d 112 Docket: 02-7881
WELL-MADE TOY MFG. CORP., a corporation of the State
of New York, Plaintiff-Counter-Defendant-Appellant,
GOFFA INTERNATIONAL CORP., a corporation of the State
of New York, King Kullen Grocery Co., Inc., DefendantsCounter-Claimants-Appellees.
Gerard F. Dunne, Law Office of Gerard F. Dunne, Esq., New York, NY,
for Plaintiff-Counter-Defendant-Appellant.
William A. Alper, Cohen, Pontani, Lieberman & Pavane (Martin B.
Pavane and Catriona M. Collins, of counsel), New York, NY, for
This is an appeal from a judgment on a copyright infringement claim rendered
by the United States District Court for the Eastern District of New York (Jack
B. Weinstein, Judge) in favor of the defendants-counter-claimants-appellees
Goffa International Corporation ("Goffa") and King Kullen Grocery Co., Inc.,
("King Kullen"). The plaintiff-appellant Well-Made Toy Mfg. Corp. ("WellMade") asserts that a rag doll manufactured by Goffa and sold at retail by King
Kullen infringed the copyright for two rag dolls designed and manufactured by
Well-Made. Well-Made's dolls seem similar to one another, although they are
of significantly different sizes. Well-Made's larger 48-inch doll was a derivative
work based upon its smaller 20-inch doll. Well-Made had registered its
copyright in the 20-inch doll but not in the larger, derivative one.
Following a bench trial, the district court decided that Goffa's rag doll was not
substantially similar to Well-Made's registered, 20-inch doll. The district court
also concluded that because the copyright in the later, 48-inch doll had not been
registered, the court lacked subject matter jurisdiction to consider whether the
copyright in that doll had been infringed by Goffa's doll. See 17 U.S.C. § 411(a)
(prohibiting an "action for infringement of the copyright in any ... work ... until
On appeal, Well-Made does not contest the district court's finding that Goffa's
doll is not substantially similar to Well-Made's 20-inch doll. Well-Made argues
instead that registration of the copyright claim in the 20-inch doll creates
subject matter jurisdiction over infringement claims with respect to its 48-inch
derivative of the 20-inch doll, which Well-Made claims is infringed by Goffa's
doll. Well-Made also argues that its right to control the production of works
derivative of the 20-inch Well-Made doll was infringed. Well-Made contends
that if Goffa's doll is derivative of Well-Made's 48-inch doll, and if the 48-inch
doll is itself derivative of the 20-inch doll, then the derivative's derivative —
the Goffa doll — is transitively derivative of the 20-inch doll, irrespective of
any substantial similarity, or lack thereof, between Well-Made's 20-inch doll
and Goffa's 48-inch doll. For the reasons that follow, we reject both of WellMade's arguments and affirm the judgment of the district court.
The facts underlying this appeal are set forth in comprehensive detail in the
opinion of the district court. Well-Made Toy Mfg. Corp. v. Goffa Int'l Corp.,
210 F.Supp.2d 147 (E.D.N.Y.2002). We discuss them here only to the extent
necessary to explain our resolution of this appeal.
Well-Made manufactures and sells rag dolls with the name "Sweetie Mine."
The first Sweetie Mine was a 20-inch doll, the copyright for which Well-Made
registered in 1996. Two years later, Well-Made designed a 48-inch version. The
48-inch Sweetie Mine was created by enlarging the cloth patterns for the 20inch Sweetie Mine on a photocopier, then adjusting the enlarged doll's
proportions. Well-Made considered the adjustments, made according to the
artistic judgment of Well-Made's designers, necessary to achieve aesthetic
proportionality in the larger doll's features. Well-Made never registered a
copyright in the 48-inch Sweetie Mine.
Also in 1998, Goffa began manufacturing a 48-inch rag doll called the
"Huggable Lovable." The Huggable Lovable was sold through King Kullen
stores. King Kullen is represented jointly with Goffa under an indemnification
agreement between them.1
In 1999, Well-Made brought suit against Goffa and King Kullen in the United
States District Court for the Eastern District of New York, alleging that the
Huggable Lovable infringed Well-Made's copyrights in the 20- and 48-inch
Sweetie Mines. At the conclusion of a bench trial, the district court found that
Goffa had designed the Huggable Lovable by "actually cop[ying] large parts
of" the 48-inch Sweetie Mine. Id. at 167. According to the court, however, the
Huggable Lovable did not infringe Well-Made's copyright in the 20-inch
Sweetie Mine, because of the difference between the sizes, proportions, facial
features, fabrics, and colors of the two dolls. Id. at 167-72. The court also
concluded that it lacked subject matter jurisdiction to consider whether Goffa's
Huggable Lovable infringed Well-Made's copyright in the 48-inch Sweetie
Mine, because there was no separate registration of any such copyright claim.
Id. at 164-65, 172 (citing 17 U.S.C. § 411(a)).
On appeal, Well-Made argues that the district court was mistaken in not
considering infringement of the 48-inch Sweetie Mine because, although there
is no registered copyright for that doll, it is a derivative work based on the 20inch Sweetie Mine, which is registered. Well-Made also contends that if the
Huggable Lovable is derivative of the 48-inch Sweetie Mine, and the 48-inch
Sweetie Mine is derivative of the 20-inch Sweetie Mine, then the Huggable
Lovable violates Well-Made's exclusive right to prepare derivative works of its
registered 20-inch doll under 17 U.S.C. § 106(2).
On appeal from a bench trial, we review the district court's findings of fact for
clear error and its conclusions of law de novo. Mobil Shipping & Transp. Co. v.
Wonsild Liquid Carriers Ltd., 190 F.3d 64, 67 (2d Cir.1999). Mixed questions
of law and fact are also reviewed de novo. White v. White Rose Food, 237 F.3d
174, 178 (2d Cir.2001).
Under 17 U.S.C. § 411(a), "no action for infringement of the copyright in any
United States work shall be instituted until registration of the copyright claim
has been made in accordance with this title." This registration requirement is
jurisdictional. See Morris v. Business Concepts, Inc., 283 F.3d 502, 505 (2d
Cir.2002); see also 2 Melville B. Nimmer & David Nimmer, Nimmer on
Copyright § 7.16[B][1][a], at 7-155 (2002).
Well-Made never filed a separate copyright claim registration for the 48-inch
Sweetie Mine, but contends that the district court should nonetheless have
considered infringement of a copyright on the 48-inch Sweetie Mine.
According to Well-Made, its registration of a copyright claim with respect to
the 20-inch Sweetie Mine suffices. We disagree. Under section 411(a),
registration of a claim on an original work does not create subject matter
jurisdiction with respect to a suit for infringement of the original's unregistered
We addressed the mirror image of this issue in Streetwise Maps, Inc. v.
VanDam, Inc., 159 F.3d 739 (2d Cir.1998). There, the plaintiff had published
two Manhattan street maps, the later-published map differing from the earlier
by the addition of subway and bus lines. No copyright claim had been
registered for the earlier map. The later map had been registered, with the
certificate of registration indicating that it was derivative of the earlier map and
listing the subway and bus lines as the newly added expressive elements. The
defendants argued that the district court lacked subject matter jurisdiction to
hear claims alleging that any aspects of the maps other than the drawings of the
subway and bus lines had been copied. We disagreed, holding that "because
[the plaintiff] is the owner of the copyright of both the derivative and preexisting work, the registration certificate relating to the derivative work in this
circumstance will suffice to permit it to maintain an action for infringement
based on defendants' infringement of the pre-existing work." Id. at 747; cf.
Morris v. Business Concepts, Inc., 259 F.3d 65, 68 (stating that under
Streetwise Maps, "where the owner of a copyright for a collective work also
owns the copyright for a constituent part of that work, registration of the
collective work is sufficient to permit an infringement action under § 411(a) for
the constituent part."), modified on reh'g, 283 F.3d 502 (2d Cir. 2002).
Well-Made contends that the converse proposition — that registration of a
claim on a pre-existing work confers jurisdiction over infringement claims
regarding its derivative works — is also true. We conclude otherwise.
Neither Streetwise Maps nor its logic governs Well-Made's claim. In Streetwise
Maps, the registration statement listed the pre-existing work, the plaintiff was
the copyright owner of both works, and the pre-existing work was wholly
subsumed within the registered derivative work. By contrast, the copied work
here is not listed in any copyright registration and the only copied expressive
elements (the 48-inch Sweetie Mine's fabric pieces) do not appear in any work
whose copyright has been registered. See Murray Hill Publ'ns v. ABC
Communications, Inc., 264 F.3d 622, 632 (6th Cir.2001) ("Because a derivative
work is cumulative of the earlier work, it is logical that the registration of the
derivative work would relate back to include the original work, while
registration of the original material would not carry forward to new, derivative
material."); accord Creations Unlimited, Inc. v. McCain, 112 F.3d 814, 816
(5th Cir.1997) (per curiam). We cannot conclude that the district court had
jurisdiction over this claim in light of section 411(a)'s command that "no action
for the infringement of the copyright in any work shall be instituted until
registration of the copyright claim has been made." Because Well-Made did not
register its copyright in the 48-inch Sweetie Mine, section 411(a) barred the
district court from considering whether that copyright had been infringed by
The Copyright Act of 1976 protects a copyright owner's exclusive right "to
prepare derivative works based upon the copyrighted work." 17 U.S.C. §
106(2). A "derivative work" is defined as
a work based upon one or more preexisting works, such as a translation,
musical arrangement, dramatization, fictionalization, motion picture version,
sound recording, art reproduction, abridgment, condensation, or any other form
in which a work may be recast, transformed, or adapted. A work consisting of
editorial revisions, annotations, elaborations, or other modifications which, as a
whole, represent an original work of authorship, is a "derivative work".
17 U.S.C. § 101. The district court decided that Goffa designed the Huggable
Lovable by working from the 48-inch Sweetie Mine, Well-Made, 210
F.Supp.2d at 167. Well-Made argues that the Huggable Lovable is a derivative
work based on the 48-inch Sweetie Mine and that, because the 48-inch Sweetie
Mine is, in turn, a derivative work based on the 20-inch Sweetie Mine, id. at
164-65, the Huggable Lovable is a derivative work of the 20-inch Sweetie
Mine and therefore infringed Well-Made's right to prepare derivative works
based on its 20-inch doll.
But even if Goffa's Huggable Lovable is derivative of Well-Made's 48-inch
Sweetie Mine, it does not follow that Goffa violated Well-Made's right to
control the preparation of works derived from the 20-inch Sweetie Mine. In
Castle Rock Entertainment, Inc. v. Carol Publishing Group, Inc., 150 F.3d 132
(2d Cir.1998), we considered a claim that the copyright in the television
program Seinfeld had been infringed by the publication of The Seinfeld
Aptitude Test, a book containing trivia questions about the program. The
plaintiff alleged violations of its rights of reproduction and its right to control
the production of derivative works under 17 U.S.C. §§ 106(1) & (2). We drew
no distinction between the two forms of infringement and addressed both by
asking whether the book was substantially similar to the television program.
See id. at 137-41. We explained that even when one work is "based upon"
if the secondary work sufficiently transforms the expression of the original
work such that the two works cease to be substantially similar, then the
secondary work is not a derivative work and, for that matter, does not infringe
the copyright of the original work.
Id. at 143 n. 9 (emphasis added) (citing 1 Nimmer on Copyright § 3.01, at 3-3
("[A] work will be considered a derivative work only if it would be considered
an infringing work.")).
In the case before us, the district court found that after disregarding those
aspects of the dolls that, common to all rag dolls, are in the public domain and
unprotected, the 20-inch Sweetie Mine and the Huggable Lovable have little in
common. The face, palette, dress, style, and overall impression of the two
Sweetie Mine dolls, which are similar to each other, are not similar to those of
the Huggable Lovable. The Huggable Lovable is similar to the 48-inch Sweetie
Mine, but the protectable similarity begins and ends with the dolls' shapes,
shapes that the 48-inch Sweetie Mine does not share with the 20-inch Sweetie
Mine because of the changes made in the 48-inch doll's proportions for
aesthetic reasons. Well-Made, 210 F.Supp.2d at 166-72. Well-Made does not
challenge this finding on appeal. Because the allegedly derivative work — the
Huggable Lovable — sufficiently transformed the expression of the original
work — the 20-inch Sweetie Mine — such that the two works ceased to be
substantially similar, "the secondary work is not a derivative work and, for that
matter, does not infringe the copyright of the original work," Castle Rock, 150
F.3d at 143 n. 9, irrespective of whether the Huggable Lovable is substantially
similar to or derived from the 48-inch Sweetie Mine.
The Honorable Nicholas G. Garaufis, of the United States District Court for the
Although the district court said that "Well-Made has indemnified King
Kullen,"Well-Made Toy, 210 F.Supp.2d at 153, it was Goffa who indemnified
King Kullen. Because we conclude that the copyright claim in issue is not
viable, the claims against King Kullen fail along with those against Goffa. No
separate discussion of the claim against King Kullen is required.
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