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研究生: 朱姣鳳
Chiao-Feng Chu
論文名稱: 美國最高法院有關著作權合理使用轉化性爭議之判決案例研究
Case Studies of the U.S. Supreme Court’s Decisions on Disputes over the Transformative Use of Copyright Fair Use Doctrine
指導教授: 耿筠
Yun Ken
口試委員: 袁建中
Chien-Chung Yuan
蔡鴻文
Hung-Wen Tsai
學位類別: 碩士
Master
系所名稱: 應用科技學院 - 專利研究所
Graduate Institute of Patent
論文出版年: 2023
畢業學年度: 111
語文別: 中文
論文頁數: 145
中文關鍵詞: 著作權合理使用衍生著作轉化性使用
外文關鍵詞: Copyright, Fair use, Derivative Works, Transformative Use
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  • 數位時代科技技術的發展與演進,著作創新的多元多變,著作權涵蓋的表達方式比歷史上任何時候都更為多元與創新,生成式人工智慧產生的創意作品爆紅、蔚為風潮,但面臨的著作權等法律相關問題迫在眉睫,如AI生成著作是否為衍生著作的侵權產品,或能否足以構成轉化性的合理使用。
    美國1994年Campbell案後發揮巨大影響,轉化性使用幾乎已成為多數合理使用判決的代名詞,是近三十年來合理使用問題的指南,但下級法院在如何評估轉化性使用,及合理使用因素進行的權衡存在許多分歧。長達十年Oracle與Google著作權訴訟案2021年終於落幕,法院最終認定Google合理使用。2023年5月最高法院罕見對知名藝術家Andy Warhol著作是否為合理使用問題之判決,對AI未來的發展極其重要。三個最高法院判決核心的問題均與著作權合理使用之轉化性使用相關。
    本論文以著作權轉化性使用在合理使用判斷上的司法見解,依美國最高法院三個重要判決為分析依據,探討美國著作權合理使用轉化性使用之應用、界定轉化性使用與衍生著作之差異、因應科技的發展突顯技術的合理使用等問題,希望釐清轉化性使用,期望進一步完整合理使用原則與分析。
    最高法院判決不時提醒,美國憲法賦予國會制訂著作權法的目標,為刺激創造性活動進步,以豐富公眾智力,增加大眾對知識的收穫。合理使用需時時根據憲法總目標與著作權的目的逐案分析,總結三個個案對轉化性合理使用的分析方式與因素都盡量納入考慮,與其他因素進行權衡。著作是否具有轉化性是程度問題,衍生著作和轉化性使用兩者不相互排斥,著作所有者有創造衍生著作的專有權,要符合轉化性的要求,新的使用必須超出衍生著作的要求。對原件進行轉化性使用所需的轉化程度,必須超過符合衍生著作資格所需的程度。
    第一項合理使用因素目的和特徵(性質)是最主要的,具體的使用是否有進一步的目的或不同的性質是程度問題,且必須與其他因素(如商業)與使用的正當性有關,轉化性的差異必須在具體用途的背景下分析進行權衡。第一項因素詢問所討論的使用是否以及在多大程度上,具有與原作不同的目的或特徵,差異越大,第一項因素越有可能支持合理使用。而第三項因素與第一、第四項因素相關,必須根據二次創作的目的和特點、轉化性元素及對市場替代潛力的考慮,來決定對原著所使用的數量進行評估。第四項因素需探究受質疑的使用是否為著作的市場替代品,或對原作需求的市場之補充,並考慮衍生著作的潛在市場。而新的技術若能以提供公共利益的方式,使用的著作具有轉化性(或增值)的目的,則有利於合理使用。


    With the development and evolution of science and technology in the digital age, the variability and innovation of works, and the copyright ways to express ideas or concepts are more diversified and innovative than ever before in history. The creative works generated by generative artificial intelligence have become popular and trendy. But Copyright and other legal issues are imminent, such as whether AI- generated works are infringing products of derivative works, or whether they are sufficient to constitute transformative fair use.
    After the 1994 Campbell case In the U.S., transformative use has had a significant impact, becoming almost synonymous with most fair use judgments and has been the guideline for fair use issues in the past three decades. However, the lower courts on how to evaluate transformative use and weigh the factors of fair use remains inconsistent. The decade-long copyright litigation between Oracle and Google concluded in 2021, and the Supreme Court finally found Google's use of the JAVA API as a fair use. In May 2023, the Supreme Court made a rare judgment on whether the works of famous artist Andy Warhol are fair use issues, which is extremely important for the future development of AI. The core issues of the three Supreme Court judgments are all related to the transformative use of copyright fair use.
    This thesis focuses on the judicial perspective on the fair use judgment of copyright transformative use, based on the analysis of three important judgments of the U.S. Supreme Court, to explore the application of transformative use of copyright fair use, define the differences between transformative use and derivative works, and highlight the fair use of technology in response to the development of technology, and expects to further complete the principles and analysis of fair use.
    The Supreme Court's judgments from time to time remind that the U.S. Constitution gave Congress the goal of enacting copyright laws to stimulate the progress of creative activities, enrich the public's intelligence, and increase the public's harvest of knowledge. Fair use requires a case-by-case analysis based on the overall constitutional objectives and the purposes of copyright. The three cases summarize the analysis methods and factors of transformative fair use should be taken into consideration as much as possible, and weighed against other factors. Whether a copyrighted work is transformative is a matter of degree. Derivative works and transformative uses are not mutually exclusive; the owner of a copyrighted work has the exclusive right to create derivative works, and to comply with the requirements of transformative use, the new use must go beyond the requirements of the derivative work.
    The purpose and characteristics (nature) of the first fair use factor are the most important. Whether the specific use has a further purpose or a different nature is a matter of degree and must be related to other factors ( e.g., commercial nature ) and the appropriateness of the use, and differences of transformative use must be analyzed and weighed in the context of the specific use. The first factor asks whether and to what extent the discussed use has different purposes or features from the original work. The greater the difference, the more likely the first factor to weigh in favor of fair use. The third factor is related to the first and fourth factors, and must be evaluated in terms of the purpose and characteristics of the secondary work, the transformative elements, and consideration of the potential for market substitution to determine the amount of use made of the original. The fourth factor needs to explore whether the challenged use is a market substitute for the work, or a complement to the market demand for the original work, and to consider the potential market for derivative works. If new technologies can be used in a way that provides public interest and has a transformative (or value-added) purpose, it is conducive to fair use.

    中文摘要 I Abstract II 誌謝 III 表目錄 V 圖目錄 V 第一章 緒論 1 第一節 研究背景與動機 1 第二節 研究目的與問題 4 第三節 研究架構 5 第二章 合理使用 6 第一節 著作權的源起 6 第二節 著作權與專利權的不同 7 第三節 衍生著作的源起、權利與範圍 8 第四節 實質相似性 12 第五節 合理使用的源起與原則 14 第六節 合理使用主要理論 19 第七節 合理使用實證研究 23 第三章 轉化性合理使用 26 第一節 轉化性使用的源起與原則 26 第二節 轉化性使用實證研究 30 第三節 轉化性使用與衍生著作之差異 37 第四節 轉化性合理使用之文化含義 38 第五節 轉化性合理使用對技術與創新之影響 39 第六節 生成式人工智慧與轉化性合理使用 43 第四章 美國最高法院合理使用轉化性判決 48 第一節 Campbell v. Acuff-Rose Music (1994)案例 49 第二節 Google v. Oracle (2021)案例 57 第三節 Andy Warhol Foundation v. Goldsmith (2023)案例 80 第四節 三個個案總結 108 第五節 Goldsmith案對生成式人工智慧著作權訴訟的影響 112 第五章 結論與建議 117 第一節 結論 117 第二節 建議 123 參考文獻 126

    一、中文部分
    (一)書籍
    陳家駿,AI人工智能vs智慧財產權,頁140-141,元照出版社,2022年。
    劉孔中,解構智財法及其與競爭法的衝突與調和,頁003、227,新學林出版社,2015年

    (二)期刊
    耿筠、劉江彬,美國著作權合理使用之重要判例研究,智慧財產權,第44期,頁61-63頁,2002年08月
    闕光威,合理使用對內容產業的管理意涵-以市場失靈理論為核心,政大智慧財產評論,第七卷 第一期,頁3,2009年

    (三)其他資料
    立法院議事暨公報資訊網,立法院第8屆第1會期第6次會議議案關係文書,2012年4月12日印發,https://ppg.ly.gov.tw/ppg/download/agenda1/02/pdf/08/01/06/LCEWA01_080106_00049.pdf,(最後瀏覽日:2023年07月07日)
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    二、英文部分
    (一)書籍
    Band, Jonathan and Gerafi, Jonathan, Fair Use/Fair Dealing Handbook (2013).
    Lessig, Lawrence, Free Culture: How Big Media Uses Technology and the Law to Lock Down Culture and Control Creativity, 187 (2004).
    Plant, Arnold, The Economic Aspects of Copyright in Books, 1 ECONOMICA, NEW SERIES 167 (1934).

    (二)期刊論文
    Adler, Amy, Fair Use and the Future of Art., 91 New York University Law Review 559, 619、626 (2016)
    Asay, Clark D., An Empirical Study of Copyright’s Substantial Similarity Test, 13 UC Irvine Law Review 35, 40 (2022).
    Asay, Clark D. & Sloan, Arielle & Sobczak, Dean, Is Transformative Use Eating the World?, 61 Boston College Law Review 905, 917, 931-937, 941-942, 949-950, 965-966 (2020).
    Balganesh, Shyamkrishna & Menell, Peter S., Misreading Campbell: Lessons from Warhol, 72 Duke Law Journal Online 113-145, 115, 130-133, footnote 9 & 12 (2023)
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    Depoorter, Ben, Technology and Uncertainty: The Shaping Effect on Copyright Law, 157 U. PA. L. REV. 1831, 1838 (2009).
    Chen, Madelyn, An Intentionalist Proposal to Reform the Transformative Use Doctrine, 30 J. INTELL. PROP. L. 55, 58-61, 75-79 (2022)
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    Elkin-Koren, Niva & Fischman Afori, Orit, Rulifying Fair Use, 59 Arizona Law Review 161, 176-177 (2017)
    Goodman, Jessica Dickinson, Historical Understandings of Derivative Works and Modern Copyright Policy, Carnegie Mellon University, 13 (2011).
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    (三)法院判決
    Alfred Bell & Co. Ltd. v. Catalda Fine Arts, Inc. et al, 191 F.2d 99 (2d Cir. 1951)
    Associated Press v. United States, 326 U.S. 1 (1945)
    Acuff-Rose Music, Inc. v. Campbell, 754 F.Supp. 1150 (1991) at 1152
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    Andy Warhol Foundation for the Visual Arts, Inc. v. Goldsmith, 382 F.Supp.3d 312 (2019)
    Andy Warhol Foundation for Visual Arts, Inc. v. Goldsmith, 11 F.4th 26 (2021)
    Andy Warhol Foundation for the Visual Arts, Inc. v. Goldsmith, 143 S.Ct. 1258 (2023)
    Authors Guild v. Google, Inc., 804 F.3d 202 (2015)
    Baker v. Selden, 101 U.S. 99 (1879) at 103
    Berlin v. E.C. Publ’ns, 329 F.2d 541, 543–44 (2d Cir. 1964)
    Bill Graham Archives v. Dorling Kindersley Ltd., 448 F.3d 605, 615 (2d Cir. 2006)
    Bleistein v. Donaldson Lithographing Co., 188 U.S. 239, 251–52 (1903)
    Campbell v. Acuff-Rose Music, Inc, 510 U.S. 569, 578-585 (1994).
    Cariou v. Prince, 714 F.3d 694 (2d Cir. 2013)
    Dellar v. Samuel Goldwyn, Inc., 104 F.2d 661, 662 (2d Cir. 1939)
    Emerson v. Davies, 13 Hunt Mer. Mag. 558 (1845), at 619
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    Google, Inc. v. Oracle Am., Inc., 576 U.S. 1071 (2015).
    Google LLC v. Oracle America, Inc., 141 S.Ct. 1183 (2021)
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    Oracle Am., Inc. v. Google LLC, 886 F.3d 1179 (Fed. Cir. 2018) at 1186、1193、1195、1210
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    Sega Enterprises Ltd. v. Accolade, Inc., 977 F.2d 1510, 1521–1527 (C.A.9 1992)
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    Sony Computer Entertainment, Inc. v. Connectix Corp., 203 F.3d 596, 603–608 (C.A.9 2000)
    Stowe v. Thomas, 23 F. Cas. 201 (C.C.E.D. Pa. 1853) (No. 13,514)
    Suntrust Bank v. Houghton Mifflin Co., 268 F.3d at 1261
    TCA Television Corp. v. McCollum, 839 F.3d 168, 181 (2d Cir. 2016).
    Ty, Inc. v. Publ’ns Int’l, Ltd., 292 F.3d 512, 522 (7th Cir. 2002)
    Viacom International, Inc. v. YouTube, Inc., 676 F.3d 19 (2nd Cir., 2012)

    (四)網路資料
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