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To Steal a Book Is an Elegant Offense

Intellectual Property Law in Chinese Civilization

William P. Alford

Stanford University Press, Stanford, California 1995

Studies in East Asian Law, Harvard University The Harvard Law School, in cooperation with the John King Fairbank Center for East Asian Research, the Harvard-Yenching Institute, and scholars from other institutions, conducts a program of training and research designed to further scholarly understanding of the legal systems of China, Japan, Korea, and other jurisdictions in East Asia. In conjunction with this program, a series of publications was established in 1967.

Stanford University Press

Stanford, California

1995 by the Board of Trustees of the Leland Stanford Junior University Printed in the United States of America

CIP data appear at the end of the book

Stanford University Press publications are distributed exclusively by Stanford University Press within the United States, Canada, and Mexico; they are distributed exclusively by Cambridge University Press throughout the rest of the world.

This study is dedicated to Daniel Shen Alford and his four grandparents. May he lead as worthy a life as they have.

Acknowledgments

I k n o w no better w a y to preface a study on intellectual property than to recognize the contributions of others. Such a c k n o w l e d g ment must begin in this case w i t h an expression of my deep gratitude to the law firm of O ' M e l v e n y & M y e r s , w h i c h , in but one of its many contributions to the public weal, provided support that helped launch this project. In selecting me through an international competition as the first recipient of a grant to commemorate its c e n tennial, O ' M e l v e n y & M y e r s provided me w i t h the equivalent of a research sabbatical. D u r i n g that period and since, I have been able to interview public and private decision makers, as w e l l as victims and perpetrators of infringement; pour through musty archival m a terials here and abroad; traverse back alleys in search of "pirates"; and t h r o u g h more conventional means carry out the bulk of the research that forms the basis of this b o o k . I am no less appreciative of the w i s e counsel that Warren Christopher, w h o was formerly the firm's managing partner, and H o w a r d C h a o , Gary Horlick, the late Richard S h e r w o o d , John Stamper, K o - Y u n g T u n g , and others at O ' M e l v e n y & M y e r s offered, all the while remaining mindful of my need for scholarly independence. I also feel very thankful for the generosity of many others. T h e late Professor M e l v i l l e N i m m e r was an inspiration. A l t h o u g h M e l w a s a preeminent scholar of copyright, he always found time to help y o u n g e r colleagues and, in this and many other w a y s , exemplified h o w one m i g h t gracefully blend professional excellence w i t h k i n d ness. T h e deans under w h o m I have been fortunate e n o u g h to have w o r k e d D e a n Robert C l a r k of the Harvard L a w School and D e a n Susan Westerberg Prager and Professor Carole G o l d b e r g - A m b r o s e o f the U C L A School o f L a w d i d exactly what g o o d deans should

viii / A c k n o w l e d g m e n t s do, providing the heartfelt scholarly encouragement and the m u c h appreciated material support necessary to carry out such a project. Christine C e r v e n a k , Jau-yuan H w a n g , M a r g o t Landman, O u y a n g Jehng, Peter Lin, Liang Z h i p i n g , Mark Ramseyer, A r t h u r Rosett, Shen Y u a n y u a n , Frank U p h a m , L l o y d Weinreb, Y i n X i o n g , and Y u X i n g z h o n g generously and insightfully reviewed part or all of the manuscript during its many drafts. My teacher Jerome C o h e n and sinological colleagues, including Randle E d w a r d s , James Feinerman, Sharon Horn, A n d r e w Hsieh, Philip H u a n g , W i l l i a m Jones, Natalie Lichtenstein, Stanley L u b man, H u g h S c o g i n , Karen Turner, Susan Weld, and Margaret W o o , w i t h patience and g o o d humor all added substantially to my understanding of law in China. C h a n g Wejen, Susan Cherniack, E d d y Harrison, D a v i d B e n Kay, Lawrence Liu, Michael Moser, Julia Murray, Shao C h i u n g - h u i , and M a r k Sidel kindly shared w i t h me a variety of materials on intellectual property in China. M u r i e l Bell, Peter Dreyer, and John Feneron of the Stanford University Press w e r e kind, helpful, and highly literate editors. Han D e y u n , Peter N e u m a n n , and Franklin Z e e proved to be exceptional research assistants, unearthing a wealth of valuable information. C h e r y l Frost, Margaret Kiever, Susan Salvato, Melissa Smith, Deborah Soares, and K a t h r y n Y i n g pored through my almost illegible drafts w i t h extraordinary care and patience. A p a r t from those named above, I am also indebted to the scores of individuals I interviewed in the United States and abroad. M a n y spoke to me on the condition that I preserve their anonymity. As a result, data gleaned from my interviews are cited by date and place, rather than by interviewee. Additionally, I w o u l d like to thank, among other institutions, the Harvard L a w School and its East Asian Legal Studies P r o gram; the Harvard L a w Library; the Harvard-Yenching Library; the library of Harvard's John K i n g Fairbank Center for East Asia R e search; the C h i a n g C h i n g - k u o Foundation for International S c h o l arly Exchange; the Dean's Fund at the U C L A School of L a w ; the International Studies and Overseas Program at U C L A ; the R e search C o m m i t t e e of the Academic Senate at U C L A ; the L a w Library and Rudolph Oriental Collection at U C L A ; the ministries of the Interior and Justice of the Republic of China; the A c a d e m i a Sinica; the National Library of the People's Republic of C h i n a ;

A c k n o w l e d g m e n t s / ix the State C o p y r i g h t Administration of the People's Republic of C h i n a ; the Intellectual Property Center of the People's University of C h i n a ; the C h i n a C o u n c i l for the P r o m o t i o n of International Trade; C h i n a Patent A g e n t s ( H . K . ) Ltd.; Baker & M c K e n z i e ; Lee & Li; Paul, Weiss, Rifkind, Wharton & Garrison; International Business Machines C o r p o r a t i o n (Japan); Lockheed Corporation; U n i v e r s a l / M C A ; the Office of the United States Trade Representative; the U n i t e d States Patent and Trademark Office; the C o p y r i g h t Office of the U n i t e d States; and the U . S . embassies in Beijing and Seoul. I w o u l d also like to thank those institutions of higher learning at w h i c h I was able to present papers drawn from the material that makes up this b o o k . T h e y include the University of A r i z o n a C o l lege of Law, the B o s t o n C o l l e g e L a w School, Case Western Reserve University, the C o l u m b i a University School of Law, the U n i v e r sity of C o n n e c t i c u t School of Law, Harvard L a w School, L e w i s and C l a r k C o l l e g e N o r t h w e s t e r n School o f Law, National T a i w a n U n i versity, and Washington University, St. Louis. I am also grateful to the Journal of Chinese Law, w h i c h published an earlier version of chapter 2 in v o l u m e 7, no. 1 (1993). Finally, I w i s h to thank my parents, H y m a n and Rose Alford, my wife, Shen Y u a n y u a n , and my dearest friend, Jonathan Kempner, for all they have done and continue to d o . I have rendered Chinese names and terms in pinyin romanization, except w h e r e it w o u l d be confusing to do so (e.g., Taipei). A l l translations are mine unless otherwise indicated. N o t w i t h s t a n d i n g the generous support provided me by so many persons and institutions, I remain responsible for the opinions e x pressed and errors contained in this w o r k . W.P.A

Contents

One. Introduction I 1 Two. Don't Stop Thinking About. . . Yesterday:

Why There Was No Indigenous Counterpart to Intellectual Property Law in Imperial China / 9 Three. Teaming the Law at Gunpoint: The Turn-of-

the-Century Introduction of Western Notions of Intellectual Property / 30 Four. Squaring Circles: Intellectual Property Law with Chinese Characteristics for a Socialist Commodity Economy I 56 Five. As Pirates Become Proprietors: Changing Approaches Toward Intellectual Property on Taiwan / 95 Six. No Mickey Mouse Matter: U.S. Policy on

Intellectual Property in Chinese Society / 112 Notes / 127 Bibliography / 176 Glossary / 213 Index / 215

Illustration from a 1985 pamphlet by the Jilin sheng gongshang xingzheng guanliju (State Administration for Industry and Commerce of Jilin Province), Zhonghua renmin gongheguo shangbiaofa tushi (An Illustrated Explanation of the Trademark Law of the People's Republic of China). The accompanying text reads, "Article 40: Those who pass off someone else's registered trademark, by means including the unauthorized making or selling of items bearing that trademark, besides being required to compensate the person whose trademark has been infringed and being subject to punishment by [an administrative] fine, may if directly responsible be charged by the legal organs with criminal responsibility in accordance with the law." The man standing behind the bench is identified as the presiding judge.

To Steal a Book Is an Elegant Offense


Intellectual Property Law in Chinese Civilization

One

Introduction

To steal a book is an elegant offense. Chinese saying of unknown provenance

A l t h o u g h scholars both East and West credit the Chinese w i t h having contributed paper, movable type, and ink to humankind, C h i n a has yet to develop comprehensive protection for what is created w h e n one applies inked type to paper. To be sure, this has not been for a lack of effort in promulgating formal legal protections for intellectual property. In recent years, both the People's Republic of C h i n a ( P R C ) and the Republic of C h i n a ( R O C ) have taken major steps designed to bring their copyright and other intellectual p r o p erty laws into close conformity w i t h the expectations of the U . S . government, w h i c h had threatened to impose hundreds of millions of dollars in trade sanctions on each in response to what Washington termed their cavalier attitudes toward such A m e r i c a n p r o p erty. T h e s e developments notwithstanding, protection for intellectual property remains closer to rhetoric than reality on the Chinese mainland, and problems persist across the Taiwan Straits.
1 2

T h i s b o o k considers w h y intellectual property law, and in particular copyright, has never taken hold in China. For purposes of this study, intellectual property is defined principally to encompass copyright, patent, and trademark, although other less significant forms w i l l at times be addressed. Copyright is intended to protect
3

2 / Introduction original literary, artistic, and musical w o r k s , w i t h the focus of p r o tection being the expression of an idea, rather than the idea itself. State a c k n o w l e d g m e n t of such rights, at least in the West, dates from the Enlightenment and is grounded in the United States in Article I, section 8, clause 8 of the Constitution. In today's w o r l d , c o p y right is typically said to encompass the exclusive rights to reproduce, distribute, display, perform, or prepare derivative versions of the w o r k in question. A patent is a limited-term m o n o p o l y granted by g o v e r n m e n t to the inventor of a novel, nonobvious, and useful product, manufacturing process, machine, chemical composition, design, or plant in exchange for public disclosure of the pertinent innovation. Considered by historians to have emanated, at least in the West, from fifteenth-century Venice, patents, too, have constitutional grounding in the United States. In this study, a trademark is a w o r d or s y m b o l that identifies the source of goods (or services in the case of a servicemark). U n l i k e copyright and patent, trademark protection does not have a constitutional basis; rather, it emerged in A n g l o - A m e r i c a n jurisprudence from the c o m m o n law, although in the U n i t e d States and elsewhere trademarks are n o w protected statutorily.
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At its core, this study advances four broad propositions. T h e first is that, contrary to the assertions of Chinese scholars and the expectations of Western theorists, imperial C h i n a did not develop a sustained indigenous counterpart to intellectual property law, in significant measure because of the character of Chinese political c u l ture. Second, initial attempts to introduce European and A m e r i c a n intellectual property law to China at the turn of this century w e r e unsuccessful because they failed to consider the relevance of such models for C h i n a and instead presumed that foreign pressure w o u l d suffice to induce ready adoption and widespread adherence to such laws. T h i r d , in an unwitting reprise of the early twentieth century, current attempts to establish intellectual property law, particularly on the Chinese mainland, have been deeply flawed in their failure to address the difficulties of reconciling legal values, institutions, and forms generated in the West w i t h the legacy of China's past and the constraints imposed by its present circumstances. T h e b o o k ' s final proposition is that although the United States has used w h a t diplomatic leverage it has w i t h the P R C and the R O C as liberally w i t h regard to intellectual property concerns as to virtually
6 7

Introduction

/ 3

any other issue, the effort has been problematic, notwithstanding the conclusion of much-trumpeted bilateral agreements. A m e r i c a n policy regarding intellectual property law has been based on fundamental misconceptions about the nature of legal development and is therefore in need of major reformulation. T h i s study is divided into five parts, following the introductory c o m m e n t s in this chapter. Chapter 2 examines whether there was in C h i n a any indigenous protection for intellectual property before the introduction of Western notions of such law in the late nineteenth and early twentieth centuries. There is evidence of restrictions on the unauthorized reproduction of certain b o o k s , symbols, and p r o d ucts, but this should not be seen as constituting what we in the U n i t e d States n o w typically understand intellectual property law to be, for their goal w a s not the protection of property or other private interests. After a brief review of the received w i s d o m on the g r o w t h of such law, chapter 2 then considers w h y Chinese civilization, w h i c h w a s for centuries the world's most advanced scientifically and technologically, and w h i c h by any standard has long been one of the most sophisticated culturally, did not generate more c o m prehensive protection for its rich bounty of scientific, technological, and artistic creation. In doing so, it suggests a need for recasting the terms in w h i c h the imperial Chinese legal tradition has c o n v e n t i o n ally been characterized.
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C h a p t e r 3 delves into early efforts to introduce foreign notions of intellectual property law in China. Its first section takes the negotiation and attempted implementation of commercial treaties b e t w e e n C h i n a and the United K i n g d o m and the United States at the turn of this century as a focal point for exploring ill-fated foreign efforts to impose intellectual property law on the Chinese. T h e second section assesses similarly unsuccessful efforts undertaken a generation later, by the Nationalist Chinese government, to transplant to C h i n a intellectual property law from abroad w i t h scant alteration. T h r o u g h o u t , the chapter emphasizes the problems inherent in utilizing bodies of law and legal institutions generated in one society as a m o d e l for legal development in a second and seemingly quite different setting. Chapter 4 examines the varied experience of the P R C w i t h regard to intellectual property law. D u r i n g the early years pf the P R C , C h i n a ' s n e w leaders instituted measures for the regulation of
I

4 / Introduction intellectual property that, although inspired by M a r x i s m , resonated w i t h elements of the Chinese past that they were attempting to repudiate. By the 1980's, however, this approach was discredited and the P R C instead made unprecedented efforts to develop "socialist" trademark, patent, and copyright laws w i t h "Chinese characteristics." T h e chapter explores the rationale for this endeavor, the nature of the laws generated, and the manner of their implementation, w h i l e arguing that this example provides broader insight into the character of the w i d e r law reform launched soon after the end of the C u l t u r a l R e v o l u t i o n in 1976. C h a p t e r 5 addresses the situation of the R O C during its tenure on T a i w a n . It begins by examining the disparity t h r o u g h o u t m u c h of this period b e t w e e n the formal law and Taiwan's reputation as the most celebrated center internationally for the piracy of intellectual property. T h e chapter then considers recent efforts to revise the R O C ' s intellectual property laws in v i e w of both the pressure b r o u g h t to bear on its government by the United States and the e x traordinary political, economic, social, and technological changes under w a y in the island republic. T h e b o o k ' s sixth and final chapter critically examines A m e r i c a n p o l i c y designed to spur the g r o w t h of intellectual property law in C h i n a , concluding w i t h a discussion of w a y s in w h i c h the effort to foster respect for such property rights depends on the expansion of broader political and economic rights in C h i n a . Such a study is not w i t h o u t substantial difficulty on many l e v e l s b e g i n n i n g w i t h the inquiry that lies at its heart. T h e very act of e x a m i n i n g intellectual property law w i t h reference to C h i n a entails a relianceexplicit or o t h e r w i s e o n definitions of intellectual property derived from Western settings. In this reliance, one must avoid construing the path that intellectual property law in the U n i t e d States or other jurisdictions has followed as providing a " n o r m a l " or inevitable course against w h i c h Chinese developments are to be evaluated. Indeed, even on the t w o sides of the English C h a n n e l , intellectual property law developed in markedly different w a y s , j u s t as there remain divergent opinions within and a m o n g the major industrialized democracies on a number of important d i mensions of this area of the l a w i n c l u d i n g the central question of w h e t h e r intellectual property law is effective in its stated goal of
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Introduction
12

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spurring inventiveness and creativity. In considering the u n a u t h o rized use abroad of A m e r i c a n intellectual property, it is also i m portant to guard against overstating either the extent of protection that the relevant U . S . laws are intended to provide even w i t h i n our o w n b o r d e r s or the degree to w h i c h we actually have adhered to such laws here. Neither copyright, patent, trademark, nor any other intellectual property laws create absolute rights in this c o u n try. T h e control that each is intended to provide is qualified, in terms of public use (as in the fair use of copyrighted materials) and of duration (as in the seventeen-year non-renewable term of a patent), a m o n g other reasons. A n d as Charles Dickens, A n t h o n y Trollope, and m a n y others learned the hard way, the United States did not grant even formal protection for foreign copyrighted materials until 1 8 9 1 b y w h i c h time we had passed through w h a t arguably m i g h t be termed our period as a developing country. N o r has the U n i t e d States ceased to be both a producer of and market for a myriad of infringing i t e m s . H o w many among us can honestly claim never to have e m p l o y e d p h o t o c o p y i n g , videotaping, or audio recording equipment in an unlawful fashionif, indeed, we even k n o w w h a t the law currently provides in such areas?
13 14 15 16 17

T h e need to guard against extrapolating normality from the West dictates further precautions. First, such seemingly neutral modes of inquiry as e c o n o m i c analysis, wherever they come from on the political spectrum, may be more particularistic historically and c u l turally than is generally imagined. T h u s , for example, the early M a r x i s t belief that capitalism must precede socialism assumed that "Oriental despotism" precluded the "living fossil" (Marx's affectionate name for China) from being in the vanguard of nations on the path to c o m m u n i s m . N o r is such ethnocentricity limited to the left, as evidenced by the fact that m u c h of mainstream e c o n o m i c theory in this country for long essentially presumed that the m e a sure of state intervention evident in the economies of Japan and the so-called Little D r a g o n s (Hong K o n g , Singapore, South Korea, and Taiwan) constituted a virtually insurmountable impediment to the v e r y prosperity that these jurisdictions n o w enjoy.
18 19

Seeming neutrality must also be questioned w i t h respect to the use of language. T h e use by different societies of c o m m o n termin o l o g y does not necessarily ensure that such terms w i l l carry the same meaning in each setting. Indeed, meaning may vary for differ20

6 / Introduction ent reasons, ranging from the process of absorption of one society's vocabulary and concepts into another to a conscious effort to s u g gest a higher measure of adherence to international norms than may be warranted. Similar caution is called for w i t h respect to more a v o w e d l y c u l tural explanations. T h e recognition that cultural factors, h o w e v e r broadly defined, are by their very nature less conducive to "hard" p r o o f than their economic counterparts is no excuse for being c o n clusory. Just as economically deterministic analyses run the risk of being unidimensional, so do approaches rooted in portrayals of c u l ture as essentially impervious to change, whether from within or b e y o n d the society being examined. Moreover, we must remain mindful that at no time is any society's culture monolithic, g i v e n class, gender, ethnic, regional, and other differences. A second major difficulty lies in the fact that although there is a great deal of w r i t i n g about intellectual property law and related issues in the United States, m u c h of it aspires to do little more than describe doctrine. As a result, it generally fails to provide a strong historical or conceptual h o m e base from w h i c h one can compare issues of intellectual property protection in different societies. E v e n the most ambitious articles often fall shorttypically by premising discussion on unstated (and, one fears, unwarranted) assumptions about the genesis or impact of such l a w , or by failing to adequately address the question of w h y this particular form of property w a r rants treatment different from its tangible counterparts.
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T h e difficulties of researching intellectual property law are hardly confined to the relative sparsity of writing contemplating its underl y i n g rationale and broader implications, for at the opposite end of the spectrum, there are all too few attempts to portray its operation in any systematic fashion. M o s t such efforts are either anecdotal or uncritically dependent on data provided by trade associations and other interested parties, since those engaged in pirating intellectual property have not been considerate e n o u g h to compile statistics for academic researchers. Moreover, the intangible nature of intellectual property complicates detection of its unlawful appropriation, particularly given modern technology, and the public, even in c o u n tries considered vigilant about protecting rights in such property, remains more tolerant of its infringement than of virtually any other form of illegal activity. Indeed, victims are frequently hesitant to
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Introduction

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a c k n o w l e d g e infringement, fearing that the value of their intellectual property may be diminished and the receptivity of certain host governments to their operations may be impaired. Further impediments exist to exploring the area of intellectual property law on either side of the Taiwan Straits. Ironically, although the P R C is engaged in a historically unprecedented effort to develop a legal system suitable for a society encompassing elements of Confucianism, communism, and capitalism, scholarship on contemporary Chinese law places too much emphasis on the e x e gesis of code provisions. Chinese and foreign scholars alike generally slight both the processes through w h i c h such rules are formed and the w a y s in w h i c h these rules operate in society. A n d if misdirected attention characterizes a g o o d l y portion of the scholarly w r i t i n g on the P R C , academic inattention has been the problem besetting the R O C , for that jurisdiction's remarkable efforts at transforming its political and legal life in recent years remain far too modestly chronicled beyond the Chinese world. Finally, there are difficulties generated by the reluctance of informants to provide evidence of behavior that m i g h t be construed abroad as illicit, immoral, or improper and that might affect bilateral relations w i t h the United States and other t e c h n o l o g y - e x p o r t i n g nations or complicate efforts to accede to the General A g r e e m e n t on Tariffs and Trade ( G A T T ) . In the P R C , these concerns are intensified by the government's faith that a significant influx of foreign t e c h n o l o g y w i l l enable C h i n a to compensate rapidly for time lost to the chaos of the Cultural Revolution y e a r s and its c o n c o m i tant determination to portray the climate for technology transfer and foreign investment as favorably as possible. Accentuating the c o m p l e x i t y of the task confronting foreign sinologists are the highly sensitive involvement of the government of the P R C in the media, both as infringer and as censor, and the existence of a multitiered b o d y of law, important elements of w h i c h have not routinely been disclosed to foreigners (or most Chinese, for that matter), even if their interests are i n v o l v e d .
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G i v e n these conceptual and practical difficulties, one m i g h t w e l l question the soundness of inquiring about a "Western" subject in an "Eastern" context. For those skeptical about undertaking such an inquiry for its o w n sake, an additional answer is provided by the fact that both the P R C and the R O C are using Western models of

8 / Introduction intellectual property law and claiming benefits that normally accrue to jurisdictions that c o m p l y w i t h the major international intellectual property conventions, all of w h i c h are basically derived from the experience of Western nations. A n d , if further justification is desired, perhaps it may be found in the experience of the purveyors and purchasers of infringing items, w h o s e daily activities remind us that East and West are inextricably linked in matters of intellectual property.
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Two

Don't Stop Thinking About . . . Yesterday: Why There Was No Indigenous Counterpart to Intellectual Property Law in Imperial China

The Master [Confucius] said: I transmit rather than create; I believe in and love the Ancients. The Analects of Confucius, bk. 7, ch. 1

T h e n o t i o n that copyright arose soon after the advent of printing enjoys w i d e currency in the scholarly w o r l d . Chinese historians date c o p y r i g h t from the rise of printing during the Tang D y n a s t y ( A . D . 618-906), w h i l e Western theorists o f economic development contend that the inexpensive dissemination of texts necessitated the formal legal protection that copyright is intended to provide. In short, the conventional w i s d o m among "intellectual property scholars .. . [is] that copyright emerged w i t h the invention of printing," as Z h e n g C h e n g s i and Michael Pendleton declare in their recent m o n o g r a p h on copyright in the P R C .
1 2 3

T h i s chapter takes issue w i t h the received w i s d o m , at least as c o n cerns imperial C h i n a (221 B . C . - A . D . 1911). After first endeavoring to delineate an appropriate scope for inquiring into imperial Chinese legal history, it explores Chinese efforts to regulate the reproduction of literary and other creation and innovation prior to the t w e n t i eth century. Finding neither a formal nor an informal counterpart to c o p y r i g h t or other major forms of intellectual property law, this chapter then considers w h y imperial C h i n a did not respond to the introduction of printing and other major technological advances in

10 / D o n ' t Stop T h i n k i n g A b o u t

Yesterday

the manner that both Chinese and Western scholars w o u l d have us believe. Sinologists have long characterized Chinese law from the first i m perial dynasty, the Q i n (221-206 B . C . ) , through the last dynasty, the Q i n g ( A . D . 1644-1911), as " o v e r w h e l m i n g l y penal in emphasis," in the w o r d s of D e r k B o d d e and Clarence Morris, authors of the bestk n o w n Western w o r k on Chinese legal history. Focusing on the imperial codes that were promulgated during each dynasty, such as the Da Qing lu li (Laws of the Great Q i n g D y n a s t y ) , the c o n v e n tional w i s d o m holds that the "positive law," in Joseph N e e d h a m ' s w o r d s , was confined to "purely penal (criminal) purposes." As a consequence, the "civil law remained extremely underdeveloped," and the concerns typically addressed through it in the modern West w e r e instead the domain of village and clan elders acting pursuant to c u s t o m .
4 5 6 7

T h e foregoing image requires serious reconsideration. T h e e m phasis on public, positive law and the dichotomy between civil and criminal law so deeply ingrained in contemporary Western society have led to a mischaracterization of the role and nature of imperial C h i n e s e law. T h e Chinese neither saw public, positive law as the defining focus of social order nor divided it into distinct categories of civil and criminal. Rather, traditional Chinese thought arrayed the various instruments through w h i c h the state might be administered and social h a r m o n y maintained into a hierarchy ranging d o w n w a r d in desirability from heavenly reason (tianli), the w a y (too), morality (de), ritual propriety (li), custom (xixu), c o m m u n i t y compacts (xiang yue), and family rules (jia cheng) to the formal written law of the state. Public, positive law was meant to buttress, rather than supersede, the more desirable means of guiding society and was to be resorted to only w h e n these other means failed to elicit appropriate behavior.
8

Far from being indifferent to the concerns we n o w address t h r o u g h civil law, the imperial Chinese state accorded them great prominence, paying particular attention to the family, w h i c h was b o t h a social and economic unit. As befits an agrarian state selfconsciously organized along the model of an extended family, the standards embodied in its various norms from heavenly reason d o w n to public, positive law focused to a very substantial degree

D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 11 on matters encompassed in the "modern West" under the rubric of civil law. T h e inattention of both Chinese and foreign legal historians to the more ethereal of these precepts and the veritable fixation of such scholars on the written law's penalties has obscured the very concerns those penalties were designed to promote and, in so doing, prevented us from fully appreciating their true significance. We must not lose sight of the fact that more than half of the ten most serious offenses (the Ten Abominations, or shi e) under imperial Chinese law consisted of misdeeds involving the family. Impiety toward one's senior relatives, for example, carried far greater repercussions than the murder of a stranger. Indeed, in v i e w of the w e i g h t imperial codes gave such matters, one might w e l l argue that the C h i n e s e state had a singular concern w i t h one of the core foci of our civil law.
9 10

T h e idea that the state's reliance on family heads and village elders to enforce local customs expressed an imperial Chinese indifference to w h a t we call civil law also needs revision. T h e state's reliance on family heads, village elders, and guild leaders to apply local c u s t o m a s e m b o d i e d in family rules [jia cheng], guild charters (hang zhang), and other less formal expressions of such practicesshould instead be seen as akin to a controlled delegation of authority. It was reminiscent of, if far less formal than, tax farming, pursuant to w h i c h local private merchants were crucial to the collection of state revenues. As such, it ingeniously allowed the state's influence to reach far further than w o u l d otherwise have been the case, g i v e n the range of dialects and customs, poor communications infrastructure, and persistent budgetary problems that by the late Q i n g provided no more than a single local representative of the emperor ( k n o w n as the district magistfate) for every 200,000 subjects.
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T h e suggestion that the imperial state's reliance on family, v i l lage, and guild leaders to administer local custom was a sign of state concern for, rather than indifference to, family and e c o n o m i c matters seems less radical if one appreciates that in making their decisions, such leaders were likely to have been applying basic values consistent w i t h those that the state's official representatives w o u l d have e m p l o y e d had they been more directly i n v o l v e d . T h e delegation of authority "required continuing adherence to the social guidelines set d o w n in the Four B o o k s [which were among the great Chinese C l a s s i c s ] , " in the w o r d s of the historian Ray H u a n g . T h e
15 16 17

12 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday emphasis in the family or guild on the acceptance of one's position in the hierarchy (be it as a child or as an apprentice), and on the performance of those obligations that went w i t h each position, had clear parallels vis-a-vis the state. So it was, for example, that local magistrates w e r e k n o w n as the fumu guanor "father/mother offic i a l " o f the populace. As Confucius observed in the Analects w h e n questioned about the fact that he was not then in public service, "be filial, only be filial [towards your parents] and friendly towards y o u r brothers, and y o u w i l l be contributing to g o v e r n m e n t . "
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Further evidence that family, village, and guild leaders w e r e acting as responsible, albeit informal, delegates of the state emerges from the consistent patterns of interaction between them and their local magistrates throughout the imperial era. T h e state charged clan and guild leaders w i t h a range of tax collection and related obligations and also held them responsible for the conduct of their m e m b e r s . Indeed, in some instances, magistrates w e n t so far as to require the certification of guild chiefs and to review the rules that such leaders drafted. T h e heads of these family and economic units w e r e also able to refer difficult cases to their local magistrates particularly if they involved challenges to clan or guild rules, or to the authority of their senior m e m b e r s . Conversely, magistrates, w h o appear to have been confronted w i t h many more legal matters than the conventional w i s d o m w o u l d have us believe, were quick to dispatch appropriate cases back to the leaders of such unitsespecially as administrative regulations penalized these officials if they had formally to resolve more than a modest number of cases.
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In v i e w of the foregoing, study of legal regulation in imperial C h i n a should thus not be limited to the penal sanctions in dynastic codes. It must, at a m i n i m u m , also address the remainder of imperial C h i n a ' s public, positive law; means other than public, positive law through w h i c h the state directly endeavored to maintain social order; the w a y s in w h i c h the populace sought to invoke the state's authority; and the elaborate and varied fabric of indirect ordering t h r o u g h family, village, and guild. C o n s i d e r i n g the full scope of their legal history, the Chinese were not indifferent to the unauthorized reproduction of texts and other items. T h e r e is evidence from before the establishment of the Z h o u dynasty in 1122 B . C . of interest in the w a y s in w h i c h commodities w e r e identified, concern from the Q i n era w i t h the distribution of
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D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 13 written materials, and attention from the Han dynasty (206 B . C . A . D . 220) t o barring the unauthorized reproduction o f the C l a s s i c s . Nonetheless, it is w i t h the advent of printing during the Tang period that one first finds substantial, sustained efforts to regulate publication and republication. What appears to have been one of the earliest such measures was issued in A . D . 835 by the W e n z o n g E m peror in the form of an edict, w h i c h , as was routine, became a part of the Tang c o d e . T h e decree prohibited the unauthorized reproduction by persons of calendars, almanacs, and related items that m i g h t be used for prognostication, w h i c h , it observed, w e r e being copied in great quantity in the Southwest and distributed t h r o u g h out C h i n a . Far from being arcane, questions of time and astronomy w e r e central to the emperor's assertion that he w a s the link b e t w e e n human and natural eventsand so were to be tightly controlled by court astronomers, while w o r k s regarding prognostication w e r e of concern because they might be used to predict the dynasty's d o w n fall. T h i s initial ban on the pirating of officially promulgated w o r k s soon expanded. Before its collapse, the Tang dynasty also prohibited the unauthorized c o p y i n g and distribution of state legal pronouncem e n t s and official histories, and the reproduction, distribution, or possession of "devilish b o o k s and talks" (yaoshu yaoyari) and most w o r k s on B u d d h i s m and D a o i s m . Unfortunately, evidence as to the effectiveness of these various provisions is scant.
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Spurred by advances in printing technology and a relative rise in literacy, the early years of the Song dynasty ( A . D . 9601279) saw a marked increase in the production of printed materials by b o t h the Imperial C o l l e g e (or Directorate of Education, as guozijian has variously been translated) and "private" persons, many of w h o m , in fact, w e r e government officers carrying on sideline activities. C o n c e r n e d about the proliferation of undesirable printed materials, in 1009, the Z h e n z o n g Emperor ordered private printers to submit w o r k s they w o u l d publish to local officials for prepublication r e v i e w and registration.
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T h e principal goal of prepublication review w a s to halt the private reproduction of materials that w e r e either subject to exclusive state control or heterodox. By the Song, the former category included both those items covered in Tang Wenzong's edict of 835 and authorized versions of the Classics (which w e r e only to be reproduced under the auspices of the Imperial C o l l e g e ) , model answers to

14 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday imperial civil service examinations, maps, and materials concerning the inner w o r k i n g s of government, politics, and military affairs. Pornography, broadly defined, and writings using the names of m e m b e r s or ancestors of the imperial family in "inappropriate" literary styles or that w e r e "not beneficial to scholars" were also deemed heterodox.
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T h e penalties crafted by the state to enforce the prepublication r e v i e w system underscored its objectives. Persons failing to obtain official approval prior to printing w o r k s that w e r e neither subject to exclusive state control nor banned altogether m i g h t suffer one hundred b l o w s w i t h a h e a v y b a m b o o cane and the destruction of their printing b l o c k s . T h o s e w h o reproduced controlled or prohibited items risked far greater punishment. T h e unauthorized reproduction of astronomical charts, for example, called for a 3,000-li (i.e., approximately 500-mile) exile. T h i s was a severe penalty, indeed, g i v e n that one w o u l d not o n l y be sent off to a desolate border region but largely be cut off from one's family, ancestral burial grounds, and linguistic and cultural h o m e base.
36

O n e interesting b y - p r o d u c t o f the Song's prepublication r e v i e w s y s t e m w a s that persons w h o obtained its approval appear at times to have included in w o r k s they printed notices of such state action in an effort to combat unauthorized reproduction. Typical of these w a s a notice contained in a twelfth-century Sichuan w o r k of history stating, " T h i s b o o k has been printed by the family of Secretary C h e n g o f Meishan[,] w h o have registered i t w i t h the g o v e r n m e n t . No one is permitted to reprint i t . " Unfortunately for the C h e n g family and others similarly situated, the same laws that so carefully and stringently penalized unauthorized reproduction of the Classics and banned the heterodox neither explicitly forbade the pirating of m o r e mundane w o r k s nor set forth sanctions for so doing. T h e r e is some evidence of printers of the innocuous seeking the assistance of local officials to combat unauthorized use of their w o r k s and even of signs b e i n g posted to that effectbut these efforts appear scattered, ad hoc, and may w e l l have been attributable to the fact that, as w i t h Secretary C h e n g , private printers and local officials w e r e often one and the same. Indeed, by the late S o n g era, the dynasty appears to have had difficulty in securing enforcement of the ban on unauthorized reprinting of w o r k s intended to be under exclusive state c o n t r o l .
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The

Song's

imperial

successors,

and

especially

the

Ming

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( A . D . 1368-1644), endeavored t o strengthen state control o f publication, although relatively few changes were made to the formal structure of regulation until the Q i n g . Each post-Song dynastic code specifically forbade the unauthorized republication of g o v ernmental w o r k s on astronomy, the civil service examinations, and other materials long considered sensitive. Additionally, each contained provisions banning "devilish b o o k s . " These provisions w e r e supplemented periodically by special decreesas may be seen, for example, in the H o n g w u Emperor's (1368-92) orders that all w o r k s disparaging the n e w l y founded M i n g dynasty even indirectly t h r o u g h the use of homophonic puns be eliminated, and in the Q i a n l o n g Emperor's (1736-96) famous decree of 1774 requiring that all literature be reviewed so that any b o o k s containing h e t e r o d o x ideas could be destroyed.
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N o t w i t h s t a n d i n g the M i n g dynasty's goal of exercising more control over publication, the formal prepublication review system developed by the Song appears to have lost m u c h of its vitality. Efforts w e r e made during the mid and late M i n g to revitalize official control, principally at the local level, but seem not to have been particularly successful, j u d g i n g from extensive accounts of the unauthorized reproduction and alteration of texts for commercial reasons. As a consequence, Q i n g rulers m o v e d to strengthen this function of local officials, going so far in 1778 as to direct the reinstitution of a strict system of local prepublication r e v i e w .
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T h i s high degree of state interest in the control of publication w a s not mirrored w i t h respect to the unauthorized reproduction of that w h i c h we n o w protect through trademark or patent. A l t h o u g h prior to the twentieth century, the Chinese state oversaw matters of c o m m e r c e and industry more closely than has typically been r e c o g n i z e d , it did not develop comprehensive, centrally promulgated, formal legal protection for either proprietary symbols or inventions.
45

T h e dynastic codes did, through elaborate sumptuary laws, restrict the use of certain symbols associated w i t h either the imperial family (such as the five-clawed dragon) or officialdom. T h e y also barred the imitation of marks used by the ceramists of Jingdezhen and others making g o o d s for exclusive imperial use, and made it illegal for certain craftspersons to send information about their w o r k out of C h i n a . These prohibitions did not, however, presage a broader pattern of centralized legal regulation.
46 47 48

T h e absence of direct imperial legal regulation of trademarks

16 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday and inventions did not w h o l l y bar the development of concern for its protection against unauthorized use. Northern Song (9601127) records reveal that a family named Liu of Jinan, Shandong, used a mark containing both a drawing of a white rabbit and an a c c o m p a n y i n g legend to extol the virtues of its sewing needles. N o r w e r e the Lius and their w h i t e rabbit alone. Guild regulations, clan rules, and other sources indicate that producers of tea, silk, cloth, paper, and medicines, among other products, from at least the Song period onward, sought to maintain the brand names and symbols they had developed by marking their goods, by declaring that others could not use the marks involved, and by registering them w i t h guilds and at times, local officials. Additionally, somesuch as the p r o ducers of the celebrated Tongren Temple line of medicinessought to maintain the confidentiality of their manufacturing process by e m p l o y i n g only family members or eunuchs, or by keeping vital parts of the process secret from nonfamily employees.
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T h e same documents that yield data regarding efforts to protect proprietary marks and processes also, however, indicate the great difficulty of d o i n g s o . There appears to have been massive counterfeiting of w e l l - k n o w n brand names and marks, as w e l l as extensive attempts to imitate secret manufacturing processesoften w i t h questionable results. Merchants and producers endeavored to deal w i t h these problems both directly and through guild and c o m p a rable organizations, but w h e n all else failedas appears often to have been the casethey turned to local officialdom. Help was s o u g h t from local officials, not on the basis of any code p r o v i sion specifically outlawing such imitating, but instead by imploring these "father-mother" figures to prevent unfairness and deception. T h u s , for example, sericulturists w h o s e "trade-marked" silk in the Shanghai area had been improperly copied were able in 1856 to seek the assistance of their district magistrates, w h o ordered the infringers to s t o p . Such appeals, however, do not appear to have been large in number, even taking account of the anecdotal nature of the evidence available. N o r do they appear often to have been successful in bringing the objectionable activity to an end.
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A l t h o u g h the characterization of imperial Chinese law as w h o l l y penal obscures the degree to w h i c h such law addressed civil matters, it does not f o l l o w that intellectual property law existed in C h i n a centuries before it arose in the West. Virtually all k n o w n examples

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of efforts by the state to provide protection for what we n o w term intellectual property in C h i n a prior to the twentieth century seem to have been directed o v e r w h e l m i n g l y toward sustaining imperial p o w e r . T h e s e official efforts w e r e only tangentially, if at all, c o n cerned either w i t h the creation or maintenance of property interests of persons or entities other than the state or w i t h the p r o m o t i o n of authorship or inventiveness. T h i s is perhaps most obvious w i t h respect to provisions of the dynastic codes barring ordinary people from reproducing symbols, such as the five-clawed dragon, associated w i t h the throne or officialdom. It is also evident in the fact that although the Tang and later dynasties went to considerable lengths to restrict the unauthorized reproduction of government materials and to ensure the accuracy of those it licensed, they seem to have been unconcerned about the pirating or improper editing of other w o r k s . Indeed, it is more accurate to think of prepublication r e v i e w and the other restrictions on reprinting described above, together w i t h the absolute ban on heterodox materials, as part of a larger framework for controlling the dissemination of ideas, rather than as the building blocks of a system of intellectual property rights, w h e t h e r for printers, booksellers, authors, or anyone else. O n l y the efforts of printers, booksellers, and other guilds or m e r chants to establish their particular monopolies seem to presage the notion that persons or entities other than the state m i g h t enjoy an interest in intangible property akin to the protection provided for tangible personal property or real property throughout m u c h of i m perial C h i n e s e history. E v e n this limited interest appears to have been tolerated by the state and its local representatives chiefly b e cause it advanced other objectives. It is no coincidence that official expressions of concern about unauthorized c o p y i n g often focused either on the textual distortions and errors contained in pirated e d i tions of the classics, dynastic histories, and other o r t h o d o x w o r k s or on the fact that persons responsible for such editions w e r e disrupting local peace by violating monopolies granted to local officials or influential gentry in their districts. Similarly, it is not unduly c y n i cal to v i e w the state's implicit and occasionally explicit support for g u i l d efforts to protect trade names and marks as aimed at the preservation of social harmony by maintaining commercial order and reducing instances of deception of the populace.
55

T h e C h i n e s e w e r e o b v i o u s l y not alone in linking state interest

18 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday w i t h the protection of what we term intellectual property. In both the c o m m o n and civil law worlds, the idea of limiting the u n a u t h o rized c o p y i n g of b o o k s was originally prompted not by a belief that w r i t i n g s w e r e the property of their authors, but by a desire to g i v e printers an incentive not to publish heterodox materials. Similarly, the early history of patent law in the West owes far more to the state's desire to strengthen itself than to an a c k n o w l e d g m e n t of any inherent property interest of the inventor. T h u s , for example, the English throne awarded patents to foreigners w h o introduced n e w products or processes to the British isles, even if those persons w e r e not themselves responsible for the innovation in question.
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B u t the seventeenth and eighteenth centuries witnessed the d e velopment of an approach toward intellectual property in Europe that had no counterpart in imperial Chinese history. Simply stated, there developed in England and on the Continent the notion that authors and inventors had a property interest in their creations that could be defended against the state. Society, g r o w i n g numbers of Europeans came to believe, w o u l d benefit by providing incentives to engage in such w o r k and disseminate the results. China, by c o n trast, continued to regulate this area predominantly in terms of h o w best to maintain the state's authority.
59

To take heed of this distinction is not to suggest that the Chinese o u g h t to have f o l l o w e d the same course as the W e s t . Rather, it is to ponder w h y a civilization that for centuries paid particular attention to the regulation of publication, that for long was a w o r l d leader in science and technology, and that celebrated at least certain types of i n n o v a t i o n , did not provide more comprehensive protection for its rich b o u n t y o f creation.
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Neither C h i n e s e nor foreign scholars of intellectual property l a w contribute m u c h to such an inquiry. T h e former, for example, t y p i cally treat imperial efforts to control the dissemination of ideas as constituting copyright, and so end the inquiry there. T h e y see little need to consider w h y i f China had copyright from the Tang dynastyenforcement appears to have been negligible, subsequent foreign efforts to foster such laws were unavailing, and other forms of intellectual property law w e r e not forthcoming in a sustained fashion. Foreign scholars also provide scant assistance. Surprisingly few of the Western scholars w h o write about intellectual property have endeavored to analyze the development of such law in the West,
62

D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / lg let alone elsewhere. Instead, most recent scholarly w r i t i n g touching on such development either consists chiefly of historical narrative or portrays intellectual property law solely in terms of e c o n o m i c developmentas a concomitant of industrialization in general or as a response to particular technological breakthroughs. Clearly, economic and technological factors should not be i g nored in the effort to understand w h y the imperial Chinese state did not provide systematic protection for the fruits of innovation and creation. C h i n a may w e l l have been as generally prosperous and as technologically advanced as any area in the w o r l d from the seventh t h r o u g h the twelfth centuries. Nonetheless, being preindustrial, C h i n a had little in the w a y of the inexpensive mass production that some scholars see as an impetus to establish intellectual property l a w . So it was, for example, that although in C h i n a printing had been invented by the Tang and movable type by the S o n g , " m e t h ods suitable for the mass printing of [materials such as] newspapers" w e r e to originate in the West, and then centuries later. M o r e o v e r , the fact that no more than 20 percent of Chinese were literate even by the early twentieth c e n t u r y and the possibility that the absence of the corporate form may have impeded the type of capital formation needed for large-scale commercial i n n o v a t i o n may also help us understand w h y few actors, other than persons such as the C h e n g s and Lius, seem to have been concerned w i t h protecting intellectual property.
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T h e s e e c o n o m i c and technological considerations notwithstanding, it is to political culture that we must turn for the principal explanation as to w h y there were no indigenous counterparts to c o n t e m p o rary ideas of intellectual property law throughout imperial Chinese history. L y i n g at the core of traditional Chinese society's treatment of intellectual property was the dominant Confucian vision of the nature of civilization and of the constitutive role played therein by a shared and still vital past. That vision saw civilization as defined by a paradigmatic set of relationships, each bearing reciprocal, although not necessarily equal, responsibilities and expectations, w h i c h the parties were morally bound to fulfill. Typically, individuals found themselves in a number of such relationshipsthe most important of w h i c h were those between ruler and subject, father and son, and husband and w i f e . O n l y through encountering the past
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20 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday w h i c h provided unique insight into the essence of one's o w n character, relationships w i t h other human beings, and interaction w i t h naturecould individuals, guided by nurturing leaders, understand h o w properly to adhere to those relationships of w h i c h they w e r e a part. T h e dual functions of the pastas the instrument through w h i c h individual moral development was to be attained and the yardstick against w h i c h the content of the relationships constituting society was to be measuredposed a dilemma. T h e indispensability of the past for personal moral g r o w t h dictated that there be broad access to the c o m m o n heritage of all Chinese. Nonetheless, the responsibility of senior members of relationships for the nurturing of their j u n i o r s t o g e t h e r w i t h the fact that reference to the past, far more than public, positive law or religion, defined the limits of proper behavior in w h a t were, after all, unequal relationshipsdemanded more controlled access. B o t h functions, however, militated against thinking of the fruits of intellectual endeavor as private property.
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T h e relationship of ruler and ruled exemplified the p o w e r of the past, w h i l e also illustrating the rationale for providing measured access to it. T h e notion of the Chinese people as a family, w i t h the ruler as parent, is one that has had great and enduring currency since preimperial t i m e s . In that capacity, the ruler had a fiducial o b l i g a tion to provide for both the spiritual and physical w e l l - b e i n g of the populace, w h o , in turn, were expected to be loyal and productive. A l t h o u g h the Chinese early on had a far more sophisticated formal legal system than has typically been recognized at h o m e or abroad, the very nature of this relationship was such that public, positive law could serve neither as the primary instrument for ensuring that the people genuinely understood what was expected of them nor as a means for encouraging rulers to discharge their responsibilities in a suitable fashion. As Confucius indicated in the Analects, "Lead the people w i t h governmental measures and regulate them by law and punishments, and they w i l l avoid w r o n g - d o i n g , but w i l l have no sense of honor and shame. Lead them by virtue and regulate them by the rules of propriety [li] and they w i l l have a sense of shame and, moreover, set themselves r i g h t . "
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T h e standards meant to govern the ruler-subject relationship virtue and the rules of proprietyderived their content and legitim a c y chiefly from the c o m m o n heritage of the Chinese people,

D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 21 rather than from any action, whether political, legal, or otherwise, of contemporaneous figures, including the ruler himself. Indeed, m u c h the same point m i g h t be made w i t h respect to the entire moral ethos that underlay Chinese civilization. N o w h e r e is this more apparent than w i t h the lithe "rites" that defined morality and propriety. H a v i n g e v o l v e d from a set of rituals into a code of conduct w e l l before the time of Confucius, the li at once embodied and expressed the most profound insights and experience of the so-called Ancients w h o had established society and compiled the C l a s s i c s . As such, the li fostered a mutually reinforcing personal and social ordering that linked the present simultaneously w i t h that w h i c h came before and that w h i c h was to follow.
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T h i s sense of the p o w e r of the past was also manifested in the concept of the rectification of names (zhengming), w h i c h Confucius indicated w o u l d be the "first measure" he w o u l d advise a ruler to institute on assuming p o w e r . In essence, it involved the expectation that current rulers w o u l d carry out their responsibilities in a manner consistent w i t h the moral standards set by their most w o r t h y predecessors. T h e idea of the Mandate of Heaven (tianming) embodied a similar expectation. It, in effect, provided that rulers failing to discharge their responsibilities in keeping w i t h such standardswhich had their genesis in preimperial d a y s and, presumably, were k n o w n in general form to a l l m i g h t lose the Mandate and, w i t h it, their claim to r u l e . In short, a shared past defined the limits of legitimate p o w e r in the present.
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G i v e n the potential validatingand invalidating force of the past, those w i t h or aspiring to p o w e r sought to cloak themselves in the past w h i l e also tailoring it to suit their particular needs. T h e desire to draw on the legitimating capacity of the past is evident in the degree to w h i c h the basic structure, forms, and images of i m perial governance persisted, even as their content may have changed t h r o u g h o u t t w o millennia of g r o w t h , upheaval, and violent transitions of p o w e r . Indeed, even rebels seeking to dislodge those in p o w e r consistently structured the alternatives they proposed so as to gain legitimacy from the past.
85

84

T h e p o w e r of the past was also to be seen in the reliance of C h i nese rulers from the Sui ( A . D . 581-618) onward for thirteen centuries on the w o r l d ' s first civil service. At least in theory, from its earliest days, officials were to be identified through an examination system
86

22 / D o n ' t Stop T h i n k i n g A b o u t

Yesterday

that v i e w e d k n o w l e d g e of the pastboth in terms of the questions asked and the manner in w h i c h they were to be answered as evidencing the attributes needed to resolve the problems of the present. T h i s , in turn, greatly influenced the character of education. After all, a thorough immersion in the Classics w o u l d surely do more for the development of character, and, w i t h it, the ability to serve in government effectively, than w o u l d more technical training. T h e latter, by its very nature, had little to say about morality and therefore, could be left to those w h o s e virtue had not d e v e l oped to the point at w h i c h they could benefit fully from a classical education.
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T h e legal system displayed this same concern w i t h deriving legitim a c y through association w i t h the past. T h u s , the basic conceptual and classificatory framework for the imperial code continued largely unchanged from its preimperial precursors through the Sui dynasty, during w h i c h it was modified only in part. This revision, in turn, set the basic format for imperial codes through to the end of the imperial era, w i t h the result that "30 to 40 percent of the statutes in the C h ' i n g C o d e [operative until the twentieth century] go back unchanged to the T ' a n g C o d e of 653." O n c e again, as was the case w i t h the structure of government and, as we shall see, w i t h literature and the arts, this unswerving employment of the past o u g h t not to mask the fact of enormous change, but should instead h i g h light the context w i t h i n w h i c h that change occurred. After all, the remaining 60 to 70 percent of the statutes in the C h ' i n g (i.e., Q i n g ) C o d e did change, w h i l e even the 30 to 40 percent that remained unchanged on the face of it were in fact transformed through an e x tensive additional b o d y of law, including an ever-evolving array of substatutes.
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C o n t r a r y to w h a t one m i g h t initially expect, the imperial Chinese legal system did not adhere to a formal system of binding precedent, although, in fact, magistrates and other officials involved w i t h the law did draw on compilations of prior cases as they reached and s o u g h t to justify their decisions. B u t on reflection, the absence of binding precedent may actually have connoted an even greater e m bracing of the pastas the Confucian morality and w i s d o m of the ages that officials were assumed to have cultivated in preparing for and taking the imperial examinations were surely seen as a truer and more historically valid guide for making decisions than any set of rules formulated or cases resolved by one's predecessors in office.
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D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 23 U s e of the past to m o l d the present also t o o k a darker form. Early on, the C h i n e s e came to recognize that those w h o controlled the compilation of history, the interpretation of its lessons, and the characterization of the current dynasty for historical purposes w i e l d e d great influence. T h i s led to the establishment by the H a n and emulation by subsequent dynasties of elaborate state historiographic offices that engaged in the world's most systematic continuous gathering of historical data prior to the twentieth century. B u t , less positively, it also lay behind repeated attempts throughout i m perial history to shape the content of the historical record. Small w o n d e r , then, that, in an ominous foreshadowing of future efforts at such control, the Han subjected the epochal historian Pan Gu ( A . D . 3292) to an extended imprisonment for engaging in unsanctioned historical w o r k . N o r ought it to be surprising that rulers from Q i n Shihuang in the earliest years of the first imperial d y n a s t y to Q i a n l o n g in the ebbing years of the last should endeavor to eradicate all they deemed heterodox. As Li Si, China's first prime minister and advisor to Q i n Shihuang, is reported to have said, " A n y o n e referring to the past to criticize the present should, together w i t h all members of his family, be put to death."
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As important as the acquisition and maintenance of imperial p o w e r may have been, there was more to efforts to regulate intellectual endeavors than the desire to buttress such claims. C o i n c i d i n g w i t h and o b v i o u s l y reinforcing these secular concerns w a s the idea of the ruler as fiduciary. In that capacity, the ruler had not only the authority but also a responsibility to ascertain h o w best to nurture the populace. Central to that responsibility was the need to determine w h i c h k n o w l e d g e warranted dissemination and w h i c h o u g h t to be circumscribed in the best interests of the c o m m o n w e a l t h . T h e ruler's parentlike position enhanced the legitimacy of imperial efforts to control the flow of ideas and suggests that there w a s a greater coherence to such regulation than scholars have typically assumed.
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" L a c k i n g , " as T h o m a s Metzger has put it "John Stuart M i l l ' s optimistic v i e w that g o o d doctrines w o u l d emerge victorious out of a free marketplace of ideas, Chinese political philosophers since Mencius and X u n z i have instead emphasized the human tendency to b e c o m e deluded through the interplay of 'false' and 'correct' d o c trine." In his role as fiduciary, the ruler had an affirmative o b l i gation to filter out and destroy harmful k n o w l e d g e s u c h as that
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24 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday found in "devilish b o o k s and talks," w h i c h might contain p o r n o graphic as w e l l as politically and religiously suspect materials rather than permit it to delude his charges. By the same token, there w e r e certain types of information, such as that contained in maps, calendars, and astronomical texts, for w h i c h the emperor and his officials alone had legitimate use in their fiduciary capacity. C o n versely, the spread of other k n o w l e d g e , such as that embodied in the Classics, m i g h t benefit society (and, not coincidentally, enhance the imperial position), justifying assistance to persons having the Imperial C o l l e g e ' s permission to reprint approved versions of such w o r k s , especially in order to stem the production of "butchered summaries" and otherwise inaccurate copies. A n d , finally, there was further k n o w l e d g e n e i t h e r orthodox, heterodox, nor official that the imperial government did not endeavor directly to protect, bar, or otherwise regulate, w i t h the result that its treatment varied w i d e l y according to local circumstance. T h e throne's efforts to define and supervise the realm of acceptable ideas w e r e not as a v o w e d l y totalitarian as they m i g h t initially seem, g i v e n that the shared past that placed a premium on such c o n trol perforce harbored a collective m e m o r y of the outer limits of p o w e r . Nonetheless, the state's emphasis clearly w a s focused far more on political order and stability than on issues of ownership and private interests. T h i s did not preclude state support for persons seeking to prevent others from infringing on their m o n o p o l y over the reproduction of certain materials and symbols. T h r o u g h its prepublication review procedures, the state protected the m o n o p o l y of printers to w h o m it had entrusted reproduction of authorized versions of certain materials, such as the Classics. S o , t o o , as has been discussed above, the state, both directly through local magistrates and indirectly through its tacit delegation to specified local groups of considerable responsibility in the commercial area, supported guilds, families, and others in their efforts to maintain the integrity of their trade names and marks. B u t in each instance, this protection emerged from, and was ultimately to be defined by, the state's interest in preserving imperial p o w e r and fostering social harmony.
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T h e rationale for imperial Chinese protection of intellectual p r o p erty dictated the character of that protection. Neither formal nor informal bodies of law vested guilds, families, and others seeking

D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 25 to preserve their m o n o p o l y over particular items w i t h "rights" that m i g h t be invoked to vindicate their claims against the state or against others throughout C h i n a . N o r was the provision of state assistance, w h e t h e r direct or indirect, merely a matter of privilege. In keeping w i t h the tenor of the fiducial bond underlying the relationship b e t w e e n ruler and ruled, there existed among civilized persons e x p e c tations as to w h a t was appropriate and fair, as w e l l as a sense that an appeal to one's magistrate or other representatives of the state m i g h t be warranted in the event those expectations went unfulfilled. So it was that printers charged w i t h responsibility for printing certain texts or guilds that had developed particular medicines m i g h t seek official assistance against persons appropriating what fairness and c u s t o m dictated was theirs, and that officials on occasion responded in the interests of fairness and the maintenance of h a r m o n y .
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T h e content of expectations concerning the appropriateness of individuals and groups exercising control over the expression of particular ideas derived, in turn, from the critical role that the shared past played in the Confucian understanding of both individual moral and collective social development. Simply stated, the need to interact w i t h the past sharply curtailed the extent to w h i c h it was proper for anyone other than persons acting in a fiducial capacity to restrict access to its expressions. T h e p o w e r of the past and its consequences for possession of the fruits of intellectual endeavor are well captured in the passage in the Analects in w h i c h Confucius indicates, " T h e Master [i.e., Confucius himself] said: 'I transmit rather than create; I believe in and love the A n c i e n t s . ' " T h e essence of human understanding had l o n g since been discerned by those w h o had gone before and, in particular, by the sage rulers collectively referred to as the Ancients, w h o lived in a distant, idealized "golden a g e . " To avail themselves of that understanding in order to guide their o w n behavior, subsequent generations had to interact w i t h the past in a sufficiently t h o r o u g h manner so as to be able to transmit it. Yet, as Confucius d e m o n strated in undertaking to edit the Classics and to comment on them in the Analects, transmission, far from being a passive endeavor, e n tailed selection and adaptation if it was to be meaningful to oneself, one's contemporaries, and one's successors.
1 0 3 104 105 106

T h i s sense of the past's compelling pertinence, and of intellectual endeavor as the medium through w h i c h interaction w i t h and

26 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday transmission of it was possible, permeated virtually all facets of C h i nese civilization. As the noted scholar of Chinese literature Stephen O w e n has observed, in the Chinese literary tradition "the experience of the past r o u g h l y corresponds to and carries the same force as the attention to meaning or truth in the Western tradition." T h u s , in classical Chinese literature, the past survives and warrants consideration, n o t merely as an obvious foil for contemporary a c t i v i t y , but, more important, because "the Confucian imperative insists that in encountering the ancients, we ourselves must be changed [for] we discover in the ancients not mere means but the e m b o d i m e n t of values."
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T h e process of transformative engagement w i t h the past was, in turn, made possible through reliance in Chinese literature, and especially classical Chinese poetry, on a c o m m o n b o d y of allusion and reference, c o m m e n c i n g w i t h the classics and built up over time. To be sure, as T. S. Eliot has observed, all p o e t r y a n d , one m i g h t add, all literaturedraws on and therefore o w e s an obligation to the past. A n d yet this use of shared imagery in Chinese literature is distinguishable from its seeming counterparts elsewhere. In Joseph Levenson's w o r d s , "to cite the Classics was the very method of universal s p e e c h , " to a further-reaching and more enduring degree than even the Bible in the Judeo-Christian w o r l d or the K o r a n in Islam. As the " v e r y method of universal speech," such allusion and reference, in effect, constituted a sophisticated cultural shorthand that w a s potentially accessible, at least in theory, throughout the civilized (i.e., sinicized) world, facilitating access from the present to the past or, for that matter, the future.
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To speak of the relative omnipresence of the past and the existence of a unique, shared intellectual vocabulary is not to suggest that classical Chinese poetry was lacking in originality, any more than it is to dismiss transmission as only a mechanical process. Rather it is to underscore the context within w h i c h originality arose and was e x pressed and, in so doing, to heed what the fourteenth-century poet G a o B i n g (1350-1423) termed "innovation within the bounds of o r t h o d o x y . " Indeed, over time, Chinese poets and literary t h e o rists have expressed a myriad of v i e w s as to the very question of w h a t constituted appropriate interaction w i t h the past. Some, such as the influential late M i n g advocate of a return to antiquity (fu gu) Li M e n g y a n g (1472-1529), argued for a fairly literal f o l l o w i n g of the
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D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 27 past, saying that "prose (wen) must be like that of the Q i n or the Han, and poetry (shi) must be like that of the H i g h T a n g . " " T h i s , " they contended, " w a s justified because the rules used by the ancients w e r e not invented by them, but really created by Nature . . . [so that] w h e n we imitate the ancients, we are not imitating them but really imitating the natural law of t h i n g s . " Others, such as Y u a n Z h o n g d a o (1570-1624) of the gongan school, took a very different v i e w , suggesting that in their desire to "imitate w o r d s and lines" of earlier literature, Li M e n g y a n g and his colleagues missed the more essential "meaning and flavor" (yiwei) animating the great poetry of the T a n g . B u t w h a t united such disparate v i e w s a n d indeed, classical literature more b r o a d l y w a s the need to address in so central a fashion the past and approaches to it.
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Poetry, of course, was but one literary form in w h i c h this concern was evidenced. In the much-prized discipline of history, the model, not only for the standard dynastic histories (zheng shi), compiled for almost t w o millennia, but for "history writing of all kinds," w a s , in the w o r d s of the historiographer E d w a r d Pulleyblank, "a patchw o r k of excerpts, often abridged but otherwise unaltered, from [the historian's] . . . sources, w i t h any personal comment or j u d g e m e n t kept clearly separate." This structure, suggests Pulleyblank, g r e w out of the belief that "the w o r k of the historian was to compile a set of documents w h i c h w o u l d speak for themselves rather than to make an imaginative reconstruction of past events." As was the case w i t h the transmission of the Ancients by Confucius himself, or the h e a v y e m p l o y m e n t of allusion and references to the classics in poetry and other literary forms, this manner of historical inquiry should not be construed as connoting a lack of originality. As Pulleyblank observes, "the selection and arrangement of [the historian's]. . . m a terial called for the exercise of critical judgement, and conclusions about the causes of events or the characters of historical persons could be expressed separately in the appropriate p l a c e . "
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T h e concern w i t h the past evidenced in classical poetry and literature was mirrored in Chinese painting and calligraphy. As w i t h poetry, "engagement w i t h the past validated the present" by posing "the resource of [the] past to renew . . . life repeatedly in the recurrent present." For many, the artistic process itself, accordingly, was understood as a type of spiritual exercise through w h i c h one's moral sense m i g h t be both expressed and enhanced.
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28 / D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday T h i s was particularly true for the literati (wenren), w h o in theory, if not always in practice, subscribed to the famed Song artist Mi Fu's (10511107) belief that "in matters of calligraphy and painting, one is not to discuss price. T h e gentleman is hard to capture by m o n e y . " A l t h o u g h later in its genesis and less catholic in its force, a c o m m o n vocabulary emerged in painting and calligraphy that facilitated communication across time and space. As was the case w i t h literature, there was m u c h debate among both artists and t h e o r i s t s as to the most appropriate w a y in w h i c h to relate to the past. S o m e , such as the " o r t h o d o x school" of the early Q i n g , saw a "lineage" in painting, parallel to "the succession of Confucian philosophers from C o n f u c i u s himself d o w n to Wang Y a n g - m i n g in the M i n g d y nasty," to w h i c h they advocated fairly literal adherence, at least as a departure p o i n t . As Wu Li (1632-1718) put it, "to paint w i t h o u t taking the Sung and Y u a n masters as one's basis is like playing chess on an e m p t y chessboard, w i t h o u t p i e c e s . " Others took a far more expansive view, contending that latter-day painting should be less literal and should, instead, strive to capture the ideas that animated earlier w o r k . Still others felt a need to address the past as a precondition to expressing their o w n vision. As the Q i n g artist D a o - j i , or Shi-tao, (1642-1708) w r o t e :
120 121 122 123 124 1 2 5

Painters of recent times have all appropriated the styles of the o l d m a s ters . . . In the b r o a d e s t sense, there is o n l y a single m e t h o d [ o f p a i n t i n g ] , and w h e n o n e has attained that m e t h o d , one no longer pursues false m e t h o d s . S e i z i n g on it, one can call it one's o w n m e t h o d .
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A g a i n , as w i t h poetry, h o w e v e r m u c h artists and scholars may have been divided as to the best stance toward and use of the past, they w e r e at one in their focus on it. G i v e n the extent to w h i c h "interaction w i t h the past is one of the distinctive modes of intellectual and imaginative endeavor in traditional Chinese c u l t u r e , " the replication of particular concrete manifestations of such an endeavor by persons other than those w h o first gave them form never carried, in the words of the distinguished art historian and curator Wen Fong, the "dark connotations . . . it does in the W e s t . " N o r , as was often the case in the West, was such use accepted g r u d g i n g l y and then only because it served as a vehicle through w h i c h apprentices and students developed their
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D o n ' t Stop T h i n k i n g A b o u t . . . Yesterday / 29 technical expertise, demonstrated erudition, or even endorsed particular values, although each of these phenomena also existed in imperial C h i n a . On the contrary, in the Chinese context, such use w a s at once both more affirmative and more essential. It evidenced the user's comprehension of and devotion to the core of civilization itself, w h i l e offering individuals the possibility of demonstrating originality within the context of those forms and so distinguishing their present from the past.
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In v i e w of the foregoing, there was what Wen Fong has termed a "general attitude of tolerance, or indeed receptivity, s h o w n on the part of the great Chinese painters towards the forging of their o w n works." Such copying, in effect, bore witness to the quality of the w o r k copied and to its creator's degree of understanding and civility. T h u s , Shen Z h o u (1427-1509) is reported to have responded to the suggestions that he put a stop to the forging of his w o r k by remarking, in comments that were not considered exceptional, " i f my p o e m s and paintings, w h i c h are only small efforts to me, should prove to be of some aid to the forgers, what is there for me to g r u d g e a b o u t ? " M u c h the same might be said of literature, w h e r e the Confucian disdain for commerce fostered an ideal, even if not a l w a y s realized in practice, that true scholars w r o t e for edification and moral renewal rather than profit. O r , as it was expressed so compactly in a famed Chinese aphorism, "Genuine scholars let the later w o r l d discover their w o r k [rather than promulgate and profit from it themselves]." If, after all, even the characters constituting the Chinese language itself, as the famed Song statesman Wang A n s h i (1021-86) observed, "actually came from nature . . . and w e r e not created by human beings, but merely imitated by them . . . from configurations of nature," on what basis could anyone exclude others from the c o m m o n heritage of all civilized persons?
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Three

Learning the Law at Gunpoint: The Turn-ofthe-Century Introduction of Western Notions of Intellectual Property

We possess all things. I set no value on objects strange or ingenious, and have no use for your country's manufactures. The Qianlong Emperor to King George III of England, October 3, 1793

In his famous dismissal of K i n g George's proposal to establish official diplomatic and trade relations, the Q i a n l o n g Emperor (1736-96) gave voice to his dynasty's long-standing indifference to foreign o b jects, manufactures, and ideas. Yet well before the Q i n g fell, that indifference was to change substantially, and w i t h that change came the C h i n e s e state's first formal legal measures concerned w i t h s y s tematically protecting "ingenious" objects. This chapter commences by examining early Chinese-Western legal interaction, both as a prelude to a m o r e specific discussion of intellectual property law and for the broader lessons it imparts regarding Chinese foreign relations during the late imperial period. It then explores initial efforts, first by foreigners and later by self-styled Chinese reformers, to introduce " m o d e r n " ideas of intellectual property law into the land " p o s s e s s i n g ] all things," before concluding w i t h a consideration of w h y these early law reform efforts failed to meet expectations.
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T h e Q i a n l o n g Emperor could b e dismissive o f K i n g G e o r g e ' s proposal because the Middle K i n g d o m already had in place gener-

Learning the L a w at Gunpoint / JI ous provisions for dealing w i t h the waiyi, or "outer barbarians" the term the Q i n g used to refer to all Europeans and N o r t h A m e r i cans. As R. Randle Edwards has artfully demonstrated, the Q i n g not o n l y perpetuated the basic framework that the M i n g dynasty had established for regulating huawairen (literally "persons outside C h i nese civilization") but, under Q i a n l o n g himself, expressly adopted a policy of "deferring to barbarian wishes" (juxun yiqing) that made special concessions to those unruly foreigners from the West. F r o m 1744 o n w a r d , foreigners were permitted to reside for part of the year in designated enclaves in C a n t o n and Macao and do business w i t h licensed Chinese intermediaries, k n o w n as the hong. At the same time, in an effort to accommodate foreign w a y s , responsibility for all foreign disruptions of harmony in those enclaves, save for h o m i cides of Chinese, was delegated through the hong merchants to the barbarians' leaders, w h o persisted in maintaining what seemed to C h i n e s e officialdom to be rather minute distinctions (e.g., British, French, A m e r i c a n , etc.).
3 4 5 6 7 8

A l t h o u g h Chinese officials believed that they were m a k i n g c o n siderable concessions to the distant barbarians, Western merchants and their governments were not content w i t h this early regulatory framework. T h e y objected strenuously to the application of Chinese law to foreigners accused either of murdering Chinese or of c o m m i t ting other crimes beyond C a n t o n and M a c a o . In the w o r d s of representatives of the British East India C o m p a n y , "Chinese laws . . . are not o n l y arbitrary and corruptly administered, but founded on a system in many respects incompatible w i t h European ideas of equity or j u s t i c e . " These perceived differences in fundamental values surfaced in a series of incidents, running from the case of the Lady Hughes in 1 7 8 4 to the outbreak of the O p i u m War in 1839, in w h i c h Western authorities construed the application of Chinese law and legal procedures as denying even the rudiments of fairness, w h i l e C h i n e s e officials reacted to these expressions of foreign concern as constituting unwarranted interference in Chinese affairs.
9 10

Foreign concern about Chinese law was not, however, limited to cases of homicide and other serious disruptions of harmony. L o n g before K i n g G e o r g e Ill's proposal of 1793 to expand relations, English and other foreign merchants had expressed their displeasure w i t h w h a t had come to be k n o w n as the C a n t o n , or hong, system, w h i c h , they argued, constrained trade and subjected them to the e x -

32 / Learning the L a w at Gunpoint actions of the hong merchants. By the beginning of the nineteenth century, w i t h the Chinese little interested in British "objects strange or ingenious," British and other merchants began to engage in blatantly illegal sales of significant quantities of Indian opium, creating a market for imports w h e r e foreign manufactures had failed. These sales multiplied rapidly, and by the late 1820's, after years of enj o y i n g a surplus in its trade w i t h Britain and other waiyi nations, " C h i n a experienced an unfavorable balance of trade virtually for the first time in its history."
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T h e Q i n g government deplored opium's debilitating effects on the populace of South C h i n a and dire impact on the e c o n o m y . Initially, it addressed the problem by underscoring the fundamental illegality of o p i u m sales under Chinese law and by taking measures directed at both Chinese and foreigners to enhance enforcement. W h e n these measures proved unavailing, particularly w i t h respect to foreign merchants, Lin Z e x u , the imperial commissioner charged w i t h the responsibility for stamping out the opium problem, turned to a different t y p e of lawnamely, w h a t the "outer barbarians" called international law. His foreign audience, however, paid no more heed to appeals to the Swiss jurist Emerich de Vattel's Le droit des gens of 1758 than it had to the Q i n g c o d e , leading Lin to make a final and desperate plea on moral grounds to Q u e e n Victoria. In an extraordinarily poignant letter, he implored her to bar British merchants from engaging in an activity that she clearly w o u l d not tolerate in Englandbut failed to receive even the courtesy of a response.
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In the ensuing O p i u m War (1839-42), the far better equipped British inflicted a sharp defeat on the Chinese forces and extracted extensive diplomatic concessions as well. Western merchants and missionaries w e r e granted access to the Chinese interior under the Treaty of N a n k i n g of 1842 and comparable treaties concluded during the next t w e n t y years w i t h the United States and other nations seeking to enjoy similar privileges through most-favored-nation status. Furthermore, in direct response to complaints about Chinese j u s tice, these treaties also required that foreigners accused of crimes against Chinese subjects be tried according to their o w n nation's law by representatives of their home government resident in C h i n a . A l t h o u g h originally limited to the criminal sphere, over the second half of the nineteenth century, an increasing number of foreigners
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Learning the L a w at Gunpoint / 33 and Chinese converts to Christianity managed to have civil cases and even criminal matters involving Chinese defendants heard either by foreign consular representatives or by the M i x e d C o u r t established to handle judicial affairs in the foreign-run International Settlement o f Shanghai. N o t w i t h s t a n d i n g abundant scholarship on the political import of extraterritoriality, relatively little attention has been devoted to w h a t that system meant for Chinese drawn into it. In effect, extraterritoriality mandated that Chinese seeking redress against foreigners avail themselves, essentially w i t h o u t assistance, of a legal order the fundamental principles of w h i c h were alien to the Chinese legal tradition. Chinese were accustomed to a legal culture that relied in both its formal and informal dimensions on authority figures to find the truth t h r o u g h "inquisitorial means." Extraterritoriality instead c o n fronted t h e m w i t h an adversarial system in w h i c h disputants were required to argue for their version of the truth before a j u d g e from the foreign party's nation, w h o was unlikely either to k n o w the Chinese language or to be fully conversant w i t h Chinese practices. E v e n w h e n the Chinese had access to substantive foreign statutory and case law that was to be appliedwhich one doubts was often the c a s e t h e s e materials typically were only available in a foreign language and may have had precedential or other meaning that was not readily evident to persons unfamiliar w i t h Western ideas of legality. C o m p o u n d i n g these difficulties in the instance of the U n i t e d States, for example, was the fact that if the consular officials acting as j u d g e s ( w h o rarely had any legal t r a i n i n g ) erred, appeal had to be taken within the continental United States. This effectively foreclosed recourse to higher courts for the Chinese, particularly after the Chinese Exclusion A c t of 1882 excluded virtually all Chinese from entering the United States. Ironically, this s y s tem, imposed by Westerners because of the injustices Chinese law supposedly perpetrated on foreigners, perpetrated many of the same injustices on the Chinese, leaving them w i t h few victories and m u c h skepticism regarding Western justice.
19 20 21 22 23 24 25 26

Issues of intellectual property were not of consequence in Chinese e c o n o m i c and legal interaction w i t h the West prior to the O p i u m War or in the first decades thereafter. There was little foreign investment in C h i n a , and trade was confined to items such as opium, tea, and raw silk, sold as bulk commodities, rather than under brand
27

34 / Learning the L a w at Gunpoint names. To be sure, there were periodic allegations of inferior grades of tea being passed off as their more costly counterparts from L o n g j i n g and elsewhere, but these were cast chiefly in terms of c o n sumer fraud. As foreign e c o n o m i c involvement in China expanded, however, during the latter part of the nineteenth century, charges of the u n authorized use of foreign trade names and trademarks began to arise. At first, these seem chiefly to have taken the form of the improper use by Chinese merchants of the names of Western businesses in order either to avoid paying the likin (internal tax) to w h i c h Chinese, but not foreigners, were subject or to secure internal transit p e r m i t s . So it was that D a v i d Sassoon and Sons C o . , a British firm, found itself locked in legal battle in 1884 w i t h the Chinese firm of W o n g G a n Y i n g , w h i c h it charged had improperly done business under the name of a foreign enterprise. A n d so it also was that complaints were l o d g e d in 1897 against Chinese opium processors in S w a t o w n o t for having produced opium, but for having sold their product under a British trade name, presumably to benefit from the hesitancy of local Chinese officials to enforce the law stringently against foreigners.
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By the turn of the century, intellectual property problems began to multiply as Chinese entrepreneurs sought to take advantage of the popularity of importsand of items produced in foreigno w n e d local factories. Operating in an atmosphere of unprecedented international attention to intellectual propertyin the aftermath of the formation in 1883 of International U n i o n for the Protection of Industrial Property (the Paris C o n v e n t i o n ) , w h i c h deals w i t h patent and trademark, the promulgation in 1886 of International U n i o n for the Protection of Literary and Artistic Property (the Berne C o n v e n tion) , w h i c h addresses copyright, and w h a t the famed patent scholar Fritz M a c h l u p has termed the revival of such law in the W e s t f o r eign merchants expected that the integrity of trademarks that they had duly registered at h o m e w o u l d be maintained in C h i n a . In holding such expectations, they seemed little concerned that C h i n a was not a party to either convention or any other treaty concerning intellectual property, and was therefore under no formal legal o b l i gation to respond to foreign allegations of unauthorized trademark use either by Chinese or by other foreigners. N o r did they appear fully to appreciate the difficulties of rendering Western-language
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Learning the L a w at G u n p o i n t / 35 trademarks and trade names in Chinese so as to preserve the identity of the original mark, w h i l e creating a mark that w o u l d be felicitous in the C h i n e s e c o n t e x t . In any event, it was evident by century's end that a range of foreign trademarks were, at least in the eyes of their holders, increasingly being abused.
35

A l t h o u g h stirred by the promise of a market of "four hundred million c u s t o m e r s , " foreign merchants did not endeavor in any concerted fashion to redress their grievances concerning trademarks t h r o u g h the C h i n e s e legal system. In large measure, this mirrored the general disdain of foreigners for a system w i t h w h i c h they had little familiarity and for w h i c h they had even less respect. To be sure, C h i n e s e law offered scant formal protection for intellectual property t h r o u g h the end of the nineteenth century. Article 153 of the Q i n g code required commercial "agents" to avoid setting " u n j u s t " prices for their merchandise, Article 154 sought to punish those w h o realize an exorbitant profit through " m o n o p o l y " or other u n due influence, and Article 156 prohibited manufacturers from representing certain g o o d s as being of higher quality than they w e r e . T h e r e is no evidence, however, that these broad prohibitions w e r e regularly used to address trademark issues. Subsequent attempts by the Q i n g g o v e r n m e n t during the 100-Day Reform of 1898 to issue laws g o v e r n i n g the press, the importation of advanced technology, and inventions similarly failed to impress foreigners as providing meaningful protection. N o r did Western business regard the r e c o g nition, t h r o u g h imperial edicts promulgated during the last years of the century, of printers' monopolies over approximately t w e n t y types of texts as any more effective. A n d w h i l e members of some C h i n e s e guilds w e r e able to maintain the integrity of their o w n brand names or to prevail on local officials to assist them in preventing others from c o p y i n g the cigarettes, w i n e , medicines, and other products for w h i c h they had become famous, these protections w e r e localized and, in any event, unavailable to foreigners.
36 37 38 39 40 41

B e l i e v i n g there to be little point in turning to the Chinese, foreign merchants instead appealed to the local representatives of their h o m e governments for assistance. By century's end, foreign c o n sulates began to register marks belonging to their nationals and to c o n v e y those registrations to the Imperial Maritime C u s t o m s Serv i c e , w h i c h the foreign treaty powers had established in 1854 and since controlled. B u t these measures proved unavailing, in part for
42

j6 / Learning the L a w at Gunpoint w a n t of effective enforcement powers, particularly beyond the foreign settlements in Shanghai and the other major treaty ports, and in part because of the overall breakdown of civil order resulting from the so-called B o x e r Uprising of 1900. As a consequence, the British Foreign Office endeavored initially to address the trademark issue and other commercial issues in the negotiation of the p r o t o c o l concluding the B o x e r Uprising. That negotiation, h o w ever, soon proved overly complex and interwoven w i t h those the Chinese were conducting w i t h the other treaty powers. As a result, the Foreign Office instead resolved to negotiate a free-standing commercial treaty, notwithstanding the contention of some C h i n a hands that Britain's failure to impose the terms it desired as a part of B o x e r P r o t o c o l meant that the "right of China to have a w i l l of its o w n is r e c o g n i z e d . "
43 44 45

T h e negotiations that ensued, first w i t h the British and soon thereafter w i t h the Americans and Japanese, were not confined to intellectual property. T h e treaty powers were eager to establish w h a t they deemed a suitable environment for conducting international business. T h e y pressed the Chinese to eliminate the likin, w h i c h was seen as encumbering foreign efforts to reach the market of 400 m i l l i o n ; to adopt a uniform national currency; and to d e velop laws governing mining and joint-venture enterprises, as w e l l as intellectual property. If such concessions were forthcoming, it was suggested, they w o u l d instruct the Imperial Maritime C u s t o m s to institute n e w tariffs and again ban o p i u m , and they m i g h t even be "prepared to relinquish extra-territoriality w h e n satisfied that the state of the Chinese law, the arrangements for their administration and other considerations [so] warrant." T h e Chinese negotiating team, w h i c h was headed by the noted entrepreneur-turned-official Sheng X u a n h u a i and included representatives of the n e w l y formed M i n i s t r y of Foreign Affairs and foreign consultants drawn from the M a r i t i m e C u s t o m s , was scarcely in a position to resist entering into such discussions.
46 47 48 49 50 51

Trademark protection was the centerpiece of the intellectual property issues addressed in commercial agreements that the C h i nese accordingly concluded w i t h Britain, the United States, and Japan. In essence, the Chinese government undertook, in the w o r d s of the British treaty, to "afford protection to British trade-marks against infringement, imitation, or colourable imitation by Chinese

Learning the L a w at G u n p o i n t / 37 s u b j e c t s . " Reflecting the interest of Chinese negotiators in underscoring C h i n a ' s sovereign equality as a first step in breaking d o w n extraterritoriality, and the ironic belief of some Chinese officials that a market of "200 million" existed in the West and Japan for their products, C h i n a agreed to grant foreigners this protection "in order to secure such protection [abroad] . . . for its subjects."
53 54 52

G i v e n that C h i n a did not at this time have a national trademark law, the treaties left open the question of h o w to afford protection to foreign marks. T h e M a c k a y Treaty of 1902 w i t h Britain p r o vided that the Chinese government w o u l d establish offices "under control of the Imperial Maritime C u s t o m s Service w h e r e foreign trade-marks may be registered on payment of a reasonable f e e , " but none of the treaties required registration, specified w h o m i g h t exercise the privilege of registration w i t h respect to w h i c h marks, or enumerated the benefits of registration. What, after all, w a s a "British trade-mark," particularly in v i e w of the fact that use, rather than registration, sufficed to provide exclusive right to a mark in B r i t a i n ? M i g h t a Chinese subject seek to register in C h i n a a mark used in Britain? M i g h t a British subject seek to register in C h i n a a mark used there, but not in Britain? W h o , in short, w e r e to be holders and h o w might they protect their marks in C h i n a , absent registrationor, for that matter, w i t h it?
55 56

C h i n a ' s 1903 treaty w i t h the United States premised protection on registration, w h i c h was to be sought "by the proper authorities of the U n i t e d States," but neither it nor Japan's contemporaneous treaty provided answers to the types of questions raised above in connection w i t h the M a c k a y Treaty. N o r did these treaties specify w h e r e or under what circumstances such registration w a s to occur, other than to indicate that registration w o u l d take place "at such offices as the C h i n e s e government w i l l establish for such purpose, on payment of a reasonable fee, after due investigation by the C h i n e s e authorities, and in compliance w i t h reasonable regulations."
57

T h e provisions of these early agreements concerning forms of intellectual property other than trademarks w e r e somewhat more specific but still left vital questions unanswered. T h u s , the treaty of 1903 b e t w e e n the United States and C h i n a , w h i c h , curiously, w a s the o n l y one of the three to discuss patents, stated that C h i n a w o u l d provide a limited term of patent protection "to citizens of the U n i t e d States on all their patents issued by the United States, in respect of

38 / Learning the L a w at Gunpoint articles the sale of w h i c h is lawful in China, w h i c h do not infringe on previous inventions of Chinese subjects, in the same manner as patents are to be issued to subjects of C h i n a . " B u t the treaty also indicated that such protection w o u l d only commence after the C h i nese g o v e r n m e n t had established a patent office and adopted a patent law, w i t h o u t setting a date for establishing such an agency or p r o v i d i n g interim protection. Similarly, the American treaty provided that in return for the United States granting Chinese subjects "the benefits of its copyright l a w s , " the Chinese government w o u l d " g i v e full protection, in the same way and manner and subject to the same conditions upon which it agrees to protect trade-marks, to all citizens of the U n i t e d States" (emphasis added) w i t h respect to materials "especially prepared for the use and education of the Chinese p e o p l e . " O t h e r w o r k s were not entitled even to this uncertain level of protection, although their authors had a "right" to "due process of l a w " if their w o r k s were "calculated to injure the well-being of C h i n a " whatever these undefined terms might mean.
58 59 60

T h e vagueness and variation of those provisions of the turn-ofthe-century commercial treaties dealing w i t h intellectual property was not w i t h o u t consequence, as is borne out most graphically in the case of trademarks. To c o m p l y w i t h obligations undertaken in the treaties, C h i n a ' s Ministry of Foreign Affairs "invited" the Maritime C u s t o m s to prepare a draft trademark law. Working closely w i t h British consular officials and merchants, a Maritime C u s t o m s team headed by a British deputy inspector-general generated a draft trademark l a w that bore more than a passing resemblance to British law, w h i l e otherwise responding to British interests. This was most evident in the draft's provision that foreign marks used in C h i n a w e r e entitled to protection, even if not registered, either in C h i n a or abroad. Similarly, taking account of the fact that British merchants m i g h t not be able to produce registration certificates for marks used in Britain, the drafting committee determined early on that persons w h o chose to register foreign marks in C h i n a need not prove prior foreign registration. In specifying the b o d y to receive and act on registration applications, the committee selected the Imperial M a r i time C u s t o m s itself, through w h i c h British influence ran deeply, rather than an entity more directly under Chinese control.
61 62 63

T h e draft prepared by the Imperial Maritime C u s t o m s at the

Learning the L a w at Gunpoint / 39 request of the Ministry of Foreign Affairs did not meet w i t h a p proval from C h i n a ' s fledgling Ministry of C o m m e r c e , w h i c h had been founded in 1903 w i t h a multifaceted mission, including responsibility for developing a modern b o d y of commercial law, reducing C h i n a ' s g r o w i n g dependence on foreign goods, fostering e x ports, and i m p r o v i n g the lot of Chinese merchants selling abroad. O b j e c t i o n s to the C u s t o m s draft centered on the issues of r e g istration, treatment of foreign-owned marks, and administrative responsibility and jurisdiction, j u d g i n g from a superseding draft soon thereafter developed by a Ministry of C o m m e r c e team w o r k ing w i t h Japanese advisors. Departing largely from the A n g l o A m e r i c a n model employed by the C u s t o m s team, the C o m m e r c e draft declared in its very first article that anyone, "no matter whether Chinese or foreigner, w h o desires to have the exclusive use of a trade-mark must first register the s a m e . " As a concession to foreign interests, applicants w o u l d be granted a six-month priority period, c o m m e n c i n g w i t h the establishment of the Chinese trademark office, in w h i c h they might register marks for w h i c h "various [Chinese] officials may have issued proclamations g i v i n g protect i o n " or that had been registered abroad before the opening of the Chinese trademark office. In the future, this period of priority for foreign registered marks was to be reduced to four months. R e g i s tration was to be denied, however, to any mark that imitated official seals, "destroy[ed] respect for rank, . . . [did] injury to the C u s t o m s of the country and . . . deceive[d] the people" or was identical to one that had been in public use, albeit not registered, in C h i n a for t w o or more y e a r s .
64 65 66 67 68

No less important were the changes the Ministry of C o m m e r c e draft proposed making in the administration and jurisdiction of the trademark law. C i t i n g the fact that the American and Japanese treaties did not specify w h i c h agency was to take responsibility for trademark administration and dismissing the Mackay Treaty's reference to the Imperial Maritime C u s t o m s on the grounds that it had not yet been established w h e n negotiations w i t h the British w e r e being conducted, the ministry took the position that it should establish a single national trademark office in Beijing, w h i c h m i g h t have branch offices in Shanghai and Tianjin for the express purpose of facilitating registration. Far from doing away w i t h extraterritori69

40 / Learning the L a w at Gunpoint ality, the draft provided that cases of infringement i n v o l v i n g Chinese and foreigners w e r e to be tried by officials of the defendant's g o v ernment, w i t h representatives of the plaintiff's government present. T h o r o u g h t h o u g h it was, the ministry's draft evoked concern from the British, w h o saw it as g i v i n g advantage to the Japanese, w h i l e failing to stem counterfeiting of their trademarks by the C h i nese or other foreigners. B u t the German, French, Swiss, and other European governments reacted even more strenuously. T h e M i n i s try of C o m m e r c e ' s draft, in their minds, made undue concessions both to A n g l o - A m e r i c a n jurisprudenceas evidenced, for example, in the provision of de facto protection to unregistered marks that had been in use for more than t w o years in C h i n a a n d to the Japanese, w h o had been accorded a unique advisory role in the drafting process. C o m p o u n d i n g these problems, the Europeans c o n tended, w e r e lack of timely notice of the draft's proposed changes and C h i n a ' s inadequate preparation for the administration of any such l a w s .
70 71

As a consequence, the civil law powers t o o k the lead, soon to be f o l l o w e d by the British and Americans, in pressing the C h i n e s e to set aside the Ministry of C o m m e r c e draft, pending its revision w i t h expanded foreign "assistance." Toward that end, the treaty p o w e r s formed a committee to elicit merchant reaction and "advise" the Chinese. Within months, the committee developed a series of proposed amendments to the draft. O n e of the most notable of these, reflecting a compromise between the A n g l o - A m e r i c a n and Continental lawyers, recommended that marks in use prior to the turn-of-the-century treaties be protected even in the absence of r e g istration, but that those introduced thereafter be protected only if registered. Additionally, in an effort to keep the Chinese authorities from developing too m u c h independence, the committee and other interested foreign parties called on the Chinese to recognize w i t h out examination any mark duly registered by a treaty p o w e r and to i n v o l v e the foreign powers more intimately in China's trademark law drafting process by using more Western advisors and e m p l o y ing the Imperial Maritime C u s t o m s for at least some registration purposes.
72 73

N o t w i t h s t a n d i n g its w e a k bargaining position, the Chinese g o v ernment not only sought to stand firm in the face of increasing foreign pressure but strove to turn the situation to its advantage.

Learning the L a w at Gunpoint / 41 R e m i n d i n g the treaty p o w e r s that the imperial government had f o l l o w e d Western advice in studying foreign trademark law prior to enacting its o w n , Chinese officials responded to the diplomatic committee's proposed changes by accentuating the great variations a m o n g the trademark laws of the treaty p o w e r s . T h e y further o b served that a l l o w i n g either foreign consular officials or local Chinese magistrates to resolve particular cases was certain to cause confusion, as "it is impossible that they should be familiar w i t h all the affairs of the Trademark Office and the circumstances attaching to any action w h i c h may be brought." Accordingly, "so that equitable decisions may be obtained, and that the interests of both Chinese and foreigners may be protected," it was necessary, contended the M i n i s t r y of C o m m e r c e , that there be a "centralization of all authority" for trademark infringement cases in a system of Chinese courts to be established under its auspices.
74 75

A l t h o u g h Chinese officials reminded the foreign diplomatic c o m m u n i t y that the centralization of authority over all trademark disputes w a s in keeping w i t h those provisions of the turn-of-thecentury commercial treaties promising to relinquish extraterritorial privileges w h e n the Chinese legal system was "modernized," none of the treaty p o w e r s responded favorably to this Chinese p r o p o s a l . Britain and the United States, among others, made concerted efforts to persuade the Chinese to alter their position, arguing that the p r o posed system discriminated against their nationals and, in any event, was premature, given the West's v i e w of the quality of the C h i nese legal s y s t e m . With the foreign powers refusing to approve the proposed C h i n e s e regulations and the Chinese refusing to substitute a draft more in keeping w i t h their wishes, a stalemate ensued. T h e C h i n e s e central government in turn relied on this deadlock as a rationale for not promulgating a permanent trademark law for t w o decades, w i t h the result that the protection promised by the turnof-the-century treaties was not available until 1923, and then m o r e in name than fact.
76 77 78

Similar situations obtained w i t h respect to the development of patent and copyright laws and the relevant administrative agencies. T h u s , although the Chinese had committed themselves in 1903 to provide patent protection for certain American inventions, more than t w o decades passed before foreigners received even the n o m i nal protection first accorded Chinese nationals in 1912, w h i c h itself

42 / Learning the L a w at Gunpoint produced fewer than 1,000 patents over its first thirty y e a r s . N o r did protection prove any more readily forthcoming w i t h regard to c o p y r i g h t , even taking account of the fairly limited scope of the pertinent provisions of the A m e r i c a n and Japanese commercial treaties. In 1906, 1907, and 1908, the Q i n g government issued laws on printi n g and newspapers, but the registration systems they provided w e r e aimed at controlling printers, w i t h the result that these laws ultimately treated Chinese and foreign authors equally by protecting neither. For years, the Chinese resisted pressure from the U n i t e d States and other treaty p o w e r s to promulgate legislation i m p l e m e n t i n g their treaty obligations. Because the turn-of-the-century treaties specified that c o p y r i g h t protection was to be accorded in the "same w a y and manner and subject to the same conditions" as trademark protection, the Chinese government contended, it was premature to issue a c o p y r i g h t law until the trademark law "goes into force and proves acceptable and effective." A n d w h e n , in 1910, the C h i nese finally did succumb and issue a "provisional and experimental c o p y r i g h t a c t . . . [that gave] certain very limited exclusive rights to C h i n e s e a u t h o r s , " it neither " p u r p o r t e d ] to put the above treaty provisions into effect" nor, according to a leading practitioner, gave "any protection" to foreigners.
80 81 82 83 79

Finding little solace in Chinese legislative efforts and desiring, in any event, to maintain extraterritoriality, Britain, the U n i t e d States, and other treaty powers sought instead directly to p r o tect their intellectual property against infringement in C h i n a by nationals of other treaty p o w e r s . A c c o r d i n g l y , late in 1905, the major treaty p o w e r s c o m m e n c e d negotiation of a series of bilateral agreements amongst themselves designed to provide reciprocal p r o t e c t i o n . T h e s e provided, for example, that an A m e r i c a n national w h o had registered a trademark in Italy m i g h t bring an action b e fore the Italian Consular C o u r t in C h i n a against a person subject to the jurisdiction of that court. N o t w i t h s t a n d i n g o n g o i n g allegations against Japanese merchants, these bilateral agreements soon significantly eased the p r o b l e m of infringement among the treaty p o w e r s ' nationals.
84 85 85

T h e treaty p o w e r s ' problems w i t h infringement by the Chinese w e r e not so easily ameliorated. On the contrary, these problems multiplied during the period between the conclusion of the M a c k a y Treaty and the promulgation in the late 1920's of the first Chinese

Learning the L a w at Gunpoint / 43 laws designed to implement the promises made by the turn-of-thecentury treaties regarding intellectual property. Increased industrialization enhanced the capacity of Chinese enterprises to copy foreign intellectual property, while the spread of literacy through the baihua (vernacular) m o v e m e n t and the g r o w t h of a sizable urban elite provided pirates w i t h ever-greater incentives. Infringement of items from textbooks to tobacco products was rampant, j u d g i n g from the accounts of diplomats, merchants, and local g o v e r n m e n tal o r g a n s . In the w o r d s of N o r w o o d A l l m a n , w h o served as U . S . consul in Shanghai and was an assessor in the M i x e d C o u r t s prior to establishing his o w n law practice in China, "it is undoubted that there is n o w [1924] widespread unauthorized reproduction in C h i n a of foreign patented articles."
87 88 89 90 91

Typical of the problems were the experiences of the famed A m e r i can publisher of G. & C. Merriam, w h i c h invested heavily in the preparation of a bilingual version of Webster's Dictionary that it hoped to introduce to C h i n a . Even before bringing its dictionary o n t o the C h i n e s e market, Merriam discovered that the C o m m e r c i a l Press in Shanghai had already b e g u n to distribute its o w n Chinese language version of Webster's. Merriam accordingly brought suit in 1923 against the C o m m e r c i a l Press before the Shanghai M i x e d C o u r t , i n v o k i n g both the copyright and trademark provisions of the treaty of 1903 b e t w e e n the United States and China. C o u n s e l for the C o m mercial Press offered an array of arguments, ranging from reliance on the literal meaning of the 1903 treaty's limited copyright p r o v i sions to lavishing praise on the Press for its patriotism in m a k i n g foreign k n o w l e d g e available. In the end, the court found that the dictionary did not fall within the limited class of American w o r k s e n titled to c o p y r i g h t protection, but rejected the C o m m e r c i a l Press's contention that its use of a seal virtually identical to Webster's was no more than an unintentional coincidence. As a consequence, the court imposed a moderate fine (of 1,500 Jiang of silver) on the C o m mercial Press but did nothing to halt its continued publication of its version of Webster'salbeit w i t h o u t the identifying seal.
92 93

U n a b l e to secure uniform national intellectual property laws, foreign parties in C h i n a sought whatever alternative protection they could find. A number registered their trademarks, patents, and copyrights w i t h the Maritime C u s t o m s , for although such registration had no legal effect before 1923, many foreign holders assumed

44 / Learning the L a w at Gunpoint that it m i g h t serve as p r o o f of their long-standing ownership interest should they later seek to invoke the assistance of Chinese courts or officials in combating infringement. Others sought to generate such p r o o f through registration w i t h their consulates, n o t w i t h standing the fact that consuls were able to do little more than bring diplomatic pressure to bear within their o w n consular districts. Still, others, particularly in Shanghai and a small number of additional areas w i t h a strong foreign presence, were successful in persuading local Chinese officials to exercise their discretionary powers to take action, at least on occasion, against infringers. T h u s , the expatriate Shanghai North China Daily News reported w i t h great praise the issuance during the summer of 1907 by the local daotai (circuit intendant) of proclamations designed to "prohibit further c o p y i n g of patterns by C h i n e s e " of "cigarettes manufactured by the BritishA m e r i c a n Tobacco C o m p a n y (Limited) . . . and also . . . the soaps for w h i c h Messrs. A. E. Burkill & Sons are the sole a g e n t s . " T h e records of the Shanghai M i x e d C o u r t reveal instances, such as a 1915 case concerning the trademark Vaseline, in which the court came to the assistance of foreign trademark holders on equitable grounds, in the absence of a trademark l a w .
94 95 96

T h e specter of foreign intervention that provided foreign holders of intellectual property w i t h sporadic protection was, of course, essentially unavailable for their Chinese counterparts. Histories of major publishers and other enterprises, author's diaries, handbooks for the conduct of business, governmental records, and a host of other documents v i v i d l y portray the difficulty faced by Chinese w i t h potentially marketable intellectual p r o p e r t y w h o s e ranks w e r e g r o w i n g by virtue of the expansion of the middle class and technological c h a n g e . This was evidenced, for example, in the problems encountered by the " n e w breed of commercial w r i t e r s " w h o arose as "the urban readership emerged and the facility of rapid printing became clear," only to find their attempts to earn a living from their prose thwarted by the fact that "copyrights existed but w e r e unenforceable."
97 98

Typical of the plight of Chinese authors was the experience of the novelist Xu Z h e n y a w i t h his highly popular w o r k Yuli hun (Jade Garden Spirit). H a v i n g initially published it in serial form b e g i n ning in 1912 in a periodical k n o w n as the Minquan bao (People's Rights Journal), Xu was dismayed to discover his tale of romance

Learning the L a w at Gunpoint / 45 republished and sold at considerable profit by the People's Rights Publishing Section, w h i c h was affiliated w i t h the journal. Eager to realize some of that profit, but unable to make headway w i t h the publisher, Xu contended, in the w o r d s of a leading chronicler of the literature of that era, "that the new, Western thing k n o w n as the 'legal c o p y r i g h t ' should remain w i t h the author." W h e n his efforts at persuasion proved unavailing, Xu took the publisher to court under C h i n a ' s fledgling copyright law and prevailed, only to find the pirating of his celebrated love story to have spread still further in the interim. Exasperated, Xu finally chose to give away or sell at cost copies of the b o o k in order both to strike back at the printers w h o had blithely pirated his w o r k and to draw attention to his situation. N o r did X u ' s ability to protect his o w n w o r k improve markedly even after he formed his o w n publishing company, j u d g ing from the fact that although "some have even estimated a total circulation [for his next major novel] of over a million, . . . Xu . . . probably sold only a few tens of thousands."
99 100

Western diplomats and merchants involved in these early attempts to implant " m o d e r n " intellectual property law in C h i n a attributed their failure to what they characterized as the inability of the Chinese to understand such law. As the U . S . consul general in Shanghai w r o t e to his ambassador in 1904, " T h e Chinese seem to have confused a trademark w i t h a patent." " Y o u w i l l remember," he added, "that in our negotiation of the [1903] Treaty, it seemed nearly impossible to explain to them the difference between a trademark and a patent." N o r were the Americans alone in such sentiments, j u d g i n g from the reservations that the Germans and others expressed about the Ministry of C o m m e r c e ' s desire to centralize authority over trademark registration and infringement.
101 102

Foreign assumptions as to w h y early efforts to foster " m o d e r n " intellectual property law in C h i n a proved so difficult were accurate in some measure. Notwithstanding the amassing by Shen J i a b e n and Wu T i n g f a n g of data regarding foreign legal systems and the subsequent utilization by the Chinese government of British, Japanese, and other foreign advisors, it is evident that in the early twentieth century, Chinese officials in both the capital and the p r o v inces had not t h o r o u g h l y addressed the implications for C h i n a of intellectual property law. This is borne out, for example, by the tenor of early Ministry of C o m m e r c e memorials concerning such
103 1 0 4 105

46 / Learning the L a w at Gunpoint p r o t e c t i o n . After noting that the United States, Japan, and other nations w i t h patent laws attained high levels of economic success, these memorials suggest that China, too, might w i s h to adopt c o m parable measures. T h e y fail, however, to indicate h o w such l a w w h i c h they rightly declared to be w i t h o u t precedent in Chinese history w a s to be successfully absorbed, or even to take note of the plethora of practical difficulties confronting these and other aspects of the turn-of-the-century law reform effort. These memorials, in effect, equate the promulgation of such law w i t h its implementation, whether in C h i n a or abroad.
1 0 7 106

Provincial and local officials were no more sophisticated about such matters. This was evidenced, for instance, by the rules regarding patents issued in 1906 by thejiangnan Bureau of C o m m e r c e . In an unconscious reprise of early patent law in the West, those rules, inter alia, provided for the issuance of what were described as patents to Chinese for imitation, rather than innovation. Such rewards w e r e to be granted to those w h o imitated Western methods for producing paper, extracting oil, and other valuable industrial processeswith the length of the patent to vary according to the importance of w h a t was appropriated from abroad.
108

T h e s e difficulties notwithstanding, it is important neither to o v e r state the incomprehensibility of Chinese intellectual property law in the late Q i n g and early Republican eras nor to assume that this w a s the sole reason Chinese of this period failed to embrace such l a w s more vigorously. T h e same documents that reflect a lack of familiarity on the part of Ministry of C o m m e r c e officials w i t h many facets of intellectual property law and a naivete about w h a t the a d o p tion of such l a w w o u l d entail also evidence both an appreciation that economically successful nations had patent laws and the perception that trademarks m i g h t help foster commerce. As a consequence, these same Ministry of C o m m e r c e materials call on Chinese n e g o tiators to secure reciprocal protection abroad for Chinese marks in order to build up foreign markets for Chinese products, as w e l l as to maintain C h i n a ' s sovereign h o n o r . It is also apparent that Chinese representatives clearly understood copyright well enough to n e g o t i ate a limit of C h i n a ' s promise of protection to materials "especially prepared for the use and education of the Chinese people," so that " C h i n e s e subjects shall be at liberty to make, print, and sell original translations into Chinese of any [other] w o r k s written or of maps
109

Learning the L a w at Gunpoint / 47 compiled by a citizen of the United States." T h e inclusion of that limitation should not be attributed solely to the possibility that U . S . negotiators may have been interested in seeing A m e r i c a n ideas disseminated in C h i n a , given the vigor w i t h w h i c h Chinese authorities sought to uphold the right of their nationals under the treaty of 1903 to reproduce and translate virtually all American b o o k s .
111 110

An awareness of at least some forms of marketable intellectual property extended beyond official circles. As printing and m a n u facturing technologies g r e w in sophistication, a modest number of authors and entrepreneurs joined guild members in efforts to prevent others from making unauthorized use of their creations, although such awareness could hardly be described as widespread. C h i n e s e nationals, particularly in Shanghai, showed some degree of familiarity w i t h brand names in commercial boycotts staged in 1905 against A m e r i c a n g o o d s to protest the passage of legislation designed to exclude Chinese from the United States in contravention of the Burlingame Treaty, and in 1919 to express Chinese anger over Japanese expansionism. A m i d s t a background of complaints about the difficulty of preserving any semblance of intellectual p r o p erty in C h i n a , a small number of foreign observers suggested that the Chinese displayed some regard for trademarks.
112 1 1 3 114 115 116

Q u e s t i o n s of understanding of intellectual property law were, of course, not the only factors at play. Skepticism at the highest levels of the Chinese state seems to have impaired the late Q i n g l a w reform in g e n e r a l w h i c h even w i t h genuine support w o u l d have been extremely difficult to effectuate. To be sure, Shen Jiaben and others pleaded forcefully for legal reform, contending that w i t h o u t it C h i n a m i g h t w e l l not survive in a competitive w o r l d filled w i t h nations no longer burdened, as was China, w i t h what he described as an antiquated legal s y s t e m . Nonetheless, the Empress D o w a ger C i x i and her most influential advisors, especially in the years immediately f o l l o w i n g the B o x e r Uprising, regarded law reform as, at best, an unfortunate short-term expedient needed to calm the restive masses and appease the treaty powers before Q i n g p o w e r could be reasserted in its proper f o r m . A n d most important, as had been the case throughout imperial Chinese history, the g o v e r n ment's interest in the publication remained focused on the control of ideas and the maintenance of order, rather than on the protection of private property interests or the nurturing of a marketplace of
117 118

48 / Learning the L a w at Gunpoint ideas. As a consequence, elements of reform that Shen and his c o l leagues saw as essentialsuch as the abolition of many of the sharp status differences found in the Q i n g code in favor of a " m o d e r n " criminal code stressing e q u a l i t y w e r e either rejected or accepted in so w a t e r e d - d o w n a fashion as to dilute the v e r y purpose of their adoption.
120 119

E v e n those dimensions of the law reform effort that enjoyed sufficient support to be adopted largely as proposed faced immense difficultyas w a s the case w i t h the first Chinese company law, w h i c h in 1901 introduced the idea of limited liability and t o o k a h i g h l y supportive approach toward entrepreneurial endeavor. That law presumed that n e w l y organized mechanisms for dispute resolution, such as chambers of commerce under the auspices of w h i c h arbitration acceptable to both Chinese and foreigners m i g h t be held, w o u l d rapidly be established. A n d yet, o w i n g to the weakness of the central government by the early twentieth century, little effort w a s devoted either to training individuals w h o m i g h t administer these n e w rules and institutions or to educating merchants and the broader populace as to their meaning and implications.
121 122

If anything, the problems that plagued the initial law reform efforts of the late Q i n g regime intensified during the final years of the dynasty and the early years of the Republic, preceding the consolidation of p o w e r by the G u o m i n d a n g in the late 1920's. By the time of the ascension of the three-year-old E m p e r o r P u y i to the throne in 1908, the Q i n g regime was in such disarray, and its ability to g o v e r n so deeply impaired by its o w n corruption, s u r g ing H a n objections to M a n c h u rule, and the corrosive effects of C h i n a ' s semicolonial status, that even proponents of further law reform recognized the relative futility of their undertakings. N o r w e r e those w h o strove to take up the Q i n g dynasty's mantle in the first t w o decades f o l l o w i n g the 1911 revolution better able to attain success. A l t h o u g h attempts were made by various groups during this interregnum to build on the law reform w o r k of the Q i n g , their m o t i v a t i o n typically seems to have been legitimation rather than genuine legal reform. T h i s was perhaps most graphically e x emplified in 1915 by the early Republican President Y u a n Shikai, w h o endeavored to restore the monarchy w i t h himself as emperor. Eager to ease this blatant betrayal of the Republic he was serving, Y u a n adopted the reign name of H o n g x i a n (Great Constitutional) E m p e r o r in the belief that this w o u l d demonstrate his self-professed
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Learning the L a w at Gunpoint / 49 abiding c o m m i t m e n t to the rule of l a w . In any event, conditions t h r o u g h o u t this era were hardly propitious for legal reform. As if the foregoing were not problematic enough, the very m a n ner in w h i c h the treaty powers sought in this context to introduce intellectual property law into C h i n a appears, ironically, to have been a major factor impairing its reception. Apart from the essentially self-serving advice provided by a small core of British, Japanese, A m e r i c a n , and other foreign advisors largely involved in legislative drafting and general legal counseling, it appears that the treaty p o w e r s made no substantial efforts to show the Chinese government w h y intellectual property law m i g h t be of benefit to C h i n a , to assist in the training of Chinese officials w i t h responsibility in this field, or to educate the Chinese populace as to its rationale. N o r does there appear to have been any serious attempt either to enlist the support of C h i n e s e holders of commercially valuable intellectual property for the building of such law or to take account of Chinese c i r c u m stances, save for the copyright provisions of the U . S . and Japanese treaties. Instead, w h a t was g o o d for each treaty p o w e r was deemed by nationals of that particular treaty power, perforce, to be g o o d for C h i n a .
125 124

U n h a p p y at being forced to negotiate the turn-of-the-century commercial treaties, Chinese officials initially assumed that adoption of the legal and other "reforms" called for in those agreements including intellectual property l a w w o u l d , at least, hasten the end of the much-detested extraterritoriality. T h e y therefore m o v e d to add the trappings of such laws to satisfy the treaty p o w e r s . W h e n it s o o n thereafter became apparent that these powers w e r e in no hurry to fulfill their treaties' commitment to relinquish extraterritorial privileges, the initial limited Chinese willingness to legislate in this area largely dissipated. This was replaced, as has been depicted above, by efforts to employ intellectual property law itself as a tool in the struggle to ward off the foreign powers. As a c o n sequence, U . S . Ambassador Rockhill's observation that "as C h i n a has no c o p y r i g h t laws and grants no protection to her o w n people, it w o u l d avail Americans little to be placed upon the same footing w i t h t h e m " remained as true t w o decades after the conclusion of the turn-of-the-century treaties as w h e n he first uttered it in 1906.
126 127

If the turmoil of the first t w o decades following collapse of the Q i n g dynasty was an impediment to efforts to formulate a sound n e w

50 / Learning the L a w at Gunpoint legal order, the b r i e f interlude of relative stability enjoyed during the N a n j i n g government's early years hardly provided more auspicious circumstances. Wrapping themselves in the mantle of the Guofu (Father of the Nation), Sun Yatsen (1866-1925), the G u o m i n d a n g t o o k p o w e r in 1928 after having turned b l o o d i l y against the C o m m u n i s t s , w i t h w h o m it had uncomfortably been allied in efforts to stop warlordism and reunite C h i n a during the late 1920's. W i t h the outbreak in Manchuria in 1931 of what w a s to b e c o m e World War II, and w i t h its o w n efforts to eradicate Chinese c o m m u nism, the G u o m i n d a n g , too, proved unable to escape the cycle of violence and realize a sustained period of peace.
128 129

T h e violent birth of its regime notwithstanding, the G u o m i n dang soon sought a thorough transformation of the Chinese g o v ernment in order to lay the foundation both for ending the disorder that had long afflicted C h i n a and for convincing the treaty p o w e r s that extraterritoriality was no longer justified. Building on Sun's vision of a g o v e r n m e n t of five branches, the G u o m i n d a n g in its early years in p o w e r elaborated what it described as a modern g o v e r n m e n t for a n e w C h i n a . A n d so doing, the G u o m i n d a n g developed and promulgated w h a t its legal advisorsmany of w h o m w e r e foreigntrainedbelieved w o u l d be a fitting formal legal structure.
130 131 132

T h e development of laws regulating creative and inventive endeavor w a s a key element of the effort to foster a n e w legal system. T h e first such measure, promulgated shortly after the G u o m i n d a n g t o o k p o w e r in 1928, w a s the C o p y r i g h t L a w . B o r r o w i n g heavily from the G e r m a n example, as filtered through the Japanese, this law provided that authors w e r e entitled on registration w i t h the M i n i s try of Internal Affairs to protection for b o o k s , music, photographs, designs, sculpture, and other technical, literary, and artistic w o r k s . In the case of Chinese nationals, this protection, w h i c h encompassed moral as w e l l as economic rights, was to run for the life of the author plus thirty years. For foreigners, on the other hand, it w a s limited to ten y e a r s and was available, as its implementing regulations specified, o n l y for w o r k s "useful for [the] Chinese" created by persons " w h o s e country recognizes that Chinese people are entitled to enjoy author's rights in that country." A l t h o u g h specific translations w e r e to be protected, the right to translate a w o r k copyrighted in a foreign country was not. Holders w h o s e rights were being infringed m i g h t bring civil actions seeking damages or an injunction against
133 134

Learning the Law at G u n p o i n t / 51 further improper publication or might endeavor to have Chinese and foreigners alike prosecuted in Chinese courts. In vesting the Ministry of Internal Affairs w i t h registration authority, the law also provided that the ministry m i g h t "refuse to register [a w o r k ] in one of the following cases: (1) the w o r k o b v i ously goes against the doctrines of the G u o m i n d a n g or (2) the release of the w o r k is prohibited by other l a w s . " These restrictions w e r e amplified in the Publication L a w promulgated t w o years later and its implementing regulations, only to be further expanded after the c o m m e n c e m e n t of World War II. Published w o r k s w e r e not to contain anything, according to Article 19 of the Publication Law, "intended to . . . undermine the G u o m i n d a n g or violate the T h r e e People's Principles" of Dr. Sun Yatsen, "to o v e r t h r o w the Nationalist G o v e r n m e n t or to damage the interests of the Republic of C h i n a , " to "destroy public order," or to "impair g o o d customs and h a b i t s . " To ensure that these prohibitions w e r e met, b o o k s , newspapers and other w o r k s w e r e not to be released in the event that the w o r k "involved doctrines and affairs of the G u o m i n d a n g " unless the Ministry of Internal Affairs or the Central Propaganda D e p a r t m e n t of the G u o m i n d a n g granted a p e r m i t . Such a permit, in turn, w a s a prerequisite to obtaining a copyright, although the prospect of not being able to secure rights for w o r k s of this type must have seemed a minor penalty in v i e w of the Publication L a w ' s provision that persons releasing such w o r k s w i t h o u t a permit m i g h t be subject to imprisonment, fines, the seizure of their publications, and the destruction of their t y p e .
135 136 137 138 139 140

A l t h o u g h less intimately interwoven in the fabric of political life, the trademark and patent measures promulgated by the N a t i o n a l ist g o v e r n m e n t during its years in Nanjing were not w i t h o u t their notable provisions. Protection for trademarks required registration w i t h the central government, w h i c h had authority, under the Trademark L a w issued in 1930 and amended in 1935, to bar marks that it deemed prejudicial to public order or that utilized the portrait or name of D r . Sun Yatsen, the p l u m blossom, or other signs evocative of the national government or the G u o m i n d a n g party. Registration carried a term of t w e n t y years, contingent on initial use of the mark in C h i n a w i t h i n a year of its registration and continuing local use thereafter. Nonresident aliens were eligible to obtain registration for their marks through the use of Chinese agents, provided
141

52 / Learning the L a w at Gunpoint that their h o m e nations offered comparable protection to C h i n a , and subject to the law's stipulation that if a mark had been used before registration was sought, the party using the mark first in C h i n a was entitled to registration even over parties w h o had previously registered it abroad. A n d as was the case w i t h copyright, infringement cases were to be tried in Chinese courts, irrespective of the nationality of the defendants. Protection for Chinese, if not foreign, inventions was set forth in the Measures to Encourage Industrial Arts promulgated in 1 9 3 2 . T h e s e measures, in turn, were supplemented by the Nationalist g o v e r n m e n t in 1949 w i t h the introduction of a patent law prepared five years earlier in w h i c h , in the w o r d s of a foreign skeptic, "practically every k n o w n provision of patent law is incorporated." T h e legal regime envisioned offered patent protection, save for chemicals, foods, and pharmaceuticals, to Chinese as w e l l as for foreigners, provided that their o w n nations reciprocated such p r o t e c t i o n . Patent protection was not to be absolute, but rather was contingent on the requirement that the invention be w o r k e d w i t h i n a three-year period or be subject to a compulsory license. O n c e again, the Chinese courts were to be the arbiter of infringement, w h i c h could be the subject of civil or criminal actions.
142 143

T h e s e elaborate efforts at "modernizing" the law notwithstanding, there appears, from accounts of Chinese and foreign observers alike, to have been little change in Chinese practice during the Nationalist government's t w o decades in p o w e r on the mainland. T h u s , for example, after noting in his 1969 study of b o o k pirating in T a i w a n that there was in the 1928 C o p y r i g h t L a w "no concern manifest . . . for the international aspects of protection," D a v i d Kaser remarks that "protection of any kind for literary property w a s so seldom recognized as deserving of attention in C h i n a that very, v e r y few cases of alleged violation w e n t to litigation; precedents, although not u n k n o w n , were rare." Similar sentiments have been expressed by commentators as varied as Shen Ren'gan, the first head of the P R C ' s State C o p y r i g h t Administration, w h o has declared that "despite laws promulgated by the Guomindang government, it was impossible . . . to assure the author's justifiable rights and interests," and Professor He Defen of National Taiwan University, w h o is a leading authority on c o p y r i g h t . N o r does the situation appear to have been appreciably different w i t h respect to trademarks
144 145 1 4 6 147

Learning the L a w at Gunpoint / 53 or patents. " W h e n . . . there is a case of infringement [of trademark] . . . the local courts do not take the opinion of the [National Trademark] B u r e a u into consideration," t w o British C h i n a hands of the 1930's typically noted; rather, the courts reached decisions irrespective of the existence of duly registered trademarks. In the w o r d s of a sympathetic 1945 report by a subcommittee of the National Foreign Trade C o u n c i l , based in N e w Y o r k , "adoption of suitable statutes relating to Patents, Trademarks and C o p y r i g h t s w i l l not be e n o u g h [i]f C h i n a is to derive any real benefit. . . . No matter h o w sound a law may be, it is of no value if it is not e n f o r c e d . "
148 149

Clearly, the disruption occasioned by the invasion of Manchuria in 1931, C h i a n g Kai-shek's ongoing campaign to eradicate the C o m munists, further Japanese aggression, and the Chinese civil w a r that f o l l o w e d greatly impaired efforts to infuse life into the laws on intellectual property promulgated during the Nationalists' first t w o decades. Yet, more fundamentally, these laws failed to achieve their stated objectives because they presumed a legal structure, and indeed, a legal consciousness, that did not then exist in C h i n a and, most likely, could not have flourished there at that time. Structurally, each of these laws granted rights only to those persons w h o had registered their intellectual property w i t h the appropriate g o v ernmental agencies and further specified that such rights were to be enforced through recourse to the nation's court system. Such a r e g istration requirement may have made sense in the foreign context from w h i c h it was borrowed. It was, however, far less appropriate for C h i n a in the early twentieth century, given that, in the w o r d s of C h i a n g Kai-shek himself, " w h e n something arrives at a government office it is yamenizedall reform projects are handled lackadaisically, negligently, and inefficiently," and given the virtual absence of personnel trained to administer such a registration s y s t e m .
150 151

M u c h the same point could be made regarding the notion of v i n dicating one's rights through the courts. Of China's 2,000 counties (xian), w h i c h had an average population of over 200,000, little more than 10 percent had as m u c h as a single district c o u r t , and many such courts w e r e staffed by judges and lawyers of decidedly l i m ited training and expertise. N o r was the situation much better even after another decade of efforts at law reform. In 1946 C h i n a still had only 479 courts, many of w h i c h were still not staffed by professional j u r i s t s . So it was that the Harvard-trained political scientist Q i a n
152 153

54 / Learning the L a w at Gunpoint D u a n s h e n g was able to conclude during the last years of the N a n j i n g era that "in draftsmanship the codes are, on the w h o l e , w e l l done. If they have not been duly enforced, it is . . . because of the inaccessibility of the courts, the incompetence of the judges, and, especially, the interference of authorities other than the judicial in the administration of j u s t i c e . " Beneath these structural problems, h o w e v e r , there w e r e even more basic matters of legal consciousness at play. F r o m its inception, the Nationalist government justified the s l o w pace at w h i c h it introduced constitutional reform by reference to Sun Yatsen's theory of "tutelage." Sun's theory suggested that the Chinese people w e r e historically so ill-prepared for democracy that only controlled m o v e m e n t in that direction under firm control of the G u o m i n d a n g , taking account of the time needed for mass education, could succeed in transforming China. Nonetheless, in a manner typical of Republican law reform in general, the lawyers and officials i n v o l v e d in preparing the trademark, patent, and copyright measures of this era drafted them as if their audience consisted of other urban sophisticates as versed as they were in foreign w a y s . T h e r e appears to have been scant recognition in these laws, and scant a c k n o w l e d g m e n t in their application, that the o v e r w h e l m i n g m a j o r i t y of their fellow Chinese citizens were unfamiliar not only w i t h the niceties of " m o d e r n " intellectual property but w i t h the very idea of vindicating rights through active involvement in a formal legal process meant to be adversarial in nature.
154

N o r w e r e problems of legal consciousness the exclusive province of the 90 percent of China's populace w h o dwelt in the countryside. T h e urbane lawyers and others involved in preparing Republican C h i n a ' s m o d e r n legal codes seem not to have appreciated that the idea of a strong, independent legal system, w h i c h underlay the laws they drafted, was profoundly at odds w i t h the self-perceived m i s sion of the government they served. For all the n e w codes it put on the b o o k s , the Nationalist government quite simply had little use for the formalities of law w h e n they interfered w i t h its political agenda. It w a s , for example, no coincidence that of more than 69,000 officials against w h o m charges of corruption were made to the central government's C o n t r o l Y u a n during the notoriously freewheeling years between 1931 and 1937, only 268 were found guilty and fewer than 60 received any sort of punishment. C o p y r i g h t laws m i g h t speak of the importance of preserving an author's rights, but these
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Learning the L a w at G u n p o i n t / 55 w e r e automatically to give w a y in the face of what was taken to be an unquestionable need to control the flow of ideas. T h e N a t i o n alist government, in short, heeded only too w e l l the January 1924 statement of the G u o m i n d a n g Congress that "democratic rights . . . must not be carelessly b e s t o w e d . "
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Four

Squaring Circles: Intellectual Property Law with Chinese Characteristics for a Socialist Commodity Economy

Is it necessary for a steel w o r k e r to put his n a m e on a steel i n g o t that he produces in the course of his d u t y ? If n o t , w h y s h o u l d a m e m b e r o f the intelligentsia e n j o y the p r i v i l e g e o f p u t t i n g his n a m e o n w h a t h e produces? Popular saying in C h i n a d u r i n g the Cultural Revolution (1966-76)

A l t h o u g h the founders of the P R C excoriated their Nationalist predecessors for being enamored of foreign ideas and practices, they, too, l o o k e d abroad in developing law for their " N e w C h i n a . " Years before the invalidation in 1949 of the entire corpus of Republican l a w , the Chinese C o m m u n i s t party drew extensively on the e x ample provided by the U S S R as it formed model "soviets" in the C h i n e s e countryside and began to articulate a legal system. W i t h the establishment of a Chinese people's republic on O c t o b e r 1, 1949, such efforts to learn from abroad intensified.
1 2 3 4

In the area of intellectual property law, the Soviet model proved more accessible to C h i n a than those used by the G u o m i n d a n g . In large measure this was because of the w a y s in w h i c h the values that underlay the Soviet model reflected traditional Chinese attitudes toward intellectual property. This was especially the case w i t h regard to the belief that in inventing or creating, individuals w e r e engaged in social activities that drew on a repository of k n o w l e d g e
5

Squaring Circles / 57 that belonged to all members of society. As the y o u n g M a r x w r o t e in 1844: Even when I carry out scientific work, an activity which I can seldom conduct in direct association with other men, I perform a social, because human, act. It is not only the material of my activitysuch as the language itself which the thinker useswhich is given to me as a social product. My own existence is a social activity. For this reason, what I myself produce, I produce for society, and with the consciousness of acting as a social being.

To be sure, M a r x ' s v i e w s on the social nature of language and of invention, and Confucius's concept of the transmission of culture arose from v e r y different ideological foundations. Nonetheless, b e cause each school of thought in its o w n w a y saw intellectual creation as fundamentally a product of the larger society from w h i c h it emerged, neither elaborated a strong rationale for treating it as establishing private ownership interests. T h e Soviet example also evoked the Chinese tradition in its approach to the dissemination of k n o w l e d g e . There are, of course, many differences between Marxism-Leninism, w i t h its ultimate goal of a classless society, and Confucianism, w i t h its belief in the necessity of hierarchy. Nonetheless, each clearly envisioned that it was w h o l l y appropriateindeed, necessaryto control the flow of ideas to the populace. Moreover, each believed that this control was to be exercised by a very small group of persons for the benefit of society as a w h o l e . In this respect, too, the Soviet case was far more compatible w i t h both the objectives of the Beijing leadership and the broader Chinese context than were the models Republican C h i n a had used, w h i c h presumed the existence of a marketplace of ideas in a manner neither acceptable to the leadership of the Chinese C o m munist party nor previously witnessed in the Middle K i n g d o m .
7

T h e cornerstone of the P R C ' s early efforts at regulating intellectual property, the Provisional Regulations on the Protection of Invention Rights and Patent Rights of A u g u s t 11, 1950, followed the Soviet model in establishing a " t w o - t r a c k " system. T h e preferred track provided for the granting by the state of certificates of invention to select inventors. These certificates entitled persons or entities responsible for w o r t h y advances to recognition and m o n e tary rewards tied to the savings realized from their inventions, w h i l e vesting in the state the right to exploit and disseminate those inven8

58 / Squaring Circles tions. Alternatively, the state might issue patents vesting inventors w i t h o w n e r s h i p and fundamental control, thereby entitling them to receive whatever royalties might be negotiated. U n l i k e the U S S R , the P R C did not craft its two-track system in order to calm the anxieties of Western multinational enterprise. Rather, this division resulted chiefly from the Chinese C o m m u n i s t party's inwardly focused policy of national reconstruction and w a s designed to garner t e c h n o l o g y needed by the state while calming the anxieties of Chinese intellectuals and holders of substantial private property, w h o s e participation was needed to rebuild the country. Inventions made by workers outside their course of e m p l o y m e n t , by individuals in private enterprises, or by foreigners resident in C h i n a m i g h t qualify, at the inventor's choice, for either a certificate of invention or a patent, w i t h the latter vesting control over the invention's future use, including the right to extract royalties. N e w inventions w e r e to be state property, however, if they w e r e made in the course of e m p l o y m e n t in state-owned enterprises, concerned national security, or "affected the welfare of the great majority of the people," such as advances in agricultural and stock species or pharmaceuticals. T h o s e responsible for such innovations w e r e eligible for inventor's certificates, but did not enjoy any ongoing property interest in their inventions. Accordingly, the state could determine w h e t h e r and h o w their creations could thereafter be used by other C h i n e s e entities w i t h o u t prior approval or the payment of a licensing fee.
9 10 11 12

As initially promulgated, the Inventions Regulations sought to preserve as m u c h discretion as possible for the state. T h u s , for e x ample, they e m p o w e r e d the principal administering and enforcement body, the Central Bureau of Technological Management of the Finance and E c o n o m i c C o m m i t t e e of the General Administration of C o m m e r c e , both to set terms of protection for patents and certificates of invention for periods of from three to fifteen years and to establish the rates at w h i c h holders of certificates w e r e to be rewarded. Further control w a s to be exercised through provisions of the regulations that required the w o r k i n g of patents within t w o years and forbade the transfer of patent rights w i t h o u t the Central Bureau's permission. Subsequent supplementary measures, c u l m i nating in the 1954 Decision on Encouraging Inventions, Technical Improvements, and Rationalization Proposals C o n c e r n i n g P r o d u c -

Squaring Circles / 59 tion, preserved the Central Bureau's discretion on term, but specified a fixed table of monetary rewards for certificates tied to production savings realized by use of the invention. N o t w i t h s t a n d i n g the relatively greater attention focused on i n ventions, issues of trademark and payments for publication w e r e also addressed during the P R C ' s formative years. In 1950, the C h i nese g o v e r n m e n t promulgated the Procedures for D e a l i n g w i t h Trademarks Registered at the Trademark Office of the Former G u o mindang G o v e r n m e n t and the Provisional Regulations on Trademark Registration. T h e former invalidated all registrations by the Nationalist government, w h i l e the latter provided for the establishment of a n e w registration-based trademark system. Registration, w h i c h was available for specified foreign marks, seems to have been instituted largely to provide holders among the so-called national bourgeoisie w i t h the opportunity to seek at least nominal protection for their m a r k s . Relatively few holders, bourgeois or otherwise, h o w e v e r , sought to avail themselves of this o p p o r t u n i t y w h e t h e r because registration was not required, the entities administering this l a w w e r e unproven, intellectual property law remained unfamiliar, or anxiety still ran high as to the political consequences of asserting such property interests.
13 14 15

N o comparable provisional regulations were promulgated w i t h respect to copyright during the early years of the P R C o r , for that matter, for years thereafter. But, even apart from the state's efforts to assert control over the content of what was published, the topic of relations between authors and publishers was hardly neglected even in the early years of the P R C . Chinese officials and scholars closely studied the Soviet example, which at least in theory provided that authors w e r e entitled to fixed "basic payments" for their w o r k , based predominantly on the number of copies printed, w h i c h the Chinese termed gaofei, and had the right to prevent unauthorized alteration of their w o r k . Enjoyment of each right, however, was dependent on approval by the statewhich, in any event, controlled all authorized publishing outlets.
16

B u i l d i n g on the Soviet example, the P R C first approached the question of remunerating authors as part of its broader effort to spur the intelligentsia to meet the vast scientific and intellectual needs of a state ravaged by decades of revolution and war, w h i l e simultaneously maintaining careful administrative control over "publica-

60 / Squaring Circles tion w o r k " generally. T h e initial official pronouncements concerning such payments appear to have been made in five resolutions passed by the so-called First State Publications Conference, held in Beijing in O c t o b e r 1950 under the auspices of the Ministry of C u l ture. T h e s e resolutions, w h i c h did not have the force of law, but w e r e clearly understood to express official policy, stipulated that "publishing circles should respect the rights both of authors and of [other] publishers: acts such as the unauthorized reproduction, plagiarism, and distortion [of texts] are prohibited." T h e y also set forth broad guidelines meant to shape relations between authors and publishing houses. Central among these was the indication that "the author's remuneration shall, in theory, be based on the nature of the w o r k [with scientific w o r k s valued more highly than those in the humanities], the quality and quantity of [Chinese] characters, and the print-run of the w o r k . "
17 1 8

Reinforcement for the general principles enunciated in the Five Resolutions came in the early 1950's w i t h the promulgation by the State Administration of Publication and other organs of a series of pronouncements designed to regulate the publishing industry m o r e closely. M o s t prominent were the 1952 Rules on the Editorial O r g a nization and W o r k S y s t e m of State Publishing Entities, w h i c h called on the leadership of such organs to form "contracts" w i t h authors. T h e s e contracts, w h i c h were more akin to confirmations of relationships authorized by the state plan than freely negotiated arm's-length agreements, f o l l o w e d the Soviet model and concerned the submission of manuscripts, publication, and p a y m e n t . Additional formal efforts to address various aspects of these issues were made during the 1950's t h r o u g h a series of official pronouncements, including stipulations directed to "correction of the phenomenon of reprinting b o o k s at w i l l , " general regulations regarding publishing, rules on the remuneration due authors of w o r k s on literature and the social sciences, and sets of classified draft regulations that w e r e never officially promulgated concerning the rights of foreign and Chinese authors. T h r o u g h o u t all this, the standard for remuneration set out in the resolutions issued in 1950 continued in force.
19 20 21 22

T h e difficulties of assessing the efficacy of any intellectual p r o p erty l a w regime are intensified w i t h respect to the P R C , particularly prior to the opening of the late 1970's. Nonetheless, there is reason to believe that notwithstanding efforts to appeal to intellectuals and

Squaring Circles / 61 others in the national bourgeoisie, the rules developed in the early years of the P R C failed to respond to the changing Chinese political circumstances of the 1950's. T h u s , even w i t h attempts in 1954 to rationalize the reward structure for inventions, o n l y six certificates of invention and four patents were issued through 1958. At the same time, there appears to have been much " c o p y i n g and applying [of] the technology, techniques, and products developed in more advanced countries, w i t h o u t paying any r o y a l t i e s . " Similarly, in the trademark area, there was through the 1950's an "increasing use of unauthorized trademarks." Moreover, according to a leading C h i nese authority, by "1956, the great majority of [China's] capitalist and c o m m e r c i a l enterprises [had] completed their socialist transformation . . . [so that] the administration of the trademark law w a s l o o k e d upon as only a matter of supervision over the quality of g o o d s , and the question of protection of the exclusive right to use the trademark ceased to e x i s t . " As for publication, the infringement of clearly identified proprietary w o r k s continued apace, even by state enterprises such as Xinhua (the N e w C h i n a N e w s A g e n c y ) , w h i c h was the only entity authorized to distribute b o o k s . N o r did the publishing contracts called for in the 1952 rules on editorial o r g a nization appear to exercise much deterrencewhich o u g h t not to be surprising in v i e w of the absence at that time in C h i n a of b o t h a basic contract law and effective means of legal redress for righting civil w r o n g s .
23 24 25 26 27

By the early 1960's, efforts were under w a y to recast the preliminary framework g o v e r n i n g patents, trademarks, and payments for authors that had developed during the first years of the P R C . These attempts w e r e prompted not so much by the relative ineffectuality of the earlier rules as by overarching political considerations. B o t h the A n t i - R i g h t i s t M o v e m e n t of 1957 and the Great Leap F o r w a r d of 195860 raised doubts about the appropriateness of material i n centives for those engaged in inventive, creative, and commercial activity. M o r e o v e r , the so-called Socialist Education C a m p a i g n , launched in 1962, advocated the restoration of ideological purity by eradicating various "anti-socialist" tendencies said to have arisen during the 1950's, including the use of material incentives. As a c o n sequence, in w h a t became k n o w n as the struggle between "redness" and "expertise," scientists and other intellectuals were berated for placing professional development ahead of the C o m m u n i s t party's
28

62 / Squaring Circles objectives and were accordingly required to devote substantially more time than before to political study and manual labor. Reflecting the political tenor of the times, C h i n a ' s fledgling intellectual property laws were amended during this period to reduce their stated concern w i t h property rights and their reliance on material incentives. On N o v e m b e r 3, 1963, the State C o u n c i l supplanted the Provisional Regulations on the Protection of Invention and Patent Rights w i t h t w o sets of permanent regulations the Regulations to Encourage Inventions and the Regulations to Encourage Improvements in T e c h n o l o g y . A l t h o u g h not a single patent appears to have been issued during the preceding six years, these n e w sets of regulations struck patent protection from the law and specified that henceforth inventions and improvements in techn o l o g y w e r e to be the exclusive property of the state. Indeed, even the system of certificates of inventions, w h i c h had not established property rights but only entitled inventors to receive payments tied to the savings realized from their w o r k , was discontinued.
29 3 0 31 32

In place of the prior system of patents and certificates of invention, the regulations promulgated in 1963, in the w o r d s of the principal C o m m u n i s t party newspaper, Renmin ribao (People's D a i l y ) , sought to "encourage scientists and technicians, as well as staffers and workers generally, to make inventions and technical i m p r o v e ments" by declaring individuals and entities responsible for such advances to be eligible for both "material" and "honorary" a w a r d s . Consistent, however, w i t h the notion that "in g i v i n g awards, p o l i tics should be in command, extensive ideological w o r k carried out, and the principle of combining honorary awards w i t h material awards maintained," the material awards provided by the n e w r e g u lations called for far l o w e r payments than the previous schedules of rewards, w h i c h had been tied to a fixed scale of "bonuses." T h i s n e w monetary recognition was to be complemented by a set of h o n orary rewards, ranging from exhortational certificates and banners to application of one's name to the invention made and free trips to w o r k e r s ' resorts. Even w i t h cutbacks in material incentives, there w e r e , according to the Guangming ribao (Enlightenment D a i l y ) , still "people thinking seriously of fame and wealth for themselves . . . [ w h o l o o k e d ] upon k n o w l e d g e and technique as their private p r o p erty, made a m o n o p o l y of their technical k n o w l e d g e and refused to exchange their experiences in research. H a v i n g in mind the 'corner33 34 35

Squaring Circles / 63 ing of the market,' they are unwilling to disseminate their talent and skills." T h e retrenchment was not limited to inventive activity. On A p r i l 10, 1963, the State C o u n c i l replaced the Provisional R e g u l a tions on Trademark Registration w i t h Regulations G o v e r n i n g the C o n t r o l of Trademarks. U n l i k e the Provisional Regulations, under w h i c h exclusive rights in marks could be obtained, the n e w r e g u lations made no mention of "rights" or of "exclusive use." Instead, their declared purpose was "strengthening the control of trademarks and m a k i n g enterprises guarantee [baozheng] and improve the quality of their p r o d u c t s " o b j e c t i v e s not otherwise easily attainable in a society that lacked significant consumer protection law and relied heavily on planning rather than market forces. In keeping w i t h this emphasis, the n e w regulations and their implementing rules required that all trademarks be registered, that registration applications contain statements of the quality of the subject products, and that the General Administration of C o m m e r c e assume oversight responsibility. T h e General Administration, as a result, was to have the authority both to receive complaints about g o o d s that failed to meet their supposed standards and, where such complaints proved accurate, to cancel registrations.
36 37 38 39

T h e r e w e r e , of course, no comprehensive promulgated p r o v i sional c o p y r i g h t regulations to be revised. B u t in keeping w i t h the m o v e to curtail such "rights," the m o v e that had c o m m e n c e d in the late 1950's to reduce gaofei intensified. In March 1961, the M i n istry of C u l t u r e issued a circular specifying that the prior practice of remunerating authors in part according to the number of b o o k s printed or reprinted was to be eliminated. In its place, authors w e r e to receive more modest payments, based on the number of characters a w o r k contained and its "quality." T h e criteria for the determination of "quality" were left unspecified, but they presumably mirrored the C o m m u n i s t party's political agenda.
40 41

As substantial as was the redirection of Chinese intellectual p r o p erty l a w of the early 1960's, it paled in significance relative to the changes w r o u g h t by the so-called Great Proletarian Cultural R e v o lution, w h i c h commenced in 1966. In the effort fundamentally to reshape Chinese society, the realm of acceptable discourse was even more sharply curtailed than had previously been the case. T h u s , for example, from 1966 to 1971, all theater was banned save for
42 43

64 / Squaring Circles eight m o d e l revolutionary " o p e r a s . " Concomitantly, the professional endeavors of virtually all scientists, writers, and other intellectuals w e r e disrupted, and large numbers of them were sent to the countryside, imprisoned, or subjected to physical abuse. T h e formal legal system was denounced as following a "black line" and being inherently and hopelessly reactionary, while many informal dispute resolution processes w e r e either abandoned or politicized to a point o f ineffectuality.
45 46 44

In this climate, even the revised framework of the early 1960's for the regulation of intellectual property was not i m m u n e from attack. N o t o n l y did the state cease the reduced payments authorized by the 1963 Regulations on Inventions, but individuals increasingly proved u n w i l l i n g to a c k n o w l e d g e their personal role in inventive activity. A Xinhua release of O c t o b e r 1966 declared, for example:
47

In C h i n a ' s m a j o r i n v e n t i o n s , it is impossible in m a n y cases to establish w h o are the i n v e n t o r s , because the c o m b i n e d effort of so m a n y p e o p l e and so m a n y units are i n v o l v e d , and n o one claims the credit. N o o n e has c o m e f o r w a r d , for e x a m p l e , to claim an award or any patent rights for any i m p o r tant discoveries and i n v e n t i o n s m a d e d u r i n g the past six years by the p e o p l e o f the D a q i n g oil f i e l d .
48

Efforts to maintain the compulsory trademark registration s y s t e m established in 1963, w h i c h had led to the granting of some 2,000 to 3,000 marks a year, ground to a halt. Moreover, the v e r y idea of trademarking g o o d s , even to assure quality for consumers, w a s lambasted as a concession to a c o m m o d i t y e c o n o m y and, as such, improper for the n e w C h i n a . Indeed, as M a r k Sidel indicates, "thousands of similar and dissimilar g o o d s " were sold under such ideologically pure, but non-identifying labels as "Red Flag," "East W i n d , " and "Worker-Peasant-Soldier," w i t h the result that quality varied w i d e l y , massive unauthorized copying occurred, and c o n sumer confusion was rampant.
49 50

W i t h acceptable discourse greatly narrowed, many authors found their w o r k s regarded as no longer suitable for distribution, m a k i n g contractual protection irrelevant. T h o s e authors w h o s e w o r k s w e r e deemed w o r t h y of publication w e r e unable to secure protection in any case, since the state itself freely reproduced or tolerated the reproduction of such w o r k s w i t h o u t obtaining the permission of the author or original publisher, providing any remuneration, or,
51

Squaring Circles / 65 in some instances, even a c k n o w l e d g i n g authorship. As was asked during the Cultural Revolution, "Is it necessary for a steel w o r k e r to put his name on a steel ingot that he produces in the course of his duty? If not, w h y should a member of the intelligentsia enjoy the privilege of putting his name on what he p r o d u c e s ? "
53 52

T h e C u l t u r a l Revolution is said not to have ended until the arrest of the G a n g of Four in the autumn of 1976, but by 1975 Z h o u Enlai, D e n g X i a o p i n g , Hua Guofeng, and others in the leadership w h o w e r e disturbed by the s l o w pace of China's developmental efforts had already b e g u n to call for a program of "Four Modernizations" aimed at enabling C h i n a to reach world-class strength in agriculture, industry, science and technology, and military matters by the end of the century. By 1977, these objectives took center stage as D e n g and others w h o had earlier been purged for taking a " p r a g matic" approach to building Chinese socialism in the late twentieth century assumed power.
54

B e l i e v i n g the promotion of scientific and other intellectual w o r k to be crucial if the nation were to make up for the decade of development and training lost to the Cultural R e v o l u t i o n , C h i n a ' s n e w leadership launched a series of measures designed to enhance the position of intellectuals and facilitate their endeavors. Part of this u n d e r t a k i n g w h i c h included a revitalization of higher education, the reinstitution of academic examinations for university entrance, and the delivery of florid speeches praising the role of intellectuals in socialist r e c o n s t r u c t i o n w a s directed toward intellectual property law. In keeping w i t h the approach taken generally toward rebuilding C h i n a ' s self-decimated legal s y s t e m , efforts w e r e made from 1977 on to restore the broad framework for the regulation of intellectual property that had been in place prior to the Cultural R e v o l u t i o n . T h u s , w i t h respect to science, the Chinese government in 1978 reissued the 1963 regulations that provided both monetary and honorific rewards for inventors. A year later the state issued Regulations for the Reward and Encouragement of Natural S c i ences, w h i c h essentially sought to extend to the natural sciences the basic principles laid d o w n in the 1963 regulations.
55 56 57 58 59 60

Similar efforts to return to the status quo ante of 1963 w e r e made concerning trademarks. T h e n e w l y reconstituted State General A d ministration for Industry and C o m m e r c e ( S A I C ) , the C h i n a C o u n cil for the P r o m o t i o n of International Trade ( C C P I T ) and other
6 1

66 / Squaring Circles organs once again relied on the Trademark Regulations of 1 9 6 3 . No less important, these organizations strove to reestablish both C h i n a ' s system of internal trademark regulation and its international trademark relations, each of w h i c h had suffered during the Cultural R e v o l u t i o n . In regard to copyright, the issuance in 1977 by the State Administration of Publication of the Trial Circular C o n c e r n i n g Basic and Supplemental Payments for N e w s Publications r e v i v e d , at least in name, the levels of compensation to w h i c h authors had been entitled before the Cultural Revolution. Soon thereafter, these w e r e superseded by the Provisional Regulations on Basic Payments for B o o k s , w h i c h called for the granting of payments at a level consistent w i t h those made prior to the Great Leap F o r w a r d .
63 64 65 62

W i t h these measures in place, the United States and the P R C w e r e able in 1979 to conclude a trade agreement, said by the Carter administration to satisfy the requirements of the 1974 Trade A c t for pacts w i t h socialist nations. U n d e r the agreement, each side indicated that it "recognize[d] the importance of effective protection of patents, trademarks, and c o p y r i g h t s " and pledged itself to "take appropriate measures under [its] . . . laws and regulations and w i t h due regard to international practice" to accord protection to the w o r k s o f citizens o f the other nation.
66 67 68

H a v i n g reestablished as interim measures the broad outlines of the preCultural Revolution systems for inventive activity and the labeling of products, the leadership set in m o t i o n processes designed to generate the legal framework needed to undergird the scientific, technological, and economic advances that they hoped C h i n a w o u l d make. In 1978, the State Science and T e c h n o l o g y C o m m i s sion, w h i c h w a s reestablished that year at the supraministerial level to oversee "general policy for scientific and technological d e v e l o p ment," w a s directed to w o r k up long-range policy on inventions. A year later, the S A I C was charged w i t h similar responsibility for trademarks, and in the early 1980's, a special copyright committee was formed.
69 70

T h e task confronting these various entities was a daunting one. Individuals lacking direct experience in intellectual property, as that discipline w a s understood beyond the socialist bloc, w e r e asked to devise rules capable of nurturing an e c o n o m y undergoing a dynamic and essentially unprecedented transition w i t h o u t transgressing the C o m m u n i s t party's uncertain and oft-shifting political line. In so

Squaring Circles / 67 doing, they could not avoid, at least implicitly, confronting fundamental and difficult questions about the character and direction of C h i n e s e socialism and, indeed, about the sources of ingenuity and m o t i v a t i o n more generally. T h e debates concerning the drafting of a patent law, w h i c h w e r e a m o n g the most intense concerning economic legislation during the first decade f o l l o w i n g M a o Z e d o n g ' s death, illustrated b o t h the c o m p l e x i t y of this particular undertaking and the tensions that characterized C h i n e s e law reform efforts of this era. Proponents of a patent law protective of ownership interests placed primary emphasis on its likely salutary economic effects, arguing that C h i n a needed to smash the "iron rice b o w l " (tie fanwan) mentality of the Cultural Revolution that rewarded all equally, irrespective of the quality of their w o r k , and that was n o w seen as having stifled initiative and held back the nation. T h i s could o n l y be accomplished, they contended, by adopting a system that p r o v i d e d meaningful material incentives. By permitting those w h o had so contributed to reap the fruits of their labors, a patent law w o u l d also, it w a s suggested, allow China's most innovative organizations to accumulate additional capital and strengthen their management, w h i c h w o u l d spur further inventive activity and help make up for time lost to the Cultural R e v o l u t i o n . Establishment of a patent regime, requiring that patents be openly published in a s y s t e m atic fashion, m i g h t also create a greater interchange of information a m o n g Chinese scientists. T h i s interchange w o u l d likely provide fuller access to technical advances than had been possible w h e n scientists feared that disclosure might jeopardize whatever modest rewards w e r e available.
71 72 73 74

A l t h o u g h stressing domestic considerations, proponents of a patent system did not ignore the benefits that m i g h t accrue to C h i n a internationally. T h e y recognized that the early years of the " o p e n " p o l i c y had not resulted in the transfer to C h i n a of foreign techn o l o g y of the quality and quantity desired by the leadership. A w a r e that foreign anxiety over the absence of an effective framework for intellectual property protection was one principal reason for this shortfall, scholars and officials, including such w e l l - k n o w n figures as Z h a n g Y o u y u and Ren Jianxin, contended both in domestic p u b lications and in media aimed toward foreign distribution that C h i n a needed to institute a patent system "to import advanced t e c h n o l o g y
75 76 77

68 / Squaring Circles for acceleration of the four modernizations." Such a system w o u l d not only allay foreigners's fears about the disposition in C h i n a of their technology, but might also make it possible for C h i n a to participate in international exchanges of patent application information, thereby expanding the range of data available to Chinese scientists. A p a r t from fostering the transfer to China of sorely needed fore i g n technology, those in favor of a patent system further contended that it w o u l d also generate other benefits internationally. G i v e n , as one proponent put it, that approximately 150 other nations, including many socialist and developing nations, already had patent l a w s , the establishment of law in this area w o u l d serve to reassure even those potential foreign investors unconcerned about t e c h n o l o g y transfer that C h i n a was serious about constructing a legal system conducive to international business, w h i l e also generally enhancing C h i n a ' s image among the family of nations. A d o p t i o n of a patent l a w meeting international standards w o u l d also enable C h i n a to adhere to the Paris C o n v e n t i o n and so attain better protection abroad for C h i n e s e technology. Leading Chinese publications w e r e suggesting that the failure to obtain patent protection abroad for C h i n e s e advances had already resulted in the appropriation of C h i nese inventions by foreigners. A n d , reflecting the optimism felt by many in leadership and scientific circles about the pace of Chinese technological development, it was argued that the need for protection abroad of Chinese scientific advances was likely to b e c o m e far more intense in the years ahead.
79 80 81 82 83 78

M a n y nonetheless strongly opposed adoption of a patent s y s tem as intrinsically antithetical to socialist principles and inherently c o r r u p t i n g . T h e granting of such private property rights, they arg u e d , m i g h t harm national development by giving a few individuals control of important technologies, enabling them either to profit unjustifiably or to deny access to vital information altogether.
84

O p p o n e n t s of a patent system also expressed concern about the Western "literary-industrial complex," w h i c h some believed m i g h t patent so broadly in C h i n a as to stifle the development of indigenous science and so leave the nation dependent on the outside w o r l d e c o nomically, scientifically, and militarily. It w o u l d be foolhardy, they argued, to risk draining China's limited foreign exchange reserves to pay royaltiesespecially w h e n much of the same t e c h n o l o g y could be acquired at no cost, albeit w i t h o u t authorization. In addition,

Squaring Circles / 69 some contended, the openness a patent system provided m i g h t even enable foreign entities to make off w i t h the latest Chinese i n n o v a tions. G i v e n h o w sharply the lines of debate were drawn, it took no less a personage than D e n g X i a o p i n g to determine that C h i n a should adopt a patent law intended to e n d o w inventors w i t h rights in their innovations w i t h o u t undercutting their responsibilities to the state. W i t h this decision, the drafting committee turned its attention to the question of h o w to construct such a law. Resuming efforts under w a y even prior to the committee's formal initiation to identify the full range of options, delegations were dispatched to major industrial nations w i t h differing patent systems (including the U n i t e d States, West Germany, and Japan); to socialist states b e lieved by the Chinese to be relatively prosperous (such as Romania and Yugoslavia); and to the principal international bodies concerned w i t h intellectual property issues (including the World Intellectual Property Organization [ W I P O ] and the United Nations E d u c a tion, Science and Cultural O r g a n i z a t i o n ) . T h e full patent laws of some 35 jurisdictions w e r e translated and those of more than 100 other nations summarized, while the legislation and practice of the Nationalist Chinese, both on the mainland prior to 1949 and on Taiw a n since, w e r e carefully, if quietly, scrutinized, as was the experience o f H o n g K o n g . N o r was attention solely directed externally, as the committee "solicited the v i e w s of cadres in factories, scientific research institutes, universities and government a g e n c i e s . " In the end, the drafting committee spent more than five years, during w h i c h it w e n t through some 20 drafts prior to finally producing a b i l l o n l y to have the National People's Congress ( N P C ) take the unusual step of amending the legislation before it passed the Patent
85 86 87 8 8 89

L a w o n M a r c h 12, 1984.

90

T h e Patent L a w ' s passage was w i d e l y heralded, both at h o m e and abroad, as signaling the d a w n of a n e w era in Chinese economic and legal development. In celebrating the creation of a novel property right, however, Chinese commentators eager to spur the infusion of t e c h n o l o g y and foreign observers flush w i t h the sense that C h i n a had at last c o m e to see the w o r l d their w a y failed adequately to heed the degree to w h i c h the law's drafters had taken seriously D e n g X i a o ping's injunction and carefully qualified the very rights they w e r e establishing. As was the case w i t h respect to Chinese law reform in
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70 / Squaring Circles general, far t o o many individuals, consciously or otherwise, subscribed to a unitary vision of legality, presuming that adoption of a particular legal form in C h i n a w o u l d yield results there comparable to those produced by similarly denominated laws in the industrialized w o r l d . Consequently, they were oblivious both to the w a y s in w h i c h that form had been altered to meet Chinese objectives and to the further challenges that the Middle K i n g d o m ' s historical legacy and current conditions w o u l d pose. In fact, in the Patent Law, as w i t h much of the b o d y of l a w produced t h r o u g h o u t the 1980's, the P R C sought to articulate a "socialist legality w i t h Chinese characteristics" that strove to adapt foreign legality to Chinese circumstances and so was a less drastic departure from prior practice than has generally been assumed. N e w rights, d r a w n principally from foreign models, w e r e to be established, but their scope was to be sufficiently circumscribed so as not to conflict w i t h the national interest as understood by central authorities w h o had just b e g u n to scale back their role in the industrial sector and had little intention of doing so in the political arena. Stated differently, as concerned both Chinese and foreigners, there w a s rather less than met the eye to the rights proffered in the n e w Patent L a w e v e n as that law accorded each separate treatment, in so d o i n g exemplifying yet another prominent feature of Chinese legality from imperial days through the initial p o s t - C u l t u r a l R e v o lution law reforms. A l t h o u g h the 1984 law provided for the granting of "patent r i g h t s " to persons or entities w i t h "invention-creations" meeting the requisite standards of novelty, inventiveness, and practicality, it nonetheless reflected uneasiness at the introduction of a form of private property fundamentally n e w to C h i n a . T h e law and its concurrently issued regulations were structured, albeit subtly, so as to confine its seemingly broad grant of rights w i t h i n tolerable b o u n d s o n the one hand making it difficult for individuals to secure rights through w h i c h they might extract m o n o p o l y rents, w h i l e on the other holding forth the promise of material rewards in order to spur individuals to be innovative. T h i s was most readily apparent in the law's direction of Chinese away from invention patents, w i t h their fifteen-year term, and either toward utility m o d e l patents, w h i c h offered lesser rights and a five-year term, or t o w a r d monetary rewards in lieu of any grant of rights. Article 6 of the n e w
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Squaring Circles / 71 l a w specified that only entities could apply for patents in "service invention-creations," w h i c h were defined broadly elsewhere to encompass anything made on or in relation to one's j o b , using materials or data from one's w o r k unit (danwei), or within a year of leaving one's unit. G i v e n the centrality in the mid 1980's of one's danwei w h i c h typically provided housing, welfare benefits, and a social c o n text, as w e l l as e m p l o y m e n t , for industrial w o r k e r s a n d given the difficulty at that time of independently securing sophisticated e q u i p ment or sizable capital, this effectively precluded Chinese nationals from securing invention patents in their o w n names. Instead, persons responsible for "service invention-creations" were to receive a " m o n e y prize" from their unit, w h i l e individuals carrying out inventive activity apart from their danwei might apply for a utility m o d e l or alternatively forgo seeking such rights in favor of a m o n e tary reward under the 1963 Inventions Regulations, w h i c h had been reissued for this purpose in 1982.
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T h e limits on rights potentially available to Chinese were also evident elsewhere in the Patent Law. Article 29, for example, p r o vided foreigners w h o had filed patent applications abroad w i t h a t w e l v e - m o n t h priority period w i t h i n w h i c h to seek protection in C h i n a , but made no similar concession for Chinese. T h e law's p r o visions on compulsory licensing similarly disadvantaged Chinese. A r t i c l e 14 vested the State C o u n c i l and provincial governments w i t h the authority to compel state entities to license patents they held, subject only to the requirement that such a step be taken "in accordance w i t h the state plan" and that a fee, to be determined by the state, be paid. T h e situation for collectives or individuals was hardly any better, as Article 14 empowered pertinent governmental units to order the licensing of any patent they might o w n of "great s i g nificance to the interests of the state or to the public interest . . . [that m i g h t be in] need of spreading and application." Patents o w n e d by foreigners or by Sino-foreign joint ventures, on the other hand, w e r e to be subject to compulsory licensing only if the patentee failed w i t h i n three years of receiving the patent to "make the patented product, or use the patented process in China, or otherwise to authorize other persons" to do s o .
97

On its face, the Patent L a w ironically gave the appearance of reprising treaty port days in granting greater legal privileges to foreigners and their local partners than to other Chinese. A r g u a b l y ,

72 I Squaring Circles this concession can be explained as emanating from the leadership's belief that foreigners w o u l d not transfer advanced t e c h n o l o g y to C h i n a w e r e their rights as circumscribed as those accorded Chinese. Nonetheless, this bifurcation, and others created in the course of law reform, not only ran counter to the state's professed m o v e a w a y from a planned e c o n o m y toward one in w h i c h domestic and foreign interests w o u l d presumably be competing on an economic basis, but also threatened to entrench the latter over the former, c o m i n g as they did at a h i g h l y formative stage in the g r o w t h of a C h i n e s e market.
98

C l o s e r scrutiny of the Patent L a w and its implementing regulations reveals, however, that while spared certain of the disadvantages their Chinese counterparts may have faced, w o u l d - b e foreign patentees suffered others largely peculiar to their situation and shared still others w i t h their local brethren. T h u s , for example, although the exclusion from patent coverage of chemical, pharmaceutical, or alimentary inventions by Article 25 nominally applied equally to everyone, in fact, foreigners had by far the most to lose in these areas, in w h i c h , typically, inventive steps were relatively easy to discern and copy, and in w h i c h , therefore, legal protection has been particularly valuable, according to empirical studies conducted in an A m e r i c a n setting. M u c h the same point m i g h t be made w i t h regard to Article 11 of the 1984 law, w h i c h in failing to protect p r o cess patents (which address the processes through w h i c h products are made) effectively foreclosed the possibility of halting the i m p o r tation into C h i n a of products made in third countries that do not protect processes, while sharply reducing the likelihood of discerning infringement within C h i n a . A similar logic applied w i t h respect to the limitation in Article 45 of the term for invention patents to 10 years, w h i c h w o r k e d to the particular disadvantage of foreign parties, g i v e n that their applications, as the law presumed (and practice has borne out) typically concerned technology of far greater value than their Chinese counterparts. A n d the law's requirement, in A r t i c l e 19, that Chinese and foreigners alike w o r k through a u t h o rized patent agents was less evenhanded than it may have appeared, g i v e n the relative unfamiliarity of most foreigners w i t h the Chinese scene (and their concomitant greater reliance on agents w h o s e independence, especially as regards infringement issues, remains to be p r o v e n ) . M o r e o v e r , unlike their Chinese counterparts, w h o w e r e
99 100

Squaring Circles / 73 free to choose from among thousands of agents, foreigners w e r e limited initially to one and then subsequently to less than a handful o f agencies. Whatever singular difficulties patentees from both C h i n a and abroad had to face, each w a s also confronted w i t h the c o n u n d r u m of rights carrying little in the w a y of legal remedies. In a m a n ner typical of the first decade of p o s t - C u l t u r a l Revolution l a w reform from the C o n s t i t u t i o n d o w n , the Patent L a w of 1984 had far m o r e to say about the rights being provided than about the means t h r o u g h w h i c h individuals might vindicate them. To be sure, the law, at A r t i c l e 60, provides that patentees seeking to protect their rights m i g h t "directly institute legal proceedings in [or take appeals to] the people's court." Nonetheless, its overall thrust is toward a largely unbounded administrative resolution of p r o b l e m s i n a manner more in keeping w i t h the model of a centrally directed e c o n o m y than m u c h of the publicity surrounding the promulgation of the Patent L a w w o u l d have led one to believe. T h u s , for example, A r t i c l e 65 of the law provides that "where any person usurps" the rights or interests of another, "he shall be subject to disciplinary sanction by the entity to w h i c h he belongs or the competent authority at the higher level." Neither Article 65 nor any other p r o v i sion of C h i n e s e law, however, either clearly articulates procedures pursuant to w h i c h administrative resolutions of this type are to be reached or indicates h o w such entities and authorities, w h i c h presumably are not versed in the intricacies of patent doctrine, are to address the v e r y types of questions for w h i c h the Patent L a w elsewhere requires the use of authorized patent agents. W i t h o u t denigrating the value of non-litigious modes of dispute resolution, one is hard put to imagine that in the C h i n a of the mid 1980'swith its l i m ited labor mobility and institutional rivalriesindividuals w o u l d strenuously assert their rights either against their superiors before their c o m m o n employer or against outside infringers w h e n adjudicatory authority was vested w i t h the unit for w h i c h the accused worked. If A r t i c l e 65 is a particular constraint on remedies potentially available for Chinese, there is scant comfort for foreigners in the Patent L a w ' s remaining remedies. In a manner reminiscent of P R C approaches toward legality, at least through the mid 1980's, the Patent L a w largely limits itself to administrative or criminal r e m e -

74 / Squaring Circles dies, each of w h i c h leaves principal remedial powers in the hands of officialdom. Little is provided in the w a y of civil remedies, w h i c h , presumably, w o u l d vest more discretion w i t h patentees. T h u s , the law authorizes the Patent Office to order infringers to "stop the i n fringing act and to compensate for the damage" and calls for the prosecution, under the C r i m i n a l Law, of any person w h o "passes off the patent of another," while its implementing regulations specify the scope of administrative fines. As ill defined as these p r o v i sions are, and as uncertain as the enforcement of such administrative orders may be, the Patent L a w offers no explicit counterpart on the civil side. In fairness, one presumes that the Patent L a w ' s drafters w e r e aware that the P R C ' s initial L a w on C i v i l Procedure gave courts a residual authority to issue injunctions, impose fines, and require compensation. That general power, however, hardly substitutes for the statutorily set damages that virtually every sophisticated patent system has instituted in order to cope w i t h the fact that victims of infringement w i l l rarely be in a position to k n o w w i t h any precision h o w much damage they have suffered. N o r have the generic remedies of the provisional or final laws on civil procedure or subsequent pronouncements made by the Patent Office or the Supreme People's C o u r t concerning patent disputes contained the particular injunctive powers, provisions for reimbursing litigation costs, or other special measures that many other jurisdictions have found helpful in establishing effective civil remedies for patent infringement.
101 102

A l t h o u g h the 1984 Patent L a w was a centerpiece of the P R C ' s early p o s t - C u l t u r a l Revolution efforts to use law to foster e c o n o m i c change, the tensions that marked it had their counterparts in other key undertakings in the intellectual property area. As w i t h patent, the Trademark L a w of 1982 was w i d e l y heralded by both Chinese and foreign observers as representing a clean break from previous efforts to regulate the area in question. What was less t h o r o u g h l y understood, or, at least, less thoroughly acknowledged at the time, w a s the extent to w h i c h the 1982 Trademark Law, like the Patent L a w , w a s concerned w i t h more than the establishment of private o w n e r s h i p rights and so tempered such rights even as they w e r e being created and publicized. To be sure, the 1982 Trademark L a w did offer protection "for the exclusive right to use a trademark" but it created such rights

Squaring Circles / 75 in significant measure for the part they were perceived as capable of playing in fostering the "development of the socialist market e c o n o m y . " T h r o u g h the early years of post-Cultural R e v o l u t i o n law reform, the P R C lacked m u c h of the formal legal framework needed to define and structure emerging market forces. N o r w a s such a framework perceived as likely soon to be forthcoming, given the e n o r m o u s challenge posed to legislative drafting w o r k by such politically v e x i n g questions as that of h o w to deter anticompetitive and other unfair trading practices in an economic system still largely characterized by powerful and relatively unresponsive state-owned enterprises. Trademark was looked to, at least by some in C h i n a ' s leadership, as p r o v i d i n g an interim device for bringing order to a fledgling market. So it was that the law directed that trademarks w e r e to be used to "exercise supervision over the quality of g o o d s and . . . stop any practice that deceives c o n s u m e r s . " T o w a r d this end, the massive bureaucracy of the S A I C , charged w i t h administering the law, was e m p o w e r e d to cancel marks " w h e r e manufacture is r o u g h or poor, or where superior quality is replaced by inferior quality" and to criticize, fine, or refer violators of the law for more serious punishment. A n d so it was that although the Patent L a w w a s to deny producers of medicines patent protection, the Trademark L a w ' s implementing regulations sought to use trademark as a p r o x y for legislation on pharmaceuticals by requiring that all such producers "use registered trademarks" whether they wished to or not, and in their trademark applications include "papers . . . from the health d e p a r t m e n t . . . approving [the drug's] p r o d u c t i o n . "
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As w i t h patent, trademark rights and remedies w e r e more c o n strained than m i g h t initially have seemed to be the case. To begin w i t h , the law denied protection to service marks, collective marks, certification marks, and defensive marks, as well as to trademarks falling into such undefined categories as "being detrimental to socialist morality or customs or having other undesirable influences," " p r o m o t i n g g o o d s in an exaggerated or deceptive manner," or " b e i n g ethnically discriminatory." It also diminished the likely value of those marks eligible for registration by requiring that c o n trary to the practice of many nations, applications be filed on a "per mark, per class" basis, rather than on a multiclass basisthereby b o t h m a k i n g it more difficult and expensive for individuals to secure protection in multiple classes and increasing the possibility that per108

76 / Squaring Circles sons acting in bad faith m i g h t register marks generated by others. T h e potential for occurrence of the latter problemparticularly w i t h respect to w e l l - k n o w n foreign m a r k s w a s , in turn, further exacerbated by the law's rigid adherence to a first to file rule and its limited procedures for opposing or seeking the cancellation even of registrations made in bad faith, as w e l l as the narrow definitions of class generated by the vagaries of Chinese distribution channels.
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Remedies w e r e also problematic in the 1982 Trademark Law. As w a s to be the case w i t h patent, the law's emphasis w a s on the administrative resolution of problems, notwithstanding its provision of a right of access to the people's courts. B u t as w i t h patent, the law and its i m p l e m e n t i n g regulations failed to articulate in meaningful detail h o w the competent administrative authority w a s to proceed, the specific actions it or the courts m i g h t take, or h o w any such administrative actions were to be enforced. A n d those sanctions that the law provided w e r e of modest severity relative to b o t h Chinese law generally and international practice.
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T h e difficulties inherent in generating patent and trademark laws that m i g h t create n e w forms of property w i t h o u t c o m p r o m i s i n g basic state interests w e r e all the more evident in efforts to develop a c o p y r i g h t l a w w h i c h t o o k "a road as tortuous as that of C h i nese intellectuals," according to Jiang Ping, a noted civil law specialist and head of the C o m m i t t e e on Legal Affairs of the Standing C o m m i t t e e o f the N P C i n the late 1980's. C o m m e n c i n g o n i n structions from D e n g X i a o p i n g himself soon after the conclusion of the 1979 U . S . - P R C trade agreement, Chinese officials in effect picked up w h e r e they had left off prior to the Cultural R e v o l u t i o n in endeavoring to assimilate artistic output into the state plan. T h e initial result w a s a series of regulations and related measures, d e veloped (in many instances for internal circulation only) b e t w e e n 1980 and 1986, that addressed the production of both written and audiovisual materials, covering matters ranging, for example, from the submission of manuscripts to publication to remuneration. Typical of these w e r e the 1984 Trial Regulations C o n c e r n i n g Basic Payment for B o o k - W r i t i n g , w h i c h divided the universe of Chinese authors, editors, translators, proofreaders, indexers, and other literary personnel into nine categories and fixed firm boundaries for the p a y m e n t of each such group, even d o w n to the number of free copies that one was to receive. T h u s , for example, indexers w e r e
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Squaring Circles / 77 to receive 10 to 20 yuan per 1,000 characters, while translators w e r e o n l y to receive from 4 to 14 yuan per 1,000 characters. For all their specificity about the relative w o r t h of indexers and translators, h o w ever, these pronouncements rarely spoke of illegal c o p y i n g and even less often of " c o p y r i g h t " a n d then typically in the context of listing categories of potentially subversive materials (especially in the audiovisual area) that o u g h t not to be disseminated, rather than w i t h reference to the protection of private rights.
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T h e "tortuous road" took yet another turn w i t h the p r o m u l g a tion of the General Principles of the C i v i l L a w in 1986. A r t i c l e 94 of the General Principles provides the P R C ' s first major public recognition of c o p y r i g h t , albeit in the most general of w a y s . " C i t i zens and legal persons," it indicates, "shall enjoy rights of authorship (copyright) and shall be entitled to sign their names as authors, issue and publish their w o r k s and obtain remuneration in accordance w i t h the l a w . " T h e operative terms, however, are not defined and no more is said in the General Principles about copyright. As a consequence, the authorities had little more than C o m m u n i s t party policy and their o w n sense of fairness on w h i c h to rely in endeavoring to resolve the 500 court cases and 400 administrative actions touching on authorship that arose during the four and a half years b e t w e e n the p r o m u l g a t i o n of the General Principles and the effective date of the C o p y r i g h t Law. In the w o r d s of t w o Chinese commentators, the "lack of relevant laws . . . made things difficult for the courts and it t o o k years for some cases to be c l o s e d . "
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T h e debates surrounding b o t h the inclusion of Article 94 in the General Principles and the subsequent development of the C o p y right L a w raised many of the same issues that marked debates over the Patent L a w . N o t a b l e a m o n g these were the appropriateness of establishing n e w private property interests in w h a t was still said to be a socialist society, C h i n a ' s capacity to meet royalty payments d e nominated in hard currency, and the extent to w h i c h at least formal protections for intellectual property rights were needed to spur the further transfer of advanced technology. In copyright, as w i t h patent, these concerns w e r e not amenable to genuine resolution.
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T h e s e tensions w e r e reflected in the drafting process. Termed "the m o s t complicated" i n the P R C ' s history b y N P C V i c e President W a n g H a n b i n , it produced more than 20 drafts of a c o p y r i g h t law, m a n y of w h i c h differed substantially as power shifted a m o n g indi119

78 / Squaring Circles viduals falling r o u g h l y into three major groups. Proponents of a law approximating international standardsdrawn chiefly from among officials concerned about the disappointingly l o w quality of m u c h of the t e c h n o l o g y that C h i n a had received from abroad through the 1980's, domestic software producers, and assorted other entrepreneurs and individuals hopeful of using this law as a device for fostering a more general opennessinsisted that a C h i n a aspiring to be competitive internationally had no alternative, h o w e v e r painful it m i g h t be in the short term. O p p o n e n t s w h o ranged from politically o r t h o d o x central government officials concerned about creating n e w rights, particularly prior to the completion of a P u b l i cations L a w intended to reinforce control over print media, to i m portant personnel in educational circles and other spheres of society heavily reliant on the unauthorized use of foreign copyrighted m a terialstook a decidedly more skeptical stance. A n d yet a third g r o u p contended that China should c o m m i t herself to c o p y r i g h t m o r e in name than substance, w i t h the objective of b u y i n g time gradually to adapt to the inevitability of adherence to international standards.
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As w i t h patent and trademark, and reflecting the divisions e v i dent during its drafting, the law on copyright that the N P C finally promulgated on September 7, 1990, provided an appreciably more curtailed grant of rights than suggested by its rhetoric and m u c h of the initial commentary, both at h o m e and abroad. For e x ample, although Article 16 specified that w o r k s "created by citizens in carrying out assignments given to them by legal persons or non-legal person u n i t s " generally belong to the author, closer i n spection highlights an array of reasons for v i e w i n g this seemingly expansive statement of rights in a more markedly narrow light. T h i s is evident, from an economic viewpoint, beginning w i t h Article 16 itself, w h i c h indicates that an author's w o r k unitin a nation in w h i c h most authors had been and still were "cultural w o r k e r s " shall have "the priority to exercise their copyrights within their businesses." N o r , under this law, was the w o r k unit the only entity free to use an author's creation. T h e law's open-ended fair use p r o v i sions, inter alia, give "state organs," w h i c h at the time pervaded m u c h of Chinese political, economic, and social life, the right to make unauthorized use of copyrighted materials "to execute official duties," w i t h only the vaguest of protective caveats about not preju121 122

Squaring Circles / 79 dicing " w i t h o u t reason" the rights of o w n e r s . A n d , perhaps most important economically, the continuation, w i t h but modest alteration, of the so-called gaofei system meant that even those authors able to enjoy their economic rights were essentially limited to rec e i v i n g no m o r e than the rather modest and uniform levels of c o m pensation set by the state, irrespective of the individual merit of their w o r k .
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If the C o p y r i g h t L a w is restrictive in its grant of economic rights, it is no less so w i t h regard to the spectrum of political v i e w s it t o l erates. U n w i t t i n g l y echoing historic efforts to use copyright as a means of limiting the spread of heterodox ideas, the law provides that " w o r k s prohibited by law to be published and disseminated" are not entitled to copyright protection, while also specifying that " c o p y r i g h t holders shall not violate the Constitution and the law, or infringe upon the public interest, w h i l e exercising their c o p y rights." A l t h o u g h the limits of this provision are intentionally n o t spelled out, the debate surrounding the drafting of both the C o p y r i g h t L a w and the Publications L a w indicates that the p r o v i sion is intended to "take account of ideological c o n s i d e r a t i o n s " and ban items inconsistent w i t h the Four Cardinal Principles, as w e l l as those that "split the unity of minority nationalities, advocate theft, pornography, violence, and arson, or other criminal activities, and . . . are against C o n s t i t u t i o n . " N o r w e r e these idle w o r d s , g i v e n the p o w e r that the State Administration on Press and Publications ( S A P P ) was capable of exercising in this areaboth directly through its w o r k as state censor and its control over access to shuhao (the " b o o k number" that must be secured before publication is permitted) and indirectly as the organ from w h i c h the State C o p y right Administration ( S C A ) had emerged and on w h i c h it remained dependent.
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M i r r o r i n g a bifurcation evident in the Patent Law, the C o p y r i g h t L a w endeavors to satisfy the demands of the international marketplace by offering foreigners the prospect of terms more favorable than those available to Chinese. Unlike their Chinese counterparts, foreign authors are free to earn whatever royalty they can n e g o t i ateor, as the law puts it more indirectly, " w h e r e a contract c o n tains additional agreements, payment for the use of w o r k s may also be made according to the contract." A n d efforts were made early on to assure foreigners that the restrictions of Article 4 regarding
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8o / Squaring Circles publications w o u l d not apply as rigidly to "acceptable w o r k s from abroad." As w i t h patent, however, the position accorded foreign nationals w a s less favorable than it might have seemed. T h i s was explicitly borne out, for instance, in Article 2 of the law, w h i c h specified that whereas the w o r k s of Chinese citizens w e r e protected " w h e t h e r published or not," those of foreigners had first "to be published" in the P R C absent a treaty creating more extensive rights. It w a s further suggested by the vesting of responsibility for administering the l a w in the S C A . N o t only was the S C A new, understaffed, and w e a k relative to other governmental agencies, but it d r e w many of its early personnel from and continued closely to be linked w i t h the S A P P . G i v e n that the S A P P ' s principal contribution to international copyright, apart from exercising its censorship powers, had for decades consisted of overseeing the mass production by Chinese publishers of unauthorized copies of foreign copyrighted materials, one may perhaps be excused from wondering whether such apparently evenhanded provisions of the law as those on fair use might, in fact, have a disproportionate impact on foreign parties. A n d other advantages seemingly granted foreigners by the l a w s u c h as the freedom to take whatever royalty one might negotiatewere in turn diminished by the limits that China's foreign exchange regime imposed on the capacity of entities that did not earn their o w n foreign currencysuch as schools, libraries and the l i k e t o secure such funds, whether to purchase original copies of materials, pay royalties for copies made, or for any other e n d .
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T h e C o p y r i g h t L a w ' s provisions on remedy are consistent w i t h those of the patent and trademark laws. A l t h o u g h the law explicitly provides parties w i t h the right to proceed directly to the people's courts, its emphasis is on administrative solutions. T h u s , for e x ample, administrative remedial measures, such as fines and a p o l o gies, are set forth in greater detail than their judicial counterpart, although even they are skeletal by international standards.
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T h e P R C ' s Regulations for the Protection o f C o m p u t e r Software, published three days after the C o p y r i g h t Law, and the subsequent Measures for the Registration of C o p y r i g h t in C o m p u t e r Software tell a similar story. O n c e again, a seemingly broad statement of rights is subject to a variety of qualifications. At the basic definitional level, the regulations fail to indicate whether software
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Squaring Circles / 81 is to be v i e w e d as a literary w o r k , leave uncertain w h a t is meant by first publication, and do not cover programs embedded in s e m i c o n ductor chips. M o r e substantively, the regulations' expansive p r o visions regarding the national interest limit the scope of the rights granted. T h u s , A r t i c l e 31 specifies that similarities b e t w e e n n e w l y developed and existing software w i l l "not constitute infringement of . . . c o p y r i g h t . . . [i]f the similarity is necessary for the e x e cution o f national policies, laws, regulations, and rules . . . o r for the implementation of national technical standards" but neither d e fines "national policies" or "national technical standards" nor requires compensation for software developers affected. Software d e v e l o p e d by state enterprises that is of "great significance to national interests and public interests," the regulations further stipulate, shall potentially be subject to appropriation, but again w i t h o u t p r o v i d ing criteria for helping to identify such interests. Article 28 bars C h i n e s e from licensing software to foreigners w i t h o u t prior state approval, m u c h as the 1985 technology import regulations required parties to seek prior approval of agreements to import t e c h n o l o g y . A n d software published prior to the issuance of the software regulations on June 4, 1 9 9 1 a disproportionate share of w h i c h belonged to foreignersis effectively presumed to have been in the public domain.
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As w i t h the other forms of intellectual property discussed herein, u p o n close examination, it is evident that the software regulations' remedies further curtail the v e r y rights they are intended to buttress. T h u s , as a "prerequisite" to seeking either administrative or j u d i cial enforcement of their rights, software developers are required to provide key proprietary data to the Ministry of Electronics Industry in a registration process that is far more exacting than that of many nations, particularly in v i e w of the regulations' liberal invocation of the national interest. T h e regulations' liberality w i t h respect to national interest is not, however, matched in its provisions on i n fringement. These, in effect, exonerate persons accused of infringement if they did "not k n o w or have no reasonable basis for k n o w i n g that the software is i n f r i n g i n g " w h i c h leaves software c o p y r i g h t holders w i t h the burden of having to seek out the "suppliers" of infringing items in order to secure the rather ill-defined forms of redress available under the regulations.
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By and large, b o t h Chinese officialdom and foreign observers

82 / Squaring Circles w e r e quick to proclaim this initial generation of p o s t - C u l t u r a l R e v o lution intellectual property laws successful. As Ren Jianxin, President of the Supreme People's C o u r t and long one of C h i n a ' s most visible spokespersons on intellectual property issues, put it in e x tolling the effectiveness of China's n e w laws before an international audience s o o n after their promulgation, "the Chinese legal and intellectual property system can give full protection to patent right . . . and exclusive right to use a trademark and copyright w h i c h have been legally obtained in C h i n a . " A closer consideration of h o w these n e w rules have played themselves out in society, however, tells a rather more complex taleas some Chinese observers have b e g u n lately to a c k n o w l e d g e . N o r ought the difficulties involved in g i v i n g effect to China's n e w intellectual property laws to be w h o l l y surprising, w h e n one considers the inhospitability of both traditional political culture and ideological o r t h o d o x y during m u c h of the P R C ' s history to the privatization and commodification of k n o w l e d g e , the unresolved tensions evident in the laws themselves, and the serious shortage of well-trained, independent jurists, legal professionals, and civil servants to w h o m one might turn to v i n d i cate rights and resolve uncertainties surrounding t h e m .
140 141 142

Perhaps the most compelling data Chinese officials have been able to offer in support of the proposition that the P R C ' s first generation of intellectual property laws achieved their stated purpose are statistics concerning the number of patent and trademark applications filed. Official sources have exhibited great pride in the fact that during the eight years prior to the revision of the 1984 Patent L a w , over 284,000 applications were filed, including over 40,000 from foreign parties representing some 65 jurisdictions, and that during the decade between the 1983 Trademark L a w ' s promulgation and its most recent major revision, some 366,000 applications for trademark registration were accepted, including more than 53,000 from foreign parties representing some 68 jurisdictions. T h e g e n eral trend toward increased applications, especially from abroad, has been duly cited as providing validation of the P R C ' s n e w intellectual property system. In the w o r d s of Z h e n g S o n g y u , general m a n ager of the C h i n a Patent A g e n c y ( H . K ) Ltd., w h i c h is the Chinese state patent agency in H o n g K o n g , this has had a "highly salubrious effect in mobilizing the enthusiasm of the broad masses of the people engaging in inventive/creative activities, promoting the populariza143 144

Squaring Circles / 83 tion and application of inventions/creations, introducing advanced t e c h n o l o g y from abroad, improving China's investment environment and actively carrying out economic-technical cooperation and exchange between C h i n a and other countries." C l o s e r scrutiny of these figures, especially in patent, at least raises questions as to what one means by success, even w i t h respect to this particular aspect of intellectual property law. Patent applications did, indeed, increase over much of the eight-year life of the P R C ' s initial patent law, but it is also true that some two-thirds of those filed by Chinese were for utility models and design patents, whereas over 80 percent of those submitted by foreigners were for invention patents. By their very nature, utility models and design patents concern less advanced technology and provide less extensive rights than invention patents, as they carry far shorter terms, do not require extensive substantive pre-grant examination, and permit applicants to amend claims during invalidation proceedings (thereby complicating enforcement). Additionally, over two-thirds of all Chinese applications between 1984 and 1992 were for n o n service inventions, w h i c h typically involve lower-level technology, being made by individual entrepreneurs or workers in state or collective enterprises acting outside the scope of their employment. N o r do more recent statistics suggest any significant shift, as illustrated by the figures for 1993, w h i c h indicate that over 80 percent of the applications filed by and over 95 percent of the rights granted to C h i nese w e r e for utility models or design patents, w i t h more than t w o thirds falling into the nonservice category, w h i l e over 75 percent of applications filed and rights granted w i t h respect to foreigners w e r e for invention patents.
145 146 147

A r g u a b l y , one could construe these statistics as evidence that the 1984 law succeeded in creating a patent system that is inspired in its market segmentation, offering foreigners sufficiently attractive rights to entice them to part w i t h technology of international quality, w h i l e , in effect, requiring locals to yield up their i n n o v a tions in return for lesser benefits. This, of course, is not an argument that C h i n e s e officials, vociferous t h o u g h they have been about the myriad successes of this law, have made or are likely to make. B u t even if they w e r e to do so, defining success so narrowly runs the risk o f i g n o r i n g other key objectives o f China's n e w intellectual p r o p erty s y s t e m s u c h as fostering the g r o w t h of important indigenous

84 / Squaring Circles technologies and the exchange of data between Chinese scientists. W i t h rare exceptions, Chinese enterprises have done little to generate their o w n t e c h n o l o g y w o r t h y of advanced intellectual property rights. T h u s , for example, in 1992, even though Chinese filed eleven times more applications, foreigners obtained two-thirds of all i n vention patents granted. A n d these statistics do not disaggregate S i n o - f o r e i g n j o i n t venturesmany of w h i c h have been active in patentingbut instead treat them as domestic enterprises.
148 149

T h e p h e n o m e n o n of foreign multinationals securing a disproportionate share of patents granted is hardly unique to C h i n a , but rather typical of developing nations that have yet to generate extensive indigenous t e c h n o l o g y w i t h a high commercial v a l u e . T h e fact is, h o w e v e r , that C h i n a is neither typical of developing nations nor w i s h e s to think of itself in such terms, save for w h e n it is c o n v e nient to do so for purposes of building alliances or gathering votes in international organizations. It should not be forgotten that the P R C produced its o w n nuclear weapons in the 1960's and soon after the end of the Cultural Revolution embarked on one of the w o r l d ' s m o s t ambitious efforts to foster scientific and technological development, as evidenced in small part, for example, by the allocation in 1991 of 6.6 billion yuan ( U . S . $ 1 . 2 billion) to support the w o r k of 130,000 n e w research scientists.
150 151

To some extent, the relative indifference of Chinese enterprises to patent rights, through the 1980's and even beyond, cannot be understood w i t h o u t reference to the continued prominence of state-owned entities, especially in the heavy industrial and capitalintensive sectors, notwithstanding many accounts over the years of their d e m i s e . O n e study indicates that from 1985 through June 1992, the 12,000 largest state-owned enterprises on average had filed less than a single patent application of any type annually, bearing out Renmin ribao's assertion that "large enterprises do not think m u c h of the invention patent, or support it w i t h manpower, materials and capital." B u t the record of nonstate enterprises, many of w h i c h are small, thinly capitalized, and in the service sector, has not been significantly better. N o r have G u a n g d o n g or other of C h i n a ' s m o s t e c o n o m i c a l l y open areas revealed an appreciably different pattern. In short, if the Patent L a w was intended to stimulate serious C h i n e s e inventiveness, success is as yet elusive.
152 153

T h e confusion of the quantitative w i t h the qualitative is also e v i -

Squaring Circles / 85 dent in the vision of the future articulated by the leaders of the C h i n e s e patent system. A l t h o u g h expressing satisfaction that C h i n a already ranked a m o n g the "first 15 countries in the w o r l d in terms of patent applications received," late in 1991, Director General G a o Lulin of the Patent Office declared that C h i n a needed to do still m o r e if it w a s to b e c o m e a "patent p o w e r h o u s e " by the turn of the century. T h i s w o r t h y goal, G a o indicated, in an unwitting epitome of a contradiction at the heart of the P R C ' s intellectual property policies, could be attained because the Patent Office had developed a plan that called for it to grant 400,000 patent rights over the next decade, thereby a l l o w i n g C h i n a to "edge into the list of the top 10 countries in terms of the number of patents granted.
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T h e issuance of rights is, of course, not the same as their vindication. If statistics as to patent applications filed are amenable to different readings, h o w m u c h more so the necessarily more fragmentary numbers available w i t h respect to infringement. To take but one e x ample, albeit an especially important one, it is not altogether clear w h e t h e r the existence of a surfeit of infringement actions should be read as indicating that the laws of the jurisdiction in question are effective (in the sense of being vigilantly enforced) or ineffective (in the sense of so often being broken). Indeed, in the Chinese case, the S A I C has pointed w i t h pride to the many thousand infringement cases it hears annually as p r o o f that the Trademark L a w is w o r k ing, w h i l e the Patent Office has stressed, w i t h no less pride, that the "fact" that few infringement cases i n v o l v i n g the interests of foreigners have c o m e to its attention s h o w s that the Patent L a w has taken hold as intended.
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W h a t e v e r one chooses to make of such statistics, there are a g o o d m a n y anecdotal data gleaned from a variety of s o u r c e s C h i n e s e and foreign, open and secretto suggest that infringement has been and remains a massive problem, even w i t h the stepping up of enforcement efforts. F r o m the launching of C h i n a ' s "open p o l i c y " of the late 1970's onward, Chinese enterprises have turned out a broad array of infringing items. These include fake I B M computer components, Levi's jeans, Johnny Walker scotch (Black Label, no less), H e i n z and Nestle's baby food, Mars confectioneries (such as the infamous " W & W " candies, said to "dissolve" in one's m o u t h ) , C o c a - C o l a soft drinks, Bass footwear, R o l e x watches, and a host of other consumer items. In most instances, these are pale imitations

86 / Squaring Circles that appear intended for a domestic market eager, after years of l i m ited access to the outside w o r l d , to acquire foreign g o o d s but not overly familiar w i t h them. In at least a few cases, however, these infringing items are virtually indistinguishable from the originals in question and have already turned up in export markets from T a i w a n and Southeast Asia to N o r t h America and E u r o p e . It is, h o w e v e r , not only w i t h respect to trademark, w h i c h by its v e r y nature is a particularly visible form of intellectual property, that in 1991, C h i n a was deemed the "single largest pirate w o r l d w i d e , " according to Joseph Massey, w h o s e responsibilities as A s sistant U n i t e d States Trade Representative ( U S T R ) also included protecting A m e r i c a n rights in a number of other leading contenders for the aforementioned title, or that his successors have reiterated such sentiments. T h r o u g h o u t the 1980's and well into the 1990's, C h i n a ' s publishers liberally reproduced foreign materials w i t h o u t authorization. So it is, for example, that China's elite can turn each day to Cankao xiaoxi and an array of other internal-circulationonly newspapers and magazines filled w i t h unauthorized translations of foreign n e w s reports deemed too sensitive to share w i t h C h i n a ' s p o p u l a c e . B u t the latter are by no means deprived of foreign copyrighted information. Students can find shelf after shelf in libraries and research centers filled w i t h unauthorized copies of foreign w o r k s , as w e l l as computer centers in w h i c h they can fulfill u n i v e r s i t y - w i d e requirements to become computer literate w i t h o u t ever seeing an authorized piece of software. C o n s u m e r s more g e n erally have been able to avail themselves of w h o l e floors of stateo w n e d bookstores that are closed to foreigners so as to specialize in pirated editions of foreign w o r k s , each marked "for internal circulation only," meaning that foreigners are barred by law from reading t h e m and from taking them out of the country. N o r are such titles restricted to those that w o u l d seem to bear on the modernization process, w h i c h one m i g h t expect given the contention of some C h i nese officials during the 1980's that, as a developing nation, C h i n a could not afford to pay royalties for important w o r k s on science, medicine, technology, and other fields pertinent to g r o w t h . Instead, interspersed w i t h the inevitable and often outdated (but still c o p y righted) editions of Gray's Anatomy, American law casebooks, and, in a reprise of history, Webster's Dictionary, one finds w o r k s as central to the building of a socialist c o m m o d i t y e c o n o m y as Nathaniel
156 157 158 159

Squaring Circles / 87 H a w t h o r n e ' s The Scarlet Letter and Isaac Bashevis Singer's The Magician of Lublin. Indeed, not even the sacred visage of M i c k e y M o u s e has been spared, in spite of extensive pressure brought to bear by the Disney C o m p a n y resulting, inter alia, in m u c h publicized agreements w i t h C h i n e s e authorities. P r o v i n g that it is, indeed, a small, small w o r l d , unauthorized reproductions of the immensely popular Mi Laoshu ( M i c k e y M o u s e , or, literally, O l d M o u s e Mi) and friends abounded during the 1980'sand still are liberally spread through the land in plastic masks sold in parks, on doorbells adorning hotel r o o m s , in comic b o o k s offered by street vendors, and on a range of other i t e m s . As the essayist B i l l H o l m has so aptly put it:
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O n a n y d a y d o w n a n y street i n X i ' a n , a parade o f c a r t o o n m i c e , d u c k s , h o u n d d o g s and rabbits w a l k s past y o u . I n the t h e r m o s shop, y o u can b u y d e c o r a t e d plastic cylinders painted i n g a u d y colors w i t h M i c k e y , M i n nie, D o n a l d and G o o f y . T h e precious "only" toddlers w e a r d a n c i n g cart o o n m i c e T - s h i r t s . T h e red-kerchiefed Y o u n g Pioneers carry s c h o o l n o t e b o o k s d e c o r a t e d n o t w i t h pictures o f M a r x b u t w i t h the p e r p e t u a l l y s m i l i n g M i c k e y . In the c a n d y store, small fists that w i l l build the F o u r M o d e r n i z a tions reach o v e r the c o u n t e r c l u t c h i n g a l u m i n u m fingers t o order S h a n g h a i

fens

[pennies] in s w e a t y

tang guo,

hard fruit c a n d y that c o m e s in plastic

sacks s t a m p e d w i t h M i n n i e M o u s e h o l d i n g hands w i t h the f a m o u s S h a n g hai w h i t e rabbit. " T r i x o n " and " M o w the H e l m s m a n " didn't o p e n C h i n a t o the West; W a l t D i s n e y d i d .
1 6 2

Overseas victims of infringement are not alone, although they seem neither to have taken consolation from that fact nor, more important, to have recognized the potential alliances that it s u g gests. Chinese pharmaceutical manufacturers have found their marks infringedat times w i t h fatal consequences for consumers. A l t h o u g h having fewer public safety implications, the "Cadillacs of C h i n e s e bicycles"the Feige (Flying Pigeon), Fenghuang (Phoenix), and Y o n g j i u (Everlasting) b i c y c l e s w h i c h themselves bear more than a faint resemblance to classic Raleigh bikes of the 1950's have been the subject of rampant unlawful copying for years. A n d m u c h the same has been true of the " b e s t - k n o w n " Chinese liquor, Maotai, Hongtashan cigarettes, an array of items bearing the famed H o u W a n g ( M o n k e y K i n g ) brand name, and hundreds of other products in a society that still has far fewer marks than our o w n . Indeed, one n e w s account reported that "one-fourth of the 1,400
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88 / Squaring Circles orders i n v o l v i n g trade-mark labels w h i c h local printers accepted" lacked p r o o f of authority to use the marks in question. N o r do C h i n a ' s printers appear to be m u c h more careful w i t h respect to copyright. C h i n a has of late had a number of highly p u b licized copyright cases, such as the successful case brought by D e n g X i a o p i n g ' s daughter against an infringer of her biography of her father and those leading to the awarding of royalties to the descendants of the famed revolutionary writer Lu X u n and of L i j i e f u (for the unauthorized use of his recently revived, highly popular c o m position " W i s h i n g Chairman M a o Unlimited L o n g L i f e " ) . N o n e theless, infringement is rampant and administrative and formal legal redress seem even more difficult to secure in this than in other areas of intellectual property law. Indeed, according to one study of p u b lishing in p o s t - M a o China, "most books available on the m a r k e t . . . w e r e pirated in one form or another" throughout the 1980's and into the 1990's.
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T h e plight of Professor Z h e n g C h e n g s i illustrates the problem w i t h particular poignancy. A l t h o u g h the "sole academic member participating in the C o p y r i g h t L a w drafting from beginning to end" and the only individual in C h i n a to be honored by being named a " N a t i o n a l E x p e r t on Intellectual Property" by the State C o u n c i l , over the years Professor Z h e n g had not escaped the ravages of infringers, some of w h o m were so brazen as to appropriate for t h e m selves w i t h o u t attribution sizable excerpts from his many w o r k s on intellectual property. These events, however, hardly prepared h i m for the actions during the late autumn of 1992 of the C h i n a Procuratorial Publishing House, w h i c h operates under the aegis of the Supreme People's Procuracy, the arm of the Chinese g o v e r n ment charged w i t h prosecuting crimes (including those concerning intelletual property). Seeking to capitalize on the attention that the January 1992 M e m o r a n d u m of Understanding w i t h the U n i t e d States focused on copyright, the Procuratorial Publishing H o u s e published and distributed a so-called Complete Book of Intellectual Property. T h e b o o k was, indeed, complete, incorporating w i t h o u t permission or even acknowledgement portions of no fewer than five different w o r k s by Z h e n g on copyright and other areas of intellectual property. After o v e r c o m i n g disbelief, Z h e n g persuaded Beijing c o p y r i g h t officials to fine infringers, but his efforts to secure the royalties he believes are his have been unavailing, as the courts, not
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Squaring Circles / 89 surprisingly, have been loathe to give a full hearing to an action directed against their procuratorial c o l l e a g u e s . A l t h o u g h more difficult to discern, patent infringement has also been a p r o b l e m . Chinese patent officials report fewer than 2,000 administrative actions and 500 lawsuits during the period b e t w e e n the 1984 Patent L a w ' s promulgation and its revision in 1 9 9 2 . A n e c dotal data, such as the tale of one patent holder w h o some six months after receiving his patent found it being infringed by no fewer than 45 factories in a single county in Henan, suggests that these figures m a y w e l l understate the case. A n d even in those instances w h e r e the p r o b l e m has been uncovered and brought to the attention of the relevant authorities, its resolution at times has been directed t o w a r d goals other than protection of property interests, as suggested, for example, by a 1989 Jiangsu suit in w h i c h the local court e x o n e r ated the alleged infringers on the grounds that by i m p r o v i n g the quality of the patented item they had made a valuable contribution to s o c i e t y .
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To be sure, even in earlier days w h e n they w e r e more reluctant publicly to a c k n o w l e d g e intellectual property problems, C h i nese officials w e r e by no means w h o l l y oblivious to their existence and, indeed, at times sought to turn such difficulties to a d v a n t a g e as evidenced, for example, by their handling during the mid and late 1980's of cases i n v o l v i n g Vitasoy and the Stone G r o u p (Sitong jituan g o n g s i ) . T h e former, concerning the trademark for a soybean m i l k (doujiang) drink popular in Chinese communities t h r o u g h o u t the w o r l d , in many w a y s typified the situation of prominent m u l t i nationals capable of shaping foreign perceptions of the Chinese business environment, particularly as the P R C first opened its doors to investors from abroad. L o n g before entering the Chinese market, the proprietors of the trademark Vitasoy had obtained registration t h r o u g h o u t the w o r l d , thereby establishing by the standards of the Paris C o n v e n t i o n that it was a " w e l l - k n o w n " mark, w h i c h status, in turn, should have eased the w a y for registration in the P R C , g i v e n Beijing's accession to the C o n v e n t i o n . Nonetheless, C h i n e s e trademark examiners not once, but twice, flatly rejected V i t a s o y as a registrable mark, contending that it was "generic," g i v e n that its English name w a s derived from the w o r d s "vitamin" and " s o y " and its C h i n e s e name from the characters "vitamin" and " m i l k . " O n l y w h e n V i t a s o y and its counsel pressed their case did Chinese trade-

90 / Squaring Circles mark officials do an about-face, ordering registration of the mark in question to "keep a friend of C h i n a satisfied" and suggesting for foreign audiences that this happy result demonstrated China's w i l l i n g ness to use "every means possible to eliminate opposition and obtain approval for its registration, thus w i n n i n g the trust of the general public," most of w h o m k n e w nothing about it and cared l e s s . T h e case of the Stone G r o u p was also presented toand initially received b y t h e outside w o r l d as providing important evidence of C h i n a ' s firm c o m m i t m e n t to the protection of intellectual property, but it, too, involved a more complex set of events, w h i c h similarly c o n v e y e d a more mixed moral regarding efforts to build a n e w C h i n e s e l e g a l i t y . T h e dispute that launched the case, at least ostensibly, revolved around the question of whether computer engineers from the state-run C h i n a Research Institute for Printing Science and T e c h n o l o g y ( C R I P S T ) in m o v i n g to Stone had taken w i t h them proprietary data in violation both of the General Principles of the C i v i l L a w ' s provisions on intellectual property and their e m p l o y ment agreement. Soon, however, the dispute became a focal point for a larger test of wills between, on the one hand, Stone, w h i c h w a s at the time China's largest private enterprise, and its politically ambitious principal owner, Wan Runnan ( w h o through the c o m pany founded the "first privately-funded think tank in C h i n a specifically concerned w i t h politics, the e c o n o m y and l a w " ) , and, on the other, the S P P A , to w h i c h the C R I P S T reported, and additional governmental entities w i t h a decidedly conservative bent. Before the initial dispute over C R I P S T could be resolved, however, the Beijing Spring of 1989 intervened and Wan, w h o was accused of having helped instigate those events, fled to Paris. Ironically, Renmin ribao chose soon thereafter to affirm the link between intellectual property and politics by running an extraordinary notice declaring that as a bad and dangerous element, Wan no longer enjoyed the right to use the Stone name or any associated trademarks.
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In the years since Vitasoy, Stone, and other celebrated, if questionable, self-proclaimed affirmations of the vitality of Chinese intellectual property law, P R C officials have begun to make s o m e w h a t more concerted attempts to enforce such laws. T h u s , in the months leading up to the January 1992 M e m o r a n d u m of U n d e r standing, Chinese state agencies stepped up enforcement measures, even as the government denied the existence of significant p r o b -

Squaring Circles / 91 lems. Similar, if no more successful, measures were undertaken in the immediate aftermath of the M e m o r a n d u m . Special tribunals dedicated to intellectual property issues have subsequently been established in a handful of China's most important commercial centers. W h a t semi-official Chinese sources have described as "nationw i d e crusades," w h i c h seem at least to echo campaigns (yundong) of earlier days, have been commenced w i t h the goal of securing a higher level of compliance, leading V i c e Premier Li Lanqing recently to say w i t h reference to persons involved in the manufacture and distribution of "fake and inferior goods, . . . no one should be lenient towards these evil doers and evil d e e d s . " A n d in a futile effort to deter Washington from pursuing possible trade sanctions, in the summer of 1994, the Standing C o m m i t t e e of the N P C adopted legislation that w o u l d impose substantial criminal penalties for copyright infringement and the State C o u n c i l issued a White Paper extolling progress over the past decade on intellectual property.
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N o t w i t h s t a n d i n g such undertakings, w h i c h , inter alia, have led to the imposition of the death penalty on at least four individuals, life sentences for no fewer than five others, and the imprisonment of s o m e 500 more for trademark violations, major problems persist. Trademark infringement is so widespread, the China Daily reported in September 1993, that "stronger measures" need be taken to address the surfeit of "illegal practices [that] have seriously disturbed the normal economic order, infringed consumers' rights, harmed people's health and life and annulled the image of C h i n a made g o o d s on the w o r l d market." C o p y r i g h t problems, according to some observers, have only gotten worse. Time has recently dubbed C h i n a "home t o the world's largest gang o f C D [compact disc] pirates," some of w h o m the Wall Street Journal suggests are affiliated w i t h the very governmental authorities w h o should be policing them. Experts estimate that 95 percent of the software in use c o n sists of unauthorized copies and "in book-publishing at least, there has been a significant increase in violations of copyright," according to one Chinese publishing executiveall of w h i c h is consistent w i t h U S T R M i c k e y Kantor's June 1994 assertion that enforcement is "virtually n o n - e x i s t e n t . " A n d there are increasing accounts of powerful industries infringing patents belonging to entities from distant jurisdictions, k n o w i n g that their local c o u r t s w h i c h are heavily dependent financially on local tax revenues collected from
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92 / Squaring Circles such industriesare unlikely to rule against the home team in suits b r o u g h t by entities from other provinces. In sum, at least at this juncture, the attempt to build an intellectual property law w i t h " C h i n e s e characteristics" capable of serving a n e w socialist market e c o n o m y at best remains a long march w i t h many steps yet to be traversed. Energetic t h o u g h they have been, the Chinese government's attempts to p r o m o t e more vigorous adherence to its intellectual p r o p erty laws have been overtaken by a simultaneous and far more strenuous effort to reassert a strong degree of direct state control over the flow of ideas. C o m m e n c i n g in the autumn of 1993, Beijing has launched w h a t one experienced observer has termed an " o n slaught against dissent and journalists . . . [in] an attempt to continue its control on all i n f o r m a t i o n . " This effort has taken a variety of forms. Journalists, including H o n g K o n g reporters, and others alleged to have shared classified information (such as an advance text of a public address to be delivered by President Jiang Z e m i n ) have been arrested and, in some instances, received sentences as steep as life i m p r i s o n m e n t . T h e resale of shuhao has been prohibited in an attempt to reassert direct central control over w h i c h b o o k s may be published. T h e installation and use of satellite dishes, other than by state-approved entities, to receive foreign-originated p r o g r a m m i n g has been barred because, in the words of V i c e Minister of Radio, Film and Television Wang Feng, it is "beneficial to the cultivation of patriotism a m o n g our citizens, safeguarding the superior tradition of the Chinese race, promoting socialist civilisation, and maintaining social stability." T h e " C o m m u n i s t Party . . . has taken" w h a t New York Times correspondent Patrick Tyler calls "an end-ofempire approach to [film] censorship." A n d the government is limiting imports of foreign C D s to 120 titles a year, w h i c h may be one reason, along w i t h the chance to earn considerable export revenues, that Chinese factories are n o w churning out tens of millions o f unauthorized copies o f popular foreign C D s from Michael Jackson to M a d o n n a and b e y o n d . To be sure, as the example of C D s illustrates, these measures designed to control information have not necessarily proven themselves much more effective than those c o n cerning intellectual property, but they nonetheless represent an unw i t t i n g reaffirmation by the state of the priorities of its imperial and Nationalist predecessors w i t h respect to the dissemination of ideas.
183 184 185 186 187 188

T h e tensions evident w i t h respect to the P R C ' s first generation

Squaring Circles / 93 of p o s t - C u l t u r a l Revolution intellectual property laws in many respects typify those that mark the broader effort during this same period at law reform. As w i t h patent, trademark, and copyright, the more general effort at establishing a formal legal system has held considerable appeal for China's leaders. It has constituted an unparalleled vehicle for legitimation both at home and abroad, distinguishing the p o s t - C u l t u r a l Revolution leadership from its predecessors (even as some of the latter reemerged amongst the former), w h i l e easing the anxieties of foreigners about parting w i t h the techn o l o g y and capital needed to fuel China's modernization. No less important, it has represented an instrument perceived as uniquely suited to serving the leadership's seemingly contradictory objectives of m o v i n g away from the rigidities of a planned e c o n o m y (through, for example, the gradual substitution of contract for administrative fiat) w i t h o u t surrendering central political authority and j e o p a r d i z ing stability. Indeed, some may have been drawn to the idea of building up a n e w legal order in the belief that it might provide a w a y of reversing an excessive devolution of p o w e r to provincial and local officialdom, and as such might be an instrument for national consolidation. That elements of China's leadership have seen benefits to be d e rived from further development of a formal legal system does not necessarily mean, however, that these same individuals, let alone their colleagues, either fully appreciate or are entirely w i l l i n g to accept the associated costs. T h e introduction of n e w rights for both citizens and foreigners in what is still said to be a socialist state has posed disquieting questions about the nature and direction of C h i nese society at h o m e and in relation to the international e c o n o m y at a time of w r e n c h i n g transition in many parts of the w o r l d . A n d at a more personal level, imbued as they are w i t h a traditional political culture that calls for the retention of a high degree of discretion by those exercising authority, a modern ideological o r t h o d o x y that dismisses the ideal of the autonomy of law, and no small degree of hubris and self-interest, many in leadership circles have been hesitant, at best, to subordinate themselves and their decisions to rules and institutions b e y o n d their control. As w a s the case in intellectual property, this tension has expressed itself in doctrine from the Constitution on d o w n that has all too often endeavored to set out n e w rights w h i l e tightly circumscribing their ambit and providing minimal means for their vindication, by

94 / Squaring Circles either ordinary citizens or foreign nationals. To be sure, it w o u l d be misleading to assess Chinese law reform either presuming the existence of absolute rights in other societies or ignoring the highly instrumental nature of legality in all jurisdictions. T h e laws of every nationand, perhaps, particularly those that are at an early stage in the development of their systems of formal legality or engaged in recasting fundamental dimensions of social orderexhibit strains b e t w e e n individual and collective concerns, between the rights of citizens and the prerogatives of their leaders, and between instrumentality and autonomy. B u t whereas many societies seek to m e d i ate such strains by recasting the law itself w i t h greater definition and fixity, by reposing the p o w e r to provide such definition w i t h a professionalized judiciary and civil service, or by facilitating the vindication by citizens of their stated r i g h t s , through the 1980's and into the 1990's, the P R C ' s leadership has, at best, displayed p r o found ambivalence, if not an outright lack of enthusiasm, for such measures.
189

Ironically, the Chinese leadership's attempt to have it "both w a y s " i n the sense of proclaiming rights w i t h o u t being constrained by comprehensively providing for their realizationhas resulted in having it neither way, at least through the first decade and a half of the p o s t - C u l t u r a l Revolution law reform. A l t h o u g h it w o u l d be u n fair not to a c k n o w l e d g e the gains made since the 1970's in generating and m a k i n g efforts to g i v e effect to a g r o w i n g b o d y of legislation, the continued unwillingness of those in positions of real p o w e r to cede major authority to the law in a meaningful and consistent fashion has undercut the very stability, predictability, neutrality, and a u t o n o m y that comprise the essence of legality, distinguish it from politics, and, ultimately, constitute its particular virtue. T h i s has diminished sharply many of the benefits that the leadership had anticipated reaping in establishing its p o s t - C u l t u r a l R e v o l u t i o n legal order. At the same time, it is also beginning to engender e x p e c t a tions and provide a focus for persons w i t h shared interests that, if not met, may w e l l impair, rather than burnish, the party's legitimacy. For, as w i l l be discussed in chapter 5 w i t h reference to T a i w a n and in chapter 6 w i t h regard to S i n o - A m e r i c a n interaction, the nurturing of effective and sustainable law r e f o r m w h e t h e r in the area of intellectual property or more generallycannot be divorced from larger issues of political reform.

Five

As Pirates Become Proprietors: Changing Attitudes Toward Intellectual Property on Taiwan

W e still h a v e t o t w i s t the arms o f our engineers t o f i l e a patent . . . we have lots of incentive p r o g r a m s for t h e m and those i n c e n t i v e p r o g r a m s , o f course, include m o n e y . T h e a m o u n t o f m o n e y i s a b o u t f i v e times a s m u c h a s w h a t I B M paid u s years a g o and w e still can't get t h e m to file . . . that's one area w h e r e we are t r y i n g v e r y hard t o c h a n g e . A l v i n T o n g , e x e c u t i v e vice president, A c e r , Inc.

W i t h the defeat of the Nationalist government on the Chinese mainland at the hands of the C o m m u n i s t s , the protection of intellectual property w a s hardly high on the G u o m i n d a n g ' s list of priorities w h e n it relocated to T a i w a n in the autumn of 1949. On the c o n trary, during its first years on Taiwan, the G u o m i n d a n g w a s far m o r e concerned w i t h closely regulating the dissemination of ideas in order to keep any materials deemed subversive from the p o p u lace. As w a s the case in so many areas, the resolution of other, less immediate concerns regarding intellectual property could await return to the mainland, w h i c h many in the leadership hoped w o u l d be fairly rapid.
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A l t h o u g h it became increasingly apparent through the 1950's that a return to the mainland w a s not imminent, the R O C g o v e r n m e n t ' s focus w i t h respect to intellectual property remained on questions

96 / As Pirates B e c o m e Proprietors of censorship. Indeed, in order to subsidize the cost of its elaborate censorship apparatus, the government early on set its copyright r e g istration fees for b o o k s at 25 times the cover price. T h e unsurprising result was that throughout the entire first decade of Nationalist rule on Taiwan, fewer than 600 b o o k s were registered, of w h i c h fewer than 30 w e r e foreign, in spite of the fact that "by mid-1959, the number of Western titles that had been reprinted there numbered more than t w o thousand."
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At first, foreign publishers seemed little concerned about the pirating of their property on Taiwan. At least for A m e r i c a n p u b lishers and authors, this may have been attributable both to lack of interest in foreign markets during the early postwar years (evidenced in the practice, then c o m m o n throughout the U . S . publishing industry, of selling international rights on a wholesale basis to British firms) and to particular ignorance about the problems and possibilities posed by the Taiwan market. To be sure, neither the original A m e r i c a n nor the less expensive "Far Eastern" editions of their w o r k s licensed in Japan and elsewhere in East Asia sold in large numbers in Taiwan, but closer attention to Taiwan w o u l d have revealed that the market there for foreign b o o k s m a n y of w h i c h local printers pirated from one another, as well as from abroad was g r o w i n g rapidly among both Chinese nationals and A m e r i c a n garrison troops. N o r was help forthcoming from the U . S . g o v e r n ment, w h i c h , eager to buttress the Nationalist regime, did little to p r o m o t e the interests of the U . S . publishing industry.
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By the late 1950's, however, several factors combined to rouse A m e r i c a n publishers. T h e unauthorized reprinting of some of the latest and most expensive foreign w o r k s , including current editions of the Encyclopaedia Britannica, Webster's Dictionary, and Gray's Anatomy, and their export both to the West and to potential markets elsewhere in the world, drew the attention of foreign p u b lishers. For example, the publishers of the Encyclopaedia Britannica w e r e greatly annoyed at the extensive pirating of their w o r k . T h e y saw the Chinese government's delay in registering its c o p y r i g h t w h i c h R O C authorities said was necessary to censor "incorrect information contained therein concerning the Republic of C h i n a . . . , O u t e r M o n g o l i a . . . , o p i u m - s m o k i n g . . . [and M a o Z e d o n g ] " as a deliberate effort to assist local pirates. These culprits, they b e lieved, reaped enormous profits, w h i c h they "immediately sank . . .
8 9

As Pirates B e c o m e Proprietors / 97 into the unauthorized reprinting of literally hundreds of additional Western t i t l e s . " So bestirred, Western publishers urged their governments to take diplomatic action against Taiwan. American publishers, for example, argued that the M u t u a l Security P r o g r a m that served as a defense lifeline for Taiwan o u g h t to be reexamined. T h e y also questioned T a i w a n ' s eligibility for the Informational Media Guarantee P r o g r a m , w h i c h provided nations w h o s e currency was not freely convertible w i t h the dollars needed to purchase A m e r i c a n b o o k s and films. O n l y through such measures, they contended, could the R O C be persuaded to revise its intellectual property laws, j o i n the U n i v e r s a l C o p y r i g h t C o n v e n t i o n , and generally take whatever m e a sures w e r e necessary to live up to its obligations under the provisions of the 1946 Friendship, C o m m e r c e and N a v i g a t i o n Treaty meant to protect U . S . intellectual property.
10

T h e R O C g o v e r n m e n t sought t o counter this pressure b y a r g u ing that unauthorized reprinting g r e w out of its students' need for the latest foreign information, especially in the sciences, w h i c h they could not afford to purchase. Dependent as it w a s on U . S . financial, military, and diplomatic support, the R O C w a s , however, unable w h o l l y to resist A m e r i c a n entreaties. In 1959, in an effort to ameliorate A m e r i c a n pressure w h i l e keeping alive the domestic reprint industry, the Nationalists reluctantly amended the R O C ' s fledgling rules concerning c o p y r i g h t . T h e s e amendments reduced the fees to be paid on registration and provided foreigners w i t h the same period of c o p y r i g h t protection to w h i c h Chinese were entitled. A year later, the g o v e r n m e n t f o l l o w e d this up w i t h a proclamation declaring that persons e x p o r t i n g unauthorized copies of b o o k s and records w o u l d be subject to prosecution for s m u g g l i n g . A n d in 1964, the Legislative Y u a n passed additional revisions to the C o p y r i g h t L a w directed t o w a r d ending the piracy of foreign w o r k s .
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N o t w i t h s t a n d i n g these measures, the situation failed to i m p r o v e appreciably. N o r did much-publicized additional governmental initiatives in the areas of enforcement and mass education, taken during the remainder of the 1960's or through the 1970's largely in response to intensifying U . S . pressure, prove any more effective. T h i s w a s chiefly because of the immense difficulty that foreign and domestic parties alike had in proving infringement under existing procedures and in securing meaningful sanctions in the handful of
14

98 / As Pirates B e c o m e Proprietors actions actually tried. As a consequence, few among the more than 1,400 publishers and reprinters in business on T a i w a n in the m i d 1970's t h o u g h t it w o r t h the expense and effort to obtain c o p y r i g h t registration, even t h o u g h unregistered w o r k s enjoyed no legal p r o tection from unauthorized reproduction. Indicative of their lack of confidence in the law was the fact that in 1975, a typical year, fewer than 1,000 copyrights were registered, almost all by a mere 35 publishers. M u c h the same point is borne out by the fact that during that year, a mere dozen infringement cases w e r e filed in the Taipei District C o u r t , one of the island republic's more active, of w h i c h eight w e r e w i t h d r a w n before j u d g m e n t and o n l y one resulted in a full sentence. N o t surprisingly, unauthorized reproductions of b o o k s , records, tapes, and, by the 1970's, computer software found their w a y to buyers throughout the w o r l d , including the U n i t e d States, E u r o p e , Africa, the M i d d l e East, and even the P R C .
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Counterfeiters of trademarked and patented foreign products w e r e no less active during the 1960's and 1970's. K n o w l e d g e a b l e observers suggest that government officials may originally have encouraged such piracy for reasons both of import substitution and e x p o r t p r o m o t i o n . Revisions of trademark and patent laws during those decades did little to constrain such piracy, since these statutes continued to provide scant recourse for foreign holders, lacked effective methods for assessing damages, assigned penalties that could be redeemed by modest payments, and, in any event, w e r e not rigorously enforced. B y the 1970's, the R O C w a s furnishing a b u r g e o n i n g w o r l d market w i t h a host of counterfeited p r o d ucts, including pharmaceuticals, "pens, watches, clothing, car parts, computers, chemical processes," "dolls, toys . . . cameras . . . batteries, puzzles," and airplane and helicopter parts, a m o n g other i t e m s . As a consequence, in 1982, Newsweek labeled T a i w a n the counterfeiting capital of the w o r l d , and the New York Times soon thereafter described it as being "to counterfeiting w h a t M i a m i is to d r u g trafficking." M o r e official condemnation came from the U . S . International Trade C o m m i s s i o n , w h i c h in 1984 identified T a i w a n as the source of as m u c h as 60 percent of the $6 to $8 billion w o r t h of counterfeited g o o d s believed to be produced w o r l d w i d e annually in a sampling of only five major industries.
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W i t h the pace, scope, and quality of counterfeiting e x p a n d i n g and w i t h a g r o w i n g awareness of the impact of such activity on the rapidly increasing U . S . trade deficit, the A m e r i c a n g o v e r n 27

26

As Pirates B e c o m e Proprietors / 99 ment began in the early 1980's to apply more concerted pressure on T a i w a n . In particular, efforts were made to play on Taiwan's o v e r w h e l m i n g dependence on American markets. At first these efforts w e r e focused on the Generalized System of Preferences ( G S P ) , a p r o g r a m intended to aid developing nations by eliminating tariffs on specified i t e m s . T h e Trade and Tariff A c t of 1984 conditioned c o n tinued receipt of G S P treatment on "the extent to w h i c h [any given] c o u n t r y is providing adequate and effective means under its laws for foreign nationals to secure, to exercise, and to enforce exclusive rights in intellectual property, including patents, trademarks, and c o p y r i g h t s . " T h i s step was hardly inconsiderable, given that T a i w a n had l o n g been a m o n g the greatest beneficiaries of the p r o g r a m , reaping m o r e than $3 billion in tariff benefits annually. N o n e t h e less, in 1988, the U . S . government chose to relinquish this t o o l . In an effort to stem the trade imbalance, it r e m o v e d T a i w a n and the other three Little D r a g o n s of East Asia from G S P eligibility. T h i s loss of leverage was eased somewhat, however, by the amendment soon thereafter of Section 301 of the 1974 Trade A c t , w h i c h , as w i l l be discussed below, authorized the president to take e x t e n sive retaliatory action against nations failing to respect A m e r i c a n intellectual property adequately.
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Such pressure, together w i t h the increased efforts of A p p l e C o m puter, International Business Machines Corporation, and other leading U . S . - b a s e d multinationals to protect their property, and extensive publicity by international n e w s media, helped produce changes in the intellectual property laws of the R O C , as w e l l as w i d e l y trumpeted educational and enforcement campaigns. T h u s , in 1981, the R O C promulgated regulations requiring w o u l d - b e exporters o f trademarked g o o d s to supply customs authorities w i t h d o c u m e n tation establishing their right to use the marks in question. T w o years later, Taiwan's Trademark L a w itself w a s amended to protect unregistered " w e l l - k n o w n foreign trademarks," authorize confiscation by police of infringing g o o d s , and raise criminal penalties for the infringement of registered trademarks to a l e v e l a m a x i m u m o f five years' imprisonmentat w h i c h monetary redemption w a s no longer possible. A n d in 1985, the law was still further revised to permit foreign enterprises, even if not registered, to initiate cases, w h i l e also reducing the claimant's burden of p r o o f on the issue of damages.
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D u r i n g the 1980's the R O C ' s copyright and patent laws also w e r e

100 / As Pirates B e c o m e Proprietors the subject of amendments concerning coverage, standing, and infringement. As revised in 1985, the C o p y r i g h t L a w provided that for C h i n e s e nationals, c o p y r i g h t w h i c h was redefined to include c o m puter p r o g r a m s , films, sound tracks, lectures, musical and artistic performances, dance, sculpture, and scientific and engineering d r a w i n g s , as w e l l as more conventional media previously c o v e r e d attached " u p o n . . . completion" of the w o r k , rather than registrat i o n . Subsequently, the Taipei District C o u r t followed the E x e c u tive Y u a n ' s u r g i n g and extended this right to A m e r i c a n w o r k s . A l t h o u g h registration continued to be required for the w o r k s of m o s t other foreign nationals, this burden w a s somewhat eased by the fact that the 1985 revisions provided that an unrecognized foreign entity w o u l d have standing "to file a [civil] complaint or a private prosecution against" infringers, if its o w n nation accorded such rights to Chinese nationals. Additional enforcement m e a sures, mirroring those of the Trademark Law, clarified the c i r c u m stances under w h i c h w o r k s believed to be pirated m i g h t be seized, mandated m i n i m u m civil damages of 500 times the retail price of the infringed w o r k , and increased the m a x i m u m sentence of imprisonment to five years so as to eliminate the possibility of monetary red e m p t i o n . C o m p a r a b l e measures respecting standing and enforcement lay at the heart both of the revisions made in 1986 to the Patent L a w and of proposals then made for an unfair competition l a w .
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A l t h o u g h p r o v i d i n g substantial clarification in many respects, the intellectual property law reforms of the mid 1980's neither resolved all questions addressed nor addressed all important questions. Typical of this first shortcoming was the much-heralded 1983 amendment to the Trademark L a w providing protection for u n r e g istered " w o r l d - f a m o u s " trademarks. Neither the law, concurrent i m p l e m e n t i n g regulations, nor other official pronouncements c o n tained a definition of the operative term. N o t surprisingly, even w i t h these amendments, throughout the 1980's only a handful of foreign holders availed themselves of this protection, despite o n g o i n g difficulties w i t h infringement, evidenced by the continuing sale in T a i w a n o f w o u l d - b e Eveready batteries, C h a m p i o n spark plugs, R o l e x watches, C h a n e l perfumes, Super K basketballs, D u n l o p sporting g o o d s , and a veritable orchard of imitation A p p l e computers, i n cluding the Pineapple, the G o l d e n (Delicious), the O r a n g e , and even the L e m o n . M o r e o v e r , the intellectual property law reforms of the
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As Pirates B e c o m e Proprietors / 101 m i d 1980's failed meaningfully to speak to such key matters as retroactivity, the interface between these laws and Taiwan's treaty c o m mitments, and the ability of those w h o s e intellectual property had been infringed to prove damages. N o r was progress made on such v e x i n g issues as duration, translation rights, compulsory licensing, and ex parte seizures of counterfeited items.
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T h e R O C ' s intellectual property law reforms of the mid 1980's w e r e promulgated w i t h great fanfare. M u c h publicity was directed t o w a r d efforts to enhance the w o r k of relevant governmental offices, including the Ministry of E c o n o m i c Affairs, the B o a r d of Foreign Trade, the police and prosecutors, of the courts, and of private o r g a nizations such as the National Anti-Counterfeiting C o m m i t t e e . T h i s w a s complemented by the focusing of attention on prosecutions in w h i c h severe penalties w e r e dispensed, by a spate of friendly articles in journals at h o m e and abroad, by mass educational c a m paigns by government and private groups, and by increased n e w s about discussions between Taiwan and the United States aimed at producing a c o p y r i g h t agreement.
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A l t h o u g h prosecutions for infringement increased substantially and some of the more visible forms of piracy diminished appreciably, the problems prompting these reform measures continued into the late 1980's. Counterfeiting of computer hardware and software, electronic g o o d s , v i d e o and audio cassettes, watches, t e x tiles, and a range of other products continued, in some instances being taken over from small-time back-alley pirates by more serious criminal elements. "Piracy is rampant in Taiwan. It is carried out openly and in defiance of the law," noted a local observer at a 1987 f o r u m sponsored by the American Institute in Taiwan ( A I T ) and the National A n t i - C o u n t e r f e i t i n g C o m m i t t e e . Others suggested that "despite protestations of innocence, the Taiwan government is . . . aware of w h a t is g o i n g on [by w a y of counterfeiting] . . . T a i w a n ese counterfeiters use the Trademark Office as a positive aid in their stealingsearching to discover the potential of a trademark and then adapting a product to fit i t . " M u c h the same sentiment w a s e x pressed by those alarmed at the government's seeming willingness to tolerate continued pirating of the Encyclopaedia Britannica, supposedly in retaliation for its A m e r i c a n publishers having prepared a special bilingual edition for sale in the P R C .
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B e l i e v i n g the problem to be worsening, in the late 1980's, the

102 / As Pirates B e c o m e Proprietors U . S . g o v e r n m e n t adopted a more aggressive stance. Foreign i n fringement was, as recounted above, nothing new, but during the Reagan administration, A m e r i c a n companies succeeded in linking intellectual property protection and international trade by w a y b o t h of diagnosing w h a t ailed their nation's e c o n o m y and of prescribing a r e m e d y for those ails. T h e burgeoning trade deficit, w h i c h was especially large w i t h the nations of East Asia, w o u l d have been far smaller, they contended, had those very nations purchased, rather than pirated, A m e r i c a n intellectual property. O n l y by conditioning the access of exports from these nations to the U . S . market on greater protection, the argument continued, w o u l d such abusive practices cease.
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"Special 301" w a s the vehicle through w h i c h the linkage w a s to be effected. A part of the O m n i b u s Trade and Competitiveness A c t of 1988, Special 301 is a variant of Section 301 of the 1974 Trade A c t that requires the U S T R both to notify the Congress regularly of "priority foreign countries" failing adequately to protect A m e r i c a n intellectual property and to take all measures needed to address these deficiencies w i t h i n statutorily mandated deadlines. To enhance the effectiveness of Special 301 as a negotiating tool, soon after the law's passage, the U S T R additionally commenced the compilation o f b o t h a "priority watch list" and a "watch list" for nations that did not yet warrant designation as "priority foreign countries" but m i g h t if their standard of protection did not i m p r o v e .
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In M a y 1989, the U S T R placed the R O C on its priority watch listthereby sparking an intense diplomatic struggle that has yet fully to be r e s o l v e d . K n o w i n g that a failure to reach agreement w o u l d result in the R O C being named a priority foreign country, w h i c h , in turn, could lead to retaliatory measures limiting access to the U . S . market, the A I T and the Coordination C o u n c i l for N o r t h A m e r i c a n Affairs ( C C N A A ) engaged i n what one k n o w l e d g e a b l e observer has termed "the most difficult. . . trade talks" yet b e t w e e n the U n i t e d States and the R O C . T h e result, initialed in July 1989, w a s a comprehensive pact in w h i c h the R O C ' s negotiators agreed to undertake changes intended to address long-standing A m e r i c a n concerns. Proposals to amend the R O C ' s C o p y r i g h t L a w covering matters such as first sale, public performance, translation rights and the duration of copyright w o u l d be forwarded to the Legislative Y u a n , w h i l e steps w o u l d be taken administratively to improve the
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As Pirates B e c o m e Proprietors / 103 enforcement of those laws already on the b o o k s . Pleased w i t h these promises, in N o v e m b e r 1989, the U S T R m o v e d Taiwan from the priority w a t c h list to the less threatening regular watch list. If A m e r i c a n interests were at first pleased w i t h the 1989 agreements, the same could not be said for many in the R O C . N e w s p a p e r and other commentators denounced American pressure, arguing, in the w o r d s of the Jingji ribao (Economics D a i l y ) , that the " g o v e r n ment should not rush out to legislate laws that benefit others and harm our o w n . " Chinese academic observers echoed that sentiment, contending that U . S . negotiating techniques and subsequent pressure on Taipei to "request its judges to mete out more severe sentences in infringement cases" and provide Washington w i t h m o n t h l y statistics o f enforcement performance" infringed R O C sovereignty. Indeed, some w e n t so far as to denounce R O C lawyers w h o had represented A m e r i c a n intellectual property holders in T a i w a n as "traitors" (hanjian). A n d even members o f the R O C negotiating team, including one of its leaders, Executive Secretary Louis W a n g (Wang Chuanlu) o f the Ministry o f Interior's C o p y r i g h t C o m m i t tee, expressed their concern, threatening to resign in order to draw further attention to what they described as American excesses.
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T h i s anger helps explain w h y the agreements w r u n g so painfully from the R O C had little real effect. If modest progress was made w i t h respect to traditional forms of infringement, such as the sale of $10 " R o l e x " watches on street corners and unauthorized reprints of A m e r i c a n texts, there was more than a countervailing increase in more sophisticated and costly types of infringement, particularly w i t h regard to software and audio materials. N o r did an amendment to the C o p y r i g h t L a w designed to halt the unauthorized c o m mercial screening of American and other films staunch the flow of business at Taipei's notorious M T V (movie television) parlors. A n d the government's much-vaunted mechanisms to prevent the e x p o r tation of infringing g o o d s proved of scant value, as the "elaborate trademark screening program for exports" established in 1985 failed to result in even a single exporter losing its export license during its first six years of operation.
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T h e s e and other instances of the R O C ' s perceived u n w i l l i n g ness to m o v e rapidly e n o u g h to give effect both to the letter and spirit of the 1989 agreement did not escape notice. As early as 1990, Eric Smith, general counsel for the International Intellectual P r o p -

As Pirates B e c o m e Proprietors / 105 outlawed, the copyright term was extended to life plus 50 years, penalties for infringement were substantially stiffened (to include, inter alia, destruction of infringing materials) and a number of other changes designed to accommodate foreign intellectual property holders w e r e m a d e . A l t h o u g h the 1992 amendments represented what one Taiwanese specialist has described as the "largest scale amendment [of Chinese] c o p y r i g h t law [since] . . . 1928," the U S T R believed that their passage alone did not fully c o m p l y w i t h the changes in copyright law called for in 1989 A I T - C C N A A agreementparticularly w i t h respect to matters such as parallel imports, public performance, fair use and retroactive protection. Nor, of course, did these amendments speak to other areas of intellectual property law troubling to the U n i t e d States or to the issue of enforcement in general.
71 72 73

A c c o r d i n g l y , on June 5, 1992, the A I T and C C N A A reached an "understanding" designed to address these matters. " T h e authorities represented by the C C N A A " pledged to use their "best efforts" to secure ratification of the 1989 bilateral agreement as soon as p o s sible and, in any event, no later than January 31, 1993. In addition, the R O C agreed to submit to the Legislative Yuan amendments to the R O C ' s patent and trademark laws and to draft cable television, trade secret, and semiconductor protection laws designed to bring the R O C into compliance w i t h the standards articulated in the s o called D u n k e l draft o f the U r u g u a y Round o f the G A T T trade n e g o tiations. A n d to improve the quality of enforcement, the June 5 understanding called on the R O C to issue "directions to the p u b lic prosecutors to . . . consider the adverse impact of counterfeiting activities on the [nation's] e c o n o m y and international image . . . [and therefore] to request a stiff penalty" and also to step up export monitoring, crack d o w n o n unlawful operators o f M T V studios and cable stations, and to compile detailed statistics that w o u l d facilitate periodic r e v i e w o f the R O C ' s intellectual property r e g i m e .
74 75 76

Far from resolving a nettlesome controversy, the June 5 understanding seems to have exacerbated it, principally because of the w a y s in w h i c h the negotiated settlement evoked tensions regarding both the allocation of p o w e r in Taiwan's increasingly democratic political life and the island state's international posture, especially vis-a-vis the U n i t e d States. Critics of the G u o m i n d a n g in particular and of the R O C ' s long-standing subordination of the Legislative
77

104 / As Pirates B e c o m e Proprietors erty Alliance (IIPA), observed that "enforcement in the copyright area has fallen off since Taiwan pledged to improve its law," raising questions, as he put it, about the seriousness of Taipei's c o m m i t m e n t . In 1991, "Taiwan accounted for approximately 70 percent of C u s t o m s seizures of infringing computer and electronic products imported into the United States." A n d a year later, counsel for a major A m e r i c a n software producer declared that Taiwan remained the w o r l d ' s biggest source of counterfeit software. N o r were these v i e w s limited to foreign observers. So it was that the former general manager of the Microsoft Corporation's Taiwan operations could declare in 1992 that "90 per cent of the pirated software we [ M i c r o soft] uncover in the w o r l d market originates in T a i w a n . " Similar sentiments w e r e expressed by Simon Huang, executive vice president o f the R O C ' s largest domestic producer o f software, w h o also indicated in 1992 that "at present for every one copy of legal software in the domestic market, there are three pirated copies in use. . . . People don't expect to pay for s o f t w a r e . "
63 64 65 66

Spurred by the complaints of the IIPA and a g r o w i n g number of associations and individual companies, early in 1992, the U S T R again turned its attention to the R O C . Bitter negotiations, described "as the most contentious . . . in years" ensued, but for months yielded no results, notwithstanding far from subtle intimations by the U S T R that continued R O C resistance might complicate A m e r i can support for Taipei's accession to the G A T T . Exasperated, on A p r i l 29, 1992, the U S T R finally designated Taiwan a "priority foreign c o u n t r y " pursuant to Special 301, terming it "a center for c o p y right piracy and trademark counterfeiting of U . S . p r o d u c t s . " In compliance w i t h Special 301, a formal investigation was launched, requiring the U S T R within a six-month period either to resolve the p r o b l e m or recommend the imposition of sanctions.
67 6 8 69

T h e U S T R ' s decision to deploy what some have termed the "nuclear w e a p o n of trade remedies" (i.e., better brandished than detonated) did not escape Taipei's attention. Within a w e e k , President Lee Teng-hui expressed his concern and called on the E x e c u tive, Legislative, and Judicial yuan to take the steps needed to defuse this w e a p o n . Heeding President Lee's injunction, on M a y 22, the Legislative Y u a n approved amendments to the C o p y r i g h t L a w that had been under consideration for some t w o years. F r o m June 12, 1992, unauthorized translations of foreign-copyrighted w o r k s w e r e
70

As Pirates B e c o m e Proprietors / 105 outlawed, the copyright term was extended to life plus 50 years, penalties for infringement were substantially stiffened (to include, inter alia, destruction of infringing materials) and a number of other changes designed to accommodate foreign intellectual property holders w e r e made. A l t h o u g h the 1992 amendments represented what one Taiwanese specialist has described as the "largest scale amendment [of Chinese] c o p y r i g h t law [since]. . . 1 9 2 8 , " the U S T R believed that their passage alone did not fully c o m p l y w i t h the changes in copyright law called for in 1989 A I T - C C N A A agreementparticularly w i t h respect to matters such as parallel imports, public performance, fair use and retroactive protection. N o r , of course, did these amendments speak to other areas of intellectual property law troubling to the U n i t e d States or to the issue of enforcement in general.
71 72 73

A c c o r d i n g l y , on June 5, 1992, the A I T and C C N A A reached an "understanding" designed to address these matters. " T h e authorities represented by the C C N A A " pledged to use their "best efforts" to secure ratification of the 1989 bilateral agreement as soon as p o s sible and, in any event, no later than January 31, 1993. In addition, the R O C agreed to submit to the Legislative Yuan amendments to the R O C ' s patent and trademark laws and to draft cable television, trade secret, and semiconductor protection laws designed to bring the R O C into compliance w i t h the standards articulated in the s o called D u n k e l draft o f the U r u g u a y Round o f the G A T T trade n e g o tiations. A n d to improve the quality of enforcement, the June 5 understanding called on the R O C to issue "directions to the p u b lic prosecutors to . . . consider the adverse impact of counterfeiting activities on the [nation's] e c o n o m y and international image . . . [and therefore] to request a stiff penalty" and also to step up e x p o r t monitoring, crack d o w n o n unlawful operators o f M T V studios and cable stations, and to compile detailed statistics that w o u l d facilitate periodic review o f the R O C ' s intellectual property r e g i m e .
74 75 76

Far from resolving a nettlesome controversy, the June 5 understanding seems to have exacerbated it, principally because of the w a y s in w h i c h the negotiated settlement evoked tensions regarding both the allocation of p o w e r in Taiwan's increasingly democratic political life and the island state's international posture, especially vis-a-vis the U n i t e d States. Critics of the G u o m i n d a n g in particular and of the R O C ' s long-standing subordination of the Legislative
77

106 / As Pirates B e c o m e Proprietors Y u a n more generally were quick to attack the Executive Y u a n for usurping the legislature's responsibilities by committing it to pass particular measures into law within a set period of t i m e . M o r e over, they and others indicated, the June 5 understanding constituted a "national humiliation," in that Taipei was allowing the United States not only to dictate to its elected representatives, but also to demand an even higher standard of protection than required by the B e r n e C o n v e n t i o n . This was especially irksome in v i e w of the unwillingness of the United States to support Taiwan's participation in B e r n e or any other multilateral intellectual property agreement. Small wonder, then, that legislators belonging to the opposition D e m o c r a t i c Progressive Party "demanded that details of the . . . negotiation process be released and called for the punishment of R O C n e g o t i a t o r s , " w h i l e others abandoned use o f the traditional C h i n e s e term for traitor (hanjian, or, literally, one w h o betrays the Han) in favor of the phrase taijian (literally, one w h o betrays Taiwan) to denounce ardent supporters of the understanding.
78 79 80 81

As legislatures w o r l d w i d e are w o n t to w h e n dealing w i t h difficult matters, the Legislative Yuan delayed taking action until the eleventh hour before ratifying the 1989 agreement days ahead of the January 31, 1993 deadline. In finally ratifying it, however, the legislature added no fewer than eight reservations to the 22-article pact. A l t h o u g h those reservations concerning parallel importation, public performance, and retroactivity, in particular, cut back on provisions of the agreement that the United States had emphasized, members of the Legislative Y u a n believed them to be contrary either to the R O C ' s C o n s t i t u t i o n or law, or to exceed international norms.
82

T h e A m e r i c a n reaction was unambiguous. Trade associations and individual companies alike plied the U S T R and the C o n g r e s s w i t h data suggesting that piracy was increasing on Taiwan. T h e IIPA, for example, contended that copyright counterfeiting alone in 1992 was double that of 1991 and j o i n e d w i t h a host of other entities in identifying the Taiwan situation as a first priority, leading one veteran R O C observer to suggest that in spite of years of trade negotiations, " T a i w a n remains the jurisdiction where the broadest segment of U . S . industry continues to face its most pernicious counterfeiting and IP protection p r o b l e m s . " Even discounting for industry hyperbole, it was evident that American business was unwilling to accept the compromise put forward by the Legislative Y u a n .
83

As Pirates B e c o m e Proprietors / 107 For its part, the U S T R indicated that the reservations were unacceptable, save for a modest exception to the ban on parallel i m p o r tation. If the R O C persisted, cautioned the U S T R , there w o u l d be no alternative but to once again designate Taiwan a priority foreign country. In that situation, the U . S . government w o u l d be free to retaliate against its exports immediately without even the six-month investigation period required for first-time offenders. Retaliation, it was suggested, could w e l l entail both the imposition of a large punitive tariff or sharp quantitative restrictions on R O C exports and a diminution o f U . S . support for Taiwan's G A T T application.
84

T h e U S T R ' s threats triggered a sharp decline in the Taipei stock exchange and led President Lee personally to take active part in trying b o t h to convince legislators of the need for action and to encourage greater vigilance on the enforcement side. Finally, on A p r i l 26, 1993, the Legislative Yuan ratified the 1989 agreement in a manner satisfactory to the A m e r i c a n side, but not w i t h o u t adding measures designed to deter the Executive Y u a n from again unilaterally binding the legislature. In return, w h e n releasing its annual listing of nations misusing A m e r i c a n intellectual property on A p r i l 30, the U S T R chose n o t to designate T a i w a n as a priority foreign country but instead to place it on the priority watch list. There the R O C remained, notwithstanding Taipei's subsequent passage of legislation intended to deter infringement by cable television operators and the launching of a so-called Comprehensive A c t i o n Plan for the P r o tection of Intellectual Property Rights that, inter alia, calls for the establishment of special intellectual property court chambers and of a n e w agency w i t h a mandate to improve coordination between the governmental entities dealing w i t h intellectual property matters, the police, and the c o u r t s . A n d there, according to U S T R M i c k e y Kantor, T a i w a n is likely to remain until the Legislative Y u a n undertakes significant additional measures regarding copyright, patent, and trademark.
85 86 87

T h a t A m e r i c a n pressure has been the immediate catalyst for an unprecedented revision of intellectual property law in the R O C is undeniable. B u t for the specter both of a diminished access to its largest e x p o r t market and of alienating its most important ally, the R O C w o u l d not have amended its copyright and other intellectual property laws in the w a y or at the pace it has since 1989. N o n e theless, foreign pressure alone provides neither a full explanation

108 / As Pirates B e c o m e Proprietors of the legal reforms that have already occurred nor, more i m p o r tant, a basis for inculcating the appreciation for intellectual property rights necessary if these laws are to take hold in a sustained fashion and thereby attain their stated goals. After all, w e r e foreign pressure as certain an answer as its proponents believe, w h y was the R O C able to resist it for decades during w h i c h the island state w a s h i g h l y dependent on U . S . economic and military support, only to yield to it at a time w h e n Taiwan has the world's largest per capita foreign currency reserves and has carved out its o w n position in the international c o m m u n i t y ?
88

An answer to this question lies in extraordinary economic, political, technological and diplomatic changes that have occurred in Taiw a n over the past decade and their implications for the society and its culture. Taiwan's explosive economic expansion, increasing awareness of the need for indigenous technology, ever-more-pluralistic political and intellectual life, g r o w i n g commitment to formal legal processes, and international aspirations have made evident the need for intellectual property law and nurtured domestic constituencies w i t h g o o d reasons for supporting it. On the e c o n o m i c front, it is evident that the type of l o w - w a g e , l o w - t e c h n o l o g y exports that fueled Taiwan's phenomenal g r o w t h of prior decades no longer w i l l suffice to nurture the quality of life to w h i c h its people have become accustomed. As both government and industry have discerned, the R O C needs to generate its o w n w o r l d class t e c h n o l o g y if, in the years ahead, it is to compete w i t h other advanced economies. Greater protection for intellectual property, in the w o r d s of the former Minister of E c o n o m i c Affairs V i n c e n t Siew, "is crucial to Taiwan's o w n industrial upgrading, [as] inadequate efforts . . . w o u l d dampen research and d e v e l o p m e n t . " So it is that groups as varied as entrepreneurs involved in the famed X i n zhu science park, engineers behind the R O C ' s burgeoning software business, publishers confronted w i t h mainland piracy and many in the indigenous film and entertainment industries, among others, have of late raised voices in support of stronger protection.
90 91 89

N o r are such concerns limited only to those at the cutting e d g e as evidenced by the budding concern of local businesses for trademark protection. At one time, so m u c h of the R O C ' s industrial o u t put w a s marketed under foreign brand names that one foreign w a g suggested that Taiwan was not "an exporting nation . . . but simply

As Pirates B e c o m e Proprietors / 109 a collection of international subcontractors serving the A m e r i c a n m a r k e t . " B u t n o w locally developed trademarks such as K e n e x , A c e r , and Ta-t'ung have developed such a high reputation for quality that they have become the victims of infringement both at h o m e and abroad. It ought, therefore, not to be particularly surprising that a range of actors, including the august Chinese National Federation of Industries, representing many of the R O C ' s largest businesses, have taken to l o b b y i n g for more serious trademark protection. T h e s e innovators and entrepreneurs w o u l d not have been able to g i v e voice to such concerns, however, had it not been for the R O C ' s o n g o i n g political transformation. O v e r the course of the past decade, the R O C has in many respects transformed itself from a h i g h l y centralized single-party state to a vibrant multiparty democracy. To be sure, the G u o m i n d a n g ' s efforts to retain a high degree of c o n trol over electronic media and otherwise keep its upper hand in the political process, as w e l l as the corruption that cuts across party lines, continue to impede this e v o l u t i o n . Nonetheless, the changes under w a y are clearly w i t h o u t precedent in Chinese (or, for that matter, m u c h of world) history and are seemingly irreversible.
92 93 94 95

If Taiwan's g r o w i n g democratization has complicated the c o n clusion of a copyright agreement w i t h the United States by virtue of introducing multiple voices into the negotiating process, it has also helped diminish Chinese civilization's long-standing link b e tween censorship and copyright, while additionally facilitating circumstances conducive to expanding sharply the numbers and range of persons interested in having their voices heard. Prior to the late 1980's, through both direct and indirect means, such as the "three limitations" (san xian), the G u o m i n d a n g had, in the m o d e of its predecessors, essentially retained a high degree of control over print m e d i a . B u t by 1988, the substance, if not the form, of such c o n trol fell a w a y dramatically, g i v i n g rise to as varied and independent an array of publications as has ever existed in a Chinese society. O p e r a t i n g in and reinforcing a setting of increasing pluralism, these media have created unparalleled opportunities for the expression of v i e w s other than those of the state and party. A n d this, in turn, has added appreciably to the core of persons interested for political, as w e l l as e c o n o m i c , reasons in the public use of their w o r d s , and so in the concerns addressed through copyright.
96 97

T h e political liberalization of the past decade has also, at least in-

110 / As Pirates B e c o m e Proprietors directly, enhanced the viability of the R O C ' s courts as a venue for the resolution of problems concerning intellectual property, as w e l l as civil disputes m o r e generally. For many years, the judicial s y s tem on Taiwan suffered problems comparable to those that afflicted R O C courts on the mainland prior to 1949 and that beset P R C courts to this day. Burdened w i t h an excessive number of persons of less than optimal competence, integrity, and independence and saddled w i t h substantive and procedural laws that all too often bore little relation to local conditions, the court system w a s seen m o r e as an obstacle than a means of remedying infringement and associated difficulties.
98

In recent years, however, the R O C ' s judicial system has b e g u n to change. Spurred by a democratizing society increasingly able to e x press its concern that justice be done and by the b r e a k d o w n , thanks to urbanization, industrialization, and internationalization, of traditional fora for the resolution of disputes, the courts have been broadening their mandate b e y o n d the maintenance of order. W i t h this has c o m e a continuing effort to upgrade the status, quality, and independence of the judiciary, the public and private bars, and other personnel associated w i t h the administration of j u s t i c e . A n d although questions remain, the political, societal, and economic factors that have been so central in the courts' improvementand w i t h it, the willingness of intellectual property holders to use t h e m seem certain to persist.
99

T h e prospect for Taiwan of playing a n e w and bolder role on the w o r l d stage provides yet another rationale for supporting intellectual property laws. With the end of the C o l d War in Europe and the changing character of communist rule on the Chinese mainland, the R O C n o w finds itself w i t h both the opportunity and a g o o d deal of domestically generated pressure to assume a more v i g o r ous stance internationally. T h i s may mean not only j o i n i n g key e c o n o m i c entities such as G A T T but also efforts to secure further international legitimation through such measures as m e m b e r ship in the United Nations or the judicious use by Taipei of its n e w f o u n d wealth to foster w o r t h y developmental or educational endeavors abroad. B u t whatever may be entailed, it is clear that T a i w a n ' s lingering image as a haven for counterfeiting that fails to live up to international norms despite great prosperity impedes the drive t o w a r d greater international involvement and respectability.
100 1 0 1 102

As Pirates B e c o m e Proprietors / 111 T h a t e c o n o m i c g r o w t h , political liberalization, diplomatic a m b i tion, and other indigenous concerns, as well as external pressure, are fostering a greater regard for intellectual property law in the R O C by no means ensures that Taiwan w i l l soon cease to be perceived as the land of $10 R o l e x watches and k n o c k e d - o f f software. But, over time, it does suggest that A l v i n T o n g w i l l have more important c o n cerns about w h i c h to think than "twist[ing] the arms of [his] . . . engineers to file a patent."

Six

No Mickey Mouse Matter: U.S. Policy on Intellectual Property in Chinese Society

As far as intellectual p r o p e r t y is concerned, the practice o f the U n i t e d States asking large n u m b e r s o f C h i n e s e students to stay in the U n i t e d States is itself a b i g p l u n der o f intellectual property. W a n g K e , "Essence o f Escalation o f S i n o - U S . T r a d e Frictions" (January 5, 1992)

T h e occupation of Tiananmen Square in late M a y 1989 by thousands of Chinese students, workers, and other citizens stirred the imagination of millions throughout the world, but evoked far less response from the U . S . government than did the possibility of successfully concluding discussions then under w a y w i t h the P R C concerning intellectual property protection. T h e Bush administration's p r o fessed concern about interfering in China's internal affairs, w h i c h supposedly constrained it from pushing w i t h vigor, either publicly or privately, for a peaceful resolution of the occupation of the square, simply did not carry over to intellectual property. Instead, even as tensions mounted between hunger strikers in the square and elders of the Chinese C o m m u n i s t party, the U . S . government repeatedly threatened the P R C w i t h massive and unprecedented trade sanctions if C h i n a did not promise to devise legal protection for computer software to A m e r i c a ' s liking. A n d so it was that as the Chinese g o v e r n m e n t spent M a y 19 putting the finishing touches to the declaration of martial law that was to signal a tragic end to the Beijing
1 2

No M i c k e y M o u s e Matter / 113 Spring of 1989, American negotiators were busy putting their o w n finishing touches to a m e m o r a n d u m regarding computer software protection. T h e decisions that led the U . S . government to pay insufficient heed to the epochal events culminating on June 4, 1989, and instead to devote a g o o d l y portion of its available diplomatic leverage to securing promises about software, were neither inadvertent nor passing tactical errors. On the contrary, they exemplify the h i g h priority that intellectual property protection has assumed in A m e r i can foreign policy w i t h respect to the Chinese w o r l d and b e y o n d since the m i d 1980's, and the concomitant conviction that the key to securing such protection is the passage of n e w legislation, t h r o u g h pressure if need be. As discussed in chapter 5, the B u s h and C l i n ton administrations have made intellectual property a centerpiece of A m e r i c a ' s quasi-official relations w i t h Taipei. N o r has Taipei been singled out in this respect. Even after the tragic ending of the o c c u pation of Tiananmen Square and the resultant expansion of concern in the U n i t e d States about human rights in the P R C , intellectual property issues have remained at or very close to the forefront of the U . S . negotiating agenda w i t h Beijing.
3

T h e degree to w h i c h intellectual property protection became a defining issue in relations w i t h the P R C is graphically illustrated by an extraordinary series of events that occurred late in the B u s h administration, leading up to the conclusion of the bilateral M e m o r a n d u m of Understanding on Intellectual Property ofjanuary 17, 1992. In N o v e m b e r 1991, then Secretary of State James Baker made the first visit to C h i n a by an American cabinet officer since the crushing of the Beijing Spring m o v e m e n t of 1989. Picking up on increasingly direct messages delivered by lower-level officials throughout the preceding t w o years, Baker informed the Chinese that the misuse of A m e r i c a n intellectual property stood w i t h the sales of weapons of mass destruction to international outlaws such as Iran and abuses of fundamental human rights as one of three issues impeding better bilateral relations. On D e c e m b e r 16, the U . S . government m o v e d to separate out and highlight intellectual property, as U S T R Carla Hills delivered an ultimatum demanding that Beijing agree w i t h i n a month's time to rewrite its intellectual property laws to the satisfaction of Washington or face the imposition of hundreds of millions o f dollars o f punitive tariffs.
4 5

Within days, Beijing responded in kind to the Hills ultimatum,

114 / No M i c k e y M o u s e Matter indicating that it m i g h t impose comparable tariffs on A m e r i c a n e x ports to C h i n a . T h i s , in turn, led the B u s h administration, w h i c h t h r o u g h o u t its tenure had steadfastly resisted congressional efforts to limit M F N preferential tariff rates for C h i n a on human rights or any other grounds, to threaten to end M F N , discourage further A m e r i c a n investment i n China, and impede the P R C ' s G A T T application. Faced w i t h the most substantial threats made against it by the U n i t e d States in over t w o decades, hours before Ambassador Hills's deadline, Beijing capitulated and signed the desired agreement. B u t the deal was not w i t h o u t its benefits for Beijing, as to compensate for the bitterness of the negotiations, President B u s h agreed to receive Premier Li Peng, a principal architect of the suppression of 1989, a mere fortnight later, thereby "implicitly c o m p l e t i n g ] Peking's [post-Tiananmen] diplomatic rehabilitation."
6 7 8

D u r i n g its first year and a half in office, the C l i n t o n administration does not appear to have steered a substantially different course from that of G e o r g e Bush. Indeed, it has exhibited an even greater singularity of purpose regarding intellectual property in relations w i t h Taipei than its predecessor, demanding, as outlined in chapter 5, that further law reform be undertaken to A m e r i c a n specifications on Washington's timetable. Little attention seems to have been devoted to the possibility that such demands may have placed R O C negotiators in a difficult position constitutionally and in a more v e x ing one politically in terms of the intricate internal underpinnings o f the R O C ' s unprecedented moves toward greater democratization and a more active role on the w o r l d stage. In its dealings w i t h Beijing, the C l i n t o n administration initially suggested that it was placing a greater emphasis on human rights and strategic concerns than its predecessors, but as the seeming costs to A m e r i c a n e x p o r t ers of stressing such concerns have become more apparent, it has, in the w o r d s of New York Times diplomatic correspondent T h o m a s Friedman, "put human rights issues on the back burner," w i t h the result that "one of the main sources of friction between W a s h i n g ton and Beijing w i l l be over trade issues and particularly copyright violations" as evidenced in U S T R Kantor's June 30, 1994 decision to designate the P R C a "priority foreign country" under the so-called Special 301 provision of the 1988 Trade A c t .
9

That, in spite of their other differences, Republican and D e m o cratic administrations should have made intellectual property issues

No M i c k e y M o u s e Matter / 115 so central a feature of S i n o - A m e r i c a n relations is not surprising w h e n one considers the manner in w h i c h affected A m e r i c a n industries have b r o u g h t such concerns to the foreground politically, c o m m e n c i n g in the mid 1980's. A l t h o u g h counterfeiting had long been a p r o b l e m , it w a s at that time that key domestic industries succeeded in fostering a politically potent perception that their losses w e r e linked to the nation's larger trade difficulties. Calculating losses on the presumption that current infringers w o u l d buy at list price rather than cease using their products, they contended that infringement accounted for m u c h of the burgeoning U . S . trade deficit especially in East A s i a a n d , moreover, that it threatened those v e r y service and h i g h - t e c h n o l o g y industries on w h i c h a rosier future w a s supposed to be based. For politicians, the possibility of shifting attention a w a y from America's seemingly intractable domestic e c o n o m i c problems and onto foreignersand particularly distant foreigners w h o neither purchased our goods in abundance nor s h o w e d c o m p u n c t i o n about misappropriating the fruits of our t e c h n o l o g i cal p r o w e s s w a s too tempting to resist. A n d the fact that a sizable number of the key industries raising these concerns w e r e located in such electorally important areas as Southern and Northern C a l i f o r nia, Texas, and N e w Y o r k , and w e r e involved in mass c o m m u n i c a tions, only made such temptations more appealing.
10

To be sure, the unprecedented pressure brought to bear by the B u s h administration did lead to the signing of a so-called M e m o randum of Understanding, in w h i c h C h i n a pledged to strengthen its principal intellectual property laws. As regards patent, the P R C agreed to revise its Patent L a w to extend the term of invention patents to 20 years; to cover pharmaceutical, chemical, and alimentary products; to enhance process patent protection; and to ease c o m pulsory licensing requirements. W i t h respect to copyright, C h i n a agreed to accede to the Berne C o n v e n t i o n prior to the end of 1992, and to the G e n e v a P h o n o g r a m s C o n v e n t i o n no later than June 1, 1993; to treat software as a literary w o r k deserving of protection even in the absence of formal registration; and to provide at least some modest limits on open-ended provisions that had the effect of treating materials already published as in the public domain. A n d additional promises w e r e made to use "best efforts" to promulgate trade secrets legislation prior to January 1, 1994, and to develop more "effective procedures" in the trademark area.
11

1 1 6 / N o M i c k e y M o u s e Matter T h e P R C has, indeed, carried through on the formal c o m m i t ments made in the January 1992 M e m o r a n d u m of Understanding certain of w h i c h it had already begun contemplating making. T h e Patent L a w has been revised to incorporate measures discussed in the M e m o r a n d u m . Beijing has not only acceded to the Berne, Geneva, and Universal C o p y r i g h t conventions, but has also issued regulations reaffirming Article 142 of the General Principles of the C i v i l L a w , w h i c h provides that treaty obligations are to prevail in the event that they conflict w i t h municipal l a w . A n e w AntiUnfair C o m p e t i t i o n L a w provides China's first direct protection for trade secrets. A n d the Trademark L a w has been amended to cover service marks, simplify opposition and cancellation procedures, heighten penalties for infringement, and take a number of more modest steps to i m p r o v e this area of the law.
12 13

Clearly, C h i n a ' s agreement in January 1992 to supplement its intellectual property laws, and the steps taken thereafter to amend doctrine, offered advantages to both sides. At an immediate level, one of the most serious, if little publicized, disputes between the t w o nations in decades was, at least in the short term, defused. M o r e substantively, both countries have benefited from China's elaboration of its formal legal regime in an area of g r o w i n g importance and i n creasing complexity, just as efforts to bring the law closer to broadly f o l l o w e d international standards facilitate a policy of integration into the w o r l d e c o n o m y . A n d at a more general level, the further articulation of rights, albeit in a highly formalistic fashion, can be said to have laid another stepping-stone on the long path t o w a r d a society more shaped by legality, or at least to have established an ever more finely calibrated standard against w h i c h to measure the C o m m u n i s t party's ability to live up to its promises.
14 15

Whatever advantages these steps may be seen as having provided, it is critical that one not equate the promulgation of n e w l a w on intellectual property w i t h a meaningful transformation of C h i n e s e life, notwithstanding the tendency of both the P R C and U . S . g o v ernments, each in its o w n way, to impart the impression that this is the case. For although it is as yet too early to reach a definitive j u d g m e n t as to the full effect of what might be termed a second generation of p o s t - C u l t u r a l Revolution intellectual property laws, there is also no indication that these n e w laws are meaningfully altering prior practice in this area, even taking into account m u c h 16

No M i c k e y M o u s e Matter / 117 publicized government propaganda efforts associated w i t h their p r o mulgation. On the contrary, one might well contend that the v e r y tensions that marked the P R C ' s first generation of intellectual p r o p erty l a w s , as w e l l as the post-Cultural Revolution law reform effort more generallyand, in each instance, limited the realization of stated objectivesremain essentially unaltered in the n e w generation of intellectual property laws and, for that matter, the o n g o i n g project o f l a w reform.
17

As discussed in chapter 4, the P R C ' s early p o s t - C u l t u r a l R e v o l u tion l a w reform efforts in general were characterized by the creation of rights w i t h o u t adequate provision for their realization. M o r e recent measures do help to clarify many ambiguities and fill in gaps, and as such have, some w o u l d contend, b e g u n the process of establishing meaningful municipal standards, departure from w h i c h w i l l entail sanctions. Nonetheless, even granting this point, these measures neither address the problem of an insufficiency of remedial measures in contemporary Chinese doctrine nor speak to the more difficult questions involved in fostering institutions and values that m i g h t make possible a fuller realization of those rights provided. T h u s , even after the revisions of the 1990's, P R C intellectual p r o p erty l a w on its face either still fails sufficiently to address the issue of remedies, as in the cases of patent and copyright, or remains heavily dependent on administrative remedies redolent of the days of the controlled economy, as in the case of trademark. B u t even if remedies that parties could invoke and shape w e r e stated more fully, the institutional vehicles through w h i c h these might be realized be they administrative or judicialremain insufficiently independent and professional. A n d , perhaps most vitally, before even those remedial measures and institutions that do exist can be fully utilized and others advanced, there remains a need further to foster w h a t m i g h t be called a rights consciousnessthat is, a belief that individuals are e n d o w e d w i t h rights that they are entitled to assert even w i t h respect to those in positions of authority. W h i l e it w o u l d be disingenuous to suggest that a foreign g o v ernment unable to preserve the integrity of M i c k e y M o u s e s o m e h o w can and should play an important role in seeking to transform another people's attitudes toward rights, it is a contention of this study that a p o l i c y consisting in large measure of the use of e x t e n sive pressure to secure formal modifications of doctrine is deeply

1 1 8 / N o M i c k e y M o u s e Matter flawed in both its m e t h o d o l o g y and its objectives, and ultimately self-deluding as to the process and implications of legal change. T h e ready and frequent use by one nation of massive threats to secure changes in the municipal laws of another sovereign state may e x tract short-term concessions designed chiefly to ease such pressure, and m a y even help set in place standards against w h i c h a nation's citizens m a y be able to assess their government's willingness to adhere to its o w n rules. It is, however, incapable of generating the t y p e of domestic rationale and conditions needed to produce enduring change and, moreover, runs a serious risk of discrediting the very message it, at least ostensibly, is intended to impart of the need for a greater respect for rights and the legal processes through w h i c h they are to be protected. A r g u a b l y , this danger is accentuated w i t h regard to the P R C , w h e r e more than a century's history of foreign states' using their greater p o w e r to extract concessions in the name of legality and supposedly higher ideals has combined w i t h the current g r o w i n g abuse by powerful Chinese of legal process for private gain to p r o duce a widespread skepticism about appeals to the law. T h e further fact that one prominent end toward w h i c h such pressure has been b r o u g h t to bear and resisted in S i n o - A m e r i c a n relations during b o t h the 1900's and 1990's has been the promulgation of Westernstyle intellectual property law is surely ironic and reflective of the unduly static and monodimensional vision that both the U . S . and P R C governments have o f what legal change means. For w i t h o u t a concomitant nurturing of the institutions, personnel, interests, and values capable of sustaining a liberal, rights-based l e g a l i t y w h i c h has hardly been a prime concern of either A m e r i c a n or C h i n e s e negotiators at either the beginning or the end of the t w e n tieth centuryfreestanding foreign-derived rules on rarified private property rights, held in significant measure by foreign parties, are, ultimately, of limited utility. Stated differently, in its choice of means and ends, the United States has, in effect, devoted considerable diplomatic capital to securing concessions that fail meaningfully to speak to the chief impediments to the development in C h i n a of respect for legality and, through it, of a greater c o m m i t m e n t to the protection of intellectual property rights.
18

To take issue w i t h the means utilized and ends sought by the U n i t e d States in its dealings w i t h the Chinese w o r l d over intellec-

No M i c k e y M o u s e Matter / 119 tual property is not to suggest that foreign parties should desist from seeking to assert their interests or otherwise make their presence felt in the P R C or R O C . Clearly, in an increasingly interdependent w o r l d , w h e r e ideas, items, and individuals m o v e across borders in profusion, whether governments w i s h them to or not, that is no longer an option. Rather, it is to stress the need to w e i g h w i t h great care the rationale, character, and implications of such intervention prior to undertaking it; to emphasize the capacity of means to define, if not distort, ends; and to underscore the importance of remembering that the sovereign affairs of a state should ultimately be shaped principally by those w h o s e polity it is. I f the purpose o f U . S . policy toward the P R C concerning intellectual property is to secure meaningful protection for A m e r i c a n property interests, it is necessary, therefore, first to understand w h y such protection is no more readily available for Chineseas it is inconceivable that a system designed largely to protect the former, but not the latter could be sustained in modern China, given the bitter legacy of more than a century of foreign privilege. A l t h o u g h it is i m possible to prove a negative, and perhaps as difficult to isolate interw o v e n variables in the laboratory of life, this study suggests that we need to m o v e b e y o n d the written rule itself to a consideration of the broader social and intellectual circumstances, and, in particular, the political culture within w h i c h law arises and within w h i c h it must operate. O b v i o u s l y , political culture is an inexact notion, the c o n tents of w h i c h have hardly remained constant over four millennia of C h i n e s e history, interact w i t h e c o n o m i c and other variables, and in any event are not w h o l l y unique to C h i n a . Nonetheless, recognizing the limitations of this concept, it is a central contention of this b o o k that the most important factor in explaining the late appearance and relative insignificance of the idea of intellectual property in the C h i nese w o r l d lies in what, for lack of a better term, we might describe as its political culture, and especially in the central importance to the state, for purposes of legitimation and power, of controlling the flow of ideas. A system of state determination of w h i c h ideas may or m a y not be disseminated is fundamentally incompatible w i t h one of strong intellectual property rights in w h i c h individuals have the authority to determine h o w expressions of their ideas may be used and ready access to private legal remedies to vindicate such rights.
19

Political culture is not impervious to change, as the experience

120 / No M i c k e y M o u s e Matter of the R O C on Taiwan, to cite but one example, s h o w s . There, an extraordinary, if still e v o l v i n g , political liberalization has spawned an unprecedented degree of pluralistic expression and openness of association that, in conjunction w i t h the economic, diplomatic, and other factors discussed in chapter 5, offers the prospect of a more realistic foundation than has heretofore existed in the Chinese w o r l d for sustained support for intellectual property protection for both nationals and foreigners. Undoubtedly, such change is a far more uncertain and c o m p l e x proposition on the Chinese mainland, given its relative size, poverty, level of educational attainment, and the extent to w h i c h until recent years it has been isolated from alternative currents of political thought. Nonetheless, as suggested in chapter 4, even in the P R C , its beginnings are evident, although the state's ambivalence about the very rights it has been busy creating, and its concomitant hesitance to cede to individuals a greater capacity for enforcing them, raises questions as to the potential of such steps genuinely to transform fundamental tenets of Chinese political culture.
20

To the extent that political culture, broadly defined, has been a prime impediment to the g r o w t h of modern intellectual property law in the Chinese w o r l d , Americans interested in the protection of such rights w o u l d do well to concern themselves more directly w i t h it, for w i t h o u t further political liberalization and a greater c o n c o m i tant c o m m i t m e n t to the institutions, personnel, and values needed to undergird a rights-based legality, detailed refinements in intellectual property doctrine itself w i l l be of limited value. T h e challenges so posed are daunting, for by its very nature, political culture c o m prises enduring values and practices central to a nation's identity, w h i c h foreigners, perforce, should not too readily assume they have either the moral authority or capacity meaningfully to influence. Nonetheless, it is here that attention should be focused, for a state that encounters serious difficulties in protecting its citizens' basic civil and political rights is unlikely to be able to protect their p r o p erty rights, w h i c h in turn means that it w i l l be even less likely to protect the highly sophisticated property interests of foreigners. T h e question of w h a t constitutes fundamental civil and political rights also, of course, poses daunting challenges of definition, particularly if one subscribes to the idea that political culture and the differing historical experiences of w h i c h it in part consists are of c o n -

No M i c k e y M o u s e Matter / 121 sequence. It is not my intention here either to define the contours of such rights, b e y o n d referring to the broad standards set forth in the major international conventionscertain of w h i c h neither the P R C nor the United States have ratifiedor to attempt a precise delineation of the relationship between economic and social rights on the one hand and civil and political rights on the other. N o r am I seeking to endorse the alluring, but overly simplistic, equation that many Americans w o u l d make between concern over issues of human rights and a belief that China's shortcomings therewith w a r ranted a cessation of M F N f o r as I have suggested elsewhere, the M F N issue in many respects fell v i c t i m to domestic A m e r i c a n political considerations that obscured the search for convincing answers to the truly difficult question of what best advances the cause of international human rights in China (or other nations, for that matt e r . ) Rather, my point is to underscore my contention that the U n i t e d States w o u l d , in the end, have been far more pragmatic in advancing its intellectual property interests during M a y 1989 had it not expended considerable political capital on computer software protection, but instead used what leverage it had to more v i g o r o u s l y seek a resolution of the occupation of Tiananmen Square compatible w i t h respect for fundamental human rights, even while recognizing the limits of its ability definitively to shape such events.
22 21

D a u n t i n g t h o u g h they may be, the foregoing are not the only challenges confronting those w h o w o u l d hope to foster a greater respect for intellectual property and other legal rights in C h i n a . As the P R C ' s efforts at law reform proceed, there is a g r o w i n g need for vigilance as to w h o is seeking to use the law and toward w h a t end. O b v i o u s l y , such concern is necessary in any society, but both history and the novelty and fragility of many of P R C ' s n e w formal legal institutions underscore its importance in the current C h i n e s e context. Already, law is being enlisted in a highly instrumental fashion as a w e a p o n in intensifying struggles within and between units of g o v e r n m e n t and party, center and region, and various other entities and individuals. If rights are to be protected, legal reform w i l l need not only to facilitate the assertion by various entities and individuals of their particular interests, but also to provide a generalized and visible means through w h i c h competition between them can be fairly resolved.
23

C l o s e scrutiny w i l l also be necessary to discern and think t h r o u g h

122 / No M i c k e y M o u s e Matter the implications of h o w ministries and individuals once at the heart of the planned e c o n o m y and administrative state are now, under the rubric of reform, pouring forth a torrent of n e w and often highly parochial rules in order to recast themselves as agents of change, lay claim to resources, and ensure themselves an o n g o i n g role in t o m o r r o w ' s C h i n a . Advocates of the g r o w t h of respect for intellectual property rights w i l l need, for example, to assess carefully such seemingly unalloyedly positive undertakings as the S A I C ' s recent 6,000-strong cadre campaign against trademark infringement. A r e the benefits of reducing such counterfeiting w o r t h the risk of p r o v i d i n g an agency that in pre-reform days tightly oversaw virtually all facets of local commercial activity w i t h a ready excuse to exercise s w e e p i n g administrative authority over retail enterprises not c o n trolled by the state? Undoubtedly, many such entities are engaged in activities contravening intellectual property laws, and, indeed, w i t h further e c o n o m i c liberalization, and the resulting emphasis on profitability, they are prime candidates for carrying out further i n fringement. Nonetheless, these entities are among the most ardent advocates of the very economic reform that has facilitated m u c h of w h a t e v e r g r o w t h of intellectual property law has already occurred and that is in general bringing China closer to the w o r l d economy. A m e r i c a n s and other foreigners concerned about intellectual property rights may also have to face variants of this c o n u n d r u m w i t h respect both to access for Chinese g o o d s in their h o m e markets and competition from P R C entities more generally. Earnings from exports to major foreign markets and investment induced thereby have been important factors in enabling Chinese exporters, particularly in southeastern C h i n a , to enjoy autonomyprincipally e c o nomic, but in a modest, but g r o w i n g , degree politicalfrom central state and party authorities (if not always their local counterparts). If reform is to continue and if, in the future, Chinese enterprises are to accumulate sufficient capital from sources other than the state to conduct the research needed to develop commercially valuable intellectual property of their o w n , increased exports are a certainty. T h e U n i t e d States, to take but one example, already limits i m ports of textiles, shoes, and other labor-intensive items in w h i c h the P R C enjoys a comparative advantage, and, concerned about its b u r g e o n i n g trade deficit w i t h Beijing, Washington is making serious noises about i m p o s i n g further such restrictions. A l t h o u g h p r o v i d 24

No M i c k e y M o u s e Matter / 123 ing more open markets w i l l not necessarily directly produce a rapid g r o w t h of intellectual property law in the P R C , constricting access to the markets of major industrialized countries almost certainly w i l l retard it. Americans concerned about their intellectual property in the P R C w o u l d do well to recognize that the conditions likely to be conducive to the further g r o w t h of respect for intellectual property in C h i n a are those that may also dictate permitting P R C exports to compete more, rather than less, freely in the American marketplace. E m b e d d e d in the problems of increased infringement and further market access is a challengenamely, that the circumstances likely to lead to greater protection for intellectual property in the P R C are also likely to enhance China's overall capacity to compete w i t h the U n i t e d States economically. If it is true that serious p r o tection for foreign intellectual property in the P R C must await the further development of Chinese-generated intellectual property of commercial importance, it follows that a P R C w i l l i n g to accord A m e r i c a n holders of intellectual property more of the rights they n o w seek w i l l likely have many more enterprises that are technologically sophisticated and increasingly commercially competitive internationally. In short, the conditions that breed protection for intellectual property are also those that breed competition w i t h regard to intellectual property. A c k n o w l e d g e m e n t of the problems engendered by current efforts to graft limbs g r o w n in one setting onto trunks that have matured in another w i l l not of itself provide remedies to the many and v e x i n g problems of transplantation discussed in this b o o k . It may, h o w ever, reduce friction resulting from misunderstanding, w h i l e b r i n g ing into starker relief the difficult, but inescapable, questions that confront the P R C as it seeks to generate a legal system capable of serving nation building. For only if we have some understanding of w h y in C h i n e s e civilization it has been an elegant offense to steal a b o o k w i l l C h i n a and its foreign friends k n o w h o w in the future to discern and protect one another's legitimate interests.

Reference Matter

Notes

One.

Introduction

T h e a p h o r i s m i n the e p i g r a p h t o this c h a p t e r a p p e a r s i n L u X u n ' s s h o r t s t o r y " K o n g Y i j i . " S e e Selected Stories ofLu Hsiin, t r a n s . Y a n g H s i e n - y i a n d G l a d y s Y a n g ( N e w Y o r k : O r i o l e E d i t i o n s , n . d . ) , 39-45. 1. T h e h i s t o r y of t h e s e i n n o v a t i o n s is d e s c r i b e d in C h ' i e n , Paper and Printing. 2 . T h e P R C ' s f o r m a l u n d e r t a k i n g t o r e v i s e its i n t e l l e c t u a l p r o p e r t y l a w s is contained in a M e m o r a n d u m of U n d e r s t a n d i n g signed with the g o v e r n m e n t o f t h e U n i t e d S t a t e s o n J a n u a r y 17, 1992. T h e efforts o f the P R C t o r e v i s e its c o p y r i g h t , p a t e n t , a n d t r a d e m a r k l a w s are d i s c u s s e d i n d e t a i l i n c h a p t e r 4 , w h i l e the n e g o t i a t i o n s l e a d i n g t o the M e m o r a n d u m a r e c o n s i d ered in chapter 6. T h e R O C ' s intellectual p r o p e r t y laws f o r m the subject o f c h a p t e r 5 . T h e p r e s s u r e b r o u g h t t o b e a r b y the U . S . g o v e r n m e n t o n the P R C is treated in Alford, "Perspective on C h i n a . " T h a t applied to the R O C is considered in B a u m , "Taiwan on a Tightrope." See also Alford, "Intellectual Property." 3 . T r e a t i s e s p r o v i d i n g a n i n t r o d u c t i o n t o the c u r r e n t s t a t e o f d o c t r i n e i n t h e s e f i e l d s in t h e U n i t e d S t a t e s i n c l u d e N i m m e r , Nimmeron Copyright; P e t e r Rosenberg, Patent Law Fundamentals; and McCarthy, Trademarks and Unfair Competition. L e g a l p r o t e c t i o n i s a l s o a v a i l a b l e i n the U n i t e d S t a t e s for o t h e r f o r m s o f intellectual property, including semiconductor m a s k w o r k s , trade secrets, and know-how.

4 . T h e e a r l y h i s t o r y o f c o p y r i g h t i n the West i s t r e a t e d i n P a t t e r s o n , Copyright in Historical Perspective; "Genius and the C o p y r i g h t . " 5 . T h e e a r l y h i s t o r y o f p a t e n t i n the West i s d i s c u s s e d i n K a u f e r , Economics 6. of the Patent in System. 9-17. S e e , e . g . , Z o u , " B a o h u b a n q u a n . . . ?" a n d Z h e n g a n d P e n d l e t o n , China, Rose, Authors and Owners; a n d W o o d m a n s e e ,

Copyright Law

128

N o t e s t o P a g e s 2-5

7. See, e.g., Adelstein and Peretz, " C o m p e t i t i o n of Technologies and M a r k e t s for I d e a s , " 209. 8 . S e e " M e m o r a n d u m o f U n d e r s t a n d i n g . . . o n the P r o t e c t i o n o f I n t e l lectual Property"; Alford, "Perspective on China"; Lachica, "China Settles Dispute." 9 . T h i s i s n o t t o c o n t e n d that i n t e l l e c t u a l p r o p e r t y l a w i n the West has b e e n or is u n i d i m e n s i o n a l . A s t r o n g a r g u m e n t can be m a d e that a c e n t r a l o b j e c t i v e o f c o p y r i g h t i n c o n t e m p o r a r y A m e r i c a n s o c i e t y i s t o facilitate a m a r k e t p l a c e o f i d e a s (even a s o n e r e c o g n i z e s h o w p r i v a t e o w n e r s h i p i n s o m e r e s p e c t s c u r t a i l s the f l o w o f the i n f o r m a t i o n ) . S e e B o y l e , " T h e o r y o f L a w and Information." 10. S t u d e n t s o f c o m p a r a t i v e i n t e l l e c t u a l p r o p e r t y l a w w o u l d b e q u i c k t o n o t e that f u n d a m e n t a l d i m e n s i o n s o f U . S . i n t e l l e c t u a l p r o p e r t y law, s u c h a s o u r p a t e n t l a w ' s r e l i a n c e o n the p r i n c i p l e o f b e i n g the f i r s t t o i n v e n t r a t h e r t h a n t h e f i r s t t o f i l e , s u g g e s t that the e x p e r i e n c e o f the U n i t e d S t a t e s h a r d l y p r o v i d e s a " n o r m a l " p a t t e r n o f g r o w t h relative t o o t h e r W e s t e r n n a t i o n s . I n fact, U . S . i n s i s t e n c e o n r e t a i n i n g the f i r s t t o i n v e n t r u l e has effectively d e r a i l e d a d e c a d e - l o n g i n t e r n a t i o n a l effort a t h a r m o n i z i n g p a t e n t l a w s . T e r e s a R i o r d a n , "Patents: T h e Patent Office Takes a Stand on International Patent P o l i c y , B u t It Is C o n f u s i n g to M a n y , " New York Times, F e b . 7, 1994, D 2 . 1 1 . D e s p i t e i n c r e a s i n g c o n v e r g e n c e i n recent y e a r s o r , a t least, i n c r e a s i n g c l a i m s o f c o n v e r g e n c e , g i v e n the d e c i s i o n o f t h e U n i t e d S t a t e s i n 1989, f i n a l l y , t o ratify t h e I n t e r n a t i o n a l U n i o n for the P r o t e c t i o n o f L i t e r a r y a n d A r t i s t i c P r o p e r t y (the B e r n e C o n v e n t i o n ) C o n t i n e n t a l a n d A n g l o A m e r i c a n n o t i o n s o f c o p y r i g h t s p r a n g f r o m different r o o t s . A l t h o u g h t h e r e a r e c o n s i d e r a b l e differences b e t w e e n F r e n c h a n d G e r m a n c o p y r i g h t law, b o t h c a n b e t r a c e d t o i d e a s o f n a t u r a l l a w c u r r e n t i n the a f t e r m a t h o f the F r e n c h R e v o l u t i o n . S e e S t e w a r t , International Copyright. T h e r o o t s o f A n g l o A m e r i c a n c o p y r i g h t , on the other hand, appear to have been m o r e terr e s t r i a l l y b a s e d in e c o n o m i c c o n s i d e r a t i o n s . S e e K a p l a n , Unhurried View of Copyright. F o r a n o v e r v i e w o f the w a y s i n w h i c h m o d e r n t e c h n o l o g y i s c h a l l e n g i n g m a n y a s s u m p t i o n s i n this a r e a o f l a w b o t h h e r e a n d i n o t h e r i n d u s t r i a l i z e d d e m o c r a c i e s , see U . S . O f f i c e o f T e c h n o l o g y A s s e s s m e n t , Intellectual Property Rights.

12. T o u g h q u e s t i o n s r e g a r d i n g the e x t e n t t o w h i c h i n t e l l e c t u a l p r o p e r t y l a w a c h i e v e s its s t a t e d a i m s a n y w h e r e are r a i s e d i n P r i e s t , " W h a t E c o n o m i s t s C a n Tell L a w y e r s " ; B r e y e r , " U n e a s y C a s e for C o p y r i g h t " ; F i s h e r , " R e c o n s t r u c t i n g the Fair U s e Doctrine"; and M e r g e s , " C o m m e r c i a l S u c cess a n d P a t e n t S t a n d a r d s . " A l s o w o r t h c o n s i d e r i n g a r e e m p i r i c a l efforts b y e c o n o m i s t s , i n c l u d i n g M a n s f i e l d , "Patents a n d I n n o v a t i o n " ; L e v i n e t a l . , " A p p r o p r i a t i n g the R e t u r n s f r o m Industrial R & D"; and Levin, " A p p r o p r i ability, R & D S p e n d i n g and Technological Performance." T h e q u e s t i o n o f

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129

effectiveness is no m o r e easily resolved with respect to d e v e l o p i n g nations. A n u m b e r o f c o m m e n t a t o r s ( s o m e i n the e m p l o y o f d e v e l o p e d w o r l d e n t e r p r i s e s t h a t s t a n d t o p r o f i t t h r o u g h i n c r e a s e d p r o t e c t i o n for i n t e l l e c t u a l p r o p e r t y g l o b a l l y ) c o n t e n d that the benefits for d e v e l o p i n g n a t i o n s o f e m b r a c i n g g r e a t e r f o r m a l l e g a l i t y far o u t w e i g h t h e c o s t s . S e e , e . g . , F r a n c i s B r o w n a n d Carole Brown, eds., Intellectual Property Rights; Sherwood, Intellectual Property; G a d b a w a n d R i c h a r d s , Intellectual Property Rights; a n d R a p p a n d R o z e k , "Benefits and C o s t s . " C e r t a i n of these writers d e p l o y extensive statistics in m a k i n g their cases, a l t h o u g h in s o m e instances, such data rest on q u e s t i o n a b l e a s s u m p t i o n s (as, e . g . , w h e n R a p p a n d R o z e k e s s e n t i a l l y c o n f l a t e l e g i s l a t i v e e n a c t m e n t a n d e n f o r c e m e n t ) a n d offer little i n s i g h t a s t o w h e t h e r i n t e l lectual p r o p e r t y law s p a w n e d prosperity or prosperity s p a w n e d intellectual p r o p e r t y law. O t h e r c o m m e n t a t o r s a r e s o m e w h a t m o r e s k e p t i c a l a b o u t t h e i m p a c t o f i n t e l l e c t u a l p r o p e r t y p r o t e c t i o n o n the e c o n o m i c a n d p o l i t i c a l situation of d e v e l o p i n g nations. See, e.g., G o o n a t i l a k e , Aborted Discovery; O d d i , "International Patent S y s t e m " ; Adikibi, "Multinational C o r p o r a t i o n and M o n o p o l y o f Patents"; and K i r i m , "Reconsidering Patents." 13. T h e U . S . International Trade C o m m i s s i o n , a semi-independent fed-

eral a g e n c y w h o s e r e s p o n s i b i l i t i e s i n c l u d e p r e p a r i n g r e p o r t s o n t h e i n t e r n a t i o n a l e c o n o m i c a c t i v i t y o f t h e U n i t e d S t a t e s , e s t i m a t e s that f o r e i g n i n f r i n g e m e n t o f A m e r i c a n i n t e l l e c t u a l p r o p e r t y c o s t s this c o u n t r y m o r e t h a n 133,000 j o b s a n d f r o m U . S . $ 2 3 . 8 t o U . S . $ 6 1 b i l l i o n i n l o s t p r o f i t s a n n u ally, a n d that t h e P R C a n d R O C a c c o u n t for a s i z a b l e p o r t i o n o f that i n f r i n g e m e n t ; s e e U . S . I n t e r n a t i o n a l T r a d e C o m m i s s i o n , Effect of Foreign Product Counterfeiting and Foreign Protection of Intellectual Property Rights. See also E d u a r d o L a c h i c a , " U . S . S t e p s U p E f f o r t s t o F o r m Pact o n P a t e n t s , " Wall Street Journal, F e b . 29, 1988, 46. T h e s e f i g u r e s s h o u l d n o t be t a k e n at f a c e value, as they are based on data supplied by d o m e s t i c industries seeking g o v e r n m e n t assistance against infringers and typically calculate losses by m u l t i p l y i n g e s t i m a t e d i n s t a n c e s o f i n f r i n g e m e n t b y full list p r i c e s . E v e n a s s u m i n g the accuracy of estimates of the n u m b e r s of infringers, there is no r e a s o n t o p r e s u m e that e a c h i n f r i n g e r w o u l d prefer t o p a y a list p r i c e r a t h e r t h a n c e a s e u s i n g t h e i t e m i n q u e s t i o n , w e r e these the o n l y t w o a l t e r n a t i v e s a v a i l a b l e . I t s e e m s far m o r e likely, t o t a k e b u t a s i n g l e e x a m p l e , that l a w s t u d e n t s i n t h e P R C , w h o t y p i c a l l y l i v e o n less t h a n U . S . $ 3 5 a m o n t h , w o u l d c e a s e u s i n g p i r a t e d A m e r i c a n t e x t s rather t h a n p a y full p r i c e for s u c h b o o k s , w h i c h t y p i c a l l y list for m o r e t h a n U . S . $ 3 5 e a c h . N o n e t h e l e s s , t h e r e i s little d o u b t that i n f r i n g e m e n t o f U . S . i n t e l l e c t u a l p r o p e r t y n o t o n l y e x a c t s a g r e a t cost in t e r m s of lost revenues and j o b s but also has a deleterious impact on u n w i t t i n g c o n s u m e r s here and a b r o a d of a range of s u b s t a n d a r d p r o d u c t s , f r o m i m p r o p e r l y constituted p o l i o vaccine to fake a u t o m o b i l e parts to d e f e c t i v e c o n t r a c e p t i v e d e v i c e s . S e e R a k o f f a n d Wolff, " C o m m e r c i a l C o u n t e r -

130 /

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feiting." T h e v a r i o u s f o r m s of infringing activity and the d a m a g e they cause a r e d i s c u s s e d in G e n e r a l A c c o u n t i n g O f f i c e , International Trade. 14. I n t e l l e c t u a l p r o p e r t y r i g h t s h a v e l a r g e l y b e e n t e r r i t o r i a l i n s c o p e . T h a t is, they essentially p r o v i d e protection only with respect to infringem e n t o c c u r r i n g w i t h i n the t e r r i t o r y o f the n a t i o n g r a n t i n g t h e r i g h t i n question. C o m m e n c i n g w i t h t h e I n t e r n a t i o n a l U n i o n for the P r o t e c t i o n (the P a r i s C o n v e n t i o n ) , w h i c h d e a l s w i t h o f I n d u s t r i a l P r o p e r t y o f 1883

patent and t r a d e m a r k , and the B e r n e C o n v e n t i o n , w h i c h addresses c o p y right, efforts have been m a d e to enable nationals of o n e nation to secure c o u n t e r p a r t r i g h t s w i t h i n the t e r r i t o r y o f o t h e r n a t i o n s . T h e d e v e l o p m e n t of a B e n e l u x patent, w o r k t o w a r d a E u r o p e a n patent, and a t t e m p t s to p r o m o t e a "world" patent suggest the possibility of further e x t e n d i n g intellectual p r o p e r t y rights b e y o n d their current territorial s t a t u s . N o n e t h e l e s s , g i v e n the difficulties that h a v e m a r k e d s u c h efforts t o h a r m o n i z e t h e l a w , a s w e l l a s the p r o b l e m s that w o u l d e n s u e f r o m s u b sequent divergent national interpretations, meaningful harmonization of i n t e l l e c t u a l p r o p e r t y l a w r e m a i n s o n l y a d i s t a n t p o s s i b i l i t y . In its a b s e n c e , t h e U n i t e d S t a t e s a n d o t h e r n a t i o n s f r u s t r a t e d w i t h the p r o b l e m o f i n f r i n g e m e n t w e r e a b l e i n t h e r e c e n t l y c o n c l u d e d U r u g u a y R o u n d o f the G e n e r a l A g r e e m e n t o n Tariffs a n d T r a d e ( G A T T ) t o l i n k a c c e s s t o their m a r k e t s for f o r e i g n g o o d s t o r e s p e c t for their i n t e l l e c t u a l p r o p e r t y r i g h t s . T h e i n t e r n a t i o n a l t r e a t y s t r u c t u r e for i n t e l l e c t u a l p r o p e r t y p r o t e c t i o n a n d p r o p o s a l s to s t r e n g t h e n it a r e d e s c r i b e d in G e n e r a l A c c o u n t i n g O f f i c e , in A l f o r d , "Intellectual Property." 15. T h e U n i t e d S t a t e s w a s n o t o r i o u s t h r o u g h m u c h o f the n i n e t e e n t h c e n t u r y for its l a c k o f r e s p e c t for a u t h o r s ' r i g h t s . I n o n e o f the m o r e c e l e b r a t e d e x a m p l e s , C h a r l e s D i c k e n s ' s w o r k w a s s o l d i n the U n i t e d S t a t e s i n n u m e r o u s p i r a t e d e d i t i o n s . A Christmas Carol, for i n s t a n c e , w a s o f f e r e d f o r a s little a s s i x c e n t s i n t h e U n i t e d S t a t e s (as o p p o s e d t o t h e e q u i v a l e n t o f $2.50 i n G r e a t B r i t a i n ) a n d a l t e r e d i n different p a r t s o f the U n i t e d S t a t e s t o s u i t l o c a l t a s t e s . F o r m o r e o n the e a r l y h i s t o r y o f U . S . c o p y r i g h t law, s e e Aubert Clark, Movement for International Copyright. International Trade. E f f o r t s a t a d d r e s s i n g s u c h i s s u e s t h r o u g h the G A T T a r e c o n s i d e r e d

A l t h o u g h i t t o o k the U n i t e d S t a t e s o v e r a c e n t u r y t o r e c o g n i z e f o r e i g n c o p y r i g h t s , e v e n that s t e p w a s l i m i t e d b y the i n t r o d u c t i o n i n 1891 o f the s o - c a l l e d " m a n u f a c t u r i n g c l a u s e . " I n a n effort t o b o o s t the A m e r i c a n p u b l i s h i n g i n d u s t r y , t h e m a n u f a c t u r i n g c l a u s e specifically l i m i t e d p r o t e c t i o n to those foreign c o p y r i g h t e d w o r k s actually p r o d u c e d within the U n i t e d S t a t e s , a n d t h e s e r e q u i r e m e n t s r e m a i n e d i n effect until 1986. C h i n e s e officials a n d s c h o l a r s h a v e b e e n q u i c k t o p o i n t t o this h i s t o r y i n s e e k i n g t o j u s t i f y C h i n a ' s r e c o r d o f p r o t e c t i o n for f o r e i g n c o p y r i g h t e d m a t e r i a l . F o r m o r e o n d e v e l o p i n g c o u n t r i e s ' s c o n c e r n a b o u t the e x p e n d i t u r e o f l i m i t e d

Notes to Pages 5-6 / 131


f o r e i g n e x c h a n g e h o l d i n g s for r o y a l t y p a y m e n t s i n o r d e r t o o b t a i n a c c e s s to n e e d e d f o r e i g n intellectual property, see Shen Y u a n y u a n , "To C o p y or Copyright." 16. S e e , e . g . , R a k o f f a n d Wolff, " C o m m e r c i a l C o u n t e r f e i t i n g . " 1 7 . T h e c o m p l e x i t y a n d i m p r a c t i c a l i t y o f fair u s e d o c t r i n e i s nicely i l l u s trated i n U C L A Policy N o . 1160Reproduction o f C o p y r i g h t e d Materials for Teaching and Research (Nov. 25, 1986), w h i c h d e v o t e s s o m e fifteen l a r g e l y i m p e n e t r a b l e p a g e s t o e n d e a v o r i n g t o e x p l a i n t o f a c u l t y the l i m i t s o f t h e fair u s e d o c t r i n e . A n o v e r v i e w o f fair u s e i s p r o v i d e d i n N i m m e r , Nimmer on Copyright. T h e fair u s e d o c t r i n e is i n s i g h t f u l l y d i s c u s s e d in F i s h e r , " R e c o n s t r u c t i n g t h e Fair U s e D o c t r i n e , " a n d W e i n r e b , " F a i r ' s F a i r . " 18. T h e E u r o c e n t r i c q u a l i t y o f M a r x ' s t h i n k i n g i s d e m o n s t r a t e d i n K a r l M a r x , " R e v o l u t i o n in C h i n a a n d E u r o p e , " New York Daily Tribune, J u n e 14, 1853, r e p r i n t e d i n A l f o r d , " R o l e o f L a w i n C h i n e s e S o c i e t y . " 19. S e e V o g e l , Four Little Dragons. S e e a l s o A l f o r d , " W h e n Is C h i n a P a r a guay?" 20. F o r m o r e o n this p r o b l e m , see A l f o r d , " O n the L i m i t s o f ' G r a n d Theory.'" 2 1 . T h u s , for e x a m p l e , i n t h e o t h e r w i s e s t i m u l a t i n g d e b a t e r e g a r d i n g p a t e n t b e t w e e n E d m u n d K i t c h a n d his critics, c e r t a i n b a s i c q u e s t i o n s s u c h a s w h y t h e U n i t e d S t a t e s l i m i t s p a t e n t p r o t e c t i o n t o s e v e n t e e n y e a r s (or a n y s p e c i f i e d p e r i o d ) i r r e s p e c t i v e o f the v a l u e o f the i n v e n t i o n i n v o l v e d a r e e s s e n t i a l l y t a k e n for g r a n t e d a n d s o n o t p r o b e d . T h e article that i n i t i a t e d this d e b a t e w a s K i t c h , " N a t u r e and Function o f the Patent S y s t e m . " T h e d e b a t e i s c o n t i n u e d , inter alia, i n S m i t h a n d M c F e t r i d g e , " P a t e n t s , P r o s p e c t s a n d E c o n o m i c S u r p l u s " a n d K i t c h , "Patents, P r o s p e c t s a n d E c o n o m i c S u r p l u s : A Reply." Similar concerns m i g h t be voiced with respect to important scholarship concerning copyright. Press, 248 U . S . 215 F o r e x a m p l e , Richard Epstein's recent foray into Associated c o p y r i g h t u s e s t h e c e l e b r a t e d c a s e of International News Service v.

(1918), as a vehicle for c o n t e n d i n g that we o u g h t to

p a y g r e a t e r h e e d t o " c u s t o m a n d i n d u s t r y p r a c t i c e " a n d less t o the " p o s i tive law" of j u d g e s and legislators in considering such property rights. Ironically, however, n o t w i t h s t a n d i n g the increased role he advocates for c u s t o m r e l a t i v e t o law, E p s t e i n ' s central d i s c u s s i o n o f c u s t o m i n t h e n e w s g a t h e r i n g b u s i n e s s a t the t i m e o f W o r l d War I i s d r a w n f r o m f e w e r t h a n a half-dozen judicial opinions and from fragmentary anecdotal data f r o m t w o s o u r c e s a b o u t j o u r n a l i s t i c b e h a v i o r i n t h e p e r i o d s i n c e W o r l d W a r II. E p s t e i n s e e m s u n c o n c e r n e d w i t h h o w j o u r n a l i s t s i n the e a r l y t w e n t i e t h c e n t u r y (or, for that m a t t e r , a n y o n e o t h e r t h a n j u d g e s , w h o s e " t e c h n i q u e s o f r a t i o n a l a n a l y s i s " h e q u e s t i o n s e l s e w h e r e i n the s a m e article) c o n c e i v e d o f " c u s t o m and industry practice" in news-gathering. N o r does he evidence

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N o t e s t o P a g e s 6-7

a n y a p p r e c i a t i o n a t a m o r e g e n e r a l o r t h e o r e t i c a l level o f the difficulties i n herent in ascertaining what constitutes c u s t o m , particularly s o m e seven or m o r e d e c a d e s after the fact. v. Associated Press." S e e R i c h a r d E p s t e i n , "International News Service

S c h o l a r s w i t h a v e r y different p o l i t i c a l o r i e n t a t i o n t h a n K i t c h a n d E p s t e i n h a v e r e c e n t l y t u r n e d their a t t e n t i o n t o c o p y r i g h t law. A m o n g the m o s t i m p o r t a n t p i e c e s a r e M a r t h a W o o d m a n s e e , " G e n i u s a n d the C o p y r i g h t " ; J a s z i , " T o w a r d s a T h e o r y of C o p y r i g h t " ; and B o y l e , " T h e o r y of L a w and Inform a t i o n . " A l t h o u g h they take a fresh, imaginative, and stimulating v i e w of c o p y r i g h t , t h e s e s c h o l a r s s e e m t o r n b e t w e e n their d e s i r e o n t h e o n e h a n d t o take apart w h a t they t e r m the societal constructs of authorship and c o p y r i g h t a n d o n t h e o t h e r t o p r e s e r v e the e c o n o m i c , m o r a l , a n d p s y c h o l o g i c a l p r e r o g a t i v e s that s u c h c o n s t r u c t s p r o v i d e . F o r e x a m p l e , a t a c o n f e r e n c e o r g a n i z e d b y W o o d m a n s e e a n d J a s z i i n 1991 entitled "Intellectual P r o p e r t y a n d the C o n s t r u c t i o n of A u t h o r s h i p , " participants paused in the m i d s t of t h r e e d a y s o f s t r e n u o u s a t t a c k s o n the i d e a o f a u t h o r s h i p a n d t h e n o t i o n o f c o p y r i g h t t o p e p p e r t h e R e g i s t r a r o f C o p y r i g h t s o f the U n i t e d S t a t e s w i t h a s t r e a m of questions concerned, in large measure, with h o w they m i g h t s e c u r e fuller p r o t e c t i o n for their w o r k u n d e r c u r r e n t c o p y r i g h t law. 22. A r g u m e n t s for a n d a g a i n s t t r e a t i n g i n t e l l e c t u a l p r o p e r t y d i f f e r e n t l y

f r o m o t h e r f o r m s o f p r o p e r t y are set f o r t h i n G o r d o n , " I n q u i r y i n t o the Merits of Copyright." 23. S e e Y a n k e l o v i c h e t a l . , " P u b l i c P e r c e p t i o n s o f the I n t e l l e c t u a l P r o p e r t y R i g h t s I s s u e " ; S h a t t u c k , " P u b l i c A t t i t u d e s a n d the E n f o r c e a b i l i t y o f L a w . " I t s h o u l d b e n o t e d that the l e a d i n g s o f t w a r e p r o d u c e r s t r a d e a s s o c i a t i o n , t h e B u s i n e s s S o f t w a r e A l l i a n c e , b e l i e v e s s o f t w a r e p i r a c y i s far w o r s e t h r o u g h o u t A s i a than in the U n i t e d States. 24. B o t h t h e P R C a n d the R O C a r e p r e s s i n g t o s e c u r e G A T T C o n t r a c t i n g P a r t y s t a t u s . T h e a r r a y o f i s s u e s i n v o l v e d are d i s c u s s e d i n F e i n e r m a n , " T a i w a n a n d the G A T T . " 25. S e e , e . g . , A l f o r d , " ' S e e k T r u t h f r o m F a c t s . ' " O n the d i s r u p t i o n s o f the G r e a t Proletarian C u l t u r a l Revolution, which is described in the P R C as h a v i n g l a s t e d f r o m 1966 to 1976, see T h u r s t o n , Enemies of the People. 26. T h e r o l e o f the P R C g o v e r n m e n t i n the u n a u t h o r i z e d p r o d u c t i o n a n d d i s t r i b u t i o n o f f o r e i g n i n t e l l e c t u a l p r o p e r t y , a s well a s its c e n s o r s h i p activities, are d i s c u s s e d in chapter 4. 27. T h e r o l e o f i n t e r n a l c i r c u l a t i o n (neibu) l a w s a n d l e g a l m a t e r i a l s i n the P R C is thoughtfully discussed in J o n e s , " S o m e Questions." See also N i c h o l a s K r i s t o f , " W h a t ' s the L a w i n C h i n a ? It's N o S e c r e t ( F i n a l l y ) , " New York Times, N o v . 20, 1988, pt. 1, 2 1 . In r e s p o n s e to a U . S . threat to i m p o s e s u b s t a n t i a l t r a d e s a n c t i o n s , t h e P R C a g r e e d i n p r i n c i p l e , o n O c t o b e r 10,

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1992, t o e l i m i n a t e neibu l a w s c o n c e r n i n g f o r e i g n t r a d e b y i s s u i n g " r e g u l a t i o n s . . . that s t a t e o n l y l a w s a n d r e g u l a t i o n s p u b l i s h e d a n d r e a d i l y a v a i l a b l e t o f o r e i g n g o v e r n m e n t s a n d travelers are e n f o r c e a b l e [after O c t o b e r 10, I993]" a c c o r d i n g t o t h e p r i n c i p a l U . S . n e g o t i a t o r i n v o l v e d ( M a s s e y , "301: T h e S u c c e s s f u l C o n c l u s i o n , " 9). E v e n t a k i n g a c c o u n t o f e x c e p t i o n s f o u n d e l s e w h e r e in t h e O c t o b e r 10, 1992, " M e m o r a n d u m of U n d e r s t a n d i n g . . . o n M a r k e t A c c e s s " (such a s that p e r m i t t i n g t h e e x c l u s i o n o f u n d e f i n e d " i n f o r m a t i o n c o n t r a r y t o the p u b l i c interest," i t s t r a i n s c r e d u l i t y t o b e l i e v e that this w i l l t r a n s f o r m f u n d a m e n t a l l o n g - s t a n d i n g C h i n e s e p r a c t i c e s a n y m o r e effectively t h a n t h e U . S . u n d e r t a k i n g a s p a r t o f the s o - c a l l e d S t r u c t u r a l I m p e d i m e n t s Initiative with J a p a n t o r e f o r m o u r elementary and s e c o n d a r y e d u c a t i o n w i l l , i n d e e d , result in a d r a s t i c i m p r o v e m e n t in the o v e r a l l q u a l i t y o f o u r p u b l i c s c h o o l s . M o t i v a t e d l a r g e l y b y the p r e s i d e n t i a l e l e c t i o n , t h e U . S . d r i v e i n 1992 t o s e c u r e the P R C ' s a g r e e m e n t t o o p e n its m a r k e t s t o f o r e i g n g o o d s o r face m a s s i v e r e t a l i a t o r y tariffs, all the w h i l e p a y i n g s c a n t a t t e n t i o n e i t h e r t o h o w s u c h p r o m i s e s w e r e t o b e m e t o r t o the i m p l i c a t i o n s o f u s i n g U . S . l e v e r a g e for s u c h p u r p o s e s , e x e m p l i f i e s t h e t y p e o f p r o b l e m i n t r a d e p o l i c y d i s c u s s e d i n c h a p t e r 6 o f this b o o k w i t h reference t o i n t e l l e c tual property. Succinctly stated, flexing one's muscles is no substitute for t h i n k i n g t h r o u g h h o w r e s p e c t for p a r t i c u l a r t y p e s o f l e g a l i t y g r o w s . 28. 29. S e e , e . g . , R e n Wei, " W o r l d - W i d e S y m p o s i u m . " See U . S . Congress, House, Unfair Foreign Trade Practices.

Two.

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Stop

Thinking About

Yesterday

1. S e e , e . g . , Z o u , " B a o h u b a n q u a n . . . ?"; Z h e n g a n d P e n d l e t o n , Copyright Law in China; a n d C h a n , " C o n t r o l of P u b l i s h i n g . " 2. T h e point is perhaps m o s t explicitly m a d e in Adelstein and Peretz, " C o m p e t i t i o n of Technologies and M a r k e t s , " w h o s e views m a y be seen as a s p e c i f i c a p p l i c a t i o n o f the b r o a d e r c o n t e n t i o n o f e c o n o m i c h i s t o r i a n s s u c h a s D o u g l a s s N o r t h a n d R o b e r t P a u l T h o m a s that i n n o v a t i o n s p u r s t h e n e e d for w e l l - d e f i n e d p r i v a t e p r o p e r t y r i g h t s , w h i c h i n t u r n p r o v i d e t h e i n c e n t i v e n e e d e d t o f o s t e r f u r t h e r i n n o v a t i o n (see, e . g . , N o r t h a n d T h o m a s , Rise of the Western World). S e e a l s o L i b e c a p , " P r o p e r t y R i g h t s " ; R a p p a n d R o z e k , " B e n e f i t s a n d C o s t s " ; a n d M a n s f i e l d , "Intellectual P r o p e r t y . " 3. Z h e n g a n d P e n d l e t o n , Copyright Law in China, 4. B o d d e a n d M o r r i s , Law In Imperial China, 3. 5. Imperial law codes are discussed in ibid. See also C h i u H a n p i n g , ed., Lidai xingfa zhi, w h i c h r e p r o d u c e s the s e c t i o n on l a w of the official d y n a s tic h i s t o r i e s f r o m t h e H a n t o the M i n g . P o r t i o n s o f the Q i n g c o d e h a v e been translated by G e o r g e S t a u n t o n into E n g l i s h and by G u y B o u l a i s into 11.

134

N o t e s to Pages 10-12

French. W i l l i a m J o n e s of Washington U n i v e r s i t y has recently c o m p l e t e d a m o d e r n t r a n s l a t i o n . A u s e f u l g u i d e to the Da Qing lit li is X u e Y u n s h e n g , Duli cunyi. 6. N e e d h a m , Science and Civilization, 2: 524. P h i l i p H u a n g a n d K a t h r y n B e r n h a r d t of U C L A have launched a m a j o r and impressive research project d e l v i n g i n t o the q u e s t i o n o f w h e t h e r there w a s a "civil l a w " i n late i m p e r i a l and early Republican C h i n a . 7. Needham, Science and Civilization, 2: 524-30. 8 . C h a n g Wejen, " C h u a n t o n g g u a n n i a n . " 9. T h i s e x t r a o r d i n a r y emphasis on the imperial codes' penalties s e e m s attributable to a n u m b e r of factors, a m o n g t h e m the C o n f u c i a n ideological antipathy t o w a r d f o r m a l legality, which d i s c o u r a g e d scholars f r o m c o n s i d e r i n g t h e "civil" s i d e o f s u c h l a w ; w i d e s p r e a d p o p u l a r p e r c e p t i o n s o f t h e l e g a l s y s t e m ; a n d e a r l y r e p o r t s b y f o r e i g n o b s e r v e r s a s t o the q u a l i t y o f C h i n e s e j u s t i c e r e l a t i v e t o that o f their h o m e j u r i s d i c t i o n s . F o r m o r e o n w h y W e s t e r n s c h o l a r s h a v e m i s u n d e r s t o o d C h i n e s e law, see A l f o r d , " L a w , L a w , What L a w ? " 10. T h e s o - c a l l e d T e n A b o m i n a t i o n s a r e l i s t e d i n A r t i c l e 2 o f the G e n e r a l Principles section o f the Q i n g code. 1 1 . T h e c l a s s i c w o r k o n clan r u l e s i s L i u W a n g H u i - c h e n , Chinese Clan Rules. Local Merchants. Rural China; Watt, District Magistrate. 12. G u i l d c h a r t e r s a r e d i s c u s s e d i n detail i n R o w e , Hankow. 13. M a n n , 14. H s i a o , Traditional

15. S u s a n M a n n ' s Local Merchants s u g g e s t s that this w a s the c a s e w i t h r e s p e c t t o t a x f a r m i n g a n d r e l a t e d fiscal i s s u e s . 16. T h e (The the Mencius), Mean). 17. R a y H u a n g , 1587, 149. 18. O n t h e r o l e o f h i e r a r c h y , see A l f o r d , " I n s c r u t a b l e O c c i d e n t a l . " 19. T h e C h i n e s e v i s i o n o f w o r l d o r d e r a l s o m i r r o r e d f a m i l y s t r u c t u r e , w i t h t h e C h i n e s e a t the a p e x e x e r c i s i n g fiducial r e s p o n s i b i l i t i e s t o w a r d less civilized peoples. 20. 22. Rules, 23. 24. Waley, t r a n s . , Analects of Confucius, b k . 2, ch. 2 1 . 292-99; M a n n , Local Merchants, passim. Rowe, 143. See Liu Wang Hui-chen, Traditional Chinese Clan Rules. T h e w o r k being d o n e b y Philip H u a n g and K a t h r y n B e r n h a r d t o n Hankow, 292-99; Liu Wang Hui-chen, Traditional Chinese Clan 2 1 . S e e R o w e , Hankow, Four Books (The are Great the Lunyu (The and Analects of Confucius), (The Mengzi of Daxue Learning), Zhongyong Doctrine

c i v i l l a w s u g g e s t s that l e g a l i s s u e s w e r e far m o r e n u m e r o u s t h a n p r e v i o u s l y assumed.

Notes to Pages 1 2 - 1 4 /
25. 26. 27. 28. Zhang Bodde, Xujiu, Shangbiaofajiaocheng. Unifier.

China's First

C h a n g a n d A l f o r d , " M a j o r Issues i n C h i n e s e L e g a l H i s t o r y . " H i s t o r i a n s l o c a t e t h e i n v e n t i o n o f w o o d b l o c k p r i n t i n g b e t w e e n 590

a n d 650 a n d t h e d e v e l o p m e n t o f m o v a b l e t y p e b y B i S h e n g a t a r o u n d t h e y e a r 1000. Z h e n g C h e n g s i a n d M i c h a e l P e n d l e t o n a s s e r t that w h e r e a s i n t h e W e s t "the a d o p t i o n o f w o o d b l o c k p r i n t i n g w a s n o t sufficient t o d r a m a t i c a l l y s p e e d u p t h e p u b l i c a t i o n o f b o o k s . . . i n C h i n a the s i t u a t i o n w a s different," o w i n g to the u s e of C h i n e s e characters rather than a p h o n e t i c a l p h a b e t (Copyright Law in China, Debuts de I'imprimerie; P o o n , and Publishing. 29. C h a n , "Control of Publishing," 2. See also Qi Shaofu, " Z h o n g g u o 1 1 - 1 2 ) . T h e h i s t o r y of p r i n t i n g in C h i n a is d i s c u s s e d in C h ' i e n , Paper and Printing; C a r t e r , Invention of Printing; P e l l i o t , " B o o k s a n d P r i n t i n g " ; a n d T w i t c h e t t , Printing

g u d a i de c h u b a n , " 31; C h ' i e n , Paper and Printing. W a l l a c e J o h n s o n has p u b lished a translation of the General Principles section of the T a n g c o d e a n d c o m p l e t e d t r a n s l a t i o n s o f o t h e r m a j o r p o r t i o n s o f the c o d e . S e e J o h n s o n , Tang 30. Code. Printed versions of state laws w e r e rarely d i s s e m i n a t e d w i d e l y in

p r e i m p e r i a l a n d i m p e r i a l C h i n a . A l t h o u g h the p o p u l a c e ' s l i m i t e d l i t e r a c y w a s o b v i o u s l y a f a c t o r , t h e n o t i o n that l a w o u g h t n o t t o b e w i d e l y d i s t r i b u t e d m a y h a v e b e e n a t t r i b u t a b l e m o r e t o a s e n s e that the p o p u l a c e h a d n o n e e d f o r t h e l a w , a s t h o s e p e r s o n s w h o h a d p r o p e r l y c u l t i v a t e d their v i r t u e w o u l d k n o w h o w to behave without resort to legal rules, while those of lesser character w o u l d s i m p l y study the written law in order to find w a y s a r o u n d its s t r i c t u r e s . I n t e r e s t i n g l y , t h e P R C g o v e r n m e n t c o n t i n u e s t o r e strict access by b o t h C h i n e s e nationals and foreigners to laws to which they are potentially subject. See chapter 1. 31. C h a n , 32. " C o n t r o l of P u b l i s h i n g " ; T w i t c h e t t , Printing and Publishing. w h i c h h o u s e d C h i n a ' s "first o f f i c i a l l y - r u n 12. 145. The most comprehensive study of S o n g

T h e Imperial College, Shulin qinghua, 42.

p u b l i s h i n g h o u s e , " is d i s c u s s e d in Z h e n g a n d P e n d l e t o n , Copyright Law, 33. Ye D e h u i , 34. Lee, 35. Government

Ibid.; Z h e n g C h e n g s i , "Printing and Publishing in China"; T h o m a s Education,

printing is Poon, " B o o k s and Printing." C h a n , " C o n t r o l o f P u b l i s h i n g " ; Y e D e h u i , Shulin qinghua; L u G u a n g Zhongguo xinwen falii gailun, 4. C o n c e r n about using the and Pan X i a n m o u ,

n a m e s o f t h o s e i n p o w e r has b e e n a r e g u l a r t h e m e i n C h i n e s e h i s t o r y . C e l e b r a t e d instances include those concerning the H o n g w u E m p e r o r d u r i n g the m i d f o u r t e e n t h c e n t u r y , t h e Q i a n l o n g E m p e r o r d u r i n g the late e i g h t e e n t h c e n t u r y , a n d M a o Z e d o n g d u r i n g the C u l t u r a l R e v o l u t i o n ( 1 9 6 6 - 7 6 ) . 36. Ye D e h u i , Shulin qinghua, 1 4 3 - 4 5 . T h e p e n a l t i e s in t h e S o n g d y n a s t y ' s

136 /

N o t e s to P a g e s

14-18

p u b l i c a t i o n l a w s a r e d i s c u s s e d in detail in N i i d a , 445-9137.

Chugoku hoseishi kenkyu, 4:

T h e original c o l o p h o n is reproduced in Poon, "Printer's C o l o p h o n , " 37-41 and 143-45. S e e a l s o T w i t c h e t t , Printing and Publishing, 65. which deals m o r e exten-

39. Y e D e h u i d i s c u s s e s l o c a l efforts t o b a r u n a u t h o r i z e d r e p r o d u c t i o n i n Shulin qinghua, 38. E v e n t h e late Q i n g s t u d y Shulin qinghua,

s i v e l y w i t h S o n g p r o h i b i t i o n s o n p r i n t i n g t h a n a n y other, c o n s i s t s o f little m o r e than isolated anecdotes. 39. 40. S e e Y u a n , " Z h o n g g u o g u d a i b a n q u a n shi k a o l i i e . " Ye D e h u i , Shulin qinghua; see a l s o K u , Literary Inquisition. 70; Wu K u a n g - c h ' i n g , "Ming Printers and "Study of the Literary PerF o r a t h o r o u g h t r e a t m e n t o f m i d - Q i n g efforts t o c o n t r o l Ming Dynasty, Literary

s e c u t i o n , " 254. publication, 41. Hucker, P r i n t i n g , " 230. 42. 43. 44. 45. 46. 47. 48. 49. cheng, 50.

see G o o d r i c h ,

Goodrich, Chan,

Inquisition.

W u K u a n g - c h ' i n g , " M i n g P r i n t e r s a n d P r i n t i n g , " 229. " C o n t r o l o f P u b l i s h i n g , " 23-24. "Imperial Factories of S u z h o u . " M a n n , Local Merchants; S a n t a n g e l o ,

S e e , e . g . , the Da Qing Hi li, A r t . 429. T h e s u m p t u a r y l a w s a r e d e H a m i l t o n and Lai, "Jinshi z h o n g g u o s h a n g b i a o . " E d w a r d s , "Imperial China's B o r d e r C o n t r o l Law," 57-58. T h e original m a r k is r e p r o d u c e d at Z h a n g X u j i u , 18. E x a m p l e s are discussed in H a m i l t o n and Lai, "Jinshi z h o n g g u o Shangbiaqfa jiao-

s c r i b e d in d e t a i l in C h ' u , Law and Society.

s h a n g b i a o . " S e e a l s o R o w e , Hankow. 5 1 . H a m i l t o n a n d L a i , "Jinshi z h o n g g u o s h a n g b i a o , " 4 - 1 5 . 52. Ibid. Chinese Intellectual Property, 21; Hamilton and Lai, 53. Z h e n g C h e n g s i , 54.

"Jinshi z h o n g g u o shangbiao," 4-15. See H a m i l t o n a n d Lai, "Jinshi z h o n g g u o s h a n g b i a o . " 55. T h e b e s t s o u r c e for e v i d e n c e of these efforts is Ye D e h u i , Shulin qinghua. F o r m o r e o n t h e h i s t o r y o f real p r o p e r t y i n C h i n a , see v o l . 4 o f N i i d a , Chugoku the dian. 56. W i t h r e s p e c t to E n g l a n d , see P a t t e r s o n , Copyright in Historical Perhoseishi kenkyu. James Feinerman of the Georgetown University L a w C e n t e r i s n o w w o r k i n g o n the m o r t g a g e - l i k e t r a n s a c t i o n k n o w n a s

spective, 3 6 - 4 1 . S e e a l s o E i s e n s t e i n , Printing Press. W i t h r e g a r d to F r a n c e , s e e D a r n t o n , Literary Underground. O t h e r s w o u l d link c o p y r i g h t far m o r e t o t h e rise o f the R o m a n t i c construct o f "authorship." See W o o d m a n s e e , "Genius a n d t h e C o p y r i g h t , " 425. 57. M a c h l u p , " P a t e n t s , " 461.

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58. 59.

K l e m m , History of Western Technology, See Patterson,

171-73. "Patents,"

Copyright in Historical Perspective; M a c h l u p ,

462; N a t h a n R o s e n b e r g a n d L. E. 60.

B i r d z e l l , J r . , How the West Grew Rich;

N o r t h a n d T h o m a s , Rise of the Western World. A l f o r d , " I n s c r u t a b l e O c c i d e n t a l " ; A l f o r d , " O n the L i m i t s o f ' G r a n d Oracle Bones; N e e d T h e o r y , ' " 975. 6 1 . S e e , e . g . , T e m p l e , Genius of China, 9 - 1 2 ; R o s s , ham, 62. 63. Science and Civilization.

S e e , e . g . , Z o u , " B a o h u b a n q u a n , " o r a n y o f the w r i t i n g s o f Z h e n g M a r t h a W o o d m a n s e e a n d t h o s e w h o h a v e a d o p t e d her t h e s i s that

Chengsi. c o p y r i g h t is an o u t g r o w t h of the R o m a n t i c conception of the author as an i n s p i r e d g e n i u s w h o s e c r e a t i v i t y s h o u l d b e seen a s i n d i v i d u a l r a t h e r t h a n societal, are n o t e w o r t h y exceptions. Copyright." 64. 65. 66. See, e.g., Adelstein and Peretz, " C o m p e t i t i o n of Technologies and N e e d h a m , Science and Civilization; E l v i n , Pattern of the Chinese Past. Adelstein and Peretz, " C o m p e t i t i o n of Technologies and M a r k e t s M a r k e t s for I d e a s . " See W o o d m a n s e e , "Genius and the

for I d e a s . " S i m i l a r v i e w s are v o i c e d b y Z h e n g C h e n g s i a n d M i c h a e l P e n d l e t o n , w h o a s s e r t that t h e "fact that t h e c o n c e p t o f c o p y r i g h t w a s f o r m e d after s u c h a l e a p [to m o v a b l e t y p e ] s h o w s that the d e v e l o p m e n t o f l a w a l w a y s f o l l o w s t h e d e v e l o p m e n t of t e c h n o l o g y " (Copyright Law in China, 67. 68. 69. 70. Ch'ien, Berman, Eastman, Paper and Printing. Words Like Colored Glass, Family, 105. 201. China's Cultural Heritage, Field and Ancestors. 14).

Richard Smith,

7 1 . In u s i n g the t e r m political culture, it is not my intention to i n v o k e the w o r k of L u c i a n Pye. As I endeavor to d e m o n s t r a t e below, I seek to b r i n g b o t h a b r o a d e r a n d a m o r e n u a n c e d c o n t e n t t o this a d m i t t e d l y e l a s t i c concept. 7 2 . F o r a c o m p e l l i n g d i s c u s s i o n o f the i m p o r t a n c e o f the i d e a o f t h e p a s t in C h i n e s e civilization, scrutable Occidental." 74. H s i a o , History of Chinese Political Thought, 1: 9 0 - 9 4 . 75. T u , 76. Centrality and Commonality. Alford, "Inscrutable Occidental." see O w e n , Remembrances. 73. T h e i m p o r t a n c e of these relationships is discussed in A l f o r d , "In-

7 7 . C o n f u c i u s , Analects, b k . 2, ch. 3 (Waley t r a n s l a t i o n m o d i f i e d by this author). 78. See Hall and A m e s , Thinking Through Confucius. 79. A l f o r d , " I n s c r u t a b l e O c c i d e n t a l . "

138

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80.

Waley, t r a n s . , Analects of Confucius, b k . 13, ch. 3. T h e i d e a of a " r e c t i -

f i c a t i o n o f n a m e s " h a s h a d e n d u r i n g c u r r e n c y i n C h i n a , a s e v i d e n c e d , for e x a m p l e , b y t h e u s e o f that t e r m b y the l e a d e r s h i p o f the C h i n e s e C o m m u n i s t p a r t y t o d e s c r i b e efforts i n t h e e a r l y 1980's t o e n c o u r a g e t h e r e t i r e m e n t of certain cadres resistant to D e n g X i a o p i n g ' s policies. 81. K e i g h t l e y , " R e l i g i o u s C o m m i t m e n t , " 220. 82. 83. Chan, Legitimation in Imperial China. I n t h e w o r d s o f the Shujing ( B o o k o f D o c u m e n t s ) , o n e o f t h e g r e a t

c l a s s i c s o f t h e C h i n e s e t r a d i t i o n , the last S h a n g ( 1 7 0 0 - 1 1 2 2 B . C . ) r u l e r h a d "no c l e a r u n d e r s t a n d i n g o f t h e r e s p e c t d u e t h e p e o p l e ; h e m a i n t a i n e d a n d s p r e a d far a n d w i d e r e s e n t m e n t a n d d i d n o t c h a n g e . T h e r e f o r e , H e a v e n s e n t d o w n d e s t r u c t i o n on Y i n . . . [ a n d r e p l a c e d it w i t h t h e n e x t d y n a s t y , the C h o u ] . . . . I t w a s d u e t o [such] e x c e s s e s . H e a v e n i s n o t t y r a n n i c a l " ( " A n n o u n c e m e n t A b o u t D r u n k e n n e s s , " t r a n s . K a r l g r e n , 1). 84. T h e i n v a l i d a t i n g p o w e r o f the p a s t , w a s e v i d e n c e d , for e x a m p l e , b y

t h e c o n t r o v e r s i a l late Q i n g s c h o l a r a n d r e f o r m e r K a n g Y o u w e i ( 1 8 5 8 - 1 9 2 7 ) , w h o b e l i e v e d that the s t a t e o r t h o d o x y o f his d a y w a s i m p a i r i n g C h i n a ' s m o d e r n i z a t i o n . I n his b o o k Xinxue weijing kao ( A S t u d y o f the F o r g e d C l a s sics o f t h e X i n P e r i o d ) , K a n g s o u g h t t o e x p o s e a s i n a u t h e n t i c c e r t a i n o f t h e key C o n f u c i a n classics relied on heavily by conservatives s u r r o u n d i n g the G u a n g x u E m p e r o r . I n t u r n , h e a r g u e d that a n a c c u r a t e r e a d i n g o f a u t h e n t i c C o n f u c i a n t e x t s p r o v i d e d u n m i s t a k a b l e s u p p o r t f r o m the M a s t e r h i m s e l f ( w h o K a n g c l a i m e d h a d w r i t t e n , rather t h a n e d i t e d , the t e x t s i n q u e s t i o n ) for a h o s t o f r e f o r m s . T h e s e i n c l u d e d a c u r t a i l i n g o f i m p e r i a l p o w e r , t h e introduction of elections, a n d the a b o l i t i o n o f the f a m i l y i n f a v o r o f v o l u n t a r y c o h a b i t a t i o n a r r a n g e m e n t s that c o u l d b e a l t e r e d a n n u a l l y . K a n g ' s e f f o r t s t o a p p r o p r i a t e a n d recast the p a s t e a r n e d h i m w i d e s p r e a d d e n u n c i a t i o n a n d a n i m p e r i a l b a n (later briefly lifted) o n m u c h o f his w r i t i n g . A m o n g his critics w a s t h e c o n s e r v a t i v e s c h o l a r Y e D e h u i , w h o s e b o o k o n S o n g p u b l i c a t i o n p r a c t i c e s i s relied o n e l s e w h e r e i n this s t u d y . " K ' a n g Y u w e i ' s face," w r o t e Y e , "is C o n f u c i a n . . . b u t h i s h e a r t is b a r b a r i a n . " Q u o t e d in H s u , Rise of Modern China, 456. 85. 86. S e e K u h n , " T a i p i n g R e b e l l i o n , " 264. S e e T e n g S s u - y i i , " C h i n e s e Influence o n t h e W e s t e r n E x a m i n a t i o n

S y s t e m , " 267, w h i c h t r a c e s the i m p a c t o f the C h i n e s e m e t h o d for s e l e c t i n g i m p e r i a l officials o n t h e B r i t i s h civil s e r v i c e s y s t e m . 87. C e n t u r i e s b e f o r e t h e S u i d u r i n g the t h i r d c e n t u r y B . C . w o u l d b e C o n f u c i a n a d v i s o r s w e r e a l r e a d y b e i n g a t t a c k e d for their e m p h a s i s o n k n o w l e d g e o f t h e p a s t . " T h e y [the C o n f u c i a n i s t s ] , neither s t u d y affairs p e r t a i n i n g t o t h e l a w a n d g o v e r n m e n t n o r o b s e r v e the realities o f v i c e a n d w i c k e d n e s s b u t all e x a l t the r e p u t e d g l o r i e s o f r e m o t e a n t i q u i t y a n d t h e a c h i e v e m e n t s o f A n c i e n t K i n g s . " H a n Fei T z u , " O n the D o m i n a n t S y s t e m s

N o t e s to P a g e 22

139

of L e a r n i n g , " q u o t e d in De B a r y et a l . , t r a n s . , Sources of Chinese Tradition, 1: 142. 88. 89. 90. Thomas Lee, Government Education. B o d d e a n d M o r r i s , Law in Imperial China. I b i d . , 63. I n r e a c h i n g this e s t i m a t e , B o d d e a n d M o r r i s rely o n t h e

Dull cunyi, i n w h i c h X u e Y u n s h e n g l a y s o u t i n m e t i c u l o u s d e t a i l the o r i g i n s a n d s u b s e q u e n t h i s t o r y o f r e v i s i o n for t h e v a r i o u s p r o v i s i o n s o f t h e Q i n g code. 9 1 . T h e u s e o f s u b s t a t u t e s i s d i s c u s s e d i n i b i d . , 63-68. E v o c a t i o n o f t h e p a s t w a s , o f c o u r s e , n o t t h e o n l y w a y i n w h i c h the C h i n e s e s t a t e u s e d its l e g a l s y s t e m t o e v i d e n c e its m a j e s t y . C e n t u r i e s b e f o r e F o u c a u l t w r o t e Discipline and Punish, t h e C h i n e s e s t a t e d i s p l a y e d a k e e n a p p r e c i a t i o n of the fact t h a t s y m b o l i c infliction o f p u n i s h m e n t m i g h t h a v e a n e v e n g r e a t e r i m p a c t t h a n its a c t u a l c o u n t e r p a r t . A t least f r o m the H a n d y n a s t y (206 B . C . - A . D . 220) o n w a r d ( a n d s o m e w o u l d s u g g e s t l o n g b e f o r e the f o r m a t i o n o f i m p e r i a l C h i n a in 221 B . C . ) , t h e d e a t h p e n a l t y w a s d i v i d e d s o that e x e c u t i o n o f all b u t t h e m o s t e g r e g i o u s o f f e n d e r s w a s t o b e d e l a y e d until "after t h e a u t u m n a s s i z e s . " A l t h o u g h this p r o c e d u r e m a y h a v e h a d its g e n e s i s i n the effort t o a l i g n h u m a n a n d n a t u r a l affairs b y d e f e r r i n g e x e c u t i o n s until the t i m e o f g r e a t e s t d e a t h i n t h e n a t u r a l w o r l d , the C h i n e s e s o o n t o o k t o u s i n g i t s i m u l t a n e o u s l y t o d i s p l a y t h e state's a w e s o m e p o w e r a n d its g r e a t b e n e v o l e n c e . I n d i v i d u a l s w e r e o f t e n s e n t e n c e d t o d e a t h "after the a s s i z e s " (jianhou), w h i c h typically entailed w a i t i n g t w o years, only to be spared by a state w i s h i n g to a p p e a r m a g n a n i m o u s o n c e the r e q u i s i t e t i m e h a d e l a p s e d . A c o m p a r a b l e appreciation of the value of s y m b o l i c p u n i s h m e n t is also e v i d e n t i n t h e Q i n g c o d e d i r e c t i v e that officials o n l y inflict a f r a c t i o n o f t h e b l o w s w i t h a b a m b o o c a n e (either h e a v y o r l i g h t ) t o w h i c h c r i m i n a l s m i g h t b e s e n t e n c e d . A g a i n , i t w a s p r e s u m e d that t h o s e s o s e n t e n c e d w o u l d b o t h u n d e r s t a n d the severity of the punishment due t h e m and appreciate the s t a t e ' s d e c i s i o n t o a c c o r d t h e m leniency. A s t h e s e e x a m p l e s a n d m u c h o f this c h a p t e r i l l u s t r a t e s , Legitimation 92. Crisis) result f r o m t h e efforts o f m o d e r n s t a t e s m a n y o f the to legitimate

i d e o l o g i c a l a n d p s y c h o l o g i c a l d e v i c e s that J i i r g e n H a b e r m a s s u g g e s t s (in t h e m s e l v e s a p p e a r t o h a v e h a d clear a n t e c e d e n t s i n i m p e r i a l C h i n a . O n e s u c h c o m p i l a t i o n w a s the Xing'an huilan, c o m p r i s i n g c a s e s r e c o r d e d b y t h e B o a r d o f P u n i s h m e n t s , c o m p i l e d o n a n unofficial b a s i s b y officials o f t h e b o a r d for the benefit o f m a g i s t r a t e s . 93. M u c h has been m a d e o f w h a t Ch'ii T ' u n g - t s u three decades a g o t e r m e d t h e " C o n f u c i a n i z a t i o n " o f t h e law, b y w h i c h h e m e a n t t h e a b s o r p t i o n d u r i n g t h e H a n d y n a s t y o f C o n f u c i a n v a l u e s i n t o t h e law. T h i s p r o c e s s l e d , f o r e x a m p l e , t o t h e l a w ' s m a n d a t i n g far h a r s h e r p e n a l t i e s w h e n j u n i o r s s t r u c k their seniors than vice versa. Work remains to be d o n e , h o w e v e r ,

140 / N o t e s to Pages

23-25

o n w h a t m i g h t b e t e r m e d t h e " l e g a l i z a t i o n " o f the C o n f u c i a n s b y w h i c h I m e a n t h e i m p a c t that u s e o f the l a w h a d o n the t h i n k i n g o f C o n f u c i a n o r i e n t e d s c h o l a r - o f f i c i a l s , for w h o m f o r m a l l e g a l i t y w a s s a i d t o b e a n i n f e r i o r s o c i a l n o r m . I t i s h a r d t o i m a g i n e that s u c h officials c o u l d h a v e u s e d t h e l a w a s / e x t e n s i v e l y a n d a d r o i t l y a s m a n y i n fact d i d w i t h o u t its w a y s o f l o o k i n g at the w o r l d influencing them, consciously or otherwise. For a b r i e f f u r t h e r d i s c u s s i o n o f this, s e e A l f o r d , " L a w , L a w , W h a t L a w ? " E x t r e m e l y interesting w o r k on related concerns is being d o n e by K a r e n T u r n e r ( f o c u s ing o n notions o f legality i n early C h i n a ) and b y M a r y B u c k and A d a m A l f e r t ( e a c h o f w h o m i s e x p l o r i n g the i n t e r a c t i o n b e t w e e n f o r m a l l e g a l i t y and C o n f u c i a n ideals in magisterial decision m a k i n g ) . 94. P u l l e y b l a n k , " C h i n e s e H i s t o r i c a l C r i t i c i s m , " 135. Ssu-ma Ch'ien; P u l l e y b l a n k , "Historiographical Tradition,"

95. W a t s o n , 143, 1 5 2 - 5 3 96. Bodde,

China's First Unifier.

In a f a s c i n a t i n g e x a m p l e of the v i t a l i t y

o f t h e p a s t for c o n t e m p o r a r y d i s c o u r s e , articles p u b l i s h e d a b o u t t h e Q i n d y n a s t y i n t h e P R C i n t h e w a k e o f t h e J u n e 1989 s u p p r e s s i o n o f t h e p r o d e m o c r a c y m o v e m e n t attempt t o play d o w n the n u m b e r o f p e r s o n s e x e c u t e d 2,200 y e a r s a g o a n d s u g g e s t that t h e y w e r e u n w o r t h y i n d i v i d u a l s . See, e.g., W a n g N i n g j u n , "Tale o f Q i n Scholars B e i n g B u r i e d A l i v e I s C h a l l e n g e d , " China Daily, A u g . 97. 98. Tradition. 99. 100. Goodrich, Literary Inquisition. Metzger, "Foreword," xiv. T h i s s a m e mentality m a y be evident in Goodrich, Literacy 1, 1989, 5. Inquisition.

S i m a Q i a n , Shiji, q u o t e d in De B a r y et a l . , t r a n s . , Sources of Chinese

a principal P R C translation o f U . S . S u p r e m e C o u r t cases, which essentially e x c l u d e s all d i s s e n t i n g o p i n i o n s o n t h e g r o u n d s that they r e p r e s e n t i n c o r r e c t views and so do not warrant study. 101. A t t e m p t s t o s t r e t c h that c o l l e c t i v e m e m o r y i n c l u d e d n o t o n l y t h e d e n u n c i a t i o n o f t e x t s a s u n a u t h e n t i c (as K a n g Y o u w e i d i d ) b u t a l s o t h e " d i s c o v e r y " o f w h a t w e r e said t o b e long-lost versions o f classics. Indeed, b y t h e late Q i n g , t h e r e w e r e s o m a n y k e y t e x t s b e i n g " r e d i s c o v e r e d " that L i a n g Q i c h a o ( w h o c o m m e n c e d his p u b l i c career a s a n ally o f K a n g ' s ) later d e p l o r e d w h a t h e s a w a s efforts r e t r o a c t i v e l y t o a d d p a s s a g e s t o a n c i e n t t e x t s a n d t h e n c l a i m their d i s c o v e r y . L i a n g Q i c h a o , Yinbingshe heji. 102. T h e e v a l u a t i o n o f m a g i s t r a t e s w a s b a s e d , i n p a r t , o n t h e e x t e n t t o w h i c h t h e y m a i n t a i n e d " h a r m o n y " w i t h i n their d i s t r i c t s , g i v i n g t h e m a s t r o n g i n c e n t i v e t o d i s c o u r a g e l i t i g a t i o n a n d o t h e r a c t i o n s that w o u l d b e s e e n a s d i s h a r m o n i o u s b y their s u p e r i o r s . S e e B o d d e a n d M o r r i s , Law i n Imperial 103. China. Waley, t r a n s . , Analects of Confucius, b k . 7, ch. 1.

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104. 106.

Schwartz,

World of Thought in Ancient China. 18.

105. O w e n ,

Remembrances,

A s Z h u X i (1130-1200), the p r o g e n i t o r o f N e o - C o n f u c i a n i s m , o b -

s e r v e d "at that t i m e [ i . e . , w h e n C o n f u c i u s l i v e d ] , the w o r k o f c r e a t i o n w a s fairly c o m p l e t e ; the M a s t e r [i.e., C o n f u c i u s ] therefore m a d e a G r e a t S y n t h e s i s [dacheng] o f the v a r i o u s S a g e s a n d s t r u c k a M e a n . A l t h o u g h this w a s ' t r a n s m i s s i o n , ' his m e r i t w a s t w i c e that o f ' m a k i n g . ' O n e m u s t u n d e r s t a n d this a l s o " ( q u o t e d in M u r c k , Artists and Traditions, x i i ) . S e e a l s o j u - h s i C h o u , " T h r o u g h the Disciples' Eyes," 11-22. 107. O w e n , 108. 109. no. in. Owen, Eliot, Remembrances, Remembrances, Notes 22. 15. 118. xvii.

Ibid., 14-15. See also Alford, "Inscrutable Occidental." Toward a Definition of Culture, Confucian China,

Levenson,

112. L y n n , " A l t e r n a t i v e R o u t e s t o S e l f - R e a l i z a t i o n , " 322. 113. Q u o t e d i n i b i d . , 317. 114. Q u o t e d i n C h a v e s , " P a n o p l y o f I m a g e s , " 357. 115. I b i d . , 343. 116. P u l l e y b l a n k , " H i s t o r i o g r a p h i c T r a d i t i o n , " 150. 117. Cahill, t i o n , " 7. 119. B u s h , 120. 121. M u r c k , 122. B u s h , Chinese Literati on Painting, Artists and Traditions. 50-66. 1: 2 1 . Q u o t e d in L e v e n s o n , Confucian China, Chinese Literati on Painting. Compelling Image, 57. 155. Compelling Image, 57. 118. M o t e , " T h e A r t s a n d the ' T h e o r i z i n g M o d e ' o f C h i n e s e C i v i l i z a -

123. C a h i l l , " O r t h o d o x M o v e m e n t , " 180. 124. Q u o t e d in C a h i l l , 125. S e e 126. Ho, Eight Dynasties of Chinese Painting. xi.

Q u o t e d in C a h i l l , Compelling Image, Artists and Traditions,

127. M u r c k ,

128. W e n F o n g , " P r o b l e m o f F o r g e r i e s , " 100. 129. I b i d . , 100. 130. Ibid. "Problem of Forgeries," 100. These suggestions, of 131. W e n F o n g ,

c o u r s e , i n d i c a t e that s o m e w e r e c o n c e r n e d a b o u t u n a u t h o r i z e d c o p y i n g . 132. Q u o t e d i n L i n S h u e n - f u , " C h i a n g K ' u e i ' s T r e a t i s e s , " 307.

Three.

Learning

the

Law Smith,

at

Gunpoint China's Cultural Heritage.

1. S e e R i c h a r d

2. H a o and Wang, "Changing Chinese Views," 156-72.

142

N o t e s to P a g e s 31-33

3 . E d w a r d s , " C h ' i n g L e g a l J u r i s d i c t i o n , " 222. 4. E d w a r d s , "Canton System." 5 . E d w a r d s , " C h ' i n g L e g a l J u r i s d i c t i o n , " 223. 6. T h e hong a r e d e s c r i b e d in F a i r b a n k , Trade and Diplomacy. 7 . I n s o d o i n g , the C h i n e s e s o u g h t t o h a v e the " b a r b a r i a n s " s t r u c t u r e t h e i r a c t i v i t i e s a l o n g C h i n e s e l i n e s . A s w a s the c a s e w i t h g u i l d s a n d a r a n g e o f o t h e r g r o u p s , the C h i n e s e e x p e c t e d g r o u p l e a d e r s t o b e r e s p o n s i b l e for the behavior o f m e m b e r s . 8. F a i r b a n k a n d T e n g , e d s . , China's Response to the West, 1 9 - 2 1 . 9 . Q u o t e d i n E d w a r d s , " C a n t o n S y s t e m , " 245. 10. T h e Lady Hughes, a B r i t i s h m e r c h a n t s h i p , h a d the m i s f o r t u n e of f i r i n g a s a l u t e that r e s u l t e d i n t h e d e a t h o f a C h i n e s e s e a m a n . A t first the B r i t i s h c a p t a i n r e f u s e d t o s u r r e n d e r a g u n n e r t o the C h i n e s e s i d e , a r g u i n g t h a t i t w a s difficult t o a s c e r t a i n w h o w a s r e s p o n s i b l e for t h e e r r a n t v o l l e y , a n d that, i n a n y e v e n t , B r i t i s h c o u r t s w o u l d s e e that j u s t i c e w a s d o n e . R e l e n t i n g u n d e r p r e s s u r e , the B r i t i s h w e r e s h o c k e d w h e n the C h i n e s e e x e c u t e d t h e s a i l o r b y s t r a n g u l a t i o n . T h e C h i n e s e b e l i e v e d that this d e m o n s t r a t e d l e n i e n c y , i n a s m u c h a s i t e n a b l e d the s a i l o r t o die w i t h his b o d y i n t a c t , i n k e e p i n g w i t h C o n f u c i a n m o r e s t o the effect that o n e s h o u l d l e a v e this w o r l d w i t h o u t d a m a g i n g the b o d y one's parents h a d given one. T h e B r i t i s h , w h o w o u l d h a v e p r e f e r r e d a q u i c k e r a n d t o their m i n d s m o r e h u m a n e m e a n s o f e x e c u t i o n , i n s t e a d t o o k this a s a s i g n o f C h i n e s e b a r b a r i s m , a n d t h e y r e f u s e d t h e r e a f t e r t o a l l o w their s u b j e c t s t o b e t r i e d b y C h i n e s e c o u r t s . T h e r e c o r d o f t h e Lady Hughes c a s e h a s b e e n t r a n s l a t e d b y D r . F u - m e i C h e n a n d o t h e r s affiliated w i t h the H a r v a r d E a s t A s i a n L e g a l S t u d i e s p r o g r a m . I t i s reprinted in A l f o r d , "Role of L a w in Chinese Society." 11. C h a n g H s i n - p a o , 13. H a o Y e n - p ' i n g , Commissioner Lin, 1-15. 121. 39-46. 14.

12. S p e n c e , " O p i u m S m o k i n g , " 1 4 3 - 7 3 . Commercial Revolution, Commissioner Lin, 95, 14. C h a n g H s i n - p a o , 15. C o h e n a n d C h i u , China's Response to the West,

People's China and International Law, 24-27.

16. T h e letter t o Q u e e n V i c t o r i a i s t r a n s l a t e d i n F a i r b a n k a n d T e n g , e d s . , 17. B y v i r t u e o f e n j o y i n g m o s t - f a v o r e d - n a t i o n s t a t u s w i t h Q i n g C h i n a , a f o r e i g n T r e a t y P o w e r w a s entitled t o w h a t e v e r p r i v i l e g e s C h i n a g r a n t e d t o a n y o t h e r f o r e i g n p o w e r . K e y treaties e s t a b l i s h i n g t h e s e p r i v i l e g e s a r e r e p r i n t e d i n M a y e r s , e d . , Treaties. 18. A r t i c l e 1 2 o f the T r e a t y o f P e a c e , A m i t y a n d C o m m e r c e B e t w e e n t h e U n i t e d S t a t e s o f A m e r i c a a n d the C h i n e s e E m p i r e s i g n e d a t W a n g x i a o n J u l y 3, 1844, r e p r i n t e d in M a y e r s , e d . , Treaties, 76. 19. S e e Fishel, End of Extraterritoriality; Kotenev, Shanghai and Its Mixed Court; H s i a C h i n g - l i n , Status of Shanghai.

Notes to Pages 33-35 / 143


20. A l t h o u g h s o - c a l l e d songgun (litigation tricksters) and others p r o -

v i d e d i n f o r m e d a d v i c e t o p e r s o n s i n v o l v e d i n C h i n e s e legal p r o c e s s e s (see A l f o r d , " O f A r s e n i c a n d O l d L a w s , " 1180), i t i s g e n e r a l l y a g r e e d that p r i o r t o W u T i n g f a n g ' s a p p e a r a n c e i n t h e S h a n g h a i M i x e d C o u r t i n 1877, " l e g a l representation of the C h i n e s e parties had been d e e m e d unnecessary" ( C h ' e n , China and the million. 2 1 . L o b i n g i e r , " A m e r i c a n C o u r t s i n C h i n a , " 24. 22. 23. R e l e v a n t U . S . l a w s are d e s c r i b e d i n " J u r i s p r u d e n c e a n d J u r i s d i c " T h o s e w h o h a v e to a d m i n i s t e r [these] . . . l a w s are d e s t i t u t e of all tion," 503-5, 5 0 8 - n . l e g a l r e q u i r e m e n t s , " J . W . D a v i s , the A m e r i c a n c o m m i s s i o n e r t o C h i n a a t m i d c e n t u r y , r e p o r t e d t o the U . S . S e n a t e ( S e n a t e E x e c u t i v e D o c u m e n t 7 2 , 31st C o n g . , 1st s e s s . [ S e p t . 1850], 8 - 1 9 , r e p r i n t e d in F i s h e l , End of Extraterritoriality, 24. 25. 13). A c t C r e a t i n g the U n i t e d States C o u r t f o r C h i n a and L i m i t i n g J u r i s Although the Exclusion Act of 1882 was aimed at Chinese West, 231). Indeed, e v e n as late as 1926, there were fewer t h a n 250 C h i n e s e l a w y e r s a v a i l a b l e t o S h a n g h a i ' s p o p u l a t i o n o f o v e r t h r e e

d i c t i o n o f C o n s u l a r C o u r t s i n C h i n a , 3 4 U . S . S t a t s a t L . , ch. 7 4 (1906). " l a b o r e r s , " t h e i m p r e c i s e d e f i n i t i o n s c o n t a i n e d in the l e g i s l a t i o n s e r v e d as a d e t e r r e n t t o C h i n e s e t h i n k i n g o f c o m i n g t o the U n i t e d S t a t e s for a r a n g e o f different p u r p o s e s . S e e H u n t , Making of a Special Relationship, 8 5 - 9 6 . 26. People's 27. C h i n e s e i m a g e s o f Western j u s t i c e a r e a d d r e s s e d i n C o h e n a n d C h i u , China and International Law, 10. T h e m o s t n o t e w o r t h y e x c e p t i o n s e e m s t o h a v e b e e n the a b o r t i v e

p r o p o s a l o f H o n g R e n ' g a n , o n e o f t h e l e a d e r s o f the T a i p i n g r e v o l u t i o n a r y m o v e m e n t o f the m i d n i n e t e e n t h c e n t u r y , that a p a t e n t s y s t e m b e a d o p t e d . See Zheng Chengsi, 28. 29. 30. Western 32. 33. 34. Chinese Intellectual Property, 51-52. G a r d e l l a , " B o o m Y e a r s o f the F u k i e n T e a T r a d e , " 6 9 - 7 0 . See, Hao, e . g . , M o r s e , International Relations, Commercial Revolution, China in Law, 263. 3: 378. See also Allen and Donnithorne,

Enterprise. 270. 265. 1; R i c k e t s o n , Berne Convention. 3: 377-78. Hao, Commercial Revolution,

31. J e r n i g a n ,

M a c h l u p , "Patents." T h e conventions are discussed in M a c h l u p and "Patent C o n t r o v e r s y , " Morse, International Relations,

Penrose,

35. I t r e m a i n s difficult t o r e n d e r W e s t e r n t r a d e m a r k s i n C h i n e s e , p a r t i c u l a r l y i n v i e w o f differences i n o r a l r e n d e r i n g s that s p e a k e r s o f different d i a l e c t s g i v e the s a m e c h a r a c t e r s . T h u s , a t t i m e s , a t r a d e m a r k that m a y s o u n d f e l i c i t o u s i n o n e d i a l e c t m a y c o n t a i n a h i d d e n (and n o t n e c e s s a r i l y pleasant) m e a n i n g in another.

144

N o t e s t o P a g e s 35-38

36. C r o w , 37. Life, See,

400 Million Customers, Gutzlaff,

15-31. 34-53; D o o l i t t l e , 272-96. comp., Wuxu bianfa Social

e.g.,

Sketch of Chinese History, Sidelights on Chinese Life,

335-41; M a c G o w a n , 38. J o n e s , 39.

The Great Qing Code. 453-54.

Guojia dang'anju M i n g - Q i n g dang'an guan, shiliao,

dang'an 40.

Y u a n , " Z h o n g g u o j i n d a i b a n q u a n de yanbian shiqi," 46-47.

4 1 . C o c h r a n , Big Business in China; H a m i l t o n a n d L a i , " J i n s h i z h o n g g u o shangbiao." 42. 43. 44. 45. 46. Morse, Morse, Morse, International Relations, International Relations, International Relations, 3: p a s s i m . 3: 3: 157-87. 191. A l t h o u g h the likin t h e o r e t i H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 187-88. Q u o t e d i n H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 183.

c a l l y a p p l i e d o n l y t o C h i n e s e g o o d s , the r e q u i r e m e n t that f o r e i g n g o o d s b e c o v e r e d b y a " t r a n s i t p a s s " e q u a l t o h a l f the d u t y c h a r g e d C h i n e s e a n d the u n e v e n q u a l i t y o f a d m i n i s t r a t i o n i n g e n e r a l led the t r e a t y p o w e r s t o s e e this t a x a s i m p e d i n g their t r a d e i n C h i n a . 47. 48. 49. 50. T h e p r o b l e m s engendered by the absence of a u n i f o r m national c u r 113. Morse, International Relations, 3: 360-80. r e n c y a r e d e s c r i b e d in K i n g , Money and Monetary Policy in China,

T h e 1903 t r e a t y b e t w e e n the U n i t e d S t a t e s a n d C h i n a , r e p r i n t e d i n See Feuerwerker, China's Early Industrialization.

M a c M u r r a y , e d . , Treaties and Agreements, A r t s . 12 a n d 15. 51. T h i s w a s also the case in c o n t e m p o r a n e o u s discussions b e t w e e n the C h i n e s e a n d o t h e r f o r e i g n p o w e r s , s u c h a s G e r m a n y , that d i d n o t c u l m i n a t e in comprehensive commercial agreements. 52. A r t . 7. 53. " L u n s h a n g b i a o z h u c e b u y i n g y a n q i , " 143. Treaties and Agreements, A r t . 9. T h a t the c o n c e r n w i t h r e c i 54. T h e 1903 t r e a t y b e t w e e n t h e U n i t e d S t a t e s a n d C h i n a , r e p r i n t e d i n M a c M u r r a y , ed., p r o c i t y m a y h a v e b e e n s y m b o l i c i s s u g g e s t e d b y the fact that a t the t i m e i n q u e s t i o n , o w i n g t o the E x c l u s i o n A c t o f 1882 a n d o t h e r l e g i s l a t i o n d i r e c t e d a g a i n s t C h i n e s e i m m i g r a n t s , there w e r e s c a r c e l y 100,000 C h i n e s e i n t h e U n i t e d S t a t e s , f e w o f w h o m p r e s u m a b l y h a d the t i m e t o w o r r y a b o u t the niceties of securing t r a d e m a r k protection. 55. T h e M a c k a y T r e a t y , A r t . 7. 56. 57. 58. Clark, Analytic Summaries. T h e 1903 t r e a t y b e t w e e n the U n i t e d S t a t e s a n d C h i n a , r e p r i n t e d i n Treaties and Agreements, A r t . 9. I b i d . , A r t . 10. r e p r i n t e d in Allman, Protection of Trademarks, T h e M a c k a y Treaty, r e p r i n t e d in A l l m a n , Protection of Trademarks,

M a c M u r r a y , ed.,

N o t e s t o P a g e s 38-42

145

59.

Ibid., Art.

n . T h e m o s t c o m m o n l y u s e d C h i n e s e w o r d s for c o p y -

r i g h t , banquan a n d zhuzuoquan, a p p e a r n o t to h a v e b e e n u s e d in official p u b lic d o c u m e n t s i n C h i n a p r i o r t o this t i m e . T o b e s u r e , i n d i v i d u a l C h i n e s e a u t h o r s i n c l u d i n g , m o s t n o t a b l y Y a n F u , the f a m o u s t r a n s l a t o r o f L o c k e , H o b b e s , M o n t e s q u i e u , and other key figures in Western p h i l o s p h y h a d m a d e b r i e f mention o f copyright shortly before. X i e and G u o , " S o u n d s o f H i s t o r y ' s F o o t s t e p s , " 20. 60. T h e 1903 t r e a t y b e t w e e n the U n i t e d S t a t e s a n d C h i n a , r e p r i n t e d i n Treaties and Agreements, A r t . 11.

M a c M u r r a y , ed.,

6 1 . H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 192. 62. J o s e p h K . H . C h e n g , " C h i n e s e L a w i n T r a n s i t i o n , " i n . 63. 65. 66. 67. 68. 69. 70. " G a i d i n g s h a n g b i a o tiaoli" (1909), A r t . 2. H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 200-201. Trademark regulations, r e p r i n t e d in Foreign Relations of the United 64. J o s e p h K . H . C h e n g , " C h i n e s e L a w i n T r a n s i t i o n , " 96.

States, A u g . 15, 1904, i t e m n o . 1681, A r t . 1. I b i d . , A r t . 27. I b i d . , A r t . 8. I b i d . , A r t . 2. O r d e r to the M i n i s t r y of C o m m e r c e , r e p r i n t e d i n Dongfang zazhi,

G u a n g x u 30th y e a r , 2 d m o n t h , 25th d a y (1905). 7 1 . C o n g e r , " L e t t e r t o S e c r e t a r y o f S t a t e J o h n H a y , O c t . 13, 1904." 72. 73. 74. H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 203. "Inclosure to Letter of U . S . Minister C o n g e r to Secretary of State North China Herald, Sept. 16, 1904.

H a y , D e c . 8, 1904." 75. M i n i s t r y o f C o m m e r c e m e m o r i a l q u o t e d i n Heuser, "Chinese T r a d e m a r k L a w o f 1904," 2 0 4 - 5 . 76. 78. 79. issued C o o l i d g e , " L e t t e r t o S e c r e t a r y o f S t a t e J o h n H a y , J a n . 7 , 1905." Protection of Trademarks, 113. 902-18. Ibid.; Willoughby, (Zhuanlifa jianlun, Foreign Rights, 77. Allman,

W a n g J i a f u a n d X i a S h u h u a s u g g e s t n o m o r e t h a n 360 p a t e n t s w e r e 66-68), w h i l e Z h e n g C h e n g s i p u t s the n u m b e r a t 51). T h i s w a s at a t i m e w h e n U . S . patent

692 (Chinese Intellectual Property,

authorities "faced a c o n t i n u o u s l y increasing flood of applications," y i e l d i n g far m o r e p a t e n t s a n n u a l l y t h a n C h i n a g r a n t e d o v e r this e n t i r e p e r i o d ( N o b l e , America by Design, 80. 82. erty, 102). 334-79.

T h e s e l a w s m a y be f o u n d in K e , Zhongguo baoxue shi, Protection of Trademarks, 178-79. Ibid.,

81. A l l m a n ,

107. T h e p r a c t i c e o f u s i n g " s t a m p s . . . a s c o r r o b o r a t i o n o f

o w n e r s h i p " d a t e s f r o m this p e r i o d ( Z h e n g C h e n g s i , Chinese Intellectual Prop87). Allman, Protection of Trademarks, 107. 83.

146 / N o t e s to Pages 42-45


84. 85. Fishel, End of Extraterritoriality, 26-50. 1905, r e p r i n t e d

See, e.g., the correspondence of U. S. minister to C h i n a W. W. R o c k United States (1906), 232.

hill w i t h t h e G e r m a n m i n i s t e r , A . V . M u m m , A u g . 22, in Foreign Relations of the 86.

S e e t h e n o t e s b e t w e e n the U n i t e d S t a t e s a n d B e l g i u m , D e n m a r k , Treaties and Agreements, 1: 542, 6 4 1 ,

F r a n c e , G e r m a n y , G r e a t B r i t a i n , Italy, J a p a n , t h e N e t h e r l a n d s , R u s s i a , a n d S w e d e n , r e p r i n t e d in M a c M u r r a y , e d . , 538, 544, 502, 546, 735, 540, a n d 2: 1002. 87. 88. 89. tion, 90. 92. Press, 93. 94. Willoughby, Foreign Rights, 902-18. 151-203. Great Chinese RevoluM a y a n d F a i r b a n k , e d s . , America's China Trade,

T h e baihua m o v e m e n t is d i s c u s s e d in F a i r b a n k ,

189-91. Foreign Relations of the United States (1907), pt. 1, 262. Trademark Protection, 96. 334; D r e g e , 335. Commercial Zhang Jinglu, 58. Zhang Jinglu, Zhongguo xiandai chuban shiliao, W i l l o u g h b y , Foreign Rights, 905. B e l i e v i n g efforts to o b t a i n r e d r e s s Zhongguo xiandai chuban shiliao,

91. A l l m a n ,

t h r o u g h t h e C h i n e s e futile, b y the i92o's t h e B r i t i s h a u t h o r i t i e s d i d n o t e v e n b o t h e r t o c o n t a c t C h i n e s e officials. 95. 96. 97. 98. 99. 100. 102. 103. " T r a d e - m a r k s in C h i n a , " North China Daily News, A u g . 20, Willoughby, Link, Foreign Rights, 150. 912-18. passim. Zhang Jinglu, I b i d . , 51. I b i d . , 53. C o n g e r , " L e t t e r t o S e c r e t a r y o f S t a t e J o h n H a y , O c t . 13, 1904." S h e n J i a b e n (1840-1913) w a s a p a r a m o u n t f i g u r e i n late Q i n g l a w Zhongguo xiandai chuban shiliao, 1907.

Mandarin Ducks,

101. Q u o t e d i n H e u s e r , " C h i n e s e T r a d e m a r k L a w o f 1904," 50.

r e f o r m . F o l l o w i n g a d i s t i n g u i s h e d c a r e e r o n the B o a r d o f P u n i s h m e n t s , i n t h e c o u r s e o f w h i c h h e s e r v e d a s its v i c e p r e s i d e n t a n d c o n d u c t e d g r o u n d b r e a k i n g research on C h i n e s e legal history, Shen was n a m e d imperial c o m m i s s i o n e r for l a w r e f o r m i n 1902 ( a l o n g w i t h W u T i n g f a n g ) . I n that c a pacity, Shen p r o p o s e d sweeping changes in such fundamental notions as t h e d i f f e r e n t i a t i o n o f p u n i s h m e n t s a c c o r d i n g t o the r e l a t i v e r a n k o f t h e p e r petrator a n d v i c t i m . A l t h o u g h few of the p r o p o s a l s generated under his direction w e r e enacted, he is rightly considered a m a j o r figure in C h i n e s e legal history. 104. W u T i n g f a n g (1842-1922), w h o w a s b o r n i n S i n g a p o r e a n d e d u -

cated in the West, b e c a m e H o n g K o n g ' s first C h i n e s e barrister in 1877. A f t e r s u c c e s s f u l l y p r a c t i c i n g i n H o n g K o n g , h e j o i n e d the s t a f f o f V i c e r o y L i H o n g z h a n g i n 1882, t h r o u g h w h i c h h e w a s a b l e d u r i n g the n e x t d e c a d e a n d

N o t e s t o P a g e s 45-49

147

a h a l f to play an i m p o r t a n t role in a range of commercial, legal, d i p l o m a t i c , a n d o t h e r a c t i v i t i e s . H e w a s m a d e C h i n a ' s a m b a s s a d o r t o the U n i t e d S t a t e s i n 1896 a n d later w a s s e l e c t e d a s a n i m p e r i a l c o m m i s s i o n e r for l a w r e f o r m along with Shenjiaben. 105. 106. 107. Meijer, Introduction of Modern Criminal Law in China; J o s e p h K. H. C h e n g , "Chinese L a w in Transition." Dongfang zazhi, G u a n g x u 32d year, 3d m o n t h , 25th d a y (1907). I b i d . , G u a n g x u 31st year, 2 d m o n t h (1906).

108. J i a n g n a n B u r e a u o f C o m m e r c e , r e p o r t , i n i b i d . , G u a n g x u 30th y e a r , 9th m o n t h , 25th d a y (1905). 109. no. in. Ibid., " R e a s o n s for D r a f t i n g the T r i a l P r o v i s i o n s o f T r a d e m a r k Registration." T h e 1903 t r e a t y b e t w e e n the U n i t e d S t a t e s a n d C h i n a , r e p r i n t e d i n Treaties and Agreements, A r t . 9. 1907, r e Letter of Prince Q i n g to Minister Rockhill of J u n e 1, Mandarin Ducks, Outline History, Chinese China, 161-70. M a c M u r r a y , ed.,

p r i n t e d in Foreign Relations of the United States (1907), i t e m n o . 284. 112. L i n k , 113. B a i , 491. 117-70.

114. M c K e e , 115. C h o w , 116. A r n o l d ,

Exclusion. 343-47.

May Fourth Movement,

1 1 7 . I n S h e n ' s w o r d s , " B e i n g s u r r o u n d e d b y the p o w e r s a n d c o m p e l l e d b y t h e s i t u a t i o n s o f i n t e r n a t i o n a l i n t e r a c t i o n , i t i s e x t r e m e l y difficult f o r C h i n a t o s t i c k t o the o l d w a y " ( q u o t e d i n C h e n g , " C h i n e s e L a w i n T r a n s i tion," Criminal 209). Outline History, in China. Words Like Colored Glass, 100-121. 447-48, 480-83; Meijer, Introduction of Modern Law 118. B a i ,

119. B e r m a n , 121. Ibid.,

120. J o s e p h K . H . C h e n g , " C h i n e s e L a w i n T r a n s i t i o n , " 1 9 6 - 2 5 8 . 196-258. 122. M a d e l i n e Z e l i n ' s recent w o r k s u g g e s t s that a t least i n t h e salt i n d u s t r y i n S i c h u a n d u r i n g this p e r i o d , s o m e c h a m b e r s o f c o m m e r c e a c t e d w i t h dispatch a n d skill to resolve disputes a m o n g C h i n e s e merchants. Z e l i n , "Merchant Dispute Mediation." 123. F a i r b a n k , 124. L e v e n s o n , Great Chinese Revolution, Confucian China, 1-21. 156. A s h a d the Q i n g , Y u a n Shikai

i n s t i t u t e d r e s t r i c t i v e p r e s s l a w s d u r i n g his b r i e f i n t e r l u d e a s C h i n a ' s ruler. 125. T h u s , t h e C h i n e s e r e s i s t e d f o r e i g n p r e s s u r e i n 1913 a n d 1920 t o j o i n the B e r n e C o n v e n t i o n , contending that adherence w o u l d only hurt C h i n a ' s e c o n o m y and educational system. Property, 126. 88. Meijer, Introduction of Modem Criminal Law in China. See Z h e n g C h e n g s i , Chinese Intellectual

148 / N o t e s to Pages 49-54


127. Q u o t e d in A l l m a n , 128. 129. 130. Eastman, Sheridan, Tang, Abortive China in Protection ojTrademarks, Revolution. Disintegration. China, 48-49. 179.

America's Failure in

131. S u n ' s v i s i o n is d e s c r i b e d in his San Min Chu I ( T h e T h r e e P e o p l e ' s P r i n c i p l e s ) . T h e G u o m i n t a n g ' s early y e a r s i n g o v e r n m e n t a r e t h e s u b j e c t o f Eastman, Abortive Revolution. 132. C h ' e n , China and the West, 231 a n d 728-29; A l f o r d a n d S h e n , " ' L a w Is My Idol.' " 133. A t r a n s l a t i o n o f t h e C o p y r i g h t L a w a n d its d e t a i l e d r e g u l a t i o n s w a s p u b l i s h e d in 4 China Law Review 4, n o . 134. 2 (1929). I b i d . T h i s l a w w a s a m e n d e d i n 1944, i n r e s p o n s e t o A m e r i c a n o b -

j e c t i o n s , to place C h i n e s e and foreigners on an equal footing. 135. I b i d . , A r t . 22. 136. T h e full P u b l i c a t i o n L a w is r e p r i n t e d in K e , 334137. T i n g , Government Control, 126-59. 19. 138. R e p r i n t e d in K e , Zhongguo baoxue shi, A r t . 139. I b i d . , A r t . 15. 140. Ibid. See also T i n g , Government Control. 1 4 1 . T h e 1930 T r a d e m a r k L a w , A r t . 2 . 142. T h e s e a r e d i s c u s s e d i n N a t i o n a l F o r e i g n T r a d e C o u n c i l , S u b c o m mittee on Intellectual P r o p e r t y P r o p e r t y in C h i n a , " 6. 143. T h e 1949 P a t e n t L a w , A r t s . 4 a n d 14. 144. 145. 146. 148. 149. H a l l , " P i r a t i n g o f A m e r i c a n B o o k s , " 1914. Kaser, Book Pirating, 19. 101. 48-49. lunwenji. S u b c o m m i t t e e on Intellectual 11. S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Banquanfa, Defen, Zhuzuoquanfa Beale and Pelham, "Protection of Industrial and Intellectual Zhongguo baoxue shi,

147. He

Trade and Economic Conditions,

National Foreign Trade Council,

P r o p e r t y " P r o t e c t i o n o f I n d u s t r i a l a n d Intellectual P r o p e r t y i n C h i n a , " 6 . 150. Q u o t e d in E a s t m a n , Abortive Revolution, ernment and Politics, 152. C h ' e n , 154. Qian, 153. I b i d . , 254. Government and Politics. K a t h r y n B e r n h a r d t in h e r r e s e a r c h on d i v o r c e i n e a r l y R e p u b l i c a n C h i n a s u g g e s t s that f o r m a l l e g a l p r o c e s s e s m a y not have been as daunting as is posited here. See Bernhardt, "Women and the Law." 155. F a i r b a n k , Great Chinese Revolution, 223. T h e Control Yuan was one 249. 328. 151. T h e p a u c i t y o f l e g a l l y t r a i n e d i n d i v i d u a l s i s d i s c u s s e d i n Q i a n , GovChina and the West,

N o t e s t o P a g e s 55-60

149

o f t h e five b r a n c h e s o f g o v e r n m e n t e n v i s i o n e d b y S u n Y a t s e n . I t w a s i n t e n d e d , b r o a d l y s p e a k i n g , like the i m p e r i a l - e r a c e n s o r a t e , t o o v e r s e e o f f i c i a l d o m so as to deter both misfeasance and malfeasance. 156. Q u o t e d in E d w a r d s , China, 90. Henkin, a n d N a t h a n , e d s . Human Rights in Contemporary

Four. Squaring Circles


S e e , e . g . , M a o , " O n the T a c t i c s o f F i g h t i n g , " 1 5 3 - 7 8 . See, e.g., Zhu Xisen, Shangbiao yu shangbiao fa, 20-31. " Z h o n g g u o r e n m i n zhengzhi xieshang huiyi d e g o n g t o n g g a n g l i n g . " W a n g J i a f u a n d X i a S h u h u a , Zhuanlifa, 6 8 - 6 9 . S o v i e t i n t e l l e c t u a l p r o p e r t y l a w o f the r e l e v a n t p e r i o d i s d i s c u s s e d i n Levitsky, Hazard, 6. Copyright, Defamation, 157. and Privacy; Swanson, Scientific Discoveries; Communists and Their Laws.

M a r x , Early Writings,

7 . A l f o r d , " I n s c r u t a b l e O c c i d e n t a l , " 975. 8. " B a o z h a n g famingquan." T h e P R C has routinely published i m p o r t a n t l a w s a n d r e g u l a t i o n s initially in " p r o v i s i o n a l " (zanxing) or "trial" (shixing) f o r m . T h i s d e v i c e e n a b l e s the P R C t o i s s u e r u l e s o f c o n s i d e r a b l e g e n erality, t o test o u t p a r t i c u l a r f o r m u l a t i o n s , a n d , i n M a r x i s t t e r m s , t o a d a p t l a w a n d , for t h a t m a t t e r , o t h e r e l e m e n t s o f t h e s u p e r s t r u c t u r e t o t h e c h a n g i n g e c o n o m i c b a s e . A s will b e d i s c u s s e d b e l o w , the f l e x i b i l i t y that m a r k s this a n d o t h e r f e a t u r e s o f the l e g a l s y s t e m are n o t a t t a i n e d w i t h o u t a c o n siderable cost. 9. S h e n Y u a n y u a n , Faming yufaxian quan, 4; H s i a T a o - t a i , " C h i n a ' s N e w

P a t e n t L a w , " 19. 10. K a y , " P a t e n t L a w , " 343-44. 1 1 . T h e P R C ' s initial C o n s t i t u t i o n , promulgated in 1954, explicitly r e c o g n i z e d p r i v a t e p r o p e r t y . 1954 X i a n f a , A r t s . 5 , 8 - 1 2 , 14. 12. C h e n g K a i y u a n , " Y i b u j u y o u z h o n g g u o tese," 42. 13. " Z h e n g w u y u a n Shuhua, Zhuanlifa, guanyu jiangli youguan shengchang de faming, j i s h u gaijin ji helihua jianyi d e j u e d i n g . " Discussed in Wang Jiafu and X i a 70-72. 14. P e r s o n s h o l d i n g G u o m i n d a n g t r a d e m a r k s w e r e g i v e n s i x m o n t h s t o t u r n i n their o l d t r a d e m a r k certificates a n d a p p l y for r e g i s t r a t i o n u n d e r t h e P R C ' s r u l e s . I n t e r e s t i n g l y , p r i o r t o a s s u m i n g p o w e r , the C h i n e s e C o m m u n i s t s h a d i s s u e d t r a d e m a r k s i n a r e a s u n d e r their c o n t r o l . S e e L i u L i , " O n t h e Legal System of China Governing Trademarks." 15. S i d e l , " C o p y r i g h t , T r a d e m a r k a n d Patent," 270. 16. S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Banquanfa, 17. I b i d . 260-61.

150

N o t e s to P a g e s 60-63

18. I b i d . 19. " G u a n y u g u o y i n g c h u b a n b i a n j i j i g o u j i g o n g z u o z h i d u d e g u i d i n g . " F o r m o r e o n c o n t r a c t i n a P R C s e t t i n g , see L u c i e C h e n g a n d A r t h u r R o s e t t , " C o n t r a c t w i t h a C h i n e s e F a c e " ; Potter, Economic Contract Law. O t h e r c o n t e m p o r a n e o u s l e g a l m e a s u r e s i n c l u d e d the " G u a n l i s h u k a n c h u b a n y e y i n s h u a y e f a x i n g y e z a n x i n g tiaoli" a n d " G u a n y u j i u z h e n g renyi f a n y i n t u s h u x i a n x i a n g d e g u i d i n g . " S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Banquanfa, 1 0 6 - 8 . 20. S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Banquanfa, 262.

2 1 . I b i d . T h e s e e a r l y efforts are a l s o d i s c u s s e d i n X i e X i a n g a n d G u o J i a k u a n , " S o u n d s o f H i s t o r y ' s F o o t s t e p s , " 20. 22. 23. 24. 25. 26. 27. 28. Z h e n g C h e n g s i , " F u t u r e C h i n e s e C o p y r i g h t S y s t e m , " 144-45. Richman, Industrial Society, 384. S i d e l , " C o p y r i g h t , T r a d e m a r k a n d Patent," 2 7 1 . T a n g Z o n g s h u n , " P r o t e c t i o n o f Intellectual P r o p e r t y , " 4 . " G u a n y u g u o y i n g chuban bianji j i g o u ji g o n g z u o zhidu de guiding." A l f o r d a n d B i r e n b a u m , " V e n t u r e s i n the C h i n a T r a d e , " 1 0 1 - 2 . T h e "Anti-Rightist Movement" (1957) w a s d e s i g n e d t o r o o t o u t

A d d r e s s e d i n Z h e n g C h e n g s i , " F u t u r e C h i n e s e C o p y r i g h t S y s t e m , " 148.

i n t e l l e c t u a l s a n d o t h e r s w h o h a d b e e n t o o critical o f the C o m m u n i s t p a r t y d u r i n g the preceding " H u n d r e d Flowers M o v e m e n t . " T h e "Great L e a p F o r w a r d " (1958-60) s o u g h t t o accelerate the p a c e o f s o c i a l i s t e c o n o m i c d e v e l o p m e n t , l e a d i n g , inter alia, t o t h e t r a n s f e r o f u r b a n i n t e l l e c t u a l s a n d o t h e r s a t l e a s t t e m p o r a r i l y t o the c o u n t r y s i d e . S e e f u r t h e r M a c F a r q u h a r , Origins, passim; Goldman, 29. 30. Literary Dissent in Communist China, Ssu-ch'ing. 240.

B a u m and Teiwes,

B o t h the 1954 C o n s t i t u t i o n , w h i c h w a s then o p e r a t i v e , a n d the 1982

C o n s t i t u t i o n d e s c r i b e t h e S t a t e C o u n c i l a s the e x e c u t i v e o r g a n o f t h e h i g h e s t state a u t h o r i t y " t h e highest administrative o r g a n o f state." 31. " F a m i n g j i a n g l i tiaoli"; " J i s h u g a i j i n j i a n g l i tiaoli." 32. 33. 34. 35. " F a m i n g j i a n g l i tiaoli," A r t . 23. Q u o t e d i n H s i a T a o - t a i , " C h i n a ' s N e w Patent L a w , " 20. Richman, Industrial Society, 319. Guangming ribao ( E n l i g h t e n m e n t D a i l y ) is t h e l e a d i n g official p a p e r

for i n t e l l e c t u a l s a n d i s d e v o t e d i n l a r g e m e a s u r e t o m a t t e r s o f s c i e n c e , e d u cation, and culture. 36. 37. 38. 39. 40. 42. Q u o t e d i n G a l e , " C o n c e p t o f Intellectual P r o p e r t y , " 350. " S h a n g b i a o g u a n l i tiaoli." I b i d . , A r t . 1. "1963 S h a n g b i a o g u i d i n g , " A r t . 2. Goldman, Literary Dissent, 241.

4 1 . S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Banquanfa, 47. T h e C u l t u r a l R e v o l u t i o n (1966-76) tore apart C h i n e s e political, e c o -

N o t e s t o P a g e s 63-65

151

n o m i c , a n d s o c i a l life. T h e official h i s t o r y o f i t i s r e c o u n t e d i n " O n Q u e s t i o n s o f P a r t y H i s t o r y : R e s o l u t i o n o n C e r t a i n Q u e s t i o n s i n the H i s t o r y o f O u r P a r t y S i n c e the F o u n d i n g o f the P e o p l e ' s R e p u b l i c o f C h i n a " ( i s s u e d J u n e 27, 1981, a t t h e S i x t h P l e n a r y S e s s i o n o f the n t h C e n t r a l C o m m i t t e e o f t h e C h i n e s e C o m m u n i s t P a r t y ) . C h i n e s e t e x t i n Renmin ribao, J u l y 1 , 1981. E n g l i s h t r a n s l a t i o n in Beijing Review 24, n o . 27 ( J u l y 6, 1981): 10, 2 0 - 2 6 . F o r m o r e d e t a c h e d a c c o u n t s , see M a c F a r q u h a r , Origins; T h u r s t o n , Enemies of the People. 43. 44. 45. 46. 47. 48. 49. 50. 52. Leys, Chinese Shadows, 132.

I n fact, t h e s e c o n s i s t e d o f f i v e B e i j i n g o p e r a s , t w o b a l l e t - d r a m a s , S e e , e . g . , Fan Peng, Luoheixian, a C a n t o n e s e R e d G u a r d b r o a d s h e e t . L u b m a n , " E m e r g i n g F u n c t i o n s , " 235. W a n g J i a f u a n d X i a S h u h u a , Zhuanlifa. Q u o t e d i n G a l e , " C o n c e p t o f Intellectual P r o p e r t y , " 351. Z h e n g C h e n g s i , " T r a d e M a r k s i n C h i n a , " 278. S i d e l , " C o p y r i g h t , T r a d e m a r k a n d Patent." 132, 135-36. Author's interviews, conducted in Beijing, C h o n g q i n g , Shanghai,

and one symphonic work.

5 1 . L e y s , Chinese Shadows,

G u a n g z h o u , a n d H o n g K o n g , J u n e - D e c . 1986 a n d J u n e - A u g . 1987, a n d i n L o s A n g e l e s , A p r . - J u n e 1986, J a n . - J u n e 1987, a n d S e p t . 1 9 8 7 - M a r . 1988. 53. Q u o t e d in Zheng Chengsi, "Future Chinese Copyright System," 152. W h i l e in C h i n a in the 1970's, I v i s i t e d "art f a c t o r i e s " in w h i c h a r t i s t s collaborated on paintings. 54. Z h o u E n l a i ( 1 8 9 9 - 1 9 7 6 ) s e r v e d a s p r e m i e r o f the P R C f r o m its f o u n d a t i o n i n 1949 u n t i l his d e a t h i n 1976 a n d w a s a l s o f o r e i g n m i n i s t e r f r o m 1949 u n t i l 1958. D e n g X i a o p i n g ( b . 1904) h a s b e e n the p r i n c i p a l l e a d e r o f t h e P R C s i n c e 1 9 7 7 , a l t h o u g h h e has l o n g s i n c e r e s i g n e d f r o m f o r m a l p o s i t i o n s . H u a G u o f e n g ( b . 1920), w h o w a s d e s i g n a t e d b y M a o Z e d o n g a s his s u c c e s s o r , w a s s i m u l t a n e o u s l y p r e m i e r o f the P R C , c h a i r m a n o f the C o m m u n i s t p a r t y ' s C e n t r a l C o m m i t t e e , c h a i r m a n o f the p a r t y ' s M i l i t a r y A f f a i r s C o m m i t t e e , a n d e d i t o r o f M a o ' s w o r k s i n the y e a r s i m m e d i a t e l y f o l l o w i n g M a o ' s d e a t h . H e p r o v e d u n a b l e t o s u s t a i n l e a d e r s h i p i n his o w n n a m e , h o w e v e r , a n d b y 1980 h a d r e l i n q u i s h e d the a f o r e m e n t i o n e d p o s t s . F o r m o r e o n t h e F o u r M o d e r n i z a t i o n s generally, Second Revolution. see R i c h a r d B a u m , China's Four Modernizations. C h i n a ' s p o s t - M a o t r a n s f o r m a t i o n s are p o r t r a y e d i n H a r d i n g , China's

55. K a y , " P a t e n t L a w , " 351. 56. In the P R C , "intellectuals" include those w h o have g r a d u a t e d f r o m high school, as well as those w h o have received higher education. 57. T h e s i t u a t i o n o f i n t e l l e c t u a l s i n p o s t - C u l t u r a l R e v o l u t i o n C h i n a i s a r t f u l l y p o r t r a y e d in L i n k , Evening Chats, p a s s i m .

152

N o t e s t o P a g e s 65-66

58. 59. 60.

F o r a t h o u g h t f u l d i s c u s s i o n o f t h e s e efforts a t r e c o n s t r u c t i o n , s e e K a y , " P a t e n t L a w , " 351. T h e s e a r e t r a n s l a t e d in Foreign Broadcast Information Service C H I - 8 0 -

L u b m a n , " E m e r g i n g Functions."

0005 ( J a n . 7 , 1980), L - 5 . 6 1 . T h e C C P I T w a s o n e o f the f e w C h i n e s e o r g a n i z a t i o n s t o r e m a i n relatively u n c h a n g e d in format d u r i n g the C u l t u r a l R e v o l u t i o n years. 62. Zheng Chengsi, "Trade M a r k s in China." 63. T h u s , e . g . , t h e P R C ' s f i r s t c o m p r e h e n s i v e c r i m i n a l c o d e , p r o m u l g a t e d i n 1979, p r o v i d e s c r i m i n a l p e n a l t i e s for p e r s o n s f r a u d u l e n t l y p a s s i n g off goods. 64. quanfa. 65. 50-51. 66. S e c t i o n 2435 o f the 1974 T r a d e A c t e s t a b l i s h e s the criteria that m u s t b e m e t b e f o r e t h e " P r e s i d e n t m a y a u t h o r i z e the e n t r y i n t o f o r c e o f b i lateral c o m m e r c i a l a g r e e m e n t s p r o v i d i n g n o n d i s c r i m i n a t o r y treatment to t h e p r o d u c t s o f c o u n t r i e s h e r e t o f o r e d e n i e d s u c h t r e a t m e n t . " I n the e v e n t that t h e f o r e i g n n a t i o n i n v o l v e d i s n o t a p a r t y t o t h e m a j o r i n t e r n a t i o n a l i n t e l l e c t u a l p r o p e r t y c o n v e n t i o n s , S e c t i o n 2435 r e q u i r e s that the a g r e e m e n t " p r o v i d e r i g h t s for U n i t e d S t a t e s n a t i o n a l s w i t h r e s p e c t t o p a t e n t s a n d t r a d e m a r k s . . . [ a n d ] c o p y r i g h t s in s u c h c o u n t r y n o t less t h a n the r i g h t s " s p e c i f i e d i n s u c h c o n v e n t i o n s . " 1 9 U . S . C . 2435. 67. A r t i c l e V I o f the U . S . - P R C T r a d e A g r e e m e n t o f 1979. T h e U n i t e d T h e s e r e g u l a t i o n s a r e briefly t r e a t e d i n Z h a o X i u w e n , Zhuzuoquan, " G u a n y u zhixing xinwen chuban gaofei ji butie banfa de tongzhi." T h i s n o t i c e i s d i s c u s s e d briefly b y S h e n R e n ' g a n a n d Z h o n g Y i n g k e , Ban-

States w a s willing to accept such b r o a d l a n g u a g e f r o m a nation then lacking p a t e n t a n d c o p y r i g h t l a w s a n d w i t h r e l a t i v e l y little i n t h e w a y o f t r a d e m a r k p r o t e c t i o n b e c a u s e o f its e a g e r n e s s t o " n o r m a l i z e " r e l a t i o n s w i t h the P R C a n d its a t t e m p t s t o g e n e r a t e s u p p o r t i n the A m e r i c a n b u s i n e s s c o m m u n i t y for its C h i n a p o l i c y b y s u g g e s t i n g a m o r e f a v o r a b l e c l i m a t e for d o i n g b u s i n e s s t h a n e x i s t e d . I n this a n d a r a n g e o f c o m p a r a b l e s t e p s d e s i g n e d t o e n l i s t s u p p o r t for n o r m a l i z a t i o n , h o w e v e r , the C a r t e r a d m i n i s t r a t i o n r a i s e d u n d u e e x p e c t a t i o n s o n the p a r t o f the b u s i n e s s c o m m u n i t y , t h e A m e r i c a n p u b l i c m o r e b r o a d l y , a n d the C h i n e s e t h e m s e l v e s a s t o the s u i t a b i l i t y o f C h i n e s e c o n d i t i o n s for i n t e r n a t i o n a l b u s i n e s s . 68. T h e t w o s i d e s h a v e d i s a g r e e d a s t o w h e t h e r A r t i c l e V I o f t h e 1979

t r a d e a g r e e m e n t a c t u a l l y c o m m i t t e d the P R C t o p r o t e c t A m e r i c a n i n t e l l e c tual p r o p e r t y or merely to aspire toward such protection. For years, P R C c o m m e n t a t o r s d i s m i s s e d the n o t i o n that A r t i c l e V I c r e a t e d a n o b l i g a t i o n t o p r o v i d e a n y s p e c i f i c p r o t e c t i o n . I n t e r e s t i n g l y , w i t h the p r o m u l g a t i o n o f the P R C ' s C o p y r i g h t L a w i n 1990, s o m e C h i n e s e c o m m e n t a t o r s a r g u e d that

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i n fact A r t i c l e V I c o n s t i t u t e s a bilateral c o p y r i g h t a g r e e m e n t for p u r p o s e s o f that l a w , thereby enabling citizens of o n e nation to secure r i g h t s in t h e o t h e r , r e g a r d l e s s o f w h e r e w o r k s are first p u b l i s h e d . S e e " C o p y r i g h t L a w I s P u t i n t o E f f e c t , " China Daily, J u n e 1 , 1991, 1 ; K a y , " P R C : R e g u l a t i o n s . " A m e r i c a n n e g o t i a t i n g s t r a t e g y r e g a r d i n g intellectual p r o p e r t y r i g h t s in C h i n a is d i s c u s s e d f u r t h e r b o t h in this c h a p t e r a n d in c h a p t e r 6. 69. Policy; 70. 72. W a n g J a i f u a n d X i a S h u h u a , Zhuanlifa, 7 3 - 7 4 . T h e S t a t e S c i e n c e a n d S i m o n and G o l d m a n , Science and Technology.

T e c h n o l o g y C o m m i s s i o n is d e a l t w i t h e x t e n s i v e l y in S a i c h , China's Science S i d e l , " C o p y r i g h t , T r a d e m a r k a n d Patent," 273. S e e , e . g . , W a n g J i a f u a n d X i a S h u h u a , Zhuanlifa; C h e n g K a i y u a n ,

7 1 . " M a k i n g the R i g h t M o v e s , " China Trade Reports 25 ( J u l y 1987): 5 - 7 . " Y i b u j u y o u z h o n g g u o tese." A l s o a u t h o r ' s i n t e r v i e w s , B e i j i n g , 1986. 7 3 . K a y , "Patent L a w , " 357. D u a n R u i l i n , Zhuanlifa, 48-50. 74. D u a n Ruilin, Zhuanlifa, 48-50. T h e g o v e r n m e n t p e r c e i v e d this a s 39-42. a l s o h a v i n g the a n c i l l a r y b e n e f i t o f e n a b l i n g i t t o r e d u c e its d i r e c t g r a n t s t o m a n y research centers. 76. S a i c h , China's Science Policy, 75. Z h a o Z e l u , " Z h u a n l i q u a n . " M i c h a e l P a r k s , " C h i n a A d o p t s C o n t r o v e r s i a l P a t e n t L a w , " Los Angeles Times, M a r . 13, 1984. 77. Z h a n g Y o u y u w a s a professor of law at B e i j i n g U n i v e r s i t y and the first h e a d o f t h e A l l - C h i n a B a r A s s o c i a t i o n ( Q u a n g u o l u s h i x i e h u i ) . R e n J i a n x i n i s p r e s i d e n t o f the S u p r e m e P e o p l e ' s C o u r t a n d a m a j o r f i g u r e i n t h e s t a t e a n d p a r t y s e c u r i t y a p p a r a t u s . P r e v i o u s l y h e held p r o m i n e n t p o s i t i o n s a t C C P I T , w i t h p a r t i c u l a r r e s p o n s i b i l i t y for i n d u c i n g f o r e i g n e r s t o p a r t w i t h their t e c h n o l o g y . 78. 80. H s i a T a o - t a i , " C h i n a ' s N e w Patent L a w , " 23. Zhuanlifa gaiyao, 13-14. I b i d . ; Z h u W e n q i n g , " S h i l u n z h u a n l i f a d e r e n w u , " 1238-39. I n their

79. X i a S h u h u a ,

effort t o l e g i t i m a t e p a t e n t l a w d e v e l o p m e n t s , C h i n e s e officials n o w s u g g e s t that l a t e P r e m i e r Z h o u E n l a i w a s i n t e r e s t e d i n its e s t a b l i s h m e n t . S e e W a n g Z h e n g f a , " C h i n e s e Intellectual P r o p e r t y S y s t e m , " 22-23. 81. W a n g J i a f u a n d X i a S h u h u a , Zhuanlifa. 82. 83. 84. 85. Guangming ribao a n d Jingji ribao (Economics Daily) q u o t e d in Hsia T a o - t a i , " C h i n a ' s N e w Patent L a w , " 25. W a n g Y u j i e , " Z h o n g g u o tese d e s h e h u i z h u y i z h u a n l i f a , " 20. T h e s e c o n c e r n s are a d d r e s s e d in W a n g J i a f u , Shilun zhuanlifa, 2 7 - 3 2 . A u t h o r ' s i n t e r v i e w s , B e i j i n g , J u n e 1986 a n d J u n e - A u g . 1987, a n d

L o s A n g e l e s , F e b . 1987. C o n c e r n s a b o u t f o r e i g n e x p l o i t a t i o n h e l p e d s p u r t h e p a s s a g e i n 1987 o f a l a w o n t e c h n o l o g y c o n t r a c t s that s o u g h t t o b a r r e s t r i c t i v e c l a u s e s a n d called for the central r e v i e w o f s i z a b l e a g r e e m e n t s . 86. Ibid.

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87. 88.

Ibid. W a n g J i a f u , " S h i l u n z h u a n l i f a , " 2 7 - 3 2 ; see a l s o F a n g , " B o c a i t a g u o

zhi q i a n g , " 10. A u t h o r ' s i n t e r v i e w s , c o n d u c t e d i n B e i j i n g , J u n e 1986 a n d J u n e - A u g . 1987, a n d i n L o s A n g e l e s , F e b . 1987. 89. 90. H s i a T a o - t a i , " C h i n a ' s N e w Patent L a w , " 23. Ibid. Distracted by ongoing skirmishing between proponents and o f the proposed legislation, the drafting committee finally which

opponents

s e c r e t l y left B e i j i n g i n o r d e r t o c o n c l u d e its w o r k w i t h o u t i n t e r r u p t i o n . W i t h t h e p r o m u l g a t i o n o f this law, administers 91. 92. the Paris C h i n a j o i n e d the W I P O , U n i o n a n d the B e r n e C o n v e n t i o n . C h w a n g and

T h u r s t o n , " T e c h n o l o g y T a k e s C o m m a n d , " 145. S e e , e . g . , C h e n g K a i y u a n , " Y i b u j u y o u z h o n g g u o tese"; H a e u s s e r , K a y , " P a t e n t L a w , " 361. A "utility m o d e l " is d e f i n e d as "any n e w " I n d u s t r i a l P r o p e r t y , " 8. t e c h n i c a l s o l u t i o n r e l a t i n g t o t h e s h a p e , the s t r u c t u r e , o r their c o m b i n a t i o n , of a p r o d u c t . . . [fit] for p r a c t i c a l u s e . " " Z h o n g h u a r e n m i n g o n g h e g u o zhuanlifa shishi xize." 93. 94. 95. " Z h o n g h u a r e n m i n g o n g h e g u o z h u a n l i f a s h i s h i x i z e , " R u l e 10. See Walder, Communist Neo-Traditionalism, including H u a n g Kunyi, passim. the f o u n d i n g d i r e c t o r o f P R C officials,

t h e P a t e n t O f f i c e , h a v e tacitly a d m i t t e d a s m u c h . S e e , e . g . , H u a n g K u n y i , " G u a n y u z h o n g h u a r e n m i n g o n g h e g u o z h u a n l i f a , " 1 7 6 - 8 2 . Patent s t a t i s t i c s , w h i c h a r e t r e a t e d later i n this c h a p t e r , p r o v i d e c o n f i r m a t i o n o f this. 96. 180-81. " Z h o n g h u a r e n m i n g o n g h e g u o z h u a n l i f a shishi x i z e , " R u l e s 7 0 - 7 5 . T h e Inventions R e g u l a t i o n s live on, having been revised by the S e e also H u a n g K u n y i , "Guanyu zhonghua renmin g o n g h e g u o zhuanlifa," S t a t e C o u n c i l i n m i d 1993. S e e " G u o w u y u a n j u e d i n g x i u g a i s a n g e j i a n g l i tiaoli" ( T h e State C o u n c i l Revises T h r e e Sets of Regulations C o n c e r n i n g Rewards)," Renmin ribao (haiwaiban) (People's Daily [Overseas Edition]), J u l y 15, 1993, I97. 98. " Z h o n g h u a r e n m i n g o n g h e g u o zhuanlifa shishi xize," A r t s . 5 1 - 5 2 . A l f o r d , "When Is C h i n a P a r a g u a y ? " 124-27. A n o t h e r e x a m p l e of

this b i f u r c a t e d t r e a t m e n t , a l t h o u g h p e r h a p s s o m e w h a t less f a v o r a b l e t o f o r e i g n e r s , m a y b e f o u n d i n the d i s t i n c t i v e r u l e s g o v e r n i n g d o m e s t i c a n d f o r eign t e c h n o l o g y transfers. 99. 100. 102. S e e , e . g . , L e v i n e t a l . , " A p p r o p r i a t i n g the R e t u r n s f r o m I n d u s t r i a l A u t h o r ' s i n t e r v i e w s , B e i j i n g , S e p t . 1993. See, e.g., the " Z h u a n l i g u a n l i j i g u a n chuli z h u a n l i j i u f e n b a n f a " R&D." 101. " Z h o n g h u a r e n m i n g o n g h e g u o z h u a n l i f a , " A r t . 63. p r o m u l g a t e d b y t h e P a t e n t O f f i c e i n 1989, a n d the " Z u i g a o r e n m i n f a y u a n g u a n y u kaizhan zhuanli shenpan g o n g z u o de j i g e wenti de tongzhi," " Z u i -

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155

g a o r e n m i n f a y u a n g u a n y u shenli z h u a n l i s h e n q i n g q u a n j i u f e n a n j i a n r u o g a n w e n t i de tongzhi," and " Z u i g a o r e n m i n fayuan g u a n y u shenli zhuanli j i u f e n a n j i a n r u o g a n w e n t i d e j i e h u i " p r o m u l g a t e d b y the S u p r e m e P e o p l e ' s C o u r t in 1985, 1987, a n d 1993 r e s p e c t i v e l y . 103. 104. 106. 107. " Z h o n g h u a renmin g o n g h e g u o shangbiaofa," Art. 1. See Alford, "When Is C h i n a Paraguay?" I b i d . , A r t . 31. " Z h o n g h u a renmin g o n g h e g u o shangbiaofa xize," Art. 4. T h e d e -

105. " Z h o n g h u a r e n m i n g o n g h e g u o s h a n g b i a o f a , " A r t . 6 .

cision to regulate the m a n u f a c t u r e of pharmaceuticals t h r o u g h t r a d e m a r k (and s u b s e q u e n t additional specialized rules) s t o o d in contrast to the decis i o n m a d e i n the 1984 P a t e n t L a w n o t t o e x t e n d p a t e n t p r o t e c t i o n t o s u c h i t e m s . T h e i d e a that i t e m s s u c h a s p h a r m a c e u t i c a l s are t o o i m p o r t a n t t o merit patent protection w a s hardly unique to China. See U . S . Office of Technology Assessment, Intellectual Property Rights, 229-30. U n h a p p y with t h e e x c l u s i o n o f p h a r m a c e u t i c a l s f r o m patent c o v e r a g e i n t h e P R C , A m e r i c a n f i r m s p e r s u a d e d W a s h i n g t o n t o m a k e this a h i g h p r i o r i t y i n b i l a t e r a l t r a d e n e g o t i a t i o n s . I n its 1992 M e m o r a n d u m o f U n d e r s t a n d i n g o n I n t e l l e c t u a l P r o p e r t y w i t h the U n i t e d S t a t e s , the P R C c o m m i t t e d i t s e l f t o e n d i n g this e x c l u s i o n w h i c h i t s o o n thereafter d i d t h r o u g h a r e v i s i o n o f its o r i g i nal p a t e n t l a w . T h e t r o u b l e d n e g o t i a t i o n s l e a d i n g t o t h e M e m o r a n d u m o f U n d e r s t a n d i n g a n d its i m p l i c a t i o n s for the f u r t h e r d e v e l o p m e n t o f i n t e l l e c t u a l p r o p e r t y l a w i n C h i n a are d i s c u s s e d i n c h a p t e r 6 b e l o w . 108. 109. no. " Z h o n g h u a renmin g o n g h e g u o shangbiaofa," Art. 8. I b i d . , A r t . 18. R e m e d i e s a r e p r o v i d e d for a t i b i d . , A r t s . 3 7 - 4 0 a n d i n A r t . 127

o f t h e C r i m i n a l L a w , w h i c h p r o v i d e s for u p t o t h r e e y e a r s ' i m p r i s o n m e n t for c o u n t e r f e i t i n g . B y P R C s t a n d a r d s , h o w e v e r , this i s a r e l a t i v e l y m o d e s t s a n c t i o n . A t p r e s e n t , t h e r e a r e m o r e t h a n 100 s e p a r a t e offenses u n d e r P R C l a w for w h i c h t h e d e a t h s e n t e n c e m a y b e i m p o s e d . in. T a n H o n g k a i , " N e w C o p y r i g h t L a w I s a W e l c o m e S t a r t , " China 12, 1990, 4.

Daily, O c t .

1 1 2 . A u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1990. 113. T h e s e i n c l u d e d the 1980 " G u a n y u s h u j i g a o f e i d e z a n x i n g g u i d i n g , " t h e 1982 " L u y i n , l u x i a n g z h i p i n g u a n l i z a n x i n g g u i d i n g , " the 1984 " S h u j i g a o f e i s h i x i n g g u i d i n g , " the 1985 " M e i x u c h u b a n w u g a o f e i s h i x i n g b a n f a , " a n d t h e 1986 " G u a n y u z h e n g d u n l u y i n , l u x i a n g z h i p i n s h i c h a n g , zhizhi w e i z h a n g fanlu x i a o s h o u h u o d o n g de tongzhi," "Luyin, luxiang c h u b a n w u c h u b a n b a o h u z a n x i n g tiaoli" and "Luyin, luxiang c h u b a n g o n g z u o z a n x i n g t i a o l i . " T h e s e a r e a d d r e s s e d in Z h e n g a n d P e n d l e t o n , Copyright Law in China, 2 0 - 3 5 , w h i c h a l s o d i s c u s s e s w h a t i t m e a n s t o b e a s a l a r i e d a u t h o r (54-60). 114. T h i s i s p a r t i c u l a r l y e v i d e n t i n t h e 1986 " G u a n y u z h e n g d u n l u y i n ,

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l u x i a n g z h i p i n s h i c h a n g , zhizhi w e i z h a n g fanlu x i a o s h o u h u o d o n g d e t o n g zhi," i s s u e d j o i n t l y b y the S A I C , M i n i s t r y o f C o m m e r c e , a n d M i n i s t r y o f R a d i o , Film, and Television. 115. " Z h o n g h u a r e n m i n g o n g h e g u o m i n f a t o n g z e . " F o r a n i n s i g h t f u l critique o f the G e n e r a l Principles, see J o n e s , " S o m e Q u e s t i o n s . " 116. O n t h e p r o t e c t i o n o f c o p y r i g h t p r o v i d e d b y the G e n e r a l P r i n c i p l e s , s e e , e . g . , " C o p y r i g h t P r o t e c t e d E v e n W i t h o u t a L a w , " China Daily, M a r . 7, 1988, 1 ; Z h e n g C h e n g s i , " J i a n l i q i a n m i a n b a n q u a n b a o h u z h i d u y i t a n " ( A D i s c u s s i o n o f the E s t a b l i s h m e n t o f a C o m p r e h e n s i v e S y s t e m o f C o p y r i g h t P r o t e c t i o n ) , Guangming ribao, N o v . 12, 1986, 3; G u o S h o u k a n g , " C o m m o n R u l e s o f C i v i l L a w . " I d e a s o f p r o p e r t y i n the G e n e r a l P r i n c i p l e s are t r e a t e d in E d w a r d E p s t e i n , "Theoretical S y s t e m of Property Rights," 177. 117. X i e X i a n g and G u o J i a k u a n , "Sounds of History's Footsteps," 4. 118. " Z h u z u o q u a n f a . " T h e q u e s t i o n on author's rights (zhuzuoquan) o f w h e t h e r t o call the l a w o n e (banquan) was a contenor on c o p y r i g h t

t i o u s o n e , w i t h the f o r m e r v i e w p r e v a i l i n g b e c a u s e o f the d r a f t e r s ' d e s i r e t o e m p h a s i z e their c o n c e r n w i t h p r o t e c t i n g a u t h o r s . See Shen Ren'gan, " ' C o p y r i g h t ' a n d ' A u t h o r ' s R i g h t , ' " 55. N o t w i t h s t a n d i n g their C h i n e s e l a n g u a g e choice, P R C governmental sources continue in English to s p e a k of copyright. 119. Q u o t e d in " C o p y r i g h t as I n d u s t r i a l P r o p e r t y , " China News Analysis, n o . 1445 ( O c t . 15, 1991): 2 - 9 . O n e i m p o r t a n t m o d e l for P R C d r a f t e r s , a m o n g m a n y , w a s that o f T a i w a n . S e e W a n g G u a n g , " T a i w a n y u d a l u , " 68. 120. A u t h o r ' s i n t e r v i e w s , B e i j i n g , J u l y 1990. 1 2 1 . S c h l o s s , " C h i n a ' s L o n g - A w a i t e d C o p y r i g h t L a w , " 24, 2 6 - 2 7 . S e e a l s o H u a n g Z h u h a i , " G u a n y u w o g u o z h u z u o q u a n lifa." 122. L e g a l p e r s o n s (faren) are d e f i n e d i n the G e n e r a l P r i n c i p l e s t o i n c l u d e s t a t e - o w n e d enterprises, collective enterprises, S i n o - f o r e i g n j o i n t ventures, o r g a n s of g o v e r n m e n t and other institutions, and associations f o r m e d b e tween the foregoing. 123. Z h e n g C h e n g s i a n d M i c h a e l P e n d l e t o n h a v e a r g u e d that t h e " C h i n e s e v e r s i o n [ o f t h e l a w ] clearly o n l y refers t o c o p y i n g b y d e p a r t m e n t s w i t h judicial or quasi-judicial power and only when involved in procedures deali n g w i t h their j u d i c i a l o r q u a s i - j u d i c i a l f u n c t i o n s " ( Z h e n g a n d P e n d l e t o n , " R e s p o n s e , " 259). T h e r e l e v a n t p o r t i o n o f A r t i c l e 2 2 : 7 o f t h e l a w p r o v i d e s no s u p p o r t for their a s s e r t i o n . It refers to guojia jiguan, w h i c h Z h e n g a n d which they P e n d l e t o n t r a n s l a t e as "state o r g a n s , " a n d wei zhixing gongwu,

t r a n s l a t e a s "for t h e p u r p o s e o f p e r f o r m i n g its official d u t i e s . " L i u G u s h u , t h e f o u n d i n g d i r e c t o r o f the C h i n a Patent A g e n c y ( H . K . ) L t d . , c o n t e n d s that " s t a t e o r g a n s " m e a n s " l e g i s l a t i v e b o d i e s , the a d m i n i s t r a t i v e o r g a n s , a n d t h e j u d i c i a l o r g a n s , etc." a n d that "official" b u s i n e s s i s that w i t h i n t h e "function o f the state" (Liu G u s h u , " Q u e s t i o n s o f W o r l d - w i d e Interest," 2 1 -

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157

23). A l t h o u g h c l o s e r t o t h e m a r k t h a n Z h e n g a n d P e n d l e t o n , L i u ' s w o r d s e x e m p l i f y part o f the p r o b l e m described above o f substituting personal a s s u r a n c e s for clear s t a n d a r d s a n d r e a d y a c c e s s t o n e u t r a l d i s p u t e r e s o l u t i o n w h i c h m i g h t p r o v i d e p r e d i c t a b i l i t y . A t n o p o i n t d o the law, t h e l a w ' s i m p l e m e n t i n g r e g u l a t i o n s , o r a n y o t h e r official m a t e r i a l s p u b l i s h e d i n c o n j u n c t i o n w i t h t h e l a w m e a n i n g f u l l y l i m i t the b r o a d s w e e p o f its p r o v i s i o n s o n fair u s e . 124. L i u G u s h u , " Q u e s t i o n s o f W o r l d - w i d e Interest"; a u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1990. I n recent y e a r s , t h e r e h a v e b e e n e x c e p t i o n s t o this u n i f o r m s c h e d u l e . 125. " Z h o n g h u a r e n m i n g o n g h e g u o z h u z u o q u a n fa," A r t 4 . 126. A u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1990. E f f o r t s w e r e m a d e b y m o r e i d e o l o g i c a l l y o r t h o d o x officials t o d e l a y p r o m u l g a t i n g t h e C o p y r i g h t L a w p e n d i n g c o m p l e t i o n o f the P u b l i c a t i o n s L a w . 127. T a n H o n g k a i , " N e w C o p y r i g h t L a w i s a W e l c o m e S t a r t , " China Daily, O c t . 12, 1990, 4 . T h e F o u r C a r d i n a l P r i n c i p l e s a r e a c o m m i t m e n t t h e l e a d e r s h i p o f the C h i n e s e C o m m u n i s t p a r t y , to the socialist r o a d ,

M a r x i s m - L e n i n i s m M a o Z e d o n g T h o u g h t , a n d the p e o p l e ' s d e m o c r a t i c d i c t a t o r s h i p . T h e i m p l i c a t i o n s o f t h e C o p y r i g h t L a w for C h i n e s e i n t e l l e c t u als a r e t h o u g h t f u l l y e x p l o r e d i n D e b o r a h K a u f m a n , "Intellectual P r o p e r t y . " 128. C a r y H u a n g , " C P C R e s u m e s P r e p u b l i c a t i o n C e n s o r s h i p , " Hong Kong Standard, Sept. 20, 1991, A - 8 . T h e State C o p y r i g h t Administration ( S C A ) w a s f o r m e d i n t h e m i d 1980's t o r e p l a c e the S t a t e P u b l i c a t i o n s B u r e a u ( w h i c h s u b s e q u e n t l y b e c a m e the S t a t e A d m i n i s t r a t i o n for P r e s s a n d P u b l i c a t i o n s S A P P ) a n d has s o u g h t s i n c e t o a s s u m e r e s p o n s i b i l i t i e s for c o p y r i g h t r e l a t e d i s s u e s f r o m i n d i v i d u a l m i n i s t r i e s (such a s the M i n i s t r y o f C u l t u r e ) . T h e S A P P ' s i d e o l o g i c a l o r t h o d o x y i s s u g g e s t e d b y the fact that its initial head, Du D a o z h e n g , was a longtime associate of D e n g L i q u n , a noted party hard-liner. T h e state w a s able to maintain tight control over publication t h r o u g h the m i d 1980's i n p a r t b e c a u s e i t o v e r s a w the s u p p l y o f b o t h c a p i t a l a n d p a p e r t o p u b l i s h i n g h o u s e s a n d w a s i n c h a r g e o f Xinhua ( N e w C h i n a N e w s A g e n c y ) , w h i c h w a s then the s o l e l a w f u l d i s t r i b u t o r o f b o o k s for t h e w h o l e c o u n t r y . B y the late 1980's, this s y s t e m b e g a n t o b r e a k d o w n , w i t h t h e e m e r g e n c e o f p r i v a t e p u b l i s h e r s a n d b o o k s e l l e r s . S t r e n u o u s efforts w e r e m a d e i n 1989, after t h e s u p p r e s s i o n o f the B e i j i n g S p r i n g m o v e m e n t , a n d a r e n o w u n d e r w a y a g a i n (as i s d i s c u s s e d f u r t h e r later i n this c h a p t e r ) t o r e a s s e r t a h i g h level o f s t a t e c o n t r o l . F o r a n i l l u m i n a t i n g o v e r v i e w o f the C h i n e s e p u b l i s h i n g w o r l d t h r o u g h the early 1990's, see C h e n Y i , " P u b l i s h i n g i n C h i n a i n the P o s t - M a o E r a . " 129. " Z h o n g h u a r e n m i n g o n g h e g u o z h u z u o q u a n fa," A r t . 27. 130. A u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1990. 131. Z h e n g Chengsi and Michael Pendleton (Copyright Law in China,

158

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1 1 2 - 1 4 ) c o n t e n d that the u s e i n A r t i c l e 2 o f the t e r m fabiao ( w h i c h c a n b e t r a n s l a t e d a s "to p u b l i s h " o r "to d i v u l g e " ) i n effect m e a n s that C h i n e s e l a w p r o v i d e s f o r e i g n e r s w i t h w i d e r p r o t e c t i o n than the c o p y r i g h t l a w s o f t h e U n i t e d S t a t e s a n d m o s t o t h e r n a t i o n s . T h e i r l o g i c i s that this w o r d i n g o p e n s t h e p o s s i b i l i t y that f o r e i g n e r s m i g h t seek p r o t e c t i o n i n C h i n a b y v i r t u e o f m e r e l y e x h i b i t i n g a w o r k t h e r e , rather t h a n m a k i n g a v a i l a b l e a sufficient n u m b e r o f c o p i e s t o s a t i s f y p u b l i c d e m a n d . N e i t h e r the l a w ' s i m p l e m e n t i n g r e g u l a t i o n s , a s t h e y a c k n o w l e d g e , n o r p r a c t i c e b e a r o u t this s o m e w h a t strained interpretation. 132. T o b e s u r e , t h e w o r k o f the S C A ' s f e w d o z e n p e r m a n e n t e m p l o y e e s i s m o d e s t l y s u p p l e m e n t e d b y the efforts o f thinly staffed p r o v i n c i a l c o p y r i g h t offices. In 1993, the S h a n g h a i c o p y r i g h t office, for e x a m p l e , h a d a s t a f f o f f o u r , w h o r e p o r t e d n o t t o the S C A b u t t o the S h a n g h a i g o v e r n m e n t a l t h o u g h on cases involving infringement both within and b e y o n d S h a n g h a i , t h e n a t i o n a l a n d p r o v i n c i a l offices d i d a t t i m e s w o r k t o g e t h e r . A u t h o r ' s i n t e r v i e w s , S h a n g h a i , O c t . 1993. 133. G e l a t t , " F o r e i g n E x c h a n g e Q u a n d a r y , " 28. 134. A r t i c l e 4 6 o f the l a w v e s t s b o t h the S C A a n d the c o u r t s w i t h t h e a u t h o r i t y t o o r d e r t h e p a y m e n t o f " c o m p e n s a t i o n for d a m a g e s " r e s u l t i n g f r o m i n f r i n g e m e n t , b u t r e s e r v e s t o the f o r m e r the a u t h o r i t y t o i m p o s e civil fines for s u c h a c t i v i t y . I n a n y e v e n t , a c c o r d i n g t o o n e C h i n e s e e x p e r t , " D i s p u t e s over c o p y r i g h t infringement in general arise m o s t l y a m o n g intellectuals, w h o a r e o f t e n u n w i l l i n g t o g o t o c o u r t , b u t prefer t o h a v e a m e d i a t o r w h o c a n u p h o l d j u s t i c e . . . the a d m i n i s t r a t i v e a u t h o r i t i e s for c o p y r i g h t affairs [ t h e S C A a n d p r o v i n c i a l c o p y r i g h t d e p a r t m e n t s ] h a v e b e c o m e the p r i n c i p a l m e d i a t o r s in c o p y r i g h t infringement disputes." L i u S o n g , " T h e R o l e of the C h i n e s e G o v e r n m e n t i n the P r o t e c t i o n o f C o p y r i g h t , " 65. 135. " J i s u a n j i r u a n j i a n b a o h u t i a o l i " ; J i s u a n j i r u a n j i a n z h u z u o q u a n d e n g j i banfa". 136. " Z h o n g h u a r e n m i n g o n g h e g u o j i s h u , " A r t . 4 . 137. T h e J a n u a r y 1992 U . S . - P R C M e m o r a n d u m o f U n d e r s t a n d i n g o n the P r o t e c t i o n o f I n t e l l e c t u a l P r o p e r t y p u r p o r t s t o r e s o l v e a n u m b e r o f these issues. It is discussed further in chapter 6. T h e issue of retroactivity h a s p r e s e n t e d difficult q u e s t i o n s for the d r a f t e r s o f C h i n a ' s C o p y r i g h t L a w . A r t i c l e 5 5 o f t h e C o p y r i g h t L a w i n d i c a t e s that "the r i g h t s e n j o y e d b y c o p y right o w n e r s , publishers, performers, producers of sound recordings and v i d e o r e c o r d i n g s , r a d i o s t a t i o n s , a n d t e l e v i s i o n s t a t i o n s a s p r o v i d e d for i n this L a w , o f w h i c h t h e t e r m o f p r o t e c t i o n s p e c i f i e d i n this L a w h a s n o t yet e x p i r e d o n t h e d a t e o f e n t r y i n t o f o r c e o f this L a w , shall b e p r o t e c t e d i n a c c o r d a n c e w i t h this L a w . " T a k e n literally, this w o u l d s e e m t o s u g g e s t that C h i n a was endeavoring retroactively to accord copyright protection to any w o r k p r o d u c e d b y a n y a u t h o r w h o d i e d w i t h i n 5 0 y e a r s o f the effective

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d a t e o f t h e C o p y r i g h t L a w . A l t h o u g h the B e r n e C o n v e n t i o n r e c o g n i z e s , at Article i 8
bls

, that a n a t i o n j o i n i n g the C o n v e n t i o n m a y e n j o y a m e a s u r e

o f r e t r o a c t i v e p r o t e c t i o n for w o r k s c o p y r i g h t e d p r i o r t o its j o i n i n g , that w o u l d h a r d l y s e e m t o j u s t i f y the r e a c h o f A r t i c l e 55. T h a t the a b o v e r e a d i n g o f A r t i c l e 5 5 m i r r o r s the i n t e n t i o n o f a t least o n e o f the l a w ' s d r a f t e r s s e e m s attested to by the s o m e w h a t confusing treatment of retroactivity in Z h e n g and Pendleton, Copyright Law in China, 207-9. It is i n t e r e s t i n g that in t h e 1992 M e m o r a n d u m o f U n d e r s t a n d i n g , the C h i n e s e g o v e r n m e n t d i d n o t f u l l y r e t r e a t f r o m its b a s i c p o s i t i o n c o n c e r n i n g the u s e o f f o r e i g n c o p y r i g h t e d m a t e r i a l s a v a i l a b l e i n C h i n a b e f o r e the effective d a t e o f C h i n e s e p r o t e c t i o n . A r t i c l e 3:7 o f the M e m o r a n d u m p r o v i d e s that n a t u r a l o r l e g a l p e r s o n s w h o u s e d such items prior t o the establishment o f U . S . - P R C c o p y r i g h t r e l a t i o n s ( w h i c h t o o k effect, a c c o r d i n g t o the M e m o r a n d u m , n o earlier t h a n M a r c h 1 7 , 1992) " m a y c o n t i n u e to . . . u s e . . . that c o p y of t h e w o r k w i t h o u t liability, p r o v i d e d that s u c h c o p y i s neither r e p r o d u c e d n o r u s e d i n a n y m a n n e r that u n r e a s o n a b l y p r e j u d i c e s the l e g i t i m a t e i n t e r e s t s o f t h e c o p y r i g h t o w n e r o f that w o r k . " S o m e f o r e i g n o b s e r v e r s fear that t h e P R C m a y i n v o k e this article a s j u s t i f i c a t i o n for c o n t i n u e d r e p r o d u c t i o n a n d d i s t r i b u t i o n o f f o r e i g n c o p y r i g h t e d m a t e r i a l s , albeit i n less t h a n c o m m e r c i a l q u a n t i t i e s . S e e S i m o n e , " C o p y r i g h t - M O U , " 14. 138. " J i s u a n j i r u a n j i a n b a o h u tiaoli," A r t s . 23-24. F o r e i g n c o n c e r n s a b o u t this p r o c e d u r e are v o i c e d i n " S o f t w a r e F i r m s S l o w t o E x p o r t t o C h i n a , " Chicago Tribune, D e c . 30, 1991, 7 - C . I t s h o u l d b e n o t e d that b e c a u s e n e i t h e r t h e B e r n e C o n v e n t i o n n o r the U n i v e r s a l C o p y r i g h t C o n v e n t i o n r e q u i r e s t h e r e g i s t r a t i o n o f s o f t w a r e , the P R C , u p o n a c c e d i n g t o t h e s e t w o t r e a t i e s , h a s p r o v i d e d that f o r e i g n c o m p u t e r p r o g r a m s n e e d n o t b e r e g i s t e r e d . A s w i t h s o m u c h else i n this area, there i s m o r e h e r e t h a n m e e t s t h e e y e . F o r e i g n e r s m a y b e free n o t t o r e g i s t e r , b u t i f they s o c h o o s e , t h e y will lack w h a t Article 24 of the s o f t w a r e regulations describes as "a p r e requisite to instituting . . . an administrative action or a lawsuit concerning a n y d i s p u t e r e g a r d i n g the c o p y r i g h t i n s u c h s o f t w a r e . " C h i n e s e n a t i o n a l s , m e a n w h i l e , c o n t i n u e t o l a c k e v e n this H o b s o n ' s c h o i c e . 139. " J i s u a n j i r u a n j i a n b a o h u tiaoli," A r t . 32. 140. R e n , " C h i n a ' s J u d i c i a l S y s t e m , " 17. I n f a i r n e s s , i t s h o u l d b e n o t e d that C h i n e s e officials s u c h a s R e n a r e n o t the o n l y o n e s t o m a k e o v e r b l o w n c l a i m s a b o u t the efficacy o f the P R C ' s n e w i n t e l l e c t u a l p r o p e r t y l a w s . W i t n e s s , e . g . , the u n s t i n t i n g p r a i s e i n t e r n a t i o n a l civil s e r v a n t s , s u c h a s D i r e c t o r G e n e r a l A r p a d B o g s c h o f t h e W I P O , h a v e for y e a r s l a v i s h e d o n C h i n e s e efforts i n p a t e n t , t r a d e m a r k , a n d c o p y r i g h t . S e e , e . g . , " W h e n Friends C o m e f r o m Afar: O n e - D a y Visit t o H o n g K o n g b y W I P O D i r e c t o r G e n e r a l D r . B o g s c h a n d H i s P a r t y , " China Patents & Trademarks, n o . 1 (1992): 4. W h e t h e r p r o m p t e d by a n a i v e t e as to C h i n e s e c i r c u m s t a n c e s , a

160 / N o t e s to Pages 82-84


s i n c e r e b e l i e f that e a s y p r a i s e w o u l d b e s t g u i d e the P R C t o g r e a t e r h e i g h t s , a b u r e a u c r a t i c d e s i r e t o i n c l u d e a s a W I P O m e m b e r the w o r l d ' s m o s t p o p u lous nation (whether or not it w a s c o m p l y i n g with international standards), o r s u s c e p t i b i l i t y t o the a t t e n t i o n that a c c o m p a n i e s b e i n g a n i n t e r n a t i o n a l b u r e a u c r a t w i t h s o m e t h i n g t o offer C h i n a , B o g s c h a n d c o m p a n y h a v e b e e n all t o o h a s t y t o e q u a t e the P R C ' s a d o p t i o n o f intellectual p r o p e r t y l a w s w i t h their i m p l e m e n t a t i o n . S e e " W I P O D i r e c t o r G e n e r a l B o s c h R e c e i v e d b y C C P G e n e r a l S e c r e t a r y J i a n g Z e m i n i n B e i j i n g a n d G r a n t e d the T i t l e of H o n o r a r y P r o f e s s o r by P e k i n g U n i v e r s i t y , " China Patents & Trademarks, n o . 1 (1992): 118. 141. See, e.g., L i u C h u n t i a n , " T h e C u r r e n t Situation." 142. A l t h o u g h p r o f e s s i o n a l i s m a n d i n d e p e n d e n c e a r e h a r d l y n e u t r a l o r self-defining terms, w e s h o u l d n o t a s s u m e that these a r e w h o l l y f o r e i g n c o n s t r u c t s t h r u s t o n t h e C h i n e s e a n d t h e r e f o r e s o m e h o w i n a p p r o p r i a t e for c o n s i d e r a t i o n . A s n o t e d i n c h a p t e r 2 , t h e n o t i o n o f a civil s e r v i c e c h o s e n b y c r i t e r i a a s p i r i n g t o o b j e c t i v i t y has its r o o t s i n the T a n g d y n a s t y . A n d a s J e r o m e C o h e n h a s s h o w n , d u r i n g the f i r s t f e w y e a r s o f the P R C , t h e C h i n e s e C o m m u n i s t p a r t y i t s e l f g r a p p l e d w i t h p r o v i d i n g its j u d g e s w i t h s o m e m e a s u r e of i n d e p e n d e n c e e v e n if only f r o m cadres seeking to abuse legal processes to serve private ends. See C o h e n , "Chinese C o m m u n i s t Party and ' J u d i c i a l I n d e p e n d e n c e , ' " 967. I n f a i r n e s s , i t s h o u l d b e n o t e d that C h i n a i s n o w m a k i n g e x t r a o r d i n a r y e f f o r t s t o p r o v i d e o n - t h e - j o b t r a i n i n g for its j u d g e s , f e w e r t h a n 1 0 p e r c e n t o f w h o m a s r e c e n t l y a s 1985 w e r e r e c i p i e n t s o f a f o r m a l l e g a l e d u c a t i o n . 143. J i a n g Y i n g , " L o o k i n g B a c k a n d L o o k i n g A h e a d " ; G a o , " O n t h e R e v i s i o n of the C u r r e n t Patent L a w " ; Y u a n Z h o u , "Foreign Patent Filings L a g B e h i n d D o m e s t i c I n c r e a s e . " China Daily Business Weekly, A p r . O c t . 28, 1 9 9 1 , 1. 144. D o n g B a o l i n , " D e c a d e o f M i g h t y A d v a n c e , " 60. 12, 1992, 1; " A i m i n g to be W o r l d 'Patent P o w e r h o u s e , ' " China Daily Business Weekly,

145. Z h e n g S o n g y o u , " S u m U p the P a s t , " 6 - 7 . 146. T h e s e f i g u r e s are e x t r a c t e d f r o m the statistics c o m p i l e d b y the P l a n n i n g D i v i s i o n o f the G e n e r a l M a n a g e m e n t D e p a r t m e n t o f t h e C h i n e s e Patent O f f i c e a n d p u b l i s h e d q u a r t e r l y by China Patents & Trademarks. My a t t e n t i o n w a s f i r s t d r a w n t o this i m p o r t a n t b o d y o f d a t a b y W a n g L i w e i ' s u s e f u l w o r k i n the a r e a o f p a t e n t law, a s e x e m p l i f i e d b y his article e n t i t l e d " C h i n a ' s P a t e n t L a w , " 254. 147. 148. inactive. 149. I n d e e d , P R C statistics concerning foreign investment in general " D a t a & S t a t i s t i c s , " China Patents & Trademarks, n o . 2 (1994): 85-86. " D a t a & S t a t i s t i c s , " China Patents & Trademarks, n o . 1 (1993): 109.

D o m e s t i c a p p l i c a t i o n s w e r e u p i n 1993, b u t e n t e r p r i s e s w e r e still r e l a t i v e l y

N o t e s t o P a g e s 84-86

161

w a r r a n t c a r e f u l s c r u t i n y , a s t h e y are s u b j e c t t o m a n i p u l a t i o n t o b o l s t e r p a r t i c u l a r a r g u m e n t s . F o r e x a m p l e , i n v e s t m e n t o n the C h i n e s e m a i n l a n d b y P R C - o w n e d companies chartered in H o n g K o n g is routinely treated as f o r e i g n i n v e s t m e n t , i n p a r t t o g i v e the i m p r e s s i o n o f a h i g h e r level o f c o n f i d e n c e i n C h i n a t h a n statistics o n i n v e s t m e n t b y u n a m b i g u o u s l y f o r e i g n c a p i t a l w o u l d w a r r a n t a n d i n p a r t s o that s u c h entities c a n e n j o y a n y t a x h o l i d a y s a n d o t h e r a d v a n t a g e s a v a i l a b l e t o f o r e i g n capital. 150. See Goonatilake, Aborted Discovery.

151. S e e Z h a n g L i n , " S c i e n t i s t s C o m p l e t e 11,000 P r o j e c t s , " China Daily, S e p t . 18, 1 9 9 1 , 1 . T h e s e efforts a r e d e s c r i b e d i n " S c i e n c e a n d T e c h n o l o g y as t h e P r i m a r y P r o d u c t i v e F o r c e , " China News Analysis, n o . 1991). 152. F o r r e c e n t o b s e r v a t i o n s b y the N o b e l e c o n o m i c s l a u r e a t e M i l t o n F r i e d m a n a s t o the c o n t i n u i n g m a j o r r o l e o f s t a t e - o w n e d e n t e r p r i s e s i n t h e C h i n e s e e c o n o m y , see A g e n c e F r a n c e P r e s s e , " F r i e d m a n S a y s B e i j i n g S t i l l C o n t r o l s E c o n o m y , " International Herald Tribune, 153. " D i s p r o p o r t i o n a t e l y D o m e s t i c Patents," Wang Liwei, Low Renmin ribao (haiwaiban), Oct. of 30-31, 5, 1989, 1993, 1, 17. in q u o t e d in Percentage Invention Patents 1446 ( N o v . 1,

Aug.

" C h i n a ' s P a t e n t L a w . " T h e statistics a r e f r o m " G o n g z u o ( A Practical S t u d y : T h e E r o s i o n o f

y a n j i u : G u o y o u c a i c h a n d e liushi" 1992, 2.

S t a t e P r o p e r t y ) , Zhongguo zhuanli bao ( C h i n a Patent N e w s p a p e r ) , A u g . 24,

T h e l o w p r o d u c t i v i t y of C h i n a ' s s t a t e - o w n e d enterprises relative to coll e c t i v e o r p r i v a t e l y o w n e d entities i s d e s c r i b e d i n C o n n e r , " T o G e t R i c h I s P r e c a r i o u s , " 1 . I n c o m p a r i n g state a n d o t h e r e n t e r p r i s e s , o n e m u s t a l w a y s , o f c o u r s e , b e m i n d f u l o f i m p o r t a n t differences i n size, s o c i a l w e l f a r e r e sponsibilities, nature of o u t p u t , access to raw materials, and control over pricing. 154. S e e " A i m i n g to be a W o r l d 'Patent P o w e r h o u s e , ' " China Daily Busi-

ness Weekly, O c t . 28, 1991, 1. 155. G a o , " O n the R e v i s i o n o f the C u r r e n t Patent L a w " ; A u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1993. 156. A u t h o r ' s i n t e r v i e w s , W a s h i n g t o n , D . C . , M a y 1990, B e i j i n g , A u g . 1990 a n d A u g . - O c t . 1993. S e e a l s o C r o t h a l l , " ' P i r a t e d ' P r o d u c t s , " 3 ; " O f f i cial o n F o r e i g n T r a d e m a r k P r o t e c t i o n , " Xinhua ( N e w C h i n a N e w s A g e n c y ) , Jan. 23, 1992, in Foreign Broadcast Information Service C H I - 9 2 - 1 6 (Jan. 24, 1992), 22: " I B M v . S i x S h e n z h e n C o m p a n i e s " ; " M & M s v . W & W s . " I n f a i r n e s s , i t s h o u l d b e n o t e d that f o r e i g n e r s a n d e s p e c i a l l y H o n g K o n g a n d T a i w a n C h i n e s e h a v e b e e n r e s p o n s i b l e for i n s t i g a t i n g s o m e i n f r i n g i n g a c tivity, p a r t i c u l a r l y i n s o u t h e r n C h i n a . S e e , e . g . , D o e r n e r , " P i r a t e s o f t h e H i g h C s . " C h i n e s e officials h a v e c o m p l a i n e d p r i v a t e l y t o this a u t h o r a b o u t H o n g K o n g C h i n e s e u s i n g the P R C a s a b a s e o f o p e r a t i o n s t o p r o d u c e " f o r -

162

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e i g n " i t e m s that m i g h t t h e n b e s o l d t o n a i v e C h i n e s e o r t a k i n g a d v a n t a g e of the fact that P R C authorities have a p o o r e r track record than their H o n g K o n g c o u n t e r p a r t s i n d e t e r r i n g the e x p o r t o f c o u n t e r f e i t e d i t e m s . I t w i l l b e i n t e r e s t i n g t o s e e h o w the P R C a n d H o n g K o n g i n t e r a c t w i t h r e s p e c t t o i n t e l l e c t u a l p r o p e r t y i s s u e s after the f o r m e r r e s u m e s s o v e r e i g n t y o v e r t h e latter i n 1997. F o r m o r e o n i n t e l l e c t u a l p r o p e r t y i s s u e s i n H o n g K o n g , s e e Pendleton, Law of Intellectual and Industrial Property.

157. J a m e s M c G r e g o r , " C h i n a A d o p t s a H a r d e r L i n e i n T r a d e T a l k s , " Wall Street Journal, D e c . 23, 1991, A 6 ; M u r p h y , " C D P i r a t e s M a k e C h i n a a H o m e Port as Sales Soar." 158. I h a v e b e e n b o t h f l a t t e r e d a n d d i s m a y e d t o d i s c o v e r m a n y o f m y articles (and even talks) r e p r o d u c e d without p e r m i s s i o n i n c l u d i n g versions edited and translated without authorization and with varying degrees o f a c c u r a c y . I n d e e d , s h o r t l y b e f o r e this b o o k w e n t t o p r e s s , I h a d t h e u n s e t t l i n g e x p e r i e n c e o f h a v i n g a C h i n e s e c o l l e a g u e cite ( w i t h p r a i s e , f o r t u n a t e l y ) a n a r t i c l e o f m i n e o n the n e e d for p a t e n t l a w r e f o r m that I a m p u r p o r t e d t o h a v e p u b l i s h e d i n 1992. E a r l y senility m a y b e the e x p l a n a t i o n , b u t I h a v e n o recollection of ever having written such a piece, a l t h o u g h praise is a l w a y s w e l c o m e d , warranted or not. 159. A u t h o r ' s i n t e r v i e w s , B e i j i n g , A u g . 1990, a n d d i r e c t o b s e r v a t i o n s , 1 9 8 6 - 9 3 . C h i n e s e u n i v e r s i t i e s m a y a l s o b e p l a y i n g a less p a s s i v e r o l e i n p i r a t i n g i f S h e n z h e n U n i v e r s i t y i s a t all t y p i c a l . T h a t s c h o o l ' s R e f l e c t i v e M a t e r i a l s Institute turns out to have m a d e counterfeit M i c r o s o f t h o l o g r a m s s o w e l l that "even M i c r o s o f t e x e c u t i v e s c o u l d n o t d i s t i n g u i s h t h e m f r o m o r i g i n a l s . " B l a s s , " C a s e for S h e r l o c k H o l m e s . " 160. M r . S i n g e r r e a c t e d t o this i n f o r m a t i o n w i t h b e m u s e m e n t . " I a l w a y s

t h o u g h t , " h e s a i d , "that t h e C h i n e s e a n d J e w s h a d a g r e a t d e a l i n c o m m o n a n d this p r o v e s it" ( c o n v e r s a t i o n w i t h t h e a u t h o r , C a m b r i d g e , M a s s . , F e b . 1989). 161. B a s e d on the author's direct o b s e r v a t i o n s , 1986-93. See also, W i l l i a m A l f o r d , " P e r s p e c t i v e o n C h i n a : P r e s s u r i n g the P i r a t e , " Los Angeles Times, J a n . 12, 1992, D 5 ; S y r o n , "Year o f the M o u s e , " 5 . M i c k e y M o u s e p a r a p h e r n a l i a in the author's possession include the unauthorized c o m i c b o o k series " M i L a o s h u , T a n g L a o y a " (Mickey M o u s e , D o n a l d D u c k ) p u b l i s h e d i n B e i j i n g b y the P o p u l a r S c i e n t i f i c P r e s s , a n a r r a y o f D i s n e y a t t i r e (including S c r o o g e M c D u c k and Mickey neckties), and a host of toys and decorative objects. A " M i c k e y M o u s e " t r a d e m a r k w a s first r e g i s t e r e d i n C h i n a b y a n o v e r l y entrepreneurial G u a n g d o n g manufacturer. Subsequently, the D i s n e y C o m p a n y w a s a b l e t h r o u g h t h e C h i n a Patent A g e n c y ( H . K . ) L t d . t o s e c u r e r e g istration for M i c k e y and hundreds of other m a r k s . A l t h o u g h Mickey s e e m s t o h a v e e n j o y e d s o m e p r o t e c t i o n i n idyllic H a n g z h o u (see " I n f r i n g e m e n t

N o t e s to Pages 87-89 / 163


o f t h e E x c l u s i v e R i g h t t o U s e the D e s i g n s o f the R e g i s t e r e d T r a d e m a r k s ' M i c k e y M o u s e ' a n d ' D o n a l d D u c k ' P e n a l i z e d i n H a n g z h o u , " China Patents 6 Trademarks, no. 2 [1990]: 70), n a t i o n w i d e i n f r i n g e m e n t w a s so r a m p a n t t h r o u g h o u t t h e 1980's a n d i n t o the 1990's that D i s n e y c a n c e l l e d its p o p u lar t e l e v i s i o n p r o g r a m f e a t u r i n g the b e l o v e d M o u s e i n p r o t e s t . N o w b a c k in China, D i s n e y has r e c e n t l y w o n a j u d g m e n t i n B e i j i n g o f m o r e t h a n Coming Home Crazy, 115-16. 600,000 yuan ( U S $ 7 0 , 0 0 0 ) a g a i n s t a C h i n e s e i n f r i n g e r . 162. H o l m , 163. W a n g Y o n g h o n g , 164. "Deeper C r a c k d o w n Urged"; Wang Zhengfa,

" P r o l i f e r a t i o n o f F a k e a n d I n f e r i o r P h a r m a c e u t i c a l s , " 40. C o u n t e r f e i t i n g u n d e r t a k e n d u r i n g t h e early y e a r s f o l l o w i n g t h e 1982 T r a d e m a r k L a w ' s p r o m u l g a t i o n i s d e s c r i b e d i n C h r i s t o p h e r W r e n , " C h i n a F i g h t i n g a B o o m in C o u n t e r f e i t B i c y c l e s , " New York Times, O c t . 7, 1983, 4 ; " S h a n g b i a o f a zhi s h i s h i x i e z e zai S h a n g h a i d e z h i x i n g q i n g k u a n g " ( T h e C o n d i t i o n s for C a r r y i n g O u t t h e T r a d e m a r k L a w a n d Its I m p l e m e n t ing Regulations in Shanghai), Shanghai fayuan (Shanghai Legal Garden), S e p t . 1986, 5; " C r a c k d o w n on F a k e W i n e S t e p p e d U p , " China Daily, A p r . 3, 1987, 3 . M o r e r e c e n t i n f r i n g e m e n t i s d e s c r i b e d i n C r o t h a l l , " ' P i r a t e d ' P r o d ucts," and Wang Y o n g h o n g , "Deeper C r a c k d o w n Urged." 165. " I n s p e c t i o n s T a r g e t F a k e T r a d e M a r k s , " China Daily, M a y 2, 1987, 3. S e e a l s o " N a t i o n a l C r u s a d e A g a i n s t F a k e G o o d s S u c c e s s f u l , " Xinhua in Foreign Broadcast Information Service C H I - 8 8 (New China N e w s Agency), 007 ( J a n . 1 2 , 1988), 29. 166. A u t h o r ' s i n t e r v i e w s , W a s h i n g t o n , D . C . , J u n e 1994; L i u C h u n t i a n , " C u r r e n t S i t u a t i o n , " 78. 167. C h e n Y i , " P u b l i s h i n g i n C h i n a i n the P o s t - M a o E r a " ; F r e e m a n t l e , The Steal; C r o t h a l l , " ' P i r a t e d ' P r o d u c t s . " 168. 169. Z h e n g and Pendleton, Copyright Law in China, v-vi. " F a s h e n g zai zishi b a o h u l i n g y u d e g u a i s h i : F a n q u a n fan d a o b a n -

q u a n z h u a n j i a t o u s h a n g " ( D i s c o v e r i n g a S t r a n g e T h i n g i n the A r e a o f I n t e l l e c t u a l P r o p e r t y P r o t e c t i o n : I n f r i n g i n g the R i g h t s o f t h e L e a d i n g S p e c i a l i s t on C o p y r i g h t ) , yu Guangming ribao, de Mar. 22, 1993, 4; Z h e n g C h e n g s i , (My Copyright Guangming ribao, Mar. "Wo 31, Zhishicanquan falii quanshu banquan jiufen" Dispute

w i t h t h e Complete Book of Intellectual Property Law), 1993. 5-

170. G a o , " O n t h e R e v i s i o n o f t h e C u r r e n t P a t e n t L a w . " 1 7 1 . "Patent V i o l a t o r s F i n e d , " China Daily, A p r . 172. See, e.g., t h e c a s e of He Peiping v. County (Jiangsu), Technological Development ofWu 30, 1987, 3. in Wen Y i k u i Dec. and 31, Research Institute for Economic and reported

J i a n g T i a n q i a n g , " W o m e n z e n g y a n g shenli z h u a n l i j i u f e n a n j i a n " ( H o w W e A d j u d i c a t e P a t e n t D i s p u t e s ) , Fazhi ribao ( L e g a l S y s t e m D a i l y ) , 1989, 3-

164 / N o t e s to Pages 90-91


1 7 3 . R e n Wei, " B e v e r a g e ' V i t a s o y ' " ; C r o t h a l l , " ' P i r a t e d ' P r o d u c t s " ; H o r s l e y , "Protecting Intellectual Property"; T i a n Y i n g , " T r a d e m a r k C o n trols A r e T a k i n g Effect." A u t h o r ' s interviews, June 1987. "Hi-Tech Dispute Tests S c o p e o f China's R e 1988, 1. Hong Kong, Dec. 1986,

174. A u t h o r ' s i n t e r v i e w s , H o n g K o n g , J u n e 1988, D e c . 1989. S e t h F a i son and M a r l o w e H o o d , f o r m s , " South China Morning Post, J u n e n, 1 7 5 . H o w s o n , " C a o S i y u a n , " 270. 1 7 6 . ' " S o l e m n S t a t e m e n t ' b y B e i j i n g S t o n e E n t e r p r i s e G r o u p , " Renmin ribao, Feb. 10, 1990, 7, in Foreign Broadcast Information Service C H - 9 0 - 0 3 1 ( F e b . 12, 1990), 1 1 . S e e a l s o Y a o G u a n g , "Wan R u n n a n b a n q i ' S h i t o u ' y a o zashui" ( W h o D i d Wan R u n n a n Want to S m a s h by Picking Up a S t o n e ) , Renmin ribao, A u g . Business Weekly, J a n . 7, 1989. 1 7 7 . T i a n Y i n g , " T r a d e m a r k C o n t r o l s A r e T a k i n g E f f e c t , " China Daily 19, 1992, 4. Lu G u a n g c a n , " S e c o n d N a t i o n a l C o n f e r ence on Patent Work." 178. I n fact, t h e r e w e r e p r e d e c e s s o r c h a m b e r s t o these n e w t r i b u n a l s . See, e.g., Y u a n Z h a o , " N e w C o u r t Settles Patent Dispute: C h i n a ' s L e g a l E a g l e s G r a p p l e w i t h I n t e l l e c t u a l P r o p e r t y D i s p u t e s , " China Daily Business Weekly, S e p t . 9, 1 9 9 1 , 1. W h e t h e r t h e n e w i n t e l l e c t u a l p r o p e r t y c h a m b e r s , which have been established in Beijing, Shanghai, Fujian, G u a n g d o n g , and H a i n a n , w i l l h a v e t h e i m p a c t s u g g e s t e d b y their p r o p o n e n t s i s unclear. Well o v e r 9 0 p e r c e n t o f t r a d e m a r k cases a r e r e s o l v e d a d m i n i s t r a t i v e l y ( W a n g Z h e n g f a , "Administrative Resolution," n ) , while holders of copyrights and p a t e n t s e s p e c i a l l y f r o m a b r o a d h a v e been reluctant to utilize the courts g e n e r a l l y t o v i n d i c a t e their r i g h t s , a l l e g e d l y b e c a u s e o f their d o u b t s a b o u t t h e c o u r t s ' a b i l i t y t o e n f o r c e their j u d g m e n t s . A u t h o r ' s i n t e r v i e w s , B e i j i n g , Aug. 1993. T h e P R C g o v e r n m e n t i t s e l f r e p o r t s that f r o m 1986 t h r o u g h !993, C h i n e s e c o u r t s i n c l u d i n g t h e a f o r e m e n t i o n e d n e w c h a m b e r s s p e c i a l i z e d c o l l e g i a l p a n e l s a n d r e g u l a r j u d g e s , h e a r d a total o f 3,505 civil c a s e s i n v o l v i n g intellectual property. kuang." 179. W a n g Y o n g h o n g , "Deeper C r a c k d o w n U r g e d . " In a cynical m o m e n t , o n e c a n n o t h e l p b u t w o n d e r w h e t h e r o r n o t the p u b l i c i t y s u r r o u n d i n g s u c h e n f o r c e m e n t e f f o r t s i s i n s i g n i f i c a n t p a r t g e n e r a t e d for f o r e i g n c o n s u m p t i o n . A f t e r all, q u a s i - o f f i c i a l f o r e i g n l a n g u a g e m e d i a i n C h i n a s u c h as t h e China Daily, w h i c h u s u a l l y a r e q u i t e reticent a b o u t t h e i m p o s i t i o n of severe criminal sanctions, seem only too willing to accord great p r o m i nence to executions and other serious punishments handed d o w n under i n t e l l e c t u a l p r o p e r t y l a w s . F o r e x a m p l e , the China Daily r e c e n t l y c a r r i e d a f r o n t - p a g e s t o r y o n t h e e x e c u t i o n o f a 3 3 - y e a r - o l d G u i z h o u m a n for s e l l i n g fake M a o t a i , w h i c h the paper termed an "unmistakable w a r n i n g " to pirates across the nation. " Z h o n g g u o zhishicanquan baohu z h u a n g -

N o t e s to P a g e s 91-94

165

180. 182. phy,

" Z h o n g g u o zhishicanquan baohu zhuangkuang." D o e r n e r , "Pirates o f t h e H i g h C s " ; B r a u c h l i , " F a k e C D ' s " ; M u r "Copyright Laws Oct. 21, Prove 1993, Ineffective," 16. South China Morning Post, 1992

181. W a n g Y o n g h o n g , " D e e p e r C r a c k d o w n U r g e d . " " C D Pirates M a k e C h i n a a H o m e Port as Sales Soar"; Geoffrey

Crothall,

S e p t . 6 , 1993, B 2 ; R e u t e r s , " C h i n a C a l l e d T o p P i r a t e o f S o f t w a r e , " International Herald Tribune, It is r u m o r e d that on his s o u t h e r n t o u r u n d e r t a k e n t o d e m o n s t r a t e his s u p p o r t for e c o n o m i c r e f o r m , D e n g X i a o p i n g visited the X i a n k e Laser G r o u p , C h i n a ' s m o s t n o t o r i o u s infringer o f C D ' s . 183. A u t h o r ' s i n t e r v i e w s , Beijing, Nov. 1993. The Chinese govern-

m e n t h a s b e e n m a k i n g efforts t o p u b l i c i z e its i n t e l l e c t u a l p r o p e r t y l a w s . F o r a s a m p l e o f m a t e r i a l s a v a i l a b l e for f a c t o r y m a n a g e r s , s e e P e n g H a i qing, Zhuanli wenjian shiyong zhinan. X i n h u a m a y h a v e t a k e n this effort to p r o p a g a n d i z e t h e n e w i n t e l l e c t u a l p r o p e r t y l a w s t o a n e x t r e m e . T a k e , for e x a m p l e , a n a r t i c l e i t r a n i n e a r l y 1992 s u g g e s t i n g that d i n n e r g u e s t s n o w s e e k t o " a p p r o p r i a t e l y c o m p l i m e n t " their h o s t e s s e s b y s a y i n g , " W i t h this skill, y o u c a n a p p l y for p a t e n t r i g h t s . " C h e n X i a n x i n , F u G a n g , a n d W u Jincai, " N e w s l e t t e r [ o n I n t e l l e c t u a l P r o p e r t y ] , " Xinhua ( N e w C h i n a N e w s 23, 1992, in Foreign Broadcast Information Service C H I - 9 2 - 1 6 Agency), Jan.

( J a n . 24, 1992), 2 1 . F o r a m o r e s e r i o u s e x a m p l e o f a n effort t o p o p u l a r i z e the law broadly, 184. s e e Shangbiao fa tushi.

Robin M u n r o quoted in Kathy Chen, "Beijing Takes Harder Line 1993, 1. S e e

on D i s s i d e n t s a n d the P r e s s , " Asian Wall Street Journal, O c t . 25,

a l s o j e r n o w , "Amicable Divorce"; Nicholas Kristoff, "Signalling N e w H a r d L i n e , C h i n e s e J a i l a D i s s i d e n t , " New York Times, J u l . 12, 1993, A 9 . 185. " P e k i n g P a p e r C h a s e : C h i n a O r d e r s L i f e i n J a i l for L o c a l J o u r n a l ist," Far Eastern Economic Review 156, n o . 37 ( S e p t . 186. ing Post, O c t . 16, 1993, 10. 187. P a t r i c k T y l e r , " W h o M a k e s the R u l e s for C h i n e s e F i l m s ? " International Herald Tribune, O c t . 188. 189. 20, 1993, 22. D o e r n e r , "Pirates of the H i g h C s . " To be sure, C h i n a ' s citizenry have increasing opportunities to seek of legal remedies are discussed in Alford, "Double-Edged 16, 1993): 5. " S a t e l l i t e B a n to K e e p O u t ' F o r e i g n ' Influence," South China Morn-

r e d r e s s t h r o u g h law. A r a n g e o f c a s e s i n w h i c h p r o m i n e n t c i t i z e n s a v a i l e d themselves S w o r d s . " L e s s p r o m i n e n t P R C n a t i o n a l s a r e t u r n i n g i n g r o w i n g , i f still m o d e s t (at l e a s t r e l a t i v e t o the size o f C h i n a ' s p o p u l a c e ) , n u m b e r s t o t h e law on administrative litigation ( Z h o n g h u a renmin g o n g h e g u o xingzheng s u s o n g f a ) , w h i c h sets f o r t h p r o c e d u r e s b y w h i c h citizens m a y a p p e a l a d m i n i s t r a t i v e d e t e r m i n a t i o n s t o the c o u r t s .

166

N o t e s t o P a g e s 95-98

Five. As Pirates Become Proprietors


1. L o h , ed., Kuomintang Debacle.

2 . A l t h o u g h t h e T a i w a n e s e initially w e l c o m e d N a t i o n a l i s t t r o o p s for their r o l e i n b r i n g i n g the J a p a n e s e c o l o n i a l p e r i o d t o a n e n d , t h e b r u t a l i t y w i t h w h i c h G u o m i n d a n g f o r c e s m o v e d t o c o n s o l i d a t e their p o s i t i o n e v e n p r i o r t o t h e g e n e r a l N a t i o n a l i s t retreat t o T a i w a n i n c u r r e d the n a t i v e p o p u l a t i o n ' s e n m i t y . O b s e r v e r s e s t i m a t e that b e t w e e n 10,000 a n d 25,000 T a i w a n e s e w e r e k i l l e d , l e a v i n g a b i t t e r n e s s that p e r s i s t s t o the p r e s e n t . S e e L a i and M y e r s , 3. Kaser, Tragic Beginning; C h a o , " E x o r c i s i n g G h o s t s . " Book Pirating, Book Pirating, U.S. Book Pirating, 31. 40. 31-41. The U.S. Military Assistance G r o u p ,

4 . H e D e f e n , " C o m p a r a t i v e S t u d y , " 339. 5. K a s e r , 6. 7. Kaser, Benjamin, Books Abroad.

w h i c h g r e w f r o m 116 s o l d i e r s i n 1951 t o t h o u s a n d s a t its p e a k , w a s o n e a u d i e n c e for p i r a t e d v e r s i o n s p r o d u c e d i n T a i w a n , J a p a n , a n d e l s e w h e r e . 8 . H e D e f e n , " C o m p a r a t i v e S t u d y , " 335. 9. Kaser, Book Pirating, 48. lunwenji, 29. 10. I b i d . , 6 7 - 7 0 . 1 1 . He Defen, Zhuzuoquanfa 12. L i t e r a l l y s p e a k i n g , the R O C ' s p e r t i n e n t l a w i n this a r e a , t h e Z h u z u o q u a n f a , s h o u l d b e t r a n s l a t e d a s "law o n a u t h o r ' s r i g h t s , " b u t R O C p u b lications render it as c o p y r i g h t in E n g l i s h . 13. S h i Wengao, Zhuzuoquan; id., Guoji zhuzuoquan. Trade. " P r o t e c t i o n of 14. S e e K a s e r , Book Pirating, p a s s i m ; Publisher's Weekly, M a y 30, 1966, 58. 15. G e n e r a l A c c o u n t i n g O f f i c e , 16. Publishing Yearbook of the ROC, A m e r i c a n C o p y r i g h t , " 115. 1 7 . H e D e f e n , " C o m p a r a t i v e S t u d y , " 339. 18. I b i d . , 368. T h e o t h e r t h r e e s e n t e n c e s w e r e c o m m u t e d . A s r e c e n t l y a s 1983, f e w e r t h a n 1,000 c o p y r i g h t s w e r e r e g i s t e r e d a n n u a l l y . 19. S e e , e . g . , F r e e m a n t l e , The Steal. L o n g b e f o r e the e a s i n g i n 1987 o f travel a n d o t h e r r e s t r i c t i o n s o n i n t e r c o u r s e b e t w e e n T a i w a n a n d t h e C h i nese mainland, there w a s considerable unauthorized reproduction in each j u r i s d i c t i o n of written material originating in the other (based on direct o b s e r v a t i o n b y t h e a u t h o r i n T a i p e i a n d B e i j i n g ) . I n t e r e s t i n g l y , for p o l i t i c a l p u r p o s e s , t h e a u t h o r i t i e s o n t h e m a i n l a n d h a v e set a s i d e i n a s p e c i a l a c c o u n t what they describe as basic p a y m e n t s o w e d to T a i w a n authors w h o s e w o r k s are reprinted w i t h o u t permission. 20. Asian H a n , " P r o t e c t i o n f r o m C o m m e r c i a l C o u n t e r f e i t e r s , " 64. Wall Street Journal, 1. International 174, cited in S i m o n e ,

21. See, e.g., M a r i a S h a o , "Taiwan L o w e r s B o o m on Counterfeiters,"

Notes to Pages 98-100 / 167


22. 23. 24. 25. 26. 27. 28. Hickman, Lohr, "Protecting on Intellectual Property," Asia 117; C. V. Chen, 30,

"Legal Protection." "Crackdown The Steal. Counterfeiting"; Magazine, Dec. 1984; F r e e m a n t l e ,

" T a i w a n ' s B r a z e n P i r a t e s , " Newsweek, N o v . 15, 1982; L o h r , " C r a c k U.S. He International Defen, Trade Commission, 29-30. Effect of Foreign Product

d o w n on Counterfeiting." Counterfeiting. Zhuzuoquanfa lunwenji, S e e A l f o r d , "Intellectual P r o p e r t y . " T o facilitate e c o n o m i c g r o w t h i n the d e v e l o p i n g w o r l d t h r o u g h t a r i f f

preferences, G A T T allows developed nations t o deviate f r o m the principle o f n o n d i s c r i m i n a t i o n , w h i c h p r o v i d e s that p r i v i l e g e s a c c o r d e d o n e t r a d i n g p a r t n e r b e g i v e n t o all. S e e B e l a s s a , " T o k y o R o u n d , " 93; D o r r i s , " V e r y S p e c i a l i z e d U n i t e d S t a t e s G e n e r a l i z e d S y s t e m o f P r e f e r e n c e s , " 39. 29. 30. 1 9 U . S . C . 2462(c)(5) a n d 2 6 4 ( c ) ( 3 ) ( B ) ( 2 ) .
4

" C a n A s i a ' s F o u r T i g e r s Be T a m e d ? " Business Week, F e b . 15, 1988, 46.

31. U . S . H o u s e , 100th C o n g . , 2 d s e s s . , 1988, " M e s s a g e f r o m the P r e s i d e n t o f t h e U n i t e d S t a t e s T r a n s m i t t i n g N o t i f i c a t i o n o f H i s Intent t o R e m o v e . . . T a i w a n . . . f r o m the L i s t of B e n e f i c i a r y D e v e l o p i n g C o u n t r i e s U n d e r t h e G S P " ( H . R . D o c . N o . 162). 32. O m n i b u s T r a d e a n d C o m p e t i t i v e n e s s A c t o f 1988, P u b . L . N o . 1 0 0 418, 1301, 1303, 102 S t a t . 1 1 6 4 - 7 6 , 1 1 7 9 - 8 1 (1988) ( a m e n d i n g t h e T r a d e A c t o f 1974, P u b . L . N o . 93-316, 302(b), 182 (1974). 33. H a n , " P r o t e c t i o n f r o m C o m m e r c i a l C o u n t e r f e i t e r s , " 650; H e D e f e n , Zhuzuoquanfa 34. 35. that lunwenji, 29-30. These campaigns are discussed in National Anti-Counterfeiting M e a s u r e s , " 157. S h a n g b i a o f a , A r t . 62. T h i s a m e n d m e n t d i d n o t l i m i t t h e p o s s i b i l i t y o f m o n e t a r y r e d e m p t i o n o f penalties (of u p t o three years' i m p r i s o n m e n t ) m i g h t b e i m p o s e d for i n f r i n g i n g u n r e g i s t e r e d w e l l - k n o w n f o r e i g n S h a n g b i a o f a , A r t s . 6 6 a n d 64. S e e a l s o S h a n g b i a o f a x i u z h e n g s h u o Z h u z u o q u a n f a , A r t . 4 I (14). P r o g r a m s are d e f i n e d in A r t . 3 I (19). Z h u z u o q u a n f a , A r t . 4. Public Prosecutor v. Tan Ching Publishing Co., Criminal Judgment at trademarks. 36. 37. 38. 39. m i n g ; S i l k , " L e g a l E f f o r t s , " 301. See also Lin R u e y - L o n g , "Protection." Committee, Intellectual Property.

T h e s e are discussed in P o w and Lee, "Taiwan's A n t i - C o u n t e r f e i t

t h e T a i p e i D i s t r i c t C o u r t o f T a i w a n (1988), Y i - Z i N o . 2574, S e p t . 20, 1988, d i s c u s s e d i n C h i u H u n g d a h , " C o n t e m p o r a r y Practice"; Stone, " L e g a l A s pects," 210-11.

168 / N o t e s to Pages 100-104


40. 42. Z h u z u o q u a n f a , A r t . 1 7 III. Zhuanlifa tiaowen xiuzheng caoan s h u o m i n g ; Taiwan's Patent L a w , 24, 1986, t r a n s l a t e d a n d r e p r i n t e d in East Asian Executive

4 1 . I b i d . , A r t . 40. as a m e n d e d D e c . 43. 44. 45. 46.

Reports, J u n e 15, 1987, A r t . 88-1. S h a n g b i a o f a , A r t . 62 I. A u t h o r ' s i n t e r v i e w s a n d o b s e r v a t i o n s , T a i p e i , S e p t . 1986. S e e a l s o The Steal. N . S . C h e n g and M . H . C h a o , " U p d a t e o n Intellectual Property," C h o , " A n t i - C o u n t e r f e i t i n g C o m m i t t e e , " 25. A l s o U . S . I n t e r n a t i o n a l

Freemantle,

19; S i l k , " L e g a l E f f o r t s , " 3 2 6 - 2 7 . T r a d e C o m m i s s i o n , Foreign Protection, K - 3 3 ; W u W e n - y a , " B o a r d o f F o r e i g n T r a d e , " 32; H u a n g M a o - z o n g , " A s s i s t a n c e a n d S e r v i c e s , " 160. 47. S e e , e . g . , Y e Y u q i , " S h a n g b i a o f a x i u z h e n g d e y i n x i a n g , " 69; S i l k , 160-63. " L e g a l E f f o r t s " ; N a t i o n a l A n t i - C o u n t e r f e i t i n g C o m m i t t e e , Intellectual Property, 2 5 - 2 9 , 48. 49. 50. 52. 53. 54. 56. t u r e , " 19. S e n g , " F i l m and V i d e o Piracy" (supplement), vol. 1. Freemantle, The Steal, 120, 126. S i l k , " L e g a l E f f o r t s , " a p p e n d i c e s IIIVII; G o l d s t e i n , " P a r t i n g G e s -

5 1 . A u t h o r ' s i n t e r v i e w s , T a i p e i , S e p t . 1986. International Intellectual P r o p e r t y Alliance R e p o r t to the U. S. T r a d e A l f o r d , "Intellectual Property." B u r e a u o f N a t i o n a l A f f a i r s , " U S T R F a c t S h e e t o n S p e c i a l 301." A u t h o r ' s i n t e r v i e w s , T a i p e i , 1989. Representative, "Trade Losses."

55. B e l l o a n d H o l m e r , " ' S p e c i a l 301,' " 259. 57. Y . T . Z h a o , Sfiijie ribao, A p r . 2 1 , 1988. S i n c e the U n i t e d S t a t e s t e r m i n a t e d f o r m a l d i p l o m a t i c r e l a t i o n s w i t h the R O C o n J a n u a r y 1 , 1979, the t w o nations have carried on quasi-official relations t h r o u g h the A I T and the C C N A A . 58. Winkler, "US-ROC Trade Talks," 14-15; Bello and Holmer, " G A T T U r u g u a y R o u n d , " 307. 59. Jingji ribao, J a n . 24, 1990, 4. 60. A u t h o r ' s i n t e r v i e w s , T a i p e i , J a n . 1991. A l t h o u g h W a n g ' s r e s i g n a t i o n w a s n o t a c c e p t e d , h e d i d n o t p a r t i c i p a t e a s fully i n s u b s e q u e n t n e g o t i a t i o n s . 6 1 . C l i f f o r d , " P i r a t e s ' L a i r , " 79. 62. 63. 64. 66. Francis S . L . W a n g , "Analysis o f A I T - C C N A A U n d e r s t a n d i n g . " Q u o t e d i n B u r e a u o f N a t i o n a l A f f a i r s , " S i x P a r t i e s C o m m e n t s , " 301. F r a n c i s W a n g , " T a m i n g the I n f r i n g e r s , " 527. Ibid.

65. C l i f f o r d , " P i r a t e s ' L a i r . "

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169

67. 68. 69. 70.

B u r e a u of National Affairs, "Taiwan Tries." T h e question of Taipei's G A T T application is addressed in FeinerU S T R , "Fact Sheet o n A I T - C C N A A U n d e r s t a n d i n g . " S h a o C h i u n g - h u i , "Internationalization of C o p y r i g h t Protection in

man, "Taiwan and G A T T . "

T a i w a n , " 20. 71. Wang and Y o u n g , "Taiwan's N e w C o p y r i g h t Regime." 72. S h a o C h i u n g - h u i , "Internationalization of C o p y r i g h t Protection in T a i w a n , " 26. 7 3 . P a r a l l e l i m p o r t a t i o n i n this c o n t e x t m e a n s the a c q u i s i t i o n f r o m abroad of copyrighted works t h r o u g h other than authorized channels. C o p y r i g h t o w n e r s t y p i c a l l y o b j e c t t o this b o t h b e c a u s e i t u n d e r c u t s their m o n o p o l y p o s i t i o n a n d b e c a u s e o f the p o s s i b i l i t y that s o m e o n e i m p o r t i n g u n d e r t h e s e c i r c u m s t a n c e s m a y j e o p a r d i z e their g o o d w i l l t h r o u g h , for e x a m p l e , inattention to servicing requirements. 74. U n d e r s t a n d i n g B e t w e e n the A I T a n d the C C N A A , J u n e 5 , 1992. Dunkel draft is discussed in Bello and Holmer, "GATT 75. T h e 76.

Uruguay Round." U S T R , "Fact Sheet o n A I T - C C N A A Understanding." Taiwan: Beyond the Economic Miracle. 7 7 . T h e s e c h a n g e s i n p o l i t i c a l life o n T a i w a n are c h r o n i c l e d i n S i m o n and K a o , eds., 78. 79. A u t h o r ' s i n t e r v i e w s , C a m b r i d g e , M a s s . , J u n e 1992. S h a o C h i u n g - h u i , "Internationalization of C o p y r i g h t Protection in

T a i w a n , " 68. T h e B e r n e C o n v e n t i o n , for e x a m p l e , d o e s n o t r e q u i r e n a t i o n s to bar parallel i m p o r t a t i o n . 80. 82. 83. 84. 85. 86. 19-20. 87. 88. 89. ons. See, e.g., " U . S . Sees P r o g r e s s in T h a i , Taiwan, H u n g a r i a n IntellecA l f o r d , "Intellectual P r o p e r t y . " T a i w a n ' s " e c o n o m i c m i r a c l e " is d i s c u s s e d in C a l C l a r k , Taiwan's DeHaggard, Pathways from the Periphery; and Vogel, Four Little Dragt u a l P r o p e r t y E f f o r t s , " Agence France Presse, A u g . 3, 1993. S u s a n Y u , " U S Retaliation Fear." Lifayuangongbao,Jan. Susan Yu, 15, 1993.

81. A u t h o r ' s i n t e r v i e w s , C a m b r i d g e , M a s s . , J u n e 1993. F r a n c i s W a n g , " T a m i n g the I n f r i n g e r s , " S 27. " R O C A v o i d s U S T r a d e S a n c t i o n s , " Free China Journal

10, n o . 32 ( M a y 4, 1993): 1. S u s a n Y u , " U S Ratification Fear," 2; S h a o C h i u n g - h u i , "InternaDaisy Wong, " C o m p r e h e n s i v e A c t i o n P l a n for t h e P r o t e c t i o n o f 16, 1993): t i o n a l i z a t i o n o f C o p y r i g h t P r o t e c t i o n i n T a i w a n , " 59. I n t e l l e c t u a l P r o p e r t y R i g h t s A p p r o v e d , " IP Asia, n o . 6 ( A u g .

velopment;

170 / N o t e s to Pages 108-10


90. L i u , " T o u g h e r L a w s M a k e B e t t e r S o f t w a r e , " 42. S e e a l s o C h i n , "Taiwan's Emerging Technological Trajectory"; Chang

" F r o m Imitation to Innovation." 91. S i m o n , Y u w e n , " S i n g l e D i g i t G r o w t h , " 46; L i u , " T o u g h e r L a w s M a k e B e t t e r S o f t w a r e " ; Z h a n g J i n g , " D a l u c h u b a n p i n falu w e n t i t a n t a o , " 26; " C r o s s - S t r a i t S y m p o s i u m " ; " C P A v . N P A , " 39; W i n k l e r , " T a i w a n , " 22; a n d " L e g a l C a b l e TV O n e Step Away: Proposed Law Sets 48 D i s t r i c t s , " Free China Journal, F e b . u , 1992, 4 . C r o s s - S t r a i t s c o l l a b o r a t i o n n o w s e e m s t o e m b r a c e a g o o d d e a l o f i n f r i n g e m e n t , r a n g i n g f r o m h i g h - t e c h fields ( C l i f f o r d , " P i r a t e ' s L a i r " ) to the sale of u n p u b l i s h e d master's theses. 92. 93. D o u g l a s S e a s e , " T a i w a n ' s E x p o r t B o o m t o the U . S . O w e s M u c h t o D a v i d C h e n , " ' M a d e in T a i w a n ' M a k e s the G r a d e , " Free China Jour-

A m e r i c a n F i r m s , " Wall Street Journal, M a y 27, 1987, 1. nal, J u n e 15, 1993, 7 ; M a r i a S h a o , " S t a n S h i h W a n t s ' M a d e i n T a i w a n ' t o M e a n F i r s t - R a t e , " Business Week, J u n e 8, 1987, 109; " H e a d w a y for C o m p u t e r F i r m s , B r a n d n a m e s , O E M M o d e , " Free China Journal, F e b . n , 1992, 8 . 94. 95. P h i l i p L i u , " R e j e c t i n g t h e O l d B o y N e t w o r k , " 18. S e e , e . g . , " T a i w a n : O i l i n g P a l m s , " The Economist, J u n e 12, 1993, 83;

" T a i w a n C a b i n e t t o O p p o s e A n t i - C o r r u p t i o n B i l l , " R e u t e r s , J u n e 9 , 1993; "27 C o n v i c t e d i n T a i w a n E l e c t i o n S c a n d a l , " R e u t e r s , A p r . 16, 1992. 96. Berman, Words Like Colored Glass, 122-69. T h e "three l i m i t a t i o n s " r e q u i r e d that n e w s p a p e r s r e g i s t e r w i t h the g o v e r n m e n t p r i o r t o c o m m e n c i n g p u b l i c a t i o n , l o c a t e their p r e s s e s w i t h i n t h e d i s t r i b u t i o n a r e a s , a n d p r i n t n o m o r e t h a n t h e n u m b e r o f p a g e s a u t h o r i z e d b y the g o v e r n m e n t . 97. 98. 99. 100. S e e , e . g . , S h i n j a e H o o n , " F r e e r t o S p e a k O u t , " 12. Mark Cohen, Taiwan at the Crossroads, 309-51. See also Lawrence

Liu, "A L e s s o n in Persuasion." M e n d e l , "Judicial Power and Illusion," 157-90. See, e.g., J e r e m y M a r k , "Taiwan Finds Diplomatic G o l d M i n e in

R e l a t i o n s w i t h N e w C . I . S . S t a t e s , " Wall Street Journal, F e b . 7, 1992, 5. 101. T h e G A T T i s b e c o m i n g i n c r e a s i n g l y i n v o l v e d i n i n t e l l e c t u a l p r o p e r t y i s s u e s , a s e v i d e n c e d b y the U r u g u a y R o u n d T r a d e R e l a t e d I n t e l l e c t u a l P r o p e r t y ( T R I P S ) a g r e e m e n t . A l f o r d , "Intellectual P r o p e r t y . " 102. S e e W u X i a n x i a n g , " B u z h o n g s h i z h u z u o q u a n , " 13. T h e i s s u e s o f York Chinese TV c o p y r i g h t and the R O C ' s standing i n the w o r l d c o m m u n i t y have c o m e t o g e t h e r in a s o m e w h a t n o v e l m a n n e r in the c a s e of New Programs v. U.E. Enterprises ( C i v i l A c t i o n N o . 88 C i v . 4170 [ J M W ] ) , U.S.

D i s t . C t . , S . D . , N . Y . , M a r . 8 , 1989. I n that c a s e , a n a l l e g e d i n f r i n g e r o f v i d e o t a p e s c o p y r i g h t e d i n T a i w a n u s e d a s a d e f e n s e the a r g u m e n t that t h e p l a i n t i f f d i d n o t h o l d a c o p y r i g h t e n f o r c e a b l e i n the U n i t e d S t a t e s . F i r s t , t h e d e f e n d a n t c o n t e n d e d that the 1946 F r i e n d s h i p , C o m m e r c e a n d N a v i g a t i o n ( F C N ) T r e a t y b e t w e e n the U n i t e d S t a t e s a n d the R O C d i d n o t a p p l y

Notes to Pages 112-13 / 171


t o T a i w a n . S e c o n d , t h e d e f e n d a n t a r g u e d that e v e n i f the F C N T r e a t y d i d apply to T a i w a n , the T a i w a n Relations Act could not constitutionally have c o n t i n u e d such c o p y r i g h t relations as m a y have existed between the U n i t e d S t a t e s a n d t h e R O C p r i o r t o the t e r m i n a t i o n o f A m e r i c a n r e c o g n i t i o n o f T a i p e i o n D e c e m b e r 31, 1978. N o t w i t h s t a n d i n g the d e f e n d a n t ' s r e l i a n c e o n a m e m o r a n d u m of law prepared by Professor Laurence Tribe of the H a r v a r d L a w S c h o o l , the court rejected the defendant's a r g u m e n t s a n d entered a p e r m a n e n t i n j u n c t i o n a g a i n s t its i n f r i n g i n g b e h a v i o r . T h e F e d e r a l C o u r t o f A p p e a l s f o r the S e c o n d C i r c u i t a f f i r m e d the D i s t r i c t C o u r t ' s j u d g m e n t on J a n u a r y 24, 1992 (New York Chinese TV Programs v. U.E. Enterprises, 954 F. 2d 847 [1992]).

Six. No Mickey Mouse Matter


1. A l f o r d , "Seek T r u t h f r o m Facts," 177. 2 . M a o L e i and Z h a n g Z h i y u , "Wang Zhengfa: C h i n a C a n Effectively S t o p I n f r i n g e m e n t o n P r o t e c t i o n o f Intellectual P r o p e r t y R i g h t s . " Renmin ribao (haiwaiban), M a y 7, 1990, 4, t r a n s l a t e d a n d r e p r i n t e d in Foreign Broad1990), 34; B u r e a u of N a t i o n a l cast Information Service C H I - 9 0 - 0 9 5 ( M a y 16,

A f f a i r s , " C h i n a A g r e e s . " M y r e p e a t e d efforts t o s e c u r e b a c k g r o u n d m a t e r i als r e g a r d i n g t h e s e n e g o t i a t i o n s f r o m t h e O f f i c e o f t h e U n i t e d S t a t e s T r a d e Representative ( U S T R ) under the F r e e d o m o f Information Act have been u n a v a i l i n g . I n d e e d , t h e U S T R ' s office has failed e v e n t o c o m p l y w i t h its l e g a l o b l i g a t i o n t o e x p l a i n its r e f u s a l t o p r o v i d e s u c h m a t e r i a l s . 3 . M a r t i a l l a w w a s d e c l a r e d o n M a y 19, 1989, effective 12:00 A . M . o n M a y 20. F o r t h e d e c l a r a t i o n , see " L i P e n g z o n g l i q i a n s h u g u o w u y u a n l i n g B e i j i n g b u f e n d i q u s h i x i n g j i a n y a n " ( P r e m i e r L i P e n g S i g n s the S t a t e C o u n cil's O r d e r t o I m p o s e M a r t i a l L a w o n C e r t a i n D i s t r i c t s o f B e i j i n g ) , Renmin ribao (haiwaiban), M a y 2 1 , 1991, 1.

4. N i c h o l a s Kristof, "Visit to C h i n a : V e x i n g Ritual: B a k e r ' s T r i p H i n d e r e d b y M i s u n d e r s t a n d i n g s , " New York Times, Nov. 19, 1991, A 9 . The j o i n i n g of intellectual p r o p e r t y issues with concerns over nuclear w e a p o n s p r o l i f e r a t i o n a n d a r m s c o n t r o l w a s a l s o e v i d e n t i n late F e b r u a r y 1992 w h e n t h e U n i t e d S t a t e s lifted s a n c t i o n s i m p o s e d o n C h i n a for sale o f " m i s s i l e t e c h n o l o g y to S y r i a , Iran and Pakistan and nuclear t e c h n o l o g y to Iran." As the New York Times p u t it, "In e x p l a i n i n g the r e a s o n s , L a w r e n c e E a g l e b u r g e r , t h e U n d e r S e c r e t a r y of S t a t e . . . a r g u e d . . . that [ C h i n e s e ] a d h e r e n c e t o t h e m i s s i l e c o n t r o l r e g i m e [in e x c h a n g e o f a lifting o f s a n c t i o n s ] ' w a s a n i m p o r t a n t first s t e p t o w a r d a c h i e v i n g s i m i l a r c o n c e s s i o n s i n o t h e r c o n t e n t i o u s a r e a s s u c h a s the t r a n s f e r o f n u c l e a r t e c h n o l o g y a n d i n t e l l e c t u a l p r o p e r t y r i g h t s ' " ( E l a i n e S c i o l i n o , " U . S . L i f t s Its S a n c t i o n s o n C h i n a o v e r H i g h - T e c h n o l o g y T r a n s f e r s , " New York Times, F e b . 22, 1992, A i ) .

172

N o t e s to P a g e s 1 1 3 - 1 4

5. B u r e a u of N a t i o n a l Affairs, " U S T R Sets J a n u a r y 16 Deadline." 6 . M i c h a e l C h u g a r i , " P R C N o t t o ' K e e p Silent' o n T a r i f f s , " South China Morning Post, J a n . n , 1992, 1 ; A l f o r d , " P e r s p e c t i v e o n C h i n a . " M F N s t a t u s i s s o m e t h i n g o f a m i s n o m e r , a s the preferential tariff rates i t p r o v i d e s u n d e r U . S . l a w a r e a v a i l a b l e t o v i r t u a l l y all n o n c o m m u n i s t n a t i o n s . T h e s o - c a l l e d J a c k s o n - V a n i k a m e n d m e n t t o t h e 1974 T r a d e A c t f u r t h e r p r o v i d e s that e v e n c o m m u n i s t n a t i o n s m a y r e c e i v e M F N s t a t u s i f t h e y p e r m i t their n a t i o n a l s t o e m i g r a t e o r t h e p r e s i d e n t w a i v e s this c o n d i t i o n (as U . S . p r e s i d e n t s h a v e d o n e a n n u a l l y s i n c e 1980 w i t h r e s p e c t t o C h i n a ) . F o r m o r e o n M F N , s e e A l f o r d , " B o t h D e m o c r a t s and Republicans"; id., "Underestimating a C o m plex China." 7. "Memorandum of Understanding lectual Property," J a n . 17, . . . o n the Protection o f Intel-

1992; " C h i n e s e C h e c k e r s , " National Journal 24 1. 1992, 20; L a c h i c a , " C h i n a S e t t l e s D i s -

( J a n . 25, 1992): 226; R i c h a r d K a t z , " S e t t l e m e n t o f C o p y r i g h t D i s p u t e S t a v e s O f f T e n s i o n , " Nikkei Weekly, F e b . ing Post, Jan. 18, 1992, 12. 8 . K a y e a n d A w a n o h a r a , " D o w n t o the W i r e . " 9. T h o m a s F r i e d m a n , "China Faces U . S . Sanctions in Electronic C o p y r i g h t P i r a c y , " New York Times, J u l y 1, 1994, D 2 . T h e shift in t h e C l i n t o n a d m i n i s t r a t i o n ' s C h i n a p o l i c y has b e e n s t u n n i n g . L i n c o l n K a y e , " O n e - W a y S t r e e t , " n . A l t h o u g h t h e r e are c e r t a i n l y g o o d a r g u m e n t s t o b e m a d e for its c u r r e n t (at l e a s t a s o f this w r i t i n g ) p o l i c y o f " c o n s t r u c t i v e e n g a g e m e n t " (to b o r r o w a t e r m left o v e r f r o m a p r e v i o u s a d m i n i s t r a t i o n ) , the C l i n t o n a d m i n i s t r a t i o n ' s initial p o l i c y a l s o h a d a v e r y s e r i o u s r a t i o n a l e . A s L i n c o l n K a y e of t h e Far Eastern Economic Review w r o t e after i n t e r v i e w i n g t h e l e a d i n g C h i n e s e d i s s i d e n t Wei J i n g s h e n g f o l l o w i n g Wei's release f r o m s o m e f o u r t e e n y e a r s ' i m p r i s o n m e n t : " H e [Wei] s c o r n s t h e C l i n t o n a d m i n i s t r a t i o n ' s d e - e m p h a s i s o n h u m a n r i g h t s i n its o v e r a l l C h i n a p o l i c y . C o n f r o n t a t i o n o v e r m o s t - f a v o r e d - n a t i o n t r a d i n g s t a t u s m i g h t n o t h a v e b e e n the m o s t effect i v e U S s t r a t e g y t o b e g i n w i t h , h e a d m i t s . B u t , h a v i n g c o m e this far w i t h it, W a s h i n g t o n w o u l d n o w b e ' f o o l i s h ' t o t h r o w a w a y that c a r d j u s t a s i t s e e m s o n t h e v e r g e o f w i n n i n g ' m o r e p r i s o n e r releases a n d o t h e r c o n c e s s i o n s " ( K a y e , " L e a r n i n g N e w R u l e s , " 21). I r o n i c a l l y , i n m o v i n g f r o m a C h i n a p o l i c y that initially m a d e m u c h r h e torically of h u m a n rights to one m o r e focused on economic and strategic c o n s i d e r a t i o n s , B i l l C l i n t o n i s u n w i t t i n g l y e m u l a t i n g a s i m i l a r , i f less p u b l i c i z e d , shift b y G e o r g e B u s h i n the f i r s t y e a r o f h i s p r e s i d e n c y . A l t h o u g h i t w a s s u b s e q u e n t l y o b s c u r e d b y his r e a c t i o n t o t h e B e i j i n g S p r i n g o f 1989, B u s h ' s first consequential action t o w a r d C h i n a as president w a s to invite t h e d i s s i d e n t p h y s i c i s t F a n g L i z h i t o the s t a t e d i n n e r h e w a s h o s t i n g for t h e C h i n e s e l e a d e r s h i p , m u c h t o its c o n s t e r n a t i o n , i n o r d e r t o m a k e a s y m b o l i c p u t e " ; " O n e C l e a r R o u n d , b u t M o r e H u r d l e s t o C o m e , " South China Morn-

N o t e s to P a g e s 115-17

173

g e s t u r e a b o u t the i m p o r t a n c e o f h u m a n r i g h t s c o n s i d e r a t i o n s i n A m e r i c a n C h i n a policy. 10. T h i s l i n k a g e i s d i s c u s s e d i n A l f o r d , "Intellectual P r o p e r t y . " 1 1 . M e m o r a n d u m o f U n d e r s t a n d i n g o n the P r o t e c t i o n o f I n t e l l e c t u a l P r o p e r t y , J a n . 1 7 , 1992. 12. L i Y i n g , " I n t e r n a t i o n a l C o p y r i g h t T r e a t i e s a n d C h i n e s e I m p l e m e n tation Rules." 13. E d u a r d o L a c h i c a , " U . S . P l a n s Tariffs for C h i n e s e I m p o r t s a s B e i j i n g F a i l s to M o v e on P a t e n t I s s u e s , " Wall Street Journal, N o v . 27, 1991, A 1 0 . 14. A l t h o u g h a c t i o n s s u c h a s t h o s e t a k e n b y the U S T R are s a i d t o h a v e a s a n o b j e c t i v e b r i n g i n g C h i n a i n t o the w o r l d c o m m u n i t y , their l a r g e l y u n i l a t e r a l n a t u r e a n d t h e c o m p a r a b l e a c t i o n s that t h e y e v o k e a m o n g o u r t r a d i n g p a r t n e r s a n x i o u s n o t t o b e left b e h i n d a t t i m e s result i n C h i n a (and other similarly situated nations) being pulled in a variety of directions b y different m e m b e r s o f t h e w o r l d c o m m u n i t y . S e e , e . g . , I s l a m a n d K a r p , " G r a b that R o l e x , " 63. 15. T h e w a y s i n w h i c h d i s s i d e n t s a n d o t h e r s are s e e k i n g t o u s e t h e l a w t o call t h e C o m m u n i s t p a r t y t o t a s k for n o t a d h e r i n g t o its o w n s t a n d a r d s are the subject o f A l f o r d , " D o u b l e - E d g e d S w o r d s . " 16. A c y n i c m i g h t s u g g e s t that the B u s h a d m i n i s t r a t i o n w a s r e l a t i v e l y i n d i f f e r e n t t o t h e q u e s t i o n o f h o w effectively these l a w s m i g h t t a k e h o l d , a r g u i n g that t h e a d m i n i s t r a t i o n ' s p r i n c i p a l o b j e c t i v e w a s t o c o n c l u d e a n a g r e e m e n t s e c u r i n g s e e m i n g c o n c e s s i o n s f r o m C h i n a that m i g h t d e f u s e o b j e c t i o n s t o its C h i n a p o l i c y i n g e n e r a l a n d its a d v o c a c y o f c o n t i n u e d M F N s t a t u s i n p a r t i c u l a r . T h i s h a d t h e a d v a n t a g e , s o the a r g u m e n t g o e s , o f e n a b l i n g t h e p r e s i d e n t t o c l a i m that his a t t e n t i o n t o f o r e i g n affairs w a s , i n d e e d , o p e n i n g u p e c o n o m i c o p p o r t u n i t i e s a b r o a d ( a n d , w i t h t h e m , j o b s for A m e r i c a n w o r k e r s ) w h i l e a l s o e a r n i n g the g r a t i t u d e (and c a m p a i g n s u p p o r t ) o f l e a d e r s o f the e n t e r t a i n m e n t , p h a r m a c e u t i c a l , a n d c o m p u t e r i n d u s t r i e s . 17. T h e r e i s s u r p r i s i n g l y little a c a d e m i c l i t e r a t u r e i n the West (or, for that m a t t e r , i n t h e C h i n e s e w o r l d ) o n w h a t A l a n W a t s o n h a s t e r m e d "legal t r a n s p l a n t a t i o n , " w h e t h e r w i t h reference t o p a r t i c u l a r n a t i o n s (such a s C h i n a ) o r i n g e n e r a l . T h i s m a y i n p a r t b e a l i n g e r i n g after-effect o f the u n s u c c e s s ful e f f o r t s o f t h e s o - c a l l e d l a w a n d d e v e l o p m e n t m o v e m e n t , undertaken chiefly d u r i n g the 1950's a n d 1960's, t o e n c o u r a g e L a t i n A m e r i c a n , A f r i c a n , a n d A s i a n nations t o p r o m u l g a t e laws m o d e l e d o n those o f Western liberal d e m o c r a c i e s i n o r d e r t o e x p e d i t e their " m o d e r n i z a t i o n . " S e e , e . g . , T r u b e k and Galanter, "Scholars in Self-Estrangement," and M e r r y m a n , " C o m p a r a tive L a w . " W a t s o n h i m s e l f has r e m a i n e d q u i t e s a n g u i n e a b o u t the e a s e w i t h w h i c h l a w m i g h t b e t r a n s p l a n t e d b e t w e e n s o c i e t i e s , b u t h i s f i n d i n g s are l a r g e l y i n a p p l i c a b l e t o the P R C for t w o p r i n c i p a l r e a s o n s . F i r s t , for all their dif-

174

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f e r e n c e s , t h e s o c i e t i e s W a t s o n s t u d i e d w e r e far c l o s e r l e g a l l y , p o l i t i c a l l y , c u l t u r a l l y , a n d e c o n o m i c a l l y t h a n are the P R C a n d the m a j o r i n d u s t r i a l i z e d d e m o c r a c i e s . S e c o n d , W a t s o n t e n d s t o treat t r a n s p l a n t a t i o n a s s u c c e s s f u l s o l o n g a s t h e a d o p t i n g s o c i e t y has t a k e n o n the f o r e i g n f o r m s i n q u e s t i o n , i r r e s p e c t i v e o f w h e t h e r s a i d f o r m s yield the results their a d o p t e r s d e s i r e d . W h i l e t h e s t u d y o f the u n e x p e c t e d w a y s i n w h i c h t r a n s p l a n t e d f o r m s g r o w in t h e i r n e w s o i l is i n t e r e s t i n g in its o w n r i g h t , that is a rather different e n d e a v o r f r o m a s s e s s i n g the w o r k i n g s o f a h i g h l y i n s t r u m e n t a l effort a t l e g a l d e v e l o p m e n t o f t h e t y p e the P R C has b e e n u n d e r g o i n g . F o r a r e p r e s e n t a t i v e e x a m p l e of W a t s o n ' s w r i t i n g on this s u b j e c t , see W a t s o n , Legal Transplants. I further discuss the p r o b l e m s of transplantation in "Inscrutable Occidental" and " O n the L i m i t s o f ' G r a n d Theory.' " O n e of the best studies of the t r a n s plantation of foreign legal f o r m s to C h i n a is E d w a r d E p s t e i n , "Theoretical System of Property Rights." 18. I n t e l l e c t u a l p r o p e r t y has n o t b e e n the o n l y t r a d e f r o n t o n w h i c h t h e

U S T R h a s b r o u g h t e x t e n s i v e p r e s s u r e t o b e a r o n the C h i n e s e w o r l d . T h e U S T R has u t i l i z e d t h e threat o f a S e c t i o n 301 a c t i o n a g a i n s t T a i w a n ( a n d a n u m b e r o f o t h e r A s i a n n a t i o n s ) i n o r d e r t o s e c u r e better m a r k e t a c c e s s for A m e r i c a n t o b a c c o e x p o r t s . To at least s o m e observers, b o t h in the U n i t e d S t a t e s a n d o n T a i w a n , this has b e e n all t o o r e m i n i s c e n t o f the O p i u m W a r a c e n t u r y a n d a h a l f earlier. S e e , e . g . , Sesser, " O p i u m War R e d u x . " 19. I t s h o u l d b e n o t e d that s o m e s c h o l a r s are o f the v i e w that c o p y -

r i g h t , a n d , w i t h it, t h e i n c r e a s i n g c o m m e r c i a l i z a t i o n o f k n o w l e d g e , a t least i n l i b e r a l d e m o c r a t i c s o c i e t i e s , w o r k t o c u r t a i l the m a r k e t p l a c e o f i d e a s . S e e Boyle, "Theory of L a w and Information." R e a d e r s m a y w o n d e r w h e t h e r m y s u g g e s t i o n that t h e rise o f a c o n s t i t u e n c y w i t h a n e c o n o m i c interest i s o f c o n s e q u e n c e i n s e c u r i n g effective c o p y r i g h t p r o t e c t i o n c o n s t i t u t e s a n i m p l i c i t e n d o r s e m e n t o f the w o r k o f Adelstein and Peretz and N o r t h and T h o m a s , discussed in chapter 2. As I believe the R O C e x a m p l e indicates, e c o n o m i c considerations are significant variables. N e i t h e r Adelstein and Peretz nor N o r t h and T h o m a s , however, p a y a d e q u a t e h e e d t o the i m p a c t o f t h e t y p e o f c u l t u r a l , s o c i a l , p o l i t i c a l , a n d d i p l o m a t i c c o n s i d e r a t i o n s o n w h i c h this s t u d y h a s f o c u s e d . N o r d o t h e y p r o v i d e u s w i t h a m e a n s o f i s o l a t i n g the i m p a c t o f t h e s e m a n y v a r i a b l e s u n l e s s o n e s t a r t s w i t h their a s s u m p t i o n that e c o n o m i c f a c t o r s a r e paramount. 20. O n e of the failings of the law and development m o v e m e n t m a y have

b e e n that i t o v e r e s t i m a t e d t h e p o w e r o f l a w t o l e a d s o c i a l t r a n s f o r m a t i o n a n d d i d n o t a d e q u a t e l y h e e d the d e g r e e t o w h i c h a s o c i e t y ' s l a w i s i n t e r t w i n e d w i t h o t h e r d i m e n s i o n s o f its p o l i t i c a l , i n s t i t u t i o n a l , a n d c u l t u r a l life. 21. C h a l l e n g e s p o s e d b y the effort t o r e c o n c i l e i n t e r n a t i o n a l h u m a n r i g h t s n o r m s w i t h c u l t u r e s n o t a c t i v e l y r e p r e s e n t e d i n t h e initial f o r m u l a -

Notes to Pages 121-22 / 175


tion o f such n o r m s are addressed i n A l f o r d " M a k i n g a F o r u m o f D e m o c racy." 22. A l f o r d , "Both D e m o c r a t s and Republicans"; id., "Seek Truth f r o m Facts"; id., " D o u b l e - E d g e d Swords"; id., "Underestimating a C o m p l e x China." 23. I d i s c u s s this p h e n o m e n o n in a f o r t h c o m i n g e s s a y on t h e r i s e of hezuozhi ( c o o p e r a t i v e o r q u a s i - p r i v a t e ) l a w f i r m s i n the P R C . A l f o r d , " T a s s e l l e d Loafers." 24. tion, See, e.g., Louise Lucas, " U S Threatens Action Against C h i n a O v e r Nov. 18, 1993, Business Sec1; S t r o s s , Bulls in the China Shop, 88-89. T o m a k e this p o i n t is n o t T e x t i l e E x p o r t s , " South China Morning Post,

to c o n d o n e the fraudulent mislabeling of textiles in which s o m e C h i n e s e e n t e r p r i s e s a r e s a i d t o b e e n g a g e d . I t s h o u l d b e n o t e d that s o m e r e p u t a b l e c o m m e n t a t o r s b e l i e v e that t h e U . S . g o v e r n m e n t h a s w i l d l y e x a g g e r a t e d t h e mislabeling problem. J a m e s B o v a r d , "Trade Quotas Build N e w Chinese Wall," Walt Street Journal, J a n . 10, 1994, A12.

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t i o n s o f t h e P e o p l e ' s R e p u b l i c o f C h i n a ) , J a n . - D e c . 1985: 582-85. B e i j i n g :

212 / B i b l i o g r a p h y
" Z u i g a o r e n m i n f a y u a n g u a n y u shenli z h u a n l i j i u f e n a n j i a n r u o g a n w e n t i d e j i e h u i " ( A n s w e r s o f the S u p r e m e P e o p l e ' s C o u r t t o S e v e r a l Q u e s t i o n s on R e s o l u t i o n of P a t e n t D i s p u t e s ) . i Zhonghua renmin gongheguo zuigao ren(1993): 2 6 - 2 7 . B e i j i n g : Z h o n g h u a 1993. min fayuan gongbao ( T h e G a z e t t e o f the S u p r e m e P e o p l e ' s C o u r t o f t h e

People's Republic of China), no.

r e n m i n g o n g h e g u o zuigao renmin fayuan bangongting,

" Z u i g a o r e n m i n fayuan g u a n y u shenli zhuanli shenqing q u a n j i u f e n a n j i a n r u o g a n w e n t i d e t o n g z h i " ( T h e C i r c u l a r o f the S u p r e m e P e o p l e ' s C o u r t A d d r e s s i n g Several Q u e s t i o n s C o n c e r n i n g C a s e s Involving D i s p u t e s o v e r the R i g h t t o A p p l y for a P a t e n t ) . P r o m u l g a t e d o n O c t . 19, 1987. Zhonghua renmin gongheguo zuigao renmin fayuan gongbao (The Gazette o f t h e S u p r e m e P e o p l e ' s C o u r t o f the P e o p l e ' s R e p u b l i c o f C h i n a ) 6 , n o . 4 (1987): 8 . B e i j i n g : Z h o n g h u a r e n m i n g o n g h e g u o z u i g a o r e n m i n f a y u a n b a n g o n g t i n g , 1987. " Z u i g a o r e n m i n fayuan g u a n y u zhuanli qinquan jiufen anjian diyu g u a n x i a w e n t i d e t o n g z h i " ( T h e C i r c u l a r o f the S u p r e m e P e o p l e ' s C o u r t A d d r e s s ing the Q u e s t i o n of Territorial J u r i s d i c t i o n in C a s e s Involving D i s p u t e s o v e r P a t e n t I n f r i n g e m e n t ) . P r o m u l g a t e d on J u n e 29, min gongheguo zuigao renmin fayuan gongbao (The Gazette 1987. Zhonghua renof the Supreme

P e o p l e ' s C o u r t o f t h e P e o p l e ' s R e p u b l i c o f C h i n a ) 6 , n o . 3 (1987): 13. Beijing: Z h o n g h u a renmin g o n g h e g u o zuigao renmin fayuan b a n g o n g ting, 1987.

Glossary

214 / Glossary

Index

216 / Index

Index / 217

218 I Index

Index / 219

220 / Index

Index / 221

222 / Index