Grubb v. KMS Patriots, L.P.

                  UNITED STATES COURT OF APPEALS
                      FOR THE FIRST CIRCUIT
                                           

No. 95-2375

                       JAMES L. GRUBB, JR.,

                      Plaintiff - Appellant,

                                v.

                      KMS PATRIOTS, L.P. AND
            NATIONAL FOOTBALL LEAGUE PROPERTIES, INC.,

                     Defendants - Appellees.

                                           

           APPEAL FROM THE UNITED STATES DISTRICT COURT

                FOR THE DISTRICT OF MASSACHUSETTS

         [Hon. Edward F. Harrington, U.S. District Judge]
                                                                  

                                           

                              Before

                     Torruella, Chief Judge,
                                                     

                 Stahl and Lynch, Circuit Judges.
                                                          

                                           

     Blair  L.  Perry,  with whom  Heidi  E.  Harvey  and Fish  &
                                                                           
Richardson P.C. were on brief for appellant.
                         
     Daniel L. Goldberg, with whom Paul M. Robertson and Bingham,
                                                                           
Dana & Gould were on brief for appellees.
                      

                                           

                                           


          TORRUELLA, Chief Judge.   Plaintiff-Appellant James  L.
                    TORRUELLA, Chief Judge.
                                          

Grubb,  Jr. ("Grubb"  or  "Plaintiff"),  challenges the  district

court's grant of  summary judgment  for Defendants-Appellees  KMS

Patriots, L.P.  (the  "Patriots"), and  National Football  League

Properties, Inc. ("NFL Properties")  (collectively "Defendants"),

on  Grubb's claims  of copyright  infringement under 17  U.S.C.  

501.  We affirm the decision of the district court.

                          I.  BACKGROUND
                                    I.  BACKGROUND

          Resolving reasonable inferences in  favor of Grubb, the

nonmovant, the summary judgment materials show the following.

          The Patriots, a professional football team and a member

of  the  National Football  League,  informed  NFL Properties  on

January 17, 1993, that  they were considering  a logo change  for

the upcoming season.  NFL Properties, among  other tasks, manages

design  and publishing  production assignments  for the  National

Football League.  At a meeting between Patriots officials and NFL

Properties  representatives  on January  27,  1993,  the Patriots

asked that the design of the  new logo be created within the next

few weeks.

          Accordingly,    NFL   Properties    contacted   several

independent design  firms.  On  January 27, 1993,  Bradley Jansen

("Jansen")  of NFL  Properties  approached  Evenson Design  Group

("Evenson") about the project, and Evenson agreed  to begin work.

Via  overnight   courier,  Jansen  sent  to   Evenson  a  package

containing,  among other  things,  a purchase  order and  designs

similar  to the one that the Patriots had considered and rejected

                               -2-


in 1979 ("the 1979 proposed Patriots logo").  Jansen continued to

be in contact with, and meet with, Patriots employees thereafter.

          The package was received  on January 28, 1993.   In his

deposition, Ken Loh  ("Loh"), an Evenson employee, stated that he

began sketching the design that the Patriots  eventually chose to

replace their old logo ("the Patriots' new logo").   With the aid

of his timesheets,  which were  generated by  a computer  program

that both Plaintiff  and Defendants have stipulated could  not be

backdated,  Loh indicated  that  he had  virtually completed  the

Patriots'  new  logo  by February  4,  1993.    Referring to  his

timesheets, Loh stated  that as  of that  date he  began work  on

creating  other  logos  and  revising  the  logo  he had  already

created, which he identified as the Patriots new logo.

          On February 12, 1993, Evenson sent Loh's  design to NFL

Properties.    Representatives of  NFL  Properties  met with  the

Patriots  on February  18, 1993.   The  Patriots were  shown many

proposed  logos, including  Loh's.   The Patriots  selected Loh's

design as their new logo on March 5, 1993.

          Meanwhile, on  February 9, 1993,  having heard  through

the  news media that the  Patriots planned to  change their logo,

Grubb submitted an unsolicited proposed design ("Grubb's design")

to the  Patriots' office  in Foxborough,  Massachusetts.  In  his

deposition, Grubb stated that he was told by a Patriots' employee

that  the   Patriots  would  contact  him   later  regarding  his

submission.  Grubb holds  a Certificate of Copyright Registration

                               -3-


for his  design, which the United States  Copyright Office issued

to him effective February 1, 1994.

          The Patriots' new logo  and Grubb's design contain some

of the same elements,  including a man's face in  profile, stars,

and  stripes.1  The  district court  granted summary  judgment to

Defendants.   The district court  concluded that Grubb  failed to

show that Loh had access to Grubb's work, relying in  part on the

fact that the Patriots established and followed a policy that was

designed  to  prevent designers  -- such  as  Loh --  from seeing

outside submissions.  Additionally, the district court found that

Loh  composed the  Patriots'  new logo  independently of  Grubb's

design.   In the instant  appeal, Grubb  challenges the  district

court's grant of  summary judgment to Defendants.  In particular,

Grubb  argues that  his  Supplemental Affidavit,  in which  Grubb

compares  Loh's work  and his  own, asserts  facts that  create a

direct conflict with Loh's testimony, on which the district court

relied.   In the  Supplemental Affidavit, Grubb  states that "the

relative  proportions of  the  elements of  the  two designs  are

substantially identical  and the  curve of  the base  line .  . .

appears to be a precise match," and that Loh's work was "probably

. . .  traced from some other drawing."   According to Grubb, the

district court  erred in  crediting Loh's  testimony in light  of

Grubb's Supplemental Affidavit.

                    
                              

1  See appendices following this opinion.
                

                               -4-


                     II.  STANDARD OF REVIEW
                               II.  STANDARD OF REVIEW

          Summary  judgment is  appropriate when  "the pleadings,

depositions, answers to interrogatories, and  admissions on file,

together with the affidavits . . . show that there  is no genuine

issue  as to  any  material fact  and that  the  moving party  is

entitled to  a judgment  as a  matter of law."   Kelly  v. United
                                                                           

States, 924 F.2d 355, 357 (1st Cir. 1991); see also  Fed. R. Civ.
                                                             

P. 56(c).   Under  Rule 56(c),  the opponent  of the  motion must

produce  evidence on which a reasonable finder of fact, under the

appropriate proof burden, could base a verdict for the  opponent;

if  the opponent cannot produce such evidence, the motion must be

granted.  Celotex  Corp. v.  Catrett, 477 U.S.  317, 323  (1986);
                                              

Anderson v. Liberty Lobby, 477 U.S. 242, 249 (1986).  
                                   

                         III.  DISCUSSION
                                   III.  DISCUSSION

          To  prevail on  a  claim of  copyright infringement,  a

plaintiff  must  show two  elements:   (1)  ownership of  a valid

copyright  and (2) copying of  the protected work  by the alleged

infringer.   See Concrete  Mach. Co.  v. Classic  Lawn Ornaments,
                                                                           

Inc., 843 F.2d 600, 605 (1st Cir. 1988); 3 Melvin  B. Nimmer, The
                                                                           

Law of  Copyright    13.01  at 13-3  (1987).   Defendants do  not
                           

contest Plaintiff's ownership of a valid copyright on his design.

Therefore, we turn to  the issue of whether summary  judgment was

proper with respect to the alleged copying.

          "Proof by  direct evidence of copying  is generally not

possible since the actual  act of copying is rarely  witnessed or

recorded."    Concrete Mach.,  843 F.2d  at  606.   Absent direct
                                      

                               -5-


evidence,  copying  may  be  inferred  from  a  showing  that the

defendant  had "access"  to  the plaintiff's  work  prior to  the

creation  of defendant's work, Baxter v. MCA, Inc., 812 F.2d 421,
                                                            

423  (9th Cir. 1987), and  that there is "substantial similarity"

between the works, Walker v. Time  Life Films, Inc., 784 F.2d 44,
                                                             

48 (2d Cir.), cert. denied, 476 U.S. 1159 (1986); see Sid & Marty
                                                                           

Krofft  Television Prods.,  Inc.  v. McDonald's  Corp., 562  F.2d
                                                                

1157, 1162-63 (9th  Cir. 1977).  Even if both  showings are made,

however, the trier of fact may nonetheless find no copying if the

defendant shows  independent creation.  Concrete  Mach., 843 F.2d
                                                                 

at  606 n.6; Eden  Toys, Inc. v.  Marshall Field &  Co., 675 F.2d
                                                                 

498, 501 (2d Cir. 1982).  Viewing the summary judgment record  in

the  best light for Plaintiff, we conclude  that he has failed to

raise  a  genuine  issue  of   material  fact  with  respect   to

Defendants' "access";  this deficiency alone suffices  to justify

summary judgment.

          To satisfy its burden  of showing access, the plaintiff

must  produce evidence  from which  a reasonable  finder of  fact

could infer that  the defendant had  a reasonable opportunity  to

copy his or her work.  See Selle v. Gibb, 741  F.2d 896, 901 (7th
                                                  

Cir. 1984).  Evidence that only creates a "bare possibility" that

the  defendant had access is  not sufficient to  create a factual

issue as to copying.  Jason v. Fonda, 526 F. Supp. 774, 777 (C.D.
                                              

Cal. 1981) (concluding  that the  fact that between  200 and  700

copies of plaintiff's book  were available in Southern California

bookstores  was  insufficient  to  infer  that  defendant   movie

                               -6-


producers had a  reasonable opportunity to  copy it), aff'd,  698
                                                                     

F.2d  966 (9th Cir. 1982).  "[T]he  jury cannot draw an inference

of  access based upon speculation and  conjecture alone."  Selle,
                                                                          

741 F.2d at 901.

          On  the  summary  judgment  materials  before  it,  the

district   court  concluded  that,  even  drawing  all  favorable

inferences for Grubb, the  evidence did not demonstrate  that Loh

had  access  to  Grubb's design;  in  fact,  it  showed that  Loh

composed his design  independently of and prior  to Grubb's work.

With respect to  Loh's access, Grubb  contends that the  district

court  erred, since an alleged  copier's access may  be proven by

showing that  an intermediary with  whom the copier  was involved

had  access to the copyrighted  work under circumstances in which

the  copier also may  have been given an  opportunity to view the

copyrighted  work.    Grubb  also argues  that  his  Supplemental

Affidavit  is  evidence that  Loh had  access to  Grubb's design.

With respect to the district court's finding of independent prior

creation,  Grubb argues  that Loh's  testimony suggests  that Loh

traced  the Patriots' New Logo  from another design.   Grubb also

questions   Loh's   credibility,   and   submits   that   Grubb's

Supplemental Affidavit is evidence that Loh did not independently

create the Patriots' new logo prior to Grubb's design.

          Turning first  to Loh's  access, it is  undisputed that

the  Patriots received  Grubb's sketch  on February 9,  1993, via

Grubb's unsolicited  submission.  Grubb points  to several pieces

of   evidence  that  he  believes  shows  Loh  had  a  reasonable

                               -7-


opportunity to copy Grubb's design.  First, according to  Grubb's

deposition, the individual Patriots' employee to whom he gave the

design told him that the  Patriots would get in contact with  him

in  the  future.   Additionally, Grubb  points  to the  fact that

Jansen,  as an  employee of  NFL Properties,  admits that  he had

contact with representatives of the Patriots beginning on January

27,  1993, and  that Jansen had  also hired the  design firm that

employed Loh.   Grubb  claims that  Jansen is  a point  of access

between Loh's firm and the Patriots, from which a finder  of fact

could  permissibly  infer  a  reasonable   opportunity  to  copy.

Finally, Grubb claims that his Supplemental Affidavit is evidence

that Loh had access to Grubb's design.

          We  need  not  resolve  Grubb's  contention  that  this

evidence  entitles him to  a finding of  access, however, because

even assuming,  arguendo, that it did, the undisputed evidence is
                                  

that  Loh created  the Patriots'  New Logo  prior to  February 9,

1993.2   As noted, supra, Grubb  does not just have  to show that
                                  

Loh had  access to Grubb's work;  Grubb has to show  that Loh had

access to Grubb's work before Loh created the Patriots' New Logo.

See Concrete Mach., 843 F.2d at 605 n.6; Baxter, 812 F.2d at 423.
                                                         

                    
                              

2   The  district  court described  this  as  "independent  prior
creation,"  an  independent  showing  that rebuts  a  finding  of
access.  We do not consider whether  "independent prior creation"
is a  separate showing,  see  Grubb v.  National Football  League
                                                                           
Properties,  Inc., slip op. at 6 (D. Mass. 1995) (citing Concrete
                                                                           
Machinery, 843 F.2d at 605 n.6), or whether any showing of access
                   
must, as a  logical matter,  necessarily be access  prior to  the
                                                                   
creation  of a  defendant's work,  see Baxter,  812 F.2d  at 423,
                                                       
since resolution of this question either way would not affect the
result of our analysis.

                               -8-


In  his deposition,  Loh  stated that  he  began working  on  the

Patriots' New Logo on  January 28, 1993, and by February 4, 1993,

had finished, save for later refinements, the Patriots' New Logo.

Additionally, in  his affidavit,  Loh further testified  that, in

late January of 1993, he created a pencil sketch of the Patriots'

New Logo, to which he  added color later that day.  With  the aid

of his  timesheets, he was able in his deposition to pinpoint the

day  he created  these  works  as January  28,  1993.   What  Loh

identified  as  having  been  created during  this  period  bears

unmistakable resemblance to the Patriots' New Logo, save for  the

color of the  star3 in  the hat and  a few  shadings on the  face

depicted.   This  testimony  demonstrates that  Loh did  not have

access  to Grubb's  design prior  to creating  the  Patriots' new

logo, see Baxter, 812  F.2d at 423, since Grubb's  evidence shows
                          

that Loh could not  have viewed Grubb's design prior  to February

9, 1993.

          To be sure, Grubb  argues that he does in  fact dispute

Loh's testimony, and therefore, there  remains a genuine issue of

material fact as to the issue  of Loh's prior creation.  However,

on summary judgment, absent specific facts discrediting testimony

from  a witness associated with  the movant, and  absent a direct

conflict  in the  testimony, the  opponent (although  entitled to

have his or her evidence  taken as true) is not entitled  to have

the  defendant's  evidence positively  disbelieved.    Takeall v.
                                                                        
                    
                              

3  While the color  of the star changed from white to  silver, it
should be noted  that the  Patriots' actual helmet  color --  the
background of the logo -- also changed from white to silver.

                               -9-


Pepsico, Inc., 809 F. Supp. 19, 23 (D. Md. 1992),  aff'd, 14 F.3d
                                                                  

596 (4th Cir. 1993),  cert. denied, 114 S.  Ct. 2742 (1994);  see
                                                                           

also  Moreau v. Local  247, Int'l Bhd. of  Firemen, 851 F.2d 516,
                                                            

519  (1st Cir. 1988); 10A Charles A. Wright, Arthur R. Miller and

Mary K. Kane, Federal Practice and Procedure:  Civil 2d   2726 at
                                                                 

119, nn.11-12 (1983).   Grubb first questions the credibility  of

Loh's testimony, and second argues that Loh's testimony conflicts

with Grubb's  Supplemental Affidavit, since Grubb  therein opines

that  his and  Loh's designs are  so similar  that Loh  must have

copied Grubb's work.

          Grubb attempts to call into question Loh's testimony by

arguing that Loh's computer software timesheets do not  show what

Loh had  drawn on  any particular  date, and  that Loh could  not

identify individual sketches he created during the design process

by specific date.   Grubb  also points to  Loh's admission  that,

without his timesheets, he could not remember on what date he did

what.   Furthermore, Grubb  argues that Loh  was still  sketching

possible logos  on or after  February 9, 1993.   All of  this is,

however, irrelevant.  The  parties stipulated that the timesheet-

generating software  program could  not be  backdated.   With his

timesheets and the summaries therein of how he used his time, Loh

testified  in his deposition that  he began sketching the designs

for the Patriots'  New Logo on January 28,  1993, and by February

4, 1993, he  had essentially  finished designing it.   While  Loh

testified  that  he  was  still  working  on  the  project  after

February 9,  he also  testified  that this  work involved  simple

                               -10-


refinements, such as changing  the color of  the star.  The  fact

that Loh needed  his timesheets  to recollect dates,  or that  he

continued  to work on the Patriots project after February 9, does

not discredit his testimony,  particularly where it is undisputed

that the timesheets could not have been backdated.

          Besides challenging the credibility of Loh's testimony,

Grubb  also  argues  that his  Supplemental  Affidavit represents

facts  in   direct  conflict  with  Loh's   testimony.    Grubb's

Supplemental Affidavit expresses his opinion of the Patriots' new

logo's similarity  to Grubb's work.  Grubb  supplies reasoning --

pointing to the relative  proportions of the elements of  the two

designs and the curve of the base line -- for why he believes the

designs are similar.  Grubb also concludes that Loh's design must

have been traced from another design.

          Grubb's argument seems to be that 1) Loh traced, and 2)

Loh's work resembles Grubb's work, therefore Loh's testimony that

he did not copy Grubb's work, and in fact,  created the Patriots'

new  logo before Grubb submitted  his own design,  is in dispute.

However, similarity alone  cannot lead to  a finding of  copying,

without  evidence  of access  prior  to  the allegedly  offending

work's creation.   As a result, we  must look to  whether Grubb's

affidavit actually creates a direct conflict with Loh's testimony

--   since  the  latter   rebutted  any  finding   of  access  by

demonstrating prior  creation.   We conclude that,  even assuming

that Grubb's Supplemental Affidavit is properly considered expert

testimony, it  is  simply  not  in  direct  conflict  with  Loh's

                               -11-


testimony.  Similarity cannot substitute for access, and the fact

that Loh admitted  to having  done "tracings" in  the process  of

producing his work does not conflict with Loh's statement that he

had virtually  completed the  Patriots' New  Logo by February  4,

1993,  since Loh admitted  that Evenson  had various  pictures of

colonial  soldiers  that  he   used,  and  the  Summary  Judgment

materials indicated that Loh was sent designs similar to the 1979

proposed Patriots' logo, which  also depicted a colonial soldier.

The fact  that Loh did tracings is  simply not in direct conflict

with Loh's testimony that  he had created the Patriots'  new logo

by February 4, 1993.  

          As  a result,  like  the district  court before  us, we

conclude  that Loh  composed his  design prior  to  Grubb's work.

Such prior creation renders any conclusion of access or inference

of  copying illogical.  See  Concrete Mach., 843  F.2d at 606 n.6
                                                     

(stating that  "[a]lthough access plus substantial  similarity is

required  to show copying, the trier of fact may nonetheless find

no copying if the defendant shows independent creation").

          Because both access and substantial similarity need  be

shown, see  Concrete Mach. Co., 843 F.2d  at 606; O'Neill v. Dell
                                                                           

Publishing  Co., 630 F.2d 685, 686 (1st Cir. 1980), and Plaintiff
                         

has failed  to  demonstrate  a genuine  issue  of  material  fact

regarding  access, we need go no further.  While Plaintiff argues

that "[w]here two designs  are so similar that one must have been

copied  from  the other,  proof of  access  may not  be required,

because  no   explanation  other  than   copying  is   reasonably

                               -12-


possible,"   Brief  for the Plaintiff-Appellant  at 13,  the lone
                                                         

case that Plaintiff cites for this proposition, Flag Fables, Inc.
                                                                           

v. Jean Ann's Country Flags  and Crafts, Inc., 730 F. Supp.  1165
                                                       

(D. Mass. 1989), in fact states that

            this Court's view of the  present dispute
            [is that] given  the indisputable  access
                                                               
            and  substantial  similarity between  the
                                                  
            two  parties'  banners,  the evidence  of
            independent  creation   advanced  at  the
            hearing  by  defendants  was  simply  not
            persuasive.

Id.  at 1181 (emphasis added).  Thus, Plaintiff misstates the law
             

by failing to  recognize that he bears the burden of showing both
                                                                           

reasonable  access and substantial  similarity.   Concrete Mach.,
                                                                          

843  F.2d at  606; Walker,  784 F.2d  at 48;  Sid &  Marty Krofft
                                                                           

Television,  562  F.2d   at  1162-63.     The  reason  for   both
                    

requirements  is  simple:   copyright  protection  precludes only

copying; if two people  arrive at the same result  independently,

copyright law will not protect the first.  See Selle, 741 F.2d at
                                                              

896 (7th Cir. 1984) (stating that "two works may  be identical in

every detail, but,  if the alleged infringer  created the accused

work independently or both works were copied from a common source

in the public domain, then there is no infringement"); 3 Nimmer  

13.02;  see also  Arthur  v. American  Broadcasting Cos.,  633 F.
                                                                  

Supp.  146,   148  n.3,   149  (S.D.N.Y.  1985)   (concluding  no

infringement  even where  expressions are  extremely similar,  if

"nearly all the  similarity can  be attributed to  the fact  that

both [works]  are artist's  renderings of the  same unprotectible

idea"; ideas cannot be protected under copyright law, 17 U.S.C.  

                               -13-


102(b)).  Thus, like  the district court  before us, we need  not

address the issue of substantial similarity.

                            CONCLUSION
                                      CONCLUSION

          As  a  result of  the  foregoing, the  judgment  of the

district court is affirmed.
                            affirmed.
                                    

                               -14-