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THEWIPOCOPYRIGHTTREATY(WCT)AND

THEWIPOPERFORMANCESANDPHONOGRAMSTREATY(WPPT)

DocumentpreparedbytheInternationalBureauofWIPO

TABLEOFCONTENTS

Page

A.

THEWIPOCOPYRIGHTTREATY ........................................................................................ 2

I.

INTRODUCTION ............................................................................................................ 2

II.

LEGALNATUREOFTHEWCTANDITSRELATIOSHIPWITHOTHER

INTERNATIONALTREATIES ...................................................................................... 3

III. SUBSTANTIVEPROVISIONSOFTHEWCT.............................................................. 4

1.

Provisionselatingtotheso-calleddigitalagenda................................................ 4

a. StorageofWorksinDigitalForminanElectronicMedium:the

ScopeoftheRightofReproduction .............................................................. 5

b. TransmissionofWorksinDigitalNetworks;theSo-CalledUmbrella

Solution ........................................................................................................ 5

c. LimitationsandExceptionsintheDigitalEnvironment ............................... 7

d. TechnologicalMeasuresofProtectionandRightsManagement

Information .................................................................................................... 7

2.

Othersubstantiveprovisions ................................................................................... 8

a. CriteriaofEligibilityforProtection;CountryofOrigin;National

Treatment;FormalityFreeProtection;PossibleRestrictionof

(Backdoor)ProtectioninRespectofWorksofNationalsofCertain

CountriesNotPartytotheTreaty .................................................................. 8

b. SubjectmatterandScopeofProtection;ComputerPrograms;

Databases ....................................................................................................... 8

c. RightstobeProtected;theRightofDistributionandtheRightof

Rental ............................................................................................................. 9

d. DurationofProtectionofPhotographicWorks ...........................................10

e. LimitationsandExceptions .........................................................................10

f.
ApplicationinTime .....................................................................................11

g. EnforcementofRights .................................................................................11

IV. ADMINISTRATIVEPROVISIONSANDFINALCLAUSES ....................................11

V.

CURRENTSTATUSOFTHEWCT.............................................................................12

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B. THEWIPOPERFORMANCESANDPHONOGRAMSTREATY.......................................12

I.

INTRODUCTION ..........................................................................................................12

II.

LEGALNATUREOFTHEWCTANDITSRELATIOSHIPWITHOTHER

INTERNATIONALTREATIES ....................................................................................13

III.

SUBSTANTIVEPROVISIONSOFTHEWPPT............................................................ 14

1.

Provisionselatingtotheso-calleddigitalagenda................................................ 14

a.
Definitions ..................................................................................................... 14

b. StorageofPerformancesandPhonogramsinDigitalForminan

ElectronicMedium:theScopeoftheRightofReproduction ...................... 14

c. TransmissionofPerformancesandPhonogramsandinDigital

Networks;theSo-CalledUmbrellaSolution............................................. 15
d. LimitationsandExceptionsintheDigitalEnvironment ............................... 16
e. TechnologicalMeasuresofProtectionandRightsManagement
Information .................................................................................................... 18

2.

Othersubstantiveprovisions ................................................................................... 17

a.
CriteriaofEligibility...................................................................................... 18

b.
NationalTreatment ........................................................................................ 18

c. CoverageoftheRightsofPerformers ........................................................... 18

d.
MoralRightsofPerformers ........................................................................... 19

e. EconomicRightsofPerformers..................................................................... 19

f.
RightsofProducersofPhonograms .............................................................. 19

g.
RighttoremunerationforBroadcastingandCommunicationtothe
Public ............................................................................................................. 20

h. LimitationsandExceptions ........................................................................... 20

i.
TransferabilityofRights ................................................................................ 21

j.
TermofProtection ......................................................................................... 21

k
Formalities ..................................................................................................... 21

l.
ApplicationinTime ....................................................................................... 21

o. EnforcementofRights ................................................................................... 21

IV. ADMINISTRATIVEPROVISIONSANDFINALCLAUSES ...................................... 22

V.

C.

CURRENTSTATUSOFTHEWPPT ............................................................................. 22

CONCLUSION .......................................................................................................................... 22

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A.THEWIPOCOPYRIGHTTREATY

I.

INTRODUCTION

1.
TheBerneConventionfortheProtectionofLiteraryandArtisticWorks(hereinafter:
theBerneConvention),afteritsadoptionin1886,wasrevisedquiteregularly,
approximatelyevery20years,untilthetwinrevisionswhichtookplaceinStockholmin
1967andinParisin1971(twinrevision,becausethesubstantiveprovisionsofthe
StockholmActdidnotenterintoforce,but(withtheexceptionoftheprotocoltothatAct)
wereincorporatedpracticallyunchangedbytheParisAct,inwhichonlytheAppendix,
concerningnon-voluntarylicensesapplicableindevelopingcountries,includednew
substantivemodifications.)
2.
Therevisionconferenceswereconvened,ingeneral,inordertofindresponsestonew
technologicaldevelopments(suchassoundrecordingtechnology,photography,radio,
cinematographyandtelevision).
3.
Inthe1970sand1980s,anumberofimportantnewtechnologicaldevelopmentstook
place(reprography,videotechnology,compactcassettesystemsfacilitatinghometaping,
satellitebroadcasting,cabletelevision,theincreaseoftheimportanceofcomputerprograms,
computer-generatedworksandelectronicdatabases,etc.).
4.
Forawhile,theinternationalcopyrightcommunityfollowedthestrategyofguided
development,ratherthantryingtoestablishnewinternationalnorms.
5.
Therecommendations,guidingprinciplesandmodelprovisionsworkedoutbythe
variousWIPObodies(atthebeginning,frequentlyincooperationwithUnesco)offered
guidancetogovernmentsonhowtorespondtothechallengesofnewtechnologies.Those
recommendations,guidingprinciplesandmodelprovisionswerebased,ingeneral,on
interpretationofexistinginternationalnorms,particularlytheBerneConvention(forexample,
concerningcomputerprograms,databases,hometaping,satellitebroadcasting,cable
television);buttheyalsoincludedsomenewstandards(forexample,concerningdistribution
andrentalofcopies).
6.
Theguidancethusofferedinthesaidguideddevelopmentperiodhadanimportant
impactonnationallegislation,contributingtothedevelopmentofcopyrightalloverthe
world.
7.
Attheendofthe1980s,however,itwasrecognizedthatmereguidancewouldnot
sufficeanylonger;newbindinginternationalnormswereindispensable.

SamRicketsonusedthisexpressioninhisbookTheBerneConventionfortheProtectionof
LiteraryandArtisticWorks:1886-1986,Kluwer,London,1986.Hewrotethefollowing:
In essence,guideddevelopmentappearstobethepresentpolicyofWIPO,whoseactivitiesin
promotingstudyanddiscussiononproblemareashavebeenoffundamentalimportanceto
internationalcopyrightprotectioninrecentyears.

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8.
Thepreparationofnewnormsbeganintwoforums.AtGATT,intheframeworkofthe
UruguayRoundnegotiations,andatWIPO,first,inonecommitteeofexpertsand,later,in
twoparallelcommitteesofexperts.
9.
Forawhile,thepreparatoryworkintheWIPOcommitteeswassloweddown,since
governmentsconcernedwantedtoavoidundesirableinterferencewiththecomplex
negotiationsonthetrade-relatedaspectsofintellectualpropertyrights(TRIPS)thentaking
placewithintheUruguayRound.
10. AftertheadoptionoftheTRIPSAgreement,anewsituationemerged.TheTRIPS
Agreementincludedcertainresultsoftheperiodofguideddevelopment,butitdidnot
respondtoallchallengesposedbythenewtechnologies,and,whereas,ifproperlyinterpreted,
ithasbroadapplicationtomanyoftheissuesraisedbythespectaculargrowthoftheuseof
digitaltechnology,particularlythroughtheInternet,itdidnotspecificallyaddresssomeof
thoseissues.
11. ThepreparatoryworkofnewcopyrightandneighboringrightsnormsintheWIPO
committeeswas,therefore,accelerated,leadingtotherelativelyquickconvocationofthe
WIPODiplomaticConferenceonCertainCopyrightandNeighboringRightsQuestionswhich
tookplaceinGenevafromDecember2to20,1996.
12. TheDiplomaticConferenceadoptedtwotreaties:theWIPOCopyrightTreaty
(hereinafteralsoreferredtoastheWCTorastheTreaty)andtheWIPOPerformances
andPhonogramsTreaty(hereinafterreferredtoastheWPPT).

II.

LEGALNATUREOFTHEWCTANDITSRELATIONSHIP
WITHOTHERINTERNATIONALTREATIES

13. ThefirstsentenceofArticle1(1)oftheWCTprovidesthat[t]hisTreatyisaspecial
agreementwithinthemeaningofArticle20oftheBerneConventionfortheProtectionof
LiteraryandArtisticWorks,asregardsContractingPartiesthatarecountriesoftheUnion
establishedbythatConvention.Article20oftheBerneConventioncontainsthefollowing
provision:TheGovernmentsofthecountriesoftheUnionreservetherighttoenterinto
specialagreementsamongthemselves,insofarassuchagreementsgranttoauthorsmore
extensiverightsthanthosegrantedbytheConvention,orcontainotherprovisionsnot
contrarytothisConvention.Thus,theabove-quotedprovisionofArticle1(1)oftheWCT
hasspecificimportancefortheinterpretationoftheTreaty.Itmakesclearthatno
interpretationoftheWCTisacceptablewhichmayresultinanydecreaseofthelevelof
protectiongrantedbytheBerneConvention.
14. Article1(4)oftheTreatyestablishesafurtherguaranteeforfullestpossiblerespectof
theBerneConvention,sinceitincludes,byreference,allsubstantiveprovisionsoftheBerne
Convention,providingthatContractingPartiesshallcomplywithArticles1to21andthe
AppendixoftheBerneConvention.Article1(3)oftheTreatyclarifiesthat,inthiscontext,
theBerneConventionmeansthe1971ParisActofthatConvention.Theseprovisionsshould
beconsideredinlightoftheprovisionsofArticle17oftheTreaty,discussedbelow,under
whichnotonlycountriespartytothesaid1971ParisAct,and,ingeneral,notonlycountries
partytoanyactoftheBerneConvention,butalsoanymembercountriesofWIPO,

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irrespectiveofwhetherornottheyarepartytotheConvention,andalsocertain
intergovernmentalorganizations,mayadheretotheTreaty.
15. Article1(2)oftheTreatycontainsasafeguardclausesimilartotheoneincludedin
Article2.2oftheTRIPSAgreement:NothinginthisTreatyshallderogatefromexisting
obligationsthatContractingPartieshavetoeachotherundertheBerneConventionforthe
ProtectionofLiteraryandArtisticWorks.Thescopeofthissafeguardclausediffersfrom
theparallelprovisionintheTRIPSAgreement.TheTRIPSsafeguardclausealsohas
importancefromtheviewpointofatleastonearticleoftheBerneConventionwhichcontains
substantiveprovisionsnamelyArticle6bisonmoralrightssincethatarticleisnotincluded
byreferenceintheTRIPSAgreement.Article1(2)oftheWCTonlyhasrelevancefromthe
viewpointofArticle 22to 38oftheBerneConventioncontainingadministrativeprovisions
andfinalclauseswhicharenotincludedbyreference(eitherintheWCTortheTRIPS
Agreement)andonlytotheextentthatthoseprovisionsprovideobligationsforContracting
Parties.
16. ThesecondsentenceofArticle1(1)oftheWCTdealswiththequestionofthe
relationshipoftheWCTwithtreatiesotherthantheBerneConvention.Itstatesthat[t]his
TreatyshallnothaveanyconnectionwithtreatiesotherthantheBerneConvention,norshall
itprejudiceanyrightsandobligationsunderanyothertreaties.TheTRIPSAgreementand
theUniversalCopyrightConventionsareexamplesofsuchothertreaties.
17. ItshouldalsobepointedoutthatthereisnospecificrelationshipbetweentheWCTand
theWPPTeither,andthelatterisalsoanothertreatycoveredbythesecondsentenceof
Article1(1)oftheWCT.ThereisalsonosuchrelationshipbetweentheWCTandtheWPPT
equivalenttothatbetweentheBerneConventionandtheRomeConvention.UnderArticle
24(2)oftheRomeConvention,onlythosecountriesmayadheretothatConventionwhichare
partytotheBerneConventionortheUniversalCopyrightConvention.While,inprinciple,
anymembercountryofWIPOmayaccedetotheWPPT,itisnotaconditionthattheybe
partytotheWCT(ortheBerneConventionortheUniversalCopyrightConvention).Itis
anothermatterthatsuchaseparateadherenceisnotdesirable,and,hopefully,willnottake
place.

III.

SUBSTANTIVEPROVISIONSOFTHEWCT
1.

Provisionsrelatingtotheso-calleddigitalagenda

18. Duringthepost-TRIPSperiodofthepreparatoryworkwhichledeventuallytotheWCT
andWPPT,itbecameclearthatthemostimportantandmosturgenttaskoftheWIPO
committeesandtheeventualdiplomaticconferencewastoclarifyexistingnormsand,where
necessary,createnewnormstorespondtotheproblemsraisedbydigitaltechnology,and
particularlybytheInternet.Theissuesaddressedinthiscontextwerereferredtoasthe
digitalagenda.
19. TheprovisionsoftheWCTrelatingtothatagendacoverthefollowingissues:
the rightsapplicableforthestorageandtransmissionofworksindigitalsystems,the
limitationsonandexceptionstorightsinadigitalenvironment,technologicalmeasuresof
protectionandrightsmanagementinformation.Asdiscussedbelow,therightofdistribution
mayalsoberelevantinrespectoftransmissionsindigitalnetworks;itsscope,however,is

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muchbroader.Therefore,and,alsoduetoitsrelationshipwiththerightofrental,therightof
distributionisdiscussedseparatelybelowalongwiththatright.
a.

StorageofWorksinDigitalForminanElectronicMedium:TheScopeofthe
RightofReproduction

20. AlthoughthedraftoftheWCTcontainedcertainprovisionsintendedtoclarifythe
applicationoftherightofreproductiontostorageofworksindigitalforminanelectronic
medium,intheend,thoseprovisionswerenotincludedintheTreaty.The Diplomatic
Conference,however,adoptedanAgreedStatementwhichreadsasfollows:The
reproductionright,assetoutinArticle9oftheBerneConvention,andtheexceptions
permittedthereunder,fullyapplyinthedigitalenvironment,inparticulartotheuseofworks
indigitalform.Itisunderstoodthatthestorageofaprotectedworkindigitalforminan
electronicmediumconstitutesareproductionwithinthemeaningofArticle9oftheBerne
Convention.
21. AsearlyasinJune1982,aWIPO/UnescoCommitteeofGovernmentalExp
erts
clarifiedthatstorageofworksinanelectronicmediumisreproduction,andsincethenno
doubthaseveremergedconcerningthatprinciple.ThesecondsentenceoftheAgreed
Statementsimplyconfirmsthis.Itisanothermatterthatthewordstoragemaystillbe
interpretedinsomewhatdifferingways.
22. Asfarasthefirstsentenceisconcerned,itfollowsfromitthatArticle9(1)ofthe
Conventionisfullyapplicable.ThismeansthattheconceptofreproductionunderArticle
9(1)oftheConvention,whichextendstoreproductioninanymannerorformirrespective
ofthedurationofthereproduction,mustnotberestrictedmerelybecauseareproductionisin
digitalformthroughstorageinanelectronicmemory,andjustbecauseareproductionisofa
temporarynature.At thesametime,italsofollowsfromthesamefirstsentencethat
Article 9(2)oftheConventionisalsofullyapplicable,whichoffersanappropriatebasisto
introduceanyjustifiedexceptionssuchastheabove-mentionedcasesoftransientand
incidentalreproductionsinnationallegislation,inharmonywiththethree-steptestprovided
forinthatprovisionoftheConvention.
b.

TransmissionofWorksinDigitalNetworks;theSo-calledUmbrellaSolution

23. Duringthepreparatorywork,anagreementemergedintheWIPOcommitteesthatthe
transmissionofworksontheInternetandinsimilarnetworksshouldbetheobjectofan
exclusiverightofauthorizationoftheauthororothercopyrightowner;withappropriate
exceptions,ofcourse.
24. Therewas,however,noagreementconcerningtherightorrightswhichshouldactually
beapplied,althoughtherightsofcommunicationtothepublicanddistributionwereidentified
asthetwomajorpossibilities.It was,however,alsonotedthattheBerneConventiondoesnot
offerfullcoverageforthoserights;theformerdoesnotextendtocertaincategoriesofworks,
whileexplicitrecognitionofthelattercoversonlyonecategory,namelythatof
cinematographicworks.
25. Differencesinthelegalcharacterizationofdigitaltransmissionswerepartlyduetothe
factthatsuchtransmissionsareofacomplexnature,andthatthevariousexpertsconsidered
oneaspectmorerelevantthananother.Therewas,however,amorefundamentalreason,

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namelythatcoverageoftheabove-mentionedtworightsdifferstoagreatextentinnational
laws.Itwasmainlyforthisreasonthatitbecameevidentthatitwouldbedifficulttoreach
consensusonasolutionbasedononerightovertheother.
26. Therefore,aspecificsolutionwasworkedoutandproposed;namely,thattheactof
digitaltransmissionshouldbedescribedinaneutralway,freefromspecificlegal
characterization,thatis,whichofthetwotraditionalrightsmentionedabovecoversit;that
suchadescriptionshouldbetechnology-specificand,atthesametime,shouldconveythe
interactivenatureofdigitaltransmissions;that,inrespectoflegalcharacterizationofthe
exclusiverightthatis,inrespectoftheactualchoiceoftherightorrightstobeapplied
sufficientfreedomshouldbelefttonationallegislation;and,finally,thatthegapsinthe
BerneConventioninthecoverageoftherelevantrightstherightofcommunicationtothe
publicandtherightofdistributionshouldbeeliminated.Thissolutionwasreferredtoasthe
umbrellasolution.
27. TheWCTappliesthisumbrellasolutioninaspecificmanner.Sincethecountries
whichpreferredtheapplicationoftherightofcommunicationtothepublicasageneraloption
seemedtobemorenumerous,theTreatyextendsapplicabilityoftherightofcommunication
tothepublictoallcategoriesofworks,andclarifiesthatthatrightalsocoverstransmissions
ininteractivesystemsdescribedinalegal-characterization-freemanner.Thisisincludedin
Article8oftheTreatywhichreadsasfollows:Withoutprejudicetotheprovisionsof
Articles11(1)(ii),11bis(1)(i)and(ii),11ter(1)(ii),14(1)(ii)and14bis(1)oftheBerne
Convention,authorsofliteraryandartisticworksshallenjoytheexclusiverightof
authorizinganycommunicationtothepublicoftheirworks,bywireorwirelessmeans,
includingthemakingavailabletothepublicoftheirworksinsuchawaythatmembersofthe
publicmayaccesstheseworksfromaplaceandatatimeindividuallychosenbythem.Asa
secondstep,however,whenthisprovisionwasdiscussedinMainCommitteeIofthe
DiplomaticConference,itwasstatedandnoDelegationopposedthestatementthat
ContractingPartiesarefreetoimplementtheobligationtograntexclusiverighttoauthorize
suchmakingavailabletothepublicalsothroughtheapplicationofarightotherthanthe
rightofcommunicationtoth
epublicorthroughthecombinationofdifferentrights.Bythe
otherright,ofcourse,firstofall,therightofdistributionwasmeant,butanotherright
mightalsobeaspecificnewrightsuchastherightofmakingavailabletothepublicas
providedforinArticles10and14oftheWPPT.
28. AnAgreedStatementwasadoptedconcerningtheabove-quotedArticle8.Itreadsas
follows:Itisunderstoodthatthemereprovisionofphysicalfacilitiesforenablingormaking
acommunicationdoesnotinitselfamounttocommunicationwithinthemeaningofthis
TreatyortheBerneConvention.ItisfurtherunderstoodthatnothinginArticle8precludesa
ContractingPartyfromapplyingArticle11bis(2).OnthebasisofdiscussionswithinMain
Committee Iconcerningthisissue,itisclearthattheAgreedStatementisintendedtoclarify
theissueofliabilityofserviceandaccessprovidersindigitalnetworksliketheInternet.
29. TheAgreedStatementactuallystatessomethingobvious,sinceitisevidentthat,ifa
personengagesinanactnotcoveredbyarightprovidedintheConvention(andin
correspondingnationallaws),suchpersonhasnodirectliabilityfortheactcoveredbysucha
right.Itisanothermatter,that,dependingonthecircumstances,hemaystillbeliableon
anotherbasis,suchascontributoryorvicariousliability.Liabilityissuesare,however,very
complex;theknowledgeofalargebodyofstatutoryandcaselawisneededineachcountry
sothatagivencasemaybejudged.Therefore,internationaltreatiesonintellectualproperty

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rights,understandablyandrightly,donotcoversuchissuesofliability.TheWCTfollows
thistradition.
c.

LimitationsandExceptionsintheDigitalEnvironment

30. AnAgreedStatementwasadoptedinthisrespect,whichreadsasfollows:Itis
understoodthattheprovisionsofArticle10[oftheTreaty]permitContractingPartiestocarry
forwardandappropriatelyextendintothedigitalenvironmentlimitationsandexceptionsin
theirnationallawswhichhavebeenconsideredacceptableundertheBerneConvention.
Similarly,theseprovisionsshouldbeunderstoodtopermitContractingPartiestodevisenew
exceptionsandlimitationsthatareappropriateinthedigitalnetworkenvironment.Itisalso
understoodthatArticle10(2)[oftheTreaty]neitherreducesnorextendsthescopeof
applicabilityofthelimitationsandexceptionspermittedbytheBerneConvention.
The provisionsofArticle10oftheTreatyreferredtointheagreedstatementarediscussed
below.Itisobviousthatextendinglimitationsandexceptionsintothedigitalenvironment,or
devisingnewexceptionsandlimitationsforsuchenvironment,issubjecttothethree-steptest
includedinthatArticle.
d.

TechnologicalMeasuresofProtectionandRightsManagementInformation

31. Itwasrecognized,duringthepreparatorywork,thatitisnotsufficienttoprovidefor
appropriaterightsinrespectofdigitalusesofworks,particularlyusesontheInternet.Insuch
anenvironment,norightsmaybeappliedefficientlywithoutthesupportoftechnological
measuresofprotectionandrightsmanagementinformationnecessarytolicenseandmonitor
uses.Therewasagreementthattheapplicationofsuchmeasuresandinformationshouldbe
lefttotheinterestedrightsowners,butalsothatappropriatelegalprovisionswereneededto
protecttheuseofsuchmeasuresandinformation.SuchprovisionsareincludedinArticle11
and12oftheTreaty.
32. UnderArticle11oftheTreaty,ContractingPartiesmustprovideadequatelegal
protectionandeffectivelegalremediesagainstthecircumventionofeffectivetechnological
measuresthatareusedbyauthorsinconnectionwiththeexerciseoftheirrightsunderthis
TreatyortheBerneConventionandthatrestrictacts,inrespectoftheirworks,whicharenot
authorizedbytheauthorsconcernedorpermittedbylaw.
33. Article12(1)oftheTreatyobligesContractingPartiestoprovideadequateand
effectivelegalremediesagainstanypersonknowinglyperforminganyofthefollowingacts
knowing,orwithrespecttocivilremedieshavingreasonablegroundstoknow,thatitwill
induce,enable,facilitateorconcealaninfringementofanyrightcoveredbythisTreatyorthe
BerneConvention:(i)toremoveoralteranyelectronicrightsmanagementinformation
withoutauthority;(ii)todistribute,importfordistribution,broadcastorcommunicatetothe
public,withoutauthority,worksorcopiesofworksknowingthatelectronicrights
managementinformationhasbeenremovedoralteredwithoutauthority.Article 12(2)
definesrightsmanagementinformationasmeaninginformationwhichidentifiesthework,
theauthorofthework,theownerofanyrightinthework,orinformationaboutthetermsand
conditionsofuseofthework,andanynumbersorcodesthatrepresentsuchinformation,
whenanyoftheseitemsofinformationisattachedtoacopyofaworkorappearsin
connectionwiththecommunicationofaworktothepublic.

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34. AnAgreedStatementwasadoptedbytheDiplomaticConferenceconcerningArticle12
oftheTreatywhichconsistsoftwoparts.Thefirstpartreadsasfollows:Itisunderstood
thatthereferencetoinfringementofanyrightcoveredbythisTreatyortheBerne
Conventionincludesbothexclusiverightsandrightsofremuneration.Thesecondpart
readsasfollows:ItisfurtherunderstoodthatContractingPartieswillnotrelyonthisArticle
todeviseorimplementrightsmanagementsystemsthatwouldhavetheeffectofimposing
formalitieswhicharenotpermittedundertheBerneConventionorthisTreaty,prohibitingthe
freemovementofgoodsorimpedingtheenjoymentofrightsunderthisTreaty.

2.

Othersubstantiveprovisions

a.

CriteriaofEligibilityforProtection;CountryofOrigin;NationalTreatment;
FormalityFreeProtection;PossibleRestrictionof(Backdoor)Protectionin
RespectofWorksofNationalsofCertainCountriesNotPartytotheTreaty

35. TheWCTsettlestheissueslistedintheabove-mentionedsubtitleinasimpleway:in
Article 3,itprovidesforthemutatismutandisapplicationofArticle3to6oftheBerne
Convention.(ThereferencetotheBerneConventionalsoincludesArticles2and2bisofthe
Convention,butthoseprovisionsarenotrelevantinthepresentcontext;theyarediscussed
below.)
36. Inthemutatismutandisapplicationofthoseprovisions,anumberofissuesmayemerge;
therefore,anAgreedStatementwasalsoadoptedbytheDiplomaticConferenceasguidance,
whichreadsasfollows:Itisunderstoodthat,inapplyingArticle3ofthisTreaty,the
expressioncountryoftheUnionwillbereadasifitwereareferencetoaContractingParty
tothisTreatyintheapplicationofthoseBerneArticlesinrespectofprotectionprovidedforin
thisTreaty.ItisalsounderstoodthattheexpressioncountryoutsidetheUnioninthose
ArticlesintheBerneConventionwill,inthesamecircumstances,bereadasifitwerea
referencetoacountrythatisnotaContractingPartytothisTreaty,andthatthisConvention
inArticles2(8),2bis(2),3,4and5oftheBerneConventionwillbereadasifitwerea
referencetotheBerneConventionandthisTreaty.Finally,itisunderstoodthatareferencein
Articles3to6oftheBerneConventiontoanationalofoneofthecountriesoftheUnion
will,whentheseArticlesareappliedtothisTreaty,mean,inregardtoanintergovernmental
organizationthatisaContractingPartytothisTreaty,anationalofoneofthecountriesthatis
memberofthatorganization.
b.

SubjectMatterandScopeofProtection;ComputerPrograms;Databases

37. Theabove-discussedArticle3oftheTreatyalsoprescribesthemutatismutandis
applicationofArticles2and2bisoftheBerneConvention.Therewassomehesitationatthe
DiplomaticConferenceconcerningwhetherareferencetothoseprovisionsisreallyneeded,
consideringthatArticle 1(4)oftheTreatyalreadyobligesContractingPartiestocomplywith
Articles1to21oftheBerneConvention,thatis,alsowithArticles2and2bisofthe
Convention.However,somedelegationswereoftheviewthatArticles2and2bisaresimilar
intheirnaturetoArticles3to6oftheConventioninthesensethat,theyregulateacertain
aspectofthescopeofapplicationoftheConvention:thescopeofthesubjectmattercovered.

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38. WiththeseprovisionsoftheTreaty,thereisnodoubtthatthesameconceptofliterary
andartisticworks,andtothesameextent,isapplicableundertheTreatyastheconceptand
extentofsuchworksundertheBerneConvention.
39. TheTreaty,alsoincludes,however,someclarificationsinthisrespectsimilartothose
whichareincludedintheTRIPSAgreement.
40. First,Article2oftheTreatyclarifiesthat[c]opyrightprotectionextendstoexpressions
andnottoideas,procedures,methodsofoperationormathematicalconceptsassuch.Thisis
virtuallythesameastheclarificationincludedinArticle9.2oftheTRIPSAgreement.Noris
theprinciplereflectedinArticle2newinthecontextoftheBerneConvention,sinceas
reflectedintherecordsofthediplomaticconferencesadoptingandrevisingtheConvention
countriespartytotheConventionhavealwaysunderstoodthescopeofprotectionunderthe
Conventioninthatway.
41. Second,Articles4and5oftheTreatycontainclarificationsconcerningtheprotectionof
computerprogramsasliteraryworksandcompilationsofdata(databases).Withsome
changesinwording,thoseclarificationsaresimilartothoseincludedinArticle10ofthe
TRIPSAgreement.ThisisunderlinedbytwoAgreedStatementsadoptedbytheConference
concerningtheabove-mentionedArticles.ThosetwoStatementsclarifythatthescopeof
protectionforcomputerprogramsunderArticle4oftheTreatyandforcompilationsofdata
(databases)underArticle5oftheTreatyisconsistentwithArticle2oftheBerneConvention
andonparwiththerelevantprovisionsoftheTRIPSAgreement.
42. TheonlysubstantivedifferencebetweenArticle4and5oftheWCT,ontheonehand,
andArticle10oftheTRIPSAgreement,ontheother,isthattheprovisionsoftheWCTuse
moregenerallanguage.Article10.1oftheTRIPSAgreementprovidesfortheprotectionof
computerprogramswhetherinsourceorobjectcode,whileArticle4oftheWCTdoesthe
sameconcerningcomputerprogramswhatevermaybethemodeorformoftheir
expression.Itisunderstoodthatthescopeofprotectionisthesameunderthetwo
provisions,butthetextoftheWCTislesstechnology-specific.Similarly,Article10.2ofthe
TRIPSAgreementspeaksaboutcompilationsofdataorothermaterial,whetherinmachine
readableorotherform,whileArticle5oftheWCTrefers,ingeneral,tocompilationsof
dataorothermaterial,inanyform.
c.

RightstobeProtected;theRightofDistributionandtheRightofRental

43. Article6(1)oftheWCTprovidesanexclusiverighttoauthorizethemakingavailableto
thepublicoforiginalsandcopiesofworksthroughsaleorothertransferofownership,thatis,
anexclusiverightofdistribution.UndertheBerneConvention,itisonlyinrespectof
cinematographicworksthatsucharightisgrantedexplicitly.Accordingtocertainviews,
sucharight,survivingatleastuntilthefirstsaleofcopies,maybededucedasan
indispensablecorollarytotherightofreproduction,and,insomelegalsystems,therightof
distributionisinfactrecognizedonthisbasis.Otherexpertsare,however,ofadifferentview
andmanynationallawsdonotfollowthesolutionbasedontheconceptofimplicit
recognitionoftherightofdistribution.Article6(1)oftheWCTshouldbeconsidered,asa
minimum,ausefulclarificationoftheobligationsundertheBerneConvention(andalso
undertheTRIPSAgreementwhichincludesbyreferencetherelevantprovisionsofthe
Convention).However,itismorejustifiedtoconsiderArticle6(1)ascontaininga
Berne-plus-TRIPS-pluselement.

Page10

44. Article6(2)oftheTreatydealswiththeissueoftheexhaustionoftherightof
distribution.ItdoesnotobligeContractingStatestochoosenational/regionalexhaustionor
internationalexhaustionortoregulateatalltheissueofexhaustionoftherightof
distributionafterthefirstsaleorotherfirsttransferofownershipoftheoriginaloracopyof
thework(withtheauthorizationoftheauthor).
45. Article7oftheTreatyprovidesanexclusiverightofauthorizingcommercialrentalto
thepublicinrespectofthesamecategoriesofworksnamely,computerprograms,
cinematographicworks,andworksembodiedinphonograms,asdeterminedinthenational
lawsofContractingPartiesasthosecoveredbyArticles11and14.4oftheTRIPS
Agreement,andwiththesameexceptions(namely,inrespectofcomputerprogramswhich
arenotthemselvestheessentialobjectsoftherental;inrespectofcinematographicworks
unlesscommercialrentalleadstowidespreadcopyingofsuchworksmateriallyimpairingthe
exclusiverightofreproduction;andinthecasewhereaContractingParty,onApril15,1994,
hadandcontinuestohaveinforceasystemofequitableremunerationforrentalofcopiesof
worksincludedinphonograms,insteadofanexclusiveright(wherethatContractingParty
maymaintainthatsystemprovidedthatcommercialrentaldoesnotgiverisetothematerial
impairmentoftheexclusiverightofauthorization)).
46. AnAgreedStatementwasadoptedbytheDiplomaticConferenceinrespectof
Articles 6and7oftheTreaty.Itreadsasfollows:AsusedintheseArticles,theexpressions
copiesandoriginalandcopies,beingsubjecttotherightofdistributionandtherightof
rentalunderthesaidArticles,referexclusivelytofixedcopiesthatcanbeputintocirculation
astangibleobjects.ThequestionmayemergewhetherthisAgreedStatementconflictswith
theumbrellasolutionfortransmissionsininteractivedigitalnetworks,and,particularly,
whetherornotitexcludesapplicationoftherightofdistributiontosuchtransmissions.The
answertothisquestionisobviouslynegative.TheAgreedStatementdeterminesonlythe
minimumscopeofapplicationoftherightofdistribution;itdoesnotcreateanyobstaclefor
ContractingStatestoexceedthatminimum.
d.

DurationofProtectionofPhotographicWorks

47. Article9oftheWCTeliminatestheunjustifieddiscriminationagainstphotographic
worksconcerningthedurationofprotection;itobligesContractingPartiesnottoapply
Article7(4)oftheBerneConvention(which,asalsoforworksofappliedart,prescribesa
shorterterm25yearsforphotographicworksthanthegeneral50 -yearterm).
e.

LimitationsandExceptions

48. Article10oftheTreatycontainstwoparagraphs.Paragraph(1)determinesthetypesof
limitationson,orexceptionsto,therightsgrantedundertheTreatywhichmaybeapplied,
whileparagraph(2)providescriteriafortheapplicationoflimitationsof,orexceptionsto,the
rightsundertheBerneConvention.
49. Bothparagraphsusethethree-steptestincludedinArticle9(2)oftheBerneConvention
todeterminethelimitationsandexceptionsallowed(namely,exceptionsorandlimitationsare
onlyallowed(i)incertainspecialcases;(ii)providedthattheydonotconflictwithanormal
exploitationofthework:andfurther(iii)providedthattheydonotunreasonablyprejudice
thelegitimateinterestsoftheauthors).UnderArticle9(2)oftheBerneConvention,thistest

Page11

isapplicableonlytotherightofreproduction,whilebothparagraphsofArticle10ofthe
TreatycoverallrightsprovidedforbytheTreatyandtheBerneConvention,respectively.In
thatrespect,theprovisionsofArticle10aresimilartoArticle13oftheTRIPSAgreement
whichappliesthesametestforallrightsprovidedforbytheTRIPSAgreementeitherdirectly
orthroughinclusionbyreferenceofthesubstantiveprovisionsoftheBerneConvention.
f.

ApplicationinTime

50. Article13oftheWCTreferssimplytoArticle18oftheBerneConventiontodetermine
theworkstowhichtheTreatyappliesatthemomentofitsentryintoforceforagiven
ContractingState,andprovidesthattheprovisionsofthatArticlemustbeappliedalsotothe
Treaty.
g.

EnforcementofRights

51. Article14oftheTreatycontainstwoparagraphs.Paragraph(1)isamutatismutandis
versionofArticle36(1)oftheBerneConvention.ItprovidesthatContractingParties
undertaketoadopt,inaccordancewiththeirlegalsystems,themeasuresnecessarytoensure
theapplicationofthisTreaty.
52. Paragraph(2)isamutatismutandisversionofthefirstsentenceofArticle41.1ofthe
TRIPSAgreement.Itreadsasfollows:ContractingPartiesshallensurethatenforcement
proceduresareavailableundertheirlawsoastopermiteffectiveactionagainstanyactof
infringementofrightscoveredbythisTreaty,includingexpeditiousremediestoprevent
infringementsandremedieswhichconstituteadeterrenttofurtherinfringements.

IV.

ADMINISTRATIVEPROVISIONSANDFINALCLAUSES

53. Articles15to25oftheWCTcontaintheadministrativeprovisionsandfinalclausesof
theWCTwhichcoversuchissuesastheAssemblyofContractingStates,theInternational
Bureau,eligibilityforbecomingpartytotheTreaty,signatureoftheTreaty,entryintoforce
oftheTreaty,effectivedateofbecomingpartytotheTreaty,reservations(noreservations);
denunciationoftheTreaty,languagesoftheTreatyanddepository.
54. Theseprovisions,ingeneral,arethesameasorsimilartotheprovisionsofotherWIPO
treatiesonthesameissues.Onlytwospecificfeaturesshouldbementioned,namelythe
possibilityofintergovernmentalorganizationsbecomingpartytotheTreatyandthenumber
ofinstrumentsofratificationoraccessionneededforentryintoforceoftheTreaty.
55. Article17oftheTreatyprovidesforeligibilityforbecomingpartytotheTreaty.Under
paragraph (1),anymemberStateofWIPOmaybecomepartytotheTreaty.Paragraph(2)
providesthat[t]heAssemblymaydecidetoadmitanyintergovernmentalorganizationto
becomepartytothisTreatywhichdeclaresthatitiscompetentinrespectof,andhasitsown
legislationbindingonallitsMemberStateson,matterscoveredbythisTreatyandthatithas
beendulyauthorized,inaccordancewithitsinternalprocedures,tobecomepartytothis
Treaty.Paragraph(3)addsthefollowing:TheEuropeanCommunity,havingmadethe
declarationreferredtointheprecedingparagraphintheDiplomaticConferencethathas
adoptedthisTreaty,maybecomepartytothisTreaty.

Page12

56. Thenumberofinstrumentsofratificationoraccessionneededfortheentryintoforceof
thetreatiesadministeredbyWIPOhasbeentraditionallyfixedquitelow;fiveisthemost
frequentnumber.TheWCT,initsArticle20,fixesthisnumbermuchhigher,namelyat30
instrumentsofratificationoraccessionbyStates.

V.

CURRENTSTATUSOFTHEWCT

57. TheWCTenteredintoforceonMarch6,2002. InformationonStatesthatarepartyto


thistreatycanbeobtainedfromtheInternationalBureauofWIPO.Theinformationisalso
availableonWIPOswebsiteat<http://www.wipo.int/treaties/ip/copyright/index.html>.

B.THEWIPOPERFORMANCESANDPHONOGRAMSTREATY

I.

INTRODUCTION

58. ThepreparationoftheWCTandtheWPPTtookplaceintwoCommitteesofExperts.
First,theCommitteeofExpertsonaPossibleProtocoltotheBerneConventionwas
establishedin1991,whichpreparedwhateventuallybecametheWCT.Theoriginaltermsof
referenceofthatCommitteealsoincludedtherightsofproducersofphonograms.In1992,
however,thoserightswerecarvedoutofthetermsofreferenceofthatCommittee,andanew
Committee,theCommitteeofExpertsonaPossibleInstrumentfortheRightsofPerformers
andProducersofPhonograms,wasestablished.Thesaidinstrumentwasreferredtoduring
thepreparatorywork,ingeneral,astheNewInstrument,anditstermsofreferenceextended
toallaspectsoftheprotectionoftherightsofperformersandproducersofphonogramswhere
theclarificationofexistinginternationalnormsortheestablishmentofnewnormsseemed
desirable.
59. Inrespectofthoserights,theexistinginternationalstandardswereincludedintheRome
Conventionadoptedin1961.Atthetimeofitsadoption,theRomeConventionwas
recognizedasapioneerconvention,sinceithadestablishednormsconcerningthesaidtwo
categoriesofrightsandtherightsofbroadcastingorganizations(jointlyreferredtoas
neighboringrights)which,inthegreatmajorityofcountries,didnotyetexist.
60. Inthe1970sand1980s,however,agreatnumberofimportantnewtechnological
developmentstookplace(videotechnology,compactcassettesystemsfacilitatinghome
taping,satellitebroadcasting,cabletelevision,computer-relateduses,etc.).Thosenew
developmentswerediscussedintheIntergovernmentalCommitteeoftheRomeConvention
andwerealsoaddressedinvariousWIPOmeetings(ofcommittees,workinggroups,
symposiums)wheretheso-calledneighboringrightswerediscussed.
61. Asaresult,guidancewasofferedtogovernmentsandlegislatorsintheformof
recommendations,guidingprinciplesandmodelprovisions.
62. Attheendofthe1980s,asalsointhefieldofcopyright,itwasrecognizedthatmere
guidancewouldnolongersuffice;bindingnewnormswereindispensable.

Page13

63. Thepreparationofnewnormsbeganintwoforums.AtWIPO,first,intheabove
mentionedcommitteesofexpertsandatGATT,intheframeworkoftheUruguayRound
negotiations.
64. AftertheadoptionoftheTRIPSAgreement,thepreparatoryworkofnewcopyrightand
neighboringrightsnormsintheWIPOcommitteeswasacceleratedasnotedabove,andthat
ledtotheconvocationoftheWIPODiplomaticConferenceonCertainCopyrightand
NeighboringRightsQuestionswhichtookplaceinGenevafromDecember2to20,1996,and
whichadoptedthetwonewtreaties.

II.

LEGALNATUREOFTHEWPPTANDITSRELATIONSHIP
WITHOTHERINTERNATIONALTREATIES

65. IntheearlypreparatoryworkoftheWPPTtheNewInstrumenttheideaemerged
thatitshouldhavethesamerelationshipwiththeRomeConventionastheWCTtheBerne
ProtocolwassupposedtohavewiththeBerneConvention;thatis,itshouldbeaspecial
agreementunderArticle 22oftheRomeConvention(whichdeterminesthenatureand
conditionsofsuchagreements,mutatismutandis,thesamewayasArticle 20oftheBerne
Convention).
66. Thisidea,however,didnotgetsufficientsupport,andtherelationshipbetweenthe
WPPTandtheRomeConventionhasbeenregulatedinawaysimilartotherelationship
betweentheTRIPSAgreementandtheRomeConvention.Thismeansthat(i) ingeneral,
applicationofthesubstantiveprovisionsoftheRomeConventionisnotanobligationofthe
ContractingParties;(ii) onlyafewprovisionsoftheRomeConventionareincludedby
reference(thoserelatingtothecriteriaofeligibilityforprotection);and(iii) Article1(2)ofthe
Treatycontains,mutatismutandis,practicallythesameprovisionasArticle2.2oftheTRIPS
Agreement,thatis,thatnothingintheTreatyderogatesfromobligationsthatContracting
PartieshavetoeachotherundertheRomeConvention.
67. Article1(3)oftheTreaty,inrespectoftherelationtotheothertreaties,includesa
provisionsimilartoArticle1(2)oftheWCT:TheTreatyshallnothaveanyconnection
with,norshallitprejudiceanyrightsandobligationsunder,anyothertreaties.
68. ThetitleofArticle1oftheWPPTisRelationtoOtherConventions,but
paragraph (2)oftheArticledealswithabroaderquestion,namely,therelationshipbetween
copyright,ontheonehand,andtheneighboringrightsprovidedintheTreaty,ontheother.
ThisprovisionreproducesthetextofArticle1oftheRomeConventionwordbyword:
ProtectiongrantedunderthisTreatyshallleaveintactandshallinnowayaffectthe
protectionofcopyrightinliteraryandartisticworks.Consequently,noprovisionofthis
Treatymaybeinterpretedasprejudicingsuchprotection.Itiswellknownthat,inspiteof
thefactthat,duringthe1961DiplomaticConferenceadoptingtheRomeConvention,such
attemptswereresistedandthisisclearlyreflectedintherecordsoftheConference,therehave
alwaysbeenexpertswhotriedtointerpretthatprovisionbysuggestingthatnotonlythe
protectionbutalsotheexerciseofcopyrightshouldbeleftcompletelyintactbytheprotection
andexerciseofneighboringrights;thatis,if,forexample,anauthorwishestoauthorizethe
useofthesoundrecordingofaperformanceofhiswork,neithertheperformernorthe
produceroftherecordingshouldbeabletoprohibitthatuseonthebasisofhisneighboring
rights.TheDiplomaticConferencerejectedthisinterpretationwhenitadoptedanAgreed

Page14

Statementwhichreadsasfollows:ItisunderstoodthatArticle 1(2)clarifiestherelationship
betweenrightsinphonogramsunderthisTreatyandcopyrightinworksembodiedinthe
phonograms.Incaseswhereauthorizationisneededfromboththeauthorofawork
embodiedinthephonogramandaperformerorproducerowningrightsinthephonogram,the
needfortheauthorizationoftheauthordoesnotceasetoexistbecausetheauthorizationof
theperformerorproducerisalsorequired,andviceversa.

III. SUBSTANTIVEPROVISIONSOFTHEWPPT
1.

ProvisionsRelatingtotheSo-CalledDigitalAgenda

69. TheprovisionsoftheWPPTrelatingtothedigitalagendacoverthefollowingissues:
certaindefinitions,rightsapplicabletostorageandtransmissionofperformancesand
phonogramsindigitalsystems,limitationsonandexceptionstorightsinadigital
environment,technologicalmeasuresofprotectionandrightsmanagementinformation.As
discussedbelow,therightofdistributionmayalsoberelevantinrespectoftransmissionsin
digitalnetworks;itsscope,however,ismuchbroader.Therefore,and,alsoduetoits
relationshipwiththerightofrental,therightofdistributionisdiscussedseparatelybelow
alongwiththatright.
a.

Definitions

70. TheWPPTfollowsthestructureoftheRomeConvention,inthesensethatitcontains,
inArticle 2,aseriesofdefinitions.Thedefinitionscovermoreorlessthesametermsasthose
whicharedefinedinArticle 3oftheRomeConvention:performers,phonogram,
producerofphonograms,publication,broadcasting;more,inthesensethattheWPPT
alsodefinesfixationandcommunicationtothepublic,andless,inthesensethatitdoes
notdefinereproductionandrebroadcasting.
71. Theimpactofdigitaltechnologyispresentinthedefinitions,onthebasisofthe
recognitionthatphonogramsdonotnecessarilymeanthefixationofsoundsofaperformance
orothersoundsanymore;nowtheymayalsoincludefixationsof(digital)representationsof
soundsthathaveneverexisted,butthathavebeendirectlygeneratedbyelectronicmeans.The
referencetosuchpossiblefixationsappearsinthedefinitionsofphonogram,fixation,
producerofphonogram,broadcastingandcommunicationtothepublic.Itshouldbe
stressed,however,thatthereferencetorepresentationsofsoundsdoesnotexpandthe
relevantdefinitionsasprovidedunderexistingtreaties;itonlyreflectsthedesiretooffera
clarificationinthefaceofpresenttechnology.
b.

StorageofPerformancesandPhonogramssinDigitalForminanElectronic
Medium: theScopeoftheRightofReproduction

72. AlthoughthedraftoftheWPPTcontainedcertainprovisionswhichwereintendedto
clarifytheapplicationoftherightofreproductiontostorageofperformancesand
phonogramssindigitalforminanelectronicmedium,intheend,thoseprovisionswerenot
includedinthetextoftheTreaty.The DiplomaticConference,however,adoptedanAgreed
Statementwhichreadsasfollows:Thereproductionright,assetoutinArticles7and11[of
theWPPT],andtheexceptionspermittedthereunderthroughArticle16[oftheWPPT],fully
applyinthedigitalenvironment,inparticulartotheuseofperformancesandphonogramsin

Page15

digitalform.Itisunderstoodthatthestorageofaprotectedperformanceorphonogramin
digitalforminanelectronicmediumconstitutesareproductionwithinthemeaningofthese
Articles.
73. AsearlyasinJune1982,aWIPO/UnescoCommitteeofGovernmentalExperts
clarifiedthatstorageofworksandobjectsofneighboringrightsinanelectronicmediumis
reproduction,andsincethennodoubthaseveremergedconcerningthatprinciple.The
secondsentenceoftheagreedstatementsimplyconfirmsthis.Itisanothermatterthatthe
wordstoragemaystillbeinterpretedinsomewhatdifferingways.
74. Asfarasthefirstsentenceisconcerned,itstatestheobvious,namely,thatthe
provisionsoftheTreatyontherightsofreproductionarefullyapplicableinadigital
environment.Theconceptofreproductionmustnotberestrictedmerelybecausea
reproductionisindigitalformthroughstorageinanelectronicmemory,orbecausea
reproductionisofatemporarynature.At thesametime,italsofollowsfromthesamefirst
sentencethatArticle16oftheTreatyisalsofullyapplicable,whichoffersanappropriate
basistointroduceanyjustifiedexceptions,suchasinrespectofcertaintransientand
incidentalreproductions,innationallegislation,inharmonywiththethree-steptest
providedforinthatprovisionoftheTreaty(seebelow).
c.

TransmissionofPerformancesandPhonogramsinDigitalNetworks;

theSo-CalledUmbrellaSolution

75. Duringthepreparatorywork,anagreementemergedintheWIPOcommitteesthatthe
transmissionofworksandobjectsofneighboringrightsontheInternetandinsimilar
networksshouldbesubjecttoanexclusiverightofauthorizationoftheownersofrights,with
appropriateexceptions,naturally.
76. Therewas,however,noagreementconcerningtherightswhichmightactuallybe
applied.Therightofcommunicationtothepublicandtherightofdistributionwerethetwo
majoroptionsdiscussed.
77. Thedifferencesinthelegalcharacterizationoftheactsofdigitaltransmissionswere
partlyduetothefactthatsuchtransmissionsareofacomplexnature,andthatthevarious
expertsconsideredoneaspectmorerelevantthananother.Therewas,however,anotherand
morefundamentalreason,namelythatthecoverageoftheabove-mentionedtworights
differstoagreatextentinnationallaws.Itwasmainlyforthelatterreasonthatitbecame
evidentthatitwouldbedifficulttoreachconsensusonasolutionwhichwouldbebasedon
theapplicationofonerightovertheother.
78. Therefore,aspecificsolutionwasworkedoutandproposed;namely,thattheactof
digitaltransmissionshouldbedescribedinaneutralway,freefromspecificlegal
characterization;thatsuchadescriptionshouldbetechnology-specificand,atthesametime,
itshouldexpresstheinteractivenatureofdigitaltransmissions;andthat,inrespectofthe
legalcharacterizationoftheexclusiverightthatis,inrespectoftheactualchoiceoftheright
orrightstobeappliedsufficientfreedomshouldbelefttonationallegislation.Thissolution
wasreferredtoastheumbrellasolution.
79. AsfarastheWPPTisconcerned,therelevantprovisionsareArticles10and14,under
whichperformersandproducersofphonograms,respectively,mustenjoytheexclusiveright

Page16

ofauthorizingthemakingavailabletothepublicoftheirperformancesfixedinphonograms
andoftheirphonograms,respectively,bywireorwirelessmeans,insuchawaythat
membersofthepublicmayaccessthemfromaplaceandatatimeindividuallychosenby
them.TakingintoaccountthefreedomofContractingPartiestochosedifferinglegal
characterizationofactscoveredbycertainrightsprovidedforinthetreaties,itisclearthat,
alsointhiscase,ContractingPartiesmayimplementtherelevantprovisionsnotonlyby
applyingsuchaspecificrightbutalsobyapplyingsomeotherrightssuchastherightof
distributionortherightofcommunicationtothepublic(aslongastheirobligationstogrant
anexclusiverightofauthorizationconcerningtheactsdescribedarefullyrespected).
80. InthecaseoftheWCT,therelevantprovisionsareincludedinArticle8whichreadsas
follows:WithoutprejudicetotheprovisionsofArticles11(1)(ii),11bis(1)(i)and(ii),
11ter(1)(ii),14(1)(ii)and14bis(1)oftheBerneConvention,authorsofliteraryandartistic
worksshallenjoytheexclusiverightofauthorizinganycommunicationtothepublicoftheir
works,bywireorwirelessmeans,includingthemakingavailabletothepublicoftheirworks
insuchawaythatmembersofthepublicmayaccesstheseworksfromaplaceandatatime
individuallychosenbythem.WhenthisprovisionwasdiscussedinMainCommitteeIofthe
DiplomaticConferencementionedabove,itwasstatedandnoDelegationopposedthe
statementthatContractingPartieswerefreetoimplementtheobligationtograntexclusive
righttoauthorizesuchmakingavailabletothepublicalsothroughtheapplicationofaright
otherthantherightofcommunicationtothepublicorthroughthecombinationofdifferent
rights.Bytheotherright,ofcourse,firstofall,therightofdistributionwasmeant.(This
meansthat,inrespectofdigitaltransmissions,theumbrellasolutionwasappliedalsointhe
caseoftheWCT.)
81. AnAgreedStatementwasadoptedconcerningtheabove-quotedArticle8oftheWCT.
Itreadsasfollows:Itisunderstoodthatthemereprovisionofphysicalfacilitiesforenabling
ormakingacommunicationdoesnotinitselfamounttocommunicationwithinthemeaning
ofthisTreatyortheBerneConvention.ItisfurtherunderstoodthatnothinginArticle8
precludesaContractingPartyfromapplyingArticle11bis(2).Onthebasisofdiscussionsin
MainCommitteeIonthisissue,itisclearthattheAgreedStatementintendstoclarifythe
issueoftheliabilityofserviceandaccessprovidersindigitalnetworksliketheInternet.Itis
equallyclearthat,althoughthiswasnotstatedexplicitly,theprinciplereflectedintheAgreed
Statementisalsoapplicable,mutatismutandis,totheabove-mentionedprovisionsof
Article 10and14oftheWPPTconcerningmakingavailabletothepublic.
82. TheAgreedStatementactuallystatestheobvious,sinceithasalwaysbeenevidentthat,
ifapersonengagesinanactotherthananactcoveredbyarightprovidedforinthe
Convention(andincorrespondingnationallaws),suchpersonhasnodirectliabilityforthe
actcoveredbysucharight.Itisanothermatter,that,dependingonthecircumstances,hemay
stillbeliableonanotherbasis,suchascontributoryorvicariousliability.Liabilityissuesare,
however,verycomplex;theknowledgeofaverylargebodyofstatutoryandcaselawis
neededineachcountrysothatagivencasemaybejudged.Therefore,internationaltreaties
onintellectualpropertyrights,understandably,donotcoversuchissuesofliability.The
WCTandtheWPPTfollowthistradition.
d.

LimitationsandExceptionsintheDigitalEnvironment

83. InthecaseoftheWCT,anAgreedStatementwasadoptedconcerninglimitationsand
exceptions,whichreadsasfollows:ItisunderstoodthattheprovisionsofArticle10[ofthe

Page17

Treaty]permitContractingPartiestocarryforwardandappropriatelyextendintothedigital
environmentlimitationsandexceptionsintheirnationallawswhichhavebeenconsidered
acceptableundertheBerneConvention.Similarly,theseprovisionsshouldbeunderstoodto
permitContractingPartiestodevisenewexceptionsandlimitationsthatareappropriateinthe
digitalnetworkenvironment.ItisalsounderstoodthatArticle10(2)[oftheTreaty]neither
reducesnorextendsthescopeofapplicabilityofthelimitationsandexceptionspermittedby
theBerneConvention.TheDiplomaticConferencestatedthatthisAgreedStatementis
applicablemutatismutandisalsotoArticle 16oftheWPPTonlimitationsandexceptions.
ThatprovisionoftheWPPTisdiscussedbelow.Itisobviousthatanylimitationsand
exceptionsexistingornewinthedigitalenvironmentareonlyapplicableiftheyare
acceptableunderthethree-steptestindicatedinArticle16(2)oftheTreaty(seebelow).
e.

TechnologicalMeasuresofProtectionandRightsManagementInformation

84. Itwasrecognized,duringthepreparatorywork,thatitwasnotsufficienttoprovide
appropriaterightsinrespectofdigitalusesofworksandobjectsofneighboringrights,
particularlyusesontheInternet.Insuchanenvironment,norightsmaybeappliedefficiently
withoutthesupportoftechnologicalmeasuresofprotectionandrightsmanagement
informationnecessarytolicenseandmonitoruses.Therewasagreementthattheapplication
ofsuchmeasuresandinformationshouldbelefttotheinterestedrightsowners,butalsothat
appropriatelegalprovisionswereneededtoprotecttheuseofsuchmeasuresandinformation.
ThoseprovisionsareincludedinArticle18and19oftheWPPT.
85.
UnderArticle18oftheTreaty,ContractingPartiesmustprovideadequatelegal
protectionandeffectivelegalremediesagainstthecircumventionofeffectivetechnological
measuresthatareusedbyperformersorproducersofphonogramsinconnectionwiththe
exerciseoftheirrightsunderthisTreatyandthatrestrictacts,inrespectoftheirperformances
orphonograms,whicharenotauthorizedbytheperformersortheproducersofphonograms
concernedorpermittedbylaw.
86. Article19(1)oftheTreatyobligesContractingPartiestoprovideadequateand
effectivelegalremediesagainstanypersonknowinglyperforminganyofthefollowingacts
knowing,orwithrespecttocivilremedieshavingreasonablegroundstoknow,thatitwill
induce,enable,facilitateorconcealaninfringementofanyrightcoveredbythisTreaty:
(i) to removeoralteranyelectronicrightsmanagementinformationwithoutauthority;
(ii) to distribute,importfordistribution,broadcast,communicateormakeavailabletothe
public,withoutauthority,performances,copiesoffixedperformancesorphonograms
knowingthatelectronicrightsmanagementinformationhasbeenremovedoralteredwithout
authority.Article 19(2)definesrightsmanagementinformationasmeaninginformation
whichidentifiestheperformer,theperformanceoftheperformer,theproducerofthe
phonogram,thephonogram,theownerofanyrightintheperformanceorphonogram,or
informationaboutthetermsandconditionsofuseoftheperformanceorphonogram,andany
numbersorcodesthatrepresentsuchinformation,whenanyoftheseitemsofinformationis
attachedtoacopyofafixedperformanceoraphonogramorappearsinconnectionwiththe
communicationormakingavailableofafixedperformanceoraphonogramtothepublic.
87. AnAgreedStatementwasadoptedbytheDiplomaticConferenceconcerningArticle 12
oftheWCT,whichcontainsprovisionssimilartothoseofArticle19ofWPPT.Thefirstpart
oftheagreedstatementreadsasfollows:Itisunderstoodthatthereferencetoinfringement

Page18

ofanyrightcoveredbythisTreatyortheBerneConventionincludesbothexclusiverights
andrightsofremuneration.Thesecondpartoftheagreedstatementreadsasfollows:Itis
furtherunderstoodthatContractingPartieswillnotrelyonthisArticletodeviseorimplement
rightsmanagementsystemsthatwouldhavetheeffectofimposingformalitieswhicharenot
permittedundertheBerneConventionorthisTreaty,prohibitingthefreemovementofgoods
orimpedingtheenjoymentofrightsunderthisTreaty.TheDiplomaticConferencestated
thattheabove-quotedtwo-partagreedstatementwasapplicablemutatismutandisalsoto
Article 19oftheWPPT.

2.

Othersubstantiveprovisions

a.

CriteriaforEligibility

88. Article3providesfortheapplicationofthecriteriaundertheRomeConvention
(Articles 4,5,17and18).
b.

NationalTreatment

89. Article4providesforthesamekindofnationaltreatmentasthatprescribedbyArticle
3.1oftheTRIPSAgreementinrespectofrelated(neighboring)rights;thatis,national
treatmentonlyextendstotherightsgrantedundertheTreaty.
c.

CoverageoftheRightsofPerformers

90. Thecoverageofthemoralrightofperformersextendsonlytoliveauralperformances
andperformancesfixedinphonograms,andtheeconomicrightsinthefixedperformances
coversonlyperformancesfixedinphonograms.
93. Itisaquestionforinterpretationwhethertheeconomicrightsofperformersintheir
unfixedperformancesunderArticle6extendstoallperformancesoronlytoaural
performances.Thetextoftheprovisionmaysuggestabroadercoverage;if,however,the
definitionsoffixationandcommunicationtothepublicunderArticle2(c)and(g)arealso
takenintoaccount,itseemsthatanarrowerinterpretationisjustified.
94. AccordingtoArticle2(c),fixationonlymeanstheembodimentofsounds,orthe
representationthereof,fromwhichtheycanbeperceived,reproducedorcommunicated
throughadevice(emphasisadded).Article2(g)oftheWPPTdefinescommunicationto
thepublicasthetransmissiontothepublicbyanymedium,otherwisethanbybroadcasting,
ofsoundsofaperformanceorthesoundsortherepresentationsofsoundsfixedina
phonogram (emphasisadded).However,Article 2(f)definesbroadcastingasthe
transmissionbywirelessmeansforpublicreceptionofsoundsorofimagesandsounds orof
therepresentationthereof(emphasisadded).
95. Thewordingofthesedefinitionssupporttheinterpretationthattherightsof
communicationtothepublicandfixationarelimitedtoauralperformances,whereastheright
ofbroadcastingofunfixedperformancescoversbothauralandaudiovisualperformances.
96. AsfarasArticle14.1oftheTRIPSAgreementisconcerned,thepossibilityfor
performersofpreventingfixationoftheirliveperformanceandreproductionofsuchfixation

Page19

onlyextendstofixationonphonograms,whereasthepossibilityofpreventingbroadcasting
andcommunicationtothepublicofliveperformancesextendstoallkindsoflive
performances.
d.

MoralRightsofPerformers

97. Article5(1)providesasfollows:Independentlyofaperformerseconomicrights,and
evenafterthetransferofthoserights,theperformershall,asregardshisliveaural
performancesorperformancesfixedinphonograms,havetherighttoclaimtobeidentifiedas
theperformerofhisperformances,exceptwhereomissionisdictatedbythemanneroftheuse
oftheperformance,andtoobjecttoanydistortion,mutilationorothermodificationofhis
performancesthatwouldbeprejudicialtohisreputation.Thisprovision,initsmainlines,
followsArticle6bisoftheBerneConvention(onthemoralrightsofauthors)butitrequiresa
somewhatlowerlevelofprotection:inrespectoftherighttobeidentifiedasperformer,the
elementofpracticabilityisbuiltin,andthescopeoftherighttorespectisalsonarrower.
Article5(2)and(3),onthedurationofprotectionof,andthemeansofredressfor
safeguarding,therights,aremutatismutandisversionsofArticle6bis(2)and (3)oftheBerne
Convention.
e.

EconomicRightsofPerformers

98. Inadditiontotherightofmakingavailablediscussedunderthedigitalagenda,
above,andarightofdistribution,discussedbelow,theWPPTprovidesforpracticallythe
sameeconomicrightsforperformersrightofbroadcastingandcommunicationtothepublic
ofunfixedperformances(butinArticle6(ii)itisadded:exceptwheretheperformanceis
alreadyabroadcastperformance),rightofreproductionandrightofrental(Articles6,7and
9)astherightsgrantedintheTRIPSAgreement(Article14.1and4)astheTRIPS
Agreement.However,althoughthescopeoftherightsispracticallythesame,thenatureof
therights(otherthantherightofrental)isdifferentfromthenatureofsuchrightsunderthe
TRIPSAgreement,andunderArticle 7oftheRomeConvention.WhiletheAgreementand
theConventionprovideforthepossibilityofpreventingtheactsinquestion,theTreaty
grantsexclusiverightstoauthorizethoseacts.
99. Asfarasthedistributionrightisconcerned,Article8(1)providesthatperformershave
anexclusiverightofauthorizingthemakingavailabletothepublicoftheoriginalandcopies
oftheirperformancesfixedinphonograms,throughsaleorothertansferofownership.
Article8(2)dealswiththeissueoftheexhaustionofthisright.ItdoesnotobligeContracting
Statestochoosenational/regionalexhaustionorinternationalexhaustion,ortoregulateatall
theissueofexhaustion(afterthefirstsaleorotherfirsttransferofownershipoftheoriginalor
acopyconcernedwiththeauthorizationoftheownerofrights).
f.

RightsofProducersofPhonograms

100. Inadditiontotherightofmakingavailablediscussedaboveunderthedigital
agendaandarightofdistribution,theWPPTprovidesthesamerightsforproducersof
phonogramsrightofreproductionandrightofrental(Articles11and13)asthosegranted
undertheTRIPSAgreement(Article14.2and4).
101. Article12containsmutatismutandisthesameprovisionsconcerningarightof
distributionforproducersofphonogramsinrespectoftheirphonogramsasArticle 8does

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concerningsucharightforperformersinrespectoftheirperformancesfixedinphonograms
(seeabove).
g.

RighttoRemunerationforBroadcastingandCommunicationtothePublic

102. Article15providespracticallythesamekindofrighttoremunerationtoperformersand
producersofphonogramsasArticle12oftheRomeConvention(exceptthat,whilethelatter
leavesittonationallegislationwhetherthisrightisgrantedtoperformers,toproducersorto
both,theformerprovidesthatthisrightmustbegrantedtoboth,intheformofasingle
equitableremuneration)andwiththesameextentofpossiblereservationsasunderArticle
16.1(a)oftheRomeConvention.
103. AspecificfeatureofArticle15appearsinparagraph(4)whichprovidesasfollows:
ForthepurposesofthisArticle,phonogramsmadeavailabletothepublicbywireorwireless
meansinsuchawaythatmembersofthepublicmayaccessthemfromaplaceandatatime
individuallychosenbythemshallbeconsideredasiftheyhadbeenpublishedforcommercial
purposes.
104. TheDiplomaticConferenceadoptedthefollowingAgreedStatementconcerning
Article 15:ItisunderstoodthatArticle15doesnotrepresentacompleteresolutionofthe
levelofrightsofbroadcastingandcommunicationtothepublicthatshouldbeenjoyedby
performersandphonogramproducersinthedigitalage.Delegationswereunabletoachieve
consensusondifferingproposalsforaspectsofexclusivitytobeprovidedincertain
circumstancesorforrightstobeprovidedwithoutthepossibilityofreservations,andhave
thereforelefttheissuetofutureresolution.Thisstatementisareferencetothepositionthat,
inthecaseofcertainnear-on-demandservices,exclusiverightsarejustified.
h.

LimitationsandExceptions

105. UnderArticle16(1)oftheWPPT,ContractingPartiesmayprovideforthesamekinds
oflimitationsorexceptionswithregardtotheprotectionofperformersandproducersof
phonogramsastheyprovidefor,intheirnationallegislation,inconnectionwiththeprotection
ofcopyrightinliteraryandartisticworks.Thisprovisioncorrespondsinsubstanceto
Article 15.2.oftheRomeConvention.Itis,however,animportantdifferencethattheRome
Convention,initsArticle15.1.,alsoprovidesforspecificlimitationsindependentofthose
providedforinagivendomesticlawconcerningcopyrightprotection.Twoofthosespecific
limitations(useofshortexcerptsforreportingcurrenteventsandephemeralfixationsby
broadcastingorganizations)areinharmonywiththecorrespondingprovisionsoftheBerne
Convention;thethirdspecificlimitation,however,isnot,sinceitprovidesforthepossibilityof
limitationsinrespectofprivateusewithoutanyfurtherconditions,while,intheBerne
Convention,limitationsforprivateusearealsocoveredbythegeneralprovisionsofArticle 9(2)
and,consequently,aresubjecttothethree-steptest.
106. IfacountryadherestoboththeWCTandtheWPPT,whichisdesirable,onthebasisof
theabove-quotedArticle16(1)oftheWPPT,itisobligedtoapplythethree-steptestalsofor
anylimitationsandexceptiontotherightsprovidedforintheWPPT.Article16(2)ofthe
WPPT,however,containsaprovisionwhichprescribesthisdirectlyalso(and,thus,thattestis
applicableirrespectiveofwhetherornotagivencountryalsoadherestotheWCT);itreadsas
follows:ContractingPartiesshallconfineanylimitationsoforexceptionstorightsprovided

Page21

forinthisTreatytocertainspecialcaseswhichdonotconflictwithanormalexploitationofthe
performanceorphonogramanddonotunreasonablyprejudicethelegitimateinterestsofthe
performeroroftheproducerofthephonogram.
i.

TransferabilityofRights

107. Thequestionofwhetherornottherightstobegrantedunderwhatwasfirstreferredto
astheNewInstrumentandwhatbecamethentheWPPT,maybetransferablewasdiscussed
severaltimes.Finally,noprovisionwasincludedintotheWPPTonthisissue.This,
however,meansthattheTreatysimilarlytotheBerneConventionandtheWCTdoesnot
containanylimitationonthetransferabilityofeconomicrights.Thetransferabilityof
economicrightsisconfirmedalsobytheintroductoryphraseofArticle 5(1)onmoralrights
ofperformerswhichreadsasfollows:Independentlyofaperformerseconomicrightsand
evenafterthetransferofthoserights...(emphasisadded).
j.

TermofProtection

108. UnderArticle17oftheWPPT,thetermofprotectiontobegrantedtoperformersshall
last,atleast,untiltheendofaperiodof50yearscomputedfromtheendoftheyearinwhich
theperformancewasfixedinaphonogram.Thistermseemstodifferfromtheterm
providedforinArticle14.5oftheTRIPSAgreement,whichalsoreferstotheyearwhenthe
performancetookplaceasanalternativestartingpointforthecalculationoftheterm.In
practice,however,thereisnodifference,since,inthecaseofanunfixedperformance,the
termofprotectiononlyhasatheoreticalimportance.
109. Thetermofprotectionofphonogramsdiffersalsoinsubstancefromthetermprovided
forintheTRIPSAgreement.UnderArticle14.5oftheAgreement,the50yeartermis
alwayscomputedfromtheendoftheyearinwhichthefixationwasmade,whileunder
Article 17(2)oftheWPPT,thetermiscalculatedfromtheendoftheyearinwhichthe
phonogramwaspublished,anditisonlyincaseofabsenceofpublicationthatitiscalculated
asundertheTRIPSAgreement.Sincepublicationnormallytakesplaceafterfixation,the
termundertheTreaty,ingeneral,issomewhatlonger.
k.

Formalities

110. UnderArticle20oftheWPPT,theenjoymentandexerciseofrightsprovidedforinthe
Treatymustnotbesubjecttoanyformality.
l.

ApplicationinTime

111. Article22(1)oftheWPPT,ingeneral,providesforthemutatismutandisapplicationof
Article18oftheBerneConvention.Article22(2),however,allowsforContractingPartiesto
limittheapplicationofArticle5onmoralrightstoperformanceswhichtakeplaceafterthe
Treatyentersintoforceforthem.
o.

EnforcementofRights

112. Article20containstwoparagraphs.Paragraph(1)isamutatismutandisversionof
Article36(1)oftheBerneConvention.ItprovidesthatContractingPartiesundertaketo
adopt,inaccordancewiththeirlegalsystems,themeasuresnecessarytoensurethe

Page22

applicationofthisTreaty.Paragraph(2)isamutatismutandisversionofthefirstsentence
ofArticle41.1oftheTRIPSAgreement.Itreadsasfollows:ContractingPartiesshall
ensurethatenforcementproceduresareavailableundertheirlawsoastopermiteffective
actionagainstanyactofinfringementofrightscoveredbythisTreaty,includingexpeditious
remediestopreventinfringementsandremedieswhichconstituteadeterrenttofurther
infringements.

IV.

ADMINISTRATIVEPROVISIONSANDFINALCLAUSES

113. Articles24to33oftheWPPTcontainadministrativeprovisionsandfinalclauseswhich
coversuchissuesastheAssemblyofContractingStates,theInternationalBureau,eligibility
forbecomingpartytotheTreaty,signatureoftheTreaty,entryintoforceoftheTreaty,
effectivedateofbecomingpartytotheTreaty,denunciationoftheTreaty,languagesofthe
Treatyanddepository.
114. Theseprovisions,ingeneral,arethesameas,orsimilarto,theprovisionsofother
WIPOtreatiesonthesameissues.Onlytwospecificfeaturesshouldbementioned,namely
thepossibilityofintergovernmentalorganizationsbecomingpartytotheTreatyandthe
numberofinstrumentsofratificationoraccessionneededforentryintoforceoftheTreaty.
115. Article26oftheTreatyprovidesforeligibilitytobecomepartytotheTreaty.Under
paragraph (1),anymemberStateofWIPOmaybecomepartytotheTreaty.Paragraph(2)
providesthat[t]heAssemblymaydecidetoadmitanyintergovernmentalorganizationto
becomepartytothisTreatywhichdeclaresthatitiscompetentinrespectof,andhasitsown
legislationbindingonallitsMemberStateson,matterscoveredbythisTreatyandthatithas
beendulyauthorized,inaccordancewithitsinternalprocedures,tobecomepartytothis
Treaty.Paragraph(3)addsthefollowing:TheEuropeanCommunity,havingmadethe
declarationreferredtointheprecedingparagraphintheDiplomaticConferencethathas
adoptedthisTreaty,maybecomepartytothisTreaty.
116. Thenumberofinstrumentsofratificationoraccessionneededfortheentryintoforceof
thetreatiesadministeredbyWIPOhasbeentraditionallyfixedquitelow;fiveisthemost
frequentnumber.TheWPPT,initsArticle29,fixesthisnumbermuchhigher,namelyat
30 instrumentsofratificationoraccessionbyStates.

V.

CURRENTSTATUSOFTHEWPPT

117. TheWPPTenteredintoforceonMay20,2002.InformationonStatesthatarepartyto
thistreatycanbeobtainedfromtheInternationalBureauofWIPO.Theinformationisalso
availableonWIPOswebsiteat<http://www.wipo.int/treaties/ip/wppt/index.html>.

C.

CONCLUSIONS

118. Asdiscussedabove,themostimportantfeatureoftheWCTandtheWPPTisthatit
includesprovisionsnecessaryfortheadaptationofinternationalnormsontheprotectionof

Page23

works,performancesandphonogramstothesituationcreatedbytheuseofdigitaltechnology,
particularlyofglobaldigitalnetworksliketheInternet.
119. Theparticipationin,andtheuseof,theGlobalInformationInfrastructurebasedonsuch
technologyandsuchnetworksisanobviousinterestofallcountries.TheWCTandthe
WPPTestablishthelegalconditionsforthis.
120. Forthisreason,itisalsoaclearinterestofallcountriestoadheretotheWCTaswellas
totheWPPT.

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