Content

Distinguished Voices, She Leads

Conversation with Ms. Maxine Marcus

* This transcript was edited and condensed for a better reading experience. Click the subtitles below to watch the thorough and compassionate discussion between Ms. Marcus and ILJ member Mazelle Etessami.

Ms. Maxine Marcus is the 2018 recipient of the Prominent Women in International Law Award by ASIL. Ms. Marcus is an international criminal prosecutor and investigator who has worked for over twenty years in the international criminal law field. She served for nine years as a prosecuting attorney at the International Criminal Tribunal for the Former Yugoslavia (ICTY). Before that, she worked as an investigating attorney for the Special Court for Sierra Leone. Ms. Marcus is also the co-founder of Partners in Justice International (PJI), a mission that endeavors to strengthen justice processes for victims and survivors of atrocity crimes in their national jurisdictions.

[hr gap=”15″]

PART I, Distinguished Career in International Criminal Law: “Victims and survivors are the main purpose for prosecution.”

Could you start off by telling us a little bit about yourself? How did your background and early experiences inform your choice to pursue a career in international criminal law?

When I finished University, there was no such thing as a field of international criminal law practice. There was a human rights field, but essentially, I only knew that I wanted to help people. And I knew I wanted to leave the United States—so I wanted to help people somewhere internationally.

I started following a path that ultimately led me to be in Hungary. When the Bosnian War started and I was in Hungary, I thought I’d gone to the wrong place. I needed to go to Bosnia. But a lot of the refugees started coming into Hungry and I started working with the refugees there. I received some funding for a very little project in a refugee camp on the border between Hungary and Croatia. It was really through running that small project, which was for the teenage girls and the women in the refugee camp, that I was able to say that I don’t want to do humanitarian assistance work, such as providing food and blankets and medical care. I am more interested in policy work or human rights type work.

After I handed over that project to my successor, I did a Master’s degree of international affairs in international human rights at Columbia. I still saw no need to go to law school because I couldn’t prosecute more criminals, so why should I go to law school? I squeezed the two-year Master’s degree into one because I just felt like to get back to the field.

Then I went to Bosnia and started with Human Rights Watch, immediately post war. Therefore, the human rights documentation work that we were doing was actually war crimes investigation, which at the time was not a field of study, nor was it anything that you could take a course in. So, we did the best that we could at the time. That is why I have, and will always have enormous respect for Human Rights Watch. Even in those early days, now when I look back, the investigations were carried out with a very high standard, which we now hold up as an example, when we teach people how to do international crimes investigations.

It was during those few years in Bosnia that the ICTY and ICTR got set up. Then all of a sudden it was like, “oh, I gotta go to law school because I have to prosecute war criminals.” So I went back to school as one of the older students in Brooklyn Law School. I had a very clear goal of going to law school and I focused solely on that goal. I did some field work in Chechnya and in Kosovo in my breaks between years in law school, and then immediately went back to the field after I finished.

Essentially, I started in the human rights field and I have grown my career in international criminal law as the field has grown itself. I have been in it since its inception. I feel so fortunate to have that perspective and to have been working with all the amazing people in the organizations that I’ve been able to work with over this period of time.

Throughout your career, you have conducted field work extensively in multiple geographic areas: Chad, Guinea, Guatemala, Kosovo, and many others. How would you say your field-based experience shapes your decisions and strategies in the courtroom itself? And how does your experience in trial influence your work in the field?

I think that all my experience in the field was directly impacted by how I carried out my work as a prosecutor in the courtroom. I wouldn’t do it any other way. I would let you know that doing the field work is a critical part if you want to practice international law. But I won’t say it was easy. The field of practice of international criminal law, at least at the international level—meaning international tribunals or hybrid tribunals level—is heavily populated by national practitioners, who come there with a lot of courtroom practice experience at the national level. I didn’t have any. I was born in the United States. I am a U.S./German dual citizen. I never worked in the United States. I have only practiced international criminal law. Therefore, I had a different profile than my colleagues did. I learned so much from them; and I hope that I also brought something unique from the field perspective.

However, the only way for me to do this kind of prosecution is for the benefit of and in service to the victims and survivors. Victims and survivors are always at the heart of the main purpose for prosecuting these cases. The fact that I have spent so much time in the field sharing experiences directly with the affected community has given me greater confidence in striving to serve them and bring them justice. It has definitely enriched my life. It has enriched my trial practice. Now it is basically a core part of the work that I am doing with my co-founder, Kathy Roberts, of PJI. This is a core principle upon which we operate. Everything that we do is in service of the affected community of victims and survivors.

What are some of the biggest challenges or trends that you see in the development of international criminal law? How have those trends and challenges influenced your career? 

Nobody was being held accountable for war crimes, between Nuremberg and when the ICTY and the International Criminal Tribunal for Rwanda (ICTR) were started. There was no trial, no accountability, and no forum to bring a case. We had very amazing human rights litigations being done by our colleagues, but there was nobody being held criminally responsible for these crimes. The mere fact that accountability became a thing, that it is taken for granted that people will be prosecuted for war crimes and crimes against humanity and genocide, is an absolutely amazing development. I think the international community is the one that got behind that effort. The international system worked to put in place a mechanism for accountability and then another and then another, ultimately leading to the establishment of the International Criminal Court (ICC). The ICC was like a pipe dream when it was being discussed in the early days. The idea that there should be a permanent sitting international court, that would hold people accountable if their country was unwilling or unable to do so, was nothing short of a miracle at the time. I have to say that in my career lifetime, there have been enormous strides and there has been way more accountability than I think any of us imagined could be possible. That’s the good part.

I think the challenging part in terms of accountability is that the responsibility at the state level is still in its very early stages. Whereas you do have some locations that stand out in terms of national prosecutions of international crimes in national courts, it has not kept up at the national level with the scale of advancement at the international level. Some of that is political; some of that is about resources; but some is just about access and where the effort is made to build capacity.

That is why with PJI we are focusing on building the capacity of national practitioners in national jurisdictions. International Justice, though incredibly powerful, serves a very small fraction of the affected communities, even at its best. I am an enormous fan of internationalized justice; however, even when a case goes forward and even you have victim participation, only a limited community of victims will be brought justice and only a limited number of perpetrators will be facing trial. So, the bulk of that kind of justice has to happen at home. That is, I think, where so much work needs to be done. We are trying to take a fraction of it, but it has to be a global effort. I have come kind of full circle working in the field and national jurisdictions then litigating at the international level. Now we are bringing those experiences to our colleagues, our peer prosecutors, investigators, and victim lawyers who are trying to litigate these cases in their own national courts. It is an absolutely incredible experience.

 

PART II, Work for Women, with Women, as Women: “It is hard to decide between tackling the misogyny and practicing international law.”

A lot of your work involves investigating and prosecuting sexual and gender-based crimes. Could you give us a little bit of a background and briefly explain the differences between sexual violence and gender-based crimes for those who don’t know? What are the challenges that arise from fighting against gender-based crimes specifically as a woman?

Very briefly—gender defines roles that are socially constructed and it is essentially a fiction, but a lot of people suffer persecution on the basis of gender. Gender-based crimes can be much broader than the sorts of gender-based sexual violence crimes that we are focusing on as international crime prosecutors and investigators, so I am not an expert on gender-based violence in the broad sense. What I do have an expertise in is conflict-related sexual and gender-based violence, meaning atrocities that have some kind of a sexual component to them.

And it is complicated. It has been really interesting to watch the development of this. The reason why I got into it, I think, is because when we were documenting international crimes in Bosnia with Human Rights Watch immediately after the war—literally, I arrived there two months after the war ended. There was no way to avoid being exposed to the severity of the sexual violence crimes that were committed. If you were going to communities and displaced persons’ camps and speaking with victims and survivors, you were going to face sexual violence crimes. There was one victim in particular who really affected me deeply. That was probably the one who brought my attention. I would never quantify and compare severity of harm; but the way in which she had emerged from those experiences was somehow different to me. It grabbed me for quite a while and from then on, it was very much on my radar.

That was the late 1990s, where the tribunals were just getting up and started. In that time, gender justice advocates, of which I am the second generation, were pushing for sexual violence crimes to be recognized as standalone crimes, not to be subsumed under something else, in order to acknowledge the extreme and unique nature of the impact on victims that sexual violence causes. Not because they were quantitatively different, but because they were qualitatively different. The survivors deserved justice that was tailored to the nature of the harms that they had experienced. They deserved for it to be called rape, if that was what they experienced and that was what they wanted it to be called—not just to be called torture. It was incredible to be a part of that process.

The core challenge of our lifetime is to bring survivors into the courtroom and to be able to have the trial process be an empowering experience, rather than a re-traumatizing one. How do we bring justice that is respectful and tailored to the particular needs of the survivor, but make sure that the survivor is not sacrificed to the process? That is a big challenge because the legal system and the courtroom trial are not compassionate and supportive environments, even in the best of circumstances. It is not designed that way. How do we bring in that respect, while also abiding by all of the principles of due process and the rights of the accused that are pivotal to any effective justice system?

We did that, and a couple of things ended up happening that we are now focused on overcoming. For one thing, in treating the harm of sexual violence as something unique or different, we also kind of suggest that it is either not as bad or not as likely or foreseeable as non-sexual crimes. In some of the jurisprudence, there would be the idea that it was foreseeable that this militia group would kill and torture non-sexually and loot and pillage, but it was not foreseeable that they would also rape. One thing that has become clear, I think, is that we had not changed the fundamental belief system and mythology that underlies all of these decisions. We had not really changed the entrenched misogyny that underlies the persecution of vulnerable groups—survivors of sexual violence, male or female—and that pervades everything including the courts, and the practice of law. We have our work cut out for us.

At this point, knowing what I know now, I would certainly still try to bring standalone charges of sexual violence, but I would also, with complete deference to the victim’s choice, recommend charging non-sexual violence crimes—charging rape as an act of torture as well—to make it clear that it is just as grave and just as serious as torture and other forms of cruel treatment. This should not be something that we have to prove, but the reality is that we still have to prove that. One of the challenges that the prosecution still face is how to bring justice that serves the victims, but also to advance the law and to build a greater understanding of the fact that sexual violence does not need and does not have a different evidentiary standard. The survivors of rape are no less credible than survivors of non-sexual torture, simply because they are women, are elderly, come from indigenous communities, and do not speak the language that is spoken in the capital. There is an enormous amount of underlying discrimination. The discrimination impacts on how prosecutors decide to bring cases, because if the witness is going to be assumed to be not credible, what is the prosecutor going to do? Charges of sexual violence usually do not have medical documentation, because the crimes happened a while ago, the country was at war, and there was no doctor or rape kit available. For instance, in the Special Court for Sierra Leone all of our cases, with the exception of the Taylor case, were primarily based on witness testimony. That requires the court to find the witnesses credible, which in turn requires the court to actually think as highly of a rural elderly female indigenous woman as they do of a younger male from the city. There is no legal standard that requires a different level of scrutiny, but that is the reality of what we face in the courtroom. Those are the challenges that are not unique for a woman prosecutor.

As a woman, it has gotten a bit better as I have gotten older. I think any hardcore profession is still harder as a woman in many ways, and we still have to make choices that certainly our white male counterparts don’t ever even notice. If you want to move forward in a career in international law as a woman, you have to decide whether you are going to tackle the sexism and misogyny that is going to come at you, or whether you are going to practice international law. It is really hard to do both. I am sure a lot of my enormously respected peers will disagree and maybe some of them have managed to take on both. I know that I have not managed to and I have great admiration for those who have.

It is still extremely difficult to work in the international criminal legal field as a woman. At the time when I was a trial attorney at the ICTY, I was the only female prosecutor at that level with small children. The system, at least the ICTY system, which I think is heavily modeled on the American common law system, is not set up for you to be doing anything else except that round-the-clock. I do not think it needs to be that way, even respecting the rights of the accused to a speedy trial. And it is particularly difficult to investigate in the field as a woman in conflict zones or post conflict zones, which entails unique risks. There are certain realities that we have to face. I hope the choices get easier.

Are there any advantages that come with being a woman?

One part of the advantage, I hope, is that those female survivors of sexual violence crimes or of any atrocity crimes may feel a comfort in connecting to another woman. I don’t think that it is necessarily the case. It is not my view that it has to be a woman who investigates or even interviews survivors of sexual violence. But I do think that there is a comfort to the victim that I have experienced many times, which is a beautiful thing.

Another part of the advantage is perhaps the diversity of thought that we may bring to the law, which was originally developed by men, but could use a more diverse interpretation or type of practice. For example, by working with women victim organizations that are run by women, we are able to share ideas and develop creative strategies for witness protection in a way that is possible only if you understand the community that women are living in and how that operates. I hope that over time the more women that participate in this, the more the law is going to be more of a home for women practitioners as well. I am sure that some of my women colleagues and peers find it already to be so, but I also know for a fact that many of them don’t.

Honestly, it is hard to conclude that way. I have been taught and mentored by incredible male professionals who modeled for me that “if you’re doing your job right, you’re doing your job right.” And if you are empowering the survivors and focusing on justice for the survivors and the victims, it really does not matter who you are or where you come from. I cannot say and would never say that men cannot do it. I would say that there are some distinct advantages. I think that being a woman and dealing with victims of sexual violence has a bit of an ease to it that a man might not have.

What would you say the most important lessons you have learned from the women that you have worked with for helping survivors of sexual violence, local lawyers, people on the ground?

For victims and survivors, what I learned is that most of the assumptions that are made about them are just wrong. They don’t need someone to decide for them about whether or not they might want to testify or might be upset. They don’t need somebody to disempower them again. They know very well what they want and they know very well how to decide that. They have a right to have the information brought to them, and they will make the decision. It is important to not re-traumatize the victims; however, this idea that we cannot investigate sexual violence crimes because we don’t want to re-traumatize the victims has somehow become an excuse to not investigate those crimes or include those crimes in cases. It is still viewed as a separate subject that needs a specialist, a special kind of prosecutor, a special court, and special everything. Actually, this notion has contributed to taking away the agency of the survivors and separating them out and blocking their access to justice, more than it has to include them.

Therefore, I have learned that survivors want to participate in the justice process. They want to face their perpetrator if they can—we are very often dealing with a superior of the direct perpetrator. There is such a hunger for justice at the national level that if victims are engaged in the process from the moment that the investigation starts and if they are consulted as integral part of the process throughout, they will have an empowering process even if the ultimate result of the trial goes wrong or does not go the way they want. In the genocide case against the former president of Guatemala, Ríos Montt, he was convicted at trial and on appeal, but the conviction was overturned by the Constitutional Court on a procedural ground. But the survivors who went through that trial—who are elderly after waiting 30 years for justice—celebrate every year on the day of the conviction, which was overturned. They have a celebration not because they did not want him to be convicted, but because that was not the only point. Their story has been told. They have had their day in court. There is documentation of the atrocities. If it was not that guy, there has been and will be other guys being convicted. People want justice, but they also want to be engaged as part of the process.

That is a core part of the practice that we are sharing with the investigators, prosecutors, and victim lawyers that Kathy and I are working with through PJI. They asked us to help them on their cases because they have never prosecuted international crimes cases before. The piece of integration and ownership by the victim community and building that relationship from the beginning so that victims feel involved and consulted in the process—that is something we bring as a core part of our partnering and mentoring local lawyers. That is not only the main way to bring justice to those whom we serve, but also the best way to present a strong case. If you know your victims and your victims are engaged, your case is going to be spot-on and true to what happened. It is going to be compelling because crimes are awfully compelling.

 

PART III, Reflecting and Looking Forward: “My heroine is my mother.”

As an international criminal lawyer who is confronted with some of the most atrocious aspects of human behavior, how do you manage to keep faith in the world, in the future and in international law? Do you have a legal hero or heroine that you look up to, or some guiding force that gets you through?

The thing is that, if all of these survivors can come forward, share with us what has happened to them, repeat it again and again and again, and come out feeling that justice has been served in some way, then how can I let that get me down? In fact, if you look at the atrocities, you will also hear stories of humanity and courage and bravery and rescuers. I don’t have that view in a naive or flippant way. I believe that because I have seen that in every context where I have investigated or prosecuted or supported local prosecutors. I have seen that there are the most powerful stories of humanity that come out of those terrible crimes. If the survivors can hold on to those stories, we also must hold on to those stories. That is what keeps me going. That is what I told my children. There are awful things that happened in the world, but they are dramatically overtaken by the good in the world. I really do believe that and that comes from my mother, my heroine. She was a teenager during WWII. She went through all the concentration camps, including Auschwitz and she survived. She came out of that as an optimist, believing the good of humanity, which sounds crazy, but I know that it is true to who she is. She is the kind of motivation for what I do.

What advice would you have for young women considering a career in international criminal law today? What are some different pathways into the profession, and what are your thoughts on that?

If we do our job right, then these crimes should be prosecuted at home in national courts. The industry of internationalized practice of international criminal law should get smaller and smaller. Courts such as the ICC are structured as last resort options only if the country is not willing or able to prosecute these crimes at home.

Unfortunately, there are so many countries that are unwilling or unable to prosecute these crimes at home. The expectations for the ICC are so much larger than the capacity will ever be even when it operates at its optimum. The future of international criminal law is about domestic application of international criminal law. Therefore, my advice to students who want to go and practice international criminal law is to go to the field, because international crimes are not committed in Cambridge or in Los Angeles. If we want to be good prosecutors, we have to go to the ground. I am not talking about going during a war, but we have to go to the communities where these crimes have been committed and support our peers there to bring localized justice. That is really what international criminal law in practice should be about—with a minority of people doing it at the international level, because we cannot do without that.

There are brilliant national processes under the mechanism of universal jurisdiction in a number of countries and it is continuously expanding. That is the domestic application of international law, where a lot of work needs to be done. If you have a case of war crimes committed in Syria and it can be brought in a German court under the notion of universal jurisdiction with a certain personal jurisdictional link, there will be accountability brought to a national trial even if Syria is probably decades away from any national processes. That is a very powerful tool. In this regard, the United States is lagging far behind. There is a powerful academic community. There are brilliant civil ligations that have been being brought for years, which my law partner Kathy Roberts is an expert in and she brings into the work we are doing in different countries. But there is scarcely anyone who has been prosecuted. It is not only a political thing, not only during this time where things are so up in the air. Thus, for anybody who wants to practice international criminal law in the United States, you should start building it.

To sum up, for law students who want to study and practice international criminal law, I would first of all encourage you to go to the field and spend time in the field as much as you can. I would also encourage you to gain courtroom experience. Finally, I really encourage you to focus on national systems because that is really where the international criminal law should be applied. If you have another citizenship, you can move around. If you want to stay in the United States, where actual prosecution of war crimes, crimes against humanity and genocide in the courts is not a heavily populated activity yet, your task is set.

Are there any concluding remarks that you have and want to share with our audience?

I just want to encourage everyone who wants to go into this to just go for it, to get out there, to not be daunted by what seems like huge obstacles. For anybody who comes to me for mentoring or career guidance, in a post COVID-19 world, my strongest advice always is: “which region interests you?” “what languages do you speak?” and “can you afford to buy a ticket and go there?” That is really where all this starts: in the affected communities. That is how I started and that is the way to really get the exposure that you need in order to properly bring this kind of justice or help others bring this kind of justice. You can do it if you want to do it. You definitely can.

Distinguished Voices, She Leads

Conversation with Judge Rosemary Barkett

* This transcript was edited and condensed for better reading experience. Click the subtitles below to watch the vivid, candid, full-of-laughter conversation between Judge Barkett and ILJ editor Kathy Zhang. 

Judge Rosemary Barkett is the winner of the Prominent Women in International Law Award in 2017, and a judge on the Iran-US Claims Tribunal since 2013. Before her appointment to the Tribunal, Judge Barkett was on the Court of Appeals for the 11th Circuit for 20 years. Before that, she served as the Chief Justice of the Florida Supreme Court, and was the first woman Justice to serve on the Florida Supreme Court. More recently, in 2015 Judge Barkett was appointed to the Panel of Conciliators for the International Center for the Settlement of Investment Disputes. In 2016, she was elected Honorary President of the American Society of International Law.  

[hr gap=”15″]

Part I, A Distinguished Career: “I Love Being A Judge”

Let’s start by talking a little bit about your background.

My father and mother were both born in Syria, in 1899 and 1905 respectively. After they married at a young age, they attempted to come to the United States, with my father’s brothers. But my mother was pregnant, so they had to wait. When they later tried to come, they were refused, having been caught by the limitations of an immigration law in force at the time. After my brother was born and the quota system refused permission to enter from Syria, they thought that if they managed to come through Mexico, then they could come and join their family in Florida. Some way or another—which is an amazing story in itself—at the age of 19 or 20 for my father and 16 or 17 for my mother, they managed, with a child, to travel from a place near Homs in Syria to Marseille, where they took a boat to get to Mexico. When in Mexico, they found themselves barred by the same quota immigration laws for entry into the United States. They spent twenty years in Mexico, where my siblings and I were born. My first language was Spanish, although my older brothers and sisters spoke both Arabic and Spanish. We ended up coming to this country when I was about 6, and I went to Catholic schools here and obtained my education thereafter in Miami.

How do you think being an immigrant and a child of immigrants have shaped your view about America and its promise, inscribed on the Statue of Liberty?

When I was growing up, my mother loved this country. She was a total fan of the “America,” —she spoke with an accent—and I derived a great appreciation and love for it from her. Throughout my legal career, the more I learned about the constitutional principles and the attempts to obtain equality, and the more I saw the country pick itself up and recover and try to do better when it fell the other way, the more impressed I became from a whole different legal perspective.

I was extraordinarily lucky that I had both the Syrian experience, the Mexican experience, and the American experience. The more experience that you are exposed to, the more understanding you have of the various viewpoints and perspectives that different people have. I am also very fortunate that in terms of my job description it works, because a part of what I think a judge has to do is to understand the positions that are presented, and you understand better when you have as wide a perspective as you can obtain.

As a human being, I just cannot minimize the tremendous opportunities and joy of having all of those experiences and music and food and people. I want everyone to have this experience! Not everyone can be born to immigrant parents, but they can go places, relate to people, learn languages, experience food and music, and be open to all of that. I think that makes you a better person. The similarities between people’s desires, needs, wants, and concerns seem to be the touchstone of gaining more understanding of how to make the world a little bit better.

Law school classes in recent years have become increasingly diverse in their multicultural fluency. Do you think this is going to shape the law going forward?

I hope so. Diversity is extremely important because we are a diverse race. We have to understand and represent the views of varying groups of people and perspectives. You cannot understand if you don’t open your mind in some fashion. You can’t always have the same experience, but you can learn about them by reading, travelling, and talking to people. You can try to understand why someone has a different perspective and what in them developed those perspectives. So yes, it is hugely important.

Do you think that drive to learn about different experiences and to hear and understand them informed your choice of career to be a lawyer and a judge?

It is very limiting to have one life—but I can’t say I’m disappointed in having chosen the law. I love the law, I loved being a lawyer, I love being a judge. I’m not sure I can answer the question of whether or not my experiences as an immigrant or my childhood informed that decision. I don’t consider myself a brilliant person by any means. I’m smart enough, but I’m not the philosopher that I would like to be… But the law ended up being a great fit for me. I love the concept of an organized society where people can interact peacefully with one another.

And this concept is facilitated by the rule of law?

Definitely. Except that people don’t define the rule of law the same, and that’s a huge problem. I have been to conferences all over the world, sponsored by all kinds of regimes, and everybody is speaking about the rule of law. But the rule of law as it is expressed in a country with a dictator is very different from the rule of law in a democracy or in a republic. I think a lot more work has to be done about trying to get people on the same page about what are the essentials that the world thinks of as part of what the rule of law should be. This is not easy because there are cultural issues that conflict with the rule of law, very frankly.

What was the transition from lawyer to judiciary like, and why did you decide to make that transition?

I started practicing law in a small trial law firm with 8 to 10 people. Like many small trial law firms, things went along very well for a while and then disagreement arose and people decided to go their own ways. Then, I decided to practice on my own for a year, which became a very hard situation to maintain—you are constantly on the run. So, I reached a point where I knew I would either have to go to work for a firm, or join somebody, or do something. At that point the members of the Judicial Nomination Commission approached me—I was practicing in a small legal community where everybody knew everybody, and people on the committee wanted a trial lawyer on the bench. They said I should apply, which was something that had never occurred to me. I never thought I could be a judge; I didn’t know anybody; I was not politically aware probably as much as I should have been. But I applied anyway, thinking that I could take a year or two as a judge and see the law from that perspective and I could become such a great trial lawyer after that. I got appointed, and I didn’t want to leave the bench at all because I love being a judge. It was a terrific and has been a terrific experience.

Can you tell us a little about your transition from the Florida Supreme Court to the Eleventh Circuit, and then to the Iran-US Claims Tribunal? What were the biggest differences you found between the state and federal institutions?

Procedurally, the differences between the state courts and federal courts are not so great. You consider evidence, you study the law, and you try to apply the law to the facts in particular cases. The appellate process is the same. The lawyers come, they argue and the judges debate in conferences. You then write opinions and explain why one side is more correct than the other.

Substantively, it is very different. For one thing, the Eleventh Circuit covers the federal jurisdiction, much of which is not dealt with in state courts. For another, the way in which judges look at the rules differ a little bit. For example, in Florida we have a concept that says, in a criminal case, if there is only circumstantial evidence and the circumstantial evidence is equally consistent with a finding of guilt as well as with innocence, you cannot convict because guilt is not beyond reasonable doubt. On the Eleventh Circuit, I was surprised by the law that the jury decides everything, even in the aforementioned circumstances. I still think that does not make much sense, but things like that—and the more obvious things, federal laws, bankruptcies, everything else that does not have anything to do with state law—are different. In the state court, you are also a little closer to the people, the lawyers, the litigants. You are much more aware of the ramifications of what your decisions are. The federal court seems a little bit more distant.

What about the differences between the U.S. and international institutions? Are there any cultural differences between these two?

The differences are huge. For the record, I am not someone who has spent thirty years in the international law arena. Although for many years—even before I got on the court—I have been involved in international law from an interest perspective. I was very involved with ASIL. I participated in helping develop programs to educate judges about international law—again, the more judges know, the better judging would occur. That’s how I got to know Charlie Brower and other giants in the international legal field. However, I never thought there would be a career for me there until I was asked in 2013 to consider the Iran-US State Claims Tribunal. My experience in international law before that was more intellectual, and my experience thereafter has not been huge.

First, the Tribunal is a very different legal animal than the experiences that many international lawyers would have. It is not a one-shot deal like a single arbitration. This institution has been there for almost forty years. It is a quasi-arbitration, quasi-court institution. It has its own rules, and its precedents have been established by different people throughout the years, as judges have come and gone. Second, the way in which international law is practiced on the continent is different from the principles I am familiar with. I think there is lots of wasted time in international arbitrations! But you have to take everything I say with a grain of salt, because I have not experienced two hundred or two thousand arbitrations. I have participated in several non-tribunal arbitrations, and I have seen my own tribunal. It does seem to me that there is a lot that could be considered about and copied from the U.S. system in terms of—for example, motions to dismiss. In the United States, you cannot file a complaint without a good faith belief that there is a legitimate issue. There is nothing comparable as I am aware of in international law. The arbitrators do not have the same level of control as the federal or state judges have over frivolous claims or in imposing sanctions for ethical violations. Therefore, you have to operate in a different theatre in order to achieve justice—which does happen.

 

Part II, Life as Woman in International Law: “A Dismissive Kind of Discrimination”

You are currently the only female judge on the US-Iran Claims Tribunal. The ICJ is overwhelmingly male, and the ICC skews male as well, though slightly less so. How should we think about this disparity, and do you think it affects the outcomes at all?

This is a hard question. Throughout the years I have seen several law review articles that tried to evaluate decisions based on gender composition of the courts, but I don’t know. There is empirical evidence in a different context, though. Someone has sent me a poster which showed that women-led nations have been doing significantly better in response to the COVID-19 situation. It does seem to me that women are much more open to hearing perspectives and views. Not all of them are as ready to say that “I know it all.”

I think gender, racial, and ethnicity representation on courts and on boards is extremely important, because of its impact on inclusiveness and on the understanding that we are all part of the same world and need to have our group represented. Having said that, the more important thing for me in terms of diversity on courts is the diversity of viewpoints. Sometimes you can have diversity of gender but absolutely no diversity in viewpoints. The value of diversity on appellate courts, for example, is to have more than one viewpoint. If you are going to have multiple members who think exactly alike, why not save the money and have one judge be the appellate person? One has to examine whether there is diversity of thoughts that is going to be enhanced in a particular institution.

Here is a silly little example. I was in a court conference when I was on the Eleventh Circuit. There was a case where a man had just sold all his properties and was going to the Bahamas and had a hundred thousand dollars in his pocket, and the whole question was: why did he have so much money in his pocket? People thought that it must have come from drugs or been illegal. A judge said that a non-criminal person would have put it in the bank. I said wait a minute; my father kept much money in the house. He didn’t really trust institutions, he couldn’t speak English very well… And the other judges were all like, really? And I said yes. He kept tons of money at home somewhere, and it doesn’t mean that he was a criminal.

Can you think of a time during your career when you were made very aware of your gender or your ethnicity? Do you have any advice for young women starting a career on how to navigate those situations?

I think you have to be patient. There are so many degrees that people suffer in gender discrimination in different ways. Many times, you may not be aware that you have been discriminated against. If you don’t get a job, you cannot always tell if it has anything to do with your gender or your race or your personality. There is direct discrimination like that—you cannot have the job because you are a woman—the kind that Justice Ginsberg suffered through, for example.

There is also a lesser, more subtle kind of discrimination—a dismissiveness kind. I have noticed that a lot throughout my life. You are in a group, you express a view, which you think is very sensible, coherent, and clever, and everybody sort of nods. Two speakers later, one of the men in the room expresses exactly the same view and suddenly everybody is nodding and is like “that is really brilliant!” That’s something that I don’t think they see, and I don’t really know how to talk about it other than at some point like this. Women, no matter how brilliant they are, are not listened to in the same way or given the same acknowledgement sometimes. I think I have been very lucky in not experiencing very direct discrimination by being a woman or a minority. The groups of people that I have been part of are, for the most part, very generous sweet people, or at least I saw them that way. If there is discrimination, it happens to me in a more subtle and unaware way.

 

Part III, Looking Forward: “We need to be more obnoxious about gender violence”

You mentioned that a lot of work that needs to be done on the rule of law is to get people on the same page and to overcome the cultural issues. Can you expand a bit more on that thought?

It is so complicated because if you want to have a message heard, you have to be the messenger whose message will be heard or can be considered. If someone is too abrasive or aggressive, you have to take that into account. Some way or another we need a whole range of activists, and I call anybody who wants to make the world better an activist. But an activist can range from someone who is willing to go out and put their lives on the line in a demonstration where injustice occurs, to somebody who sits in their judicial office and writes opinions that are fair and tries to impose a rule of law that requires a just result and treats people equally.

Trying to get people together to reach an agreement on what are the basic principles of a rule of law is difficult, because you have to communicate with people and try to bridge important cultural differences. But there have to be certain principles that, I think, can be shared. For example, independence of the judiciary—I can’t imagine a group which would disagree, at least in form, that it is imperative to have a judiciary that is going to treat people equally and not be corrupted by money or power.

But then you get bogged down when you get to other things. Eliminating domestic violence is an issue that I think everybody should be able to get behind, and yet I am aware of some cultures that hold opposite beliefs. I had a debate with a judge in another country who said that “it was not rape to rape your wife, because she was your wife.” We need to find ways of communicating to bridge gaps in views like that. There is something that cannot become acceptable just by saying that it is culturally ingrained. There is something that violates human dignity and even human personhood that you cannot excuse on the basis of cultural differences. I know others have different opinions, but maintaining one’s culture should not be at the expense of hurting someone. This is the whole concept of the golden rule: you should treat people in a way that you want to be treated, you should be left alone to be whomever you want to be. There should be a world that is supportive of letting you be whomever you want to be, and you should never hurt anybody else. In fact, I attribute the whole concept of social justice to my upbringing in Catholic school and in the convent, where those were the values that we were teaching and I was learning.

In this country and around the world, both as a result of rapidly evolving technologies and of shifting political wills, there seems to be a change in how people are understanding “fundamental human rights.” What do you think are some of the most important issues in this area, particularly in regards to women’s rights?

Gender violence. We don’t speak about it enough, we don’t explain to the general public how pervasive it is all over the world—even in our own country. I did a lecture at NYU titled “Bringing Human Rights Home? I Thought They Were Already Here.” It talked a lot about the Supreme Court cases that said police officers have the discretion as to whether to answer a domestic violence call or not. This line of cases is appalling and needs to be changed. I think the cultural views that are held in some countries, that rape is a price of war, are outrageous. I think you don’t own your spouse and cannot inflict physical or mental or any other kind of harm upon her. I think that is one of the largest problems in human rights that is very seldom addressed adequately. I am not the only one who points that out—it happens because men don’t have to deal with this issue as much. Every woman that walks through an alley at night has a fear that men who walk through the same alley do not have, of being raped, of being physically assaulted. We need to engage men in this debate to eliminate gender violence. I don’t understand the mentality that permits fragile people to be abused. Anyway, we should do something about it.

What can we do about it? How can international lawyers make an impact in women’s rights both around the world and at home?

We need to be more obnoxious about it. We need to keep talking about it. We need to follow the example of all the people who have been walking in the streets because of police brutality, peacefully. We cannot let people forget the magnitude of this problem. We should call it out whenever we see it. We need to encourage any of our sisters who are experiencing it to do something about it. We need to support shelters, we need to bring lawsuits, we need not laugh at jokes which are told at the expense of women in law firms because we are afraid that the partners are not going to make us partners. I really think if you are sincere and you stand up, you will be respected for it, assuming that you do it with as much charm as you can muster. It is a complicated process but we all have to engage in it. It would be much nicer if I could bluntly say “that it is the stupidest thing I have ever heard.” But doing it that way is not going to change them and is only going to solidify their views. I also have the tendency to sometimes not be the messenger that I would like to be, but I continue to try and be more tactful at it.  But you cannot ignore it—that is what I think we have done for way too long on the whole issue of gender violence.

And let me make that crystal clear: you cannot only do one thing. I get very annoyed at people who are only interested in protecting or advancing their own, individual groups’ rights. That is not how this works. Fundamental rights and human dignity—I apologize for being preachy—is something that cuts across all the spectrums and we have to speak out on all the spectrums. You cannot say that I only care about making sure that women get the equality and power they deserve. It has to be everybody.

What are you most looking forward to? What are you hopeful about?

I hope that the world will get better incrementally. As a realist, I doubt that there will be a dramatic breakthrough, though I will certainly embrace it if there is any! I hope we will be able to understand how to communicate better, so that the values that I espouse will be understood by those who don’t seem to have the same values, or those who seem to have the same values, but somehow can’t see that those values are not being advanced. I am looking forward to continuing to enjoy my life. I got on a paddle board in the Hague on one of the canals, and I did stand up to have a picture taken! I am looking forward to the end of COVID-19. I am looking forward to going back to real work since the Tribunal has been working virtually. Just making life better for everybody.

Alford Tribute, Content

Liu Hongchuan’s Tribute to Professor William P. Alford

Liu Hongchuan
LL.M.’99, Harvard Law School

I can’t recall exactly when I first met Professor Alford at HLS.  It must be in one of the many events organized by East Asia Legal Study when I was studying for the LL.M. in the late 1990s.  At that time, I was too timid to talk much with him as he was always surrounded by many students and scholars who loved and admired him deeply.

I had more opportunity to interact with him when I took his International Trade and WTO class. The rules and textbook about the subject are pretty boring. However, with his insightful guidance, tolerance and humor, the class never was boring. Unlike many professors in Chinese universities, he seldom gave long speeches about his own view of the legal issues at hand. Instead, he always encouraged students to give the issues serious thought and express their own points of view without hesitation.  He was extremely tolerant to different views no matter how naïve or absurd they may sound and only politely reminded you that there are other, at least equally convincing, arguments you need to take into consideration. The class took place in the late mornings and we often became quite hungry towards the end of the class. He often brought cookies to the class and we could eat cookies while enjoying his teaching.  It was a wonderful experience I never had before. I do not remember much what I learned, but I will never forget the warm, light and intellectually stimulating atmosphere of our class.

I really came to know him only after I graduated from the law school. Every time I came back to HLS, I always tried to meet him and when he traveled to China, he also found opportunities to meet me. As time went by, we found that we have one more thing in common: we are both fathers of an autistic child and we are constantly facing unique challenges in life that ordinary people will not come across. Again, he became another role model for me within the area of disabilities.  He taught me by his personal example how to turn a personal misfortunate into broader love and compassion for people at large. Last year in the heat of the US-China trade war, I invited him to give a lecture to our law school alumni in Beijing. As the graduates of Harvard Law School, we have all benefited greatly from the four-decade good relationships between China and the United States, but now the good times seem to come to an end. Prof. Alford reminded us that things may get worse before they get better and that we should not have unrealistic expectations that the old good times will come back soon. However, he also reminded us to keep confidence in the relationship in the long run and make our own effort to improve it. All the alumni took much courage, confidence and comfort from his lecture.

It seems to me that though he may not be the most brilliant professor of the law school, he is certainly the most beloved one among international students. Like Confucius and Socrates, he is first and foremost a great teacher who loves teaching and loves students with all his heart. I do wish that his life-long teaching and academic career will continue to flourish.

Alford Tribute, Content

Yu Xingzhong’s Tribute to Professor William P. Alford

Yu Xingzhong 
Anthony W. and Lulu C. Wang Professor in Chinese Law, Cornell Law School

A Tribute to Professor William P. Alford

Introduction

Professor William P. Alford, a scholar of Chinese law and legal history, as he modestly styles himself, has served as the vice dean for the Graduate Program and International Legal Studies at Harvard Law School (“HLS”) for eighteen years, leaving behind a remarkable imprint on international legal education and exchange. As his first doctoral student, I have had the great luck to benefit from his eminent guidance and unswerving support in many aspects of my life, both academic and personal, during my student years and thereafter. While his virtues hardly need any personal testimony as affirmation, I feel grateful to have been asked to write about him by the Harvard International Law Journal.

I had the privilege of doing my master’s and doctoral degrees at HLS between 1990 and 1995, under Professor Alford’s guidance. After graduation, I returned to HLS twice in 1998 and 2006, to co-teach with him. I also have made countless short-term visits to the university. Each time, I felt very close and fresh. Because HLS is continuously changing, there is always something new and exciting to see.

In celebrating his legacy, we are celebrating the achievements of a decent human being—as dean John Manning commented, a great teacher, a bridge of cultural exchange, an admirable mentor, and a modest gentleman with the quality of jade, as many Chinese intellectuals fondly say of him.[1] Professor Alford is a renaissance man: erudite and thoughtful, far-sighted, and knowledgeable with a deep academic background. In addition to his command of Chinese culture and law, he is also conversant in other Asian cultures and institutions. Professor Alford is known not only for his research on Chinese law but also for his work regarding intellectual property and human rights. His subtle and comprehensive research focuses on, but is not limited to, Asia. He is an intellectual with great humanistic concern and a strong sense of historical responsibility.

When we celebrate his legacy, there is much to be mentioned. In this Tribute, I humbly offer a few comments related to my experience in learning from him.

I. A China specialist of his own

To begin, I want to salute Professor Alford’s contribution to scholarship on Chinese law and legal history. Those of us in Chinese legal studies are familiar with his excellent work in Chinese law, but let me offer a few thoughts about its long-lasting significance.

He regards law as an essential part of a nation’s culture and people and attaches great importance to understanding its historical and cultural background. He is very well versed in legal thought and legal institutions of major legal families. In his writing, Professor Alford reflects deeply on a typical practice of treating China as a foil more than an object of research to be seriously studied, rejects mechanical understandings of Chinese law, and calls for an understanding of Chinese law on its own terms. His book, To Steal A Book Is An Elegant Offense: Intellectual Property Law in Chinese Civilization, introduces the history of the development of intellectual property law in China while touching upon legal and cultural transplantation issues, pointing out that the intellectual property system introduced from the West in the late nineteenth and early twentieth centuries was not successful. The main reason is that the transplanters did not consider how different the Chinese environment was. There is no doubt that his insightful research on Chinese and comparative law has made important contributions to the field.

Professor Alford’s approach to Chinese legal tradition contrasts with two other approaches available as conventional wisdom: universalism and cultural relativism. Universalist interpretations of Chinese legal tradition are connected by their reliance on the idea that all nations’ laws and legal experiences follow a general evolutionary pattern. The differences between legal systems in developing and developed societies are matters of the degree of societal development. Exponents usually rely on an analytical model developed by an influential thinker and apply that model to China for comparative purposes. Typical of these interpretations are those employing models developed by sociologists like Karl Marx, Max Weber, Emile Durkheim, and Ferdinand Tönnies. While to some extent these interpretations reveal aspects of the Chinese legal tradition, they also exemplify what the Chinese call cutting the feet to fit the shoes.

For cultural relativists, each legal system is a unique consequence of a given culture. Law is inherently shaped by culture and cannot be adequately understood without referring to the larger cultural context. They tend to spell out a legal picture that stretches the concept of law to include the whole intellectual universe. For instance, some have argued that the Chinese legal tradition fuses heavenly reason, state law, and human sentiments and embodies the great principle of heaven and humanity’s unity. They tend to emphasize the uniqueness of China’s legal tradition and its incompatibility with universal principles and practices.

Dissatisfied with purely universalistic approaches and skeptical of the usefulness of relativism, Professor Alford has taken alternative ways to approach Chinese legal tradition. Instead of relying on any existing legal epistemology or employing the deductive method that usually accompanies universalistic analysis, he resorts to the analogical method and specific legal concepts or legal relations for analytical tools and detailed legal aspects for the subject matter of analysis.

For instance, Professor Alford contributed to the elevation of our understanding of the formal criminal justice process in late imperial China by reconstructing archival materials and analyzing one of the most celebrated criminal cases in Chinese history—that of Yang Naiwu and Xiao Baicai.[2] It is a significant effort because before him, no scholar, Chinese or foreign, had charted in meaningful and explicated detail the full course of any one case that traversed the entire formal criminal justice system from the district magistrate to the highest reaches of imperial government. Through an overall introduction to the Chinese legal context at the time of the case and a detailed reconstruction of the case, he vividly recreates the behavior, thoughts, judgments, reasoning, and psychological states of the people in the courtroom and behind the scenes, as well as the pros and cons of the Qing dynasty legal proceedings.

II. A magnanimous heart

One of the significant achievements whereby Professor Alford has set an example concerns human rights. He has made enormous efforts in promoting human rights in Asian countries, especially in China, where things are complicated due to the cultural tradition and political environment. It is often difficult to get involved from the outside, and even hard to find where to get started. Very often, good efforts encounter unexpected frustrations.

Over the years, whether supervising a student thesis, hosting Chinese scholars, organizing training sessions for grassroots actors or holding conferences in the field of comparative law and human rights, Professor Alford applied his wisdom and negotiated his way to effectively promote human rights in China. A famous Chinese saying succinctly describes his pursuit in that he “corrects his way but does not calculate what benefits will bring him; adheres to principles without hurrying after success.”[3]

The well-known Harvard Law School Project on Disability Rights, which Professor Alford co-founded, has volunteered in several countries, including China, Bangladesh, the Philippines, and Vietnam, on disability rights issues. It has been very well received by Asian countries, being not only a socially beneficial program but also one of pedagogical significance.

In dealing with various difficulties the promotion of human rights in China often encounters, he embodies a subtle way of thinking: “When the water is clear enough, I wash my hat; when it is muddy, I wash my feet.”[4] Behind all these tremendous human rights involvements is a great person who has a magnanimous heart—humane, sympathetic, generous, and tolerant.

III. A never-tiring teacher 

Professor Alford has been seen as a generous mentor, never-tiring teacher, and role model; as having achieved high moral and ethical status and commanding heartfelt admiration and respect; and as an ideal teacher in the Confucian tradition, and indeed, other great cultural traditions.[5] Over the years, he helped numerous students from diverse ethnic and geographical origins, academically and otherwise, to complete their education at HLS. Like his scholarship, his way of teaching exemplifies the most refined style of the work: polite but demanding, inspirational but realistic, laying stress on the present but also emphasizing historical background. His students surely remember the meticulous comments Professor Alford left on their papers!

However, what characterizes the true relationship between Professor Alford and his students does not stop here. His practice of Maimonides’ teachings on how to care for others distinguishes his role as a teacher, the highest degree of which is to help the students one supports become independent, from educating them to finding a way of living for those students.[6] In doing that, he is no longer just your teacher, but a close friend or a relative as well. That is true in my case, and that of other students, for which we are eternally grateful.

Professor Alford likes to quote from Xunzi, a Confucian-Legalist-Taoist thinker who thrived around third century B.C.E, to encourage all his students: “Blue dye derives from the indigo plant, and yet it is bluer than the plant; ice comes from water, and yet it is colder than water.”[7] This means that a good student should surpass his teacher. Whenever possible, he made arrangements to help his student. He has a research project on Roscoe Pound and asked me to collect Chinese materials on Pound. Having gone through some papers written by scholars on Mainland China and Taiwan, I wrote a brief introduction for him. He then gracefully suggested that I be his co-author. That was something I never dreamed of. This anecdote also attests to what a decent human being he is. 

Conclusion 

Professor Alford has been described as a monumental bridge between cultures in the West and East. His wisdom and generosity have inspired generations of students, academics, and lawyers in many corners of the world. In celebrating him, I see no better way than continuing his effort to build that bridge to effectuate more substantial exchanges between and among scholars. I wish him longevity and blissfulness.

[hr gap=”20″]

 

[1] In May 2019, more than fifty Chinese legal scholars gathered at the People’s University of China (“Renda”) to honor Professor Alford for his contributions to China’s legal education and legal reform. Many scholars, including Wang Liming, vice president of Renda, Zhu Jinwen, Han Dayuan and Wang Yi, former and current deans of the Renda Law School, Wu Zhipan, former dean of the School of Law and current vice president of Peking University, Wang Zhenmin, former dean of Tsinghua University Law School, professor Liang Zhiping of the Chinese Academy of Arts, professor He Weifang of Peking University Law School, expressed their appreciation of him and his friendship. See As Elegant as Green Bamboos—A Collection of Papers Commemorating the Exchange Between Professor William Alford and the Chinese Legal World (绿竹猗猗—安守廉教授与中国法学界交流纪念文集) (Guo Rui & Miu Yinzhi eds., 2019).

[2] William P. Alford “Of Arsenic and Old Laws: Looking Anew at Criminal Justice in Late Imperial China” California Law Review, December 1984.

[3] See Dong Zhongshu, “The Great Officers of Yue Cannot be Considered Humane,” in 董仲舒《春秋繁露·对胶西王越大夫不得为仁》, Luxuriant Gems of the Spring and Autumn, edited and translated by Sarah A. Queen and John S. Major (New York: Columbia University Press, 2016) P. 328.

[4] Quoted from an old Chinese folk song. “沧浪之水清兮,可以濯吾缨;沧浪之水浊兮,可以濯吾足。”

[5] See supra note 1.

[6] See Maimonides’ Eight Levels of Charityin Charity: an Anthology (Yanki Tauber ed.), https://www.chabad.org/library/article_cdo/aid/45907/jewish/Eight-Levels-of-Charity.htm (last visited Nov. 25, 2020).

[7] An Exhortation to Learningin Xunzi: The Complete Text 1 (Eric Hutton trans. and ed., 2014).

Alford Tribute, Content

Ruth Okediji’s Tribute to Professor William P. Alford

Ruth L. Okediji
Jeremiah Smith, Jr. Professor of Law at Harvard Law School

A TRIBUTE TO PROFESSOR WILLIAM P. ALFORD

I arrived at Harvard Law School (“HLS”) on a cloudy day in September 1991, fresh out of college and reeling from a miraculous journey that had landed me in front of the International Legal Studies (“ILS”) building. Still, I recall the keen sense of disappointment that washed over me as I looked at the industrial architecture of ‘the ILS,’ as I would eventually fondly call it. This imposing granite structure that was my portal to the campus stood cold, unwelcoming, and to my mind, impenetrable.

Within weeks, I settled into classes far removed from my intended course of study in intellectual property. Harvard had no course offerings in the subjects that commanded my most significant interests—innovation, legal regulation of technology transfer, and law and development. Limited courses aside, I had to work three jobs on campus, given the minimal funding for the Graduate Program. Between midnight shifts at Langdell, 6:00 a.m. morning shifts at the Hark Café, and babysitting stints during the weekends, I studied Corporate Law, Economic Analysis of the Law, and Constitutional Law.

Although life was unusually challenging, these subjects of which I was a reluctant student were fascinating. The menu of new ideas and perspectives to which I was exposed, and the opportunity to analyze, contest, and engage them in class was vivifying. In some ways, my irreverence for the then-dominant HLS business law curriculum freed me from constraints imposed by deference or respect; being disinterested but also eager to make good on my time at HLS allowed me to discern my own biases and to revisit my scorn of approaches to law that appeared, on the surface, to avoid tackling troubling issues of global justice. In the end, it was these courses that prepared me far more than I could have foreseen for my encounter with the man whose impact on my education at HLS and on my academic career has been immeasurably significant.

In the spring semester, I enrolled in a course titled “International Law: Legal Aspects of Transnational Economic Activity” taught by “William P. Alford.”  It was a new course by a new professor about whom students lacked information. The course “endeavor[ed] to provide students with an understanding of the fundamental legal questions that arise in transnational economic activity and of the manner in which the different cultural, economic, and political orientations of those involved therein shape the formulation and resolution of such legal questions.”[1] Like most course descriptions at the time, this one had the rhetorical draw of an architectural plan. Nonetheless, its allusions to the role of culturepluralism, and the dynamics of power in shaping law made for a quiet revolution in my time at HLS.

In the classroom, Professor Alford was brilliant, funny, and compelling, true. Nevertheless, these were not what compelled my attention. It was that he saw and heard me. At times, it appeared the entire class would fade away as he and I engaged in extended conversations about the exercise of sovereignty in global markets, the merit and methods of legal transplantation, and the complexity of reforming international organizations to better address challenges in developing countries. Professor Alford had a prescient sense that American assumptions about law did not reflect the international economic system’s future. In urging students to examine American hegemony’s unstable underpinnings, he taught us the importance of intellectual humility. He deftly drew students of different backgrounds and views into a vibrant debate, cultivating a kind of multicultural dialogue that was too rare in the HLS of those days. I sat riveted in his class, my hand rarely down, taking in as much as I could and as much as he was willing to give, which was a lot.

In addition to the challenging coursework, such as concerning the complexities of political power as expressed in the design of tariffs or rules governing custom unions, Professor Alford’s classroom was a laboratory for cultivating new ideas that I could safely test only in the distinctive global space he created during his lectures. My final paper in the course laid the intellectual foundations of my doctoral work on the U.S. copyright system and the unfolding negotiations over trade-related aspects of intellectual property rights,[2] which he supervised.[3] Professor Alford was an outstanding supervisor; his criticism of my work was piercing and always delivered in a way that pushed my thinking and strengthened my voice as a scholar. His nurture of, and trust in, my intellectual instincts fueled my exploration and study of interdisciplinary critiques of colonialism, law, and cultural institutions, the fruits of which continue to inform my scholarship till this day.

One anecdote about Professor Alford’s pedagogical style will have to do. He often came to class with props, of which my favorite was a set of Mickey Mouse ties that he would cycle through wearing, and which he had bought while in China. One reason he wore them was to help students visualize that all-too-abstract force we call “globalization.” He sought to illustrate the permeability of culture, and the overt and less overt ways in which culture manifests itself, is accessed, and is transformed through transnational economic activity. The existence of Mickey Mouse ties made in China put into question the assumption that cultural artifacts could be “just” American, or “just” Chinese, instead of things that are reinterpreted continuously, reframed, and recast to meet the exigencies of different cultural locations. This remains a profound point and represents a subtlety still too often left behind in more recent and polarizing debates about such matters as cultural appropriation or the efficacy of legal transplantation.[4]

I must mention Professor Alford’s research briefly because it so indelibly set the stage for my scholarship. In his first and still best-known book, To Steal a Book Is an Elegant Offense,[5] readers confront a wedding between an argument for more cultural empathy and Alford’s generous spirit. In that work, he argued that Western attempts to impose copyright and patent regimes on China floundered because of a scant understanding of Chinese “political culture,” according to which strict state control over the dissemination of ideas is necessary to protect citizens’ ability to maintain their Confucian heritage.[6] Such a culture, the development of which Professor Alford traces from the Qing dynasty to the People’s Republic of China and past the Cultural Revolution, leaves little room for promoting private property interests in idea or expression. Accordingly, he concluded that the Western endeavor to alter Chinese attitudes toward intellectual property is “incapable of generating the type of domestic rationale and conditions needed to produce enduring change and, moreover, runs a serious risk of discrediting [its] very message.”[7]

Whether this account of Chinese history is too driven by elites operating from the top down, or if it uses terms like “culture,” “society,” and “politics” in a manner looser than what contemporary social scientists would prefer is still open to debate. I would argue that it is rare for works that ask defining questions of a field to be as nuanced in how they address those questions. Professor Alford himself anticipates—and, to his credit, accepts—the criticism that he has interpreted his subject matter according to his own socio-cultural location. He acknowledges that he relies “on definitions of intellectual property derived from Western settings,”[8] even as he warns “against extrapolating normality from the West,”[9] and recognizes that “at no time is any society’s culture monolithic, given class, gender, ethnic, regional, and other differences.”[10]

I want to highlight three ways in which Professor Alford has influenced my work, as an illustration of the remarkable manner in which he has shaped an entire generation of scholars now tasked with building on his foundational insights.

First, and most simply, there has been the pivot to Asia, the sense in which a consideration of the global intellectual property system will necessarily be incomplete without a deep understanding of the workings of China’s contributions to and goals for the system. There is now an elaborate set of specialized intellectual property law tribunals, with their appellate court, namely the Intellectual Property Court of the Supreme Court, and with more than 200,000 cases heard per year.[11] American law firms have found it increasingly necessary to litigate within this system, and, indeed, foreign patent holders are more likely to win infringement cases and receive larger damage awards than Chinese patent holders.[12] China is firmly established as one of the top five patent offices in the world, and with 58,990 Patent Cooperation Treaty (“PCT”) applications, applicants residing in China filed the most applications in 2019. The World Intellectual Property Organization (“WIPO”) reports that “[t]his was the first year since the PCT System began operating in 1978 that applicants from the U.S moved down to second place.”[13]  Professor Alford’s observation that “conditions that breed protection for intellectual property rights are also those that breed competition with regard to [the design of] intellectual property”[14] law is now the central consideration in discussions about the intellectual property system’s future.

Second, Professor Alford articulated the fundamentally value-driven and constructed nature of intellectual property law. Every nation, Professor Alford reminds us, has “enduring values and practices” that are central to its identity, and which “foreigners . . . should not too readily assume they have either the moral authority or capacity meaningfully to influence.”[15]

In the research trajectory that followed my graduate work, I tried to historicize the idea of “innovation” that Anglo-American intellectual property law has traditionally protected.[16] The field had long treated that term interchangeably with “creativity,” even though organizational psychologists distinguish between the two. Building on many conversations with Professor Alford, my early work sought to establish that “innovation” is just one way of thinking about creativity and, indeed, a deeply culturally inflected one. I argued that varieties of creativity exist, each closely linked with the social structures, institutions, and cultural practices that make up a particular form of the good life.[17]

Moreover, the insistence on the inevitability of values foregrounds the question of justice in intellectual property law. Professor Alford is not a theoretician concerned with defining the nature of law or justice per se, and he has expressed doubts about the feasibility of any “grand theory” in comparative legal work.[18] However, he does ask us to consider the real effect that intellectual property rules have on people, not least those living outside of a narrow set of privileged economies. Such intellectual property rules are useful when they prevent “lives lost, gruesome injuries sustained, and medical procedures altered due to adulterated pharmaceuticals and other counterfeited products,”[19] but oppressive when they legitimate state crackdowns of human rights.[20] And the latter phenomenon is not peripheral to the field of intellectual property but, instead, something that lies at its center.

In my work, I have tried to show how intellectual property rules can generate new forms of marginalization in the Global South even as they encourage innovation there. Thus, the story of intellectual property law is incomplete without considering how it has been used to, say, privatize tools essential for addressing pollution and climate change, limit access to antiretroviral medications for HIV/AIDS, and restrict access to educational materials.[21] In this way, far from a technocratic discipline, intellectual property is central to some of the most pressing issues of justice facing a globalized world today.

A third lesson I have taken from Professor Alford is deeply personal, but perhaps the most important one of all. It is that empathy in scholarly work is legitimate, and it multiplies. If I come to empathize with someone very different from myself, that may well enable me to engage with a much greater universe of people, who may be affected in very different ways by a variety of structural forces. Conversely, those who start down some path of prejudice too often end up alienating themselves from the very people who might have helped them to turn back. Both empathy and bias end up being force multipliers.

Not too long ago, Professor Alford began co-editing a multi-volume collection of oral histories of individuals with intellectual disabilities in China.[22] This perhaps surprising development in his scholarly trajectory clicks perfectly into place when one reads the observation of a co-editor, Mei Liao, that oral history has mostly remained an American and British affair, despite its potency in letting disadvantaged groups speak to the world in their own voices.[23] Therefore, the project represents processes of cultural transformations at their best and is an extension of Professor Alford’s longstanding empathy for developing countries to a specific community of disadvantaged inhabitants in those countries. That empathy is something I have woven more boldly into my work, such as on how persons with print disabilities encounter the copyright system.[24]

If shifts in the global economy have forced us to rethink our most foundational assumptions about the nature and role of law in society, then intellectual humility is sorely needed: we must attend to the possible narrowness of our views and be empathetic to those offering alternate perspectives. Throughout his career, Professor Alford has embodied this ethos, and his consideration of culture as integral to the academic enterprise has had indisputable consequences for Harvard Law School. As head of the Graduate Program for eighteen years, he has shaped an unparalleled program attracting diverse minds from every region worldwide. Significantly, he extended dignity and hospitality to those minds. Under his leadership, LLM students would no longer arrive already informally ranked according to their country of origin’s global prestige. The Program became more egalitarian, more humane, and more intentional in guiding students’ intellectual growth, especially those from less well-resourced legal systems, particularly in sub-Saharan Africa. Those students can access the breadth of the theoretical and doctrinal cutting-edge curriculum that Harvard offers. Significantly, today, they can do so without the crushing weight of financial burdens. No one in today’s Graduate Program has to juggle three jobs alongside a rigorous academic schedule.

A final word: If to steal a book is an elegant offense, we should also remember another Chinese proverb, often translated as “what you cannot avoid, welcome.” The world we live in is full of turbulence and promise, but there are opportunities to steer it toward the good for others at every step. After defending my doctoral dissertation, Professor Alford took me to lunch at Changsho, a veritable institution among Harvard Law students. When the conversation turned to my future plans, he said, “Who knows? You might be back here as a faculty member one day.” I remember reacting in the same way I had done earlier to the business law curriculum—with dismissive skepticism. Professor Alford proved me wrong again. I will be forever grateful that he welcomed all of me not only those many years ago in his class, but always since then.

 

[hr gap=”20″]

[1] International Law: Legal Aspects of Transnational Economic Activity, Harv. L. Sch. Catalog 128 (1992), https://iiif.lib.harvard.edu/manifests/view/drs:427005630.

[2] See Agreement on Trade-Related Aspects of Intellectual Property Rights, Apr. 15, 1994, 1869 UNTS 299, 33 ILM 1197.

[3] Along with Professor Arthur Miller and Professor Leroy Vail of the History Department.

[4] See Toby S. Goldbach, Why Legal Transplants?, 15 Ann. Rev. L. Soc. Sci. 583, 597 (2019) (lamenting the lack of use of social science methods, or consideration of “power dynamics, competition, and contingency,” in the transplants literature).

[5] William P. Alford, To Steal a Book Is an Elegant Offense: Intellectual Property Law in Chinese Civilization (1995).

[6] See id. at 28.

[7] Id. at 118.

[8] Alford, supra note 6 at 4.

[9] Id. at 5.

[10] Id. at 6.

[11] See generally William Weightman, Is the Emperor Still Far Away? Centralization, Professionalization, and Uniformity in China’s Intellectual Property Reforms, 19 UIC Rev. Intell. Prop. L. 145 (2020).

[12] See Renjun Bian, Patent Litigation in China: Challenging Convention Wisdom, 33 Berkeley Tech. L.J. 413, 460.

[13] WIPO, Patent Cooperation Treaty Yearly Review 19–20 (2020).

[14] Alford, supra note 6 at 123.

[15] Id. at 120.

[16] See Ruth L. Gana, Has Creativity Died in the Third World? Some Implications of the Internationalization of Intellectual Property, 24 Denv. J. Int’l L. & Pol’y 109, 116–17 n.25 (1995).

[17] See id. at 133 (“Whereas the stated underlying purpose of Anglo-American intellectual property law is to encourage creative endeavor, protection of creative endeavor in Third World societies is purposely used to achieve a myriad of social, political, and economic goals.”).

[18] See William P. Alford, On the Limits of “Grand Theory” in Comparative Law, 61 Wash. L. Rev. 945 (1986).

[19] William P. Alford, Making the World Safe for What? Intellectual Property Rights, Human Rights and Foreign Economic Policy in the Post-European Cold War World, 29 N.Y.U. J. Int’l L. & Pol. 135, 136 (1996).

[20] Id. at 144–45.

[21] See Ruth L. Okediji, Does Intellectual Property Need Human Rights?, 51 N.Y.U. J. Int’l L. & Pol. 1, 32–54 (2018).

[22] See 1–3 An Oral History of the Special Olympics in China (William P. Alford, Mei Liao & Fengming Cui eds., 2020).

[23] See 1 An Oral History of the Special Olympics in China, supra note 22, at xviii.

[24] See, e.g., Laurence R. Helfer, Molly K. Land, Ruth L. Okediji & Jerome H. Reichman, The World Blind Union Guide to the Marrakesh Treaty: Facilitating Access to Books for Print-Disabled Individuals (2017); Laurence R. Helfer, Molly K. Land & Ruth Okediji, Copyright Exceptions Across Borders: Implementing the Marrakesh Treaty, 42 Eur. Intell. Prop. Rev. 332 (2020).

Alford Tribute, Content

Martha Minow’s Tribute to Professor William P. Alford

Martha Minow
300th Anniversary University Professor, Harvard University

A Scholar and Administrator Attuned: Saluting William Alford

The English verb “attune” means “to bring into harmony” or “to make aware or responsive.”  These may not be qualities typically associated with a lawyer, legal scholar, or university administrator, yet they are exemplified by the work of William (Bill) Alford across his career thus far. Notably, in his seventeen years leading Harvard Law School’s Graduate Program and International Legal Studies Program, and even longer service as Director of East Asian Legal Studies at Harvard, Bill has infused these initiatives with kindness, generosity, intellectual rigor, and his distinctive ability to weave meaningful connections across diverse nations and communities.

All of these qualities are further illustrated by his work as the founding Chair of the Harvard Law School Project on Disability which provides pro bono services on issues of disability in many nations, including China, Bangladesh, the Philippines, and Vietnam. Implementing the United Nations Convention on the Rights of Persons with Disabilities in nations that do not embrace a framework of individual rights could create genuine difficulties. Yet, illustrating attunement to cultural differences, Bill and his colleague Michael Stein effectively work to enable individuals and groups and especially persons with disabilities and their representative organizations to undertake informed human rights advocacy. This example surfaces three elements that continually inform Bill’s work: 1) insight from comparative study; 2) deep engagement with people; and 3) humility and judgment.

I. Insights from Comparative Studies

Bill is of course one of the world’s leading experts on Chinese law and legal history. Just as his scholarship draws insights through comparative work, his academic leadership reflects curiosity, respect, and analysis revolving around contrasting cultures and national traditions. In a lecture he delivered at Harvard upon his appointment as the inaugural Jerome A. and Joan L. Cohen Professor of East Asian Legal Studies at Harvard Law School, Bill described comparative legal studies and another kind of comparison: learning from the past to understand the present.[1]

His classic contribution in To Steal a Book is an Elegant Offense: Intellectual Property Law in Chinese Civilization moves from the initial recognition of a clash in international trade law between Western and Chinese conceptions of intellectual property law.[2] The book’s immersion in historical, cultural, economic, and political traditions identifies different world views around property ownership, profit as a motive, as well as contrasting perspectives on cultural and political pride and power. Finding comparisons within comparisons, the book also affords lessons from internal political developments toward Western-style intellectual property law in Taiwan that contrast with less successful external pressures for China to move in that direction.

In Raising the Bar: The Emerging Legal Profession in East Asia (Harvard East Asian Legal Studies 2007), Bill and his fellow editors and contributors trace dramatic growth in legal professional work in China, Japan, Korea, Malaysia, and Indonesia.[3] By considering these varied settings, the work illuminates distinctive relationships between law and state authorities and between law and historically disadvantaged individuals and communities. The essays show nuanced attention to similarities and differences and to contrasts that are not even well-captured by those categories. In these and other scholarly efforts, Bill displays the resistance to ethnocentrism and awareness of the impact of perspective and the opportunities for self-reflection that characterize the promise of comparative studies.[4]   His approach embodies this recognition, well-stated by author Louis L’Amour: “Much of the study of history is a matter of comparison, of relating what was happening in one area to what was happening elsewhere, and what had happened in the past. To view a period in isolation is to miss whatever message it has to offer.”[5]

Bill’s popular classes (Comparative Law: Why Law? Lessons from China; and Comparative Law Workshop) feature immersion in alternative settings and deepening attention to assumptions, often unstated, about points of departure. This approach also guides the many workshops, gatherings, and informal conversations supported by the Graduate Program and International Legal Studies with heightened elements of fun and humor. Attracting the most talented individuals from around the world to advanced legal education, the Graduate Program at Harvard Law School does not only pursue research and leadership through law, it also builds a network—during schooling and beyond—of extraordinary individuals who become leading scholars, lawyers, and political figures around the world. The strength of that network connecting students across generations owes more to Bill than can be fully expressed.

During his time as vice dean, Bill conceived, designed, and constructed rich linkages with universities in other countries. These connections make it possible for hundreds of Harvard students to study and work abroad and for students and faculty from other nations to spend time at Harvard. Expanding the graduate program to regularly bring students from more than seventy nations to study at Harvard, while maintaining its policy of need-blind admission and need-based financial aid, Bill is devoted to creating opportunities and nurturing talented individuals, which has created the largest concentration of sub-Saharan African law students in any school in North America. Year after year, students arriving from nations that had never sent any to Harvard Law School found a welcoming and congenial community of scholars eager to learn from one another with the curiosity and respect exemplified by Bill Alford.

II. Deep Engagement with People

Year after year, Bill engages deeply with individual students, visiting scholars, faculty colleagues, staff, and others. Providing a sounding board, gently probing their ideas, vigorously forging connections and opportunities, and quietly assisting with personal problems, Bill becomes the go-to person in so many people’s lives. He remembers details about people’s families and passions and circles back with more ideas and connections. His devotion to his wonderful family is mirrored in his capacity to make others feel like members of his family.

When I was dean of the Law School, I witnessed these qualities in Bill over and over, notably, including with alumni in gatherings around the world. Walking with Bill down the street in Beijing, in Taipei, in Hong Kong, and in Seoul is like walking with a rock star. Some of the fame comes from his work co-founding the first academic program in the People’s Republic of China on American law and the first national exchange program to bring Chinese students to the United States for legal education; some from the trust he has earned by both the governments of the United States and governments of other nations; as well as frequent requests for advice from multilateral organizations, foundations, civic groups and nongovernmental organizations, law firms and businesses. Bill’s public service work connects him with efforts around human rights, law reform, and the legal profession, and allows him to create deep ties with new colleagues. Bill brings these connections and resources back to Harvard and also models for students, visiting fellows, staff, and colleagues the power of allies and friends.

He is known and admired by so many people. His honorary degrees, distinguished lectureships, and awards are too many to recount. He is humble about all of this and about so much else. The level of respect and affection he has earned goes well beyond recognition of his knowledge and wisdom. It emanates from more profound appreciation for his ability and commitment to connect on a personal, human level.

III. Humility and Judgment

Bill does not carry expectations of being treated as a “rock star.”  Indeed, he tends to dismiss recognition of his own accomplishments and qualities. This humility may well be Bill’s superpower. It lies behind his approach to others, his comparative study, and his openness to learning.

Yet Bill is not lacking in self-respect nor in the ability to make rigorous and vigorous judgments. In assessing scholarship and giving students feedback, Bill may be kind but he highlights problems and makes clear what could and should be better. In reviewing proposed academic initiatives, funding sources, and policies, Bill is stringent in his judgments of quality, integrity, and risks. As a colleague and as a friend, I am so grateful to be able to turn to Bill for his unfaltering good judgment.

Having humility allows for respectful communication and acknowledgment of potential mistakes or misunderstandings even in the course of making judgments. But humility should not entail suspension of judgment or doubt about the ability to judge. As the common saying goes, “Humility is not thinking less of yourself, it’s thinking of yourself less.”

As Bill steps down from his enormous duties as vice dean for the Graduate Program, he will have more time for his vital scholarship and mentoring, his international pro bono and advising work, and for his ongoing leadership of the East Asian Legal Studies Program and the Harvard Law School Project on Disability. How terrific that his many communities will still benefit from his insights from comparisons, his engagement with people, and his powerful combination of humility and judgment.

[hr gap=”20″]

[1] See Learning from the Past to Appreciate the Present, Harv. L. Today (Dec. 19, 2018), https://today.law.harvard.edu/in-learning-from-the-past-to-appreciate-the-present-alford-draws-from-confucius-and-contemporary-china/.

[2] See William P. Alford, To Steal a Book is an Elegant Offense: Intellectual Property Law in Chinese Civilization (1995).

[3] See Harv. E. Asian Legal Stud., Raising the Bar: The Emerging Legal Profession in East Asia (William P. Alford ed., 2007).

[4] See Gunter Frankenberg, Critical Comparisons: Re-Thinking Comparative Law, 26 Harv. Int’l L.J. 411, 439 (1985); see also Vicki C. Jackson, Ambivalent Resistance and Comparative Constitutionalism: Opening up the Conversation on “Proportionality,” Rights and Federalism1 U. Pa. J. Const. L. 583 (1999).

[5] Louis L’Amour, Education of a Wandering Man 167 (1990).

Scroll to Top