书城法律著作权权利配置研究:以权利人和利益相关者为视角
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第1章 摘要

随着复制和传播技术的不断发展,著作权领域不断催生出新的经济利益,在印刷时代和模拟技术时代尚能维持的著作权权利配置的平衡格局在数字时代遭遇重大挑战。产业投资者取代自然人作者成为主要的权利主体,并推动著作权在范围和权能方面不断扩张,著作权权利配置的天秤向权利人的方向严重倾斜,著作权制度设计的初衷—经由激励创作实现人类文明和进步—不断受到挑战和冲击。面对这样一个全球性的课题,我国作为知识产权的后发国家存在哪些问题、面临哪些挑战,以及应构建何种著作权权利配置格局是本文拟要回答的问题。本文采用比较的研究方法,以著作权的诞生地英国和当今世界知识产权保护强国美国为比较蓝本,同时借助法律经济学的分析思路,提出了我国应建立以知识信息共享为模式的著作权权利配置格局的观点。

首先,本文对著作权的权利性质以及权利配置的含义进行了分析和界定,从理论渊源和实践结果两个方面得出著作权是法定权利及受公法限制的私权的结论,为法律的初始配置和私人间的二次配置提供正当性基础。同时,本文采用法律经济学的分析路径,阐述了著作权权利配置的内容,以及由于客体的准公共物品和非物质形态属性而产生的权利配置的特殊问题,为后文论题的展开奠定基础。

其次,本文从历史经验和理论正当性两个维度阐述了著作权权利配置应该遵循的原则,即激励创新、促进表达自由和保留公共领域,并从主体变迁和权利内容两个视角分析了权利主体和利益相关人之间的权利配置,以及数字时代著作权权利配置面临的特殊问题,提出了技术革新不断催生出新的著作权利益,具有强大经济实力的产业投资者已经取代自然人作者成为著作权的主要权利主体,并以游说立法、采取技术措施和私人创设合同等方式,推动著作权在范围和权能等方面不断扩张。普通使用者和社会公众的利益空间不断受到挤压,著作权权利配置应遵循的道德和民主价值被严重践踏。现有的权利配置格局已经严重违背了著作权制度设计的初衷和目的—实现知识积累、文明传承等公共利益价值。

最后,在前文分析和研究的基础上,本文提出了以知识信息共享为模式建立著作权权利配置格局的思路,并在阐释信息共享含义和介绍世界范围内信息共享运动的基础上,针对我国著作权权利配置格局的一般性和特殊性问题,提出了我国实现知识信息共享的途径,即坚持著作权法定主义原则,严格限制法官造法冲动 强调著作权的政策工具属性,对激励创作和保障获取给予同等的重视等,并给出了废除法人作品、创设合理使用的一般规则、以强制性规范保护作品使用者的利益、有限技术措施等具体的立法建议。

关键词:权利配置 权利主体 利益相关人 信息共享

ABSTRACT

With the continuous development of copying and disseminating technology,new interests in the copyright field have been generated,and the approximate balance of the allocation of copyright,which existed in the printing era and the simulation technique era,has been broken in the present digital information society. Investors in the cultural industry,not creators,have become the major subjects of rights,and they have pushed ever further the boudaries of the scope and contents of copyright. As a result,the copyright allocation leans heavily in favor of the copyright holders.The initial goal in enacting a copyright system,namely the advancement of human civilization by encouraging creation,has been challenged and negatively affected. In the face of this global issue,as a later-comer in copyright protections,what problems and challenges do we have in China?What copyright allocation framework shall we choose?These are the problems that this article aims to deal with. In this article,the United Kingdom,which was the birthplace of modern copyright,and the United States,which is the leading power in copyright protection,are taken as the frame-of-reference for comparison. On this basis,and with the help of the methods of analysis in law and economics,it is put forward that a new arrangement of copyright allocation centered around information sharing should be set up in China.

Firstly,this thesis defines and analyses the nature of copyright and the signification of rights allocation. Studied from the perspectives of theoretical origins and practical results,a conclusion is drawn that copyright is a statutory right and a private right subject to public laws and this conclusion provides a legitimate basic for first allocation and second allocation. Meanwhile,with the help of the methods of analysis in law and economics,this thesis elaborates on the contents of copyright allocation and the special problems therein due to the fact that copyright is,fundamentally,a quasi-public goods and intangible. This first part paves the way for the following discussions of this thesis.

Secondly,in the light of historical experience and theoretical legitimacy,this thesis elaborates on the principles that should be followed in the allocation of copyright,namely the principles of encouraging creation and freedom of expression,and the preservation of the public domain. Then,from the viewpoint of the changes of subject and the contents of copyright,this thesis analyses the allocation of copyright between the copyright holders and the interested parties,as well as the special problems that have arisen in the present digital age. It is put forward that,with technological innovations continuously generating new interests,investors in the culture industry with enormous economic powers have taken the place of creators to become the major subject of copyright,and they strive for the expansion of copyright in scope,contents,and many other aspects by means of lobbying,adopting technical measures and concluding unfair contracts. As a result,the scope of the interests of users and the general public has been greatly reduced,and the moral and democratic values that should be followed in the allocation of copyright have been seriously violated. In view of these,it is put forward that the present framework of the allocation of copyright has deviated from the initial goals of the designers of the copyright system,namely to promote the accumulation of knowledge and the growth of civilization for the public good.

Finally,based on the foregoing research and analysis,it is suggested that a new arrangement of copyright allocation centered around information sharing should be set up. On the basis of illustrating the concept of information sharing and learning from the world-wide campaign of information sharing,and in view of the general and specific problems in China,ways of achieving information sharing are suggested: adhering to the principle of legality endowed by law,strictly restricting law-making impulses by justice,emphasizing the nature of copyright as a tool of policy,and treating equally encouragement for creations and access to cultural achievements. At the end,this thesis puts forward concrete legislative proposals,such as abolishing the copyright of the works of artificial person,setting up general rules for fair use,protecting the interests of users by means of compulsory norms,and limited technical measures.

Key words: the allocation of copyright,copyright holders,interested parties,information sharing