【作者】 尤杰；

【导师】 金冠军；

【作者基本信息】 上海大学 ， 传播学， 2011， 博士

【摘要】 30余年来版权自身的扩张、半个世纪以来公民言论自由权的张扬以及近20年来数字复制与传播技术的迅猛发展在网络2.0参与式文化时代形成了一股巨大的合力,这股合力将版权与个人言论自由权之间近两个世纪来一直存而不显的矛盾推到了聚光灯下。在这一矛盾中,个人利用版权作品的要素或片断,然后或者通过增加原创性内容,或者通过创造性地组合所使用的内容而产生的转换性使用(transformative uses)是最根本的核心,而围绕(数字)转换性使用的侵权纷争所引发的言论自由争议也已然成为了学界乃至普通公众所关注的热点问题。如何在现实层面应对数字时代的版权与言论自由权之争将直接影响到版权所有者的经济计算、网络产业的商业模式、普通公民的宪法权利以及数字文化的展现形态,但现有的版权法体系却无法在其内部为解决这一问题提供足够的实证法资源。在这一情形下,从道德哲学与法哲学层面对(数字)转换性使用的合法性地位进行规范性的探讨并厘清版权与言论自由权各自的应然界限就具有了必要性乃至紧迫性,因为这样一种规范性的哲学探讨可能会为当代版权法实践在数字时代的调整乃至转型提供某种反思资源。本文试图在批判现有的功利主义与自然权利进路的基础上提出一种平等主义进路,并且利用费希特版权理论对版权作品“公共论坛”特性的揭示,以期为学界解析这一冲突以及辨析(数字)转换性使用的合法性提供一种新的视角。本文正文分为四章。第一章首先对版权与言论自由权之争的兴起作了简要的历史性回顾。然后本章对(数字)转换性使用的定义、分类、其与参与式文化的关联、其所具有的言论自由价值及其在当代美国版权法实践中所处的境况作了全面的归纳与辨析。该章表明,尽管(数字)转换性使用极大地提升了使用者参与文化环境建构的主观能动性,并且这一数字参与式文化具有无可辩驳的言论自由价值,但美国现有的版权法实践并不能为其提供足够的保护,其核心原因是转换性使用并未被界定成使用者的一项言论自由权利,从而无法获得同版权平等的道德合法性地位。第二章批判性地对版权-言论自由权功利主义进路进行了综述。功利主义进路强调美国版权法的核心原则是政府授予作者对其作品一定期限的专有权以为其继续创作提供激励,并最终实现文化/言论的生产最大化以及观点多样化。通过否定版权的私有财产权本质从而间接提升言论自由权的价值地位这一策略,该进路试图借助美国宪法第一修正案法理来遏制版权的迅速扩张,从而确保公民言论自由权的行使。本章最后将表明,功利主义进路存在着若干缺陷,其中最为核心的一个缺陷是其必然会导致允许侵犯个人基本财产权利来换取多数人的福利增进这样一种道德取向,这是因为功利主义无法区分不同个人的独特价值。第三章批判性地对版权-言论自由权自然权利进路进行了综述。本章首先阐述了自然权利以尊重个人平等的内在尊严为核心的理念结构,并强调了自然权利理念在美国语境中的深远意义。本章然后对根据洛克的自然权利(劳动)理论而形成的版权自然权利观进行了阐述,并揭示了其在美国版权史中的持久影响力。本章随后对自然权利进路的几种具体理路进行了归纳,指出自然权利进路的核心是在承认版权具有自然权利式的私人财产权属性的基础上,通过洛克的自然权利理论以及自然法本身所内涵的限权逻辑来解决版权与言论自由权之间的龃龉。本章最后指出了该进路所犯的通病:将公开出版的版权作品视作为类似于抽象观念的准公共产品,从而导致对版权所有者私有财产权的过度限制。第四章接续了版权-言论自由权自然权利进路的基本取向,将版权视作为一种洛克式的私人财产权。通过厘定言论自由权的道德合法性基础,作为一种私人财产权的版权与个人的言论自由权被纳入了一个基本权利体系之内。这一基本权利体系所依托的是一种康德式的平等主义理念,该理念为私人财产权与言论自由权所享有的平等地位提供了最根本的道德理据,也构成了本文所主张的平等主义进路。本章进而对版权作品所具有的“公共产品”特性与“公共论坛”特性进行了解析,并表明这两个特性分别对应着版权与改造性使用权各自所具有的道德合法性。对版权作品的这两个特性所作的解析厘清了版权与言论自由权各自的道德界限,并最终论证了版权作品合法获取者对版权作品进行(数字)转换性使用这一言论自由权利的道德合法性。本文的核心结论是,版权作品合法获取者对版权作品进行(数字)转换性使用以及传播转换性作品的行为应该被看成是其的一项言论自由权利,该权利为版权所有者施加了不得干预其行使的道德义务。数字参与式文化时代凸显了这一言论自由权利所具有的道德规范性的现实意义。与此同时,(数字)转换性使用也是版权所有者的私有财产权对版权作品合法获取者所提出的道德要求。于是,(数字)转换性使用本身既成为了版权与言论自由权之间彼此划界的根本原则,又标示了私有财产权与言论自由权的道德平等性在数字文化领域的具体实现。本文在最后还加了两个附录。附录一综述了美国最高法院关于公民在私人所有的大型购物商场中行使言论自由权利的相关案例,其目的是为本文所提出的平等主义进路提供实证案例法层面上的参考。附录二对平等主义进路所可能导致的四个主要的版权法实践困境加以辨析,其目的是为该进路所具有的可行性提供经验性佐证。更多还原

【Abstract】 The unchecked expansion of the copyright regime in the last 30 years, the celebrated promotion of citizens’right to free speech in the last half century and the explosive development of digital technology in the last two decades have constituted an uneasy combination of conflicting forces, which finally activates the dormant tension between copyright and the right to free speech with the advent of the Web 2.0 participatory culture. Occupying the center of this tension is the issue of users’transformative uses of copyrighted works. A transformative use of a copyrighted work refers to a use which, though incorporating key elements or portions of the copyrighted work, results in an original work in its own right by either adding original content or creatively rearranging the used elements or portions of the copyrighted work. Due to its strong relevance toward freedom of speech, the controversy surrounding the potential copyright infringement of (digital) transformative uses has stirred up increasingly heated debates within both the professional academia and the popular media.How to respond to the tension between copyright and the right to free speech in the digital age will have a direct impact upon the economic calculation of copyright owners, the possible business models of the network industry, the exertion of constitutional rights by citizens and the tapestry of the digital culture. However, the current copyright jurisprudence itself can not provide sufficient positivist legal resources to enable a satisfactory resolution. Under this circumstance, a normative examination of the moral legitimacy of (digital) transformative uses and the moral boundary between copyright and the right to free speech acquires relevance and urgency, since such a philosophical inquiry may offer some insights for the necessary structural adjustment of the copyright regime in the face of the digital challenge.Building on critical examinations of the current two approaches toward the issues, i.e. the utilitarian and the natural rights, this thesis attempts to offer an alternative egalitarian approach, which, together with borrowing Fichte’s insight upon the“public forum”characteristic of published copyrighted works, will provide a new perspective for untangling the conflict between copyright and the right to free speech and ascertaining the moral justification for (digital) transformative uses. The thesis is composed of four main chapters. Chapter one first recalls briefly the historical emergence of the tension between copyright and the right to free speech before giving a detailed description of the definition and classification of transformative uses. The chapter then examines and summarizes the relationship between (digital) transformative uses and participatory culture, the free speech values of (digital) transformative uses, and their legal dilemma within the current U.S. copyright law system. This chapter demonstrates that although transformative uses have sharpened user’s awareness of his/her cultural agency through active participation in the social process of meaning production, which has significant free speech values, the current U.S copyright regime can’t offer them sufficient protection. The key reason behind this insufficiency is that transformative uses of copyrighted works are not legally defined as the users’right to free speech but an affirmative defense against copyright infringement charges, which puts them on an unequal footing with copyright owners’exclusive entitlements.Chapter two critically examines the utilitarian approach toward solving the conflict between copyright and the right to free speech. The utilitarian approach regards copyright as a state-granted statutory privilege rather than the author’s natural property right, designed to give creators enough incentive to create in order to realize the ultimate policy purpose of maximizing speech production and pluralizing viewpoints expressed. Deploying the strategy of enhancing the value rank of the right to free speech by negating the natural right character of copyright and applying the First Amendment principle of strict scrutiny against state-granted content regulations, the utilitarian approach attempts to reverse the trend towards unchecked expansion of contemporary copyright regime so as to ensure citizens’constitutionally guaranteed exercise of the right to free speech. However, the unavoidable failure of utilitarianism to recognize the separate intrinsic value of individual persons inevitably leads to the morally controversial consequence of sacrificing individual’s basic property rights for the purpose of achieving the overall welfare.Chapter three critically examined the natural rights approach towards solving the conflict between copyright and the right to free speech. The chapter first exposes the essence of the natural rights conception, which is the equal respect toward each person’s intrinsic dignity, and then reveals the importance of the natural rights tradition within the U.S. political morality. After giving a detailed account of the natural rights conception of copyright based on Locke’s labor theory and its lasting influence within the history of U.S. copyright regime, the chapter summarizes the basic structure of the natural rights approach, which firmly endorses the Lockean natural rights character of copyright while making full use of the various internal restrictions or provisos imposed upon private or intellectual property rights within both Locke’s theory and other natural law principles. In other words, the natural rights approach attempts to reconcile the incongruence between copyright and the right to free speech by deploying the inherent moral requirements of natural rights rather than positivist legal doctrines. However, the natural rights approach tends to treat published copyrighted works as quasi-common cultural resources similar to abstract ideas, thus blurring the line between the right to access the copyrighted work and the right to use the copyrighted work after securing the legal access. Consequently, the natural rights approach overly restricts the copyright owners’capacity to exert certain exclusive control upon their published works.Chapter four espouses the main argument of this thesis, which is a rights egalitarian approach. Inheriting the principled recognition of the natural rights character of copyright emphasized by the natural rights approach, this chapter first clarifies the ultimate moral reason underpinning the legitimacy of freedom of speech, thus integrating the Lockean right to private property and the right to free speech in a system of basic rights, which is morally grounded on the Kantian equal respect towards the intrinsic value and humanity of individual persons as separate rational agents. By this way, the equal moral status between copyright as a Lockean private property right and the individual’s right to free speech is justified and highlighted. The chapter continues to explain how the two essential characteristics of copyrighted works, i.e. public goods and public forum, provide the necessary practical roadmap to implement the egalitarian approach in reality. By demonstrating the intimate connections between these two characteristics and the moral legitimacy of copyright and the right to make transformative uses respectively, this chapter finally demarcates the moral boundary between copyright and the right to free speech, while affirming the moral justification for users’free speech right to make (digital) transformative uses of those copyrighted works to which the prior legal access has been secured.The conclusion of this thesis is that (digital) transformative uses of copyrighted works and then the distribution of the resulting transformative works should be classified as the user’s right to freedom of speech, which imposes a non-interference duty upon copyright owners, as long as the legal access to the copyrighted works has been secured in advance. Although the moral normativity of this particular right to freedom of speech should be recognized long before the age of digital participatory culture, its real-life relevance and urgency have been significantly accentuated by the digital momentum. In the meantime, (digital) transformative use should also be regarded as a moral requirement of copyright owners’private property rights towards users of copyrighted works. Thus, (digital) transformative uses not only serves as the fundamental principle in demarcating the dividing boundary between copyright and the right to speech, but also represents the manifestation of the equal moral status of private property rights and free speech right within the intellectual arena in the digital age.There are two appendices to this thesis. Appendix one examines and summarizes the legal reasoning in a series of Supreme Court cases dealing with the issue of to what extent the owner of an open-to-all shopping mall can restrict citizens’expressive activities within the mall. These cases will be used as a possible source of positivist legal reference for the egalitarian approach presented by this thesis.Appendix two explores four probable practical dilemmas if the egalitarian approach was adopted by the current copyright jurisprudence. By elucidating that these scenarios will not materialize, the practical feasibility of the egalitarian approach obtains a further empirical support.更多还原