DENISE COTE, District Judge.
Paul Rose, a composer and musician, brings this copyright action against the four members of the band U2 as well as music industry defendant UMG Recordings, Inc. ("UMG"). In his Amended Complaint ("FAC"), Mr. Rose principally claims that defendants infringed his copyright by willfully copying fragments from his original musical work "Nae Slappin" to create a guitar solo for the U2 song "The Fly."
Plaintiff Paul Rose is a British musician who lives in New York. Plaintiff wrote and recorded "Nae Slappin" in 1989. "Nae Slappin" is three minutes and thirty seconds in length. It is an extended guitar instrumental, backed by percussion and a bassline. A thirteen-second guitar riff comes near the very beginning of the composition, after the introduction of a rhythmic bassline. "Nae Slappin" does not include any vocal element, have an obvious beginning, middle, or end, or a structure built upon a repeated melody. Plaintiff sent a copy of the recording to UMG's Island Records label as a "demo tape."
U2, whose individual members are named defendants and live in New York, California, and Ireland, is a widely recognized rock music band. UMG, a global music corporation with its headquarters in New York, has manufactured and distributed records and albums for U2 since 1980. On October 21, 1991, U2 released the song "The Fly," to stir excitement for the band's forthcoming album, "Achtung Baby." "The Fly" was an international success and U2 still broadcasts a recorded version of the song during its live concerts.
"The Fly" is a rock composition with lyrics, a melody, and a chorus. It is four minutes and twenty-five seconds in length and features a twelve-second guitar solo about two-thirds of the way through the song.
Plaintiff alleges three similarities between a thirteensecond segment of his "Nae Slappin" and a twelve-second segment, which features a guitar solo, in U2's "The Fly."
Plaintiff commenced this lawsuit on February 28, 2017. The original complaint generally alleged copyright infringement. In response to a motion to dismiss, which argued
When a defendant moves to dismiss for failure to state a claim upon which relief can be granted under Fed. R. Civ. P. 12(b)(6), a court must "accept all allegations in the complaint as true and draw all inferences in the non-moving party's favor."
In ruling on a motion to dismiss, a "district court may consider the facts as asserted within the four corners of the complaint together with the documents attached to the complaint as exhibits, and any documents incorporated in the complaint by reference."
To state a claim for copyright infringement, a plaintiff must plausibly allege facts that demonstrate "1) that his work is protected by a valid copyright,
Copyright protection extends to "original works of authorship fixed in any tangible medium of expression," such as musical works.
The "sine qua non" of all copyright protection is originality.
In copyright cases alleging infringement of a musical composition, a court considers only a song's composition — the notes, rhythm, and harmony, for example — and does not consider elements of performance of the composition, like the skill with which the composition is played.
Generally, individual notes and common rhythms are not protectable.
To show wrongful copying, a plaintiff must show a "substantial similarity" between the infringing and infringed work.
"The standard test for substantial similarity between two items is whether an ordinary observer, unless he set out to detect the disparities, would be disposed to overlook them, and regard the aesthetic appeal as the same."
Even when there is no substantial similarity between two works when they are considered as a whole, liability may exist when a fragment of a copyrighted work has been copied. This doctrine has come to be known as "fragmented literal similarity." 4 Nimmer on Copyright § 13.03 (2017). Fragmented literal similarity "focuses upon copying of direct quotations or close paraphrasing."
Under the fragmented literal similarity test, "the question of substantial similarity is determined by an analysis of whether the copying goes to trivial or substantial elements of the
The fragmented literal similarity test therefore has two components. It queries "whether the copying is quantitatively and qualitatively sufficient to support a finding of infringement."
For purposes of this motion, the defendants have accepted as true the allegations that the plaintiff has a valid copyright in "Nae Slappin" and that they had access to the work in advance of their creation of "The Fly." They move to dismiss the action on the ground that no reasonable jury could find that the two works are substantially similar, particularly when any element of protectable expression is considered. In opposition, the plaintiff does not contend that the defendants' work, taken as a whole, is substantially similar to his work. Instead, as already noted, he relies on the doctrine of fragmented literal similarity.
To support his claim of infringement, the plaintiff principally relies on the Guitar Line in a thirteen-second fragment of "Nae Slappin," which the FAC contends was reproduced "virtually note-for-note" and with "identical backing" in "The Fly". As a threshold matter, there is a serious question as to whether the plaintiff has plausibly identified a fragment in "Nae Slappin" that is sufficiently original to merit copyright protection.
In neither the FAC nor its opposition to this motion does the plaintiff explain what elements of this thirteen-second segment are original, for instance, whether it is the fragment's eleven-note melody, or the arrangement of the melody with a particular backing, both, or something else. In his opposition brief, the plaintiff asserts that the defendants' fragment reflects "the same attitude, attack, style and overall approach" as in the "Nae Slappin's" thirteen-second fragment. A style of playing is not ordinarily protectable expression, and there is nothing here to suggest an exception to that well-established principle. There is also no copyright protection for what appears to be the principal thrust of "Nae Slappin," that is, a demonstration of the plaintiff's skill in playing his instrument. Neither a style of playing nor the skill with which a composition is played are protectable, only the composition itself may be protected if it is sufficiently original.
Even assuming, however, that the plaintiff can identify elements in the thirteen-second Guitar Line that are protectable, that fragment does not constitute a sufficiently "substantial" portion of "Nae Slappin" to be a protectable fragment of the work. "Nae Slappin" is a three and a half minute composition which demonstrates the plaintiff's impressive guitar skills. The plaintiff describes the work as "an extended improvisation of then-novel industrial rock." In under four minutes, the guitarist demonstrates and weaves together multiple different styles of playing: from holding long notes to create melody (which is the style demonstrated in the thirteen-second fragment) to extended stretches with fast, intricate finger work. He also creates a variety of striking sounds from the guitar, including a high pitched squeal. For a lengthy coda, the instrument sounds like a racing car or truck engine.
At thirteen seconds, which amounts to six percent of the recording, the fragment is not quantitatively significant to "Nae Slappin." More importantly, it is not qualitatively significant, when measured against the entirety of plaintiff's composition. The fragment appears only once near the beginning of the recording; it is not repeated. It is one of multiple, at times seemingly random, guitar lines and styles strung together over the course of the composition. In the thirteen-second fragment, the guitarist is lingering on and accenting one note at a time, creating a melodic line. The plaintiff does not suggest that that melody is ever revisited in the piece. While this style of playing extends briefly beyond the fragment and the lingering-on-a-note-style appears again later on, the actual melody, notes, or general theme of the fragment are abandoned. Considering the fragment under a theory of fragmented literal similarity, the fragment must be considered in light of the work as a whole. In that context, the Guitar Line is, as a matter of law, not a substantial component of "Nae Slappin."
It is telling that the plaintiff, in opposition to this motion, acknowledges that to sustain a claim of copyright infringement based on an alleged copying of a fragment, the fragment must be a "substantial element of plaintiff's work." The plaintiff also acknowledges that he will have to establish that the fragment "is of great qualitative importance" to "Nae Slappin" given that the fragment is a "relatively small" portion of the work. Despite his description of this burden, he does not identify any way in which the fragment is a "substantial element" or of qualitative importance to "Nae Slappin." Such a description appears in neither the FAC nor in his brief.
The closest that the plaintiff comes to describing the significance of the fragment to the whole of plaintiff's work is the following: "[T]he opening riff of Nae Slappin is played on the open low E string on a guitar with a clean and undistorted sound. It is a very distinctive and important foundation of the structure and definitive driving sound of Nae Slappin, heard throughout the track."
Finally, even if the Guitar Line were both sufficiently original and significant to the plaintiff's work such that the Line were protectable, a reasonable jury could not find that the isolated Guitar Line in "Nae Slappin" was literally copied or nearly literally copied in the allegedly infringing clip from "The Fly." That level of copying is required to pursue an infringement claim under the fragmented
Even if the two fragments demonstrate similar styles of playing the guitar — lingering on a few notes to create a melody — they do not create the same melody, and the plaintiff does not represent that they do. While both begin with one note held for a few beats, followed by playing three shorter notes down the octave, any possible similarity ends there. The "Nae Slappin" fragment continues on to include two more lower notes, to create a line of six notes, while the defendants' picks up again after four notes to repeat the same phrase, only ending on a different fourth note. The plaintiff's fragment continues, after its first six-note phrase, to a similar sounding but distinctly different — in note and rhythm — phrase than the one immediately preceding it. Those two phrases make up the entirety of the plaintiff's Guitar Line fragment. The defendants' fragment, on the other hand, consists of three shorter phrases strung together. The first two, four-note phrases are nearly identical, ending on different notes, and the third phrase, which also begins with the same three notes, extends a few beats longer and ends with a trill on the thirdto-last note. The defendants' fragment does not, therefore, recreate the notes, sounds, or rhythm of the plaintiff's work in a way that would permit a finding that the copying was sufficiently close to find infringement under the fragmented literal similarity doctrine. As the plaintiff acknowledges, the doctrine of fragmented literal similarity requires that the infringer create an "exact or nearly exact" duplicate of the plaintiff's work. Based on Exhibit A, the plaintiff has not plausibly pled that the defendants' work contains a literal or nearly literal copy of the identified portion of the plaintiff's work.
The use of a tambourine in the "Nae Slappin" fragment is not protectable. The plaintiff claims infringement because the parties both use a tambourine to "reinforce" the beat in the passages of their respective works that contain the Guitar Line and the alleged copy of that Line. Although a tambourine is used in both fragments, it is not used in the same way. The tambourine in "Nae Slappin" is hit along with the snare; the tambourine in "The Fly" is shaken. As the plaintiff also explains, the tambourine is used to play an "alternative" pattern in "The Fly" from the pattern in "Nae Slappin." The plaintiff argues, however, that the "simple presence of the tambourine in `The Fly' reinforces that `Nae Slappin' has been closely studied, dissected and copied."
The presence of the tambourine to accentuate or highlight a beat or guitar line is not an original expression that can be protected by copyright. Nor does copyright protection extend to works inspired by a protected work. After all, copyright law does not protect ideas; it protects expression. While the choice of instruments may be protectable in some circumstances, for example when protection is sought for a musical arrangement,
For similar reasons, the allegation about the use of a tambourine fails to plead a claim of fragmented literal similarity. The plaintiff does not contend that the use of the tambourine in the fragment was quantitatively or qualitatively significant to "Nae Slappin" as a whole. Nor does the plaintiff contend that the use of the tambourine in the Guitar Line fragment of "Nae Slappin" and in the alleged infringing fragment from "The Fly" are identical or nearly so. Indeed, the plaintiff appears to abandon any claim of fragmented literal similarity with respect to the tambourine, instead arguing in his opposition papers that the "simple presence" of the tambourine in the thirteen-second passage of "The Fly" demonstrates that the defendants copied "Nae Slappin." For purposes of this motion, however, the defendants have not challenged the plaintiff's contention that they had access to "Nae Slappin" as they were creating "The Fly." Therefore, evidence of such access does not address whether the use of the tambourine in the thirteen-second fragment is protected expression under the doctrine of fragmented literal similarity.
The allegation regarding the use of "drum and percussion" and a "bass line" during the thirteen-second passage containing the Guitar Line also fails to state a claim. The FAC alleges that the drum and percussion and the bass line are "the same at points in both songs", as can be heard in Exhibit A to the FAC. The plaintiff appears to be describing a general rhythmic style. As with the plaintiff's claim regarding the tambourine, the allegations regarding the drum, percussion, and bass line are too vague to describe protectable expression. Indeed, in his opposition brief the plaintiff does not address this allegation, apparently abandoning any infringement claim based on the use of these elements.
And, as with the claim premised on the use of a tambourine, plaintiff has not plausibly alleged that the use of these rhythmic elements in the thirteen-second fragment are quantitatively or qualitatively significant to "Nae Slappin," or that the defendants literally copied or nearly literally copied his original combination of drum, percussion, and bass line. Listening to Exhibit A does not fill this gap.
The FAC asserts infringement based on a chord change from E7 to A7 that is heard in "Nae Slappin" shortly after the fragment bearing the Guitar Line.
Further, the FAC fails to plead that the chord change is protectable under the doctrine of fragmented literal similarity. The plaintiff fails to explain how the chord change identified in the FAC is a quantitatively and qualitatively significant component of "Nae Slappin." The plaintiff simply asserts that "listeners do hear chord changes." That listeners can hear a chord change does not render it a significant element of a work. In opposition to this motion, the plaintiff seems to abandon the FAC's assertion that this single chord change states an infringement claim. Instead, he relies on the chord change to support his argument that the defendants must have had access to "Nae Slappin." Specifically, the plaintiff argues that the chord change in the two works bear "a startling resemblance." But, for purposes of this motion to dismiss, access to the plaintiff's work is not disputed.
Finally, the FAC pleads that the "dimension of sound" in the two works are substantially similar. The FAC gives no guidance as to what is meant by this allegation, and it is not discussed in the plaintiff's opposition brief. That brief focuses exclusively on the doctrine of fragmented literal similarity in connection with the fragments found on Exhibit A to the FAC.
This allegation does not plead a plausible claim of infringement. It is too vague to give fair notice to the defendants of the basis for the claim. It does not appear to relate to any element of the work that is protectable as creative expression. Abstract ideas are not protected by copyright. Certainly, no reasonable juror listening to the entirety of the two works could find that they are similar. Moreover, it is impossible to apply the fragmented literal similarity test to this allegation, because the FAC does not point to specific segments of the parties' works or provide an audio guide as to what is meant by "dimensions of sound."
The defendants' July 18, 2017 motion to dismiss is granted. The plaintiff's claims for copyright infringement are dismissed, pursuant to Fed. R. Civ. P. 12(b)(6). The Clerk of Court shall enter judgment for the defendants and close the case.