A Legal Framework for Global Joint Copyright Management in Musical Works – Based on Rawls’s Theory of Justice by Zhiqin Wu A THESIS SUBMITTED FOR THE DEGREE OF DOCTOR OF PHILOSOPHY (PHD) IN THE LAW SCHOOL, LANCASTER UNIVERSITY, UK (March 2018) © Zhiqin Wu DECLARATION I confirm that the thesis is my own work, that is has not been submitted in substantially the same form for the award of a higher degree elsewhere, and that all quotations have been distinguished and the sources of identification specifically acknowledged. 2 ABSTRACT The present music market has shown an imbalance of interests in terms of economic, social and cultural interests. The present research has found that joint music copyrights management is responsible for this issue. Joint management organisations (JMOs) are competing with each other in an unfair market worldwide due to the lack of harmonised rules to standardize their behaviours. It is imperative to establish a promising international copyright legal framework for regulating their behaviours, providing a fairer and common arena for both CMOs and IMEs, enabling JMOs to fulfil multiple functions so as to strike a real balance of interests between copyright stakeholders in music industry. It would also facilitate the cross-border flow of musical works in the digital era where copyrighted musical works flow across borders easily. The proposed theoretical framework is formulated on the basis of Rawls’s justice theory which provides powerful and systematic explanation and standards to evaluate and design JMOs’ functions. The standard of multi-objective, named economic, social and cultural objectives, is proposed for balancing interests at stake, more precisely, justifying the interests of the least well-off. Therefore, this thesis examines and investigates the issues of unbalanced interests existing in cross-border copyright licensing in musical works and, accordingly, proposes to design a fairer copyright legal framework aiming to fulfil the multi-objective of copyright – economic fairness, social justice and culture diversity. 3 ACKNOWLEDGEMENTS AND DEDICATION I would like to express my deepest appreciation to my supervisors, Dr Catherine Easton and Dr Bela Bonita Chatterjee. They have provided me with precious help, encouragement, patience, and valuable comments. Without their support, this thesis could never have been completed. I would also like to thank all my colleagues at Lancaster University who have supported me throughout the PhD process. I would especially like to thank Professor Ming Du for his loving inspiration and encouragement on my PhD project. And a special thanks to my dear colleagues, Sigrun Larsen, Pataramon Satalak, and Siobhan Smith who always offered their help. I am also indebted to all the people for various reasons related to this project, all of whom deserve special thanks. Furthermore, I would like to acknowledge with gratitude, the support and love of my family – my parents and sisters. The sincere thanks coming from the bottom of my heart is for my loving mother who is always the person encouraging me and keeping me going in my life. Finally, I would especially like to thank my partner James who has offered lots of precious time and patience to listen to me talking about some strange ideas, and provided support for my project. He has been the one who has witnessed each step of progress on my PhD study. 4 List of Abbreviations CC Creative Commons CCM Collective Copyright Management CRM Collective Rights Management CDPA Copyright, Designs and Patent Act (United Kingdom) CISAC International Confederation of Societies of Authors and Composers CMO Collective Management Organisation DRM Digital Rights Management EC European Commission EU European Union GRD Global Repertoire Database ICE International Copyright Enterprise IFLA the International Federation of Library Associations and Institutions IFPI International Federation of the Phonographic Industry IFRRO International Federation of Reproduction Rights Organization IMEs Independent Management Entities IP Intellectual Property IPRs Intellectual Property Rights ISP Internet Service Provider JCM Joint Copyrights Management JMO Joint Management Organisation LEs Limitations and Exceptions NGO Non-Governmental Organisation P2P Peer-to-peer PLR Public Lending Right TPMs Technical Protective Measures TRIPS Agreement on Trade-Related Aspects of IP Rights UDHR Universal Declaration of Human Rights UK United Kingdom UN United Nations 5 UNESCO United Nations Educational, Scientific and Cultural Organization US United States WCT WIPO Copyright Treaty WTO DRM WTO Dispute Resolution Mechanism WIPO World IP Organization WPPT WIPO Performances and Phonograms Treaty WTO World Trade Organization 6 Contents ................................................................................................................................................................. 1 A LEGAL FRAMEWORK FOR GLOBAL JOINT COPYRIGHT MANAGEMENT IN MUSICAL WORKS – BASED ON RAWLS’S THEORY OF JUSTICE ................................................................. 1 DECLARATION .................................................................................................................................... 2 ABSTRACT............................................................................................................................................ 3 ACKNOWLEDGEMENTS AND DEDICATION .............................................................................. 4 LIST OF ABBREVIATIONS ................................................................................................................ 5 CONTENTS ........................................................................................................................................... 7 CHAPTER 1 – INTRODUCTION ..................................................................................................... 12 1.1 OVERARCHING BACKGROUND ............................................................................................... 12 1.2 THE RESEARCH AIM AND HYPOTHESIS ........................................................................................ 15 1.3 CLARIFICATION OF SOME TERMINOLOGIES IN THIS RESEARCH............................................. 16 1.4 EXISTING LITERATURES .......................................................................................................... 17 1.4.1 Studies on Joint Copyrights Management in Musical Works ................................................ 17 1.4.2 Research on JMOs’ Functions............................................................................................... 19 11.4.3 Harmonisation of Legislation at the Global Level .............................................................. 23 1.4.4 Summary ................................................................................................................................ 26 1.5 RESEARCH OBJECTIVES .......................................................................................................... 28 1.6 METHODOLOGY – MIXED-METHOD APPROACH ..................................................................... 29 1.7 OVERVIEW OF CHAPTERS ....................................................................................................... 32 CHAPTER 2 – THEORETICAL FRAMEWORK FOR COPYRIGHT LEGAL FRAMEWORK IN MUSICAL WORKS ....................................................................................................................... 36 2.1 INTRODUCTION ............................................................................................................................. 36 2.2 EXISTING THEORIES TO COPYRIGHT LAW .................................................................................... 37 7 2.3 RETHINKING THE ROLE OF COPYRIGHT ....................................................................................... 43 2.3.1 Why do Music Creators Create? ........................................................................................... 43 2.3.2 The Role of Copyright Legal System ..................................................................................... 46 2.4 RAWLS’S JUSTICE THEORY AND THE COHERENT COPYRIGHT LEGAL FRAMEWORK IN MUSIC WORKS ............................................................................................................................................... 47 2.5 MULTIPLE VALUES AND OBJECTIVES ........................................................................................... 51 2.5.1 Essential Values of Cultural Goods in General .................................................................... 51 2.5.2 Multiple Values of Musical Goods in Particular................................................................... 53 2.5.3 Increasing Economic, Social and Cultural Capitals ............................................................. 57 2.5.4 Multi-Objective to Copyright Legal Framework in Musical Works ..................................... 60 2.6 CONCLUSION ................................................................................................................................ 61 CHAPTER 3 – FUNCTIONALISING JOINT COPYRIGHTS MANAGEMENT ORGANISATIONS IN MUSICAL WORKS .................................................................................... 63 3.1 INTRODUCTION ............................................................................................................................. 63 3.2 JOINT COPYRIGHTS MANAGEMENT ORGANISATIONS IN MUSICAL WORKS AT GLOBAL LEVEL .. 65 3.2.1 Collective