中南民族大学硕士学位论文著作权法定许可使用制度研究姓名：解岳中申请学位级别：硕士专业：经济法学指导教师：黎宇霞2011-05-19中南民族大学硕士学位论文 I 摘 要 著作权法定许可使用制度呈现出以下的特点：第一，法定许可与合理使用制度相比，它更多的强调了保护著作权人的利益；与强制许可制度相比，又减少了程序上的繁琐。 第二， 法定许可制度拥有自己独特的价值， 其不用许可的便捷性、付款标准的固定性、付费方式的简便性都符合在市场经济的大潮中，知识产品的快速利用与传播的需要。但是，我们现行的著作权法定许可使用制度无论是理论还是实践上，都存在不小的漏洞或空白，亟待立法的完善。 第一，关于著作权法定许可使用制度的基础理论。法定许可使用制度有着深厚的法哲学、法社会学、法经济学和伦理学上的依据。从法哲学上来说，法定许可使用制度体现为法的自由与限制，以保证公众的接触和文化的传承。从法社会学上来说，法定许可使用制度符合相互性原则、分配正义和矫正正义的要求。从法经济学上来说，法定许可使用制度体现成本效益理论、法律供求理论和博弈论的精髓。从伦理学上来说，著作权是一种相对的权利，主体的创造行为是在吸收一部分前人的劳动成果的基础上的再创新。 第二，关于典型国家或地区著作权法定许可使用制度的具体规定及启示。首先，德国、日本、美国、法国、加拿大、澳大利亚、芬兰和我国的台湾、澳门地区都规定有法定许可使用制度。 其次， 对我国的启示： 适当扩大法定许可范围，将一部分合理使用的情形纳入到法定许可； 按照国际立法惯例删除法定许可中著作权人的“声明保留权” ；将为宗教、培训和教育目的的复制行为、教师指导用书或教学辅导用书以及私人目的的复制行为纳入到法定许可中来。 第三，关于我国著作权法定许可使用制度的沿革及现状分析。首先，我国著作权法定许可使用制度的沿革：其源于大清著作权律第 39 条，正式规定于1990 年的著作权法，后又于 2001 年进行了修改。其次，著作权法定许可使用制度的现状分析。我国的法定许可使用制度主要在邻接权主体、权利保护和责任承担三方面存在缺陷。 第四，关于我国著作权法定许可使用制度的完善。每种法定许可类型都有讨著作权法定许可使用制度研究 II 论网络环境下适用的必要。首先，报刊转载、摘编法定许可制度实践中的困境可以通过加强法律的执行加以解决； 将制作录音制品法定许可中的作品类型放宽至音乐作品和戏剧作品，删除音乐著作权人的声明保留权；区别广播电台与电视台的经济实力实行不同等级的付酬标准，并加强著作权集体组织的管理；扩大教科书的类别，使之适用于教育的整个阶段，将利用的作品类型扩大到工程设计或者产品设计图纸及其说明和地图、示意图等图形作品，以及受我国著作权法保护的外国人作品。其次，数字图书馆的利用应采用法定许可的模式；扩大孤儿作品的范围并将之纳入法定许可的使用作品范围； 使用人的技术措施不得妨碍公众对作品的接触权；加强著作权人的精神权利保护，尊重权利人管理信息；在国家版权局及地方版权管理部门中设立专门的机构来负责法律裁决、报酬收取、保管和分配等各项职能。最后，对于法定许可的责任承担方面：在民事责任部分增加惩罚性赔偿的规定，并增加行政责任和刑事责任的规定。 关键词：著作权；法定许可；理论依据；缺陷完善 中南民族大学硕士学位论文 III Abstract Statutory license in copyright has the following characteristics: First, compared to the system of rational use, the statutory license are more emphasized to protect the interests of the copyright owner; and compared to the compulsory licensing system, it also reduces the tedious procedure. Second, the statutory license system has its own unique value, and the convenience without permission, the standard fixed payment, the simplicity of payment methods and so on, those are fit to need of the tide in the market economy, the rapid use of knowledge products and dissemination. However, Both in theory and in practice, our current system of copyright statutory license has some problem and the Legislation need to perfect urgently. Firstly, the theory that the statutory copyright license is basis on. It has a strong philosophy of law, sociology ethics and economics law. In the philosophy of law, it embodied the statutory licensing system and restricted the freedom of law so as to ensure the public access and cultural heritage. Terms from the sociology of law, statutory licensing system is fit to the principle of reciprocity, distributive justice and corrective justice requirement. Economics from the law, the statutory licensing system reflects the theory of cost-effective, legal supply and demand of the essence of the theory and game theory. From the view of ethical, the rights of copyright is a relatively, the main acts of creation is part of our predecessors in the absorption of labor based on the results of further innovation. Secondly, the system about copyright permission to use of typical national or regional and its enlightenment. First of all, the provisions of the statutory system are permitted to use in Germany, Japan, the United States, France, Canada, Australia, the Finland and China, Taiwan and Macao. Second, the Enlightenment to us: expand the scope of fair use, and let some of the case into the statutory license; In accordance with international legislation in practice, remove “reserves the right to declare“ of the copyright owner; Give the legal permission for religion, for the purpose of training 著作权法定许可使用制度研究 IV and education The copying, teachers guide book or a book, and private counseling to the purpose of copying into a statutory license in the past. Thirdly, the Evolution and Analysis of our statutory copyright license system. First, the evolution of the statutory license of the copyright system: it stemmed from “the Copyright Law of the Qing,“ Article 39, the formal provisions of copyright law in 1990, and later was revised in 2001. Second, the analysis of the copyright status of the statutory licensing system. The deficiencies of statutory licensing: the body of mainly related rights, rights protection and accountability. Fourthly, the perfection of our copyright statutory licensing System. Each type has a legal license to discuss in network environment. First, through strengthen the law enforcement, the newspaper reproduced excerpts legal permit system can be solved in practice; make the sound recordings in the works of the type statutory license to relax to the music works and dramatic works, delete the music copyright holders the right to retain the statement; difference radio and television stations to implement the economic strength of the different levels of pay and standards, and strengthening of collective copyright management organizations; to expand the type of teaching, to apply to the entire period of education, type of work will be extended to the use of engineering design or product design drawings its descr