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Full Opinion
OPINION
In 2009, Appellant Ryan Hart (âAppellantâ or âHartâ)
I. Facts
Hart was a quarterback, player number 13, with the Rutgers University NCAA Menâs Division I Football team for the 2002 through 2005 seasons. As a condition of participating in college-level sports, Hart was required to adhere to the National Collegiate Athletic Associationâs (âNCAAâ) amateurism rules as set out in Article 12 of the NCAA bylaws. See, e.g., NCAA, 2011-12 NCAA Division I Manual § 12.01.1 (2011) (âOnly an amateur student-athlete is eligible for inter-collegiate athletics participation in a particular sport.â). In relevant part, these rules state that a collegiate athlete loses his or her âamateurâ status if (1) the athlete â[u]ses his or her athletics skill (directly or indirectly) for pay in any form in that sport,â id. § 12.1.2, or (2) the athlete â[a]ccepts any remuneration or permits the use of his or her name or picture to advertise, recommend or promote directly the sale or use of a commercial product or service of any kind,â id. § 12.5.2.1.
Hartâs participation in college football also ensured his inclusion in EAâs successful NCAA Football videogame franchise. EA, founded in 1982, is âone of the worldâs leading interactive entertainment software companies,â and âdevelops, publishes, and distributes interactive software worldwideâ for consoles, cell phones, and PCs. (App. at 529-30.) EAâs catalogue includes NCAA Football, the videogame series at issue in the instant case. The first edition of the game was released in 1993 as Bill Walsh College Football. EA subsequently changed the name first to College Football USA (in 1995), and then to the current NCAA Football (in 1997). New editions in the series are released annually, and âallow[] users to experience the excitement and challenge of college footballâ by interacting with âover 100 virtual teams and thousands of virtual players.â (Id. at 530.)
A typical play session allows users the choice of two teams. âOnce a user chooses two college teams to compete against each other, the video game assigns a stadium for the match-up and populates it with players, coaches, referees, mascots, cheerleaders and fans.â
In no small part, the NCAA Football franchiseâs success owes to its focus on realism and detailâfrom realistic sounds, to game mechanics, to team mascots.
Appellant filed suit against EA in state court for, among other things, violation of
On November 12, 2010, Appellee filed a motion to dismiss the claim pursuant to Federal Rule of Civil Procedure 12(b)(6) or, in the alternative, summary judgment pursuant to Federal Rule of Civil Procedure 56(c). While conceding, for purposes of the motion only, that it had violated Appellantâs right of publicity, Appellee argued that it was entitled to dismissal or summary judgment on First Amendment grounds. Hart v. Elec. Arts, Inc., 808 F.Supp.2d 757, 766 (D.N.J.2011). The motion was accompanied by a Statement of Undisputed Fact and various supporting materials, including declarations. Appellant opposed the motion, arguing that âdiscovery [was] still in itâs [sic] infancy.â (App. at 9.) The court below rejected this argument, noting that Appellant had âfail[ed] to identify how discovery would assist the Court in deciding this speech-based tort case.â Hart, 808 F.Supp.2d at 764. The District Court then construed the motion as one for summary judgment, citing its intent to ârely on the affidavits and exhibits submitted by the parties,â id., and ruled in favor of Appellee, holding that NCAA Football was entitled to protection under the First Amendment. Appellant timely appealed, arguing that the District Court erred in granting summary judgment prematurely and, in the alternative, erred in holding that NCAA Football was shielded from right of publicity claims by the First Amendment. The matter is now before us for review.
II. Jurisdiction and Standard of Review
We have jurisdiction to hear this appeal pursuant to 28 U.S.C. § 1291. Our review of the District Courtâs order granting summary judgment is plenary. Azur v. Chase Bank, USA, Natâl Assân, 601 F.3d 212, 216 (3d Cir.2010). âTo that end, we are ârequired to apply the same test the district court should have utilized initially.â â Chambers ex rel. Chambers v. Sch.
Summary judgment is appropriate âwhere the pleadings, depositions, answers to interrogatories, admissions, and affidavits show there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law.â Azur, 601 F.3d at 216 (quoting Nicini v. Morra, 212 F.3d 798, 805-06 (3d Cir.2000) (en banc) (citing Fed.R.Civ.P. 56(c))).
In connection with Appellantâs request for additional discovery, we review â[wjhether a district court prematurely grant[ed] summary judgment ... for abuse of discretion.â Radich v. Goode, 886 F.2d 1391, 1393 (3d Cir.1989) (citing Dowling v. City of Phila., 855 F.2d 136 (3d Cir.1988)). âTo demonstrate an abuse of discretion, [an appellant] must show that the District Courtâs decision was arbitrary, fanciful or clearly unreasonable.â Moyer v. United Dominion Indus., Inc., 473 F.3d 532, 542 (3d Cir.2007) (internal quotation marks omitted); see also Hanover Potato Prods., Inc. v. Shalala, 989 F.2d 123, 127 (3d Cir.1993) (âAn abuse of discretion arises when âthe district courtâs decision rests upon a clearly erroneous finding of fact, an errant conclusion of law or an improper application of law to fact.â (internal quotation marks omitted)).
III. Discussion
We begin our analysis by noting the self-evident: video games are protected as expressive speech under the First Amendment. Brown v. Entmât Merchs. Assân, -U.S. -, 131 S.Ct. 2729, 2733, 180 L.Ed.2d 708 (2011). As the Supreme Court has noted, âvideo games communicate ideasâand even social messagesâ through many familiar literary devices (such as characters, dialogue, plot, and music) and through features distinctive to the medium (such as the playerâs interaction with the virtual world).â Id. As a result, games enjoy the full force of First Amendment protections. As with other types of expressive conduct, the protection afforded to games can be limited in situations where the right of free expression necessarily conflicts with other protected rights.
The instant case presents one such situation. Here, Appellee concedes, for purposes of the motion and appeal, that it violated Appellantâs right of publicity; in essence, misappropriating his identity for
Courts have taken varying approaches in attempting to strike a balance between the competing interests in right of publicity cases, some more appealing than others. In our discussion below, we first consider the nature of the interests we must balance and then analyze the different approaches courts have taken to resolving the tension between the First Amendment and the right of publicity.
A. The Relevant Interests at Issue
Before engaging with the different analytical schemes, we first examine the relevant interests underlying the rights of free expression and publicity.
1. Freedom of Expression
Freedom of expression is paramount in a democratic society, for â[i]t is the function of speech to free men from the bondage of irrational fears.â Whitney v. California, 274 U.S. 357, 376, 47 S.Ct. 641, 71 L.Ed. 1095 (1927) (BrandĂ©is, J., concurring). As Justice Louis BrandĂ©is wrote nearly a century ago:
Those who won our independence believed that the final end of the state was to make men free to develop their faculties.... They valued liberty both as an end and as a means. They believed liberty to [be] the secret of happiness and courage to be the secret of liberty. They believed that freedom to think as you will and to speak as you think are means indispensable to the discovery and spread of political truth; that without free speech and assembly discussion would be futile; that with them, discussion affords ordinarily adequate protection against the dissemination of noxious doctrine; that the greatest menace to freedom is an inert people; that public discussion is a political duty; and that this should be a fundamental principle of the American government.
In keeping with Justice BrandĂ©isâ eloquent analysis, the great legal minds of generations past and present have recognized that free speech benefits both the individual and society. The Supreme Court in Procunier v. Martinez noted that the protection of free speech serves the needs âof the human spiritâa spirit that demands self-expression,â adding that â[s]uch expression is an integral part of the development of ideas and a sense of identity.â 416 U.S. 396, 427, 94 S.Ct. 1800, 40 L.Ed.2d 224 (1974), overruled on other grounds by Thornburgh v. Abbott, 490 U.S. 401, 109 S.Ct. 1874, 104 L.Ed.2d 459 (1989). Suppressing such expression, therefore, is tantamount to rejecting âthe basic human desire for recognition and [would] affront the individualâs worth and dignity.â Id. Indeed, First Amendment protections have been held applicable to not only political speech, but to âentertainment [including, but certainly not limited to,] motion pictures, programs broadcast
The interest in safeguarding the integrity of these protections therefore weighs heavily in any balancing inquiry. Still, instances can and do arise where First Amendment protections yield in the face of competing interests. See, e.g., Eldred v. Ashcroft, 537 U.S. 186, 219-20, 123 S.Ct. 769, 154 L.Ed.2d 683 (2003) (discussing the interplay between copyright law and First Amendment protections); Dun & Bradstreet, Inc., 472 U.S. at 757-61, 105 S.Ct. 2939 (determining that a state may allow recovery of damages in certain defamation cases after balancing âthe Stateâs interest in compensating private individuals for injury to their reputation against the First Amendment interest in protecting this type of expressionâ). Ultimately, we must determine whether the interest in safeguarding the right of publicity overpowers the interest in safeguarding free expression.
2. The Right of Publicity
The right of publicity grew out of the right to privacy torts, specifically, from the tort of âinvasion of privacy by appropriation.â J. Thomas McCaRthy, The Rights of PUBLICITY and PRIVACY § 1:23 (2d ed. 2012). Thus, when New Jersey first recognized the concept in 1907, its analysis looked to the âso-called right of privacyâ and the limits on that concept. Edison v. Edison Polyform Mfg. Co., 73 N.J.Eq. 136, 67 A. 392, 394 (N.J.Ch.1907) (enjoining a company from using the name or likeness of Thomas Edison to promote its products). Additionally, we note that, even at this early stage the New Jersey court recognized that an individual enjoyed a property interest in his or her identity. Id. (â[I]t is difficult to understand why the peculiar cast of oneâs features is not ... oneâs property, and why its pecuniary value, if it has one, does not belong to its owner, rather than to the person seeking to make an unauthorized use of it.â).
However, this early conceptualization had limitations, particularly when it came to protecting the property interests of celebrities and people already in the public eye. See id. (âIt is certain that a man in public life may not claim the same immunity from publicity that a private citizen may.â); see also McCarthy, supra, at § 1:25. Faced with this limitation on the legal doctrine, courts began to recognize a âright of publicity,â which protected publicly known persons from the misappropriation of their identities. The first case to describe this protection as a âright of publicityâ was Haelan Labs., Inc. v. Topps Chewing Gum, Inc., 202 F.2d 866 (2d Cir.1953) (concerning baseball cards in gum packages). There, the Second Circuit held that âin addition to and independent of that right of privacy ..., a man has a right in the publicity value of his photo
In the seminal case of Palmer v. Schonhorn Enters., Inc., the Superior Court of New Jersey noted that
[pjerhaps the basic and underlying theory is that a person has the right to enjoy the fruits of his own industry free from unjustified interference. It is unfair that one should be permitted to commercialize or exploit or capitalize upon anotherâs name, reputation or accomplishments merely because the ownerâs accomplishments have been highly publicized.
96 N.J.Super. 72, 232 A.2d 458, 462 (Ch. Div.1967) (citations omitted) (finding an infringement of property rights where a golferâs name was used in connection with a golf game); see also Canessa v. J.I. Kislak, Inc., 97 N.J.Super. 327, 235 A.2d 62, 76 (Law Div.1967) (â[T]he reality of a case such as we have here is, in the courtâs opinion, simply this: plaintiffsâ names and likenesses belong to them. As such they are property. They are things of value.â).
The current incarnation of the right of publicity in New Jersey is that set forth in the Restatement (Second) of ToRts (1977). See, e.g., Bisbee v. John C. Conover Agency, Inc., 186 N.J.Super. 335, 452 A.2d 689, 690-91 (App.Div.1982) (looking to the Restatement (Second) of Torts for the âfour areas of invasion of privacy,â including âappropriation of the otherâs name or likenessâ); see also G.D. v. Kenny, 205 N.J. 275, 15 A.3d 300, 311 (2011). According to the Restatement, â[o]ne who appropriates to his own use or benefit the name or likeness of another is subject to liability to the other for invasion of privacy.â Restatement (Seoond) of ToRts § 652 C. The comments also make clear that âthe right created by [the rule in § 652 C] is in the nature of a property right.â Id. § 652 C cmt a.
New Jersey law therefore recognizes that â[t]he right to exploit the value of [an individualâs] notoriety or fame belongs to the individual with whom it is associated,â for an individualâs âname, likeness, and endorsement carry value and an unauthorized use harms the person both by diluting the value of the name and depriving that individual of compensation.â McFarland v. Miller, 14 F.3d 912, 919, 923 (3d Cir.1994). As such, the goal of maintaining a right of publicity is to protect the property interest that an individual gains and enjoys in his identity through his labor and effort. Additionally, as with protections for intellectual property, the right of publicity is designed to encourage further development of this property interest. Accord Zacchini, 433 U.S. at 573, 97 S.Ct. 2849 (â[T]he Stateâs interest in permitting a âright of publicityâ ... is closely analogous to the goals of patent and copyright law, focusing on the right of the individual to reap the reward of his endeavors.... â).
Since neither the New Jersey courts nor our own circuit have set out a definitive methodology for balancing the tension be
B. How Courts Balance the Interests
We begin our inquiry by looking at Zacchini v. Scripps-Howard Broadcasting Co., the only Supreme Court case addressing the First Amendment in a right of publicity context. In this case, the Court called for a balancing test to weigh the interest underlying the First Amendment against those underpinning the right of publicity. 433 U.S. at 574-75, 97 S.Ct. 2849. This decision sets the stage for our analysis of three systematized analytical frameworks that have emerged as courts struggle with finding a standardized way for performing this balancing inquiry.
1. Zacchini and the Need for Balance
In Zacchini, an Ohio television news program recorded and subsequently broadcast Mr. Hugo Zacchiniâs entire âhuman cannonballâ act from a local fair. The daredevil brought suit alleging a violation of his right of publicity as recognized by Ohio law. Id. at 563-66, 97 S.Ct. 2849. The Ohio courts held that Zacchiniâs claim was barred on First Amendment grounds, and the case then came before the Supreme Court.
In setting out the interests at issue in the case, the Supreme Court noted (as we did above) that âthe Stateâs interest in permitting a âright of publicityâ is in protecting the proprietary interest of the individual in his act in part to encourage such entertainment.â Id. at 573, 97 S.Ct. 2849. This aspect of the right, the Court noted, was âanalogous to the goals of patent and copyright law,â given that they too serve to protect the individualâs ability to âreap the reward of his endeavors.â Id. In Zacchini, the performance was the âproduct of [Zacchiniâs] own talents and energy, the end result of much time, effort and expense.â Id. at 575, 97 S.Ct. 2849. Thus much of its economic value lay âin the right of exclusive control over the publicity given to his performance.â Id. Indeed, while the Court noted that â[a]n entertainer such as petitioner usually has no objection to the widespread publication of his act as long as [he] gets the commercial benefit of such publication,â id. at 573, 97 S.Ct. 2849, the claim at issue in the Zacchini concerned âthe strongest case for a âright of publicity,â â because it did not involve the âappropriation of an entertainerâs reputation to enhance the attractiveness of a commercial product,â but instead involved âthe appropriation of the very activity by which the entertainer acquired his reputation in the first place,â id. at 576, 97 S.Ct. 2849.
Ultimately, the Court ruled in favor of the human cannonball, and held that
[w]herever the line in particular situations is to be drawn between media reports that are protected and those that are not, we are quite sure that the First and Fourteenth Amendments do not immunize the media when they broadcast a performerâs entire act without his consent. The Constitution no more prevents a State from requiring respondent to compensate petitioner for broadcasting his act on television than it would privilege respondent to film and broadcast a copyrighted dramatic work without liability to the copyright owner.
Id. at 574-75, 97 S.Ct. 2849. Thus, while the Court did not itself engage in an explicit balancing inquiry, it did suggest that the respective interests in a case should be balanced against each other.
In the wake of Zacchini, courts began applying a balancing inquiry to resolve eases where a right of publicity claim col
2. The Modern Balancing Tests
Following Zacchini, courts began developing more systematized balancing tests for resolving conflicts between the right of publicity and the First Amendment. Of these, three tests are of particular note: the commercial-interest-based Predominant Use Test, the trademark-based Rogers Test, and the copyright-based Trans-formative Use Test. The Rogers and Transformative Use tests are the most well-established, while the Predominant Use Test is addressed below only because Appellant argues in favor of its adoption. We consider each test in turn, looking at its origins, scope of application, and possible limitations. For the reasons discussed below, we adopt the Transformative Use Test as being the most appropriate balancing test to be applied here.
a. Predominant Use Test
Appellant urges us to adopt the Predominant Use Test, which first appeared in Doe v. TCI Cablevision, 110 S.W.3d 363 (Mo.2003) (en banc), a case that considered a hockey playerâs right of publicity claim against a comic book publishing company. In TCI, Anthony âTonyâ Twist, a hockey player, brought suit against a number of individuals and entities involved in producing and publishing the Spawn comic book series after the introduction of a villainous character named Anthony âTony Twistâ Twistelli.
In balancing Twistâs property interests in his own name and identity against the First Amendment interests of the comic book creators, the TCI court rejected both the Transformative Use and Rogers tests, noting that they gave âtoo little consideration to the fact that many uses of a personâs name and identity have both expressive and commercial components.â Id. at 374. The Supreme Court of Missouri considered both tests to be too rigid, not
If a product is being sold that predominantly exploits the commercial value of an individualâs identity, that product should be held to violate the right of publicity and not be protected by the First Amendment, even if there is some âexpressiveâ content in it that might qualify as âspeechâ in other circumstances. If, on the other hand, the predominant purpose of the product is to make an expressive comment on or about a celebrity, the expressive values could be given greater weight.
Id. (quoting Mark S. Lee, Agents of Chaos: Judicial Confusion in Defining the Right of Publicity-Free Speech Interface, 23 Loy. L.A. Ent. L. Rev. 471, 500 (2003)). The TCI court considered this to be a âmore balanced balancing test [particularly for] cases where speech is both expressive and commercial.â Id. After applying the test, the court ruled for Twist, holding that âthe metaphorical reference to Twist, though a literary device, has very little literary value compared to its commercial value.â Id.
We decline Appellantâs invitation to adopt this test. By our reading, the Predominant Use Test is subjective at best, arbitrary at worst, and in either case calls upon judges to act as both impartial jurists and discerning art critics. These two roles cannot co-exist. Indeed, Appellant suggests that pursuant to this test we must evaluate âwhat value [Appellee is] adding to the First Amendment expressiveness [of NCAA Football ] by appropriating the commercially valuable likeness?â (Tr. at 14:15â:1S.) Since â[t]he game would have the exact same level of First Amendment expressiveness if [Appellee] didnât appropriate Mr. Hartâs likeness,â Appellant urges us to find that NCAA Football fails the Predominant Use Test and therefore is not shielded by the First Amendment. (Tr. at 7:10-12.) Such reasoning, however, leads down a dangerous and rightly-shunned road: adopting Appellantâs suggested analysis would be tantamount to admitting that it is proper for courts to analyze select elements of a work to determine how much they contribute to the entire workâs expressiveness. Moreover, as a necessary (and insidious) consequence, the Appellantâs approach would suppose that there exists a broad range of seemingly expressive speech that has no First Amendment value.
Appellee rightly argues that the Predominant Use Test is antithetical to our First Amendment precedent, (Tr. at 25:2-:9), and we likewise reject the Test.
b. The Rogers Test
The Rogers Test looks to the relationship between the celebrity image and the work as a whole.