Before: Pamela Ann Rymer, A. Wallace Tashima, and Raymond C. Fisher, Circuit
Judges.
RYMER, Circuit Judge:
[1] In 1994, the 801 Tower in downtown Los Angeles and
four towers that form its streetwall on the south side of the building became
the Second Bank of Gotham in Batman Forever. Andrew Leicester, an artist
known for large scale public art, claims copyright protection for these towers
along with other artistic works he created in a courtyard space called the
Zanja Madre. He registered the whole of Zanja Madre as a "sculptural work"
and sued Warner Brothers for infringement. Following a bench trial, the district
court found that the streetwall towers (even though they have artistic elements)
are part of the "architectural work." As such, the court concluded, pictures
taken of the streetwall towers along with the 801 Tower are not infringing
pursuant to the exemption for pictorial representations of buildings in the
Architectural Works Copyright Protection Act of 1990. 17 U.S.C. § 120(a).
Leicester argues that the court erred by refusing to consider the Zanja Madre
as a unitary sculptural work, and by construing the 1990 Act so as to eliminate
separate protection for sculptural works attached to buildings. We disagree
that the court erred in either respect (or in any other), and affirm.
I
[2] R&T Development Corporation (R&T) purchased a plot
of land at the southwest corner of Figueroa and Eighth Streets in Los Angeles
from the Los Angeles Community Redevelopment Agency (CRA) with plans to construct
a 24-story office building. In 1988, R&T hired TAC International (TAC) to design
the building, which was to be called the 801 Tower. John Hayes was the main
architect for the project. The CRA required property owners either to make a
"percent for art" expenditure or to pay CRA to construct public art in connection
with the development. R&T chose to provide its own artistic development, and
commissioned Andrew Leicester in August 1989 to carry it out within a courtyard
space on the south side of the building.
[3] The artistic development had to satisfy both the owners
and the CRA. Because the 801 Tower would not occupy the entire lot, the CRA
required a streetwall extending from the base of the Tower to the property line
in order to recreate the feeling of traditional downtown streets in which buildings
touch each other so as to create a continuous wall on both sides of the street.
The Agency also expected the building facade and entrance to the courtyard to
share common artistic and architectural elements. Leicester and Hayes worked
together to this end. Leicester developed three plans for the artistic elements,
the first of which was rejected by the CRA; the second was rejected by R&T;
and the third (for Zanja Madre as it now exists) was approved. After approval
of the final design in 1991, Leicester and R&T executed a written contract acknowledging
that Zanja Madre was a product of the collaborative design efforts of the artist
and architect.
[4] The artistic development consists of separate artistic
works intended by Leicester to tell an allegorical story of the history of Los
Angeles. In the courtyard proper, there is a fountain consisting of a rock split
by an arrowhead from which water flows through a channel representing the "Mother
Ditch," or Zanja Madre, which brought water to Los Angeles in its early history.
Also inside the perimeter of the courtyard are two sets of two towers representing
the city -- two building towers and two towers with drill bits on top. The fountain
area and garden, which has benches for public use, represents a mountainous
area around Los Angeles that is a source of the city's water.
[5] Five more towers and gates are aligned along the Figueroa
Street side of the courtyard, forming a wall and the entrance to the courtyard
and the 801 Tower. This is the "streetwall" portion of the artwork. Of the five
towers comprising the streetwall, the two closest to the building (the "smoke
towers") are topped by a brass metalwork design illustrating smoke flattening
out under an inversion layer. The two tallest towers (the "lantern towers")
have a lantern topped with grillwork. The lanterns are at the same height and
recall those affixed to the building; the tower bases likewise recall the pilasters
of the building. The lantern towers are lit at night (like the lanterns on the
building). The grillwork assembly consists of concentric rings that symbolize
1930s-era radio waves and modern telecommunications signals. Between the two
lantern towers is a fifth, shorter tower which is capped by a vampire figure
and to which the main gates are attached. When closed, the gates represent a
vampire bat derived from William Mulholland's statement that Los Angeles is
a "water vampire." There is also a streetwall consisting of three additional
smoke towers (identical to those on perimeter of the courtyard) that extends
westerly from the building to the property line on Eighth Street. This streetwall
is not part of Zanja Madre or of Leicester's copyright claim.
[6] In the 1991 contract between Leicester and R&T, Leicester
gave R&T a "perpetual irrevocable license to make reproductions" of Zanja Madre
"including but not limited to reproductions used in advertising, brochures,
media, publicity, and catalogs or other similar publications." Leicester also
agreed that he would "not make any duplicate, three-dimensional reproductions"
of the Zanja Madre or grant permission to others to do so.
[7] In July 1994, Warner Bros. obtained written permission
from R&T to use the premises of the 801 Tower for filming Batman Forever.
Leicester and the architect were not consulted, nor was the Zanja Madre mentioned
in the agreement although the parties understood that Warner Bros. would film
the property line along Figueroa. The 801 Tower and the two lantern towers
and two smoke towers in the streetwall appear briefly as background in a few
scenes in the movie. The building is the Gotham City bank where nefarious
deeds occur before Batman comes to the rescue. The balance of Zanja Madre
-- the vampire tower and the courtyard portion -- do not appear in the film.
In addition, Warner Bros. built a miniature model of the 801 Tower that included
a miniature of the Zanja Madre for a special effects shot, and the two lantern
towers and two smoke towers along with the building were shown in the videotape
taken from the movie as well as in some promotional items.
[8] Leicester registered the Zanja Madre for copyright
as a sculptural work in 1995 and brought this suit against Warner Bros. for
copyright infringement, unfair competition, and interference with prospective
business relations. The parties agreed to a bifurcated trial in which the court
was first to decide in a non-jury phase whether § 120(a) applies to Warner
Bros.'s use of the Zanja Madre; whether the use was permissible under a valid
license or otherwise; whether Leicester is the sole author of Zanja Madre or
any portion used by Warner Bros.; and whether Leicester owns a copyright to
the Zanja Madre, or any portion used by Warner Bros., and its scope. Remaining
issues were to be tried in a second phase to a jury.
[9] After trial on Phase I, including a site visit,
the court found that R&T had an exclusive license to sublicense three-dimensional
reproductions to Warner Bros. and did so, [n1]
but that it did not have the right to sublicense Warner Bros. to make photographic
or other pictorial copies of Zanja Madre. However, the court found that the
two lantern towers and the two smoke towers have functional aspects designed
to be part of the building plan and from their appearance are designed to
match up with the architecture of the building; it also found that the artistic
work at the tops are incorporated into the tower structure and design, and
are therefore an integrated part of the "architectural work." [n2]
Consequently, the court held that Warner Bros. did not infringe Leicester's
copyright because 17 U.S.C. § 120(a) exempts pictorial representations
of architectural works from copyright infringement. It declined to construe
the 1990 amendments as Leicester urged, to leave intact the previously authorized
protection for sculptural works that were "conceptually separable " from the
building of which they are a part, concluding instead that the intent of Congress
was to substitute the new protection afforded architectural works for the
previous protection sometimes provided under the conceptual separability test
for non-utilitarian sculptures (such as gargoyles and stained glass windows)
incorporated into a work of architecture. Accordingly, the court entered judgment
for Warner Bros. Leicester has timely appealed.
II
[10] Much of the appeal turns on the standard of review.
We have not previously decided how to review a district court's determination
that part of a work such as the Zanja Madre is part of a larger architectural
work. However, we have held that the proper copyright classification of a work
is a question of fact. See Poe v. Missing Persons, 745 F.2d 1238, 1242
(9th Cir. 1984) (whether the work is a "swimsuit" or a "work of conceptual art"
is a question of fact). We have also indicated that whether copyrightable expression
by two different authors have merged into a unitary whole is a question of fact,
see S.O.S., Inc. v. Payday, Inc., 886 F.2d 1081, 1086 (9th Cir. 1989),
as is the question whether episodes of a television series should be considered
"separate works" or parts of "one work." See Columbia Pictures Television
v. Krypton Broadcasting, 106 F.3d 284, 295 (9th Cir. 1997), rev'd on
other grounds, Feltner v. Columbia Pictures Television, Inc., 118
S.Ct. 1279 (1998). In Carter v. Helmsley-Spear, Inc., 71 F.3d 77 (2d
Cir. 1995), the court of appeals for the Second Circuit had to decide whether
the trial court correctly found that a work of art is a single piece of art
to be analyzed under the Visual Artists Rights Act of 1990 as a whole rather
than separate works to be considered individually. In doing so, it held that
this finding was a factual one to be reviewed under the clearly erroneous standard.
See id. at 83. It follows from Carter, which concerned a similar
issue, as well as from our own precedent, that we should review for clear error
the district court's determination that the smoke and lantern towers comprising
the streetwall are part of the design of the building.
III
[11] Leicester argues that the Zanja Madre is a unitary
sculptural work that the district court effectively mutilated by severing four
of its eight towers and treating them as part of the building. He points out
that any three-dimensional, non-utilitarian, original, creative work qualifies
as a "sculptural work," relying on Kamar Int'l v. Russ Berrie & Company,
Inc., 657 F.2d 1059, 1061 (9th Cir. 1981). The Zanja Madre is obviously
three-dimensional, original and creative, and in his view, it is "non-utilitarian"
because it is not humanly habitable, it is not a building, and it can't become
"functional" simply because it is physically or aesthetically oriented to the
801 Tower. In any event, Leicester contends, the towers are conceptually separate
from the building and are protectable as a sculptural work after the 1990 Act
as they were before.
A
[12] Title 17 U.S.C. § 102(a) defines eight categories
of original works of authorship that are afforded copyright protection. Section
102(a)(8) protects "architectural works" and § 102(a)(5) protects "pictorial,
graphic, and sculptural works" (PGS works). Classification of the Zanja Madre
as an architectural work is critical because unlike PGS works, architectural
works are afforded a more limited copyright protection: The copyright in an
architectural work that has been constructed does not include the right to prevent
the making, distributing, or public display of pictures, paintings, photographs,
or other pictorial representations of the work, if the building in which the
work is embodied is located in or ordinarily visible from a public place. 17
U.S.C. § 120(a); see also R.M.S. Titanic, Inc. v. Haver, 171 F.3d
943, 970 n.5 (4th Cir. 1999).
[13] Prior to 1990, the Copyright Act afforded no protection
to architectural works. Buildings were considered to be "useful articles,"
not protected by the Copyright Act. See Paul Goldstein, Copyright
§ 2.15.1, at 2:183 (1999) ("Structures built from architectural plans
will often fail to qualify as pictorial, graphic, or sculptural works because
their `intrinsic utilitarian function' makes them `useful articles.' "). As
defined by the Copyright Act, a useful article is "an article having an intrinsic
utilitarian function that is not merely to portray the appearance of the article
or to convey information. An article that is normally a part of a useful article
is considered a`useful article.' " 17 U.S.C. § 101. Clear examples of
useful articles include automobiles, food processors, and television sets.
See Gay Toys, Inc. v. Buddy L. Corp., 703 F.2d 970, 973 (6th Cir. 1983).
[14] Although buildings were not protected prior to 1990,
an architect's plans and drawings were protected as a PGS work. Title 17 U.S.C.
§ 101 defines PGS works as follows:
"Pictorial, graphic, and sculptural works" include two-dimensional and three-dimensional
works of fine, graphic, and applied art, photographs, prints and art reproductions,
maps, globes, charts, diagrams, models, and technical drawings, including
architectural plans.
17 U.S.C. § 101.
[15] On March 1, 1989, the United States joined the Berne
Convention for the Protection of Literary and Artistic Works. To comply with
this treaty obligation, Congress passed the Architectural Works Copyright
Protection Act of 1990 (AWCPA), establishing a new category of copyright protection
for works of architecture. See H.R. Rep. 101-735, at 4-10.
[16] As defined in 17 U.S.C. § 101, an "architectural
work" is the design of a building as embodied in any tangible medium of expression,
including a building, architectural plans, or drawings. The work includes the
overall form as well as the arrangement and composition of spaces and elements
in the design, but does not include individual standard features. 17 U.S.C.
§ 101. Congress did not afford architectural works full copyright protection;
rather, it exempted the making of pictorial representations of architectural
works from copyright infringement. The House Report notes that "[a]rchitecture
plays a central role in our daily lives, not only as a form of shelter or as
an investment, but also as a work of art. It is an art form that performs a
very public, social purpose." H.R. Report 101-735, at 12. The Report explains
the reason for exempting pictorial representations of architectural works from
copyright infringement:
Architecture is a public art form and is enjoyed as such. Millions of people
visit our cities every year and take back home photographs, posters, and other
pictorial representations of prominent works of architecture as a memory of
their trip. Additionally, numerous scholarly books on architecture are based
on the ability to use photographs of architectural works.
These uses do not interfere with the normal exploitation of architectural
works. Given the important public purpose served by these uses and the lack
of harm to the copyright owner's market, the Committee chose to provide an
exemption, rather than rely on the doctrine of fair use, which requires ad
hoc determinations.
H.R. Rep. 101-735, at 22.
B
[17] Against this backdrop, the district court found
that the lantern towers and the smoke towers, including the decorative elements
at the top, are part of the 801 Tower as a whole. As it explained, each tower
appears to be an integrated concept which includes both architectural and artistic
portions. The court rejected Leicester's assumption that the decorative portion
should be looked at alone as conceptually separate, artistic embellishments
of the whole; rather, it found, the artistic and architectural impression is
one created by the towers as a whole, complementing the pilasters and continuing
the theme of the third floor lanterns of the building. Thus, it concluded, the
four towers are part of the design plan of the building.
[18] These findings are well supported in the record.
The four towers form a streetwall that extends the building to the property
line. The streetwall was not a creative aspect of Leicester's work; it was an
architectural element mandated by the CRA, which required a structure with sufficient
mass to establish the street edge and be no higher than three stories. Thus,
the streetwall's two highest columns (the lantern towers) are limited to three
stories. Professor Louis Naidorf, Dean of the Woodbury University School of
Architecture and Design, testified that streetwalls are traditionally considered
as architectural features: "Particularly in modern urban design, streetwalls
are one of the basics of the architectural vocabulary, along with columns, windows,
and doors."
[19] The streetwall matches the building and gives the
impression that the building continues to the end of the property line. The
streetwall towers are designed to appear as part of the building; indeed, the
court found based on considerable evidence that Hayes was a joint author with
Leicester of the lantern and smoke towers. The bases of the towers are identical
to those of the building pilasters for the first three floors, constructed
with the same pink granite and green marble. The lanterns on the lantern towers
match the lanterns attached to the building at its third floor level; they are
made of the same material and are at the same height as those on the building.
The streetwall towers are positioned to match the distance between any two pilasters
of the building. Additionally, there is a streetwall consisting of three smoke
towers on the opposite corner of the building on Eighth Street, placed the same
distance apart as the pilasters. These towers are identical to the two streetwall
smoke towers closest to the building on Figueroa. Leicester concedes that the
Eighth Street towers are not part of the Zanja Madre. As Professor Naidorf observed,
the lantern towers and smoke towers that form the Figueroa streetwall as well
as the smoke towers on the Eighth Street side of the building serve "the architectural
and urban design purpose of defining the street frontage and enhancing the pedestrian
level of the complex." In addition, the Zanja Madre streetwall serves the functional
purpose of channeling traffic into the courtyard, as metal gates, which open
and close for control, latch onto the lantern towers.
[20] Nevertheless, Leicester argues that the court erred
when it concluded that because the towers were placed in alignment with the
building to give a visual effect of a wall, used the same marble to give the
impression that the building continued until the end of the property line, and
had identically appearing base features and visually matching design features
on the building, that the towers are therefore part of the building plan because
those features at most contribute to the visual effect of the Zanja Madre. Leicester
contends that visual effects cannot impart usefulness to the four towers, thereby
making the Zanja Madre a "building." He points out that these visual effects
are not "intrinsic" to the towers nor do they render the towers intrinsically
inhabitable as a "building." For this reason, he submits, the court erred in
relying on these features. We disagree that these points matter, however, given
the district court's finding that the smoke and lantern towers are part of the
architectural work and the building plan. In the relevant sense, "building"
includes structures "that are used, but not inhabited by human beings," H.R.
Rep. 101-735, at 20, and § 101's protection of an "architectural work"
extends to the "overall form as well as the arrangement and composition of spaces
and elements in the design " of a building. The 801 Tower's streetwall seems
plainly covered as an "arrangement and composition of spaces and elements" in
the building's design. Leicester also submits that the district court erred
by finding that the four columns functioned to direct and control traffic into
a courtyard adjacent to the 801 Tower, but we don't see how as they clearly
support the gates that control access both to the courtyard and to the building.
While Leicester correctly points out that the aesthetic features of the smoke
and lantern towers do not contribute to the access control function, we are
not convinced that for this reason alone the district court incorrectly found
that the towers should be considered as a unit and as part of the 801 Tower
as a whole.
[21] Leicester further maintains that the streetwall
towers are a sculptural work which is "conceptually separate " from the building
[n3] and thus independently entitled to copyright
protection.
[22] Again, the district court found otherwise and we
cannot say its finding lacks support. The streetwall towers were designed to
extend the building visually, which they do along both Figueroa and Eighth.
The Eighth Street smoke towers are equally integrated and serve the same purpose
on Eighth as the Figueroa Street smoke towers do on Figueroa. This is powerful
evidence that they (together with the additional two lantern towers on Figueroa)
are part of the functional and architectural vocabulary of the building.
C
[23] Because the streetwall towers are part of the architectural
work, § 120(a) applies. It allows the public the right to photograph public
buildings including, in this case, the streetwall smoke and lantern towers unless,
as Leicester contends, the 1990 amendments specifically provide for the continued
separate protection of sculptural works attached to buildings. Leicester's position
is that the Berne Convention did not require taking away copyright protection
for PGS works, and Congress did not do so when it passed the AWPCA implementing
the Convention. He relies in particular upon passages in the legislative history
indicating that certain works of authorship which may separately qualify for
protection as PGS works may be permanently embodied in architectural works,
and that in such cases the author (if the same for both works) may elect whether
to seek a remedy under § 102(a)(5) or 102(a)(8). See, e.g., H.R.
Rep. 101-735, at 19 n. 41; [n4] H.R. Rep.
101-735, at 19.
[24] Whether or not Leicester may have some other claim
for a different infringement of his copyright in the Zanja Madre towers as a
sculptural work, we believe he has none for a pictorial representation of the
801 Tower and its streetwall embodying a protected architectural work. Otherwise,
§ 120(a)'s exemption for pictorial representations of buildings would make
no sense. When copyright owners in architectural works were given protection
for the first time in 1990, the right was limited by § 120(a) so that publicly
visible buildings could freely be photographed. See H.R. Rep. 101-735,
at 11-12, 21-22. This reflected a shift from the prior regime of relying on
"ad hoc determinations" of fair use. Id. at 21-22. Having done this,
it would be counterintuitive to suppose that Congress meant to restrict pictorial
copying to some, but not all of, a unitary architectural work.
[25] Accordingly, we agree with the district court that
§120(a) applies.
IV
[26] We can resolve Leicester's remaining
contentions summarily. First, he argues that the district court exceeded its
authority by deciding three issues reserved by the parties for the jury trial
phase, but we disagree. Whether R&T gave Warner Bros. a sublicense to make
three-dimensional works is clearly encompassed by the Phase I issue of whether
any of Warner Bros.'s uses of the Zanja Madre are permissible under a valid
license or sublicense or otherwise. The issue of whether Warner Bros's use
of the Zanja Madre was an infringement is implicated by the district court's
answer to the question whether § 120(a) applies to any of the uses of
the Zanja Madre. Further, Leicester argues that the court improperly jumped
the gun and merely assumed that the Batman film constituted a "pictorial representation"
of the Zanja Madre. However, this issue must be considered in determining
the applicability of § 120(a) to Warner Bros.'s uses of the Zanja Madre.
Therefore, the district court did not overstep its bounds.
[27] Finally, Leicester argues that
the district court erred in ruling that Warner Bros. acquired a license from
R&T to make a three-dimensional miniature model of the Zanja Madre. R&T's
ability to sublicense turns on whether R&T had an exclusive right to make
Zanja Madre miniatures. See Harris v. Emus Records Corp., 734 F.2d
1329, 1333 (9th Cir. 1984).
[28] The contract provides:
In view of the intention that the WORK in its final dimension
shall be unique, the ARTIST shall not make any duplicate, three-dimensional
reproductions of the final WORK, nor shall the ARTIST grant permission to
others to do so. The ARTIST grants to the OWNER, to the OWNER's related
corporate entities, and to the OWNER's assigns a perpetual irrevoable license
to make reproductions of the WORK including but not limited to reproductions
used in advertising, brochures, media publicity, and catalogs or other similar
publications, provided that these reproductions are made in a tasteful and
professional manner.
[29] Leicester claims that R&T did not
have an exclusive right to make Zanja Madre miniatures because the contract
only prohibited Leicester from making identical duplicates of the Zanja Madre.
Although the words "duplicate, three-dimensional reproductions" can conceivably
mean identical duplicate sculptures the same size and scale as the original,
it would be unreasonable to interpret the term as so narrowly limited. Otherwise,
the license would be meaningless, for Leicester could make an exact replica
of the Zanja Madre 99% of its size. The purpose of the provision is to ensure
that the Zanja Madre remains "unique," and the contract provides no exception
for smaller reproductions. Thus, the contract must be read to prohibit all
three-dimensional reproductions. Accordingly, the district court correctly
construed the contract as conferring on R&T an exclusive right to make three-dimensional
representations of the Zanja Madre of all sizes; therefore, R&T could sublicense
that right to Warner Brothers.
[30] AFFIRMED.
TASHIMA, Circuit Judge, concurring:
[31] I concur in the result and in most of the reasoning
of the majority opinion. I disagree only with its conclusion that the district
court found that the streetwall towers were not "conceptually separate" from
the building. See slip op. at 15219. On this point, I agree with the
dissent that the district court found only "that the four relevant towers are
a portion of the architectural work which includes the building and those four
towers." Leicester v. Warner Bros., 47 U.S.P.Q.2d 1501, 1507 (C.D.Cal.
1998); see slip op. at 15232. As the dissent further observes, the district
court found it unnecessary to decide whether the streetwall towers were conceptually
separable because it concluded as a matter of law that "the enactment of Section
120(a) had the effect of limiting the conceptual separability concept to situations
not involving architectural works." Id. at 1508; see slip op.
at 15232-33. The district court concluded its analysis of the Architectural
Works Copyright Protection Act (AWCPA), Pub. L. No. 101-650,SS 701-706, 1990
U.S.C.C.A.N. (104 Stat.) 5133, thusly:
If this interpretation is correct, the former doctrine of "conceptual separability"
as it applied to pictorial, graphic or sculptural work embedded as part of
a building, has been modified by the 1990 amendments. The court adopts this
interpretation of the Act.
Id. I agree with this conclusion as applied to the facts of this case.
[32] The district court found, after receiving
"much evidence . . . pro and con on this point," that "the towers are a part
of the architectural design of the building." Id. at 1507. As the majority
opinion summarizes, see slip op. at 15216-18, the district court made
detailed findings in support of this ultimate finding. I quote those findings
in full:
The court has concluded that the preponderance of the evidence
is that the four towers are a part of the architectural work and that therefore,
Section 120(a) applies, allowing the pictorial representations made by the
defendant.
The conclusion is reached because the preponderance of the
evidence is that the four towers have functional aspects designed to be
a part of the building plan. The towers constitute a "streetwall, " most
clearly illustrated in exhibit 193, which is a photograph taken looking
southerly along Figueroa Street from the main building entrance at the corner
of 8th and Figueroa. First, the towers are placed exactly to match the distance
apart of the risers or pilasters of the building. Secondly, the towers up
to their decorative parts consist of the same material as the pilasters
of the building and are clearly designed to give the impression that the
building continues along to the end of the property line, as apparently
required by CRA. The bases of the towers are identical with those of the
pilasters, the pink granite is the same, and the green marble is the same.
In addition, from their appearance, the four towers are otherwise also designed
to match up with the architecture of the new building. Exhibit 197 shows
that the lanterns on the lantern towers are designed to match up to the
lanterns at the third floor level attached to the building proper (see
exhibits 193 and 197). In addition, the four columns also serve another
functional purpose. They served to channel the traffic into the courtyard
through gates which are affixed to the towers and can be closed when the
courtyard is to be closed (presumably at night). Thus, the columns serve
the functional purpose not only of directing the traffic into the courtyard
but of controlling that traffic. The "streetwall" purpose is also emphasized
by the use of three more "smoke towers" on the opposite corner of the building
on 8th Street, again placed at the building line the same distance apart
as the pilasters of the building (exhibit 195). In addition, it must be
said that the requirement of the CRA that there be a street wall continuing
along the building line to the end of the property is an architectural purpose,
not an artistic purpose, and was imposed as an architectural requirement
from the beginning. The artist and architect carried out this architectural
requirement of CRA. The towers contain artistic work, particularly at the
tops thereof, which are purely artistic work incorporated into the tower
structure and design. The court concludes that the preponderance of the
evidence is that the towers are a part of the architectural design of the
building.
Id. at 1507.
[33] In these factual circumstances, where a joint architectural/
artistic work functions as part of a building, the district court concluded
that § 120(a)'s exemption [n1] applied
to protect Warner Bros.' pictorial representation of the streetwall towers against
a claim of copyright infringement. I agree with that conclusion in the narrow
circumstances of this case. [n2] To hold otherwise, as the
dissent apparently would do, would completely eviscerate the purpose and protection
of § 120(a)'s exemption. I do not believe that that was Congress' intent
in enacting the AWCPA.
[34] There is ample support in the legislative history
of the Act that the protection for architectural works in 17 U.S.C. § 102(a)(8)
is now the exclusive remedy for PGS works embodied in an architectural work
-- at least for those PGS works that are so functionally a part of a building
that §120(a)'s exemption would be rendered meaningless for such buildings,
if conceptual separability were applied to them. A contrary reading of the AWCPA
would countermine Congress' intent in creating the "pictorial representation"
exemption from copyright protection for architectural works. I thus read the
AWCPA as rejecting application of the conceptual separability test where the
architectural work and the artistic work are so closely and functionally intertwined
as in this case.
[35] Under the dissent's reading of the AWCPA, any copyrightable
architectural work containing conceptually separable PGS elements (e.g., stained
glass windows) would receive full copyright protection under § 102(a)(5),
while those containing "original design elements" which are not separable
would be subject to the "pictorial representation" exemption. The difficulty
with this interpretation is that it is completely unclear how a potential
infringer -- or an artist or architect, for that matter -- would be able to
distinguish between the two, especially considering that this circuit has
never addressed the conceptual separability doctrine and there is no uniform
standard elsewhere. To require one to wade through the morass of conceptual
separability before he can exercise the right granted by § 120(a) and
be assured that his pictorial representation is non-infringing cannot be what
Congress intended. See H.R. REP. NO. 101-735, at 6952 (1990) (stating
that protection for architectural works should be determined "free of the
separability conundrum presented by the useful articles doctrine applicable
for [PGS] works").
[36] Because the Act itself does not provide a clear
answer on this issue, we must look to the legislative history of the AWCPA.
See United States v. Hockings, 129 F.3d 1069, 1071 (9th Cir. 1997) (stating
that when interpreting a statue, the court should study its legislative history
if the language of the statute is unclear). And that legislative history supports
the position that functional PGS works embedded in a building are no longer
eligible for conceptual separability treatment. For example, the House Committee
on the Judiciary stated:
By creating a new category of protectable subject matter, [architectural
works,] in new section 102(a)(8), and, therefore, by deliberately not encompassing
architectural works as [PGS] works in existing section 102(a)(5), the copyrightability
of architectural works shall not be evaluated under the separability test
applicable to [PGS] works embodied in useful articles.
H.R. REP. NO. 101-735, at 6951 (emphasis added). Moreover, one of the goals
of the 1990 amendments was to protect architectural works "free from entanglement
in the controversy over design protection and conceptual separability. " 136
CONG. REC. E259 (daily ed. Feb. 7, 1990) (remarks of Mr. Kastenmeier). Under
the dissent's approach, however, the quagmire of conceptual separability would
only deepen in cases where pictorial representations of a building were at issue.
[37] The dissent relies heavily on the
legislative history concerning the architect's right to elect to sue under
§ 102(a)(5) -- the "plans" provision -- and § 102(a)(8) -- the "architectural
work" provision -- and concludes that, since an architect still may sue for
the unauthorized use of his plans, a PGS copyright owner, by necessary implication,
also must be able to sue under the old version of § 102(a)(5). See H.R.
REP. NO. 101-735, at 6950 ("An individual creating an architectural work by
depicting that work in plans or drawing[sic.] will have two separate copyrights,
one in the architectural work (section 102(a)(8)), the other in the plans
or drawings (section 102(a)(5)).").
[38] It does not follow, however, that
because Congress did not intend that the new statute would change the extent
of protection for architectural plans and drawings, it also intended that
the nature of the protection for PGS works attached to an existing building
would remain static. It is altogether feasible to allow an architect to elect
to sue for the unauthorized reproduction of his drawings as a separate artistic
work entitled to its own copyright protection without running afoul of the
pictorial representation exception mandated by Congress. Conversely, providing
full § 102(a)(5) protection to a PGS work embodied as a functional element
in an architectural work would eviscerate the pictorial representation exception
because one could not photograph, draw, paint, etc. (subject to the fair use
doctrine) any building that had such a PGS work embodied in it. Congress specifically
noted the "important public purpose" served by allowing pictorial representations
of our nation's buildings. H.R. REP. NO. 101-735, at 6953 (noting that "numerous
scholarly books on architecture are based on the ability to use photographs
of architectural works"). Thus, we should not read the AWCPA in a way that
would inhibit those important public uses.
[39] The dissent reads footnote 41 [n3]
of the House Report as supporting its position. That footnote, however, can
be interpreted in at least two plausible ways. The footnote states, in pertinent
part, that election of remedies is inappropriate where the copyright of a
PGS work embodied in an architectural work is different from the owner of
the copyright of the architectural work. The dissent suggests that election
is inappropriate because both of the copyright holders are limited to §
102(a)(5) protection. More plausibly, however, Congress meant that election
is inappropriate because both copyright holders are limited to § 102(a)(8)
protection, given the inapplicability of the conceptual separability doctrine.
Under this approach, all protectable elements of an architectural work are
protected exclusively under § 102(a)(8) so that there is no need to determine
whether any part of the work may be considered a conceptually separable PGS
work. [n4]
[40] Footnote 43 of the House Report
lends support to the interpretation that § 102(a)(8) is the only source
of protection for PGS works embodied in an architectural work. That footnote
provides that "monumental, non-functional works of architecture," previously
protected as PGS works, are now to "be protected exclusively under Section
102(a)(8)" as architectural works. Id. at 6951 n. 43. Although the
dissent interprets the import of this footnote differently, see slip
op. at 15243-44, it certainly supports the proposition that Congress' intent
was that what was previously protectable as a sculptural work is now to be
protected solely as an architectural work. The rejection of election of protection
(i.e., as either sculptural or architectural works) with respect to
monumental works suggests that election of protection also is unavailable
for functional PGS works embodied in an architectural work. [n5]
[41] Although the dissent condemns limiting copyright
protection for PGS works embodied in an architectural work, its approach would
limit the copyright protection afforded to architects. As the dissent reads
the Act, architects who cannot prove that another reproduced his or her plans
will no longer have protection against the reproduction of original design elements
of their buildings if that building happens to contain a conceptually separable
PGS whose copyright is owned by another. See slip op. at 15239-42. Moreover,
the dissent's approach would necessitate -- in every case in which ornamental
elements appear in an architectural work -- a determination of whether any part
of the work constitutes a conceptually separable sculptural work entitled to
PGS protection, which is precisely the result Congress sought to avoid. See
H.R. REP. NO. 101-735, at 6951 ("[T]he principal reason for not treating
architectural works as pictorial, graphic, or sculptural works is to avoid entangling
architectural works in this disagreement.") (emphasis added).
[42] In sum, Congress was not as clear as it could have
been in enacting the AWCPA. Nonetheless, it is our task to construe the Act
so as to effectuate congressional intent, as evidenced by the legislative history
and common sense. See United States v. Sagg, 125 F.3d 1294, 1295 (9th
Cir. 1997) ("[O]ur duty is to find that interpretation which can most fairly
be said to be imbedded in the statute, in the sense of being most harmonious
. . . with the general purpose that Congress manifested."). In the circumstances
of this case, the more reasoned interpretation of the AWCPA is that § 102(a)(8)
now provides the sole source of copyright protection for functional PGS works
embodied in an architectural work. This approach provides the same scope of
protection to the architect and the artist, provides some certainty in the law,
conserves judicial resources by eliminating the difficult-to-apply conceptual
separability test, and more closely effectuates Congress' intent to reject the
conceptual separability test as a device for determining the scope of protection
for architectural works. Most importantly, it gives meaning and substance to
the pictorial representation exemption Congress enacted in § 120(a).
[43] For these reasons, I agree with the majority's conclusion
that Congress did not "mean[ ] to restrict pictorial copying to some, but not
all of, a unitary architectural work, " slip op. at 15221, and, therefore, that
§ 120(a) applies.
FISHER, Circuit Judge, dissenting:
[44] I agree with the majority that the district court
did not clearly err in finding as a factual matter -- after a thorough and thoughtful
inquiry -- that the streetwall portion of the Zanja Madre is part of the larger
architectural work of the 801 Building, but I do not believe that ends the inquiry.
[n1] This is so because I do not believe
this finding precludes a concurrent finding that the streetwall towers can also
be considered conceptually separate from the building (as part of the rest of
the Zanja Madre sculpture, for example). If the towers can be seen as conceptually
separate from the 801 Building, then they are entitled to full copyright protection
as a sculptural work under 17 U.S.C. § 102(5), despite being part of an
architectural work, unless we determine as a matter of law that the Architectural
Works Copyright Protection Act (AWCPA), Pub. L. No. 101-650, SS 701-706, 104
Stat. 5133 (codified at 17 U.S.C. §§ 101-102, 120), completely eliminated
separate copyright protection for pictorial, graphic and sculptural works ("PGS
works") that are a part of, but conceptually separate from, architectural works.
[45] The majority avoids reaching this difficult question
of statutory construction by concluding that the district court's factual finding
that the streetwall is part of the architectural work also constitutes a finding
that the streetwall is not conceptually separable from the building. See
Opin. at 15220 ("Leicester further maintains that the streetwall towers are
a sculptural work which is `conceptually separate' from the building and thus
independently entitled to copyright protection. Again, the district court found
otherwise and we cannot say its finding lacks support." (footnote omitted)).
The district court, however, did not make such a finding; it considered the
issue of whether the towers are conceptually separable from the 801 Building
to be an entirely different question from that of whether the towers are part
of the architectural work. See Leicester v. Warner Bros., 47 U.S.P.Q.2d
1501, 1507 (C.D. Cal. 1998) (stating that "if the four towers depicted are a
part of the `architectural work' of the building," then "[i]t is apparent, subject
to the possible application of the`conceptual se[p]arability' doctrine,
that the pictorial representations made by Warner Bros. are protected from an
infringement suit by Section 120(a) [of the AWCPA]" (emphasis added)). The district
court properly recognized that, even if the towers are part of the architectural
work, the section 120(a) exception permitting the photographing of architectural
works would not apply if the towers are conceptually separable from the 801
Building and therefore subject to full copyright protection as a sculptural
work.
[46] After determining that the streetwall was part of
the architectural work, the district court decided the legal question of whether
the doctrine of conceptual separability for PGS works incorporated into an architectural
work survived the enactment of the AWCPA -- a question it considered to be "[t]he
most difficult legal part" of the case. Id. at 1508. The district court
never made a factual determination of whether the towers were conceptually separable,
though, because it concluded that "the former doctrine of `conceptual separability'
as it applied to a [PGS] work imbedded as part of a building, has been modified
by the [AWCPA]." Id.
[47] This conclusion on a matter of statutory interpretation
is a question of law that we review de novo. See Fantasy, Inc. v.
Fogerty, 94 F.3d 553, 556 (9th Cir. 1996). As I discuss below, I believe
the district court erred in concluding that the AWCPA eliminated separate copyright
protection for PGS works that are part of architectural works. Accordingly,
I respectfully dissent.
DISCUSSION
[48] Determining the AWCPA's effect on PGS works incorporated
in buildings is not a simple endeavor. As I explore below, the statute and legislative
history do not provide a definitive answer in either direction. I recognize
that, given the lack of clear guidance from the statutory language and legislative
history, reasonable people can arrive at opposite conclusions. Nonetheless,
I would resolve any doubt or ambiguity in favor of protecting the rights of
the PGS artist. Several considerations inform this position. First, although
we generally try to give meaning to every provision of a statute, see Reiter
v. Sonotone Corp., 442 U.S. 330, 339 (1979) ("In construing a statute we
are obliged to give effect, if possible, to every word Congress used."), when
the meaning of a statute is ambiguous, we should attempt to avoid damaging existing
rights absent a clear statement of a congressional intent to do so. This is
in keeping with the general notion that "an amendatory act is not to be construed
to change the original act or section further than expressly declared or necessarily
implied." 1A Norman J. Singer, SUTHERLAND STATUTORY CONSTRUCTION S 22.30 at
267 (5th ed. 1992).
[49] Prior to the AWCPA, the prevailing legal view was
that PGS works that were part of, but conceptually separable from, buildings
were entitled to full copyright protection under the 1976 Copyright Act. See
H.R. REP. NO. 94-1476, at 55 (1976) ("Purely non-functional or monumental structures
would be subject to full copyright protection under the bill, and the same would
be true of artistic sculpture or decorative ornamentation or embellishment added
to a structure."); accord 1 Melville B. Nimmer & David Nimmer, NIMMER
ON COPYRIGHT S 2.08[D][2][b], at 2-128 (1997). We should presume that Congress
was aware of this legal context when it amended the Copyright Act through the
AWCPA. See Albernaz v. United States, 450 U.S. 333, 341-42 (1981) ("[I]t
is appropriate for us `to assume that our elected representatives . . . know
the law.' " (quoting Cannon v. University of Chicago, 441 U.S. 677, 696-697
(1979))). We should not construe the AWCPA as altering this established practice
without a clear statement of legislative intent.
[50] Second, as the AWCPA's legislative history emphasizes,
the purpose of the Act was to add protection for architectural works. See
H.R. REP. NO. 101-735, at 20 ("The sole purpose of legislating at this time
is to place the United States unequivocally in compliance with its Berne Convention
obligations."). [n2] The United States has
consistently taken a minimalist approach to implementing the Berne Convention,"making
only those changes in U.S. law absolutely required to meet our treaty obligations."
136 CONG. R EC. E259 (daily ed. Feb. 7, 1990) (statement of Rep. Kastenmeier).
The Berne Convention required Congress to add copyright protection for buildings
in constructed form. Nothing in the Berne Convention required Congress simultaneously
to eliminate separate copyright protection for PGS works that are part of an
architectural work, and those who would read the AWCPA as extinguishing those
existing rights should have the burden of proving Congress' intent to so do.
Significantly, there is nothing in the AWCPA warning artists that if they incorporate
their PGS works into the publicly viewable portion of a building, they will
no longer be able to prevent others from commercially exploiting their works.
[51] Third, it would be odd to interpret the AWCPA as
eliminating protection for certain works of PGS artists when, contemporaneously
with the AWCPA, Congress enhanced the rights of PGS artists through separate
legislation. The bill that contained the AWCPA also included the Visual Artists
Rights Act of 1990 ("VARA"). See Pub. L. No. 101-650, §§ 601-10,
104 Stat. 5089, 5128-33 (1990). VARA provided, for the first time in American
copyright history, limited "moral rights" for authors of works of "visual art,"
a subset of PGS works. [n3] See 17
U.S.C. § 106A. Moral rights "afford protection for the author's personal,
non-economic interests in receiving attribution for her work, and in preserving
the work in the form in which it was created, even after its sale or licensing."
Jane C. Ginsburg, Copyright in the 101st Congress: Commentary on the Visual
Artists Rights Act and the Architectural Works Copyright Protection Act of 1990,
14 COLUM . VLA J. L. & ARTS 477, 478 (1991). Absent a clear statement of legislative
intent, I would not interpret the AWCPA as destroying PGS artists' established
intellectual property rights, when, at the same time, Congress was expressing
through VARA a desire to enhance the rights of PGS artists. [n4]
I. The Architectural Works Copyright
Protection Act
[52] In examining the effect of
the AWCPA, I believe it useful to begin with an examination of the pre-AWCPA
regime to put the statute in the proper historical context.
A. Pre-AWCPA Protection for Architecture
[53] Before passage of the AWCPA,
the 1976 Copyright Act contained no explicit protection for constructed architectural
works. Architectural plans, however, were protected -- first as scientific
drawings, which were included in the definition of PGS works, see 1
NIMMER ON COPYRIGHT § 2.08[D][2][a], at 2-117, and then, following passage
of the Berne Convention Implementation Act of 1988, as explicitly within the
definition of PGS works, see Pub. L. No. 100-568, § 4(a)(1)(A),
102 Stat. 2853 (1988) (codified at 17 U.S.C. § 101). A building as constructed
generally was considered a "useful article," and thus the design of a building
as constructed could only be copyrighted to the extent that the " `design
incorporate[d] pictorial, graphic or sculptural features that [could] be identified
separately from, and [were] capable of existing independently of, the utilitarian
aspects of the article.' " 1 NIMMER ON COPYRIGHT § 2.08[D][2][b], at
2-127 (quoting 17 U.S.C. § 101). Accordingly, "copyright [could ] be
claimed in `artistic sculpture or decorative ornamentation or embellishment
added to a structure,' but not in the structure per se." Id. at 2-128
(footnote omitted) (quoting H.R. REP. NO. 94-1476, at 55). If there was a
conceptually separable PGS work attached to a building, the author of that
PGS work could seek PGS copyright protection for that work, but no copyright
could be obtained for an entire building unless the building was a "[p]urely
nonfunctional or monumental structure[ ]." Id. at 2-127.
[54] Under this regime, people
were free to take pictures of buildings, but if the building's exterior contained
a conceptually separable (and therefore copyrightable) PGS work, the PGS copyright
owner could sue for infringement -- subject, of course, to the exception for
"fair use" under 17 U.S.C. § 107. [n5]
B. Changes Made by the AWCPA
[55] The AWCPA only applies to
buildings constructed on or after the statute's enactment date, December 1,
1990. See Pub. L. No. 101-650, § 706, 104 Stat. 5134. The AWCPA
created a new category of copyrightable subject matter:"architectural works,"
17 U.S.C. § 102(a)(8), which Congress defined to include a building as
constructed, see id.§ 101. In creating this new category, Congress
also created a new regime for determining when an architectural work is copyrightable.
Architects can now copyright buildings as constructed without regard to whether
the buildings satisfy the separability test applicable to PGS works embodied
in useful articles. See H.R. REP. NO. 101-735, at 20. [n6]
Concerned, however, that architects might use this newly granted right to
copyright buildings to the detriment of the public, Congress placed an important
limitation on the exclusive rights that a copyright bestowed on the author
of the architectural work: "The copyright in an architectural work that has
been constructed does not include the right to prevent the making, distributing,
or public display of pictures, paintings, photographs, or other pictorial
representations of the work, if the building in which the work is embodied
is located in or ordinarily visible from a public place." 17 U.S.C. §
120(a); see also H.R. REP. NO. 101-735, at 22 (noting that the exception
"serve[s] to balance the interests of authors [of architectural works] and
the public"). In other words, if you want to copyright a building as constructed
and thereby prevent others from constructing buildings that copy your design,
you have to permit people to take, display and distribute pictures of your
building without limitation. The driving purpose of the AWCPA, thus, was not
to expand the public's right to photograph buildings, but to protect the works
of architects; the limitation on photography was an important but secondary
purpose, concerned with confining the scope of this new right.
C. AWCPA's Effect on Separate Copyright
Protection for PGS Works
[56] Nothing in the text of the
AWCPA expressly eliminates or retains separate PGS protection for conceptually
separable PGS works attached to buildings. As previously noted, this absence
of a clear statutory mandate favors preserving the existing, historical rights
of PGS artists. The conclusion that Congress did not alter the availability
of separate protection is buttressed by a reasonable interpretation of the
legislative history. Although the legislative history is ambiguous, its discussion
of the concept of "election of protection " and treatment of monumental works
of architecture, in my view, support the conclusion that Congress did not
intend to eliminate separate protection for PGS works attached to buildings.
Moreover, I do not believe the elimination of the separability test to determine
the copyrightability of architectural works and the limit of one architectural
work per structure command a contrary result.
1. Election of Protection
[57] The AWCPA's legislative history
reflects Congress' express desire that the extension of copyright protection
to buildings as constructed not affect an author's pre-AWCPA ability to obtain
copyright protection for architectural blueprint plans, drawings and models.
See H.R. R EP. NO. 101-735, at 19 ("Protection for architectural plans,
drawings, and models as pictorial, graphic, or sculptural works under section
102(a)(5), title 17, United States Code, is unaffected by this bill."). In
addition, Congress specifically stated that an architect should be able to
elect both forms of protection concurrently:
The bill's intention is to keep these two forms of
protection separate. An individual creating an architectural work by depicting
that work in plans or drawing [sic] will have two separate copyrights, one
in the architectural work (section 102(a)(8)), the other in the plans or
drawings (section 102(a)(5)). Either or both of these copyrights may
be infringed and eligible separately for damages. [I]n cases where it
is found that both the architectural work and the plans have been infringed,
courts or juries may reduce an award of damages as necessary to avoid double
remuneration, but the basic concept of election of protection[fn 41] is
important and must be preserved.
Id. (emphasis added). Of course, if the architect
elects coverage under section 102(a)(8), then section 120(a) applies to limit
the scope of the architect's exclusive rights in his copyright -- if the building
is in a publicly visible place, he cannot prevent others from creating two-dimensional
reproductions of the building.
[58] Footnote 41 in the above
quoted passage addresses the situation where there is an artistic work incorporated
into a building. In my view, this cryptic and ambiguous footnote can reasonably
be read to support the notion that the AWCPA did not alter the availability
of separate protection of PGS works attached to buildings:
The Subcommittee was aware that certain works of authorship
which may separately qualify for protection as pictorial, graphic, or sculptural
works may be permanently embodied in architectural works. Stained glass
windows are one such example. Election is inappropriate in any case where
the copyright owner of a pictorial, graphic, or sculptural work embodied
in an architectural work is different from the copyright owner of the architectural
work.
Id. at 19 n.41. Congress' use of the present
tense in the first sentence -- "may separately qualify" -- is evidence that
separate copyright protection for PGS works that are part of architectural
works remains available. If there is a conceptually separable section 102(a)(5)
PGS work permanently embodied in a section 102(a)(8) architectural work, the
architect can elect protection under either or both sections provided he owns
the copyright interest in the PGS work. If a separate artist created the PGS
work (and has not assigned the copyright to the architect), [n7]
the architect is limited to a copyright in the building as constructed and
a copyright in the blueprint plans, whereas the artist retains a copyright
in the PGS work. [n8] The scope of the
architect's copyright in the building, of course, is limited by section 120(a).
Because section 120(a) only applies to limit the scope of rights of a "copyright
in an architectural work," however, it has no effect on the artist's copyright
in his PGS work. As Professor Ginsburg has stated, "if a building contains
elements separately protectable as pictorial, graphic or sculptural works
(for example, a gargoyle), the unauthorized pictorial representation of that
element may be an infringement of the pictorial, graphic or sculptural work
(not of the work of architecture)." Ginsburg, supra at 995. The artist's
PGS copyright is still limited by the fair use doctrine of section 107, though,
which will protect the average tourist from infringement liability but will
prevent most unauthorized commercial exploitations of images of the work.
[59] This reading of the legislative
history is consistent with the rationale underlying Congress' explicit decision
to provide a blanket photograph exemption -- section 120(a) -- rather than
relying on the fair use doctrine. See H.R. REP. NO. 101-735, at 22.
As the House Report accompanying the AWCPA noted:
Millions of people visit our cities every year and
take back home photographs, posters, and other pictorial representations
of prominent works of architecture as a memory of their trip. Additionally,
numerous scholarly books on architecture are based on the ability to use
photographs of architectural works. These uses do not interfere with the
normal exploitation of architectural works. Given the important public purpose
served by these uses and the lack of harm to the copyright owner's market,
the Committee chose to provide an exemption, rather than rely on the doctrine
of fair use, which requires ad hoc determinations.
Id. Congress was aware of the commercial market
for posters and postcards of famous or interesting buildings, and it did not
want its extension of copyright protection to constructed architectural works
to affect that market. But Congress did not address the commercial market
for posters and postcards of specific, copyrighted PGS works that are embedded
in, or in some other way a part of, a building. [n9]
Entrepreneurs desiring to sell postcards that featured a building's attached
artwork always needed to obtain a license from the PGS artist or risk a copyright
infringement suit. In this way, the PGS artists were in a position to control
the commercial exploitation of two-dimensional reproductions of their independent,
creative contribution to a larger work. I interpret the absence of explicit
congressional intent to eliminate that ability to be further evidence that
the AWCPA was not intended to affect the separate copyrightability of PGS
works incorporated into buildings.
2. Monumental Works of Architecture
[60] The AWCPA's treatment of
monumental, nonfunctional works of architecture illustrates that Congress
knows how to express clearly its intent to change the manner in which a specific
subject matter is protected under the Copyright Act. According to the House
Report: "Monumental, nonfunctional works of architecture are currently protected
under section 102(a)(5) of title 17 as sculptural works. These works are,
nevertheless, architectural works, and as such, will no[w] be protected exclusively
under section 102(a)(8)." H.R. REP. NO. 101-735, at 20 n.43. [n10]
When Congress looked at this class of works, which under the 1976 Copyright
Act had been afforded full copyright protection as sculptural works, see
H.R. REP. NO. 94-1476, at 55, and intended to eliminate that protection and
replace it with protection solely as architectural works, it made its intent
clear in the legislative history. Logically then, if Congress similarly had
intended the AWCPA to eliminate separate PGS copyright protection for PGS
works imbedded in architectural works, it would have done so expressly as
well.
[61] According to Judge Tashima's
concurrence, Congress' treatment of monumental works lends support to the
proposition that it intended to remove from PGS classification those works
that were previously protectable as sculptural works and protect them solely
as architectural works. See Conc. at 15230. This view seems to conflate
monumental works with sculptural works. But monumental works are a small subset
of sculptural works (at least, they were), and sculptural works, in turn,
are a subset of PGS works. Congress specifically singled out this subset of
PGS works for special treatment. It explicitly removed monumental works from
PGS classification and placed them under the rubric of architectural works,
and said nothing as to sculptural or PGS works in general. Congress' treatment
of monumental works makes sense because monuments, which are generally nonfunctional,
frequently blur the line between sculpture and architecture. Significantly,
the rationale for changing the treatment of monuments does not transfer well
to conceptually separable PGS works attached to architectural works. Unlike
monumental, nonfunctional works of architecture, which "are, nevertheless,
architectural works," PGS works attached to an architectural work are not
themselves works of architecture. Despite being attached to an architectural
work, they are, nevertheless, PGS works and should be entitled to all of the
exclusive rights Congress has extended to works of that classification.
3. Elimination of Separability Test for Determining
Copyrightability of Architectural Works
[62] According to the House Report:
By creating a new category of protectible subject
matter in new section 102(a)(8), and, therefore, by deliberately not encompassing
architectural works as pictorial, graphic, or sculptural works in existing
section 102(a)(5), the copyrightability of architectural works shall not
be evaluated under the separability test applicable to pictorial, graphic,
or sculptural works embodied in useful articles. There is considerable scholarly
and judicial disagreement over how to apply the separability test, and the
principal reason for not treating architectural works as pictorial, graphic,
or sculptural works is to avoid entangling architectural works in this disagreement.
H.R. REP. NO. 101-735, at 20 (footnotes omitted). While
it is true that Congress did not want architects to have to survive the morass
of separability in order to obtain copyright protection for their creations,
there is nothing in the AWCPA that suggests Congress intended to prevent sculptors
and other artists who created PGS works that were attached to buildings from
attempting to satisfy the difficult separability test and thereby gain full
PGS copyright protection for their works. I believe this distinction between
the copyrightability of architectural works and the copyrightability of PGS
features that are part of architectural works is critical. Because buildings
themselves traditionally have been considered "useful articles," see
1 NIMMER ON COPYRIGHT § 2.08[D][2][a], at 2-121 to 2-122, it would be
extremely difficult, if not impossible, for an architect to obtain a copyright
in a functional building if he were forced to satisfy the conceptual separability
test. See Michael F. Clayton & Ron N. Dreben, Copyright Protection
for Architectural Works: Congress Changes the Rules, 4 J. PROPRIETARY
RTS. 15 (Mar. 1992) ("Given the inherent difficulty of physically or conceptually
separating a building's design from its `utilitarian' aspect or function,
copyright protection for structures in this country [was] virtually nonexistent
[prior to the AWCPA]."). In contrast, there is nothing inherently more difficult
about applying the conceptual separability test to PGS features that are part
of buildings than to PGS features that are part of other useful articles,
yet Congress has not eliminated the test in those other contexts. Absent clear
instruction from Congress, I believe we should continue to apply the conceptual
separability test to determine the 120(a)(5) copyrightability of PGS works
that are in some way a part of an architectural work. This approach has been
employed for years and gives meaning to the extant rights of artists and architects.
[63] The concurrence reads the
AWCPA as replacing the conceptual separability test for PGS works embedded
in architecture with a clear, bright-line rule. Its interpretation of the
Act, however, sheds little light on the complicated interaction between the
copyright protection of PGS works and architectural works. The concurrence
proposes two very different ways of treating PGS works attached to, or embedded
in, architectural works. On the one hand, it suggests Congress intended to
paint with a broad brush, using the AWCPA to wipe out entirely PGS rights
for all works embedded in buildings. On the other hand, it suggests an entirely
different, and far narrower, reading of the Act in which Congress intended
only to draw a fine line separating PGS protection from architectural work
protection. This, as I explain below, is not so different from the current
conceptual separability scheme.
[64] The first approach is unnecessarily
broad and threatens to alter deeply the relationship between artist and architect,
not to mention art and architecture. The concurrence believes the legislative
history of the Act reveals that Congress intended to make the new protection
given to architectural works under section 120 "the exclusive remedy for PGS
works embodied in an architectural work." Conc. at 15226. This reading of
the Act suggests any PGS work that can be considered "part" of a building
automatically loses its PGS identity and protection. Such a work is entitled
to receive only the lesser degree of protection afforded to architectural
works. The rule makes no consideration for size of the work or degree to which
the work is incorporated into a building. If an artist created even the smallest
painting on the front of a building, she would lose PGS copyright protection
in that work. This provides a great disincentive for artists to collaborate
with architects.
[65] The second approach posited
by the concurrence tries to avoid this problem by setting forth a narrower,
functionality-based test. Under this view, the AWCPA applies only to PGS works
that are "so functionally a part of a building" that application of the conceptual
separability test would render the section 120(a) exception for reproduction
of architectural works meaningless. Conc. at 15226. But this approach hardly
creates clarity. At best, it preserves the status quo by serving as a proxy
for conceptual separability. After all, it, too, requires a trial court to
make a factual determination as to the degree of functionality a PGS work
retains once it is considered part of an architectural work. Here, the district
court found only that the streetwall had "functional aspects" and that, therefore,
it was part of the architectural work. It did not apply any sort of functionality
test to discern whether the streetwall was "so functional" that granting it
PGS protection would have rendered application of section 120(a) to the 801
building meaningless. In fact, we have no idea from the district court's findings
whether Warner Bros. could have filmed the 801 building without capturing
a part of Zanja Madre.
[66] Moreover, a test based solely
on functionality creates yet another element of confusion because, in the
legislative history of the AWCPA, Congress utilizes the term "functionality"
as part of its proposed test for determining the copyrightability of architectural
works. See H.R. REP. NO. 101-735, at 20-21, and supra n.6. According
to the House Report, an architectural work is copyrightable only to the extent
its design elements are not "functionally required." With this in mind, the
application of a functionality test for PGS works embedded in architecture
might produce an ironic result. Under the concurrence's view, if a PGS work
is deemed a "functional" part of a building, it loses its PGS protection and
gains architectural work protection. But the very fact it has been determined
to be "functional " arguably may defeat the copyrightability of the building
itself, since in order for the architectural work to be copyrightable its
design elements may not be "functionally required."
[67] I recognize there is, on
the surface, a degree of uncertainty in leaving alone the current scheme of
protection for PGS works. In extreme cases, it may allow an entire architectural
work to gain PGS protection, a result seemingly in tension with the goal of
the AWCPA. This would happen, for instance, where a PGS work so fully dominated
an architectural work that reproduction of the architectural work would be
impossible without infringing the artist's PGS copyright. This would seem
to be a rare case, however, and the current regime is equipped to handle it.
In such a circumstance, as has been the case until now, a trial court could
find that the PGS work was so integrated into the architectural work that
it was not conceptually separable and, therefore, effectively lost its PGS
status. Upon this finding, the PGS work would be protectable only as part
of the architectural work. This, of course, preserves ambiguities at the margins,
but law cannot be applied to the arts with mathematical precision.
[68] Other difficulties that might arise from my reading
of the AWCPA, moreover, remain unresolved by the concurrence. The concurrence's
view, for example, still forces a commercial exploiter to determine whether
a PGS element of a building is separately copyrighted since the piece may not
be "so functional" a part of the architectural work as to render applicability
of section 120(a) meaningless. To a commercial exploiter, degree of functionality
should be no easier to determine than conceptual separability.
[69] Ultimately, the only way to maneuver cleanly around
these admittedly difficult problems is to read (as the concurrence suggests)
the AWCPA so broadly as to eliminate fully the rights of any PGS work that is
even a modest part of an architectural work, with no attention given to size
of the work, placement, impact on the building, degree of functionality or possible
conceptual separability. I believe this goes too far. It would discourage an
artist from painting even a small work on a building. A sculptor would rightfully
be wary of placing a piece too close to a building, or on a pedestal made with
the same themes or patterns as the architectural work. The AWCPA need not be
read to compel such a drastic result.
4. Limit of One Architectural Work per Structure
[70] Representative Kastenmeier,
the House sponsor of the AWCPA, clarified that what is protected by section
102(a)(8) "is the design of a building or other three-dimensional structure.
The term `design' is intended to encompass both the overall shape of a structure
as well as protectible individual elements." 136 CONG. REC. E259, E260 (daily
ed. Feb. 7, 1990) (statement of Rep. Kastenmeier). He emphasized, however,
that there is "only one `architectural work' per structure; separate registrations
may not be sought for multiple protectible elements in any given structure."
Id. If an architect were able to copyright individual architectural
elements as architectural works, it would retard the progress of architecture
by preventing others from using, adapting or modifying those elements in new,
useful and interesting ways. See id. ("This provision recognizes both
that creativity in architecture frequently takes the form of a selection,
coordination, or arrangement of unprotectable individual elements into an
original, protectable whole, and that an architect may incorporate new, protectable
design elements into otherwise standard, unprotectable building features.").
The nature of architecture as a utilitarian art form justifies this limitation
on copyright protection. That same concern does not carry over into the nonutilitarian
world of sculpture. Accordingly, the statement that there is only one architectural
work per structure does not mean there cannot be multiple protectable PGS
works in a structure.
D. Other Provisions in the Copyright Act
[71] Interpreting the AWCPA as preserving PGS artists'
intellectual property rights in their works that are part of buildings is consistent
with language found elsewhere in the Copyright Act. In particular, one provision
of VARA amended 17 U.S.C. § 113, which governs the scope of exclusive rights
in PGS works. See Pub. L. No. 101-650, § 604, 104 Stat. 5089, 5130-31.
That section, entitled "Removal of Works of Visual Art from Buildings," governs
the scope of moral rights afforded to authors whose PGS works are incorporated
into buildings. For works of visual art that have been incorporated into buildings
after the passage of VARA, the following rules apply:
If the owner of a building wishes to remove a work of visual art which is
a part of such building and which can be removed from the building without
the destruction, distortion, mutilation, or other modification of the work
as described in section 106A(a)(3), the author's rights under paragraphs (2)
and (3) of section 106A(a) shall apply unless-
(A) the owner has made a diligent, good faith attempt without success to
notify the author of the owner's intended action affecting the work of visual
art, or
(B) the owner did provide such notice in writing and the person so notified
failed, within 90 days after receiving such notice, either to remove the work
or to pay for its removal. . . .
If the work is removed at the expense of the author, title to that copy of
the work shall be deemed to be in the author.
17 U.S.C. § 113(d)(2). Congress' inclusion of a provision covering PGS
works that are incorporated into buildings, in a section governing the scope
of PGS rights, is strong evidence that it recognized that such works would continue
to enjoy full PGS copyright protection.
[72] Also, interpreting the AWCPA as eliminating separate
PGS protection for works incorporated into buildings would subject what would
otherwise be PGS works to 17 U.S.C. § 120(b), which permits "the owners
of a building embodying an architectural work" to make changes or destroy
the building "without the consent of the author or copyright owner of the
architectural work." Without continued application of conceptual separability
for PGS works incorporated into buildings, those works, as part of the "architectural
work," could be altered or destroyed without the permission of their authors.
This interpretation would have Congress acting simultaneously to enhance,
through VARA, the rights of authors of works of visual art while reducing,
through the AWCPA, the rights of authors whose works of visual art are part
of a building. An interpretation that preserves PGS protection for works attached
to buildings would avoid this inconsistency. [n11]
[73] Finally, the Copyright Act's continued reference
to PGS works incorporated in buildings provides additional evidence that Congress
did not intend the AWCPA to eliminate PGS protection for such works. The Copyright
Act requires registration of all "United States work[s]" as a prerequisite for
a copyright infringement action. See 17 U.S.C. § 411. Included in
the definition of a "United States work" is "a pictorial, graphic, or sculptural
work incorporated in a building or structure" located in the United States.
17 U.S.C. § 101. This explicit reference to PGS works incorporated in a
building was added in 1988 by the Berne Convention Implementation Act. See
Pub. L. No. 100-568, § 4(a)(1)(C). If Congress viewed the AWCPA as eliminating
separate PGS protection for post-1990 PGS works incorporated into buildings,
then presumably Congress would have amended the definition of "United States
work" to differentiate between pre- and post- AWCPA structures. [n12]
CONCLUSION
[74] The language of the AWCPA did not explicitly eliminate
separate PGS copyright protection for artistic works that are incorporated
into buildings. A reasonable reading of the legislative history supports the
view that such separate protection remains available. Consequently, a PGS
work that is part of, but conceptually separate from, an architectural work
can enjoy full PGS copyright protection. Because PGS copyrights are not subject
to the AWCPA's photograph exemption codified in section 120(a), Warner Bros.'
pictorial reproductions of Leicester's streetwall towers in the film Batman
Forever would not be protected by that section if Leicester's streetwall
towers are conceptually separable from the 801 Building. Therefore, I would
reverse the decision of the district court and remand for that conceptual
separability determination. If the streetwall towers are conceptually separable,
Leicester would be able to proceed to a trial on the merits of his copyright
infringement claim.
[75] Today, we erect a legal wall on a weak foundation.
Depriving artists of PGS protection if their works are part of an architectural
work is a drastic change in the law. It threatens to deprive the public of innovative
and challenging forms of artistic and architectural expression. This result
seems inconsistent with the overarching goals of the AWCPA and the VARA, taken
together. Because Congress did not speak clearly on this important copyright
issue, and I am not persuaded it intended to so alter artists' PGS rights, I
respectfully dissent.