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Copyright protection in song China (960-1279) Feng, Nianhua 2005

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COPYRIGHT PROTECTION IN SONG CHINA (960—1279) by  NIANHTJA FENG B.A., Yantai Teacher's College, 2001 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENT FOR THE DEGREE OF MASTER OF ARTS in  THE FACULTY OF GRADUATE STUDIES (Asian Studies)  THE UNIVERSITY OF BRITISH COLUMBIA March 2005 ©Nianhua Feng, 2005  Abstract  Copyright protection is an important part o f modern property right law. Although phenomena resembling present-day copyright law, such as ancient books published in different editions and remuneration for authors are found before the middle o f the Tang dynasty (618—907), copyright protection did not come into being i n China until the invention o f block printing. Copyright protection is a subject that has been studied by few scholars o f ancient China. This thesis is an examination o f the conditions o f copyright protection in Song China. After researching the historical materials about this subject, I have found that the maturity o f printing during the Song dynasty (960—1279) stimulated the emergence o f copyright protection; however, it also led to the rise o f piracy, which seriously threatened the profits made by the government, bookshops and authors. When the commercial production o f books began, the Song government also started to take measures to forbid nongovernmental publications involving heretical or seditious materials that might be dangerous to the rulers. A t the same time, some owners o f the shufang ^ijj  (bookshops  which printed and sold books in imperial China) who pursued commercial profit and some authors who sought personal fame joined together to keep their works from being pirated and thus encourage copyright protection during this period. Owing to the different ways books were published, copyright protection in the Song dynasty presents a complicated picture; however, it has a solid background i n the economics, politics and culture o f the era. The conflict between copyright protection and  piracy i n Song China played an important role that influenced the development o f literature. Copyright protection in the Song dynasty was not systematic just as was the case in later periods. Nevertheless, it resembled modern copyright law i n many ways.  T A B L E OF CONTENTS Abstract  ii  Chronological List of Dynasties  v  Chronological List o f Emperors Ruling During the Song Dynasty  vi  Introduction  1  C H A P T E R I Copyright Protection before the Invention of the W o o d Block  9  C H A P T E R II Factors Contributing to the Emergence of Copyright Protection in the Song Period  21  C H A P T E R III Guanke and Its Copyright Protection  35  C H A P T E R IV The Conditions o f Family Based Printing and Workshop Printing and Their Copyright Protection C H A P T E R V The Characters of Copyright Protection in Song China  51 62  EPILOGUE  68  Bibliography  '.72  Chronology of Pre-Qin Periods to Song Dynasties  Pre-Qin (5fcH) Periods  ?—221 B C  Qin  (fj§) Dynasty  221—207BC  Han  ( i X ) Dynasty  206BC—220AD  THREE KINGDOMS Wu  (H)  222—280  Shu  (S)  221—263  Wei  (ft)  220—265  Western Jin ( f f i f f )  265—317  PERIOND OF DIVISON Northern Dynasties  Southern Dynasties Eastern Jin (3fcW)  317—420  Sixteen Kingdoms  Song (5fc)  420—479  Northern W e i (4fcJ&)  386-534  Qi O r )  479—502 Western W e i (Mil)  535—556  Liang  (|g)  502—557  Northern Zhou  (M)  304—386  557—  580 Chen ( $ 0  Sui Tang  (PS) (Jff)  557—589  Dynasty Dynasty  Song (5|5) Dynasty  Eastern W e i ( ^ § & )  534—550  Northern Q i Ufcofr)  550—577  581—618 618—907 960—1279  v  Chronological List of Emperors Ruling During the Song Dynasty (960—1279) Imperial Name  Reign  Personal Name  960—1127  The Northern Song (zlb^c) Dynasty Tai Z u  Z h a o K u a n g y i n (MHUtL)  960—976  Tai Zong  Zhao Jiong  976—997  Zhen Zong  ZhaoHeng  (MIS)  998—1022  Ren Zong  Zhao Zhen  0£$i)  1023—1063  Y i n g Zong  Zhao Shu  (^Bf)  1064—1067  Shen Zong  ZhaoXu  CMW  1068—1085  Zhe Zong  ZhaoXu ( & $ D  1086—1100  H u i Zong  ZhaoJi  (Mi£)  1101—1125  Q i n Zong  ZhaoHuan  (&W  1126—1127  The Southern Song  1127—1279  Dynasty  Gao Zong  ZhaoGou ( & $ J )  1127—1162  X i a o Zong  Zhao Shen  1163—1189  Guang Zong  Zhao D u n  N i n g Zong  ZhaoKuo  (MT)  1195—1224  L i Zong  ZhaoYun  (M^)  1225—1264  (M'\$)  1190—1194  D u Zong  ZhaoQi  Gong D i  ZhaoXian  Duan Zong  Zhao Shi  D i Bing  Zhao B i n g  (MH) (MM) (MH)  (Mrij)  1265—1274 1275— 1276 1276— 1278 1278—1279  vn  Introduction It is common knowledge to specialists of copyright law that the "Statute of Queen Anne", established in England in 1710, is the world's first nation-wide copyright law.  1  For the first time in history the rights of an author to publish were explicitly acknowledged.  2  Today's copyright system, still built on the foundations of the "Statute  of Queen Anne," grants an inventor or author the exclusive right to his creations for a limited time. The first forms of copyright law, however, had been devised much earlier as a result of the invention of printing  3  which had taken place in China around the year 700 A . D . ,  according to a Korean scholar's research, with the appearance of the block printing.  4  Yet  in imperial China, although copyright development was continuously evolving, it never extended beyond local, or at its best, regional boundaries. In fact, it was not until 1910 that the first national copyright law Daqing zhuzuoquan lit ^Kfm^i^^LW  (The  Copyright  Law of the Qing Dynasty) was issued; it had taken China more than 1,210 years after the invention of printing to create a complete national copyright statute. Before the enacting of any statute, many attempts must have been made; as Light argues, copyright is a beast of substantial historical ancestry.  5  When the famous "Statute  Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law—A Guidebook for the Library, Research, and Teaching Professions, (New York and London: Neal-Schuman Publishers, Inc., 1997), 4. Ibid., 11. Due to the difference between ideographic writing and alphabet, Europe reckons the date of the invention of printing from the time when typography was invented and considers block printing as merely an important prefatory step. The Far East reckons the invention of printing from the time when block printing began and considers movable type as rather an unimportant later addition. Fore more details see Thomas Francis Carter, The Invention of Printing in China and Its Spread Westward, (New York: The Ronald Press Company, 1925), 31. See Ra Kyungjun, "Early Print Culture in Korea", translated and annotated by Richard D. Mcbride, Korean Culture, No.2 (1999), 13—21. Sheldon N . Light, "Parody, Burlesque and Economic Rationale for Copyright", Connecticut Law Review, 1  2  3  4  5  1  of Queen Anne" was enacted in 1710, it was 233 years after William Caxton had printed the first book Dictes and sayengis of the Philosophers in England and 255 years after the invention of the printing press in Europe.  6  The copyright history of China was plagued  with the same growing pains. When emperor Tang Wenzong (825—836) issued the edict to command all Circuits and fu jft (Superior Prefectures) not to carve the blocks for printing calendars without authorization in 835, about 135 years had passed since block printing were first used; when Wang Cheng's 3Efrf Dongdu shilue 3^liP^P-Hf5 (Brief Records of the East Capital) was printed in Meishan (modern Sichuan province) in the Shaoxi reign period (1190—1194) with a paiji j$HB (proclamation) which protected the rights of publishers, about 494 years had passed; and when Zhu Mu's | 5 l S Fangyu shenglan 7J J^FijAL (Scenic Views of the World) was first printed with a lubai M\=i (announcement) which protected the author's rights in 1238, about 538 years had passed. In this light, it is not surprising that the first nation-wide copyright law — The Copyright Law of the Qing Dynasty is actually a product of the early twentieth century. What is the true story of the phenomenon of copyright protection in imperial China? The origin of the copyright system in China has long been a subject of much debate among scholars. One point of view holds that the copyright protection system in China traces its roots back to the Song dynasty, while others argue that a copyright protection system, in its strictest sense, never existed in imperial China.  7  No.4 (November 1979), 615. The first English printer was William Caxton who set up his press at Westminster. See Victor BonhamCarter, Authors by Profession, (London: The Society of Authors, 1978), 11. See also Arlene Bielefield and 6  Lawrence Cheeseman, Technology and Copyright Law, 4. 7  Zhou L i n "Zhongguo banquanshi yanjiu de jige wenti" tyBf&U^fflfLtfiJl'tftE. ("Several problems regarding the history of Chinese copyright"), Zhishi chanquan ^HiR^'-vX, No.6 (1999): 23—26.  2  The research o f copyright protection in imperial China is a relatively unexplored area, although some studies o f this subject such as the invention and the development o f printing, the emergence o f book markets, and the government's policy for the publishing industry and so on, have recently become available. A n d by thoroughly researching the related materials such as Song huiyao jigao  ^t^Sc^l^  Song Events), Xu zizhi tongjian changbian  §Jj S  (A Draft Collection of the Major  M. ^  Wb {Continuation  of the  Comprehensive Mirror for Aiding Government), Qingyuan tiao fashi lei dij^t^k'-feM-^ (Collections  of Legal Affairs during the Qingyuan Period,] 195—1200), Shulin qinghua  ^ # yff i S (Discourses on Chinese Books) and some other works, I have drawn the conclusion that a form o f copyright protection, not unlike today's standard copyright, was undoubtedly in place in China during the Song period. The purpose o f this thesis is, first, to discuss the rudimentary stages o f copyright protection preceding the Song dynasty's own developments, secondly, to lay out the causalities and contributing reasons which brought on the maturing o f its characteristic protection laws and finally to outline the complex forms o f Song copyright as compared to the contemporary universal laws in effect today. Why did copyright protection come into being during the Song dynasty? Numerous results o f research prove that a long period o f flourishing economics, politics, and law in a relatively stable society inadvertently brought about the need for regulation. In his Commercial  Development  and Urban Change in Song China,  Laurence J . C . M a  describes the extraordinary growth o f commerce and the rapid pace o f urban evolution, which consequently contributed to the declining o f the millennium-old fang ifj (urban ward system) and other related market systems, ultimately rendering the significance o f  3  the urban guild spatial system redundant. As a result, spatial and temporal regulations on urban trade were relaxed, the urban landscape took on a strong tone of commercialism and the urban atmosphere was much freer than in previous ages. Because urban trade was more specialized in the Song dynasty, more guilds emerged in the cities than ever did in Tang cities. Moreover, in return for monopoly over trade protection by the government, the guilds were required to serve the state in different ways. Since copyright protection cases were the exception rather than the rule, and all these cases appeared in the south— 8  the new heartland of the Chinese civilization from this period on—perhaps there existed a definite relationship between literary rights and the flourishing of commerce. Brian E. McKnight presents us his research on Song law in his Law and Order in Song China. In this work he analyses the law-enforcement and penal institutions, practices and policies used by the Chinese of Song times to maintain social order, a study which will undoubtedly help us to understand the status of copyright protection cases appearing during this period. Literary rights, as a branch of law, never existed as an independent branch outside of the penal code characteristic of imperial China. Copyright was translated as banquan WJ&L ("the rights of the publisher") or zhuzuo quan HfiMX ("the rights of the author") during the period of Western countries' invasion of China during the late Qing dynasty.  9  Banquan and zhuzuo quan, are Western terms  translated into Sino-Japanese by Japanese linguists, and the meaning of these terms has generated much debate in China. For example, one scholar writes: "These two definitions "Monopolies for the printing of books were rare and, as a rule, not granted by the Song government except on special case." For extended discussion, see Ming-Sun Poon, "The Printer's Colophon in Song China, 960—1279", Library Quarterly 43: 1 (January 1973), 47. Zhong Chongshan argues that the concept of copyright had not been widely used until the late Qing dynasty. For a specific discussion, see Zhong Chongshan, "Woguo banquan zhidu fazhan xulue" 3£ 111 f&'&.ifA&'M.Mrf^ ("Brief preface of the development of copyright system in China"), Bianji xuekan Hlft f-'flj, Volume 5 (1997). 8  9  4  have evident differences from the point of the history of copyright protection."  If we use  the theory of copyright law today to analyze and investigate the phenomenon of copyright protection in imperial China, we should first distinguish these two concepts, though according to the present copyright law of the People's Republic of China, they now share the same interpretation. " Banquan (the concept before being redefined in 1991 in the People's Republic of China) mainly refers to the right of publishers to copy and vend their productions; it was only concerned with publishers. It is equal to the right of publishing, and it belongs to the category of "rights related to copyright", or neighboring rights, in copyright law today. Zhuzuo quan is the author's total property rights and his personal rights that include the exclusive rights of publishing, signing, revising, and protecting the wholeness of his works, and using and getting remuneration from his works, etc. In my view, the debate over these two terms was caused by Chinese scholars' reference to different aspects of the original copyright system. The original copyright system created in Europe was divided into common law copyright, with its emphasis on protection o f a work with a view to encouraging authors to create and disseminate their works, and the author's right in civil law which protects the rights of the author as a form of property rights (the United Kingdom belongs to the common law countries and France and Germany belong to the civil law countries). These two types of copyright laws exist today, but both of these traditional copyright law trends also existed in imperial China.  10  Huang Qinnan 1M.W)$i, Zhishi chanquan fa ^ " i R r ^ f t S {Intellectual Property Law), (Beijing: Falii chuban she fefflUtilKtt, 2000), 291.  " "The fifty-first clause of Copyright Law: Zhuzuo quan and Banquan quoted in the law are the same concept", see Copyright Law of the People's Republic of China in 1991, available at [2005-01-26] http://www.ccnt. gov.cn/law/?nav=lawO 1 &id= 1046329169  5  Actually, it is very difficult to distinguish between the two concepts o f banquan and zhuzuo quan in imperial China because the authors' master status in the case o f copyright protection was usually ignored, a case which I will explain in chapter 3. In fact, the copyright protection o f the productions printed by the imperial government rarely paid attention to the authors' rights of copyright. What the government was mainly interested in was only the government's exclusive right to publish. Owners o f bookshops, however, pursued commercial interests; what they cared about was solely the exclusive right of publishing. This parallels what happened in England before the enactment o f "Statute of Queen Anne"; the members of the Stationers Company only cared about their rights to publish books.  12  Because some ancient Chinese authors were the publishers o f their  works, their copyrights were protected under certain conditions. In these cases, what they cared about was not only the right to publish but also the authors' own rights. Owing to different means o f publishing, copyright protection in the Song dynasty presents a complicated picture. Therefore, the publishing industry is classified into three categories: governmental publications, fangke iftM (bookshop printing) and jiake  MM  (family based printing). Bookshop printing and family based printing belonged to the category o f nongovernmental publication, and were the main commercial publishing industry. The policies the government carried out regarding the publishing industry sometimes overlapped with its policy of shujin  (forbidden books), or a policy of  cultural control. In this light, we should distinguish copyright protection from the policy of forbidden books.  See Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 7—9.  6  There are two trends we should pay attention to: one is that some foreign scholars think that copyright protection during the Song China just belongs to the category o f the emperors' control over ideas or patents granted to publishers, in other words, the protection did not concern the authors. Some Chinese scholars agree with this point of view.  13  Another trend is that some nationalistic Chinese scholars maintain that China was  the earliest country in the world to set up a system o f copyright protection. Without enough proof, however, this point of view is a relatively subjective assertion; we cannot say that the earliest nation-wide copyright statute emerged in China. I first become interested in this subject when I wrote a report on Discourses on Chinese Books two years ago. Discourses on Chinese Books is the representative work of Y e Dehui V^'iMM (1864—1927), a famous book collector o f the late Qing dynasty and the early Republic period, and is a very important reference work for studying the editions of ancient Chinese books. Y e ' s book is also the first work by a Chinese scholar to consciously begin researching copyright protection in imperial China. A t the time I was gathering materials for this thesis, I found that there are many similarities and differences between Song China and the period before the enactment o f the "Statute of Queen A n n e " in Europe. These are two different historical periods: China entered the Song dynasty when Europe was in its Middle Ages; in Europe book printing did not yet emerge until fifteenth century. Technological development in different parts of the world was largely independent at that time. •  13  See Zheng Chengsi ^PfiKS, "Xinxi chuanbo yu banquan lishi" ffilif^ffi^WSLUi$.  ("Information  propagation and copyright history"), Shaoguan xueyuan xuebao H B ^ ^ K ^ J R ( i t s ^ r ^ l S ) , No. 2  (2003): 37—39. See also Zheng Chengsi, "Zhishi chanquan de qiyuan" ^PiR^feWSS ("The origin of intellectual property law"), available at [2005-02-05] http://www.jjxj.com.cn/news_detail.jsp?keyno=2365.  7  The biggest problem in comparing these historical periods is that they were not at the same historical stage of development. There are, however, similar factors in the copyright history of early modern Europe and Song China. Although the comparisons I list below are not exhaustive, they are not without significance. In any case, my analysis is an attempt to shed some light on the subject, or "to cast a brick to attract a jade".  8  Chapter One Copyright Protection before the Invention of the Block Printing The "Statute of Queen A n n e " announces the appearance of a nation-wide law to protect the rights of authors and does not necessarily indicate the lack of copyright elements earlier. A s we have mentioned before, it is well known that copyright protection existed after the invention of printing because it was only after its invention that the rate of books reproduction and circulation was accelerated and the piracies which damaged authors' benefits began to occur, and thus the application of copyright law became necessary.  This process may  be summarized as follows:  invention  of  printing  —•emergence of book market —>piracies —>copyright protection. A thorough research of the European history of copyright shows that this formula is applicable in this case, as Arlene Bielefield and Lawrence Cheeseman argue, Before the invention of the printing press there was little need for a copyright statute. There were few legal problems because of the small number of copies available then. The opportunity to make illegal copies was limited and it was easy to determine who had stolen or plagiarized a copy. Thus, the same laws that were applied to real and personal property easily served for manuscripts and copies, without any undesirable consequences to the community or to local economies. 1  The principle of applying the laws of personal property to literary cases is illustrated for the first time in Western history when in the year 567, Saint Columba (521—597), an Irish monk, during a visit to a neighboring monastery, made an unauthorized copy of the abbot's Psalter. When the abbot found out, he demanded that Columba immediately return the copy. When Columba refused, the abbot sought the help of a local king, who  ' Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 4—5. 9  ordered the return of Columba's copy to the abbot under the principle " T o every cow her calf."  2  In spite of this early example, Augustine Birrell thinks manuscripts were of no significance to the development of copyright law, because they could produce no profit.  3  George H. Putnam also thinks that "control over the number and quality of copies was also easy to maintain without the invention of law."  4  It often takes a long time to issue any kind of law.  Although copyright law in  Europe and China appeared under different historical backgrounds, they shared some similar elements throughout their development. I w i l l first begin with the discussion of copyright protection in China before the Song period.  Right of  Signing  Some Chinese scholars hold the view that the authors of zhuzi baijia i l l - p U s ^ (the Hundred Schools) had begun to sign their signatures to their works during the Spring and Autumn and the Warring States periods (770—221 B.C.).  5  But Qian Cunxun holds a  different view: It is generally supposed that Chinese writing prior to the time of Confucius consisted primarily of official documents and collected works with no private authorship. None of the writings mentioned in works of Pre-Qin philosophers or quoted in early historical works surviving today are found to have contained information concerning private  George H. Putnam, Books and Their Makers During the Middle Ages: A Study of the Conditions of the Production and Distribution of Literature from the Fall of the Roman Empire to the Close of the  2  Seventeenth Century, (New York: Hillary House, 1962), Vol. 2, 484—485. 3  Augustine Birrell, Seven Lectures on the Law and History of Copyright in Books, (New York: G. P.  Putnam's Sons, 1899), 41—42. 4  George H. Putnam, Books and Their Makers During the Middle Ages, 484—485.  Guo Mengliang i B S f e , "Zhongguo banquan wenti tanyuan" 4 ISJTS'tXl'RlS^iS ("Research on the origin of copyright in China"), Qilu xuekan ^ - # ^ ' f 0, Vol. 6 (2000): 30. 5  1  10  writings before the Warring States period. Even in this period the concept of authorship was not as clear as in- later times. A book bearing the name of a certain person was not necessarily "written" by this person. It might be a record of his "sayings" written by his followers or a collection of writings by many persons of a similar school of thought but attributed to the most famous name of the school. Since most of the pre-Qin books transmitted today have been revised by Han scholars, it is often difficult to know what part of a book is original and what part is latter addition. 6  7  Y u Jiaxi  (1884—1955) also thinks that all the books produced in the Zhou  (about 11 Century —256 B.C.) and Qin (221—207 B.C.) dynasties were not signed by their authors. The authors' names found in popular editions today were probably added by later generations because private works never existed before the Spring and Autumn period (770 —476 B.C.). The books which were disseminated to later generations were works from the government collections o f that time, and were not authored by a single person at one time and therefore could not bear an author's n a m e . According to the research of Chen Zekui W^M,  8  signatures are found on Buddhist  manuscripts from Dun Huang dating as early as 265. Chen also thinks that although there were more private works that emerged from the Spring and Autumn period to the beginning of the Han dynasty, the authors still did not sign their names on them, though a new phenomenon appeared; Sima Qian ^ S , i i (145? 135?—87 B.C.) signed his title  Taishigong%$l /Z (The Grand Historian) to the preface o f his Shiji jfeiB (Records of the /  Grand Historian).  9  Lo Ken-tse, "Chan-kuo ch'ien wu ssu-chia chu-tso shuo", op. cit., by Tsuen-hsuin Tsien, Written on Bamboo and Silk—The Beginning of Chinese Books and Inscriptions, (Chicago: The University of Chicago Press, 1962), 10. See Tsuen-hsuin Tsien, Written on Bamboo and Silk, 10. Yu Jiaxi ^Mx%, Gushu tongli "Si ^fJiffl'fi?!! (General Examples ofAncient Books), (Shanghai: Shanghai guji chubanshe±)$"fi"||thtfett, 1985), 18. Chen Zekui "Shilun tangren xiejing tiji de yuanshi zhuzuoquan yiyi" i^t£JSA^££ISxll'f Jll#R 3J f£ fe M. 3L ("Research on the significance of Tang people's prefaces of Buddhist books from the perspective of copyright history"), DunhuangyanjiuWi'fM.Wfl, Vol.3 (1994): 114—120. 6  7  8  9  ;  11  With the preparagraph, we learn that until the Qiii and Han dynasties (221 B . C . — 220), the practice o f signing books had not become common. However, after the Jin dynasty (265—420), it became the convention for authors to sign their own names on their works.  1 0  According to copyright law today, the statute o f signing is one part of the exclusive rights o f authors which indicates the recognition o f their own creation. Putting their signature on their works indicates the acknowledgement o f the authors' real and personal ownership o f their works. The omission o f the author rights o f signing before the Jin dynasty may be interpreted as the absence o f the authors' intent to attain copyrights at that time. In Europe, authors have signed names in their works since ancient Rome times; however, this right was limited only to the authors of an original manuscript.  11  Authors' Remuneration  The authors' remuneration from their works is the property right o f the authors. Before mass publishing began how did authors get their income? The situation was similar in China and Western countries. It is clear that authors had difficulty earning a steady income through publishing, and dissemination of their works was hindered without the protection of rights.  See Guo Mengliang, "Zhongguo banquan wenti tanyuan", 30—31. " See Richard Rogers Bowker, Copyright: Its History and His Law, 8. Arlene Bielefield and Lawrence Cheeseman argue that this right extended only to the original manuscript. Prior to the enactment of the Statute of Queen Anne in 1710, without the protection of the law, authors also could not receive acknowledgement as the creator of the work. For extended discussion, see Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 3. 10  12  We have no detailed knowledge of how Chinese authors earned their income from their works except for some examples that we hear about before the Tang and Song dynasties. For examples, Lu Buwei n  (a Counsellor in Chief of the kingdom of Qin,  290?—235 B.C.) compensated his retainers well to write the Liishi chunqiu R (Spring and Autumn Annals of Mr. Lu) for him; empress Chen paid a huge sum of money to Sima Xiangru  (179—117 B.C.) for writing "Changmen fu"  Rhapsody of the Long Gate") for her;  1 2  -fcniKC'The  and emperor Han Zhangdi of the Eastern Han  dynasty (25—220) bestowed Jiakui (Mii, 30—101) with 500 bolts of silk and a suit of clothes when he submitted a memorial.  1 3  Still, this does not mean that a law or convention of protecting the property rights of authors existed at that time. The rewards obtained for the author's efforts which were recorded fragmentarily in historical documents were not writers' fees in the modern sense and do not fall under the category of authors' property rights as defined today. If we look at the situation in Europe, we know that before the enactment of the world's first national copyright statute in 1710, authors could not legally make and sell copies of their own works. As Arlene Bielefield and Lawrence Cheeseman say, At best, they could only market a manuscript for a one-time fee. Once the original manuscript was sold, an author was not legally entitled to receive royalties or other compensation for the number of copies sold. 14  During the Middle Ages, however, authors had to find rewards that were not monetary for their writings. This situation was not difficult to accept because large profits  Sima Xiangru wI-^+'Bill, Sima xiangru ji fi]—jtfi1l\\$k (Collected Works of Sima Xiangru), ed. Jin Guoyong (Shanghai: Shanghai guji chubanshe ±#SWfftti)& ?±, 1993), 111—112. See Fan Ye Houhan shu Zheng Fan Chen Jia Zhang liezhuan Js 45 • M ?£ W 35 31s ?ij -fl (Biographies of Zheng, Fan, Chen, Jia and Zhang in the History of the Late Han Dynasty), ed. Li Xian ^ (Beijing: Zhonghua Book, 1965), Vol. 36, 1233. Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 3. 12  ;  13  14  13  were never really available anyway. Truly popular authors who became celebrities often found rich patrons to support them. Occasionally a truly resourceful author could find ways around the law to garner monetary rewards—for example, Boccaccio (1313—1375) rented his manuscripts to copyists.  1 5  Authors still looked to patronage as their chief  source of income during the period of privileges.  1 6  The Reproduction of Books  Some scholars maintain that the reproduction of books occurred before the Pre-Qin periods.  When a work appeared, different copies written by hand were made.  1 7  In  ancient China, it was very popular to transcribe a book by hand before the invention of block printing; it was an important way of circulating and preserving ancient books. It would not be unrealistic to say that the authors of ancient China did not oppose their books being copied because they wanted their works to be widely read. Until the Five Dynasties, the jiujing fl&x. (Nine Classics) could not be reprinted without authorization from the government,  but for the most part copiers' activities  were relatively  unrestricted.' For example, when Zuo Si'JEM,(250?—305?) finished his "Sandu fti" H 8  ("Rhapsody of Three Cities"), so many people copied and circulated it that the price of paper rose in Luoyang.  19  Ibid., 5—6. Gillian Davies, Copyright and the Public Interest, (London: Sweet & Maxwell, 2002), 19—22. Song Yuanfang5t5)f.ffi and Li Baijian Zhongguo chubanshi 4 IS (History of Chinese Publication), (Beijing: Zhongguo shuji chubanshe + BffifSiiilKTi, 1991), 20. For extended information, see Luo Bi 3?fit, Shiyi iRia {Gleaning), ed. Wang Yunwu ZE53i, {Siku 15  16  17  1  18  quanshu zhenben shiyiji E S I ^ ^ r ^ f i ^ ^ H ^1), Volume 1, 5. See Fang Xuanling Jinshu Zuosi zhuan ef-fv 2E,§fl {Biography of Zuo Si of the History of the 19  14  A s we have mentioned, in Europe before the introduction of printing, authors had no special rights to copy their works, or even sell their copies. Unlike China, during the early Middle Ages, western monasteries had a complex set of rules that governed which works could be copied, who could copy them and for whom they could be copied. " M o n k s went about  their  work  with  exceptional  religious  fervor,  painstakingly  copying  and  illuminating their works. Copying a long text could take as long as a full year. Scriptoriums were holy ground", and copying was a sacred task. 20  21  From the case of Saint Columba, we know that authors in the sixth century had a legal right to prevent anyone from copying their original manuscripts without their permission, but once the manuscript was legally purchased, the new owner could allow another person to copy the manuscript without any compensation to the author.  The Ancient  Chinese Scholars' Editing  22  Activities  Before the invention of printing books were copied by hand, so the copies were often different.  Mistakes such as missing characters, redundancy, and transposing  sentences were common. What is more, some copyists falsified the original contents and signed their names to the copies. It is interesting to point out that different versions of transcripts were edited by scholars before the invention of printing in imperial China. For instance, Prince X i a n of Hejian  MlUfiRBi (Liu De^lJM, ?—130 B.C.) appreciated good  editions of works:  Jin Dynasty), (Beijing: Zhonghua Book, 1974), Vol. 62, 2375—2377. George H. Putnam, Books and Their Mkers During the Middle Ages, 484—485. Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 4—5. George H. Putnam, Books and their Makers During the Middle Ages, 484—485. 20 21  22  15  [He] studied hard and was very fond of the ancients. He always sought the truth from historical facts. If he received a good book from commoners, he would give them back a well-written copy with a gift of gold and silk and keep the original.  Another example is L i u Xiang >CiJ [fJj (77?—6 B.C.) who was authorized to arrange the books collected by the government in the third year of Hanping (26 B.C.); he collected all the editions (here editions still refers to hand-written editions), assessed the differences among them, deleted the duplicates, and revised the errors.  2 4  A third example is the  meticulous distinction of editions in the "Shuzheng pian" ^i-IEHi ("Chapter o f Doing Textual Research of Books") o f Y a n Zhitui's  W&M  (531—591) Yanshi jiaxun  W&M  (Family Precepts of the Yan Clan) such as the "Jiangnan edition flll^^", the "Hebei edition M^b^", the "popularized edition {|f^", the " o l d Jiangnan edition the "Jiangnan transcript edition XL$3^^",  etc.  tt^jIB^",  2 5  In Europe, even after the invention of the printing press, early printers often needed to compare several copies to determine the authentic text because numerous mistakes were often made in the process o f copying by h a n d .  26  When ancient scholars collected different copies and differentiated the true from the spurious, they were initiating the science o f collation, a methodology still used by modern publishers of ancient books.  2 7  Modern theories of copyright law recognize the ancient  scholars' activities such as collecting, proofreading and correcting as the scholars' mental  Ban Gu JfilSl, Hanshu hejian xianwang zhuan '/X^f5-Mf§lffiX3If$ {Biography of Prince Xian of Hejian in the History of the Han Dynasty), (Beijing: Zhonghua Book, 1962), Vol. 53, 2410. Ban Gu |ff|5|, Hanshu yiwen zhi $L fi-'Z~3CM (Descriptive Accounts of Books in the History of the Han Dynasty), (Beijing: Zhonghua Book, 1962), Vol. 30, 1701—1781. For more, see Yan Zhituiffl&M.,Yanshi jiaxun Mfc'Sfi-W {Family Precepts of the Yan Clan), ed. Wang Yunwu, (Shanghai: Shangwu yinshuguan ffi&Ep^Sft, 1938), Vol. 6, 139—170. Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 6. Song Yuanfang and Li Baijian, Zhongguo chubanshi, 22. 23  24  z  25  26  27  16  work and protect them as secondary creations. However, we do not find any copyright law or decree to protect the editors' activities and achievements until the " l u b a i " was attached to Scenic Views of the World, first printed by Zhu M u in 1238.  The Emergence of Book  Markets  According to X u e Zhongying's ^ f t ^ t  research, although commodity economy  and books with the function of teaching knowledge were commonplace, book markets did not exist before the Han dynasty (206 B.C.—220 A.D.). The earliest book market seems to have come into being in the Western Han dynasty (206 B . C . — 2 5 ) as recorded in Sanfu huangtu  HffiflrS and Sanfujiushi  I03f:  When Wang Mang ZEP [45 B.C.—23 A.D.] took the post of Steward-regulator of State [4 A.D.], he ordered ten thousand residences to be built for students [in the Imperial Academy]...and thirty for Erudites...To the east there was an Always Full Granary. To the north of Always Full Granary there was the Locust Market. Chinese locust trees were arranged in rows of several hundreds without walls and houses. All the students gathered together in the market on the first day and the fifteenth day of every lunar month, carrying goods from their Commanderies and classics, commentaries, notes, sheng^E [reed pipes], and other musical instruments for trade...  ZEftW* ( 4 ^ ) UT, a & ? # 7 3 E Mg*«,  ffli^*  *W±^=+E  m j ^ t m ,  -fe2.dk*  28  Huaishi (the locust market) was indeed the earliest book market recorded in Chinese history; according to the contemporary Chinese scholar, X i a o Dongfa f^%"^,  the  commercial circulation of Chinese books had began during the Western Han D y n a s t y .  29  Ouyang Xun gfcfflifij etc., Yiwen leiju IZX^M, (Shanghai: Shanghai guji chubanshe ± ^ 7 & i f li'JKtt, 1965), Vol. 38, 693. See also Xue Zhongying "Woguo gudai tushu maoyi shiye lishi chutan (han zhi manbeichao shiqi)" ^m^iXWi^fiMi^^ffj(RMlfiIbWffl) ("Research on the trade of ancient Chinese books from the Han to Southern and Northern Dynasties"), collected in Chuban keyan lunwen xuancui \^t&¥tWi ^%MM (Anthology of Theses on Publication), ed. Zhongguo chuban kexue yanjiwuo^^&WiM¥Wi%ffi, (Hangzhou: Zhejiang jiaoyu chubanshe SrrfllSWfcrJlKtt, 1992), 1082— 1096. 28  :  17  Another kind of book market was the shusi 4^5 \% (bookshop), which was a rudimentary kind of bookstall set up outside mentioned as early as the Western Han dynasty in Yang X i o n g ' s Fayan £fe]|": The bookshops are fond of books but are not limited to the Confucian classics.  Wang Rongbao 3 E ^ ^ I argues in his Fayan yishu "-fk^SLIk that shusi was perhaps the most ancient type of Chinese book market. W e do not know when the shusi really did appear, but according to L u Kanru's ^tri/Jl^P research, Yang X i o n g wrote Fayan in the 31  second year of Yanshi (A.b.2), and so we can conclude that the shusi have existed for at least 2000 years. During the Eastern Han dynasty, the study of Confucian classics was revived by the government, a move which stimulated the circulation of books so that shusi developed further. The wealthy and the poor alike frequented the book markets. One record states that: Chong [27—97?] was an orphan...He was poor and could not afford any books, but he often strolled about in the shusi of Luoyang ... •aiw-i,  - m m i  m  3 2  Another passage states: The descendants of the Liang imperial clan, some who were orphans and poor when young, sold books in the market for a living.  Xiao Dongfa i=i "Dui zhongguo tushu chuban yinshua wenhua de zongti sikao" IS HI fi Ii' ¥& EP M3dkW].&W&%f ("General thinking about Chinese culture of book's publication and printing"), Chuban kexue February, 2001. Yang Xiong %%, Fayan Wuzifk^-'ft-f, ed. Wang Yunwu, (Shangwu yinshuguan rS^-Epfiift, 1940), 6. Lu Kanru RfeffiL^iP, Zhonggu wenxue jinian \ ~i\^C^%^- (Chronological History of Medieval Chinese Literature), (Beijing: Renmin wenxue chubanshe A K l f c ^ t t i l K t i , 1985), Volume 1, 26—27. Fan Ye ~i\LW, Houhanshu Wang Chong zhuan J a i X f i ' I ^ E f l (Biography of Wang Chong in the History of the Late Han Dynasty), ed. Li Xian, (Beijing: Zhonghua Book, 1965), 1629. Ibid., Volume 80, 2635. 29  30  31  v 4  32  33  18  During this period, according to X u e Zhongying, shusi was only a basic form of book trading and not the more evolved type of bookshops managed by tradesmen later. It should be noted that professional copyists, those who made their living by means of copying and selling book transcriptions, also appeared during the Eastern Han dynasty. For instance, in the biography of Ban Chao one passage states: Ban Chao, accompanying Ban Gu [his brother] and his mother to relocate in Luoyang, often copied books by hand for the government to make a living because his family was poor.  -^-M  mmm, *&. ***«Msi2e#. ,  34  Another example of someone supporting himself by copying books is Wang Pu 3L"M, During the reign of emperor An, Wang Pu could not take a post in the government because his family was poor; therefore he bought bamboo slips and brushes and copied books by hand for shusi in Luoyang.  Copying books by hand was an important process in the history of book distribution before the invention of the block printing for it sped up the reproduction and circulation of books. However, it is unclear whether there were any laws or regulations governing the copiers' activities at the time. Before the invention of printing, the commercial publishing industry, which mainly consisted of workshop printing and family based printing, did not exist. A l l the manuscripts and characters were written on wooden or bamboo slips, and later transferred onto silk or paper. Because the cost of transcribing books was high, the return of any investment was meager. Without a high economic incentive, according to some scholars, the proliferation of book circulation was stunted.  Ibid., 1571. Wang Jia 3LM, Shiyi ji f p i a i B (Records of Gleanings), ed. Qi Zhiping ^f'/n^p, (Taibei: Muduo chubanshe * # t r J ) S t t , 1983), Volume 6, 143.  34 35  19  However, the historical material just cited reveals that the interest in transcribing books was relatively high and some scholars or even commoners could make their livings through copying books by hand, Ban Chao and Wang Pu being only two examples. Because paper was invented in China, book markets emerged more easily in that country, while in Europe, this only took place about a 1000 years later. Since the book markets had existed for a long time before the invention of the block printing, the disputes between authors and reproducers which arose after the invention of the block printing were inevitable. However, the reasons why the phenomenon of copyright protection did not appear right after the emergence of book markets will be the topic of discussion in later chapters.  20  Chapter 2 Factors Contributing to the Emergence of Copyright Protection in the Song Period  Why did copyright protection arise in Song China and not after the emergence of book markets in the Han dynasty, or even around the time o f the invention of block printing in the Tang dynasty? The reasons, I think, lie not only in the technology of printing and papermaking, but in the flourishing book trade and rampant piracy which were characteristic of Song society. I w i l l analyze this problem in the following sections.  Invention of Printing  The invention of printing—the early stage of which was block printing—accelerated the speed of printing and circulation of books as we have mentioned in Chapter one. Only after the invention o f printing, which made the mass production of copies for commercial purposes possible, did copyright as a property right become important and therefore begin to require protection. This might explain why copyright protection did not come into being after the emergence of book markets in the Han dynasty. Although book markets emerged in the Han dynasty, they were in an early stage; the quantity o f book selling at that time could not match that o f the Song period. In other words, without the benefits of printing technology, book markets before the Song dynasty had no role in accelerating the emergence of copyright protection.  21  When block printing emerged in imperial China is still a subject o f much debate.  1  Y e Dehui argues that, although there is a common view that the emergence o f books in wood block editions had not taken place until the period 882—954, it already existed during the years from 881 to 884. The Korean scholar R a Kyungjun argues that block 2  printing was first used around the year 700 in China. From the historical materials available today, for instance, the Jingangjing  skWlH  (Diamond Sutra) printed in 868, calendars printed in 877, and Jiannan Sichuan Chengdu Fanshang Jiali  ^ J | % H 3 ( T h e  Family Calendar of Fanshang in Chengdu,  Jiannan and Sichuan Circuits) printed in 882, we can learn that block printing was a method which was highly developed by the late Tang dynasty. The invention o f moveable type was a great revolution in the history o f Chinese technology, although, it did not have as momentous consequences as it did in Europe. Movable type was, according to Shen K u o ' s tfcJS (1031—1095) Mengxi bitan  3  JHH^siifc  (Writter Conversations from the Dream Stream), invented by B i Sheng ~^3x (?—1051): Under the Tang dynasty block printing, though carried out, was not fully developed. Under Feng Yingwan [Feng Dao], first the Five Classics and then all the Confucian Classics were printed. During the Qingli reign period [1041—1048], the commoner Bi Sheng invented moveable type...  3t, X ^ f i K  4  ' For detailed information, see Wei Yinru MWliK, Zhongguo gujiyinshua shi IH'SIIEPf l l i (History of the Printing of Ancient Chinese Books), (Beijing: Yinshua gongye chubanshe EpJpiJI^ttilKtt, 1988), 32—35. Ye, Discourses on Chinese Books, Volume. 1. Thomas F. Carter, The Invention of Printing in China and Its Spread Westward, revised by L.C. Goodrich (New York: The Ronald Press Company, 1955), 31. Shen kuo tfcfii, Mengxi bitang 5£yJl^I"$ (Writer Conversations from the Dream Stream), (Taibei: shijie shuju 1tt#f-t$Ji5, 1962), Vol. 18.  2 3  4  22  There were three basic procedures in the use of movable type—making characters, typesetting, and printing. This technology also involved the methods o f making a large number o f the characters in common use and making rare characters. According to our records, the material B i Sheng used to make the characters was ceramic, so his method is known as ceramic type printing. Movable type was developed and became widely used during the Song dynasty. For example, in 1193, Zhou M i j5j?Ef o f L u L i n g jp&l printed his own works Yutang zaji  3i.^^i3  (Miscellanies  of Jade Hall) with the technology o f movable type, an event  recorded in his " Y u Cheng Yuancheng geishi zhazi" - ^ S ^ n ^ S c ^ n ^ ^ L " ?  ("Letter to  Cheng Yuancheng"): Recently I applied the method that was recorded by Shen Kuo, shifting and arranging the ceramic types on the copperplates in order to copy and print; today I happened to have finished Miscellanies ofJade Hall [in 28 volumes]; may I bother you to inspect it...  i f i f f l5& ^ + i * .  %  &mmmm, i^wep. *H«* <3Eg&ie» -+A*.  According to R a Kyungjun's research, after  ink, paper and block  printing  technology were introduced from China to Korea, Korea became the earliest country in the world to invent metal type printing. Metal type printing appeared in Korea in the first half of the thirteenth century during the peaceful period o f military rule prior to the Mongol invasions i.e., during the years from 1200 to 1231. According to some Chinese scholars, however, copperplates had also appeared in the printing industry of Song China at the same or on earlier time. For instance, Y u e K e S I R J wrote in one o f his works Jiujing sanzhuan yange li TL 15 jZ #  5  Zhou Bida M'J&JK, Zhouyi wenzhonggongji M'M.^d&'&M  Jp- iH (The History of  (Collected Works of Zhou Bida), Volume 198.  23  the Nine Classics and Their Three Commentaries) that his family had in its possession a collection o f copperplates made in the Late Jin dynasty (936—946). paper currency, the huizi  6  Furthermore, the  , which was circulated during the Song period was printed  with copperplates.(examples of which can still be found in the Shanghai Museum today). 7  In addition, M a Duanlin S/S^'lm (1254— 1323) also mentions copperplates in his  Wenxian tongkao 3 t ^ i l % (A Comprehensive Study of Historical  Literature).  8  What we are certain about is that printing technology itself was invented during the Tang dynasty and that it further developed during the Five Dynasties and reached its full potential under the Song dynasty, its quality being improved by the use of copperplates.  9  Advanced Papermaking  The development of papermaking technology during the Song dynasty also accelerated the maturation of printing and book printing. Firstly, the materials for papermaking were abundant—as far as we know, all kinds of flax, bamboo, mulberry bark, rattan, bryophyte, wheat straw, and rice straw were raw materials for papermaking; secondly, the production o f papermaking increased considerably; and thirdly, the paper was of good quality and of many different varieties. Yue Ke -SjJSJ, Jiujing sanzhuan yange li A ^ — ft jfi ¥ $ij (The History o/"Nine Classics and their Three Commentaries), (Taibei: Guangwen shuju / " " ^ f i j l ] , 1968), 11. See Yan Yiquan MXK "Tongban he taoseban yinshua de faming he fazhan" ffflJKWSfeftWJ fP^)il("The invention and development of copperplate and chromatography"), in Zhongguo kexue jishu he kejirenwulunji(^m^W^'&m^^kM^§k), (Shanghai: Sanlian shudian E f f i l B , 1955). Ma Duanlin SjiMllfS, Wenxian tongkao 3t^3ffi% (A Comprehensive Study of Historical Literature), (printed by Guanwu zhai « H"fnT, 1902), Volume 9, 26. For more information on printing, see Carter, The Invention of Printing and Its Spread Westward, 32; see also L.C. Goodrich, "The Development of Printing in China and Its Effects on the Renaissance under the Song Dynasty," Journal of the Hong Kong Branch of the Royal Asiatic Society 3 (1963): 36-43. 6  7  8  9  24  Paper was categorized into different standards depending on the material it was made of as well as its place of production: Guangdu paper from Guangdu (Sichuan Province), Youquan paper from Hangzhou (Zhejiang Province), Baichao paper from Fuzhou Htj'H (Jiangxi Province), Puqi paper from Hubei Province, pepper paper from Jianyang (Fujian Province), tribute paper from X i n ' a n (Huizhou, Anhui Province) and so forth. It is important to note that bamboo paper was popularly used in the publishing industry because of its weight and texture. A s Jiatai kuaiji zhi  (Gazetteer of  Kuaiji in the Jiatai Reign Period) records, bamboo paper has five advantages: Firstly, it is smooth; secondly, it enhances the color of the ink; thirdly, it is suitable for brush writing; fourthly, it keeps the ink from fading, enduring much folding and unfolding of the paper; fifthly, it is moth-proof.  IF. ill.  10  The wide availability of paper made it possible for book printing to achieve even wider success. From then on, with the development of the new technology, the cost of producing and disseminating books was greatly reduced. The commercial publishing industry enjoyed high profits, and many book workshops were set up to print and vend books.  Flourishing Bookshops  Shen Zuobin j£ 11=15 and Shi Xiuffifti,Jiatai kuaiji zhi 3SI§<zsf8;§ (Gazetteer of Kuaiji in Jiatai Reign Period), (Taibei: Dahua shuju XVC^M, 1987), Volume 1. More records of the development of papermaking in Song China can also be found in Xu Song'ifcfy,Song huiyao jigao $f.^W^M\ (A Draft Collection of the Major Song Events), (Beijing: Zhonghua Book, 1957), 1f?lS.3-|—b2.H~bH (The Thirtythird Article of Economy 27). 10  25  Bookshops filled the streets of cities during the Song dynasty, especially in the commercial districts of such cities as Jianyang, Meishan and Hangzhou, where books had become important commodities. In Jianyang, for instance, where many bookshops had already been established during the Tang dynasty, the book trade flourished even more during the Song dynasty. The books printed in Jianyang were called "Jianben" ("Jian editions") and were mainly manufactured in the two workshops of Masha Chonghua  IRj-fc; Jianyang was also known  MfJ?  as "The Capital of Books S ^ ^ l J f t V '  and  11  Hangzhou was another city known for bookshops, according to the records in such books as N a i Deweng's  iiltHlt  Du cheng ji sheng  W u Zimu's 5 I l i f t Meng Hang lu X i h u Laoren's  tP^iBJli  (Beauties of the  Capital),  (Records of the Dreams of Past Splendors),  Fan sheng lu  (Records of the Grandeur) and Zhou M i ' s  MIW Wulin jiushi ^ # 1 0 ^ (Old Stories of Hangzhou). With the development of the economy, a private ownership mentality came into being during the Song dynasty. It is not surprising, then, that copyright protection emerged and that it was granted to some bookshop owners who had rights to certain books. The contemporary scholar Chu Chuan-yu sums up the significance of movable type and book printing for Song society in his " A History of Chinese Journalism in the Song Dynasty": "The collected prose and poetry of respected authors, volumes o f sample examination  answers, collections  o f edicts and memorials,  histories—the  whole  Zhu MuffiH, Fangyu shenglan'Jj&lBM (Scenic Views of the World), ed. Zhu Zhu Uffi, (Shanghai: Shanghai guji chubanshe ± ? f T&fgttilKtt, 1991), 127. 11  26  foundation of a scholar's or an official's education—were now to be had, if not always quite legally, as objects of commerce."  1 2  Rampant Piracies  A contemporary Chinese scholar, Kong Zhengyi, of Anhui University, has done research on the conditions of copyright protection for both governmental and nongovernmental publications and suggests the following reasons for the emergence of copyright protection in Song China: (1) the development of the whole publishing industry; (2) the invention of block printing; and (3) the government's policy of forbidden books.  1 3  In my view, both technology and economic factors were responsible for the emergence of copyright protection in Song China. However, the rampant piracy which had taken place at this time was the most vital factor, for piracy had at that time raised the author's awareness of rights protection. Through examining some famous writers' collected works in Song China, we see that it was not uncommon that authors were victims of piracy. One example was L i Gou ^ffi! (1009—1059), a famous thinker in the early period of the Northern Song dynasty. He said in his "Huangyou xugao xu" sk$i^Wir7'  ("Preface to a Continuation of Works  of the Huangyou Reign Period") that: [1043], I collected together what I had written and Tuiju leigao iMJSJ^H [Works after My Retirement, in 12 volumes]. Three  In the autumn of the third year of Qingli named my book  Chu Chuan-yu, "A History of Chinese Journalism in the Sung Dynasty", Synopses of Monographical Studies in Chinese History and Social Sciences, 5(1969): 67—68; see also Robert P. Hymes, Statesmen and Gentlemen—the Elite of Fu-chou, Chiang-Hsi, in Northern and Southern Sung, (New York: Cambridge University Press, 1986), 3. Kong Zhengyi ?LjEt£, "shilun gudai tushu de banquan baohu" Wi'&'Sf^fflfiWtififefitli^ ("Discussion of the copyright protection of ancient books"), chuban faxing yanjiu iiil&SfTfiffS^, Vol. 6 (2003): 77—80. 12  13  •  27  years later, more than a hundred of articles were added to it. I do not know who reprinted it without my authorization. It was printed with many errors and entitled Waiji [Extra Works], something which risked universal condemnation. I resent what they did but I am unable to change it. &J95H# ( H ^ , 1043 ft, ikftmxB mmmm is^n^^ 14  Another example is the historian Sima Guang RjSj;)fc (1019—1083). In 1145 Sima Ji ^  Sj  , Sima Guang's great-grandson and an administrator of the Military  Commission in Liangzhedong Circuit, wrote: Sima wengong jiwen i^Srfi-z^EH [Records of What We Heard from Sima Guang] was printed in Jianzhou recently; it relates political affairs which took place during the former reign period. I have privately compared it to my [paternal] great grandfather's daily writings, but, there is no mention of these affairs in my grandfather's version; his signature was forged to facilitate the sale of the pirates' books.  ±#£^.  mmm.  15  Zhu X i ^ . M , one of the most famous neo-Confucian thinkers of the Southern Song dynasty, was perhaps the worse victim of piracy in his age, since four of his books were printed without his authorization. The first one is Sishu huowen H^SSCIR) (Questions on the Four Books), which was pirated before the year 1177. Zhu X i wrote: I had not disclosed my manuscript to anyone, but, some bookshops had already published their version. I urgently requested the County Magistrate to confiscate the blocks, the book had been secretly circulated and copied by some scholars.  The second work is Lunyu jizhu i f e i n ' ^ S i  (Collected  Commentaries  on the  Analects),  L i Gou $ 8 , Li Gou ji ^MM (Collected Works of Li Gou), ed. Wang Guoxuan I HIT, (Beijing: Zhonghua Book, 1981), 269. Xu Song, "Punishment and Law 2". Wang Maohong zESS, Zhuzi nianpu ^c^^iff (Chronicle of Zhu Xi), (Taibei: Shijie shuju tttff-^fSJli, 1960), Volume 2, 65. 14  15  16  28  I wrote it ten years ago, and it only circulated among my friends. The local people then printed it without my authorization. When I learned of this, it had already been distributed in faraway places and could not be withdrawn."  The third book was Lunmeng jingyi ifei£ff .$(. (Succinct Principles of the Analects and Mencius). This book was originally printed and sold by Zhu X i himself, but due to its popularity, it was reprinted by a stationer in Y i w u , Zhejiang Province. In a letter to Lit Zuqian  SIMf (1137—1181) Zhu X i wrote: I will write as briefly as in my last letter. I asked you for help before the end of last year, but I don't know whether my letter reached you. I mentioned that my Succinct Principles had been pirated by a man in Yiwu without my authorization. I wonder what's happening. It is said that the man is from Yiwu. Someone urged me to write to the man and stop him in accordance with precedent. I really do not want to do that. But the book's publication had already cost me a huge sum of money, and many friends have helped me. The book has just begun enjoying popularity and it suddenly has been pirated, which is most unfair to me. I must bother you to look into this case for me; if you could ask him to desist, he will certainly heed you. If he still does not agree, I will bring a plaint and bother you to send it to Shen Zhang's [?&3t] office. I wish you would act as soon as possible. If we stop the man before he invests a lot of money, it will cause less harm to both him and me. I also wanted to write to Shen Zhang, but I was afraid this matter would not be resolved as promptly as it should. I do not wish to bother him many times, so would you write to him to communicate my concerns? I may seem petty in asking you to do so, but I cannot help this for it is a matter of my own survival. May my intentions be forgiven.  ft&%$m*&2.tt±z..  w&^mm.  The fourth pirated book is Lunmeng jie  mftmmjcv,  xmm^m,  *  (Commentary on the Analects and  Mencius) according to what Zhu wrote in " D a Su Jinsou" ^ - ^ W J ^  ("Reply to Su  Jinsou"):  Ibid. Zhu Xi5fc|E, Zhuwengong wenji' fcX&XM (Collected Works of Zhu Xi), ed. Chen Junmin (Taiwan: Defu wenjiao jijinhui 'ii.&XWM^.^, 2000), 1305. 17 18  29  Commentary on the Analects and Mencius was then printed by people in Jianyang without my authorization. When I just wanted to destroy [the pirated version], I heard that the vendors had begun to sell the book everywhere.  The fourth author whose works were the target of piracy was Fan Jun fH$L (1102— 1151), a famous Confucian scholar from Zhejiang. A t the beginning of the Southern Song dynasty, he brought a lawsuit against a bookshop in Jianyang, which had printed a book named He yuanyou fit fP7tlli&!)!S under his name. This book was circulated everywhere without his authorization. Fan Jun wrote in " D a Y a o Lingsheng shu" ^ Mi  ^  ^  ("Letter in Reply to Yao Lingsheng") that: He yuanyou fu was carved into wood blocks and sold everywhere under my name. A n d that he Registered a complaint with the officials of Jianyang and [the officials] issued an order to destroy the [pirate's] blocks.  The fifth author whose works were pirated was Hong M a i  (1123 — 1202). He  did not know that until the emperor Xiaozong informed him at court that his Rongzhai suibi ^ j ^ K t ^ l (Essays of Rong Study) had been pirated by printers in the book market;  2 1  A sixth example is Su Shi j^^it (1037—1101), whose poems and prose works were frequently reprinted illegally by bookshops. It is said that more than twenty of his writings were targets of piracy. There were also some craftsmen whose livelihood  Zhu X i yfcjS, Zhuwengong daquan wenji (Complete Collected Works of Zhu Xi), volume 55. Fan Jun Fanxiangxi xiansheng wenji ?£#M5fc5i3tlfc (Collected Works of Fan Jun), collected in Sibu congkan xubian jibu W §tf JA TU & Id M U, (Shanghai: Shanghai hanfenlou ± ^ 8 5 ? ^ , 1934), Volume 16, IV, 13—14. Hong Mai V ^ E , Rongzhai suibi wuji $ffl£J'^!;E$t (Five Continuations of Rong Studies), (Beijing: shangwu yinshuguan ilb/KIl&Efl^lS, 1959), Volume 5, 1. 20  21  30  depended mainly on carving the blocks for printing the collected works of Huang Tingjian H E M  ( 1 0 4 5 - 1 1 0 5 ) and Su S h i .  2 2  Under these circumstances, the owners to the rights of certain books tried to apply to the government to grant them copyright protection and to guard their own interests, examples being Zhu X i and Zhu M u ' s family (These have been mentioned in the introduction and will be discussed in more detail in chapter 4). In the above examples of piracy, some authors worried that the integrity of their works and their academic reputation would be harmed if the piracies were ignored. This situation is clear in Su Shi's " D a Chen Chuandao" I f l ^ f t i i ("Letter in Reply to Chen Chuandao"): At the time I was worried that people in the cities are running after profit and are fond of printing my humble creations; I wish to destroy their wood blocks, but, I am afraid that this may result in more people printing them. Therefore I decided that I will select a few better ones from all my old poems and other literary writings and compile them into an anthology when I am a bit free... there are not only many errors in them, but there are omissions, as well as works written by others in my style which are circulating in book markets.  In summary, we can conclude that the examples of piracy can be divided into five categories: (1) printing or reprinting books without the author's authorization; (2) deleting contents from an original work; (3) adding some contents to the original work; (4) changing the title of a book; and (5) reprinting a book under the name of a famous author to increase sales.  Guo Mengliang, "Zhongguo banquan wenti tanyuan", 31. Su Shi fj-U, SuShi wenji 'ilj-t^M (Collected Works of Su Shi), ed. Kong Fanli ?L/L^L, (Beijing: Zhonghua Book, 1986), Volume 53, 1574. 22  23  31  It is interesting to note that the Song law books were also vulnerable to piracy, although the Song government strictly prohibited such practices. (I will analyze this in chapter 3). On the twenty-eighth of the first lunar month of 1042, an official o f Hangzhou Prefecture wrote in a memorial that: Zhai Zhaoying, the County Magistrate of Renhe County, changed the name of Xingtong lushu [Commentary on Criminal Law] to Jingke zhengyi ^#IE3C. He carved Jingke zhengyi into wood blocks and printed it to sell.  snap!:, %=?^mmmm  immwm  I E * ^ ^ «M4iE3c» <m$\m.  A t last the county magistrate "was interrogated and was found guilty by the Fiscal Commissioner; and his blocks were destroyed i i ^ f e ^ f S f f ,  $£MW  2 4  This county  magistrate was so audacious that he dared to distort and reprint the books on law for profit without authorization, an unusual form of the rampant piracy of the age. Y e Dehui noticed that: Public morals had worsened day by day; if a good edition become popular, it would certainly be reprinted and circulated.  He concluded that: It truly does harm to scholars if the bookshops recarve the wood blocks of others.  In summary, the reasons why the owners of copyrights applied to the government for protection of their works were: (1) for their economic interest, as in the case of Zhu X i ; (2) for their academic reputation, as with L i Gou, Su Shi and Fan Jun; (3) for political reasons, as in the case o f Sima Guang. Copyright protection of legitimate publications became an inevitable trend.  Xu Song, "Punishment and Law 2". Ye, Discourses on Chinese Books, Vol. 2. 32  If one looks at the conditions of copyright in early Europe after printing was introduced, one can learn that as the new industry grew, the competition between booksellers became fierce and manuscripts became harder to acquire. To gain an edge, booksellers sought the support and patronage o f the Crown. A t the same time the Crown feared the press' power to encourage insurrection; and thus it granted to its chosen favorites the sole right to print a special title. These grants were the letters patent which are very similar to today's intellectualproperty law. In early modern European countries, because of the competition among the printers, the exclusive right to publish was granted to the publishers, while in Song China, due to piracy, the authors and the publishers had to apply to the government for copyright protection. Therefore Y e Dehui argues that: It can be seen that only a few individuals who printed books applied to the local government to forbid their books from being reprinted by other bookshops at that time and had not become common practice or something that everyone had to follow. Only some powerful families who collaborated with one another realized their aspirations.  We are not certain whether these "powerful families" had been organized into guilds by this time. The Chinese imperial government was stricter than those of early modern Europe, and the Western guilds had more functions and powers than those of Song China. Although some results o f research on the guilds o f Song China are available now, the relationship between guilds in the printing industry and the Song government are still unclear; we are not sure that the copyright protection o f nongovernmental  33  publications (to be discussed in chapter 4) was the result of the Song government's interest in controlling the nongovernmental publishing industries or not.  34  Chapter Three  Guanke and Its Copyright Protection  Introduction Book printing became highly developed in the Song dynasty. On one hand, imperial governmental offices on all levels printed books (i.e. guanke books), on the other hand, fangke  government-printed  (workshop-printed books) and jiake H^ij  (family-  printed books) increased as well. These three were like the legs of the tripod of the printing industries, which was also stimulated by B i Sheng's invention o f movable type during the period. In order to deal with the external troubles on its northern and northwestern frontiers, the Song government enforced its rule over the nongovernmental printing industries that were mainly made up o f the jiake and fangke. In this period, some authors of commercial publications and owners of bookshops began to apply to the government for copyright protection of their publications. But the protection granted by the government at that time placed more emphasis on governmental publications rather than nongovernmental publications, as recorded materials indicate. However, whether the copyright protection granted to governmental publications is, in the strictest sense, like the copyright law o f the modern age remains unclear. Unlike governmental publications, nongovernmental publications enjoyed protection rights similar to those known to us today.  35  Guanke  Guanke refers to books printed by the imperial governmental offices on all levels. The main central governmental offices which published books, besides the guozijian  H-f  H5. (the Directorate of Education), were the mishujian ffi^HS (the Director of the Palace Library), the sitianjian 'nJ^ilS (the Director of Astronomy) and the chongwenyuan ^?3t (the Institute for Veneration of Literature).'  Each had its own character, usually  related to its governmental functions. Some organizations maintained their own printing workshops. During the Song dynasty, the Directorate of Education was in charge of publication affairs and it was the most important organ for publication at that time. It set up the yinshu qianwusuo E R ^ ^ ^ j B f (the Publications Office), a special office to print all kinds of books. The books the Directorate of Education printed were called "jianben" H S ^ ("the Directorate of Education editions"). The local governmental offices which printed books were the chayansi ^'Ml^i Tea and Salt Supervisorate), the Tax Transport Bureau, the tixingsi $HJflJ  (the  (the Judicial  Commission), the anfusi z ^ l S ^ (the Military Commission) etc. Zhouyi zhushu  MMtiL$i  (The Annotation and Subcommentary on the Book of Changes) and Shangshu zhengyi ^TE%(The  Rectified Interpretation of the Classic of History) are two books (still found  in the Beijing Library) which the Tea and Salt Supervisorate printed in Liangzhedong Circuit during the Song dynasty. Fu /ft' (Prefectures), xian J | (Districts), schools in The Institute for Veneration of Literature had become the editing centre of publications during the Song dynasty. For extended discussion, see Zhang Hongwei's M3&ff', "Liangsong bianji chuban shiye yanjiu" M5feKroH)±ilKiJ\lk?iff^L ("Research on publications during the Northern Song and Southern dynasties"), Journal of Shandong University (Philosophy and Social Sciences), Vol. 4 (1997): 33—38. 1  36  Superior Prefectures, jun ^ (Military Prefectures) and academies of classical learning in local areas also printed their own books.  2  It is important to note that when the Jin (1115—1234) army invaded and destroyed the Northern Song dynasty, all the wood blocks and type letters used for printing in the Directorate o f Education were destroyed. When the Southern Song dynasty was founded in 1127, neither the Directorate of Education nor other central organs were able to reprint books. So the government searched for the old Directorate o f Education edition books and asked the local governmental offices in Lin'an Superior Prefecture and Liangzhe, Lianghuai and Jiangdong Circuits to carve new wood blocks and submit them to the Directorate o f Education for reprinting. Consequently, large numbers of books that were found were reprinted and then sold in the local areas mentioned above. Thereby, the local governmental offices' printing industry was renewed and actually prospered. A t the beginning of the Northern Song dynasty, the government promoted cultural affairs and education while restraining military activities. The Song government's national policy was to "influence the world with its advanced civilization (^Jt'f-k^.T". The Northern Song government reproduced almost all the books of Confucianism, Taoism and Buddhism. During this period, many leishu ^ | 4 ^ (encyclopedia)  3  and  congshu Ik4^ (a series o f books) were compiled by the Song government. The Song government's regulations regarding publishing can be divided into two groups: one group forbade nongovernmental printing firms from reprinting books which  Wei Yinru MVMiWi, Zhongguo gujiyinshua shi, 47. A class of works combining to some extent the characteristics of encyclopaedias and concordances— embracing the whole field of literature, methodically arranged according to subjects and each heading giving extracts from former works on the subject in question; e.g. Taiping yulan A T f f l j I S , Wenyuan yinghua X^M^ and Cefuyuan 'gui fflffiyifk. 2  3  37  had been previously granted governmental printing patents; these governmental offices monopolized the exclusive rights to print certain kinds of books. The second strictly banned the production and the dissemination of books which might threaten the government's authority.  Debate over Wliether the Books Printed by Governmental Offices Were Banned from Being Reprinted  Chinese scholars have held conflicting views over whether the books printed by governmental offices were absolutely banned from being reprinted. Y e Dehui states that: Of all the books printed by the governmental offices, prohibition of their reprinting never existed.  He further argues that: During the Song dynasty, scholars were permitted to use the blocks carved by the Directorate of Education to print but had to buy their own paper and ink.  To prove his point of view, Y e Dehui cites a proclamation issued by zhongshu menxia 4" ^ H T  (the Secretariat-Chancellery) which was attached to an edict issued in the third  year of Y o n g x i (986) granting scholars rights to print X u Shen's ¥f'\M. (58?—147) Shuowen jiezi  'ir  {Etymological Dictionary of Chinese Characters), which states:  Shuowen jiezi written by Xu Shen in the Eastern Han dynasty appeared with numerous errors owing to its being copied many times over the ages, so we cannot take it as a source for studying "Liushu" [The six classes of Chinese characters] now. If we do not collate it again, I am afraid it will lose its original appearance gradually. Therefore I commanded Confucian scholars to explain the origin and development of "zhuanzhou" [seal characters and 4 s  Ye, Discourses on Chinese Books, Volume 2. Ibid., Volume 6. 38  another style of calligraphy, used in the Zhou dynasty (c. 11th century-256 BC)] and to put these together in detailed footnotes. People like the minister Xu Xuan [sanqi changshi tit 9HJWi^f (a Policy Adviser), 916—991], are proficient in the history and have in depth knowledge of former scholars' ideas; indeed they can deliberate about the disputes, supply the omissions and correct the errors. I am satisfied with what they memorialized after finishing the book which should be printed and circulated, since the book will be used as a manual for scholars from our dynasty, and so on forever. The book should be handed to the Historiography Institute, and I also command that the Directorate of Education carve it into blocks for printing following the stylistic rules of the Nine Classics. Grant scholars funds for paper and ink to obtain the book. Simultaneously appoint scholars such as Xu Xuan to collate and carve the blocks to avoid errors that will adversely affect later generations.  ««», m^m, ifjimn, \m%%, js-vzm, nmmk. ^ S O T J IE, m®*m&m. ^m^z&, ftfssta. &mmmrmm, mmmst, &&Wn. «fiBi«8?£#, #IE«lfi° H * 8 ± £ , irtSJUSS. f%nm. SSSfcfcffiSS,  #7KH±y.#g. g^attifg.  W^HT-M^EPIS,  tt  ^  Besides this example, Y e Dehui also cites proclamations attached to books such as  Houhan zhi  fa  $c Jej  (Annals of the Later Han Dynasty)  Chancellery, printed in 1022,  issued by the Secretariat-  Liujing shuyi f\^M,i% (Annotations of the  Six Classics)  printed by yusitfk^i] (alternative name of J S l ^ ' ^ P W J or -frW], the Supply Commission)  in Fujian Circuit in 1132, and Wujing dxH (Five Classics) printed by the academy of X i n g Guo Military Prefecture in 1216 to prove his point of view. Furthermore, Y e also cites the proclamations attached to the five medical books,  Qianjin yifang Buzhu bencao  i^ft7j,  Jinkui yaolue fang ^MM^fi,  ^ h S i ^ ^ L , and  Tujing bencao  Wangshi maijing  BERHzMS,  U l i c ^ J f L , produced by the Directorate of  Education in 1096, to support his contention. Lastly, he draws the conclusion that the books printed by the governmental offices were not all prohibited from being reprinted. From what was written in  Discourses on Chinese Books,  one may be inclined to  adopt the view that books printed by the governmental offices could be reproduced. But many prohibitions o f reprinting books printed by the government are found in the Tang 6  Ibid., Volume 2.  39  Dynasty, although they were not acknowledged by Y e Dehui. For instance, in the year 835, the jiedushi^S.i't  (the Imperial Commissioner) of Eastern Sichuan, Feng X i u  (767—837), proposed in a memorial that an imperial edict forbid the printing of calendars \ by wood block, Jiannan [modern Sichuan], the Two Chuan and Huainan [lower Yangtze valley] printed all calendars by means of wood block and sold them in the market places. Each year, before the Bureau of Astronomy memorialized the Throne suggesting the promulgation of the new calendar, these printed calendars had already been disseminated all over the country. That is contrary to the rule of respectfully handing over the new calendar for approval by the emperor.  T,  ^mtmzm,  7  This was ratified by the emperor Tang Wenzong: Instruct all Circuits and Superior Prefectures not to carve the blocks for printing calendars without authorization.  %mm'smhw.ifjurn.  8  This is the first prohibition of printing books issued by the government, recorded among the existing historical documents of imperial China. On the second lunar month of 1071, the emperor Song Shenzong issued an edict: Instruct the common people not to print calendars without authorization; all calendars should be printed and vended by governmental offices themselves appointed by the Director of Astronomy, and all the profits they earn shall go to support the organizations under the Director of Astronomy.  The printing of Confucian classics in the Song dynasty was also the monopoly of the imperial government which carried out the policy of granting the printing patents. For instance, the Nine  Classics,  carved during the Five Dynasties (907-960) by the  Wang Qinruo I£t^^r etc., Cefu yuangui diwangbu gebi er <<jfJ#7G%>> W£%V-%-$~l» (Eliminate the maladministration in contents of Emperors in Cefu yuangui), (Beijing: Zhonghua Book, 1960), volume 160, 1932. Liu Xu Mffil, Jiutangshu wenzong benji (I0i945)> —b «3t7r<^£ci» (Basic annals of emperor Wenzong in the Old History of the Tang Dynasty), (Beijing: Zhonghua Book, 1975), volume 17, 563. Xu Song , A Draft Mollection of the Majors Song Events, Zhiguan Wg+AZA+M ("The Eightyfourth Article of Government 18"). 7  8  9  40  Directorate of Education, could not be reprinted as recorded by L o B i 9 ? H (a Southern Song scholar): Before the years of the Zhiping reign period [1064-1068], the Nine Classics were still prohibited from being reprinted without authorization; anyone who wants to reprint them must apply to the Directorate of Education for authorization. This policy was in effect until the years of Xi'ning [1068-1077].  Reasons for not Banning the Reprinting of Materials  From today's perspective, calendars and medical books are intellectual as well as cultural information accumulated over many generations.  11  The way of expressing  calendars is fixed and there is no possibility of expressing them in any other way, in other words, astrology are in the realm of science. If we grant exclusive rights to these kinds of cultural or intellectual byproducts, their dissemination will be hindered. Creations such as calendars should not be granted exclusive copyrights. Y e Dehui explains in Discourses on Chinese Books that medical books had been an exception in the Song dynasty. Because medical books are indispensable to doctors, medical book collections such as Qianjin yifang fell into this category. Y e argues that: Because the books were printed in big characters, the doctors could hardly afford them. Another reason is that they were rarely available, especially in the remote superior prefectures and military prefectures. So the government promulgated them by carving them into blocks with small characters, proofread them and made them available for sale. This policy was to be carried out in the remote superior prefectures and military prefectures.  L u o B i , Gleaning,Vo\. 1,5. " Some scholars might agree with the view of medical books as a category of intellectual property of fixed expression. Ye, Discourses on Chinese Books, Vol. 6 10  12  41  Although medical books were reprinted by governmental organizations, reprinting by individuals and the owners of bookshops did not violate the books' copyrights. The issuing o f calendars, however, was the prerogative of the emperor whose power was granted by heaven. Reprinting calendars without authorization was prohibited because it violated the prestige of the imperial authority. In addition, owing to the financial benefits gained by printing calendars, the imperial government wanted to grant the patents of calendars to the organizations under its direct control.. In my view, the prohibitions of reprinting calendars and Confucian classics were more the result of the Song government's strict policy of shujin  (the prohibition of  book reproduction); limiting the reproduction had little to do with the government's intentions to enact a copyright law.  The Strict Policy of Shuj in in the Song Dynasty  A t the beginning o f the Song dynasty, the control of the printing industry was more relaxed. With the development o f the nongovernmental publishing industry, some owners of shufang  were  constantly  expanding the scope of publication  rights,  which  unfortunately conflicted with the government's policies in the area of culture and education. A t that time, the long confrontation with the Liao (907—1125), X i x i a (1032— 1227) and Jin states increased the Song dynasty's concern for keeping military intelligence secrect. Therefore, the government's press policies changed during the Northern Song, and there was a tightening of its rules regarding nongovernmental publishers.  42  After the "Chanyuan zhimeng"  MM2.%L ("Treaty  of Chanyuan", 1005) was signed,  the exchange of culture and trade between the Song and Liao governments developed, and books became important  commodities  in  "Quechang" $1 MJ  ("government  monopolized markets"). However since some books being sold at the time contained the Song government's military secrets, the Song government issued a regulation in 1006 which states: Commoners are forbidden to take and sell books which are not in the list of Nine Classics and their annotations to the monopolized markets in the borders; if anyone is found violating the rule, he shall be sentenced and his books shall be confiscated.  Although the government rigorously forbade the trade of books with Liao, owing to the huge interests and revenues generated through the vending of books at the borders, many books recording national and military secrets were circulated and eventually some managed to make their way to the Liao state. During the years of the Tiansheng reign period (1023-1031), this situation became more serious. One passage reads: Ever since the Treaty of Chanyuan was signed, the Liao state has been dispatching its diplomatic envoys to our country every year. And in the monopolized market in Xiongzhou 'M, trade and tourism contacts with the Liao state are numerous. Therefore, the collected works written by the ministers in our dynasty which included some materials related to our defense and other kinds of confidentialities, were spread and circulated to the Liao state.  itmnmm, #itA#m Rmnmrn,mm®.*, mit^mm^mrnxm^a? mm^^^mmm&Mmnimm^^ 14  This condition forced the Song government to amend its policy concerning -the exportation of books to one of a tighter control of book production within the country. According to the research of Zhou Baorong f%3l M, 7  a contemporary scholar in Henan  Province, the Song government therefore established a censorship system in which the Li Tao Xu zizhi tongjian changbian ^M'iaM.^:^.^! (Continuation of the Complete Mirror for the Aid of Government), ed. Yang Jialuo (Taibei: shijie shuju tttlf-^^, 1962), Article one of Volume 64. Xu Song, A Draft Collection of Major Song Events, Xingfa MS—3L~\"/\ ("The Sixteenth Article of Punishment and Law 2"). 13  14  43  nongovernmental publishing industries had to submit their work for scrutiny in.order to prevent the country's intelligence from being leaked.  15  Emperor Renzong of the Northern Song dynasty issued an edict in 1027 which states: From now on, anyone who prints collected works shall apply to the government for permission, submit a sample of works which are be printed, and await for the result of the detailed review of the assigned official examiner. If the works are not inappropriate, then they will be permitted to be carved into blocks and printed. Anyone who violates the rule shall be punished according to the law and the printing blocks shall be forfeited and smashed in the presence of officials.  From this edict we can learn that the censorship system during the reign period of emperor Renzong was in its formative stage. The range of books which had to be submitted for examination was limited to collections and the procedure for scrutiny was relatively simple. Although it played the important role of preventing the divulging of the Song government's national military secrets, it was unable to block completely the increasingly dynamic book trade between the Liao and Song areas during that time. Some ministers noticed this condition and paid more attention to these violations; for instance, Ouyang X i u  gfcPHft (1007—1072) pointed out that:  Your servant acknowledges that our government has accumulated many strict prohibition orders regarding printing which are indeed in place. Yet the fact that books are still being printed, particularly more recently, is perhaps because the book tradesmen do not operate within the boundaries of regulations.  mz.A.  17  Zhou Baorong "Beisong guanfang dui minjian chuban de guanzhi" ih'M'&Jj'Xi^laltHJKlKllff iliij ("Control over nongovernmental publication during the Northern Song Dynasty"), Zhongnan minzu daxue xuebao ^Wi^Wi'A^^i®., (November 2002): 73—75. As for the censorship system, it is translated from "shugao shencha zhidu" fiH^S'li'Jfi. Xu Song, "The Sixteenth Article of Punishment and Law 2". Ouyang Xiul*fcPEH#, Ouyang wenzhonggong (Collections of Ouyang Xiu), (Shanghai: Shanghai shudian ±'Mfi)S, 1989), Volume 108. 15  16  17  44  Therefore, Ouyang X i u sent a memorial to emperor Renzong to request that the collection Songwen ^.JC (Works of the Song Dynasty) be banned from reproduction. H e said in the conclusion o f his statement that: An edict should be issued to the Commanders and the Superior Prefecture of Kaifeng that blocks and books printed ought to be confiscated and be burned and smashed. Afterward, if anyone shall print any collected works without authorization, copies cannot be sold. If bookshops or anyone exposes a violation, the denouncers will be awarded two hundred guan wen which would be paid by the violator's family. The perpetrator who sells the books shall be severely punished. It is worthwhile to know that this is a [crime] that can be stopped.  wvmn, v)m;k. mmk,  Ritm-nm, mn^'^s^m&,  epm  Ouyang X i u ' s suggestion was adopted by the court; emperor Renzong issued an edict in 1040 to the Superior Prefecture of Kaifeng which resulted in the arrest of all (which included the owners of shufang in the capital without licenses) who carved blocks and sold books related to military secrets.  1 9  Su ZheffiW (1039—1112) was another person who made as great a contribution as Ouyang X i u to the establishment of the censorship system of the Song dynasty. In the eighth lunar month o f 1089, soon after his return from Liao as an envoy, Su Zhe stated in his memorial to emperor Zhezong that: Your servant is afraid that all the writings printed by the common people in our country are widely disseminated to the Liao...Among them there are many memorials by your subjects and essays on current affaires by our scholars, which relate the success and failure of our government or the advantages and disadvantages of military affaires. The ignorant people intent on nothing but profit, print jokes and obscenities and they reach everywhere. If all of them are spread and circulating in the Liao, these prints not only divulge our secrets, but they have become also a laughing matter for those barbarians. This is absolutely inappropriate.  wmmm, mx%4>. m^im,  mmi,  ^mmz^,  SF/T^MO  He suggested that:  18 19  Ibid. Xu Song, "The Fourth Article of Punishment and Law 2".  45  Forbid the commoners to carve blocks for printing. Command them to submit the books to be printed for government approval. The Superior Prefectures should authorize two literary officials to examine the material and decide whether it should be published or not; these officials should have a time limit set for them in accordance with the number of words, during which they can examine and decide [about the books]. If the book does not violate the above rule, it shall be granted the right to print.  In his memorial, Su Zhe emphasized that: Re-enact the regulations concerning printing without authorization and careless approval of materials. The books which have been published now should be re-examined by authorized officials to decide if they have violated rules, and if so, the blocks of books shall be destroyed and disposed.  m±m?fRmtt%zm.  jH-BfrajF*.  mmt^,  wf±#*u,  M  «  S  After emperor Zhezong read Su Zhe's memorial he responded with his approval, which stated that: All the articles which discuss the success and failure of political situations of current time, military, secrets and what occurs in our frontiers should not be recorded and circulated; the collected essentials and veritable records of our dynasty should not be carved into blocks for printing either. Anyone who violates the rule will be imprisoned for two years. Anyone who lodges an accusation against the perpetrator will be awarded a hundred thousand copper cash. The internal dynastic history and veritable records should not be recorded and circulated either. Books which are permitted to be printed should be certified by the selected officials. And only those which really benefit scholars can be carved into blocks for printing. After obtaining approval, the printer must submit the sample to the Palace Library. If the selected official does not examine it in an appropriate manner, the book will be examined again. All the books with jokes and obscenities shall not to be printed; anyone who violates the rule will be subjected to a hundred blows. I authorize the Superior Prefectures and Districts, jiansi [Circuit Supervisor], Directorate of Education to supervise and to investigate these matters.  Thus the so-called censorship system of the Song dynasty was established. If we compare this more evolved system to the preceding Tiansheng period, it is quite rigorous and more complete. Firstly, the government broadened the range of books which should be examined before production. The regulation now required that all the publishers  Su Zhe?t$Wl, Luanchengji y^MMt (Collected Works of Luancheng), ed. Wang Yunwu, (Taibei: Taiwan shangwu yinshuaguan lS&EP©Jig, 1969), Volume 41, 567—568. Xu Song, "The Thirty-eighth Article of Punishment and Law 2". 20  21  46  submit  book samples for  government  approval prior to  printing.  Secondly, the  government toughened its punishment for violators; lastly, the government strengthened the function of Superior Prefectures and Districts, Circuit Supervisors, Directorate of Education to investigate illegal behavior. During the Song dynasty, besides criminal laws, articles about the political situation of the period, confidential information about the frontier, shiwen flT^t (a prescribed essay form for the civil service examinations) and poetry relating to political controversies were also in the list of prohibited printing. In the sixth lunar month, 1193, some ministers submitted a statement that: The memorials of ministers, the regulations and memorials of Taijian aW [i.e. the Censorate], the offering of official posts, the stylized essays of the scholars, stratagems and confidential plans which cannot be revealed, now are circulated in the markets and streets. They were printed by shufang and circulated everywhere, which caused inconveniece, so we beg to prohibit this strictly. If the books have been carved into blocks or printed, they should be investigated and confiscated, and be burnt and destroyed at once in the presence of the officials. The names and numbers of books that have been burnt and destroyed should be submitted to the shumiyuanfiSUIS[the Bureau of Military Affairs]. From now on, if anyone wants to carve blocks for printing books, the books should be examined by the officials authorized by the Superior Prefectures and Districts before being printed. Still authorize tongpan M^lJ [the Controller-generals] in all Superior Prefectures to examine closely if anyone violates the rule; he will be punished according to the decrees.  §m-x&zmx,  Tmrnm,  Gmz-nm, M\-z.mm. ±?zmx, mvm, mmxm, tr vim±. ;  4-&v®Mm&B£v  # I « $ H .  z  The basic reason for prohibiting the printing of such books is also because the government was concerned with national secrets. What is more, early in the seventh year of X i ' n i n g (1074) the production of books printed in the markets was closely controlled by the Song government. Meng Shou'an ^L^j ^., 1  a kongmu guan ?L H 'g' (Clerk) in the  Institute for Veneration of Literature, reported to the government that:  Xu Song, "The Fifteenth Article of Punishment and Law 2". 47  The books printed by the commoners should be recorded and examined, if any is valuable, four copies should be submitted to the Institute for Veneration of Literature.  Meng's purpose was not only to collect the books but also to learn about the condition of book publication and book markets.  From a historical perspective, it is not unusual to find that books which deal with materials damaging a government's reputation and defying its rules are banned from publication. Western countries are no exception. For instance, the Licensing Act of 1662 in England, a country with an established church, stated the prohibition of printing any heretical, seditious, schematical, or offensive books or pamphlets, wherein any doctrine or opinion shall be asserted or maintained which is contrary to the Christian faith, or the doctrine or discipline of the Church of England, or which shall, or may tend to be to the scandal of religion or the church, or the government or governors of the church, state, or commonwealth, or of any corporation or any particular person or persons whatsoever. 24  In England, it was not until the 1641 Act that the government required that "copies of a work be deposited at the King's Library and at each of the universities", although the primary reason for the deposit was to prevent fraud. In case of infringement, the copy of record deposited in the Library should serve as a proof of originality. Through researching the memorials of ministers and imperial edicts in Song China, we know how the Song government made efforts to strengthen its rule over the publishing industry.  2 5  After the Song dynasty, all later dynasties enforced their rules governing the  fields of culture and education; Shujin policy, or the policy of forbidden books, became a convention. However, to what extent this policy affected the rights of copyright in Song  Xu Song, "The Fourth Article of Government 1". 13 & 14 Car. II, ch.33, op. cit., by Arlene Bielefield and Lawrence Cheeseman, Technology and Copyright Law, 9. In Song China, all the emperor's edicts belong to the category of shi 5^, one type of law. For a general discussion, see Brian E. McKnight, Law and Order in Sung China, (New York: Cambridge University Press, 1992), 61—66. 1  24  25  48  China is not very clear yet. With the exception of some ministers' memorials and several emperors' edicts, we cannot find any copyright law granted to authors or even to nongovernmental publishers by the Song court which can be compared to the universal copyright as we know it today. Generally speaking, if a commoner requested the printing right of a book published by government offices (such as a medical treatise), its permission and approval to reprint depended on the interests of the Song government. The government did not take the view of protecting the rights of authors or publishers. Even the printing patent granted to the government offices was not the copyright protection of authors' rights; at best, it was only a protection of the publishers' rights. The so called censorship system of the Song dynasty does not belong to the category of copyright law today in the strictest sense; it was only the government's policy in the fields of culture and education. Although Song dynasty's historical records show that the concept of copyright had been introduced, it was only rudimentary at best. Etymological  Dictionary  of Chinese  Characters, for instance, which was thoroughly revised and arranged by X u Xuan, could not obtain property rights from the government. The relevant proclamation indicated the imperial's government power over the whole country, but it ignored the authors' exclusive rights under copyright law. Because intellectuals in imperial China observed the Confucian idea of "Regarding righteousness as being more important than profit ^0",  it was difficult for them to accept the idea of profiting from copyright rights for their  own works. "The idea of copyright and intellectual property protection was non- existent at that time. But the government policy reacted with a copyright protection law unconsciously,  49  which resulted in the embodiment of the first pattern of copyright protection in imperial China."  2 6  The government's decrees required compliance not only by nongovernmental  printers but also by governmental offices. Indirectly, argues K o n g Zhengyi, this model of copyright exclusivity owned by the government,  guanke,  copyright protection of nongovernmental publications.  accelerated the emergence of  2 7  Guo Mengliang, "Zhongguo banquan wenti tanyuan", 32. Kong Zhengyi ?LIE!£, "Shilun gudai tushu de banquan baohu", 77—80.  50  Chapter Four The Conditions of Family-based Printing and Workshop Printing and Their Copyright Protection  Copyright protection for nongovernmental publications was granted 359 years after the emergence o f publication patents for governmental publications, if we regard emperor Tang Wenzong's edict, to command all Circuits and Superior Prefectures not to carve wood blocks for printing calendars without authorization, as the earliest initial form of copyright protection in imperial China. The nongovernmental publishing industry printing  and workshop  printing.  Comparatively  consisted mainly  of family-based  speaking, the  nongovernmental  publishing industry lacked the economic strength and political power o f its governmental counterpart. Extensive materials prove that, in fact, the copyright protection granted to nongovernmental publications was merely an offshoot o f the copyright protection granted to governmental publications. However, in my view, it is the copyright protection granted to nongovernmental publications which helped to shape copyrights in imperial China.  Family-based Printing  During the Song dynasty, not only governmental offices and schools on all levels, but also some landlords, officials and scholars who were wealthy carved many wood blocks and printed books. The books they produced are classified under the categories of "jiakeben" M-M^  ("family editions") and "jiashuben"  ("family school  51  editions"). They were also known as "sike" fA M  ("private printed editions") or  nongovernmental publications. "Family editions" involved to authors or families who printed their ancestors' or their own works by commissioning craftsmen for the carving of the wood blocks, sometimes, paying a bookstore for the actual printing. The purpose of production was to gain fame by circulating their works, or to commemorate and honor their ancestors. Such books were frequently given to others as gifts, and often were sold to recover the owners' publishing costs. "Family school editions" refer to books printed by family-operated schools. The contents o f such books mainly consisted o f the Confucian classics, children primers' materials or the poetry of famous authors of former dynasties. These books were usually used as texts for the students of their own clans, and this kind o f publication was sometimes sold to fund family schools. Numerous books o f privately printed editions produced during the Song dynasty can be found today. Examples are Ouyang wenzhonggong ji  ffi^^CI&^MiCollections  of Ouyang Xiu, in 153 volumes and with an appendix in 5 volumes) printed by Zhou M i (1126-1207) in Ji'an in 1196, Luyou's  M  (1125-1210) Weinan wenji  M'&XM  (Collected Works of Weinan) printed by his son L u ZiroufitjTi®in 1220, Han Y u ' s ^frM (768—824) Changli wenji  IsMX^k  (Collected Works of Han Yu, in 40 volumes) and  L i u Zongyuan's ^JPTKTC (773—819) Hedong xiansheng ji ^^i^c,^LM(Collections  of  Master Liu Zongyuan, in 44 volumes) printed by Liao Yingzhong J p l t P during the c  Xianchun reign period (1265-1274) and the Nine Classics and Sanzhuan E f t (Three  52  Commentaries on the Spring and Autumn Annals) printed by Y u e K e -§rJ5] (1183—1243) who was a famous publisher at that time.  Workshop Printing  Workshop printing refers to the printing industry that was developed by the owners of shufang (book workshops) who printed books for gain. Workshop printing emerged after the invention of wood block technology in the middle of the Tang dynasty. During the Song dynasty, because the government encouraged commoners to print Confucian and Buddhist classics, workshop printing became popular and profitable. During the Song dynasty, the most famous places for workshop printing were L i n ' a n (Hangzhou, the capital of Zhejiang Province), Meishan in Sichuan, Jianyang and Jian'an in Fujian. The famous workshops at that time were Y u Renzhong's  (Ten Thousand Volumes Hall) in Jian'an IlfS; and M r . Chen's W-  Wanjuantang ft Jingjipu  ^{Zi^  £2fSfff  (Confucian Classics Shop) in L i n ' a n llffi^. Y e Dehui recorded in  detail the books printed by these two workshops and other workshops in his Discourses on Chinese Books. Generally speaking, the printers usually had their own workshops and 1  employed a certain number of craftsmen for carving blocks, printing and bookbinding, depending on their workshops' productivity and market demand. Historians of ancient Chinese printing know that the workshop was the main commercial vehicle o f non-governmental printing industry during the Song dynasty.  1  For a discussion of this see Ye,  Discourses on Chinese Books,  volume 2 and volume 3.  53  However, the owners of workshops were not considered important, and little is recorded about them in the historical materials.  The  Conditions  of Copyright  Protection  of Family-based  Printing  and  Workshop  Printing  One of the biggest challenges for researchers of copyright protection in Song China is sorting out the relevant materials from the numerous documents recorded in Chinese historical texts. Pre-Song historical materials and records on copyright protection are rare, but a few more are found for the Song period, such as those concerning the books printed by families and workshops recorded in Y e ' s Discourses  on Chinese Books. These  precious records are the basic sources available to students whose research field is copyright protection in imperial China. I list them below. The first record is Wang Cheng's 3LM Dongdu shilue  ^$MlH& (Brief Records of  the East Capital) printed in the Shaoxi reign period (1190—1194). There is a paiji  J>$iE  (bulletin) attached on the page setting out the table of contents, which states: Published by the home of Clerk Cheng in Meishan [Sichuan Province], registered with the government authorities; reproduction forbidden.  This bulletin has been considered as the first record in imperial China of copyright protection declared by an author or publisher. Feng Cuiyin, a contemporary scholar in the Zaozhuang Teacher's College, argues that it is the earliest document on copyright  2  Ye, Discourses on Chinese Books, Volume.2. 54  protection printed (in the form o f an attachment) in a book in China, and perhaps in the world.  3  The second one is  Zhu M u ' s Scenic Views of the World. There is a declaration  7k |=| (Luhai) issued by Liangzhe zhuanyun si M r f f $f 3 5 ^ (the Tax Transport Bureau in Zhexi and Zhedong Circuits) stating:  According to legal cases submitted by #1 pf Wu Ji, the butler of Grand Mentor Zhu Mu's family: "Several books including Scenic Views of the World, Siliu baoyuan and Shiwen leijn W-^C^M have been printed by our own family; these books were all edited by Passed Scholar [Zhu Mu] himself. They took him many years and much energy to finish, and it cost us vast amounts of money to print them. We are afraid that opportunists in the book markets will reprint the above books; some may change the titles of the books, others may edit them, and rename them with titles such as Yudijisheng J^ilil ^flUik [The Scenery of the World Recorded]. If these books are reprinted without our authorization, not only will our mental and physical efforts have been stolen from us, but also our investments and profits will be lost. Therefore I bid your Excellency to prevent the piracy of these books. I also request that a proclamation be put up in the book workshops in the Qu and Wu Prefectures, declaring that all reproduction of these books is prohibited unless authorized, and that anyone found guilty of violating this regulation shall be punished and their printing equipment destroyed." After acting in accordance with the superiors, this proclamation should be filed with the Zhihui fUff [Commanders]. This proclamation must be hung outside the book workshops in the Qu and Wu Prefectures. If anyone is found guilty of violating this regulation, the prosecutor will investigate him, and destroy his printing equipment. Issued on the twelfth lunar month of the 2nd year of Jiaxi [1238], Hang the proclamation in book workshops in the Qu and Wu Prefectures. This document is signed by Zhuanyun fushi 3 S gij -fig [the Vice Fiscal Commissioner] Zeng H [a surname]. The Tax Transport Bureau in Fujian Circuit also issued the proclamation forbidding the reprinting of the above books to be hung up, but because the content of this proclamation is the same as that mentioned above, it is not repeated.  m  JW$> #%*%m±&&&n.  "fjpjift.  «±fM3)Mw, wm?. m*%fe%>bfi.  ftzt^m. 4-*mt&.ffiw&m,«s-tsTpmj^vik immm.} mux*, a earn*, m^m, mmmv^mis^m,  Feng Cuiyin J^Pfg, "Zhongguo gudai banquan baohu lishi ymjin"^Ba~iX¥&UUtf'ffJ£.'ffM ("The historical development of copyright protection in ancient China"), Tushuguan jianshe ffl^fSHn^S, Vol. 3 (2003): 96—98. 3  55  mmzmm^m, ^kmnnmm, a.  ^mwm^wvm, -mm^, WSZ±M  4  This record has been studied by many contemporary scholars. Wang Yongshun argues that it is the earliest proof o f copyright protection in China, but I do not agree 5  with his point o f view, since we have already examined the proof that the house o f Clerk Cheng had been granted copyright protection at least 44 years before this proclamation appeared. A Lubai of this sort should be categorized as a law of the Song government, as Feng Cuiyin argues, but, in my view, the proclamation issued by the local government 6  offices also indicates that copyright protection in Song China never extended beyond local or regional boundaries. This proclamation adumbrates modern copyright law, for there were concerns then, as now, in the areas o f the ownership o f copyright, the subject o f copyright, the reasons why books should be granted copyright protection, and penalties inflicted by law in cases of violation. Therefore I think that, although the majority o f scholars believes that the Statute o f Queen Anne was the first law to secure the rights o f an author, I have no doubt that the author's exclusive rights to publish his books had already been acknowledged by the Song government in 1238, as seen in the declaration attached to Scenic Views of the World.  Ye, Discourses on Chinese Books, Volume. 2. Wang Yongshun ZEzKjlljS, "Zhongguo zuizao de banquan baohu wenjian" 4' |5lft-¥-WliSfeffit^^Cft ("The earliest document of copyright protection in China"), Wenshi zazhi ~Sdi4klt-, Vol.2 (2002): 19. Feng Cuiyin, "Zhongguo gudai banquan baohu lishi yanjin", 96—98.  4  5  6  56  The third record is Duan Changwu's (Collected Commentaries  SiS  Conggui maoshi jijie  Ik&^WI^kM  on M a o ' s Book of Songs). In its title page, there is a gongju A y  Wi (proclamation) issued by the Directorate of Education o f the Song government, stating: According to the plaint submitted by Digonglang i& Jill SB [Gentleman for Meritorious Achievement] Duan Weiqing f£ yff, who is the assistant County Magistrate of Huichang in New Ganzhou 1$jkf\\ Prefecture: 'My venerable uncle Changwu was a Chaofeng I I $ [Grand Master for Court Service]. He had title of champion twice in the autumn imperial examinations on the Book of Songs held in the capital of Jiangxi Province. He was promoted eventually to the post of Chunguan #11' [Spring Officer, one of five seasonal offices for specialists in the Astrological Service]. All the scholars considered him a great master [of great learning and integrity]. Luo Ying who lived in Angshan CpiJj, had dispatched his son and nephew here to study [under the guidance of my uncle]. My venerable uncle taught them Mao's Book of Songs, by oral and written methods. Eventually he finished writing this book. This book is based on Donglai's MM [i.e., Lu Benzhong § ^ 4 " , 1084—1145] ShijiWZZ [Records of the Book of Songs], refers to \%M Huian's [i.e., 1130—1200] Shizhuan i^f-ft? [Commentaries on the Book of Songs] and the works written by the various Confucian scholars of modern times—in which all the words or characters [if they need to be elaborated] were generally written down under the name of Conggui maoshi jiji. Only master Luo attained reliable texts which had been accurately proofread. And now his nephew, Luo Yue, has carved the wood blocks and wants to circulate it widely. I think that my venerable uncle worked very hard and devoted almost all his life to this book; if other workshops reprint it for profits without our authorization, they probably would alter the beginning and the end and add or delete some contents of the book. Their behavior will not only let down Passed Scholar Luo's original intention of printing this book but also stain my venerable uncle's reputation, as a Mingjing ^[Classicist, one of several degrees awarded to men nominated by local authorities to participate in the regular civil service recruitment examination system]." Now issue the proclamation according to the plaint; petition for putting it on the record and thereby restrain piracy in the Circuits of Liangzhe W#Jf and Fujian Simultaneously, grant a license to Luo Yue for printing the book. We do not dare make arbitrary decisions; we wait for the supervisor's approval. If the proclamation is approved, please return it to the Directorate of Education. We have applied to the Yunsi i s wj [abbreviation for Fiscal Commission] in Zhexi, Zhedong and Fujian Circuits to administer the bookshops under their jurisdiction. If anyone is found guilty of violating this regulation, we authorize the prosecutor who holds the license to bring a case to the court. The pirater's printing equipment shall be destroyed and the pirater shall be sentenced. Grant Passed Scholar Luo Yue the license for printing the book Conggui maoshi jijie. Issued on the seventh lunar month of the eighth year of Chunyou reign period [1249).  T ^ * ^ - , Mm i%&an amnm, m&i&n. *z&m m&}. #w« m mm . imi&m^m, -ts— t, mi%w, mu^m, %B i&m^w  57  g^-. « ^ £ i § . mm^m, wfttomxwm^ft,  ^B^ffiw,  w*mmn&\mm  m^m^m%zx,  This proclamation included both the transfer o f copyright and the inheritance o f ownership. Furthermore, from the above material we learn that copyright protection at that time protected not only an author's economic but also his moral rights. That copyright protection included not only economic rights but also moral rights suggests that copyright protection was relatively progressive in Song China. In imperial China, as we have mentioned in chapter one, books printed by individuals were usually proofread by themselves or by other editors; proofreading is the result o f a scholars' intellectual labor, and the edited book should be acknowledged as the editor's creation. From the material above, we learn that such creation was protected. After the Song dynasty, more documents on copyright protection granted to nongovernmental publications become available. It was relatively common for authors and owners o f bookshops to apply to the government for copyright protection for their books. Y e Dehui indicates in Volume 2 of Discourses on Chinese Books that: Once this trend was established, carving blocks for printing books by the sishu [old-style private schools] has since the Yuan dynasty become a statute.  itbjxi-Tf,  Ttfkmi&M^.  mm^rmm*  Although copyright protection after the Song dynasty is not the subject o f this thesis, a general comprehension o f it will benefit our understanding o f the history o f copyright protection in imperial China.  7  8  Ye, Discourses Ibid.  on Chinese Books,  Volume  2.  58  According to Y e ' s Discourses on Chinese Books, there is a notice attached to Huang Gongshao's Jit^HS (from Zhaowu, Fujian Province, a state-level scholar in 1265) Gujin yunhui juyao r ^ r ^ & t l ' s ^ J c (Main Factors of Rhyme in Ancient and Modern Times, in 30 volumes) published by Chen Shi  during the Yuan dynasty (1206—1368), which  states: Previously I was entrusted by my venerable tutor Huang Zaixuan $E f f [Huang Gongshao's literary name], who was a Jiage 55 [Archivist], to print Main Factors of Rhyme in Ancient and Modern Times. This book establishes clear rules about the writing, pronunciation and meaning of characters in ancient and modern times which includes 30 chapters. It is considered to. be a truly rare treasure of the last centuries. It has been proofread three times, and there are no errors. And now it has been carved into blocks for printing. I hope it will be shared with all the scholars under heaven. But it is an individual work written by my venerable tutor himself; moreover, it differs greatly from the existing books printed in the book markets. I am afraid some people who only pursue their own profits will change its name and extract or delete its contents for reprinting. Even if a little error appeals, it will affect scholars in a negative way. I have applied to the government to prohibit piracy; the gentlemen who collect this book should also be aware of these conditions.  jmt±s,  m-^^mxmzm-^o m&mm,  ^mm, am-i^ffo  =mm,  n%m^, B^XT  ^mmm^^mm^,  We can list a series o f similar examples o f copyright protection granted to nongovernmental publications after the Yuan dynasty. For instance, there is a notice in W i If] Cao Shiheng's (a Taoist o f the M i n g dynasty) Daoyuan yiqiM.%^^%, a wood block edition from the Chongzhen reign period (1628—1644) which says: If there is an ignorant man who would copy and reprint it without my authorization, I vow to appeal to the officials by legal means and resolve this case.  ibid. Cao Shiheng Library of China.  9  10  Daoyuan yiqiMyG— %, printed in 1634, copy in the collection of the National /  59  The second example is ^  L i Ruzhen's (ca. 1763  1830) Jinghua yuan  (Flowers in the Mirror), which was published in 1821. There is a notice attached to the  book which states: Recently printed during the reign period of Daoguang [1821—1850], anyone found guilty of reprinting shall be punished.  However, what role did such copyright  protection  play under the  imperial  government? A n d what impact did it have on publishing in China? The answers to these questions are not clear yet. The contemporary scholar Zheng Chertgsi argues that the range of protection rights for publishing included not only books printed by the governmental publishing industry, but also books printed by commoners, and that these rights are very similar to the provisions of civil law and the interpretations of copyright law today.  12  Under imperial China's government, ideal conditions for the emergence of a nationwide copyright statute never existed. A s we have seen, protection of copyright existed in the form of declarations of prohibition issued by the government; this form did not change until the late Qing dynasty, circa 1903, when the Guangxu emperor (1875—1909) issued an edict protecting the exclusive right of printing, the Jiutong fenlei zongzhuan TL ffl^^t<&3!.  International treaties between C h i n a and other countries during the  Q i n g dynasty also provided for copyright protection. Nevertheless, no  formal  " Li Ruzhen 2^$ci^, Jinghua yuan f a ^ t i ^ (Flowers in the Mirror), printed in 1821, copy in the collection of the National Library of China. Zheng Chengsi 5$/SS, Banquan fa (Copyright Law), (Beijing: Renmin daxue chubanshe A K A^'tHlKtt, 1990), 1—27. 12  60  copyright law was adopted until the beginning o f the last century.  13  This uncertain  condition changed in 1910, when the first copyright law in Chinese history,  The  Copyright Law of the Qing Dynasty, was issued, indicating that the age of no written law of copyright protection in imperial China had come to an end.  see  [2004-07-07]  http://\\ww.isinolaw.conv'jsp/ip/copyright/CP_evolution.jsp?LarigID=0 61  Chapter Five The Characters of Copyright Protection in Song China The phenomena of copyright protection which appeared in Song China already displayed certain similarities to contemporary copyright law. The copyright notices, copyright ownership, copyright transfer and licenses, for instance, were very similar to modern copyright law; however, the elements of duration of copyright and transnational considerations were still absent in that era.  Copyright Notices  The elements of required copyright notice in the Universal Copyright Convention of 1952 (UCC) are ordinarily three: (1) a signal of a copyright claim; (2) the year when the work was first published; and (3) the name of the owner of copyright. The paiji  attached to Brief Records of the East Capital  1  ("published by Cheng  Sheren's family in Meishan, registered with the government authorities; reproduction forbidden."), claims registry with the government authorities, that reproduction of the book is forbidden and that the name of the owner of the rights of copyright is Cheng Sheren's family, and it is clearly a copyright notice of the sort we find today. Other example, such as the Luba attached to Zhu Mu's Scenic Views of the World, or the gongju AWi issued by the Directorate of Education found attached to Conggui maoshi jijie were  y  1  Donald F. Johnston, Copyright Handbook, (New York & London: P.R. Bowker Company, 1982), 68.  62  also clear notices, of the period. A l l meet the requirements of 1952 ( U C C ) , and thus we can say that the copyright notices of Song China were very similar to those in use today.  Copyright Ownership, Transfer and  Licenses  From such materials as Scenic Views of the World, Brief Records of the East Capital, and Conggui maoshi jijie, we also learn that copyright protection during the Song dynasty was already concerned with copyright ownership, transfer, and licenses. According to the 1976 Copyright Act's standards of U.S., the author of an original work of authorship is the initial owner of the copyright of the work and thus starts out as the owner of the exclusive right of copyright. A s in the examples we listed in chapter 4, 2  Cheng Shenren's family, Zhumu and Duan Changwu were undoubtedly the initial owners of the copyright of their work and had been granted the exclusive rights of copyright. The first legal attribution of private copyright ownership was, thus, established in the Song dynasty. The initial owner of a copyright may transfer all of the rights, or some of them, or parts of some of them to others.  3  We are told that the initial owner of the copyright of  the book Conggui maoshi jijie was Duan Changwu. After he died, the right was inherited by his nephew Duan Weiqing as a family property, and since Passed Scholar L u o was once a pupil who studied under the instruction of Duan Changwu, he was granted the copyright to print by the permission of the transferee Duan Weiqing. It was Duan  2 3  Ibid., 52. Ibid., 56.  63  Weiqing who applied to the government to issue a license to Passed Scholar L u o to publish his uncle's book. The applicants for copyright protection were usually individuals who applied on their own or as inheritors of property. The application was often limited to only one book, and a copyright protection was never granted to joint works or works made on hire. For example, X u Xuan and his colleagues were not granted the rights of copyright for their final version of Etymological Dictionary of Chinese Characters. Until the Guangxu reign period in the late Qing dynasty, no group of partners had ever applied for a publication's copyright protection from the government. Among extant Song editions existing today, there are no further clearly authorized ownerships of copyright protection except for those listed in chapter 4. The acquisition of copyright ownership was at best in an embryonic stage during that period. In fact, in Song or even later ages in imperial China, the initial ownership of copyright, or the transfer of ownership of rights of a book was mainly embodied in the person who held the ownership of the book's blocks. Anyone who held the blocks of a book was provided with the basic right and the fundamental conditions to produce the book. When a copyright violation occurred, the owner of the book usually requested the pirate's blocks to be destroyed. Therefore, the book block acted as the license; the owner of the blocks could reprint books as he liked. This is the distinctive characteristic of copyright protection in imperial China. Because copyright protection was at an early stage in Song China, other copyright issues such as copyright duration and transnational considerations, the standard practices we know today, had not been dealt with yet.  64  Copyright Duration  Today's copyright law in the U.S. establishes that the duration of copyright protection is 50 years after the author's death—the life-plus-50 rule—which is a fairly standard duration period under the laws of many other countries.  Current Chinese  4  copyright law also uses this standard of duration. However, in the Song dynasty, copyright duration was still inconsistedly enforced. According to the research of X u Feng f^W,  a contemporary Chinese scholar, in the  year 1266, twenty-eight years after Scenic Views of the World, Siliu hanyuan and Shiwen leiju were first printed, the notices that the books had been granted copyrights and that reproductions were forbidden, appeared in editions of the books again.  5  Although the copyright of the second edition of Scenic Views of the World was still in effect, we cannot say that the owners of copyright in Song China knew about the application of duration of copyright protection; clearly, the extent of protection was an unresolved problem yet. Nine Classics, which was first printed in the third year of Changxing (932), had been granted a patent for the governmental offices for printing until the X i n i n g reign period (1068—1077). The duration granted by the government was more than 100 years, perhaps due to the fact that the owner of the rights of copyright protection was the government itself.  Transnational Considerations Ibid., 30—31. See Wang Yongshun, "Zhongguo zuizao de banquan baohu wenjian", 19. See also Xu Feng "Lun songdai banquan yishi de xingcheng he tezheng" i^^i'U&^RMi^^M^^'Wif. ("Research on the emergence and characteristics of copyright consciousness in Song China"), Nanjing daxue xuebao PrfM ~X ^ ' S , Vol. 3 (1999): 151—156.  4  5  65  According to the copyright law of today, a book which is granted copyright protection within a particular country may not have protection in another one, unless that country has copyright treaty relations with the original one.  6  Due to difficulties in  communication and transportation or the policies of different countries, copyright protection in Song China was hardly concerned with the subject of transnationalism. However, through researching Shen K u o ' Writter Conversations from the Dream Stream, we can find a piece of relevant information dealing with trans-border rights: Xing Jun ffi'j, a monk in Youzhou, collected all the words in Buddhist scriptures for the sake of phonology and exegesis, giving [his book] the name Longkan shoujing [160,000 words in 4 volumes]. The Liao monk Zhi Guang ^ajfc wrote the preface to it, in which there were many arguments regarding diction. It was printed in the second year of Chongxi [1033], The law of forbidding books being transmitted from the Qidan [the former name of the Liao dynasty] is very strict; if anyone brings a book to China [here refering to the Song], he will be sentenced to death according to the law of the Qidan. During the years of Xining [1068—1077], someone had taken Longkan shoujing from the Liao and thereafter it was rediscovered, in the home of Fu Qin iffi-iX. At that time Pu Chuanzheng iffif/flE, the commander in Zhexi Circuit, took it and carved it into blocks and printed it. The preface was written in the fifth lunar month, the second year of Chongxi according to the old Liao version, which was deleted by Pu. The order of its phonological treatment was in accordance with proper standards; later generations would hardly recognize the author as a person from Liao.  Zrf, swini^= mn&m-^iox) M. mnvm^r, # A 4 > I I # & ^ E gsf(io68—io77) m\&%^nz, xmxzw., m^iEwmn, EUJA^R. JCJT-* IH-Z-: «mk-ttBB , m&m-*z. **a&. J B I H : » * I » * * 0  n  Longkan shoujing, which the Liao M o n k X i n Jun wrote, was printed in 1033. Although the Liao government strictly forbade books to be exported to the Song government territory, Pu Chuanzheng successfully took Longkan shoujing and carved it into blocks for printing during the years of the late Yuanfeng and early Yuanyou reign periods. This book belonged to the category of government editions. It was not until the  6 7  Donald F. Johnston, Copyright Handbook, 115—124. Shen Kuo, Writter Conversations from the Dream Stream, volume 15, 513.  66  early years of the southern Song dynasty that Longkan shoujian was reprinted based on the edition of Pu Chuanzheng in Hangzhou. N o w only one volume is extant in the Beijing Library. The above example illustrates how the government in the Song dynasty did not enforce trans-border copyrights. The people of the Song China, however, could freely reproduce any material originating from outside its boundaries. This implies that the Song people did not consider the regional characteristics of copyright law.  67  Epilogue This paper has discussed copyright protection in Song China in four sections. The first part has considered the legacy of copyright protection before the Song dynasty; the second studies the contributing factors which brought about the emergence of copyright protection during the Song dynasty; the third section gives an account of the true story behind copyright protection of the age, and the fourth part provides an overall evaluation of the historical status of copyright in Song China. In the first section, I have shown that the phenomenon of authors' signing their own names to their works indicates the rise of the authors' ownership of literary rights. B y studying how the ancient authors obtained remuneration for their works, I have shown that, under the influence of the Confucian ideal of "Regarding righteousness higher than self profit," authors could not accept the concept of profiting from copyrights on their own works at that time.  Ancient Chinese scholars' editing activities should be  categorized as intellectual labor and their secondary creation, but, we could not find any copyright law or decree which protected editors' activities and achievements until the Song dynasty, and this may be interpreted as the absence of authors' desire to attain copyrights at that time. I have also given some attention to book production and the emergence of book markets before the Song dynasty. The evidence recorded in historical materials available today indicates that it remains unclear whether any laws or regulations governing the copyists' activities at the time existed, unlike what had taken place in Europe during the Middle Ages. We are surprised that the emergence of book markets did not accelerate the creation of copyright protection before the Song period, which strongly  68  supports the view that copyright protection in Song China emerged against a solid background of economics, politics and culture. In the second section on why copyright protection appeared in Song China, I have demonstrated that the reasons rest not only in the technology of printing and paper making, but in the flourishing bookshops and the widespread piracy of the age.  The  unprecedented development which took place in Song society was not only manifested in its economy, politics, culture and technology but also in the creation and in the practice of a legal system which attained a greater complexity than earlier Chinese empires.  1  Therefore I concluded that the emergence of copyright protection is an inevitable achievement of the Song legal system. In chapters 3 and 4, I analyzed the conditions of the publishing industry during the Song dynasty and its copyright protection. Owing to the complicated conditions of the publishing industry, the copyright  protection of Song China was not systematic.  Therefore I divided the industry into two categories: the governmental  publishing  industry and the nongovernmental industry (mainly made up of family-based printing and workshop printing). This classification helps me to understand the wide scope of copyright protection among the Song government's numerous policies and laws more accurately. I have found that the policies and laws which the Song government carried out concerning publication may be summarized as follows. First of all, it forbade the nongovernmental printing industry from reprinting books which had been previously granted governmental printing patents, and governmental offices monopolized the  Yang Weisheng WM'i. and Ji Shengqing ~^$tWi etc., Liangsong wenhuashi yanjiu '^^.%VckM% (Research on the History of Song Culture), (Hangzhou: Hangzhou daxue chubanshe ^jijil A ^ t H f i S t t , 1998), 287—341. 1  69  exclusive rights to print certain kinds o f books. Second, the laws also strictly banned the production and dissemination o f books which might defy the rules of the government. Third, the protection granted by the government for nongovernmental publications was similar to the protection provided today. The former two categories were more the results of the Song government's strict policies regarding publication; limiting reproduction o f works had little to do with the government's intentions in enacting the copyright law, but was more likely a form o f governmental policy of control in the fields of culture and education. However, we cannot be sure that the copyright protection of nongovernmental publications was the result of the Song government's interest in controlling the nongovernmental publishing industry. In the last section, I have shown that the phenomena of copyright protection which appeared in Song China had characteristics similar to what we find in contemporary copyright law. Copyright notices, copyright ownership, copyright transfer and licenses, for instance, were present at the time; however, the elements o f copyright duration and transnational considerations were still absent in that era. This is very important for us in evaluating the status o f the Song dynasty in the history o f copyright protection in imperial China. According to the research o f Poon Ming-sun, copyright protection cases "were the exception rather than the rule. Monopolies for the printing of books were rare and, as a rule, not granted by the Sung government except in special cases. Many books, furthermore, were reprints of classics and older works to which no one could claim copyright."  2  In my view, some copyright protection had taken place in Song China and  even achieved a high degree of complexity; but these cases occurred under special circumstances, and were not the common practice of the Song China. 2  Poon Ming-sun, "The Printer's Colophon in Sung China", Library Quarterly 43:1(1973), 39—52.  70  Every national copyright law which is enacted attempts to maintain a balance between providing protection for authors against unauthorised publication for a limited period and maximizing the public good. Protecting the author's copyright w i l l encourage and promote learning and progress; however, if only the author's rights are taken into consideration, the dissemination of learning in a society w i l l be hampered. 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