法律及公立图书馆：从文本资源走向网络资源 Law and the public library: from book collections to cyberspace   Tim Zou Associate Professor Head of Access Services University Libraries University of Arkansas at Fayetteville tzou@uark.edu   邹际平 副教授 借阅流通服务部主任 阿肯色大学图书馆 阿肯色大学费耶特校区 tzou@uark.edu  

公立图书馆的定义 Definition of a Public Library 图书馆依靠公共基金运营 A library that is operated with public funds 图书馆员工属于政府雇员 The employees of the library are considered government employees 图书馆的建筑地产或设备是由政府提供 的 A library receives significant assistance from the government by provision of property or equipment 监管图书馆的董事会是由选民或代表选民的政府推选的 A library is governed by an independent board elected by the voter or appointed by elected officials.

美国的图书馆是为社区的居民而设立并提供服务。如同任何其它社会公益服务事业一样，公立图书馆的管理和运作也必须在一套相应的法律条框之内。 担任公立图书馆领导的掌门人必须谙熟与图书馆有关的法律条框。 Libraries in the U.S. exist to serve people and the community. Public libraries are governed by a legal framework as broad as any that covers other endeavors in our society. Administrators who are chosen to administer publically funded libraries must understand the law as it applies to them.

Overview 依照这套法律条框图书馆或者图书馆系统制定出相关的服务管理制度章程，以便有效地（1）维护读者在自由阅读，个人信息隐私，自由选择使用信息方面的权益；（2）遵守关于在信息文献版权，知识产权，互联网使用及管理，公民权益，及劳工制度方面的法规。 The legal framework provides guidelines for a library or a library system to develop local policies for the purpose of (1) protecting intellectual freedom, patron privacy, and their right to open and free access to information, and (2) being in compliance with laws governing copyright, intellectual property, Internet and cyberspace, civil rights, and employment.

法律来源 Source of Law 私法 Private Laws 地市郡行政法律　Local Laws of Cities, counties, and Township 州级行政法令　State Administrative Law 　州级法规　Statutory Law at the State Level 总统法令　Executive Orders 联邦法规　Administrative Regulations 国会订立的法规　Statutory Law at the Federal Level　(U.S. C). 宪法　Constitutional Law

公民权利宣言 (The Bills of Rights) 支撑与图书馆有关的法律框架的核心理念是宪法修订案第一条及全美图书馆协会籍此制定的图书馆权利宣言。At the heart of the legal framework, however, are the spirit of The First Amendment and its core values delineated by the American Library Association (ALA) in the interpretations of the First Amendment in Library Bill of Rights. “国会不应制定任何法规。。。来限制公民言论或出版自由，用和平方式结社集会，呼吁政府关切人民的不满和投诉。” “Congress shall make no law …abridging the freedom of speech, or of the press; or the right of people peaceably to assemble, and to petition the government for a redress of grievances.”

ALA 图书馆权利宣言 （The Library Bills of Rights) 图书及馆藏是用来为社区内有的人民服务的，满足他们对信息和思想启蒙的需要。图书馆在选购收藏资源时不应以作者的种族根源，社会背景，思想观点不同作为排斥他们作品的依据。Books and other library resources should be provided for the interest, information, and enlightenment of all people of the community the library serves. Materials should not be excluded because of the origin, background, or views of those contributing to their creation. II. 图书馆收藏的资料和信息应广集古今形形色色的思想观点。收藏资 料和信息不应按政治派系或思想信条不同来取舍。Libraries should provide materials and information presenting all points of view on current and historical issues. Materials should not be proscribed or removed because of partisan or doctrinal disapproval.

ALA 图书馆权利宣言 The Library Bills of Rights III.为了使用信息资料来启蒙读者，图书馆反对审查和限制。Libraries should challenge censorship in the fulfillment of their responsibility to provide information and enlightenment. IV. 图书馆愿意与民众与社团一起抵制任何对自由表达自由阅读的限制。Libraries should cooperate with all persons and groups concerned with resisting abridgment of free expression and free access to ideas. V. 读者使用图书馆的权利不能因其种族根源，年龄，社会背景及政治观点被剥夺或受到限制。A person’s right to use a library should not be denied or abridged because of origin, age, background, or views. VI. 图书馆为社区的民众提供展览空间，集会厅馆，应对申请使用的社团一视同仁。不许以申请使用者的信仰，社团的思想倾向为拒绝的依据。Libraries which make exhibit spaces and meeting rooms available to the public they serve should make such facilities available on an equitable basis, regardless of the beliefs or affiliations of individuals or groups requesting their use.

ALA 图书馆职业守则 ALA Code of Ethics 通过对图书资源的合理实用的组织管理，订立合理公平的服务制度章程，提供公平合理的流通借阅服务，以严谨，无偏见，诚悦的态度接待读者各种信息咨询，我们对所有读者提供最高品质的服务。 We provide the highest level of service to all library users through appropriate and usefully organized resources; equitable service policies; equitable access; and accurate, unbiased, and courteous responses to all requests. 我们遵循知识自由的原则，不对任何审查限制读书馆信息资源的要求和试图放弃我们的原则。We uphold the principles of intellectual freedom and resist all efforts to censor library resources. 我们保护读者用户的隐私保密权益，拒绝泄露他们查询，接收，借阅，请购，网上传递的信息。内容We protect each library user's right to privacy and confidentiality with respect to information sought or received and resources consulted, borrowed, acquired or transmitted. 我们遵重知识产权，也倡导对使用信息的读者和信息专利持有人双方各自权益方给以同等的尊重。We respect intellectual property rights and advocate balance between the interests of information users and rights holders. 2017/3/19 Libraries and Laws in the US (IMLS Project: Think Globally Act Globally)

ALA 图书馆职业守则 ALA Code of Ethics 我们尊重同事和同行，以诚信的态度公平待人，致力创造一个维护员工和工作单位共同权益的工作环境。We treat co-workers and other colleagues with respect, fairness, and good faith, and advocate conditions of employment that safeguard the rights and welfare of all employees of our institutions. 我们工作时不把个人私利置于图书馆读者用户，我们的同事，及服务单位的利益之上。We do not advance private interests at the expense of library users, colleagues, or our employing institutions. 我们不把个人的信念观点等同于职业准则，不允许用个人的信念观点来左右我们如何无偏见地代表我们的服务单位，帮助读者用户使用和借阅馆藏信息资源。We distinguish between our personal convictions and professional duties and do not allow our personal beliefs to interfere with fair representation of the aims of our institutions or the provision of access to their information resources. 我们追求完美的专业服务，不断扩展我们的眼界，提升专业水平技能，不断推动同事一同提升专业水平和技能，鼓励影响更多的成员加入图书馆职业。We strive for excellence in the profession by maintaining and enhancing our own knowledge and skills, by encouraging the professional development of co-workers, and by fostering the aspirations of potential members of the profession. 2017/3/19 Libraries and Laws in the US (IMLS Project: Think Globally Act Globally)

读者隐私 宪法中并没有提到“隐私”但是最高法院认为宪法中有保护公民隐私的依据。宪法修订案第四条保护公民的人身，住宅，文件，财产不被无正当理由的搜查和拘留。隐私权是用来保护公民的话语权，及使用信息，表达自己观点，见解，和思想的权利。因此和宪法修订案第一条也有关联。关于公民隐私的具体法律保护条例大都是由各州来订立，没有在联邦法层面上的具体法规。因此依各州法决定。 The word “privacy” does not appear in the Constitution but the SC has determined that it is implied. Fourth Amendment asserts that individuals have rights against unreasonable searches and seizures of their persons, houses, papers, and effects. The privacy is protect for the reason of protecting individuals right of speech (expression) and access to information, views, opinions, and ideas. The present state of privacy law is based mostly on state law, therefore various from state to state.

公共图书馆服务及读者用户的隐私 Privacy Issues for Public Libraries 借阅流通信息 Circulation of library materials 读者用户个人信息储存 Patron record database RFID射频识别 RFID technology 家长对未成年子女使用图书馆的监管 Parents’ right to access their children’s library circulation information 馆际互借和它馆用户信息 Interlibrary borrowing service 使用图书馆的计算机和网络信息 Use of Internet in public libraries 个人登录信息 Workstation sign-up sheets 搜索历史，临时文件夹，Cookies文件夹 Search history, temporary files, and cookies 成年人网站，色情黄色网站内容及对未成年儿童的保护 Adult web contents and protection for children 自由网络使用和社会公益安全 （open access to Internet vs. public safety

USA PATRIOT Act The Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 不是独立的法案，但此法案修订了若干条联邦法规　The Act is not a stand-alone law, but an act that amends over a dozen federal statutes. 修订了FISA，降低了请求法庭发布调查令的门槛　另The Act amends the Foreign Intelligence Surveillance Act (FISA) of 1978 to allow its lower thresholds for court order to be used when “a significant purpose of the surveillance is to obtain foreign intelligence information.” 215 条修订了FISA授权联邦调查局局长请求法院发布调查令。调查签发后，联邦调查局有权搜查图书馆所有信息数据　The section 215 of the Act amends FISA to authorize the director of the FBI or his designee to “to make an application for an order requiring the production of any tangible thing including books, records, papers, documents, and other items for an investigation against international terrorism . . .” Once granted, the order entitle the FBI to procure any library records, including circulation and Internet use records. ２

图书馆的网络空间Cyberspace 宪法第一修订案和互联网 First Amendment and the Internet 公共图书馆有义务提供互联网服务吗？Does a public library have to provide Internet access? 图书馆应怎样回应读者对其他读者网上搜寻阅览内容的投诉？How should a library respond to a complaint about what another patron is viewing on a computer terminal? 图书馆是否能够要求家长提供书面许可否则不允许他们的未成年子女使用不加过滤的互联网搜索引擎？Can a library require parental permission before permitting a minor to use unfiltered computer access to the Internet ? 在儿童阅览室的电脑上装网络过滤软件违反宪法吗？Would it be constitutional to provide filtered Internet access in the children’s reading room? 图书馆可以封闭被疑为登载儿童色情图像的网站吗？Can library block a site because of a suspicion that it contains obscene or child pornographic materials?

版权及其合理使用 Copyright and Fair Use 版权持有者的一揽子权利 (U.S. Codes, Section 106) 对原作复制复印 (Reproduction) 对原作的改编演绎 (Derivative works) 对作品的分销散发 (Distribution) 对作品公众演出 (Performance) 对作品的公众展览 (Display) 对作品录音数字化之后的转播 (Performance of sound recordings by digital transmission) “The right held by copyright owners to control reproduction (copies) of their works is the most important issues that libraries confront.” ( Minow and Lipinski, 2003 , 23)

版权法条款 Term of copyright 1909 28 years s+ 28 years 56 years 受版权法保护的作品 Literary works Musical works Pantomimes & choreographic works Pictorial, graphic, & sculptural works Motion picture & other audiovisual works Sound recordings Architectural works 1976 Act (section 202 personal author) life + 50 years ? 1998 Amendment Life + 70 years ? 公共领域的作品 Materials on which the copyright has expired Materials in which the author never claimed copyright i.e. dedicated to the public Materials produced by the federal government (§ 105)

合理使用的原则 Fair Use Doctrine (§ 107) 合理使用受版权保护的作品包括对作品的复印复制。。。目的是用来写评论，作记录，写新闻报道，授课（包括在授课时对学生发放原文的复印件）从事学术研究。这种使用不构成对版权的侵犯。 . . . The fair use of a copyrighted work, including such use by reproduction in copies . . . For purpose such as criticism, comment, news reporting, teaching (including multiple copies for classroom use), scholarship, or research, is not infringement of copyright.

合理使用的四条衡量标准 Fair Use Factors (U.S. Codes, Section 107) 是否属于合理使用受版权保护的出版物受四个因素的制约 (Four “fair use” factors) Purpose and character of the use 使用的目的，特性 Nature of the copyrighted work 作品的属性 Effect of the use upon the potential market for or value of the work 使用后对作品市场价值和营销的影响 Amount and substantiality of the portion used 使用的数量比例和内容的核心程度 Cases: American Geophysical Union v. Texaco, Inc. A & M Records, Inc. v. Napser, Inc Author’s Guide et al. v. Google

违反版权法法惩罚方式 Penalties for Copyright Infringement 如果图书馆被法庭裁定触犯了版权法，法律后果是什么？ 法律禁令 Injunction (temporary or permanent) 赔偿实际损失 Copyright owner is entitled to recover the actual damages suffered 按法规赔偿 statutory damages 由法庭裁定不低于$750 不高于 $30,000 如果法庭证明是明知故犯法庭可裁定高至$150,000的赔偿费（一部作品） 如果法庭认为是疏忽大意在不知情的情况下使违法行为发生，法庭可裁定减轻惩罚最低到$200（一部作品） Case： UMG Recordings, Inc. v. MP3.com, Inc. (Reached $118 million for 4700 CDs at $25,000 per CD).

违反版权法发按刑事犯罪惩罚 Criminal Penalties for Copyright Infringement 盗用他人版权为谋取商业盈利 最高一年监禁 如果商业盈利按零售价超过$2,500 而且在180天内非法翻制10份以上，最高5年监禁 如果连续违法两次以上，最高10年监禁 盗用他人版权但并非谋取商业盈利 如果使用作品按零售价价值在$1000以下，最高一年监禁 如果使用作品按零售价价值在$1000以上，而且在180天内非法翻制10份以上，最高3年监禁 如果连续违法两次以上，最高6年监禁 18 U.S.C.§2319 (2001)

合同法－签署使用协议书 License Agreement 洽谈签署使用信息资源的合同是图书馆的重要职责。所有合同的条款都有商讨的余地。 “Negotiating a licensed agreement for the use of resources is an important function for each library. Every license is subject to discussion of terms and to negotiation between the parties.” 每个图书馆都应事先为签定电子出版资料做好最充分准备以便通过商讨 获得最优惠的使用权。 “Libraries must be prepared to review contracts for the acquisition of digital works more closely than ever before and bargain for full access rights.” Lee Ann Torrans, Law and Libraries: The Public Library, Westport, Conn. Library Unlimited, 2004 176

劳工法规 Laws governing Library employment 联邦法和州法都强调要解决雇主和雇员的互相依赖但已失去了平衡的双向关系。Both federal and state laws have addressed the complex interdependence and the imbalance between individuals and the increasing ability of those in positions of power to harm the powerless. Both at-will and contract employees many be terminated for cause. 无歧视就业法保护雇员，允许雇员申诉如果雇员认为雇主因为雇员的年龄，种族肤色，国籍，宗教信仰，性别，怀孕生育而进行歧视。　Fair Employment Laws –Title VII of the Civil Rights Act of 1964 i.e. an employee may claim under Title VII that the employer have discriminated against the employee on the basis of age, race or color, national origin, religion, gender, pregnancy. 联邦法禁止利用工作之便对异性员工进行性骚扰 Sexual harassment—Title VII prohibit two types of sexual harassment in the workplace: (1) quid pro quo (a favor for a favor) (2) hostile working environment

劳工法规 Laws governing Library employment 许多政府部门雇员受工会组织的保护 Many state, city, and county public employees are represented by a union. 解决劳工纠纷还要参照州的行政法令，宪法，民事法，及涉及集体谈判，无理解雇等法规 There are various bodies of law of employment impacting the library including administrative, constitutional, civil service, collective bargaining, and wrongful discharge. 图书馆员和图书馆职工的聘用解职制度是按照当地法规制定的。有的图书馆的人士聘用解职要由董事会批准。 The employment of librarians and other library employees is governed by local law. Many libraries are managed by a library board, which provides relief to the library from its obligation to adhere to the law.

图书馆为残疾人服务 Public libraries and disabilities 残疾人法(American with Disabilities Act of 1990). ADA明文规定公共设施都不可以残疾为理由拒绝残疾人参加和享受设施所提供的服务和活动。拒绝他们时对它们的歧视。A public entity may not refuse to provide a disabled individual with an equal opportunity to participate in or benefit from its program simply because the person has a disability. It is discriminatory to deny a person with a disability the right to participate in or benefit from the aid, benefit, or service provided by the public entity. 四条顾及残疾人的的方法： 修改建筑设计 （change the architecture) 更替现有设备 (change the equipment) 改变服务和活动的方法 (change the nature of the activity) 制定专人为残疾人服务 (provide direct personal assistance from another person)

网络环境下的法律问题 Legal Issues in an Online 网页上的信息内容和版权 （Copyright and websites) 网页和计算机的设定是否符合残疾人法案规定 ADA 的要求 (library web sites and ADA compliance) 网络隐私和社会安全 Users’ online privacy and confidentiality 色情网站内容和言论自由 Pornography on the web and the freedom of speech 图书馆的互联网和对未成年读者的保护 Library’s responsibility to protect children readers from online content “harmful to minors.” 公共信息及保管法 Public Information (Records) Acts and public records archives 电子邮件使用规则 Policies regarding using organization e-mail system 上班期间浏览网页（员工的自由和限制）Browse of Internet at work –where is the limit?

谢谢！