Frederick Allen v. Roy Cooper
Frederick Allen v. Roy Cooper
Opinion
Frederick Allen, a videographer, and Nautilus Productions, LLC, Allen's video production company, commenced this action, which, at its core, alleges that North Carolina, its agencies, and its officials (collectively, "North Carolina") violated Allen's copyrights by publishing video footage and a still photograph that Allen took of the 18th-century wreck of a pirate ship that sank off the North Carolina coast. Allen and Nautilus obtained the rights to create the footage and photograph through a permit issued by North Carolina to the ship's salvors, and Allen subsequently registered his work with the U.S. Copyright Office. Allen and Nautilus also seek to declare unconstitutional a 2015 state law-
North Carolina filed a motion to dismiss under Federal Rules of Civil Procedure 12(b)(1) and 12(b)(6), asserting sovereign immunity under the Eleventh Amendment, qualified immunity, and legislative immunity. North Carolina's claim of sovereign immunity prompted Allen and Nautilus to argue (1) that in a 2013 Settlement Agreement, North Carolina waived sovereign immunity; (2) that in any event the federal Copyright Remedy Clarification Act of *343 1990 had abrogated the State's sovereign immunity; and (3) that as to their claims for injunctive relief, Ex parte Young provided an exception to sovereign immunity for ongoing violations of federal law.
The district court rejected North Carolina's claims of immunity, and North Carolina filed this interlocutory appeal. Allen and Nautilus filed a cross-appeal. For the reasons that follow, we reverse and remand with instructions to dismiss with prejudice the claims against the state officials in their individual capacities and to dismiss without prejudice the remaining claims.
I
In 1717, the pirate Edward Teach, better known as Blackbeard, captured a French merchant vessel and renamed her
Queen Anne's Revenge
. Teach armed the
Revenge
with 40 cannons and made her his flagship. But the following year, the
Revenge
ran aground about a mile off the coast of Beaufort, North Carolina, and Teach abandoned her. Under state law, the ship and its artifacts later became the property of North Carolina and subject to its "exclusive dominion and control."
More than two-and-a-half centuries later, on November 21, 1996, Intersal, Inc., a private research and salvage firm operating under a permit issued by North Carolina, discovered the wreck of the Revenge , and on September 1, 1998, Intersal, along with Maritime Research Institute, Inc., an affiliated entity, entered into a 15-year salvage agreement with the North Carolina Department of Natural and Cultural Resources ("the Department"). Under the agreement, Intersal and Maritime Research acknowledged North Carolina's ownership of the shipwreck and the ship's artifacts, and North Carolina acknowledged Intersal's and Maritime Research's salvage rights, agreeing that Intersal and Maritime Research could retain a designated portion of the financial proceeds arising from the sale of media relating to the Revenge and replicas of its artifacts.
As relevant to this case, the agreement provided that:
Except as provided in paragraph 20 and this paragraph, Intersal shall have the exclusive right to make and market all commercial narrative (written, film, CD Rom, and/or video) accounts of project related activities undertaken by the Parties.
The agreement, however, made an exception for the creation of a "non commercial educational video and/or film documentary" and provided that the parties would cooperate in making such an educational documentary. And Paragraph 20 provided:
The Department shall have the right to authorize access to, and publish accounts and other research documents relating to, the artifacts, site area, and project operations for non commercial educational or historical purposes. Nothing in this document shall infringe to any extent the public's right to access public records in accordance with Chapters 121 and 132 of the General Statutes of North Carolina.
The agreement also provided:
[Maritime Research], Intersal and the Department agree to make available for duplication by each other, or, when appropriate, to provide the Department with, relevant field maps, notes, drawings, photographic records and other such technical, scientific and historical documentation created or collected by [Maritime Research], Intersal or the Department pursuant to the study of the site and the recovery of materials therefrom. These materials shall become public records curated by the Department.
*344 Following execution of this salvage agreement, Intersal retained Nautilus, Allen's production company, to document the salvage of the Revenge , and under that arrangement, Allen accumulated, as he alleged in the complaint, "a substantial archive of video and still images showing the underwater shipwreck and the efforts of teams of divers and archaeologists to recover various artifacts from [it]." Allen registered 13 copyrights in these materials with the U.S. Copyright Office, each copyright covering a year's worth of footage.
In 2013, Allen and Nautilus took the position that the Department's publication of Allen's work on the Internet without his consent infringed Allen's copyrights, and this prompted a dispute leading ultimately to a settlement agreement dated October 15, 2013, to which the Department, Intersal, Nautilus, and Allen were parties. In that agreement, none of the parties admitted to any wrongdoing but agreed to the clarification of preexisting arrangements so that the salvage operation could continue.
The 2013 Settlement Agreement divided Allen and Nautilus's video and photographic documentation, treating some of the footage as "commercial documentaries" and some as "non-commercial media," for purposes of clarifying the parties' respective rights. With respect to "commercial documentaries," the 2013 Settlement Agreement provided:
Intersal, through Nautilus, has documented approximately fifteen (15) years of underwater and other activities related to the QAR [ Queen Anne's Revenge ] project. For purposes of this Commercial Documentaries section, Intersal represents to [the Department] that Nautilus Productions shall remain Intersal's designee. Intersal shall have the exclusive right to produce a documentary film about the [ Revenge ] project for licensing and sale. Intersal may partner with [the Department] if it chooses to do so.... If [the Department] and Intersal do not partner to make a documentary, the Intersal documentary script shall be reviewed by [the Department] for historical accuracy prior to final release by Intersal or its agents. Intersal agrees to allow [the Department] to use its completed documentary, free of charge, in its museums and exhibits for educational purposes.
With respect to "non-commercial media," the Agreement provided in relevant part:
All non-commercial digital media, regardless of producing entity, shall bear a time code stamp, and watermark (or bug) of Nautilus and/or [the Department], as well as a link to [the Department], Intersal, and Nautilus websites, to be clearly and visibly displayed at the bottom of any web page on which the digital media is being displayed.
[The Department] agrees to display non-commercial digital media only on [the Department's] website.
As to Nautilus's archival footage, the Agreement provided that archival footage and photographs that did not "bear a time code stamp and a Nautilus Productions watermark (or bug)" would be returned to Nautilus. But it also provided that the Department could "retain, for research purposes, archival footage, still photographs, and other media that contain a time code stamp and watermark [or bug], and as to such media [the Department] [would] provide Nautilus with a current, accurate list."
Finally, the 2013 Settlement Agreement addressed the video footage and still photographs as public records, providing:
Nothing in this Agreement shall prevent [the Department] from making records available to the public pursuant to North Carolina General Statutes Chapters 121 *345 and 132, or any other applicable State or federal law or rule related to the inspection of public records.
During the recovery phase of the [ Revenge ] project, [the Department] and Intersal agree to make available to each other records created or collected in relation to the [ Revenge ] project. The entity requesting copies bears the cost of reproduction. Within one (1) year after the completion of the recovery phase, Intersal shall allow [the Department] to accession duplicate or original records that were created or collected by Intersal during the project and that are related to the site, or the recovery or conservation of the [ Revenge ] materials. Such records shall include relevant field maps, notes, drawings, photographic records, and other technical, scientific and historical documentation created or collected by [the Department] or Intersal pursuant to the study of the site and the recovery of materials therefrom. These materials shall become public records curated by [the Department]. All digital media provided by Intersal under the terms of this paragraph shall include a time code stamp and watermarks (or bugs).
Following execution of the 2013 Settlement Agreement, as Allen and Nautilus alleged in their complaint, the Department "resumed infringing [Allen's] copyrights" by "publish[ing] ... and/or display[ing]" various "works" on the Internet. The complaint identified six "infringing works" along with their Internet addresses. Five of those works were videos about the Revenge shipwreck that were posted on the Department's YouTube channel, and the remaining "infringing work" was a newsletter about North Carolina's maritime museums, which contained an article about the Revenge with one of Allen's still photographs. Accordingly, Allen and Nautilus sent North Carolina a "Takedown Notice," and North Carolina maintained that it complied before the hearing on its motion to dismiss filed in the district court. It provided the district court with documentary evidence confirming that fact, and at oral argument on this appeal, counsel for Allen and Nautilus also confirmed that the six alleged infringements had ceased.
Allen and Nautilus commenced this action in December 2015, naming as defendants the State of North Carolina, the Department, the Governor, and six officials in the Department, among others. Except for the Governor, who was sued only in his official capacity, each of the individual defendants was sued in both his or her official and individual capacities. The complaint, as amended, contained five counts. In Count I, Allen and Nautilus alleged that in 2015, the defendants enacted
*346
North Carolina filed a motion to dismiss under Federal Rules of Civil Procedure 12(b)(1) and 12(b)(6), maintaining that the institutional defendants and individual defendants in their official capacities were shielded from suit in federal court by sovereign immunity under the Eleventh Amendment and that the officials sued in their individual capacities were entitled to qualified and legislative immunity. Allen and Nautilus responded to the claim of sovereign immunity, arguing (1) that North Carolina waived sovereign immunity in the 2013 Settlement Agreement; (2) that North Carolina's sovereign immunity was also abrogated by the federal Copyright Remedy Clarification Act of 1990,
Following a hearing, the district court, by order dated March 23, 2017, denied North Carolina's motion to dismiss as to Counts I and II, concluding that its Eleventh Amendment immunity for those counts was validly abrogated by the Copyright Remedy Clarification Act; that the state officials sued in their individual capacities were not entitled to qualified immunity; and that a determination of those officials' legislative immunity would be "premature" at that time. It granted the motion as to the remaining counts on the basis of sovereign immunity.
From the district court's interlocutory order, North Carolina filed this appeal, challenging the district court's denial of immunity in all forms.
See
P.R. Aqueduct & Sewer Auth. v. Metcalf & Eddy, Inc.
,
II
Invoking the Eleventh Amendment, North Carolina and its officials acting in their official capacities claim that they are immune from suit in federal court,
see
Pennhurst State Sch. & Hosp. v. Halderman
,
Allen and Nautilus disagree, arguing that North Carolina waived sovereign immunity when it signed the 2013 Settlement Agreement; that the State's sovereign immunity was abrogated by the federal Copyright Remedy Clarification Act; and that, in any event, Ex parte Young provides them with an exception for the injunctive relief they request as to ongoing violations of federal law. We address these arguments in order.
*347 A
The 2013 Settlement Agreement, on which Allen and Nautilus rely to argue that North Carolina waived its sovereign immunity, provides in relevant part:
In the event [North Carolina], Intersal, or [Allen and] Nautilus breaches this Agreement, [North Carolina], Intersal, or [Allen and] Nautilus may avail themselves of all remedies provided by law or equity.
Allen and Nautilus maintain that by agreeing to the availability of all remedies, North Carolina agreed that the remedies being sought in this action may be obtained from it, thereby effecting a waiver of sovereign immunity from suit in federal court.
We cannot, however, read this provision as a waiver of North Carolina's Eleventh Amendment immunity. First, Eleventh Amendment immunity protects the States, their agencies, and officials from suit
in federal court
. Yet, the subject provision in the 2013 Settlement Agreement makes no reference to federal court, state court or, for that matter, any court. Moreover, the provision states only that each party may pursue available remedies
as provided by
law or equity. Consequently, legal or equitable limitations on those remedies must also apply. And one of those limitations is that a State, its agencies, and its officials acting in their official capacities cannot be sued
in federal court
without their consent. We readily conclude that the provision falls far short of the clear statement that is required to effect a waiver of Eleventh Amendment immunity. As the Supreme Court has made clear, a State must
expressly
consent to suit
in federal court
to waive its immunity under the Eleventh Amendment.
See
Port Auth. Trans-Hudson Corp. v. Feeney
,
B
Allen and Nautilus also contend that Congress validly abrogated North Carolina's Eleventh Amendment immunity with the enactment of the Copyright Remedy Clarification Act. That Act provides:
Any State, any instrumentality of a State, and any officer or employee of a State or instrumentality of a State acting in his or her official capacity, shall not be immune, under the Eleventh Amendment of the Constitution of the United States or under any other doctrine of sovereign immunity, from suit in Federal court by any person ... for a violation of any of the exclusive rights of a copyright owner provided by [federal copyright law].
It is well established that any abrogation of a State's Eleventh Amendment immunity requires both a clear statement of congressional intent-which, to be sure, § 511 provides-and a valid exercise of congressional power.
See
Lizzi v. Alexander
,
Allen and Nautilus contend first that Congress validly enacted the Copyright Remedy Clarification Act because it properly invoked Article I's Patent and Copyright Clause, which authorizes Congress to "secur[e] for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries." U.S. Const. Art. I, § 8, cl. 8. But, as North Carolina correctly notes, that ground for enactment of an abrogation is foreclosed by
Seminole Tribe
and its progeny, which make clear that Congress cannot rely on its Article I powers to abrogate Eleventh Amendment immunity.
See
Seminole Tribe
,
Allen and Nautilus argue, however, that those cases were impliedly overruled by the Supreme Court's more recent decision in
Central Virginia Community College v. Katz
,
Allen and Nautilus contend that, in any event, Congress validly enacted the Copyright Remedy Clarification Act under the authority granted to it in § 5 of the Fourteenth Amendment, which affords Congress the "power to enforce, by appropriate legislation," the Amendment's substantive guarantees. U.S. Const. amend. XIV, § 5. As they maintain, it is settled that Congress can abrogate sovereign immunity "through a valid exercise of its § 5
*349
power,"
Hibbs
,
In construing the scope of § 5 power, the Supreme Court has been careful to strike a considered balance between upholding the dignity of States as sovereign entities, on the one hand, and safeguarding individual rights protected by the Fourteenth Amendment, on the other. It has accordingly explained that Congress has plenary authority to abrogate sovereign immunity for claims arising from state conduct that amounts to an
actual violation
of the Fourteenth Amendment's substantive guarantees.
See
United States v. Georgia
,
In this case, we conclude that in enacting the Copyright Remedy Clarification Act, Congress satisfied neither requirement.
First, it is readily apparent that in enacting the Copyright Remedy Clarification Act, Congress relied on the Copyright Clause in Article I of the Constitution, rather than § 5 of the Fourteenth Amendment. This invocation of Article I authority was expressly and repeatedly stated in the Act's legislative history.
See, e.g.
, H.R. Rep. No. 101-282, pt. 1, at 7 (1989),
as reprinted in
1990 U.S.C.C.A.N. 3949, 3955 (stating that, based on "the Copyright Clause," the bill would "effect[ ] a constitutional abrogation of State sovereign immunity"); S. Rep. No. 101-305, at 8 (1990) (stating that "Congress has the power under article I of the Constitution to abrogate the immunity of States" and specifically citing Congress's "plenary power" under "the Copyright Clause");
see also
Nat'l Ass'n of Boards of Pharmacy v. Bd. of Regents
,
This was made clear in
Florida Prepaid
, where the Supreme Court addressed the constitutionality of the Patent Remedy Act, which abrogated the States' immunity from suit in federal court for patent infringement. After noting that the legislative history indicated that Congress relied on the Commerce Clause, the Patent Clause, and § 5 of the Fourteenth Amendment, the Court stated that the Commerce and Patent Clauses could not sustain the Act in light of
Seminole Tribe
.
Florida Prepaid
, 527 U.S. at 636,
There is no suggestion in the language of the statute itself, or in the House or Senate Reports of the bill which became the statute, that Congress had in mind the Just Compensation Clause.... Since Congress was so explicit about invoking its authority under Article I and its authority to prevent a State from depriving a person of property without due process of law under the Fourteenth Amendment, we think this omission precludes consideration of the Just Compensation Clause as a basis for the Patent Remedy Act.
Here, the legislative history of the Copyright Remedy Clarification Act shows that Congress relied on its Article I power over copyrights and not on § 5 of the Fourteenth Amendment, similarly "preclud[ing] consideration" of § 5 as a proper basis for the Act's abrogation of States' Eleventh Amendment immunity.
Allen argues that the Supreme Court's decisions in
EEOC v. Wyoming
,
Similarly,
Kimel
provides Allen and Nautilus with little support. The
Kimel
Court concluded that the Age Discrimination in Employment Act's abrogation of sovereign immunity was invalid because it was not a congruent and proportional response to unconstitutional age discrimination by the States.
See
Kimel
,
Not only did Congress not invoke its authority under § 5, it also did not, as required, limit the scope of the Copyright Remedy Clarification Act to enforcement of rights protected by the Fourteenth Amendment. Rather, in abrogating sovereign immunity, Congress used language that sweeps so broadly that the Act cannot be deemed a congruent and proportional response to the Fourteenth Amendment injury with which it was confronted.
Our conclusion is required by
Florida Prepaid
, where the circumstances were analogous to those before us. The Supreme Court there concluded that the Patent Remedy Act did not appropriately enforce the Fourteenth Amendment because there was no "congruence and proportionality between the [Fourteenth Amendment] injury to be prevented or remedied and the means adopted to that end."
Florida Prepaid
, 527 U.S. at 638-39,
Citing at length to the legislative record of the Patent Remedy Act, the
Florida Prepaid
Court then determined that Congress was not faced with sufficient evidence of
unconstitutional
patent infringement to justify abrogation. It observed that there were fewer than 10 patent infringement suits against States in the century preceding the enactment of the Patent Remedy Act; that most state infringement was apparently accidental; and that while state remedies for governmental infringement were disuniform and rather tenuous, the evidence before Congress did not prove such remedies to be constitutionally inadequate.
See
Florida Prepaid
, 527 U.S. at 640-45,
The Court then compared that evidence to the Patent Remedy Act's sweeping abrogation provisions, which made the States liable for patent infringement to the same extent as private parties, and concluded that the provisions were " 'so out of proportion to a supposed remedial or preventive object that [they] [could not] be understood as responsive to, or designed to prevent, unconstitutional behavior.' "
Florida Prepaid
, 527 U.S. at 646,
In this case, a similar legislative record and an equally broad enactment likewise leads to the conclusion that the Copyright Remedy Clarification Act's abrogation of sovereign immunity cannot be sustained under § 5.
While we may presume that a copyright, like a patent, is a "species of property" that could be deprived without due process in violation of the Fourteenth Amendment, not every infringement violates the Constitution, as the Florida Prepaid Court explained. To be sure, the legislative record of the Copyright Remedy Clarification Act did include some evidence of copyright infringement by States that presumably violated the Fourteenth Amendment's Due Process Clause. The record of such infringement, however, was materially similar to that in Florida Prepaid .
As Allen and Nautilus note, most of the evidence was compiled in a 1988 report prepared at Congress's request by Ralph Oman, who was then the United States Register of Copyrights. See U.S. Copyright Office, Copyright Liability of States and the Eleventh Amendment: A Report of the Register of Copyrights (June 1988) ("Oman Report"). In preparing the report, the Copyright Office solicited public comments regarding the issue of state immunity from copyright claims and received several dozen responses from various industry groups, among others, expressing grave concerns about the prospect of such immunity. See Oman Report at 5-6. But, the Oman Report reveals that only five of the commenters "document[ed] actual problems ... in attempting to enforce their [copyright] claims against state government infringers." Id. at 7. And the commenters' responses described at most seven incidents in which States invoked sovereign immunity to avoid liability for copyright infringement. See id. at 7-9. Only two of those incidents recounted in the Register's Report-where States invoked sovereign immunity and continued to display copyrighted films to prison inmates for free even after the copyright holders notified them of the infringement-were described with sufficient detail to show clearly the requisite willfulness of state officials to amount to a due process violation. See id. at 7-8. Besides these incidents in the Oman Report, Congress learned of just a few other comparable incidents of unremedied State infringement from hearing testimony. See, e.g. , Copyright Remedy Clarification Act and Copyright Office Report on Copyright Liability of States: Hearings on H.R. 1131 Before the Subcomm. on Courts, Intellectual Prop. & the Admin. of Justice of the H. Comm. on the Judiciary , 101st Cong. 139-40 (1990) (hereinafter, "House Hearing") (testimony of Bert van der Berg, President, BV Engineering Professional Software); The Copyright Clarification Act: Hearing on S. 497 Before the Subcomm. on Patents, Copyrights & Trademarks of the S. Comm. on the Judiciary , 101st Cong. 151-52 (1990) (hereinafter, "Senate Hearing") (statement of William Taylor). In total, even assuming that all of the incidents of unremedied infringement *353 were intentional, the record before Congress contained at most a dozen incidents of copyright infringement by States that could be said to have violated the Fourteenth Amendment.
This evidence plainly falls short of establishing the "widespread and persisting deprivation of constitutional rights" that is required to warrant prophylactic legislation under § 5.
City of Boerne
,
Acting against this backdrop of limited evidence, Congress enacted the Copyright Remedy Clarification Act to make States broadly, immediately, and indefinitely accountable for copyright infringement to the same extent as private parties, imposing sweeping liability for
all violations
of federal copyright law, whether the violation implicates the Fourteenth Amendment or not.
See
Accordingly, we conclude that the Copyright Remedy Clarification Act's wholesale abrogation of sovereign immunity for claims of copyright infringement is grossly disproportionate to the relevant injury under the Fourteenth Amendment, and therefore the abrogation cannot be sustained as an enactment that "appropriate[ly]" "enforce[s]" that Amendment.
In concluding otherwise, the district court sought to distinguish the record in
Florida Prepaid
by relying primarily on the "many examples of copyright infringements by States" in the Copyright Remedy Clarification Act's legislative history. In so relying, however, the court failed to consider whether any of those examples involved intentional and unremedied infringement, as
Florida Prepaid
clearly instructs. Also, as an alternative basis for holding that the Copyright Remedy Clarification Act had validly abrogated North Carolina's immunity, the district court relied on "the amount of suits filed against allegedly infringing states in recent years." That reliance, however, did not comport with the Supreme Court's determination that
Congress
must identify a pattern of unconstitutional conduct
before
it abrogates Eleventh Amendment immunity.
See
Florida Prepaid
, 527 U.S. at 639-40,
*354 ("States may not be subject to suits ... unless Congress has identified a specific pattern of constitutional violations" (emphasis added) ).
In concluding that the Copyright Remedy Clarification Act does not validly abrogate Eleventh Amendment immunity, we join the numerous other courts to have considered this issue since
Florida Prepaid
, all of which have held the Act invalid.
See, e.g.
,
Chavez v. Arte Publico Press
,
C
Finally, Allen and Nautilus contend that, at the very least, their claims against the state officials for injunctive and declaratory relief may proceed under the exception to Eleventh Amendment immunity recognized in
Ex parte Young
,
Under
Ex parte Young
, private citizens may sue state officials in their official capacities in federal court to obtain prospective relief from ongoing violations of federal law.
See
Franks v. Ross
,
Allen and Nautilus maintain that they have alleged two ongoing violations from which they seek prospective relief: (1) North Carolina's continuing infringement of Allen's copyrights and (2) its continuing enforcement of an unconstitutional statute, namely,
As to the alleged ongoing copyright infringement, Allen and Nautilus identified in their complaint six specific "infringing works" that are "now publicly viewable" at six locations on the Internet, specifying the Internet address for each. North Carolina, however, maintains that shortly before the November 2016 hearing on its motion to dismiss, it removed those allegedly infringing materials from the Internet and provided exhibits to the district court to confirm that it had done so. While Allen and Nautilus acknowledged at oral argument that the six alleged violations had ceased, they argue that the complaint nonetheless alleged generally instances of ongoing Internet infringement beside those six violations, referring to a paragraph that alleged, in a conclusory fashion, that displays of copyrighted materials were continuing "at least at th[ose] locations." But such a general and threadbare catchall, suggesting
the possibility
of other infringing displays, does not plausibly allege the existence of an ongoing violation of federal law.
See
Ashcroft v. Iqbal
,
Allen and Nautilus also identify as an ongoing violation North Carolina's purported continuing "enforcement" of § 121-25(b) to provide a defense against their claims of copyright infringement. This allegation, however, also cannot support application of the
Ex parte Young
exception because when a plaintiff sues "to enjoin the enforcement of an act alleged to be unconstitutional," the exception applies "only where a party defendant in [such] a suit ... has '
some connection with the enforcement of the Act
.' "
Hutto v. S.C. Ret. Sys.
,
In this case, Allen and Nautilus sued the State, the Governor, the Department, and several Department officials, alleging at most that several of the officials supported enactment of § 121-25(b) and providing no further explanation regarding any connection between the officials and the challenged enactment. Indeed, Allen and Nautilus have not even shown that § 121-25(b) can be enforced against a private party. In any event, in view of the officials' roles, it is apparent that none of them would or could have any role in enforcing the statute, as required.
See
Hutto
,
Accordingly, we conclude that Ex parte Young does not provide Allen and Nautilus with an exception to the Eleventh Amendment immunity claimed by North Carolina.
*356 III
The North Carolina officials who were sued in their individual capacity for monetary damages contend that the district court erred in denying them qualified immunity and legislative immunity from suit. In doing so, the district court explained that these defendants were not protected by qualified immunity because "the law of [copyright] infringement is clearly established." The court also denied them legislative immunity because it was "premature" to resolve that issue. As we explain, however, we also reverse on these issues.
Qualified immunity "shields officials from civil liability so long as their conduct 'does not violate clearly established statutory or constitutional rights of which a reasonable person would have known.' "
Mullenix v. Luna
, --- U.S. ----,
A clearly established right is one that is sufficiently clear that every reasonable official would have understood that what he [or she] is doing violates that right. In other words, existing precedent must have placed the statutory or constitutional question beyond debate.
* * *
The Supreme Court has repeatedly told courts ... not to define clearly established law at a high level of generality. Thus, we consider whether a right is clearly established in light of the specific context of the case, not as a broad general proposition.
Adams v. Ferguson
,
In this case, Allen and Nautilus obtained their rights to take videos and photographs of the Revenge shipwreck from Intersal, who in turn obtained the rights from the Department. And any rights that Allen and Nautilus have to those videos and photographs are circumscribed by the provisions of the 2013 Settlement Agreement with the Department. In that Agreement, Intersal asserted-and the Department, Allen, and Nautilus agreed-that Intersal had documented "fifteen (15) years of underwater and other activities related to the [ Queen Anne's Revenge ] project" and that it had the right to produce and retain an interest in a commercial documentary film about those activities. The Agreement provided that the Department could "use [the] completed documentary, free of charge, in museums and exhibits for educational purposes." And the Agreement provided, with respect to non-commercial digital media, that such media should bear "a time code stamp and watermark" of "Nautilus and/or [the Department]" and that the Department would display them only on the Department's website. The Agreement also provided that the Department could retain the archival footage with a time stamp and watermark "for research purposes," although it would return to Nautilus any footage and photographs that did not bear a time code stamp and watermark. Moreover, it provided that "[d]uring the recovery phase of the [ Revenge ] project, [the Department] and Intersal [would] make available to each other records created or collected in relation to the [ Revenge ] project," (emphasis added), defining "records" to include "field maps, notes, drawings, photographic records, and other technical, scientific and historical documentation created or collected by [the Department] or Intersal pursuant to the study of the site and the recovery of materials therefrom." These materials were designated "public *357 records" to be " curated by [the Department]." (Emphasis added).
Notably, the 2013 Settlement Agreement stated that "[n]othing in [the] Agreement shall prevent [the Department] from making records available to the public pursuant to North Carolina General Statutes Chapters 121 and 132, or any other applicable State or federal law or rule related to the inspection of public records." At that time-
i.e.
, in 2013, before § 121-25(b) was enacted-
Based on these provisions of the 2013 Settlement Agreement and the then applicable public records law, it is far from clear whether the Department was prohibited from displaying Allen's copyrighted materials in the manner alleged in the complaint. This is especially so in view of the Department's role in the salvage project to preserve for the public the site and artifacts and to document their salvage in furtherance of research and the education of the public.
Of course, we need not resolve whether North Carolina's display of the video footage and the still photograph violated the Copyright Act to resolve the issue of qualified immunity.
See
Pearson
,
We also conclude that legislative immunity shields the North Carolina officials in their individual capacities for their alleged involvement in the enactment of § 121-25(b).
The district court did not expressly resolve whether the individual officers were entitled to legislative immunity, concluding instead that such a ruling would be "premature." But its
deferral
in ruling amounted to a
denial
of the immunity because the immunity protects officials "not only from the consequences of litigation's results, but also from
the burden of defending
themselves" in court.
Supreme Court of Va. v. Consumers Union
,
Legislative immunity entitles public officials to absolute immunity for their performance of legislative functions.
See
Kensington Vol. Fire Dep't, Inc. v. Montgomery Cty.
,
In this case, the North Carolina officials were sued in their individual capacities for "conspir[ing] to convert [Allen's] copyrighted works into public documents" through the enactment of § 121-25(b). But the only actual conduct alleged in furtherance of the conspiracy-that the officers "wrote, caused to be introduced, lobbied for passage of, and obtained passage" of § 121-25(b) -is quintessentially legislative in nature and falls squarely within the scope of legislative immunity. Allen and Nautilus's only argument to the contrary is that the complaint alleges that the officers sought enactment of § 121-25(b) with
impure motives
, seeking to benefit an affiliated nonprofit entity and to remove the threat of legal liability. As noted, however, motive is irrelevant to the issue.
Kensington Vol. Fire Dep't
,
* * *
For the foregoing reasons, we reverse each of the district court's rulings on immunity and remand with instructions that the district court dismiss without prejudice Allen and Nautilus's claims against North Carolina, the Department, and the public officials acting in their official capacities and to dismiss with prejudice the remaining claims against the officials in their individual capacities.
REVERSED AND REMANDED WITH INSTRUCTIONS
Reference
- Full Case Name
- Frederick L. ALLEN; Nautilus Productions, LLC, Plaintiffs-Appellees, v. Roy A. COOPER, III, as Governor of North Carolina; Susi H. Hamilton, Secretary of the North Carolina Department of Natural and Cultural Resources, in Her Official Capacity; Susan Wear Kluttz, Former Secretary of the North Carolina Department of Natural and Cultural Resources, Individually; D. Reid Wilson, Chief Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, in His Official Capacity; Karin Cochran, Former Chief Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, Individually; Kevin Cherry, Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, Individually and in His Official Capacity; G. Neel Lattimore, Director of Communications of the North Carolina Department of Natural and Cultural Resources, in His Official Capacity; Catherine A. Oliva, Director of Marketing of the North Carolina Department of Natural and Cultural Resources, in Her Official Capacity; Cary Cox, Former Assistant Secretary, Marketing and Communications of the North Carolina Department of Natural and Cultural Resources, Individually; Stephen R. Claggett, A/K/A Steve Claggett, State Archaeologist, Individually and in His Official Capacity; John W. Morris, A/K/A Billy Ray Morris, Deputy State Archaeologist-Underwater and Director of the Underwater Archaeology Branch of the North Carolina Department of Natural and Cultural Resources, Individually and in His Official Capacity; North Carolina Department of Natural and Cultural Resources; State of North Carolina, Defendants-Appellants, and Friends of Queen Anne's Revenge, a Non-Profit Corporation, Defendant. the Copyright Alliance ; Ralph Oman, Amici Supporting Appellees. Frederick L. Allen; Nautilus Productions, LLC, Plaintiffs-Cross-Appellants, v. Roy A. Cooper, III, as Governor of North Carolina; Susi H. Hamilton, Secretary of the North Carolina Department of Natural and Cultural Resources, in Her Official Capacity; Susan Wear Kluttz, Former Secretary of the North Carolina Department of Natural and Cultural Resources, Individually; D. Reid Wilson, Chief Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, in His Official Capacity; Karin Cochran, Former Chief Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, Individually; Kevin Cherry, Deputy Secretary of the North Carolina Department of Natural and Cultural Resources, Individually and in His Official Capacity; G. Neel Lattimore, Director of Communications of the North Carolina Department of Natural and Cultural Resources, in His Official Capacity; Catherine A. Oliva, Director of Marketing of the North Carolina Department of Natural and Cultural Resources, in Her Official Capacity; Cary Cox, Former Assistant Secretary, Marketing and Communications of the North Carolina Department of Natural and Cultural Resources, Individually; Stephen R. Claggett, A/K/A Steve Claggett, State Archaeologist, Individually and in His Official Capacity; John W. Morris, A/K/A Billy Ray Morris, Deputy State Archaeologist-Underwater and Director of the Underwater Archaeology Branch of the North Carolina Department of Natural and Cultural Resources, Individually and in His Official Capacity; North Carolina Department of Natural and Cultural Resources; State of North Carolina, Defendants-Cross-Appellees, and Friends of Queen Anne's Revenge, a Non-Profit Corporation, Defendant.
- Cited By
- 58 cases
- Status
- Published