China's initial encounter with international law arguably occurred in the mid nineteenth century, when gunboat diplomacy coerced China to engage in interaction with international law. The first generation of Chinese international law scholars came of age in the early twentieth century. Up to the founding of the People's Republic of China in 1949, China boasted three world court judges and two members of the Institut de Droit International from its pool of acclaimed scholars. Amongst them was the first Chinese student to gain a doctorate in law from a law school, Wang Chung Hui. Wang received his legal education in China, America, Britain, and Germany. His legal education culminated in receiving a Doctor of Civil Law degree from Yale University in 1905.Footnote 1 Wang later became China's leading jurist, and in 1922, when the Permanent Court of International Justice was formally launched, he became a judge of the World Court.Footnote 2 Cheng Tien Hsi, who received the entirety of his academic legal education at University College London and completed his Doctor of Laws degree based on a major monograph on a private international law topic in 1916,Footnote 3 went on to become a leading diplomat as well as a judge of the Permanent Court of International Justice in 1936.Footnote 4 China's first judge at the International Court of Justice was Hsu Mo, who ascended to the bench in 1946.Footnote 5 Hsu received his Master of Arts degree from George Washington University for an international law related thesis in 1921.Footnote 6 Hsu was also one of two Chinese members to be elected to the Institut de Droit International prior to the founding of the People's Republic of China. He was elected in 1948 when he was already on the bench of the International Court of Justice.Footnote 7 The other was Tcheou Wei, who was elected in 1921 in his capacity as a diplomat.Footnote 8 Tcheou was educated at the University of Paris and later at the University of Fribourg, where he received a PhD degree for a dissertation on an international law topic in 1917.
Among this constellation of accomplished Chinese international law scholars, a name that is less heard of is Chen Tiqiang. Yet, Chen was a rarity in terms of his theoretical contribution to international law. In particular, his doctoral dissertation completed at Oxford under the supervision of the famed James Brierly made substantial contributions to the doctrine of recognition in international law. Chen's vision of international law was considerably influenced by natural law theory, his strong conviction to which was manifested throughout his dissertation. After receiving his Doctorate from Oxford in 1948, he returned to China to take up a teaching post in Tsinghua University. When his monograph was published in 1951, it came to wide acclaim in the international law field and was hailed as a major work on the topic, which quality was portrayed by eminent reviewers as being on a par with the magnum opus published by Hersch Lauterpacht on the same topic in 1947.
Because of China's isolationist policy since the 1950s, Chen was cut off from interaction with the international law community until the late 1970s, when China reopened itself to the outside world. Just as Chen was finally able to return to the international law community to further his endeavour, he suffered a most untimely death in 1983. The international law field was thus deprived of the chance to make deeper acquaintance with this formidable Chinese scholar.
This paper focuses on this truly remarkable Chinese international law scholar, whose profound scholastic capacity was unfortunately thwarted by the political backdrop of his time. It posits that Chen's experience and accomplishments are evidence of how China's teaching and scholarship of public international law reached an unprecedented milestone in the late 1930s and 1940s, bearing in mind that Chen's foundational studies in international law were completed in China before setting off for a research career at Oxford. To that end, it reintroduces Chen and his noteworthy contribution to the international law community, especially in relation to the doctrine of recognition in the 1950s, by first briefly tracing Chen's educational background in China, before moving on to present an overview of Chen's doctoral dissertation and Brierly's influences therein. It then unveils Chen's impressive performance at his oral examination before two leading international law authorities, Humphrey Waldock and Robert Y. Jennings. Finally, it canvasses the extraordinary acclaim that Chen's 1951 monograph garnered from heavyweight international law scholars far and wide.
I. CHEN TIQIANG'S EDUCATION BACKGROUND IN CHINA
Chen Tiqiang, also known as Chen Ti-Chiang, was James Brierly's second and final Chinese research student at Oxford.Footnote 9 Before heading to Oxford in October 1945 on a British Council Scholarship, Chen had received an excellent academic foundation at Tsinghua University's Department of Political Science. He had matriculated at Tsinghua University in the autumn of 1935 before the relocation of Tsinghua and other universities away from Beijing due to the Sino-Japanese war.Footnote 10 Chen received his bachelor's degree in July 1939.Footnote 11 At Tsinghua, Chen took several courses related to his subsequent study at Oxford. He took a public international law class with Wang Huacheng, an eminent international law scholar educated at the University of Chicago, and scored 90 out of 100 marks,Footnote 12 making him one of the two top students in the course. He also took a course on international relations and organizations with Wang Huacheng, as well as the law of treaties and constitutional law courses with Harvard-educated Tsui Shu-Chin.Footnote 13 After graduation, he stayed on at Tsinghua as a research assistant at the Center for Research in Administration under the Department of Political Science.Footnote 14 Chen held this position for three years until he joined the government service in 1942, first at the Party Politics Work Examination and Verification Commission, and then at the Treaty Department of Ministry of Foreign Affairs until 1944.Footnote 15 In the interim, he published his first book, entitled Foreign Affairs Administration in China.Footnote 16 His activities in the aftermath of leaving the Ministry of Foreign Affairs in 1944 prior to sailing to England in August 1945 are not clear, though it is likely that he was occupied with the writing of his next book, A Treatise on English Administrative Law, which was published in 1945,Footnote 17 and preparing for the scholarship selection examination.
In fact, Chen had already conceived the idea of advancing his education in public international law abroad three years before its actualization in 1945. His intention was made plain in a letter he had sent to Mei Yiqi, then President of Tsinghua University, shortly after leaving Tsinghua University in 1942:Footnote 18
After leaving the University, [I] immediately joined the party politics work examination and verification commission, [I] deeply felt that the inadequacy of knowledge to deal with issues, and strongly desired to find ways to go to the U.S. for further education. [I] contemplated requesting you to write a letter of introduction for the Graduate Schools of Columbia University and University of Chicago for the purpose of my pursuing specialised studies in public international law there. On the account of my lack of personal fund, except travel money, it would be best to request these two universities to consider granting a scholarship, this will pave the way [for me] to realise my long-held dream of studying [public international law abroad].
This letter makes it apparent that Chen's initial desire was not to head for England, but to journey to America, with a particular preference for Columbia University and the University of Chicago. This choice was unsurprising. At that time, there were two international law specialists at Columbia, namely Philip Caryl JessupFootnote 19 and Charles Cheney Hyde.Footnote 20 At Chicago, there was Quincy Wright,Footnote 21 who had taught and mentored several leading Chinese scholars of international law, including Chen's former professor, Wang Huacheng, who had taught him public international law, and international relations and organizations at Tsinghua. Handicapped by his finances, Chen's “American dream” must have fallen through, which explains his three years spent at the Ministry of Foreign Affairs.
II. JOURNEYING TO ENGLAND
In late 1944, an opportunity knocked on Chen's door. The British Council rolled out a generous all expenses paid scholarship scheme after the war to send promising Chinese students for graduate programmes in England. Chen jumped at this prospect. After taking the scholarship selection exams,Footnote 22 he stood out among the competitors for the law category, becoming one of two winners for that category that year.Footnote 23 He was named as the winner of the scholarship for constitutional law,Footnote 24 while Hwang King Hung, also known as Huang Jinhong, a graduate of the Central Institute of Political Sciences, was named as a winner of the scholarship for graduate studies in international law.Footnote 25 This outcome was likely explicable by the fact that Chen's prior publications gave a strong impression that his background was better suited to focus on constitutional or administrative law, as one of his monographs that had been published by then was entitled A Treatise on English Administrative Law. Another possible explanation was that Hwang had a superior performance in the international law selection exam.
A. Admission by Lincoln College and Law Faculty Board
Chen was allocated to Oxford University by the British Council.Footnote 26 At Oxford, there is a statutory Chichele Professorship of Public International Law and Diplomacy, which was established in 1859.Footnote 27 At the time of Chen's enrolment at Oxford, Brierly was the holder of this eminent chair. In 1945, he had already held the chair for more than two decades and was already sixty-four years old—just two years before his announced retirement.
While Chen was on the way to England, the British Council had already arranged his admission to Lincoln College, Oxford. As a scholarship holder, Chen did not need personal connections to gain admission, since the British Council was charged with co-ordinating the admission and supervision of a large number of scholars selected from all over the world.Footnote 28 He was admitted by the College on 4 October 1945.Footnote 29 The information furnished for registration shows that he was born on 1 September 1917 in Fuzhou, Fujian, as the first son of Chen Ming, a teacher.Footnote 30
On 1 November 1945, Chen filled out a form initially applying for admission to the Doctor of Philosophy programme. He put down his academic qualification as a Bachelor of Laws degree awarded by Tsinghua University in July 1939.Footnote 31 As evidence of his research aptitude, he provided the title of an award-winning book he authored, “Foreign Affairs Administration in China (in Chinese) published by Commercial Press, 1944 [sic]”.Footnote 32 He stated that this publication won a prize awarded by Ministry of Education for Books of the Year.Footnote 33 In addition, he submitted a letter of reference in support of his admission from Professor S.Y. Chang (Zhang Xiruo), Director, Political Science Department, Tsinghua University. At the beginning, Chen seemed to be interested in researching war crimes,Footnote 34 for China had just suffered a period of horrendous, brutal invasion by the Imperial Japanese Army, and this was a topic dear to his heart. These records suggest that the British Council did not exercise strict control over their scholars’ final choice of study, so long as they were able to find themselves a supervisor to oversee their research.
Eventually, in order to find himself such a supervisor, Chen had to alter his application. In 1945, the Oxford Faculty of Law was quite small compared with its strength today—it only had five professors, three readers, and one lecturer. Brierly was the only one who specialized in public international law,Footnote 35 and, as a corollary of Chen's proposed branch of study, was undoubtedly the most suitable supervisor for Chen. Probably on the advice of Brierly, Chen changed his intended research topic to “the problem of recognition” and sought admission to the programme of Bachelor of Letters [BLitt] instead of Doctor of Philosophy [DPhil].Footnote 36 While the university regulation at that time actually allowed an applicant in Chen's situation to be directly admitted to the doctoral programme,Footnote 37 Chen was nevertheless recommended to apply to the BLitt programme instead, probably due to the faculty's lack of experience dealing with Chinese applicants to the research law programme, or because Brierly's first Chinese research student had failed to complete the law programme fifteen years earlier. Harold Greville Hanbury, who was a law tutor and concurrently a senior tutor at Lincoln College, endorsed Chen's application and forwarded it to the Law Faculty Board for approval.Footnote 38 On 24 November 1945, Chen finally matriculated as a student of the university.Footnote 39 On 1 December 1945, after the Law Board's meeting, the Applications Committee recommended that Chen's application be granted and Brierly was invited to be Chen's supervisor.Footnote 40 The role of supervisor at Oxford during that era was to “direct and superintend the work of the Student, but not to give him systematic instruction”.Footnote 41 Despite Brierly's advanced age and impending retirement, he willingly took this young man from China under his wing, possibly because he was impressed with Chen through their interactions, and also because of Brierly's sympathetic attitude towards China.Footnote 42
Even though Chen was admitted to read for the BLitt degree, his dream of pursuing a doctorate was not dashed by this initial impediment, because the University regulation allowed a student or probationer-student for the degree of BLitt satisfying certain conditions to transfer to the doctoral programme, not later than the third term after his admission.Footnote 43 Thus, while Chen was in his third term (by that time, each academic year consisted of three terms at Oxford), he took advantage of this privilege with the blessing of his supervisor. His exceptional industry, demonstrated ability, and admirable progress must have greatly impressed Brierly. By June 1946, Chen was given the indication to apply for transfer to the status of advanced student (doctoral student).Footnote 44 On this occasion, in support of his application, Chen submitted three letters of recommendation from his alma mater: from Dr Y.C. Mei (Mei Yiqi), President of Tsinghua University, Professor S.Y. Chang (Zhang Xiruo), Director of the Political Science Department, and Professor Quentin Pan (Pan Guangdan), Dean of the Law Faculty.Footnote 45 His research had expanded to include not only recognition, but also succession in international law, as suggested by the proposed title, “Recognition and Succession in International Law”.Footnote 46 Hanbury, his tutor at Lincoln, in his capacity as senior tutor, endorsed this transfer application on 3 June 1946.Footnote 47 It was conceivable that Brierly had made all the arrangements for a smooth transfer, for the Applications Committee promptly gave the green light to his application on 15 June 1946.Footnote 48 With that, Chen became China's first doctoral student in law at Oxford. He persevered in his arduous but fruitful research journey. Chen was Brierly's last pupil at Oxford. Even after Brierly retired from his chair at Oxford in August 1947,Footnote 49 he was still willing and able to supervise him until he took up the Montague Burton Professorship of International Relations at Edinburgh from 1948 to 1951. By that time, Chen had completed his study in England.
B. Camaraderie Between Chen and Cheng Bin
During Chen's study in England, he struck up a friendship with a like-minded, brilliant Chinese law student, Cheng Bin, who was a contemporary of his, six years younger, and who would later become a foremost authority on public international law, aviation law, and space law. Cheng was a research student at University College London, reading for a PhD in law under the supervision of famed public international law scholar Georg Schwarzenberger.Footnote 50 At that time, the London School of Economics boasted a first-class specialist library housing capacious volumes relating to international law.Footnote 51 Chen's dissertation was based upon consulting a voluminous amount of material relating to state recognition. It goes without saying that this library was an ideal place to conduct his research.Footnote 52 It was at this library that Chen first met Cheng and made his acquaintance.Footnote 53 Cheng was a regular user of the library during the second half of the 1940s,Footnote 54 and there were many chances for the two to get together. According to Cheng's recollection: “T. C. Chen often came down from Oxford to carry out his research there too. We were there working on our respective doctoral theses, his for the Oxford D. Phil. and mine the London Ph.D. That was how we first met.”Footnote 55 Chen formed a lifetime friendship with Cheng, and they discussed international law problems of mutual interest frequently over lunch breaks.Footnote 56
III. CHEN'S DISSERTATION AND HOW BRIERLY'S TEACHING AND LEGAL PHILOSOPHY INFLUENCED HIM
Why did Chen choose to do research on the doctrine of recognition? In his own words, his motivation and objective were as follows:
The problem of recognition is, by general agreement, one of the most perplexing problems of international law. An attempt is here made to examine the various aspects of the problem in the light of British and American practice, and to induce therefrom certain underlying principles which may afford explanations for what might otherwise appear to be somewhat bewildering phenomena in international life.Footnote 57
A. A Brief Overview of Chen's Dissertation
Chen's unedited dissertation spanned 567 pages, exclusive of nine pages of case names and thirteen pages of bibliography.Footnote 58 The amount of material he consulted was stunningly exhaustive. He adopted theoretical as well as empirical approaches in his research, the result of which was a comprehensive dissertation containing theoretical analyses and a wide-ranging distillation of judicial practices at international and national courts, whereupon he sought to cast his reflections and suggestions. His unedited dissertation comprised seven chapters, a brief summary of which is annexed in the Appendix to this paper.Footnote 59
Recognition in international law has two competing theories—the constitutive theory and the declaratory theory. Chen was highly critical of the constitutive theory, which posits that the state is “the ultimate source of international rights and duties”,Footnote 60 and that “a State cannot be bound by any obligation except with its own consent, a new State or government or insurgent body cannot be allowed to exercise rights against an existing State unless it has recognised them”.Footnote 61 To him, this was an extremely ill-balanced and unjustifiable proposition—not only would it allow an entity to “be free to liberate itself from the restraints of law with respect to other entities by simply refusing to recognise them”, it further “indulges in the illusion that the rights of a Power, as long as it is not recognised, may be infringed with impunity”.Footnote 62 If so, “[s]uch a view may serve the purpose of Machiavellian statesmen who put national interests above all others. It provides them with a justification for ignoring the existence of other entities and denying them rights under international law.”Footnote 63 Chen, with his strong conviction that international law was designed to “regulate the conduct of political entities in harmonious co-existence within a community”, thus passionately asserted that upholding the constitutive theory would be “highly detrimental to international harmony and would defeat the purpose of international law”.Footnote 64 In Chen's view, the higher purpose of international law was to offer protection against the encroachment of the rights of weaker states: “non-recognition does not give the foreign State the right to treat the unrecognised Power as if it were beyond the pale of international law.”Footnote 65 Hence:
[The] constitutive view that the international community is in the nature of a closed club, to which new entities can only be admitted through recognition, is itself erroneous. It is certainly untrue today that any portion of humanity can be treated as beyond the protection of international law.Footnote 66
Instead, Chen was an ardent exponent of the declaratory theory:
As far as international law is concerned, the recognition is not constitutive, but declaratory … By assuming that a State, once having satisfied objective tests, ipso facto becomes a person in international law, the declaratory theory is spared the logical absurdities which embarrass constitutivist writers.Footnote 67
He further rejected modified versions of the constitutive theory, for these “either [were] inadequate to remedy the defects of the traditional theory, or approximate to the declaratory view so closely that they [were] practically indistinguishable from it”.Footnote 68
Chen was adamantly opposed to using the weapon of recognition to interfere with a state's ability to govern itself. “Considerations such as the willingness to fulfil international obligations may influence the decision of other States whether or not to enter into relations with it. But this does not entitle other States to deny it the right to govern.”Footnote 69 In fact, this was Chen's insinuated attack on the Western powers’ coercive gunboat diplomacy toward China's opening and subsequent imposition of extra-territoriality. When China was first breaking the ice with the West in a bid to establish political and trade relations, it was made to bear with the Western powers’ refusal to accord it proper recognition as a civilized nation, thereby denying it the enjoyment of the panoply of rights under international law. Their coercive gunboat diplomacy toward China's opening and subsequent imposition of extra-territoriality “explains what appears to be the contradictory conduct of States which, while entering into certain relations with a new entity, yet persistently maintain that no recognition is being accorded”. This humiliating and painful experience might have triggered Chen's subscription to the view that “[a]ll that a foreign State can do is either to abstain from any intercourse with it, or to employ the ordinary measures of international pressure after the establishment of normal relations”.Footnote 70
Chen spent an entire chapter of his dissertation on the issue of recognizing belligerency and insurgency, making a significant contribution to this novel area of study. Chen argued that the declaratory principle of recognition, as framed by him, applies “mutatis mutandis to the recognition of belligerency”.Footnote 71 He took the view that belligerent bodies possess legal personality, because civil wars “may be regulated by the same rules as those obtaining in international wars”.Footnote 72 Chen further avers that there are two elements of recognition—a declaration of fact and an expression of the intent to enter into political relations. While the former must be irrevocable and unconditional, the latter was revocable and capable of being subject to conditions. In any case, “revocation of recognition does not affect the legal existence of the recognised entity”.Footnote 73 In the context of belligerent recognition, Chen argued that such recognition could not be revocable, or otherwise the rescission of recognition would amount to “taking sides in the struggle”.Footnote 74
In terms of judicial practice, he found that “recognition does not affect legal rights and duties of the parities”.Footnote 75 He suggested that an international tribunal should adjudicate “such rights as they would be entitled to according to their actual existence, irrespective of whether or not one party has recognised the other”.Footnote 76 That said, Chen accepted that a national court could still adopt a different approach, particularly in those states subscribing to the principle of judicial self-limitation, because the national courts in these scenarios were precluded from inquiring into the legality of the acts of the political branch in the light of international law.Footnote 77
Like his supervisor, Chen took a naturalist position towards international law, arguing that there was a “higher law” governing the legality of acts of states. He strongly disapproved of some writers who were similarly proponents of the declaratory principle but had “sought to apply the logic to acts in breach of international law”.Footnote 78 These writers’ basic view was that, since recognition was based on the factual existence of certain conditions, a factual situation brought about in contravention of law ought to be similarly recognized, because “it has become a fait accompli”.Footnote 79 Chen offered his resolute counter-argument as follows:
In the recognition of states, governments and belligerent communities, the situation of fact is not itself contrary to law. On the contrary, it is envisaged by international law, which gives it legal effect when it arises. But an act which is illegal cannot bring about legal consequences beneficial to the wrongdoers. A legal order cannot be maintained if every violation of the law immediately becomes a source of rights.Footnote 80
B. Brierly's Influence on Chen
At this point, it is most appropriate to briefly examine Brierly's signal contribution to international law and its practical influence on Chen. In an illuminating essay piece on Brierly's contribution to international law by the esteemed Hersch Lauterpacht, it was opined that Brierly's most significant and lasting contribution “lies in the fact that during a period of transition and reassessment of values, he threw the weight of his writing and teaching in the scales of what may properly be regarded as a progressive conception of international law”.Footnote 81 More concretely, Brierly argued for the revival of natural law as the moral foundation of international law, namely that, there was a pressing need to place a constraint on states’ unbridled control over the formulation and development of international law. Brierly disagreed with the then prevailing doctrine of positivism and vehemently contested the rigid separation between law and morality. In a nutshell, Lauterpacht summarized Brierly's contribution as having found manifestation in “the rejection of positivism, the affirmation of the moral foundation of international law, the recognition of the individual as a subject of international law, the vindication of the unity of international and municipal law, and his criticism of the notion of the international sovereignty of the State”.Footnote 82 His outlook on the first two aspects evidently had a profound influence on Chen, as exhibited throughout his dissertation.
Indeed, Brierly's last pupil at Oxford was a faithful disciple, who wholeheartedly embraced his mentor's teachings and thoughts on the role of the natural law theory in international law. In fact, Chen's championing of the declaratory theory of recognition was largely predicated upon the natural law theory:
In this theory, the declaratory doctrine of recognition finds a natural alliance. For to argue that a State can become a subject of international law without the assent of the existing States, it is necessary to assume the existence of an objective system of law to which the new State owes its being. The existence of such a system of law is the basic condition for the validity of the declaratory theory.Footnote 83
Like Brierly, Chen firmly rejected the dogmatic adherence to positivism, arguing along the same lines and logic as propounded by his supervisor about the moral foundation of international law. For instance, when Chen discussed the obligatory character of international law, he articulately questioned the positivists’ apparent oblivion to the inherence of morality in their assumptions:
The positivist theory which relies upon the maxim pacta sunt servanda, such as that held by Professor Kelsen, Verdross and Anzilotti, indeed, explains the binding force of treaties, but leaves completely unexplained the binding force of the basic substratum of customary norms, of which the maxim is one. The maxim forms a sort of superior norm, from which all other norms emanate. But it is itself an a priori assumption, anterior and superior to law, having its origin in political and moral circumstances but not admitting of a juridical explanation.Footnote 84
Chen was utterly taken by Brierly's teachings that there was a “close connexion between law, morals, and politics, and the consequent importance of international law for the philosophic study of the law”.Footnote 85 He drew upon Brierly's mild assertion that “only a gloomy pessimist would fail to recognise that common moral and cultural standards do exist internationally, that they influence conduct between nations and that this community of sentiment, imperfect though it is, affords some basis for law”,Footnote 86 and pronounces this view “valuable as a corrective to the cult of State-worship and the inflexible logic of the theory of sovereignty”.Footnote 87 Brierly's impact on Chen's intellectual orientation and development was evident throughout his doctrinal analyses and arguments in his dissertation, and would continue to be demonstrated in Chen's subsequent works.
IV. ROBERT JENNINGS AND HUMPHREY WALDOCK'S EVALUATION OF CHEN'S DISSERTATION
By April 1948, Chen had completed his dissertation and could set in motion the procedures required for the oral examination for the award of his DPhil degree.Footnote 88 The University appointed two impressive giants in public international law as the examiners for Chen's oral examination,Footnote 89 Robert Y. Jennings and Humphrey Waldock. Both examiners came from fascinating and remarkable backgrounds and were most appropriate and qualified to assess Chen thoroughly in all aspects of international law.
Jennings was then a lecturer of International Law at Cambridge University, and in a few years’ time, would move on to succeed Lauterpacht as Whewell Professor of International Law at Cambridge. Jennings was a mere three years older than Chen.Footnote 90 At the time of Chen's viva voce, his second examiner, Waldock, had already succeeded his supervisor, Brierly, as Chichele Professor of Public International Law and Diplomacy at Oxford. Waldock was thirteen years Chen's senior .Footnote 91 After completing his studies at Oxford, he practised law for a while, before returning to Oxford as a don after his election to a fellowship at his alma mater in 1930, aged twenty-six.Footnote 92 In 1947, following the retirement of Brierly from the Chichele Chair, at the age of forty-three, Waldock was elected to succeed Brierly in August 1947.Footnote 93
Chen's thesis was sent to his examiners on 1 June 1948, and at the end of month it was announced in the Oxford University Gazette that his oral examination had been scheduled—Waldock and Jennings would orally examine him on the submitted dissertation, “Recognition in International Law” on 10 July 1948 at 10 a.m. in the Old Library Lecture Room, All Souls College.Footnote 94
Chen acquitted himself brilliantly in the viva, and his two examiners were most impressed by his dissertation and defence.Footnote 95 To begin with, Chen had chosen an extremely complex and sophisticated research topic. Moreover, distinguished jurists such as Lauterpacht had already written quite extensively on that area. The magnitude of the challenge and difficulty was revealed by the two examiners’ pointed remark at the outset of the examiners’ report dated 10 July 1948:Footnote 96
Recognition is one of the most confused subjects in International Law owing to the extent to which the practice of States has been influenced by the needs of ephemeral policies. The literature is vast and there is a wealth of historical and legal precedents many of which are scarcely reconcilable even in regard to the practice of individual States. The task which Mr. Chen set himself, therefore, required powers of analysis and exposition of a high order and, in addition, he was entering a field in which distinguished jurists have written.Footnote 97
At the time of the viva, the examiners were fully cognisant of Lauterpacht's work on the same subject and were predisposed to draw comparisons. The prospect of being benchmarked against a world leading authority would have intimidated most, but his examiners considered that Chen had pulled it off with skill and confidence:
Shortly before his thesis was completed, Professor Lauterpacht's monograph was published in which this eminent authority embraced a modified version of the “constitutive” theory. Mr. Chen, undaunted, has subjected Professor Lauterpacht's views to shrewd criticism and has presented his own contrary opinion with skill.Footnote 98
Throughout the examiners’ report, the only shortcoming that was raised concerned Chen's somewhat overzealous advocacy of his view in support of the declaratory theory, a tendency not unusual for one so fervently convinced of his stand:
Writers on Recognition fall into two main Schools as they adopt the “constitutive” or the “declaratory” theories, Mr. Chen is a vigorous exponent of the declaratory theory. Mr. Chen has perhaps overstressed his own championing of the “declaratory” theory. This is very understandable in the circumstances that sometimes lead Mr. Chen to dismiss the contrary arguments a little cavalierly.Footnote 99
Chen's understanding of public international law was clearly of the first order. Through years of study and research, he had become a brilliant generalist and a rising authority on this subject. His praiseworthy analytical abilities, coupled with his astounding English literary skills, made Chen a rarity amongst the Chinese students who completed their research degrees at Oxford in the early part of the twentieth century:
Mr. Chen shows, in his thesis, wide reading, sound scholarship and considerable critical powers; he also shows an excellent knowledge of the general principles of international law. His style is lucid and his choice of phrase often felicitous. He presents complicated, and sometimes bewildering, material with a facility which testifies to the manner in which he has mastered its content. His able handling of this material and his independent criticism both of the precedents and of the opinions of writers combine to make his thesis an original contribution to the study of the subject of substantial merit.Footnote 100
V. THE SCHOLARLY COMMUNITY'S OVERWHELMINGLY FAVOURABLE REACTION TO CHEN'S MONOGRAPH
Like many, Chen harboured intentions to have his doctoral dissertation published in England, but it was no easy task to have a book published in postwar England. Cheng Bin recalled that, “In the immediate post-war Britain, there was a paper shortage among other things and having a book published was difficult”.Footnote 101 It was probably due to Cheng's introduction that Chen got to know Georg Schwarzenberger, a key person at the London Institute of World Affairs.Footnote 102 The Institute had published quite a number of books at that time, and Chen, with great fortune, had his manuscript accepted for publication by the Institute, thereby joining a list of eminent scholars, such as George W. Keeton, Georg Schwarzenberger,Footnote 103 Hans Kelsen,Footnote 104 Sir W. Eric Beckett,Footnote 105 Leland Matthew Goodrich, and Edvard Hambro.Footnote 106 Chen left England after completing his studies in the summer of 1948, but the manuscript “was handed over to L.C. Green, the Secretary of the Institute and a Lecturer at University College London to have it edited before publication”.Footnote 107
A. Foreword by Brierly—His Enthusiastic Praise of Chen's Research and Contribution
As the supervisor who had guided Chen through his doctoral research and thesis writing, Brierly graciously penned the foreword for Chen's book, whereupon he pronounced his praise for Chen as his doctoral student and the quality of his completed research.
At the outset, Brierly made it clear why this was timely research and an important publication: “Although Recognition has probably been more discussed among international lawyers in recent years than any other part of the international legal system, the controversy which still exists as to its nature and effects is a sufficient justification, if one should seem to be needed, for another book on the subject.”Footnote 108 After all, the controversy over the competing constitutive or declaratory theory was—as aptly put by Chen in his own words—the “fundamental cleavage between those who regard the State as the ultimate source of international rights and duties, and those who regard it as being under a system of law which determines its rights and duties”.Footnote 109 Brierly was effusive in his praise of the superior quality of Chen's work: “Dr. Chen has adduced powerful arguments to prove, firstly, that if the former theory [constitutive theory] is consistent with itself, it must logically lead to a denial of the obligatory character of international law, and, secondly, that the balance of authority in State practice and in the jurisprudence of courts is strongly in favour of the latter [declaratory theory].”Footnote 110 Besides Chen's contribution to the doctrinal analysis of recognition, Brierly also asserted that Chen's monograph had made an equally profound contribution to the practice of international law. “Dr. Chen's book”, he wrote, “will be useful for the full and scholarly examination which he has made of the abundant materials to be found in the practice of States, in judicial decisions, and in the literature of the subject.”Footnote 111 To most effectively tackle the often conflicting and indecisive problem in the doctrine of recognition, Brierly took the view that the best and most basic methodology would be to conduct “scientific determination of the law as it exists with all its imperfections and uncertainties”.Footnote 112 He believed that Chen's monograph made the cut in this respect. Recognition was one of the topics for which the newly founded International Law Commission, under the auspices of the United Nations, was hoping to prepare a codifying draft. Brierly emphasized that this was a daunting task, as shown by Chen's meticulous, arduous work on this question,Footnote 113 and thought it “unwise” for the Commission “to look for quick results”.Footnote 114 He suggested that the Commission follow Chen's example and conduct “patient and thoroughly objective preparatory research work … on lines such as those which Dr. Chen has followed in this book”.Footnote 115
When Chen's book based on his dissertation was released in 1951, the lavish praise that his research had received from his supervisor and viva examiners was matched by an overwhelmingly favourable reception of the publication by German, Austrian-American, British, American, and French scholars of public international law alike.
B. The British Year Book of International Law
Eminent international lawyer Sir W. Eric BeckettFootnote 116 was the first to review Chen's book upon its publication in the British Year Book of International Law.Footnote 117 This was a leading journal of international law, then under the editorship of Hersch Lauterpacht. Its Editorial Committee consisted of well-respected legal luminariesFootnote 118—Brierly, Jennings, Waldock, Hugh McKinnon Wood, Gerald Gray Fitzmaurice, and Ben Atkinson Wortley—giving it the appearance of being the UK's “Who's Who in International Law”. Each year, only a small selection of books would be reviewed in the Year Book, and in 1951 Chen's newly minted monograph was one of the select few that received a highly positive review.
The reviewer, Sir Eric Beckett, had a remarkable career as a scholar and was the chief legal adviser to the UK Foreign Office from 1945 to 1953.Footnote 119 An outstanding graduate of Oxford University, he boasted very distinguished academic accomplishments and received almost all conceivable high honours at Oxford.Footnote 120 In 1951, he was the UK government's agent in the high-profile Anglo-Norwegian Fisheries case before the International Court of Justice at The Hague.Footnote 121 Because of his splendid scholarly and governmental legal advisory background, Beckett's opinion of Chen's book would naturally be deemed authoritative, for he was known to be “endowed with an unusual degree of instinctive insight into any legal question, and would penetrate in a flash straight to the heart of the problem, as if by an act of vision—and seldom did he prove wrong”.Footnote 122 As such, his review of Chen's monograph deserves great scrutiny.
It also bears noting that back in 1947, Beckett had reviewed Lauterpacht's book on the topic of recognition in this same journal.Footnote 123 At that time, when Chen first became aware of Lauterpacht's forthcoming book on recognition, he had hesitated over whether to continue his dissertation on the same subject, but eventually pressed on. In the face of such a prominent authority's publication, it would take great gumption for a budding entrant to the academic world to put forth another book on that exact topic just a few years later. Beckett, being very much satisfied with Chen's book, was thus comforted that Chen persevered and brought his research to fruition: “Every serious student of international law should be glad that Professor Chen was not deterred from publishing his book.”Footnote 124
As an avid exponent of the declaratory theory at the doctrinal level, Beckett argued that Chen was able, and performed at times an almost brilliant task:
The constitutive position with regard to recognition cannot (Professor Chen argues) logically be consistent with the obligatory character of international law. These doctrinal questions are argued at the beginning of the book in a manner which is able and at times almost brilliant.Footnote 125
One common problem that bedeviled the question of recognition was the confusion between the recognition of states and the recognition of governments of states. Yet, Beckett noted that “Professor Chen sometimes separates the two issues admirably”.Footnote 126
In the main, Beckett had a very agreeable view of Chen's work, commenting that: “With the author's main line of approach and with the bulk of the author's views in detail the reviewer finds himself in agreement.”Footnote 127 He described Chen's book as going “over the whole field … neither theory nor practice is neglected in any aspect. The material is very full.”Footnote 128 He was particularly impressed by Chen's meticulous research of this subject and found that such an approach in itself was already of considerable value:
The work under review is studded with footnotes and references to authorities and practice. Almost every sentence has a footnote. The mere list of judicial decisions cited occupies nearly eight pages. The fault, if fault there be, is definitely on the right side … if there were no other reason for practitioners and advanced students to welcome this book (and indeed there are other reasons), it would still be of great value because the reader is almost sure to find in it some reference to practice or authority on almost every point that can arise. The amount of painstaking research involved must have been enormous.Footnote 129
That said, Beckett pointed out that Chen's approach was not above criticism. He took the position that, if Chen “may have gone a little too far in the right direction, it is perhaps because the references to practice and authority are at times rather indiscriminate”.Footnote 130 Relatedly, Beckett notes that, with his personal knowledge of those cases, “it is at least possible to take the view that the authority cited can better be explained in another way and does not really support the view for which it is cited”.Footnote 131
Some complaints that Beckett had of the book were that:
[I]n detail there are a fair number of comments with which the reviewer would disagree and one or two which seem to be almost perverse in their failure to see what appears to be the obvious and simple answer. But these latter cases are generally where the author becomes too much entangled with his doctrinal position.Footnote 132
At first glance, these pointed remarks may appear harsh, but having read Beckett's earlier review of Lauterpacht's book in 1947, one might come to learn that this terseness was merely his style of review. In fact, he was equally, if not much more, harsh on the Lauterpacht book.Footnote 133 For instance, the reviewer commented, “Professor Lauterpacht spends what is possibly an excessive amount of space in criticizing the case of The Arantzazu Mendi, a case in which there was a singular unanimity of English judicial opinion”.Footnote 134 Moreover, his other criticisms of Lauterpacht's book were even more blunt and direct:
The first [criticism] is that the book is at present not altogether easy reading because the material is perhaps not quite fully digested … The second main criticism is that the work would be immensely improved if the author had to a greater extent carried out his principles to their logical conclusion.Footnote 135
All in all, Beckett ostensibly held a high opinion of Chen's intellectual work. In closing, Beckett openly commended Chen for his fair-mindedness and objectivity—“In fact, in the whole book, on this topic as well as others the author is remarkably objective and impartial. Further, treating the topic of the ‘doctrine of non-recognition’ (i.e. of situations brought about by violations of international law), the author takes up a reasonable (middle) position.”Footnote 136
C. International Affairs and the International and Comparative Law Quarterly
Robert Jennings, one of Chen's viva examiners, was so impressed by Chen's work that he had no reservation in giving a glowing review of the book in a 1952 issue of International Affairs, which began with:
This is an exhaustive treatise on the international law of recognition, covering almost all aspects of the subject, from broad issues such as the place of recognition in the general jurisprudence of international law down to matters of detail. The author's examination and analysis of his source materials has been exceedingly thorough … it provides a rich store of precedents, especially from British and American practice.Footnote 137
Jennings took the view that Chen's contribution to this topic was significant, and that his treatment of the recognition of belligerency and of the doctrine of non-recognition were particularly novel and valuable:
Dr Chen has made a real and important contribution to a very difficult subject. He writes from the point of view of a convinced disciple of the pure declaratory school, and certainly produces a most impressive array of material and argument in support of the declaratory theory. His treatment of the recognition of belligerency and of the doctrine of non-recognition are particularly suggestive and valuable.Footnote 138
Jennings also spoke very highly of his senior colleague Lauterpacht's study of recognition, but he also made it clear that Chen would have a deserved place in the field and predicted with confidence that Chen's monograph would become a classic standard work on recognition:
Lauterpacht on recognition remains, as Dr Chen would be the first to admit, the most important work on recognition; but there is room also for Dr Chen's rather less inspired but still highly competent and scholarly study, written from a different and more orthodox point of view. It can safely be assumed that Chen on recognition will be a standard work for many years to come.Footnote 139
Not all British academics saw eye to eye with Jennings. For example, one unnamed reviewer in the International and Comparative Law Quarterly faulted Chen for his infelicitous use of the English language, arguing that this hampered Chen's exposition of ideas. “Dr. Chen is not writing in his own language”, he noted, “and the reader has the sense at the end that he has often seen Dr. Chen's thought through an obscuring veil.”Footnote 140 But the reviewer conceded that this was an especially valuable book—“Not the least valuable part of the book is the very extensive array of case-references and references to other authorities. This makes it one of the best books of the first approach to any question of recognition.”Footnote 141
D. The Annals of the American Academy of Political and Social Science
Chen's monograph attracted the attention of Quincy Wright, a longtime Professor of International Law at the University of Chicago, whom Chen had initially wished to further his studies under. Wright recognized Chen's monograph as “a comprehensive exposition and analysis of the law of recognition”.Footnote 142 Furthermore, he was impressed by the meticulous way in which Chen had handled this research: “The cases and voluminous literature of the subject are cited in footnotes, and fourteen pages are devoted to a listing of the cases and literature.”Footnote 143 But he took strong issue with Chen's position in favour of the declaratory theory, which articulated a view that states and governments possess rights and duties under international law by mere reason of their factual existence. Wright argued that “[t]his theory assumes that the interpretation of ‘facts’ is self-evident in a degree hardly justified by experience”.Footnote 144 He gave several illustrations to buttress his view.Footnote 145 Essentially, Wright argued against a dogmatic approach toward recognition and appeared to suggest that Chen had committed this folly. In a nutshell, Wright believed recognition was an issue subject to many complex factors, and that “[i]t is difficult, therefore, to formulate any absolute rule”.Footnote 146 He took the position that “[t]he problem is one of evidence rather than of argument. In some circumstances recognition is a ‘juridical act’ implying a duty to recognise vel non and in others it ‘political act’ exercisable at discretion”, and thus he was not persuaded by Chen's exposition of the declaratory theory.Footnote 147
E. Die Friedens-Warte, Archiv des Völkerrechts, and Revue Française de Science Politique
Hans Wehberg, a well-known progressive international law scholar from Germany, penned an enthusiastic review in German of Chen's monograph and could not refrain from introducing this magnum opus to German readers by “I would like to draw the attention of international law circles to this outstanding work”.Footnote 148 Wehberg was invited to deliver the lecture “L'interdiction du recours à la force: le principe et les problèmes qui se posent”Footnote 149 at The Hague Academy of International Law in 1951. Though it appears that Chen's work came to his attention after the lecture, he later stated that Chen's arguments in the monograph lent further support to positions he took in The Hague lecture and were a refreshing perspective. He also made clear his admiration for Chen's thorough knowledge in all areas of international law. As an admirer of Chen's “rare literary skill, [and] his excellence in the collection of cases and decisions”,Footnote 150 he was impressed by the maturity of Chen's judgement in analyzing the copious materials. In the end, he claimed that “Chen will have to be remembered as a great scholar. We certainly expect to see some valuable publications from him.”Footnote 151
Hans-Jürgen Schlochauer, a German Professor of International Law at Cologne University, was inclined to agree with Lauterpatcht's analysis of the question of recognition. When reviewing Chen's book, he touched upon a few weaknesses of the work and regretted that it only focused on American and English practice.Footnote 152 However, at the end of his review, he stated in unmistakable terms the significant value of Chen's book: “In spite of these objections, the work is an invaluable material, thanks to the abundant, carefully documented events … it represents a valuable addition to Lauterpacht's book.”Footnote 153
Alexandre-Charles Kiss, a Hungarian-born French scholar, who later became a leading authority on international environmental law, reviewed the book in a French publication. He highlighted a unique contribution made by Chen's work: unlike previous scholars, Chen specifically dealt with the recognition of belligerency and insurgency, providing a new contribution to an issue rarely treated in international law by publicists.Footnote 154
F. Harvard Law Review
Josef Laurenz Kunz, an Austrian-American jurist, and a disciple of Hans Kelsen, who was then Professor of International Law at the University of Toledo, also proffered a review of Chen's monograph. Kunz had published a monograph on the same subject in 1928 entitled Die Anerkennung von Staaten und Regierungen im Völkerrecht [The Recognition of States and Governments in International Law].Footnote 155 In his own monograph, he had argued that, “in positive international law the declaratory, as opposed to the constitutive, theory prevails and there is no duty to recognise, no right to be recognised”.Footnote 156 As an expert in this field, he had admiration for Chen's careful research. “All the wealth of literature as well as the rich practice of States and jurisprudence of courts concerning the law of recognition”, he wrote, “has been used by the author in the preparation of this valuable contribution to the material on the subject.”Footnote 157 He took the view that Lauterpacht's book
[H]as affected Dr. Chen negatively as well as positively. He sets out, first of all, to demolish the constitutive theory as developed by Lauterpacht. On the other hand, he has been influenced by Lauterpacht's treatment of the doctrine of non-recognition and leans also toward Lauterpacht's assertion of a right to and duty of recognition.Footnote 158
Kunz argued that, on the latter point, Chen saw eye to eye with Lauterpacht, while combating the constitutive theory.Footnote 159
Kunz took issue with Chen's fundamental argument that exposition of the constitutive theory “must lead to a denial of the obligatory character of international law, because it is only the outcome of legal positivism”.Footnote 160 In his view, this was an incorrect proposition, and thus Chen's criticisms of Kelsen and Lauterpacht were unjustified because, in their defense of the constitutive theory “both assert the supremacy of international law”.Footnote 161
Nevertheless, he stated in unequivocal terms the valuable contribution made by Chen's monograph: “much of what is contained in this book will be unacceptable to many of the specialists in this field. But this is to be expected in the treatment of a problem on which there is considerable disagreement, and the book is nonetheless a valuable contribution to the already copious literature on the subject.”Footnote 162
VI. CONCLUSION
Chen's dissertation is a lucid example of the extent to which professors could shape their pupils’ academic pursuit and theoretical orientation. Chen effectively took on the mantle of a naturalist position towards international law from Brierly, and wrote a major monograph arguing that there was a “higher law” governing the legality of acts of states. He flatly rejected dogmatic adherence to positivism, arguing on the same line and logic as propounded by Brierly about the moral foundation of international law. More impressively, all these thoughts and arguments were not only accompanied by a comprehensive literature review, but were also articulated with great eloquence in the English language, an admirable feat for a Chinese scholar of international law in his era.
Today, Chen's treatise has been placed on a par with Lauterpacht's on the topic of recognition in international law.Footnote 163 In fact, in James Crawford's introduction to the 2012 paperback edition of Lauterpacht's monograph,Footnote 164 he recognized that the law of recognition has developed since 1947 such that the
[P]revailing modern viewFootnote 165 is that recognition is a substantially declaratory phenomenon, and that it is not subject to any legal duty vis-à-vis the entity to be recognised, in other words the polar opposite of the view promoted in [Lauterpacht's 1947 monograph on] Recognition. T-C Chen—whose 1951 treatise on recognition sets forth an influential declaratory view—saw certain logical defects within Lauterpacht's view of recognition as both constitutive and declaratory.Footnote 166
Indeed, “ever since Lauterpacht and Chen published their seminal monographs on recognition under international law, scholars have paid little consistent attention to this issue”,Footnote 167 and Chen's work remains to date “the most thorough-going defense of declaratory doctrine and critique of constitutivism”.Footnote 168
Chen's stellar dissertation and subsequent monograph are not just testimonies to his extraordinary academic brilliance in the field of international law, but are also indications that Chen's prior international law education at a top university in China had supplied him with ample quality preparation in this branch of law. That said, Chen was arguably one of the “lucky” few who were sufficiently academically endowed and blessed enough to have been able to complete his doctorate at Oxford, for some before him were not as fortunate. Earlier attempts of aspiring Chinese law students who headed abroad were often met with failure for varied reasons, and many had no choice but to make their return without completing their degrees. Wang Jialing, also known as Wang Chia-liang, was one of those pioneering students. A 1916 LLB graduate of Peiyang University, he made a bold attempt to read for a Doctor of Laws at the London School of Economics and Political Science in October 1920, but gave up after a year's study under the supervision of distinguished international law scholar Alexander Pearce Higgins.Footnote 169 Another was Chen's predecessor Li Shengwu, who had received his legal education at Peking University with additional studies in Tokyo. Li had also headed for Oxford and was Brierly's first Chinese research student of international law; but unlike Chen, Li never completed his research degree at Oxford.Footnote 170 One final example is Wang Xianxiang, also known as Wang Hsien-hsiang, who had a very remarkable education in China, having studied at St John's University, Fudan University, and Soochow University Law School.Footnote 171 His academic achievements in China had led him to be awarded a coveted Sino-British Indemnity Scholarship in 1938, courtesy of which he was able to enrol at Cambridge University under the supervision of Lauterpacht. While at Cambridge, it appears that he was “finding Ph.D. too much for him”, and left after a term to try a master's degree in London.Footnote 172 Evidently, completing a doctorate in law in England was quite an uphill battle for Chinese scholars in the 1920s and 1930s. Chen's experience and subsequent accomplishments thus not only attest to his academic brilliance, but arguably attest to China's progress in terms of its quality of legal education and scholarship of public international law in the late 1930s to 1940s.
While at Oxford, Chen had arranged with his alma mater for a teaching position. The Department of Political Science recommended that Tsinghua University appoint him at the rank of Associate Professor at a monthly salary of ¥440.Footnote 173 Even though this pay was very close to the starting pay of a junior full professor at Tsinghua,Footnote 174 Chen was offered the job with haste. On 30 July 1948, before Chen even received his degree from Oxford,Footnote 175 he boarded the steamer Carthage at the port of Southampton bound for Hong Kong.Footnote 176 Hwang, who had completed a PhD in International Law under the supervision of Professor Lauterpacht at Cambridge, was also on board. In fact, Chen, then aged thirty-one, and Hwang, then aged twenty-nine, were China's first recipients of a doctorate in law from Oxford and Cambridge, respectively.Footnote 177 Upon Chen's return to China, his work in the field of international law appears to have been frustrated by the unfortunate onslaught of China's political and cultural reforms in the late 1950s and 1960s. Following his untimely death in 1983, shortly after China's reopening, his contribution was regrettably overlooked by legal historians. It is certainly high time to revisit and appreciate the work and ideas of this one-of-a-kind Chinese international law scholar of his time.
APPENDIX Outline of Chen's Doctoral Dissertation
Chapter I. Recognition of States
I. The theory of the Recognition of States and the Obligatory Character of International Law
II. Theory of the Recognition of States
III. Recognition of States in Practice
Chapter II. Recognition of Governments
I. The Recognition of Governments and the Recognition of States
II. The Doctrine of Legitimacy
III. The Declaratory or De Facto Doctrine
Chapter III. Legal Effects of Recognition
I. The Right of Unrecognized Powers to Sue
II. Immunity from Legal Process
III. Validity of Laws and Acts—With Respect to Public Rights
IV. Validity of Laws and Acts—With Respect to Private Rights
V. Suggestions for a Realistic Approach
VI. Retroactivity of Recognition
Chapter IV. Recognition
I. Modes of Recognition
II. Recognition, By Whom Determinable
Chapter V. Qualified Recognition
I. Revocability of Recognition
II. Conditional Recognition
III. De Facto and De Jure Recognition
Chapter VI. Recognition of Belligerency and Insurgency
I. Legal Personality of a Belligerent Community
II. Belligerent Community as a De Facto Government
III. The Nature of the Recognition of Belligerency
IV. The Duty of Recognition
V. Conditions for Recognition
VI. Recognition, by Whom and How Effected
VII. Termination of Belligerency
VIII. Recognition of Insurgency
Chapter VII. The Doctrine of Non-Recognition
I. Meaning of the Doctrine
II. The Obligation of Non-Recognition
III. The Doctrine of Non-Recognition and the Mixim Ex Factis Jus Oritur in International Law
IV. The Doctrine of Non-Recognition and the Existence of Objective Law
V. The Application of the Doctrine
VI. Non-Recognition as a Sanction
