衍生作品著作權法中法律地位問題研究 – 法律、現實及對策

The Research on Legal Status of Secondary Works under PRC Copyright Law: Law, Reality and Coping Strategies

Student thesis: Doctoral Thesis

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Award date25 Aug 2021

Abstract

自二十世纪以来,影视剧作、通俗文学兴旺发达,文化产业从业人士为社会大众提供了丰富的文化产品。二十世纪九十年代互联网的高度发展,让文化产品的传播速度更高、覆盖范围更广,更是让原本联络手段有限、天各一方的文化产品受众群体对作品共同欣赏、共同评论研讨的门槛大为降低,也刺激了作为非文化从业人士的读者的创作欲望。文化产品受众已不仅仅是被动的消费者,而成为了使用者与主动参与者、创作者。在上述主动参与者、创作者的努力下,大量的衍生作品开始涌现,已经成为不可忽视的社会文化现象。

衍生作品极大丰盛,也引起了原作著作权人、衍生作品创作者与社会公众的关注和争议。这些争议反映了原作著作权人与衍生作品创作人的立场冲突,以及不同群体之间的利益纠葛。更重要的是,它改变了著作权法原有的权力结构,让“用户利益”正式出现在著作权制度的历史舞台之上,成为权力结构的一极。因此,本文所重点探讨的问题,即为了帮助作者、文化产业与用户达致利益的均衡,如何通过法律之外与法律之内的制度方式来进一步加强衍生作品的合法性。

在第一章导论之外,本文共分为三个部分。第一部分包括两章(第二章与第三章)。第二章首先确定了本文研究的衍生作品范围为衍生文字作品及衍生视频作品,其原因是上述两种类型的作品较为习见,创作门槛相对较低,与原作表达元素联系也相对紧密,具备较强的代表性。在第三章中,本文通过对我国著作权法相应规定与司法判例进行分析,认为衍生作品较易落入我国著作权法相关经济权利与人身权利的范围,并分析了造成该等情况的共性原因与个性原因。

第二部分(第四章)则侧重于讨论衍生作品合法化的必要性。该章从历史和社会原因角度进行分析,认为衍生作品极大丰富的原因,在于它是文化层累传统的再生,以及反映了深植于人们心底的表达与交流需要。之后该章从成本收益角度进行分析,认为权利人直接对抗衍生作品及其创作者的动力并不充足,衍生作品规模巨大的现状,也是权利人与用户之间权力斗争趋于动态平衡的结果。在对衍生作品的成因有了更深理解的基础上,本文分析了将衍生作品进行合法化的意义,或者说是积极效果。

但是,尽管衍生作品的丰盛似乎反映了利益群体之间的某种平衡,这种平衡也是脆弱的、暂时的。这是一种在社会关系和经济关系互动中形成的事实上的平衡,而非法律上的平衡,它在目前的正式法律架构中还没有确定的地位。因此,就很有必要在法律之内与法律之外建立起二者正式沟通的桥梁,并在现有著作权法的框架下尽力消除这种灰色领域的不确定性。第三部分(第五章、第六章)即旨在达到这一目的。首先,第五章通过分析影响人们行为方式的四种因素,来为建立法律之外的合作框架提出建议。之后,基于第三章中指出的衍生作品法律地位不确定的原因,第六章重点讨论了如何提升现行法律制度下衍生作品的合法性地位。首先本章建议在吸取他国经验教训基础上,对我国著作权法的保护对象、权利范围予以重新厘清,并统一相应的实质性相似判断标准,将著作权限制回归市场替代的本质、对使用目的做扩大解释。在修改权、保护作品完整权等精神权利方面,则建议引入更为严格的客观标准。考虑到司法层面的局限性,本文还对着重讨论了立法修订的必要性,认为应将立法宗旨、著作权经济权利范围予以进一步明确,将用户创造内容(UGC)规定引入著作权限制,并对精神权利条款予以修订、建立精神权利限制体系。
Since the 20th century, mass cultural products such as popular literature, films, and television dramas have flourished. In the 1990s, the rapid development of the Internet has accelerated the spreading of cultural products and enlarged the coverage, rendering the appreciation, discussion and criticism of certain works more convenient. More importantly, it stimulates the creations of non-professional creators, prompting the audiences' role and image evolving from the presumed passive consumers to proactive participants. Due to their efforts, the secondary works have flourished, which has become a social and cultural phenomenon that cannot be ignored.

As a consequence, the cornucopia of secondary works intrigues the concerns and disputes among the public. Those disputes not only reflect the clashes between copyright holders of the original works and transformative work creators, but also show the entanglements among different interest groups. In a nutshell, it changes the original power structures of copyright law and makes "users' rights" debuting on the stage. Therefore, for the balance of interests of authors, cultural industry and users, the thesis emphasizes on how to cure the legal uncertainty of secondary works by legal regulations and other methods.

The thesis mainly contains 3 parts besides the Introduction Part (Chapter 1). Part 1 is constituted of 2 chapters. Chapter 2 specifies the types of secondary works discussed in the thesis: literature works and audio-video works. Such scope could be contributed to the aforesaid works' popularity, amiable demands for creation skill and intensive connections with the original works, which makes them the most popular and representative ones in the secondary works. In Chapter 3, by analyzing the PRC copyright legal system and concerning cases, the thesis reaches the conclusion that secondary works are liable to infringe the economic and moral rights under PRC law, and explores the universal and specific causes of such infringement.

Part 2 (Chapter 4) of the thesis focuses on the necessity of altering the uncertain legal status of secondary works. Through analysis from historical and social perspective, the thesis points out that the flourishing of secondary works could be attributed to the resurgence of accumulative cultural traditions and the needs for expression and communication embedded in our human nature. After a cost-effect analysis, Chapter 4 suggests that the right holders lack motives to directly confront the secondary works and their creators, which means such thriving also reflects the dynamic balance of power struggles among the right holders, authors and users. After reaching better understanding of the secondary works, Part 2 finally discusses the necessity or positive effects of curing the legal uncertainty of secondary works.

However, although the thriving of secondary works seems to reflect kind of balance among different interest groups, the balance is also fragile and temporary. It is a factual balance naturally formed during the social and economic interaction, still lacking the formative status in the legal system. Hence, it is necessary to build a systematic bridge between different parties and to eliminate the uncertainty under the present copyright system. Therefore, Part 3 (Chapter 5-6) mainly discusses the approaches to achieve such purpose. First, Chapter 5 utilizes constraining factors of behavior to present suggestions of the non-legal regulation frameworks for secondary works. Next, based on the causes of legal uncertainty discussed in Chapter 3, Chapter 6 is focused on how to improve the legal status of secondary works under the present legal system. The corresponding approaches includes clarification of the scope of certain rights under the Copyright Law, reaffirming the elementary purpose of Copyright Law, unification of the substantial similarity tests and restraining the "three-step-test" to its original alternative marketing nature. It also suggests the introduction of objective test in moral rights infringement cases. In consideration of the present legal system's limitation, Chapter 6 then suggests the revision of certain clauses to give a further solution of aforesaid problems, as well as introduction of UGC clauses and limitation frameworks for moral rights.

    Research areas

  • secondary works, copyright, economic rights, moral rights, three-step-test, limitation of copyright