University of Macau / Faculty of Law

海峽兩岸自2008年6月恢復中斷近10年的制度化協商管道之後，迄2013年6月，兩岸兩會已舉行9次高層會談並簽署19項協議，以及達成2項共識，不僅建立了兩岸「機制對機制」、「官員對官員」的協商模式，亦創造兩岸在經貿、社會交流秩序等各項互動上的保障，為兩岸關係打造和平穩定之發展環境。在此氛圍下，已逐步奠定了兩岸互利互信之基礎，亦深化了雙方在政治、經濟、社會、文化等多層面之交流，也預示著兩岸未來之合作與發展將有無限可能。 在此特別值得一提的是，兩岸於2010年6月29日第5次江陳會談簽署「海峽兩岸經濟合作架構協議」(ECFA)之同時，亦簽署了「海峽兩岸智慧財產權保護合作協議」，復於2012年8月9日第8次江陳會談簽署了「海峽兩岸海關合作協議」。前揭協議之簽署為兩岸在「智慧財產權保護」以及「海關合作」兩議題建立了相互溝通之平臺。因此，研析與比較我國與中國大陸海關智慧財產權邊境保護相關措施及其異同點，對於兩岸海關未來在相關措施法制面與實務執行面之革新、發展與合作十分重要。 本文首先透過對於兩岸相關文獻之回顧、相關國際規範及其發展之認識，瞭解兩岸及國際間海關智慧財產權邊境措施之過去與現在，再分別針對我國與中國大陸海關智慧財產權邊境措施進行研究，以充分瞭解兩岸海關現行措施之法制面與實務執行情形，復透過對於兩岸之間海關關員之執法權力、海關緝獲之侵權貨物，以及智慧財產權邊境措施制度面之比較，研析雙方之異同，並提出改進意見，最後再綜合歸納以獲致研究成果。 / Since June 2008 when Taiwan and China resumed institutionalized negotiation that has been interrupted for nearly ten years till June 2013, the Straits Exchange Foundation (SEF) and the Association for Relations Across the Taiwan Straits (ARATS) have held nine rounds of high-level talks, signed 19 agreements, and reached two consensuses. The resumption of bilateral talks has not only led to the establishment of “mechanism vs mechanism” and “official vs official” negotiation models, but has also safeguarded the security of economic and social activities in both sides and created a peaceful and stable environment for cross-strait relation. In this context, the two sides, which have gradually gained mutual trust, have deepened bilateral exchanges in political, economic, social and welfare aspects for mutual benefits. All of these forebode every possibility of future cooperation and development between the two sides. One thing worth our attention is the signing of the “Cross-Strait Agreement on Intellectual Property Rights Protection and Cooperation” on June 29th, 2010 when SEF and the ARATS officially signed the Cross-Strait Economic Cooperation Framework Agreement in the fifth round of Chiang-Chen talks. Furthermore, both sides signed the “Cross-Strait Customs Cooperation Agreement” on August 9th, 2012 in the eighth round of Chiang-Chen talks. The signing of the above agreements sets up a platform for both sides in implementing “IPR protection” and “Customs cooperation.” Therefore, the analysis and comparison of Cross-Strait Customs IPR protection border measures is very crucial to the innovation, improvement and cooperation of cross-strait Customs in terms of legal and practical aspects of relevant measures in the future. This study, through survey of cross-strait literature and knowledge of international standards and the development thereof, intends to comprehend the past and present of cross-strait Customs IPR border measures and international standards and then proceed to study IPR border measures of cross-strait Customs, so as to fully understand the legal and practical situation of current cross-strait Customs implementing IPR protection. Through comparing the legal authority of Customs officers, infringed commodities seized by Customs and IPR enforcement system of cross-strait Customs, this study also intends to analyze the discrepancies between the two Customs administrations and propose some personal opinions for improvement and present some conclusions as research results.

La pirateria és un problema derivat de la violació dels drets de la propietat intel·lectual; el coneixement es desenvolupa en aquest segle a un ritme frenètic i s'esbandeix amb una gran velocitat gràcies a la ret de rets; les mateixes innovacions tecnològiques ocasionen baixes barreres per a la protecció i faciliten copies. L'objectiu d'aquesta investigació ha estat contribuir en aclarir la problemàtica de la pirateria des de la perspectiva del consumidor, identificant els factors que aquest pren en compte al piratejar, per contribuir a que les autoritats que legislen i les empreses afectades millorin la comprensió de la problemàtica i disposin de criteris per afrontar-ne. Per complir amb l'objectiu es va fer una amplia revisió de la problemàtica en varis aspectes jurídics, empresarials, de conducta de compra i aspectes ètics a fi de trobar variables i decidir desprès l'àmbit de la investigació.La investigació s'ha centrat en la pirateria musical que hi ha en un país amb un alt índex de pirateria (98% segons l'IIPA), combinant investigació quantitativa i qualitativa. S'ha fet servir una mostra de 1000 consumidors dividida en dos parts de 500 consumidors de musica original i 500 consumidors de musica pirata, de entre 18 i 30 anys d'edat. Per fer el instrument de medició van incloure variables explicatives de la conducta que van sortir de la literatura revisada i dels estudis exploratoris previs, aquests factors van tenir en compte aspectes ètics, aspectes sorgits de la teoria de la decisió raonada (TRA), la implicació recomanada quan s'estudia conducta del consumidor, la oferta de productes i aspectes demogràfics.Els resultats mostren que tant les actituds com les normes subjectives dels enquestats indiquen negativa cap a la conducta pirata, apuntant a la identificació dels factors explicatius. La filosofia moral dels enquestats es respectuosa amb els valors universals i distingeix la conducta correcta de la incorrecta, encara que poden haver-hi unes excepcions. La variable va mostrar que tots estaven implicats amb el producte musical i que dues parts (inseguretat i simbolisme) podrien emplenar-se per influenciar en la conducta. La variable percepció de l'oferta, entesa com a disponibilitat del producte i preu, influeixen positivament en la pirateria, finalment les variables demogràfiques que influeixen son la disponibilitat per les despeses, educació i ocupació.Una conclusió de l'estudi es que la conducta pirata pot explicar-se combinant models teòrics amb variables de la TRA i models ètics. L'estudi directe de la conducta i no la intenció van permetre la incorporació d'aspectes addicionals referents a l'oferta del producte (controlada per l'empresa oferent) i les variables demogràfiques (afectades pel entorn socioeconòmic), deixant clar que la modificació de la conducta compren feines tant de l'empresa com del Estat.L'estudi qualitatiu final va contribuir a millorar les explicacions obtingudes en l'estudi quantitatiu al permetre que els mateixos consumidors expliquin o justifiquin la seva conducta i ofereixin suggeriments per millorar-la o modificar-la. Les limitacions d'aquest estudi es refereixen a la demarcació realitzada centrada en productes musicals i consumidors joves en un context tolerant a la pirateria i poc creient en les normes i aspectes legals, sent difícil generalitzar els resultats a unes altres condicions. Com a recomanació per investigacions futures suggerim reforçar els estudis de conducta donat que la rapidesa en la innovació i difusió per la ret de rets han alterat les formes de realitzar transaccions. Es suggereix també l'ús d'instruments i verificar el seu funcionament en altres cultures; en un mon global es necessari entendre si hi ha un comportament global. / La piratería es un problema derivado de la violación de los derechos de propiedad intelectual; el conocimiento se desarrolla en este siglo a un ritmo frenético y se difunde con gran rapidez gracias a la red de redes; las mismas innovaciones tecnológicas ocasionan bajas barreras para su protección y facilitan el copiado. El objeto de esta investigación ha sido contribuir a esclarecer la problemática de la piratería desde la perspectiva del consumidor, identificando los factores que este toma en cuenta al piratear, a fin de contribuir a que las autoridades que legislan y las empresas afectadas mejoren su comprensión de la problemática y dispongan de criterios para enfrentarla. Para cumplir con el objetivo se realizó una amplia revisión de la problemática que comprendió aspectos jurídicos, empresariales, de conducta de compra y aspectos éticos a fin de cernir variables y demarcar luego el ámbito de la investigación.La investigación se ha centrado en la piratería musical que ocurre en un país con un alto índice de piratería (98% según la IIPA), combinando investigación cuantitativa y cualitativa. Se ha utilizado una muestra de 1000 consumidores dividida en dos submuestras de 500 consumidores de música original y 500 consumidores de música pirata, de entre 18 y 30 años de edad. Para construir el instrumento de medición se incluyeron variables explicativas de la conducta que surgieron de la literatura revisada y de estudios exploratorios previos, estos factores comprendieron aspectos éticos, aspectos surgidos de la teoría de la decisión razonada (TRA), la implicancia recomendada cuando se estudia conducta del consumidor, la oferta de productos y aspectos demográficos.Los resultados muestran que tanto las actitudes como las normas subjetivas de los encuestados indican rechazo hacia la conducta pirata, apuntando a la identificación de otros factores explicativos. La filosofía moral de los encuestados es respetuosa de los valores universales y distingue la conducta correcta de la incorrecta, aunque hay una disposición a realizar excepciones. La variable implicancia mostró que todos los sujetos estaban fuertemente implicados con el producto musical y que dos de sus dimensiones (inseguridad y simbolismo) podían emplearse para influir en la conducta. La variable percepción de oferta, entendida como disponibilidad del producto y precio, influyen positivamente en la piratería, finalmente las variables demográficas que influyen son la disponibilidad para el gasto, la educación y la ocupación.Una conclusión el estudio es que la conducta pirata puede explicarse combinando modelos teóricos que incluyen variables de la TRA y modelos éticos. El estudio directo de la conducta y no la intención permitieron la incorporación de aspectos adicionales referentes a la oferta del producto (controlada por la empresa ofertante) y las variables demográficas (afectadas por el entorno socio económico), dejando en claro que la modificación de la conducta comprende tareas tanto de la empresa como del Estado.El estudio cualitativo final contribuyó a mejorar las explicaciones obtenidas en el estudio cuantitativo al permitir que los mismos consumidores expliquen o justifiquen su conducta y ofrezcan sugerencias para mejorarla o modificarla. Las limitaciones de este estudio se refieren a la demarcación realizada centrada en productos musicales y consumidores jóvenes en un contexto tolerante a la piratería y poco creyente en las normas y aspectos legales, siendo difícil generalizar los resultados a otras condiciones. Como recomendaciones para investigaciones futuras sugerimos reforzar los estudios de conducta dado que la rapidez en la innovación y su difusión por la red de redes han alterado la forma de realizar transacciones. Se sugiere también afinar el uso de instrumentos y verificar su funcionamiento en otras culturas; en un mundo global es necesario entender si hay un comportamiento global. / Piracy is the problem that you get when the copyrights are non respected. In this century new knowledge and their diffusion are faster than never before. These innovation lows the physical barriers to the copy and increase the acts of piracy. The purpose of this dissertation has been make a contribution to the knowledge of the piracy problem, the aims were to identify the factors that a consumer uses to decide their behaviour (piracy or not piracy) helping the firms and the legislator in their decisions. An extensive review of the literature was carried out in subjects as: business, legislation, consumer behaviour, ethical aspects in order to select variables and to demarcate the investigation.This research has been focused in the music piracy that occurs in a country with a high index of piracy (98% according to the IIPA), using qualitative and quantitative methodology. The sample was of 1000 consumers divided into 500 consumers of original CD's and 500 consumers of pirated Cd's, aged between 18 and 30 years old. To build the measuring instrument explanatory variables of the behaviour were included that arose of the literature and of prior exploratory studies, these factors understood ethical aspects, aspects arisen of the theory of the decision reasoned (TRA), the involvement recommended to study the consumer behaviour, supply and demographic aspects.The results show that the attitudes and the subjective norms of the polled indicate refusal towards the piracy, therefore the explanation of its conduct obeys to other factors. The moral philosophy of the polled is respectful of the universal values and distinguishes the correct conduct of the incorrect one, although there is a disposition to carry out exceptions. The variable implication showed that all the subjects were hardly implied with the musical product and that two of their dimensions (insecurity and symbolism) were able to influence in the conduct. The variable perception of supply and price of the product influences positively in the piracy, finally the demographic variables that influence are the availability of money to expense, the education and the occupation.The conclusion of the study is that the pirated conduct of the consumer can be explained combining the theoretical models that include variables of the TRA and ethical models. The direct study of the behaviour instead of the intention make necessary the use of additional aspects like de supply of the product (controlled by the business bidder) and the demographic variables (affected by the environment and the economic situation of the place of study), leaving in clear that to change de piracy behaviour means so much tasks of the business firms as of the State.Besides the final qualitative study contributed to improve the explanations obtained in the quantitative study, they justify their behaviour and give suggestions to improve it or to modify it. The limitations of this study refer to the choice of an specific kind of piracy centred in musical products and young consumers in a tolerant context to the piracy (not trust norms and legal aspects).As recommendations for future investigations we suggest to carry out more studies of conduct in order to know the influence of the variables that a consumer is faced in a context of rapidity in the innovation and his diffusion by the web have. It is also suggested to tune up the use of instruments and to verify his operation in other cultures; in a global world is necessary to understand if there is a global behaviour.

「知識經濟」時代裡，知識透過流通而生成更多文化資產帶給人類價值。知識，向來就是共有共享的。但起自智慧財產權出現後，開始出現知識私有、知識買賣的情形出現。難道，是著作權(copyright)戰勝了著作義(Copyleft)？近年來全球掀起一片「告！告！告！」的熱潮，無論是美國的Napster訴訟案，還是台灣的「成大MP3」事件；還是微軟在美國的反托拉斯訴訟，或是在台灣面臨合理議價調查，都顯示「著作權」引發的相關問題蔓延全世界。 本研究將知識/文化商品視為資訊資本主義社會的生產工具，並且探討當「智慧」變成「財產」時，資本主義、國家機器爭權奪利的過程中出現的問題與爭議。研究者先就著作權的政治經濟脈絡耙梳出「著作權」不是「道德問題」，而是「經濟問題」，更是國際關係中藉以制衡弱勢小國的利器。 實證部分以1960-2002年間台灣著作權發展過程中三個衝突事件為例，包括1960年代的《大英百科全書》翻印風波、1980年代的「蘋果電腦侵權事件」，及1990年代跨國公司進入後的台灣流行音樂產業作為個案，具體驗證台灣著作權發展過程中，的確受到資本主義與國家機器及國際依賴關係的影響。最終以近年來網際網路發展蓬勃，連帶引出的著作權爭議作結，本研究除了對台灣著作權的政治經濟發展提出看法外，亦在結論中對知識/文化產業，及著作權規範的未來發展提出意見。 / Under knowledge-based economy, knowledge brings more value to human beings by spreading and then generating cultural properties. Although sharing is the essential characteristic of knowledge, there have been some arguments that knowledge is private and knowledge can be traded after the idea of intellectual property rights emerged. Does it mean Copyrights overtops “Copyleft”? In recent years, there have been more and more lawsuits related to copyrights such as Napster vs. RIAA in 1999 in the US, and IFPI vs. NCKU MP3 lawsuit in 2001 in Taiwan. Moreover, Microsoft, the worldwide leading software company, also faced US federal government’s antitrust violations prosecution, and rational price investigation by Taiwan government. All these cases indicate that copyright has caused problems all over the world. This thesis regards both the knowledge and cultural products as the producing tools of information capitalism society. It also discussed the conflicts between Capitalism and state apparatuses when “knowledge” became “property.” By examining the context of political economy in intellectual property, the author achieved two conclusions. First of all, the copyright is not a moral issue but an economic one. Secondly, in international society, copyrights have been the weapon for powerful nations to control the powerless ones. We cited three copyright conflicts in Taiwan from 1960-2002, including the reprint issue of Encyclopaedia Britannica in the 1960s, copyright violation case of Apple Computer in the 1980s, and the international pop music piracy disputes in the 1990s, the author made an empirical research to conclude that the development of copyright in Taiwan indeed was affected by the capitalism, the state apparatuses, and the international interdependency. This thesis ended with the prospective copyright issues originated from the burgeoning Internet industry. Not only did the research indicate some suggestions regard to the development of political economy in copyright, also made comments about the future development of knowledge/culture industry’s copyright regulation.

Καθώς η Κοινωνία της Πληροφορίας αναπτύσσεται με ταχύτατους ρυθμούς, οι τεχνολογικές κατακτήσεις από το χώρο της επιστήμης των υπολογιστών και τηλεπικοινωνιών, αποτελούν σημαντικό κεφάλαιο σε αρκετούς επιμέρους τομείς του κοινωνικού βίου, ανάμεσα στους οποίους είναι και ο Πολιτισμός. Η πολιτισμική ποικιλομορφία του υπάρχοντος υλικού και η διάθεση για αξιοποίηση της επιπρόσθετης εκπαιδευτικής του αξίας, σε συνδυασμό με την απαίτηση για διάσωση των πρωτότυπων έργων, συνθέτει ένα πολύπλοκο τεχνολογικό πρόβλημα με νομικές και κοινωνικές προεκτάσεις. Η διαδικασία της ψηφιοποίησης και η δημιουργία μιας νέας άυλης ηλεκτρονικής υπόστασης για τα έργα πολιτισμού, γεννά νέες δυνατότητες αλλά παράλληλα θέτει νέους περιορισμούς. Η έμπνευση και η δημιουργικότητα των καλλιτεχνών εκφράζεται με τα πνευματικά δικαιώματα, η προστασία και η διαχείριση των οποίων αποτελεί το αντικείμενο της διπλωματικής εργασίας. Το σύνολο των πνευματικών δικαιωμάτων και ο τρόπος που αυτά ορίζονται, δεσμεύονται, εγείρονται και μεταβιβάζονται, μεταβάλλεται ριζικά καθώς περνάμε από την πραγματική αναλογική μορφή στην άυλη ψηφιακή απεικόνιση. Στην παρούσα διπλωματική εργασία, ορίζονται οι διάφοροι τύποι δικαιωμάτων πνευματικής ιδιοκτησίας και αποσαφηνίζονται οι δεσμεύσεις και οι περιορισμοί που προκύπτουν από αυτά συναρτήσει της Διεθνούς,της Ευρωπαϊκής και της Ελληνικής Νομοθεσίας. Επίσης, καθορίζεται η ενδεικτική διαδικασία που πρέπει να ακολουθηθεί από μια οντότητα (πολύ συχνά από έναν πολιτιστικό οργανισμό) για την εκκαθάριση των δικαιωμάτων των έργων που κατέχει, κατά τη διαδικασία της Ψηφιοποίησης με σκοπό την προβολή τους στο Διαδίκτυο. Σε δεύτερη φάση, μελετάται το ευρύ φάσμα των τεχνολογικών μέσων, τα οποία μπορούν να χρησιμοποιηθούν για την προστασία των πνευματικών δικαιωμάτων που δεσμεύουν τους ψηφιακούς πόρους, παράλληλα με κάποιο κατάλληλα επιλεγμένο σύνολο μεταδεδομένων. Ιδιαίτερο τμήμα της εργασίας, αποτελούν τα συστήματα ψηφιακής διαχείρισης των πνευματικών δικαιωμάτων (DRMs). Πραγματοποιείται αναλυτική παρουσίαση των προτεινόμενων προτύπων που πρέπει να ακολουθούν τα συστήματα αυτά, όσον αφορά την αναπαράσταση και μοναδική αναγνώριση των δεδομένων, αλλά και την αναπαράσταση των δικαιωμάτων μέσων των γλωσσών περιγραφής πνευματικών δικαιωμάτων. Τέλος, παρουσιάζονται, η αρχιτεκτονική, οι βασικές λειτουργίες και η υλοποίηση ενός πρότυπου συστήματος διαχείρισης πνευματικών δικαιωμάτων για ψηφιακές εικόνες. / As Information Society is rapidly developing, technological conquests in computer science and telecommunications are becoming a very important part in many areas of social life, including Culture. The diversity of the cultural material and the intention of utilizing the added educational value, combined with the demand for preservation of the original works, compose a complex technological problem with legal and social extensions. The inspiration and creativity of the artists are expressed by Intellectual Property Rights – IPR, the protection and management of which is the subject of this thesis. The set of rights as well as the way they are specified, rised, binded and assigned changes while we pass from the analog to the materialess digital display. In this thesis we define the several types of Intellectual Property Rights and clarify the engagements and restrictions that result from them in connection with the International, European and National legislation. We also define the process that an entity (usually a cultural organization) must follow in order to clear the rights of the works it owns, during a digitization process which will lead to publication on the Internet. In the second part we study the technological solutions that can be used for the protection of IPR in parallel with a suitable metadata set. A special part of the thesis is the study of Digital Rights Management Systems – DRMs. We analytically present the standards on which modern DRMs must be based on in terms of identification and declaration of digital resources, as well as the representation of rights through rights expression languages. Finally we present the architecture, basic functionality and realization of a new Digital Rights Management System for digital images.

Mémoire numérisé par la Division de la gestion de documents et des archives de l'Université de Montréal

This thesis provides an analysis of recent attempts to regulate the governance of genetic resources through the initiation of new global commons regimes. These attempts have arisen out of a combination of the growing recognition of genetic resources' value and global nature; a new resurgence in support for the common property paradigm; and, during a period in which the world is becoming increasingly globalised, with many governance competencies moving to the supranational level. They can be viewed as part of a broader effort to proffer the common property approach as a legitimate alternative in the property regime debate: a debate that has increasingly become trapped in the public-private dichotomy at the dawn of the twenty-first century. The aim of this thesis is to investigate the success of these attempts, and offer suggestions about how future attempts might be more successful. While there are a multitude of books, articles, opinion pieces and media reports produced that concern themselves with property theory, intellectual property theory, the efficacy or morality of applying property regimes to living materials, and the threats and promises of globalisation, all of which influence the notion of a potential global genetic commons, relatively little has been written directly on the idea of applying global common property regimes to genetic resource governance issues. The first part of this thesis constructs a theory of a global genetic commons, drawing inspiration from a variety of sources, while the second part tests this theory in order to analyse the outcomes of the recent attempts, and suggest directions for future research. The thesis finds that the conception of a global genetic commons is indeed a valid one, and that while not all attempts so far have been successful, the common property paradigm does offer valuable insights for the future governance of genetic resources at the global level.

Questa tesi analizza le determinanti e gli effetti dell'innovazione attraverso un'analisi empirica. Nel primo capitolo viene analizzato l'impatto delle leggi di proprietà intellettuale sull'innovazione domestica in campo farmaceutico. Nel secondo capitolo, in cui vengono usati dati a livello di impresa, si studia la correlazione tra innovazione, export, produttività e vincoli finanziari. Infine nell'ultimo capitolo si studia l'effetto dell'innovazione domestica nell'attrarre investimenti diretti esteri. Mentre nel primo e nell'ultimo capitolo l'innovazione viene misurata come output, usando il numero di brevetti attribuiti ad un determinato paese, nel secondo capitolo vengono usati dati di R&D, e quindi di input di innovazione. / This dissertation analyses the determinants and the effects of innovation using an empirical analysis. In the first chapter the impact of Intellectual Property Rights on domestic innovation in the pharmaceutical sector is estimated. In the second chapter the correlation between innovation, export, productivity and financial constraint is studied at the firm level. Finally, in the last chapter the role of domestic innovation in attracting Foreign Direct Investments is estimated. While in the first and in the last chapter innovation output is considered, and innovation is proxied by patent data, in the second chapter innovation input is taken into account, and R&D data are used.

Die vorliegende Arbeit gliedert sich in zwei Teile. Der erste Teil widmet sich der Fragestellung inwiefern formelle Gruppeneigentumsrechte Herkunftsgemeinschaften vor unautorisierten Verwendungen ihrer traditionellen kulturellen Ausdrucksweisen (TKAs) schützen können. Kapitel 2 und 3 führen hierzu einen ökonomischen Vergleich fünf so genannter sui generis Rechte zum Schutz jener TKAs durch und leiten Politikempfehlungen ab. Zum einen bilden die Beiträge eine Rangfolge der Transaktionskosten, die bei Verhandlung über Verwendungen der TKAs entstehen können. Zum anderen vergleichen die Kapitel, ob die Schutzpräferenzen der Ursprungsgemeinschaft durch die Modelgesetze geschützt wären. Hierbei zeigt sich, dass ein Prinzipal-Agenten-Problem auftritt sollten staatliche Behörden über zu viel Verhandlungsmacht verfügen. In diesem Fall werden Bürokraten eher ihre eigenen Interessen als die der Eigentümer der TKAs durchsetzen. Letztendlich existiert zwischen beiden Effekten ein klarer Trade-Off: Je mehr ein Gesetz die Schutzinteressen der Ursprungsgemeinschaften schützt desto höher sind seine Transaktions- und somit sozialen Kosten. Der zweite Teil dieser Arbeit behandelt – auf Basis ökonomischer Laborexperimente – den Fragenkomplex wie Gruppenmitglieder öffentliche Güter im Kontext kulturellen Eigentums – so wie TKAs – bereitstellen. Der Fokus liegt hierbei auf dem Einfluss sozialer Identität auf das Ausmaß an positiver sowie negativer Reziprozität der Individuen als Determinanten der sozialen Wohlfahrt. Die bedingte Kooperation der Gruppenmitglieder sowie das gegenseitige Bestrafungsverhalten untereinander bilden hierfür Maße für positive und negative Reziprozität. Kapitel 4 zeigt, dass Individuen unter dem Einfluss sozialer Identität grundsätzlich divergierende Kooperationspräferenzen abhängig davon mit wem sie interagieren aufzeigen. Auf Basis eines Within-Subject-Designs und mehreren ein-Perioden Spielen in Strategiemethode, zeigt der Beitrag, dass Individuen in identitäts-homogenen Gruppen (In-Group) die Präferenz für eine höhere bedingte Kooperation und weniger Eigennutzorientierung als in einer heterogenen Gruppe (Out-Group) zeigen. Zusätzlich neigen Individuen in heterogenen Gruppen eher zu einem vollständigen Trittbrettfahrerverhalten. Somit könnten Politikinstitutionen, die den Zusammenhalt einer Gruppe betonen, die soziale Wohlfahrt steigern. Auf der Basis eines zehn-Perioden-Spiels zeigt Kapitel 5, dass hauptsächlich vergleichsweise höhere Erwartungen an die Kooperation der Mitglieder in einer In-Group als an die in einer Out-Group Wohlfahrtsgewinne in homogenen Gruppen im Zuge mehrperiodischer Interaktionen auslösen. Die bedingte Kooperation – hier die Erwiderung der eigenen Erwartungen an die Kooperation der Gruppenmitglieder durch eigene Beiträge – ist hingegen in In- und Out- Groups ähnlich. Insgesamt belegt dieser Beitrag somit, dass Erwartungen der Individuen der entscheidende Faktor für das Beitragsverhalten der Gruppenmitglieder unter sozialer Identität ist. Kapitel 6 analysiert inwiefern die Möglichkeit einer gegenseitigen Bestrafung die Kooperationsbereitschaft unter dem Einfluss sozialer Identität ändert. Hierzu verwendet der Beitrag ein-Perioden-Spiele in Strategiemethode sowohl mit als auch ohne Bestrafung. Es zeigt sich, dass die Antizipation einer Bestrafung in heterogenen Gruppen zur größten Anhebung der Kooperationsbereitschaft führt, was am deutlichsten durch das Verhalten der Free-Rider ausgelöst wird. Darüber hinaus hebt die Bestrafungsinstitution unterschiede in der Kooperationsbereitschaft zwischen homo- und heterogenen Gruppen auf, die sich typischer Weise zugunsten homogener Gruppen verlagert. Letztlich deuten die Ergebnisse darauf hin, dass im Vergleich zu einer Situation in der ausschließlich eine Bestrafungsinstitution vorliegt, eine zusätzliche Identitätszuschreibung die Wohlfahrt zusätzlich erhöht. Mit Fokus auf negativer Reziprozität untersucht Kapitel 7 die Frage inwiefern soziale Identität das Bestrafungsverhalten gegenüber Gruppenmitgliedern beeinflusst, die weniger zum öffentlichen Gut beitragen als der Bestrafende. Hier zeigt sich, dass Mitglieder identitäts-homogener Gruppen seltener und in geringerer Höhe bestrafen, als es in heterogenen Gruppen der Fall ist. Darüber hinaus ist das Bestrafungsverhalten in heterogenen Gruppen signifikant stärker durch Ärger-ähnliche Emotionen motiviert als in homogenen Gruppen. Insgesamt zeigt der zweite Teil dieser Dissertation, dass Identitätszuschreibungen sowohl positive als auch negative Reziprozität beeinflussen und somit die soziale Wohlfahrt bei der Bereitstellung öffentlicher Güter – auch im Kontext kulturellen Eigentums – beeinflussen. Diese Ergebnisse sind demzufolge für Verhaltensabschätzungen im Rahmen von Politikempfehlungen relevant, die sich auf Situation mit dem Charakter öffentlicher Güter beziehen.

The occupation of Moutoa Gardens in 1995 highlighted efforts by Whanganui iwi to draw attention to the non-settlement of long-standing land grievances arising out of land confiscations by the Crown in New Zealand in the 1860s. Maori attitudes to land have not been well understood by successive New Zealand governments since that time, nor by many Pakeha New Zealanders. In an effort to overcome that lack of understanding, this thesis studies a particular genre of Maori composition; namely, waiata tangi or songs of lament, which contain a strong indigenous sense of place component. The waiata used in this study derive from my tribal area of Taranaki, which is linked historically and through whakapapa with Whanganui iwi. These waiata were recorded in manuscript form in the 1890s by my great-grandfather Te Kahui Kararehe, and are a good source from which to draw conclusions about the traditional nature of Maori feelings for place. Two strands run throughout this thesis. The first examines the nature of Maori feelings for place and land, which have endured through primary socialisation to the present day. By focusing upon a form of expression that reveals the attachment of Maori towards their ancestral homelands, it is hoped that the largely monocultural Pakeha majority in New Zealand will be made aware of that attachment. It is also hoped that Pakeha may be suitably informed of the consequences of colonialist intervention in the affairs of the Maori people since 1840, which have resulted in cultural deprivation and material disadvantage at the present day. In the current climate of government moves to address the problems bequeathed them by their predecessors, it is important that the settlement of land claims and waterways under the Treaty of Waitangi should proceed unhindered by misapprehension and misinformation on the part of the public at large. The second strand of my thesis concerns the waiata texts themselves, which I wish to bring to the attention of the descendants of the composers of those waiata, who may or may not know of their existence. Since so much of value has been lost to the Maori world it is important that the culturally precious items that remain should be restored as soon as possible to those to whom they rightfully belong. Key themes examined in this thesis are the nature of Maori "feelings" for place and a "sense" of place; Maori research methodologies and considerations, including Maori cosmology and genealogical lines of descent; ethical concerns and intellectual property rights; ethnographic writings from the nineteenth century which tried to make sense of Maori imagery and habits of thought; the Kahui Papers from which the waiata were drawn; and the content and imagery of the waiata themselves. I also discuss the use of hermeneutics as a methodological device for unlocking the meanings of words and references in the waiata, and present the results both from a western sense of place perspective and a Maori viewpoint based on cultural concepts and understandings.