Viewpoint | Qualification for copyright protection of practical works of art: artistic unity, separability or high-class (I)


Published:

2023-04-14

[Abstract] For the copyright protection of practical art, two theories of artistic unity and artistic separation have been formed. On this basis, three basic standards for the qualification of copyright protection of practical art have emerged: artistic unity, separability or high class. In comparison, the high-class standard deviates from the era of industrial art development and has a tendency to be gradually abandoned; the separable standard has major defects of ambiguity and uncertainty; and the unified art standard is concise and clear, which is more in line with industrial art. The trend of development, more respect for the fruits of intellectual labor, practice has also proved that it can stimulate the development of the practical art industry to a large extent. At present, the protection of practical works of art in China's copyright legislation is not clear; judicial practice is also chaotic, forming a public cognitive standards, separable standards, aesthetic significance of the creation of unified standards and other standards; theoretical circles more advocate the use of separable standards, but lack of sufficient research and demonstration. At present, China has become a big manufacturing country and is transforming into an innovative economy, which provides a material basis for the copyright protection of practical art, and puts forward high requirements for protection. In this context, the revision of China's copyright law is appropriate to choose a unified standard of art and protect the copyright of original practical works of art; at the same time, it compromises with separable and high-class standards, giving a shorter 25-year protection period for general practical works of art, and giving a protection period equivalent to pure works of art for practical works of art with a higher degree of art; no copyright protection is granted to practical works of art whose artistic characteristics are completely or extremely governed by practical functions. Key words: practical art copyright art unity separable high class Presentation of 1. issues Traditional copyright law adopts a strict dichotomy of art and utility, and the object of protection is pure art or works of fine art (works of pure or fine art). This theory may be more appropriate in the early industrial and earlier times, when the separation of practical products and works of art was more obvious; materialistic products that satisfy clothing, food, housing and transportation are not very artistic, such as clothes are coarse linen, lack of exquisite colors, patterns and shapes; spiritual products that satisfy aesthetics have fewer practical functions, such as literature, painting and sculpture. But with the development of modernization, real goods are becoming more and more exquisite; such as mobile phones, which were earlier bulky and bulky models, but now have a variety of shapes, colors and exquisite decorations. With the broad spectrum of art in the practical field, more and more practical products with aesthetic value put forward strong copyright protection requirements, so the copyright law is facing the reform of the protection object. The country that made the earlier legislative change was France. In 1902, it amended the copyright law and clearly stipulated that regardless of the purpose of the work, the carving and design of decorations should be protected. This change is also gradually reflected in international treaties. At the Brussels Congress to revise the Berne Convention held in 1948, works of applied art (works of art) was explicitly included in the object of copyright protection. However, at the Berlin Congress to revise the Berne Convention in 1909, the object qualification of works of applied art was opposed by many members. After 1948, more and more countries of the Berne system included works of applied art in the object of copyright protection. Although the copyrightability of works of practical art has rarely been questioned, the eligibility conditions and protection standards for their copyrights have not been agreed upon in the international community. On the whole, there are three main qualification criteria for copyrightable goods: artistic unity, separability or high class. In our country, the early copyright law did not treat practical works as works. In 1992, with my country's accession to the Berne Convention, my country promulgated the "Regulations on the Implementation of International Copyright Treaties", Article 6 of which stipulates: "The protection period for foreign applied art works is 25 years from the completion of the work. The provisions of the preceding paragraph shall not apply to works of art (including animated designs) used in industrial products." Although the regulation stipulates the copyright protection qualification of practical art works, it is clearly limited to foreign works, and there is no specific judgment standard for practical works. For domestic works of applied art, the qualification of works has not been clear in the legislation. However, in judicial practice, many courts have used the way of expanding interpretation to include practical works of art in the protection of works of art, but the criteria adopted are very confusing. At present, my country is undergoing the third revision of the "Copyright Law". In the "the People's Republic of China Copyright Law (Revised Draft for Review)" issued by the State Council, it is clear that practical art works are regarded as a type of work, and it stipulates: "Practical art works, It refers to toys, furniture, accessories and other flat or three-dimensional plastic art works with practical functions and aesthetic significance". However, the draft does not specify the qualification conditions for practical works of art. So after the passage of the legislation, China is still facing the current judicial practice in the chaotic situation. Therefore, the copyright protection qualification of practical goods is still a subject that needs to be studied in the field of copyright law in China, and it is necessary to put forward a reasonable and feasible standard for copyright protection of practical goods on the basis of the standards of separation, high class and artistic unity, according to the current situation in China. 2. III standard traceability Unified Standard for (I) Art Earlier French law also adhered to the strict distinction between pure art and practical art (applied art). As an industrial art, practical design is not protected by the copyright law of 1793, but by the design law of 1806. French judicial practice has also developed many standards for the distinction between the two. For example, whether the production process of the product is mechanical, if it is a practical work of art, it is not protected by copyright law; Industrial purpose standards, if the purpose is to use industrial designs are not protected by copyright law; The standard of artistic characteristics is judged by the judge through the aesthetic point of view. These standards have many flaws and can easily lead to subjective arbitrariness. For example, products produced mechanically or used for industrial purposes do not mean that they are not artistic. In these objections, the theory of "unity of art" gradually developed, and some representative scholars, such as Eugene Pouillet, thought that it was difficult to draw a clear boundary between beauty and unbeauty, and it was unreasonable to deny the artistry of practical products simply because of their practicality. With the great development of industrial art, the theory of the unification of art gradually gained the upper hand in France. In 1902, the French copyright law was revised to list decorations as the object of copyright protection, regardless of their purpose. It was further amended in 1909 to include all physical designs as objects of copyright protection, regardless of the nature, artistic features and nature of the physical article. Since then, the French copyright law has always adhered to the theory of artistic unity, not only explicitly listing practical works of art as works, but also specifically listing seasonal clothing industrial products as works. However, the unified standard of art in France does not mean that all practical works of art are accepted without conditions. According to French judicial practice, designs that are completely (entirely,exclusively or solely) governed by function (dictate) are excluded from the protection of copyright law. (II) separable standard The separable standard means that the artistic part embodied in the appearance of the real product is physically or conceptually separated from the practical function of the real product, then the appearance of the real product will be protected by copyright law. Separable standards were developed earlier in Italy and later adopted by many countries, and some typical countries are selected below to illustrate the development of the separable standard system. 1. Italian copyright law-the origin of the legislation of separable standards. The theory of separable standard in Italy (the theory of dissociation) is developed in the debate with the French theory of the unification of art. This theory is called the theory of separation of art and utility (the duality of art), and its representative scholar is Piola (Piola-Caselli), which advocates that art and utility are separated, and practical goods cannot be protected by copyright. As early as 1925 in the Italian copyright law, the theory of artistic unification was supported, but in judicial practice, the Italian High Court adopted Piola Caselli's point of view. In 1940, the Italian Design Law made it clear that decorative designs and models could not be protected by copyright law, which strengthened the view that art and practicality were separated. However, the Italian copyright law of 1941 amended it to give copyright protection to the part where the artistic value of practical goods can be separated from the industrial characteristics, which is the Italian separable standard (scindibile). Italy's separability standard includes both physical separability and conceptual separability. For example, the figure statue on the door of Florence's baptistery will still maintain its artistic characteristics even if it is embedded in other media, which is physically separable. The structure of the salt bottle made by Cellini can undoubtedly be used on candy bottles or ink bottles, which is conceptually separable. However, the Italian concept of separability is very narrow, almost all three-dimensional designs are excluded in practice. In 1998, the European Community passed the "Design Legal Protection Directive" (Directive 98/71/EC), which made design copyright protection a mandatory obligation of members and stipulated that designs registered in member states should also be eligible for copyright protection. However, the degree of protection and the conditions of protection are determined by the member states themselves. The latest deadline for implementing the directive is 2001. In order to implement the directive, Italy amended its copyright law in 2001 to remove the separability condition and to include industrial designs with clear innovative and artistic value into the category of works protected by copyright. In terms of artistic value, the standard of artistic quality (artistic quality) has been formed in judicial practice. How to define "artistic quality" has caused a lot of controversy in Italy, and many solutions have been proposed, two of which are followed by case law. The first method is: to judge the purpose of creation, copyright is granted to designs made by artists in the art field of the same trade and practical products can be sold in artistic terms; The second method is that the design should be highly creative, that is, its appearance design is more likely to attract aesthetic evaluation rather than practical functional evaluation. The evidence of its aesthetic evaluation lies in whether the design is quoted in art books or displayed in museums or pavilions. 2. U.S. Copyright Law-The Prosperity of Separable Standards The copyright protection of the United States was first based on its constitution. In 1790, the United States promulgated the first copyright law. Later, after many amendments, the scope of its works became wider and wider. However, until 1909, the object of artistic works protected by its copyright law was limited to fine artistic works. In 1909, the United States copyright law explicitly used the term works of art (works of arts) and deleted the modified word fine (fine). This amendment of the United States copyright law shows the strong demand for copyright protection of industrial works of art. In fact, before this, the United States has begun to recognize that copyright protection can be granted to practical works of art, and should not be limited to fine works of art. During this period, the issue was hotly debated in the American theoretical circle, but the US Copyright Office, as an official institution, refused to provide copyright protection for practical works of art. The emergence of a landmark case to expand the object of copyright protection in 1954 completely changed the situation of serious differences before. This case is the Mazer v. Stein case. One of the main issues in the case was whether the dancer statue made in China was used as a table lamp base for copyright protection. The Supreme Court of the United States held that whether the dancer's statue is eligible for patent protection and whether it is installed on a desk lamp cannot prevent its copyright protection qualification; the intention or actual use of an industrial product cannot prevent its copyright protection qualification. In this case, the opinion of the Supreme Court of the United States completely removed the obstacles to the copyright protection of practical works of art, but the case did not specify the standard of copyright protection of practical works of art. In 1959, after the case, the U.S. Copyright Office issued regulations stipulating that if the shape of the actual product contains features such as artistic statues, curves, and drawings, the work can be registered when these features can be separated and independent as works of art. Since then, American legislation has borrowed the Italian standard of separability to distinguish practical works of art. The 1976 revision of the United States Copyright Act incorporated the contents of the 1959 statute, further clarified the separable standard, and described it in its entirety. Its 101st definition clause stipulates that paintings, graphics and sculptures contain practical works of art; For handicrafts, protect the shape of handicrafts rather than their mechanical or practical aspects; For the appearance design of practical products, if the painting, graphics and sculpture features contained in them can be separated and independent from the practical functions of practical products, the parts that can be separated and independent will be protected. The United States Copyright Act of 1976 establishes the separable standard in the form of an act. In the congressional report of the bill, it is particularly prominent that it is clear that separable includes physically separable (physical separability) and conceptually separable (conceptual separability), as long as one of them is satisfied. Although the United States Copyright Act of 1976 seems to clarify the standard of separability, it is completely impossible to find how to judge the conditions or methods of separability, especially the concept of separability, from the expression of its legislative provisions. Relatively speaking, physical separation is better understood, which means that the part as an artistic feature can be cut from its practical part. Or remove the practical part, the part of the artistic feature can exist independently. For example, the jewelry design on the belt, the separation of the jewelry design from the belt does not damage the practical function of the belt; Another example is the Mazer v. Stein case in 1954, the dancer statue can be cut out of the table lamp. Conceptually separable means that although the artistic features of a practical product cannot be physically separated, it can also be protected by copyright if it can be conceptually separated from the practical function. For example, the pattern carved on the vase can be used on the thermos. Although in many cases the pattern cannot be cut from the vase, it can be conceptually separated and used on other bottles. Relatively speaking, concept separability is a very abstract concept, which often gives us the feeling that we seem to understand its connotation, but when we encounter specific cases, it is vague and specious. For example, the shape of a vase is both beautiful and suitable for flower arrangement. At this time, the shape of beauty can also be applied to other bottles or jars. Generally speaking, it can be separated conceptually, but it is not easy to judge whether it is a concept separable in US copyright law. So far in the United States theory, legislation and judicial circles have not formed a unified concept can be separated to define the standard, but formed a large number of methods. For example, in the new Varsity Brands case in the United States in 2015, the Sixth Circuit Court of the United States summarized nine conceptual separable judgment methods; and scholar Shah Shahani (Sepehr Shahshahani) summarized 10 methods. Comprehensive American reality.

[  摘要  ]

对于实用艺术的著作权保护,形成了艺术统一和艺术分离两种理论,在此基础上出现了认定实用艺术品著作权保护资格的三种基本标准: 艺术统一、可分离或高阶层。相较而言,高阶层标准与工业艺术发展的时代相背离,有逐渐被放弃的趋势;可分离标准存在模糊不清和不确定性的较大缺陷;而艺术统一标准简洁明确,更符合工业艺术发展的潮流,更尊重智力劳动成果,实践也证明其能够在很大程度上激励实用艺术产业的发展。目前我国著作权立法中对于实用艺术品的保护不明确;司法实践也比较混乱,形成了公众认知标准、可分离标准、美学意义的创作统一标准等标准;理论界更多主张采用可分离标准,但是缺乏充分的研究和论证。我国目前已成为制造业大国,正向创新型经济转型,这即为实用艺术的著作权保护提供了物质基础,又提出了保护的高要求。在这一背景下,我国著作权法修订适宜选择艺术统一标准,对于具有原创性的实用艺术品予以著作权保护;同时向可分离和高阶层标准妥协,对于一般的实用艺术品给予较短的25年保护期限,对于艺术程度较高的实用艺术品给予等同纯艺术品的保护期限;对于艺术特征完全或者极致地受实用功能支配的实用艺术品不给予著作权保护。

 

[关键词]  实用艺术品 著作权 艺术统一 可分离 高阶层

 

一、问题的提出

 

传统的著作权法采用了严格的艺术与实用二分法,保护的客体是纯艺术或精美艺术作品(works of pure or fine art)。这一理论在工业初期及更早的时代可能更合适,那时实用品和艺术品的分离更为明显;满足衣食住行的物欲产品并不具有很强的艺术性,如衣服是粗布麻衣即可,缺少精美的颜色、图案和形状;满足审美的精神产品实用功能较少,如文学、绘画和雕塑等。但是随着现代化的发展,实用品越来越精美;如移动电话,较早的是笨重的大块头模式,但是现在却有各式各样的形状、颜色及精美装饰。随着艺术在实用领域的广谱,越来越多带有审美价值的实用品提出了强烈的著作权保护要求,因此著作权法面临保护客体的变革。较早立法变革的国家是法国,1902年其对版权法修改,明确规定:不管作品的目的如何,装饰品的雕刻及设计应受保护。这一变革也逐渐反映在国际条约中,在1948年召开的修订伯尔尼公约的布鲁塞尔大会上,实用艺术作品(works of applied art)被明确纳入著作权保护客体;而在之前1909年伯尔尼公约修订的柏林大会上,实用艺术作品的客体资格却被众多成员反对。1948年后伯尔尼体系的国家越来越多将实用艺术作品纳入著作权保护客体。虽然当前实用艺术作品的可版权性已很少被质疑,但是其可版权的资格条件及保护标准并没有在国际社会中达成一致。综合而言,目前实用品可版权的资格标准主要有三种:艺术统一、可分离或高阶层。

 

在我国,早期的著作权法并没有将实用艺术品作为作品对待。1992年随着我国加入伯尔尼公约,我国颁布了《实施国际著作权条约的规定》,其第6条规定:”对外国实用艺术作品的保护期,为自该作品完成起二十五年。美术作品(包括动画形象设计)用于工业制品的,不适用前款规定。”该法规虽然规定了实用艺术作品的著作权保护资格,但是明确限于外国作品,另外也没有规定实用品成为作品的具体判断标准。对于国内实用艺术作品,其作品资格在立法中一直没有明确。不过在司法实践中,许多法院利用了扩大解释的方式,将实用艺术作品纳入美术作品来保护,但是采用的判断标准非常混乱。目前我国正在进行《著作权法》第三次修订,在国务院发布的《中华人民共和国著作权法(修订草案送审稿)》中,明确将实用艺术作品作为作品的一种类型,规定:“实用艺术作品,是指玩具、家具、饰品等具有实用功能并有审美意义的平面或者立体的造型艺术作品”。但是该草案并没有明确实用艺术作品的资格条件。那么在该立法通过后我国仍然面临目前司法实践中混乱局面。因此实用品之著作权保护资格依然是我国著作权法领域亟需研究的一个课题;需要在比较可分离、高阶层、艺术统一等标准的基础上,根据我国目前的形势,提出合理可行的实用品著作权保护资格基准。

 

二、三标准溯源

 

(一)艺术统一标准

 

早先法国法也秉承纯艺术和实用艺术(applied art)的严格区分,实用品外观设计作为工业艺术并不受1793年著作权法保护,而受1806年外观设计法的保护。对于二者的区分,法国司法实践也发展了许多标准。如:产品生产过程是否是机械的,如果是机械的属于实用艺术品,不受著作权法保护;工业目的标准,若目的是用于工业的外观设计不受版权法的保护;艺术特征标准,由法官通过审美的角度来判断产品艺术层次。这些标准均存在众多缺陷,很容易导致主观武断。如机械生产的或用于工业目的的产品并不意味就不具有艺术性;由法官进行审美判断会带来主观随意性。在这些反对声音中“艺术统一”(unity of art)理论逐渐发展起来,出现了一些代表性学者,如尤金•鲍伊莱(Eugene Pouillet),认为在美和不美之间很难划一条清楚的界线,单纯因为实用品的实用性否认其艺术性并不合理。随着工业艺术的大发展,艺术统一理论在法国逐渐占据上风,1902年法国著作权法进行了修订,将装饰品列为版权保护客体,而不管其目的如何。1909年进一步修订,将所有实用品外观设计纳入版权保护客体,不管其实用品的性质、艺术特征及性质如何。此后法国著作权法一直秉持艺术统一理论,不仅明确将实用艺术品列为作品,还特别将季节性服饰工业制品列为作品。

 

不过法国的艺术统一标准并不意味着毫无条件接受一切实用艺术品,根据法国的司法实践,对于完全(entirely,exclusively或solely)受功能支配(dictate)的外观设计排除在著作权法保护之外。

 

(二)可分离标准

 

可分离标准是指实用品外观所体现的艺术部分与实用品的实用功能从物理上或概念上分离,那么实用品外观将得到著作权法保护。可分离标准较早发展于意大利,后被许多国家采用,下文选择部分典型国家来阐释可分离标准体系的发展。

 

1、意大利著作权法——可分离标准立法的缘起

 

意大利可分离标准的理论(the theory of dissociation)是与法国的艺术统一理论的争论中发展起来的,这种理论被称为艺术与实用相分离的理论(duality of art),其代表学者是皮奥拉•卡塞利(Piola-Caselli),该理论主张艺术和实用是分离的,实用品不能获得著作权的保护。早在1925年的意大利版权法中,艺术统一理论还得到了支持,但是在司法实践中,意大利的高等法院却采纳了皮奥拉•卡塞利的观点;1940年意大利外观设计法明确装饰设计和模型不能获得著作权法保护,坚定了艺术与实用相分离的观点。不过紧随其后,1941年的意大利著作权法却对其进行了修改,对于实用品的艺术价值能够与工业特征相分离的部分赋予了著作权保护资格,这就是意大利的可分离标准(scindibile)。意大利的可分离标准既包含物理可分离方法也包含概念可分离方法;如佛罗伦萨洗礼堂门上的人物雕像即使嵌入其他媒介将依然保持其艺术特征,这就是物理可分离;切里尼做的盐瓶的构造毫无疑问可以用到糖果瓶或墨水瓶上,这就是概念上可分离;不过意大利的概念可分离范围非常狭窄,实践中几乎排除所有立体设计。 

 

1998年欧共体通过了《外观设计法律保护指令》(Directive 98/71/EC),将外观设计版权保护设为成员的强制义务,规定在成员国注册的外观设计应该也有资格获得其版权保护,但是保护的程度和保护的条件由成员国自己决定,实施该指令最迟截止期限是2001年。为实施该指令,2001年意大利修改了其著作权法,删除了可分离条件,并将明确具有创新和艺术价值的工业外观设计纳入版权保护的作品类别。在艺术价值方面,在司法实践中形成了艺术品质标准(artistic quality)。如何界定“艺术品质”在意大利引起了很多争议,也有很多解决方法提出,其中主要有两种被案例法所遵循。第一种方法是:创作目的判断,著作权授予属于同业艺术领域内的艺术者做出的外观设计并且实用品能够用艺术字眼来销售;第二种方法是外观设计应有较高的创造性,也就是其外观设计更易于吸引审美评价而不是实用功能评价,其审美评价的证据存在于外观设计是否在艺术书籍中引用或在博物馆或展馆中展示。 

 

2、美国著作权法——可分离标准的繁荣

 

美国的著作权保护首先基于其宪法,1790年美国颁布了第一部著作权法,后来经过多次修订,其作品的范围越来越广,不过直到1909年,其著作权法保护的艺术作品客体限于精美(fine)艺术作品。1909年美国著作权法明确使用了艺术品(works of arts)这一词汇,而删掉了精美(fine)这一修饰词,美国著作权法的这一修改显示了工业艺术品版权保护的强烈要求。实际上在此之前,美国已有司法判例开始承认著作权保护可以授予实用艺术品,而不应该仅限于精美艺术品。在这一段时期美国理论界就该问题陷于激烈争论中,不过作为官方机构美国版权局拒绝为实用艺术品提供著作权保护。1954年一个扩大著作权保护客体的标志性案例的出现,完全改变了之前严重分歧的局面。这个案例就是Mazer v. Stein案,该案的一个主要问题是:在中国制造的舞者雕像被用作台灯底座是否受著作权保护。美国最高法院认为:舞者雕像是否具备专利保护资格,是否安装在台灯上,均不能阻止其著作权保护资格;一件工业品的意图或实际用途也不能阻止其著作权保护资格。在该案中美国最高法院的意见完全消除了实用艺术品版权保护的障碍,不过该案并没有明确实用艺术品版权保护的标准。在该案后的1959年,美国版权局发布法规,规定如果实用品的形状包含艺术雕像、曲线、图画等特征,当这些特征能够作为艺术品被分离出来和独立存在,可以进行作品登记。自此,美国立法借用了意大利的可分离标准来区分实用艺术品。1976年美国版权法修订,吸收了1959年法规的内容,进一步明确了可分离标准,并且对其进行了完整描述。其第101定义条款中规定:绘画、图形、雕刻作品包含实用艺术品;对于工艺品,保护工艺品的形状而不是其机械或实用方面;对于实用品的外观设计,如果其包含的绘画、图形、雕刻特征能够与实用品的实用功能分离和独立存在,保护能够分离和独立存在的部分。1976年美国版权法以法案的形式确立可分离标准。在该法案的国会报告中,特别突出的是:明确了可分离包含物理可分离(physical separability)和概念可分离(conceptual separability),只要满足其一即可。 虽然1976年美国著作权法看似明确了可分离标准,但是从其立法条款的表达中完全找不到如何判断可分离的条件或方法,特别是概念可分离的判断。相对而言物理可分离较好理解,是指作为艺术特征的部分能够与其实用的部分切割;或者去掉其实用的部分,艺术特征的部分能够独立存在。如腰带上的珠宝设计,珠宝设计从腰带上分开并不损害腰带的实用功能;再如1954年的Mazer v. Stein案,舞者雕像能够从台灯中切割出来。概念可分离是指实用品的艺术特征部分虽不能从物理上分离,如果其从概念上可与实用功能分离,也可以获得著作权保护。如雕刻在花瓶上的图案可以用在保温瓶上,虽然很多情况下图案不能从花瓶上切割出来,但是从概念上可以分离,用在其他瓶子上。相对而言概念可分离是个非常抽象的概念,给我们的感觉经常是:好像是明白了其内涵,但是碰到具体案例却又模糊不清、似是而非。如花瓶的造型既很美又适合于插花,此时美的造型也能够应用于其他瓶子或罐子,一般意义上讲可以从概念上分离,但是其是否构美国著作权法上的概念可分离并不容易判断。迄今在美国的理论、立法和司法界均未形成统一的概念可分离界定标准,而是形成了众多的方法。如在美国2015年新发生的Varsity Brands案中,美国第六巡回法庭总结了9种概念可分离判断方法;还有学者沙赫沙哈尼(Sepehr Shahshahani)总结了10种方法。综合美国的实践,概念可分离的判断准则主要有:

 

(1)美国版权局的肩并肩方法

 

美国版权局对概念可分离作了较为详细的解释,其采用的准则是:只要艺术特征和实用品能够并存(exist side by side),能够视作各自独立的物品,一件是艺术品,一件是实用品;例如印制在衬衫上的艺术作品、装饰在购物袋上的彩色图案、壁纸上图画,椅子内的雕刻等等。 

 

(2)主辅分离方法

 

主辅分离法(Primary/Subsidiary)是美国第二巡回法庭在1980年的Kieselstein-Cord案中提出的。在该案中,一个珠宝设计了装饰性腰带搭扣,并在商业上获得成功,有其他公司随之进行了仿冒,设计者认为仿冒公司侵犯其著作权并起诉到地区法院,地区法院支持仿冒者,设计者上诉到第二巡回法庭,第二巡回法庭认为带扣装饰特征是主要的,能够从其辅助的实用功能中分离,因此设计者应该享有著作权,这就是主辅分离法,如果实用品或其一部分的艺术功能是主要的,而实用功能是辅助的,两者能够分离,那么实用品或其一部分应该受版权保护。

 

(3)客观需要或者形影不离方法

 

客观需要或者形影不离方法由美国第二巡回法庭在1985年的Barnhart案中提出。在该案中,Carol Barnhart公司制作了仿真人体躯干模特来展示衣服,并取得了著作权登记,其中两个裸体模特和两个雕有衬衫的模特,后来有其他公司仿制了这些模特,Carol Barnhart公司以著作权被侵犯为由起诉到法院。第二巡回法庭认为该案情形和Kieselstein-Cord案完全不同,在Kieselstein-Cord案,实用品的艺术特征整体上不需要实施其实用功能,而在本案中艺术与实用功能却不可脱离的纠缠在一起(inextricably intertwined),因此不能获得著作权保护。这就是形影不离方法,是指实用功能和艺术功能相互需要,纠缠在一起而不能脱离。

 

(4)普通理性观察者或者暂时移走方法

 

在Barnhart案中,纽曼(Newman)法官提出了不同意见,并对其进行了详细阐释,这样就形成了普通观察者或者暂时移走方法。该方法是从普通和理性的观察者角度来解释概念可分离,认为实用品的艺术特征应该在普通理性人(ordinary, reasonable observer)的思维中引发一个区别于实用功能的观念,这两种观念并不是不可避免的同时接受,而是艺术特征的观念能够暂时移走(temporal displacement)实用功能观念,这样才能构成概念可分离。在Barnhart案中,纽曼(Newman)法官认为:对于两个裸体的人体模特观察者的第一印象更倾向于艺术品,即使观察者知道其是用来展示衣服,也不能驱走其艺术品的观念;而对于两个刻有衣服的人体模特,观察者思维中更多地会产生实用功能概念,即使激起艺术观念,艺术观念也不能移走实用观念。

 

还有三种方法与该方法相类似,一种是二元标准(duality test),一种是赖特标准(Wright test),一种是两步走方法(two-step test)。二元标准由教授珀尔马特(Shira Perlmutter)提出,放宽纽曼法官的标准,认为实用品能够激起普通观察者的艺术观念和实用观念的双重观念,就构成概念可分离。赖特标准由莱特基金(Frank Lloyd Wright Foundation)提出,认为只要普通观察者认为存在可分离的艺术因素就构成概念可分离。两步走方法第一步是普通的观察者是否认为存在艺术特征,第二步是如果是那么该艺术特征是否受功能特征支配,如果不受支配则构成概念可分离。

 

(5)设计过程或概念可分离谱系方法

 

设计过程(design–process)或概念可分离谱系(pectrum of conceptual separability)方法由德尼古拉(Robert C. Denicola)教授提出,在美国第二巡回法庭1987年审理的Brandir案中采用。这种方法要求实用品的外观设计过程中实用功能的考虑不能影响其艺术特征的考虑,如果外观设计的因素是功能和艺术考虑的合体,那么不能构成概念可分离,如果外观设计因素反映的是设计者不受功能影响的独立的艺术判断,那么构成概念可分离。

 

(6)独立方法或同等有用方法

 

同等有用方法(Equally Useful Test)由教授戈德斯坦(Paul Goldstein)提出,如果实用品的艺术特征能够独立被视为传统上的艺术品,或者使用艺术品去掉了艺术特征有同样实用功能,那么构成概念可分离。同等有用方法被美国第七巡回法庭在审理的Pivot Point案中采用,发展成为独立方法,法庭认为如果可版权的特征材料被去掉实用品的实用功能仍完好无损,那么构成概念可分离。

 

(7)适销性方法

 

适销性方法由尼莫(Nimmer)教授提出,被美国第四、五、九巡回法庭采用过。适销性方法是指一件实用品即使没有实用功能,仅仅它的艺术品质仍然使它有很大可能在部分大众中有销路。

 

(8)帕特里方法

 

帕特里方法由教授帕特里(William Patry)提出,该方法认为概念可分离是指实用品的艺术特征能够与其实用特征相分离,而不是与实用品本身相分离,判断的关键是实用品的艺术特征是否被其功能支配,如果实用功能而不是审美功能支配了艺术特征,那么不构成概念可分离。

 

(9)主客观方法

 

主客观方法由凯斯(Barton R. Keyes)提出,概念可分离方法应该平衡艺术表达保护需要和产品广泛被公众获得的需要,因此应该采用两因素平衡法(two-factor

balancing test),这种平衡需要考虑两方面:一是设计者主观思考被审美目标激发的程度,二是实用品实用功能对设计的支配程度。第一个因素需要估量审美思考或功能思考对设计激发的程度,如果审美思考程度高,那么存在概念可分离的可能。第二个因素需要估量实用功能对外观设计的支配程度,如果实用功能很大程度上(mostly)支配了外观设计,那么不构成概念可分离,如果实用功能很小程度上支配外观设计,则存在概念可分离。

 

3、可分离标准的蔓延

 

可分离标准在很多国家得到了发展,如韩国、日本。韩国著作权法规定实用艺术品是指艺术品的形状能够被复制在实用品上,并且其独创性能够与这些实用品区分,实用艺术品包含外观设计等。在日本的著作权法中,其第2条第2款明确美术作品包含美术工艺品。但是日本著作权立法也没有明确规定什么样的作品是美术工艺品。为此日本的学术界对此也争论不断。不过在司法实践中,实用艺术品的著作权保护资格已经明确,并形成了系统判断标准。如1989年日本大阪高等法院在“食玩模型”案中认为:具有这样一种美术性,即与实用性和机能性相分离,可以作为独立的审美鉴赏对象,以至于具有审美感觉的一般人看来,具有了能与纯粹美术品同样程度美的创作性,如此可以作为美术作品受到著作权法保护。根据该案说理,美术工艺品作为美术作品保护的资格有两个基本条件:第一是艺术性与实用性相分离;第二是达到纯粹美术品的创作高度。对于可分离的判断标准在日本司法实践中更多地采用了客观标准。如1981年日本东京地方法院在“美国T恤案”中认为,被印制在T恤上的图画,并非因为被印制在体恤上这一实用目的,而在美的表达上受到实质制约,因此可以认为其是追求美的目的而制作。可以看出,在该案中可分离的判断标准是美之目的不受实用目的的实质制约。

 

(三)高阶层标准

 

1、德国的高阶层标准

 

德国传统上否认一般外观设计的著作权保护资格,例如假花设计一直不受著作权保护。在1909年伯尔尼公约修订的柏林大会上,法国力图劝说其他成员国同意装饰品外观设计的著作权保护资格,而不管其目的和特性如何;但是德国和意大利却不同意,认为工业外观设计涉及工业程序而不是为了艺术而艺术,给予其更长的版权保护期限将阻碍竞争。虽然德国原则上反对外观设计的著作权保护资格,但也有例外,对于显著超过普通设计原创性的外观设计可以给予著作权保护,这就是高阶层标准(stufentheorie,doctrine of levels)。根据高阶层标准,将设计技艺分为三层:第一层是普通水平技艺(average level of designer skill),第二层是超过普通水平的技艺,第三层是显著超过普通水平的技艺(substantially exceeding the average level of designer skill);仅有第三层的外观设计才能得到著作权保护。高阶层标准显然仅保护能被接受为艺术的最顶尖水平的工业设计技艺,这样绝大多数外观设计将被拒之于著作权保护门外。

 

德国高阶层标准的理论是在与法国艺术统一标准的争论中产生的,这一理论被称为技艺努力理论(Leistungsschutz,the theory of skilled efforts),提出这一理论的代表学者是海因里希·胡布曼(Heinrich Hubmann)。根据这一理论,著作权并不一般地授予智力努力,无论其技艺如何,而是授予创造性(creative)的作品,创造性在于作品体现了人文精神的个性;对于工业艺术品,本身包含了公共领域内容,因此其体现个性特征应该更强。

 

不过最近几年,德国判例对于是否坚持高阶层标准已经逐渐松动,特别是2013年德国最高院的一个判例(case I ZR 143/12)。该案例中原告设计了一款名为“生日火车”的玩具,该玩具是带有七个车厢的木头火车,每节火车厢上能够放置数字和糖果。被告获得原告授权制造该款玩具火车,并取得出人意料的成功;原告基于版权法要求额外的版税,最后起诉到法院;德国基层法院基于以前判例确定的标准,认为该案中设计技艺相对简单的玩具火车不具有版权保护资格;而德国最高法院认为产品外观排除在版权之外或者对其要求更高的版权保护条件并不适当。该案虽然并没有明确实用艺术品版权保护的具体“原创”条件,但是表明了产品外观的版权保护不需要比一般作品更高的条件。虽然该判例需要较长时间的进一步验证,但是因为该判例属于德国最高级别法院的判例,其判决结果将会被以后的案例沿袭,因此该判例开启了德国实用艺术作品版权保护的重构。

 

2、英国的艺术品质标准

 

基于19世纪后期的“艺术与工艺运动”(the Arts and Crafts Movement)以及1908年伯尔尼公约的柏林修订,英国1911年版权法中开始将实用品纳入版权保护,不过英国法中并没有采用“实用艺术品”(works of applied art),而是使用了范围更窄的工艺品(works of artistic craftsmanship)这一词汇。英国在认定工艺品的版权资格时采用了匠艺(Craftsmanship)和“艺术品质”标准(artistic quality test)。在艺术品质标准的具体方法上,采用了公众审美方法、作者创作意图、专家评价、功能约束等标准。匠艺意味着制作者应有特殊训练、技巧和知识。对于工艺品是否应是手工制作,英国的司法实践有较大争议,在部分案例中匠艺(craftsmanship)被认为应该来源于手工,不过也有法官支持大规模制作的工艺品也可作为艺术品;对于工艺品是否应该由“工匠”(craftsman)制作也是个争议较大的问题。不仅如此,长期以来,英国著作权法对于用于工业的艺术品设计的保护期限也大大低于一般作品的保护期限。根据1988年英国《著作权、设计与专利法案》规定,艺术品的设计,在版权人或其授权的人以工业方法复制制作物品并销售时,自该制作的物品首次市场销售之后满25年,任何基于该设计的物品制作行为,不再构成对该设计的著作权侵犯。1988年英国著作权法既满足了《伯尔尼公约》保护期限的要求,又对实用艺术品外观设计的保护进行了限制。从上述英国的立法和司法实践可以看出,英国法对于实用艺术品的著作权的适格性极为苛刻。

 

不过,随着英国创新经济和绿色经济发展战略的调整,为促进企业服务于该发展目标,2013年英国颁布《企业和规制改革法案》(Enterprise and Regulatory Reform Act),变革原有的法律规则,其中包含现代化版权框架,力图通过促进企业公平竞争、鼓励企业创新等措施来实现长期持续发展的绿色经济目标。同时基于1998年欧共体《外观设计法律保护指令》以及2011年欧盟法院裁决的Flos案,《企业和规制改革法案》对1988年《著作权、设计与专利法案》部分条款进行了修改,明确规定删除其52条,这样艺术品外观设计25年的保护期限得以废除,艺术品外观设计不管是否用于工业将与一般作品一样获得作者一生加70年的保护期限。

 

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