Table of Contents. Publications and Electronic Media 5. Special Program: 2010 Juvenile Justice Delegation to China 6

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1 中 2010 美 对 话

2 Table of Contents Mission 1 Letter from the Executive Director 2 Programs and Activities 3 Advocacy 4 Research and Databases 5 Publications and Electronic Media 5 Special Program: 2010 Juvenile Justice Delegation to China 6 Hong Kong 6 Media Coverage 7 Outreach 7 Contributions and Support 8 Summarized Audited Financial Statements 9 Contributors 10 Board of Directors and Staff 11

3 Mission Statement The Dui Hua Foundation ( dui hua means dialogue in Mandarin Chinese) is a non-profit organization dedicated to advancing the protection of universally recognized human rights by maintaining a well-informed, mutually respectful dialogue with China. Dui Hua s work rests on the premise that positive change is realized through constructive relationships and exchange. Humanitarian treatment of prisoners, accountability of legal and penal systems, transparency, and rule of law are our principal goals. Advocacy Dui Hua engages China in a well-informed dialogue with the aim of securing the release and better treatment of individuals incarcerated for non-violent expression of political or religious beliefs, as well as promoting transparency and the rule of law. Based on independent research, Dui Hua compiles cases of concern, known as prisoner lists. These lists are delivered to the Chinese government by Dui Hua and US and foreign governments holding human rights dialogues with China. Research Dui Hua visits libraries worldwide and scours the Internet to gather official government data and unofficial reports on China s criminal justice system. Information on prisoners, court verdicts, regulations, and statistics feed into our databases, programs, and publications. Dui Hua maintains one of the world s largest databases of China s political and religious prisoners and a growing catalogue of social unrest in China. Special Programs Dui Hua implements special programs that promote human rights exchanges as a means to increase transparency and mutual understanding. Two of our most successful programs brought together Chinese and US delegations working on juvenile justice reform. Publications Dui Hua produces publications for a general audience and research materials for academics and specialists focused on criminal justice and the rule of law. General audience publications include Dialogue, Dui Hua s quarterly newsletter, and Human Rights Journal, a blog offering original analysis on China and US human rights issues and translations of Chinese-language articles. For specialists, Dui Hua publishes Reference Materials on China s Criminal Justice System, a limited-distribution report featuring open-source research findings in Chinese and English. Community Engagement Dui Hua emphasizes the importance of respectful dialogue by reaching out to the public in the United States and abroad. Organizing and participating in talks, events, and public affairs forums, Dui Hua has engaged thousands of professionals, students, and human rights advocates. Dui Hua 2010 Annual Report 1

4 Letter from the Executive Director Every year, I travel tens of thousands of miles to speak to students, legislators, lawyers, and journalists across the United States, Europe, and Asia. While I am constantly engaging different audiences, I am frequently asked the same question: How is it that, at a time when bilateral human rights exchanges have become so difficult, the Chinese government continues to work with Dui Hua? In 2010, as intergovernmental human rights dialogues shrank in number and status, Dui Hua s relationship with the Chinese government has achieved several important successes. China s Supreme People s Court invited Dui Hua to send a delegation of US juvenile justice experts to Beijing and Qingdao in May. Through visiting a juvenile prison and juvenile courts, and conducting a mock Executive Director John Kamm speaking at Harvard Law School on November 8, Credit: Karen L. Ding/The Harvard Crimson trial, American and Chinese judges, prosecutors, practitioners, and scholars exchanged their perspectives on the juvenile justice system. Significantly, ideas discussed during these exchanges are being adopted to further reform China s juvenile justice system. Moreover, access to key players continued in Beijing, as all of the meeting requests I made on three separate trips were accepted, including those with Supreme People s Court and Supreme People s Procuratorate officials, senior Ministry of Foreign Affairs officials, and advisors to China s leadership on US-China relations. Perhaps most significantly, Dui Hua continued to submit prisoner lists and get responses. Although the Chinese government stopped providing prisoner information to foreign governments in June, Dui Hua requested information on nearly 100 prisoners in 2010 and received information on more than 50 individuals. Meanwhile Dui Hua continued to take a critical stance on China s human rightspag situation. We appeared in more than 150 articles in US and foreign media last year, with many of our remarks focused on specific individuals, including imprisoned American citizen Xue Feng. Years ago, after I made a particularly sharp criticism of how China was treating a dissident, a senior official told me, We view your criticisms not as something meant to hurt China but as something meant to help China. A true friend is one who speaks the truth, even if the truth hurts. Having spent many years developing a relationship that is based on trust and rooted in equality and mutual benefit, I have found that it is possible to criticize China in a respectful way. As a senior Chinese official previously told The New York Times, Kamm is very critical of our policies, but his approach is acceptable to us. He loves China. He shows us respect. He is constructive and realistic. And that s one of the main reasons China continues to work with me and the foundation I direct. It is also why I am confident that the relationship Dui Hua has built with China will last for many years to come. John Kamm Executive Director Dui Hua 2010 Annual Report 2

5 Programs and Activities In 2010, Dui Hua continued its efforts to raise individual cases of concern directly with the Chinese government, and indirectly via the United Nations (UN) and governments that hold bilateral rights dialogues with China. In addition, we received an invitation to testify before the Congressional-Executive Commission on China (CECC), sent a historic juvenile justice delegation to China, and increased UN engagement through our research and consultative status. Dui Hua staff embarked on advocacy trips throughout Asia, Europe, and the United States. These trips enabled us to raise the names of nearly 100 prisoners directly with the Chinese government and assist several foreign governments in preparation for their human rights dialogues with China. Executive Director John Kamm spent more than four months on the road, meeting with China s Supreme People s Court (SPC) and other government officials in Beijing, and Ministry of Foreign Affairs representatives in Geneva, New York, Washington DC, and San Attendees of the Sino-US Juvenile Justice System Symposium in Qingdao on May 12, Francisco. He conferred with diplomats from more than a dozen countries. In August, Senior Manager for Research and Hong Kong Operations Joshua Rosenzweig testified before the CECC at a hearing entitled Political Prisoners in China: Trends and Implications for U.S. Policy. Dui Hua staff also traveled to mainland China to search library collections, toured American prisons to learn about penal practices and policies, and spoke at university campuses around the world about China s human rights situation. Following the success of our 2008 juvenile justice exchange, during which we hosted six SPCselected experts for a two-week study tour of the US juvenile justice system, Dui Hua organized a delegation of US juvenile justice experts to visit Beijing and Qingdao in May. SPC Vice President Xi Xiaoming hailed the delegation as an important step forward for US-China legal relations during a banquet he hosted for the delegates. Senior Manager Joshua Rosenzweig testifying before the CECC at a political prisoners hearing on August 3, Credit: Andrea Worden Initially granted in 2005, Dui Hua s Special Consultative Status with the UN Economic and Social Council was renewed for a second four-year period in Dui Hua took advantage of this status to participate in the first Universal Periodic Review of the United States at the UN Human Dui Hua 2010 Annual Report 3

6 Rights Council in November. Dui Hua also submitted several cases of concern to the UN Special Procedures unit and won a grant from the UN Office of the High Commissioner for Human Rights to support research on parole and sentence reduction in China s criminal justice system. Advocacy 2010 was a challenging year for China-focused human rights defenders. Dui Hua estimates that China arrested approximately 985 individuals and indicted nearly 1,180 individuals on state security charges. These numbers are three to four times higher than those recorded in Although lower than the highs reached in 2008, the figures represent an increasingly aggressive government response to a string of sensitive events including demonstrations in the Tibetan Autonomous Region (TAR) and protests around the Beijing Olympics in 2008, ethnic unrest in the Xinjiang Uyghur Autonomous Region (XUAR) and the 60th anniversary of the founding of the People s Republic of China in 2009, and the awarding of the Nobel Peace Prize to incarcerated dissident Liu Xiaobo in Dui Hua is unaware of any Chinese responses to prisoner lists submitted by foreign governments in the second half of the year. Relations were particularly strained following the Nobel Peace Prize announcement in October, as China cancelled an important bilateral dialogue and delayed or downgraded others. Nevertheless, Dui Hua s unique dialogue with the Chinese government continued. Dui Hua submitted prisoner lists requesting information on about 100 prisoners to the Chinese government and received responses regarding more than 50 cases. We received half a dozen communications from the Chinese government on prisoners in the second half of 2010, including one response after the announcement of the Nobel Peace Prize. Breaking with the tendency to suppress information on ethnic struggles, an interlocutor also sent Official Channels Continue to Feed Dui Hua s Prisoner Database Dui Hua maintains one of the world s largest databases of China s political and religious prisoners. Despite China s increasing reticence in intergovernmental rights dialogues, Dui Hua continues to receive official prisoner information. This information is used in conjunction with unofficial reports to update the Prisoner Database that fuels our advocacy work. The blue line represents the number of individuals Dui Hua has recorded in its database because of having been detained or imprisoned since 1980, which is when our recordkeeping began. The red line is a subset of the former population, those individuals who are either known or believed to be imprisoned. Dui Hua 2010 Annual Report 4

7 Dui Hua a rare response regarding Uyghur prisoners from the XUAR. Dui Hua inputs individualcase data into its Prisoner Database, which is used to generate prisoner lists for further rights dialogues with China. While we continue to obtain prisoner information, our research indicates that clemency is on the decline. Dui Hua confirmed only one sentence reduction for a political prisoner in 2010 David Dong Wei s sentence was reduced by 18 months in April. Even more troubling, Dui Hua has not verified a single act of clemency for a XUAR or TAR prisoner since Dui Hua s trailblazing UN-funded study on sentence reduction and parole reveals that provincial and local regulations create additional procedural hurdles for political prisoners seeking clemency. Systemic bias was found against prisoners serving sentences for endangering state security and other political offenses. Going forward, these findings will play a major role in Dui Hua s advocacy. Research and Databases Dui Hua visits libraries worldwide and scours the Internet to gather official government data and unofficial reports on China s criminal justice system. Information on prisoners, court verdicts, regulations, and statistics feed into our databases, publications, and programs. Dui Hua added more than 2,000 records to its Prisoner Database in 2010 to reach nearly 23,000 prisoner entries. The database continues to be the most comprehensive resource on Chinese prisoners of conscience and is used to generate prisoner lists that we send to China and the governments that engage in bilateral dialogues with China. Dui Hua also maintains a Mass Incidents Database, cataloguing the rise in popular unrest throughout China. In 2010, the Mass Incident Database contained information on more than 2,700 incidents. The surge in popular protests in recent years has heightened government fears of increased instability. Publications and Electronic Media Dui Hua produces publications for a general audience and research materials for academics and specialists focused on criminal justice and the rule of law. Dialogue, Dui Hua s quarterly newsletter, brought straightforward commentary on the death penalty, medical parole, US-China relations and other issues to more than 2,000 subscribers. Human Rights Journal featured 28 pieces of original analysis on China and US human rights issues along with translations of Chinese-language articles. Reference Materials on China s Criminal Justice System (RM) offered open-source research findings in Chinese and English. We distributed the RM in four volumes, for a total of nearly 250 pages, to a select group of approximately 200 individuals. Dui Hua 2010 Annual Report 5

8 Driven by new content and media coverage, our website (duihua.org) recorded more than a quarter of a million visits in Our social media presence also grew following the launch of a Twitter feed (@duihua) and Facebook fan page in Special Program: 2010 Juvenile Justice Delegation to China In 2010, Dui Hua held its second juvenile justice exchange between the US and China. Dui Hua was invited to bring a US delegation of juvenile justice experts including practitioners in juvenile defense and probation, juvenile judges, and a scholar from an organization that advocates for juvenile justice reform to meet with juvenile justice experts in China. The program followed Dui Hua s hosting of a Chinese delegation of juvenile justice experts in the US in A report praising the first exchange had been widely circulated within China s judiciary, building the foundation for future exchange. From May 8 to May 15, the US delegates, hosted by the SPC, visited juvenile justice facilities in Beijing and Qingdao, Shandong. We visited one of China s largest district courts, the Haidian District People s Court, which handles 50,000 cases a year, about 400 of which involve juveniles. We also visited the Qingdao Intermediate People s Court, a juvenile prison, and a community corrections center. US and Chinese experts also participated in a mock juvenile trial. Measures discussed during the 2008 and 2010 exchanges, notably the sealing of records and postponed prosecution, are already being implemented in China as pilot programs. Top: Moot court session held to demonstrate the procedures of China s juvenile justice system. Bottom: Judge Shang Xiuyun (center, rear), known in China as Mother Judge for her belief in rehabilitating juvenile offenders, guides US delegates on a tour of a juvenile courtroom in the Haidian District Court Building. Hong Kong Dui Hua s Hong Kong office continued to play an important role as the foundation s base for research and outreach. Under the direction of Senior Manager of Research and Hong Kong Operations Joshua Rosenzweig, the office collected and analyzed research materials from libraries in Hong Kong and mainland China, and maintained the foundation s databases. Frequent exchanges continued between Hong Kong staff and scholars and foreign diplomats. Journalists worldwide sought out the perspectives of Dui Hua research- Dui Hua 2010 Annual Report 6

9 ers on human rights developments regarding everything from the cases of individual dissidents to the announcement of criminal justice reform. Media Coverage Dui Hua was featured in more than 150 media reports in Coverage included The New York Times, The Wall Street Journal, and The Washington Post in the US; The Guardian, The Telegraph, the Financial Times and the BBC in Britain; South China Morning Post in Hong Kong; China Daily in mainland China; and English and foreign-language media in more than a dozen other countries. Much of the coverage focused on individual cases, such as disappeared human rights lawyer Gao Zhisheng and imprisoned American geologist Xue Feng, whose cause we have championed. Executive Director John Kamm at Williams College on November 15, Credit: The Oakley Center, Williams College In a January 14 opinion piece, New York Times columnist Nicholas Kristof praised Dui Hua s work for its remarkable success in encouraging China to release dissidents and quoted John Kamm as saying Western companies could do far more to project their values. China Daily ran an opinion piece on February 23 stating that human rights is important, and independent groups not attached to the US government such as Amnesty International and Dui Hua, as well as lawyers and lawmakers in China, have a role to play. Dui Hua staff also wrote opinion pieces that were published by major media outlets. The Washington Post published John Kamm s death penalty piece, Is Mercy Coming to China? The South China Morning Post featured Joshua Rosenzweig s commentary on the status of US-China human rights dialogues and the importance of procedural rights protections in China. Outreach Remarkable success in encouraging China to release dissidents -- New York Times columnist Nicholas Kristof Through speaking tours and outreach events, Dui Hua engaged diverse groups such as students, scholars, and government officials. On April 6, Dui Hua held its largest outreach event to date in support of its Juvenile Justice Initiative. More than 100 guests attended the event, whose speakers included San Francisco Superior Court Judge Lillian Sing, who led the 2010 delegation to China, and Deputy Consul General of the Chinese consulate in San Francisco Lu Wenxiang. Dui Hua 2010 Annual Report 7

10 John Kamm spoke with legislators and gave talks at higher education institutions including Stanford University, Harvard University, Boston University, Georgetown University, Williams College, University of Virginia, and Cornell University. Joshua Rosenzweig delivered a presentation at a University of Hong Kong conference entitled Charter 08 and the Challenges of Constitutional Development in June. The program focused on the case of Nobel Peace Prize winner Liu Xiaobo, who was convicted of inciting subversion and sentenced to 11 years in prison in December Rosenzweig also testified before the Congressional-Executive Commission on China at a hearing on Political Prisoners in China: Trends and Implications for U.S. Policy in August. Renewed grants came from the Smith Richardson Foundation, Dui Hua s earliest grantor; the International Republican Institute, a Washington-based organization funded in part by grants from the executive and legislative branches of the US government; and the governments of Denmark, Norway, Sweden, and Switzerland. Contributions and Support Thanks to generous donations from Dui Hua s supporters, we ended two years of deficits with a modest budget surplus in Unrestricted revenue reached a high of $980,000. Donations rose 18 percent to over $220,000, with growth in both the number of donors and average contribution per donor. More than 180 individuals, including 59 first-time donors, gave to Dui Hua, up 13 percent from the previous year. As Dui Hua increased its web presence, online donations more than doubled from 2009, with 42 donors contributing nearly $20,000. In addition to support from individuals, Dui Hua is proud to receive grants from foundations, governments, and international organizations. Dui Hua staff and friends with Deputy Consul General Lu Wenxiang (left), California appeals court Justice James Lambden (second from left), and San Francisco Superior Court Judge Susan Breall (third from right) at the Juvenile Justice Initiative dinner on April 6, New grants came from the UN and the Fu Tak Iam Foundation. Dui Hua s first UN grant was issued by the Office of the High Commissioner for Human Rights in support of a study on sentence reduction and parole in China. Helping to fund the juvenile justice delegation, Fu Tak Iam is Dui Hua s first institutional donor based in Hong Kong. Dui Hua 2010 Annual Report 8

11 Summarized Audited Financial Statements These statements are a summary of information from the Financial Statements audited by Lindquist, von Husen & Joyce LLP, San Francisco, California. STATEMENT OF FINANCIAL POSITION (as of December 31, 2010) Assets Cash & cash equivalents 652,609 Investments 100,000 Deposits & prepaid expenses 27,048 Contribution receivables 273,119 Property & equipment (net) 24,723 Liabilities & Net Assets Accounts payable & accrued expenses 61,507 Refundable advance 3,597 Net assets: Unrestricted net assets Board-designated reserve fund 300,000 Undesignated 159,065 Temporarily restricted net assets 553,330 Total $1,077,499 $1,077,499 STATEMENT OF ACTIVITIES AND CHANGES IN NET ASSETS (year ended December 31, 2010) Unrestricted Temporarily Restricted Total Support & Revenue: Government & foundation grants 132, , ,500 Contributions 193,287 30, ,685 Special events & publications sales 9,901-9,901 Investment & other income 3,266-3,266 Net assets released from restriction 640,577 (640,577) - 979,209 49,143 1,028,352 Expenses: Program services 740, ,807 Supporting services: Management & general 107, ,609 Fundraising 94,368-94, , ,784 Change in net assets 36,425 49,143 85,568 Net assets, beginning of year 422, , ,827 Net assets, end of year $459,065 $553,330 $1,012,395 Dui Hua 2010 Annual Report 9

12 Contributors Dui Hua wishes to thank the individuals, foundations, corporations, and governments whose generous contributions fund our programs and activities and have made possible Dui Hua s ongoing research and advocacy work. Grantors Ministry of Foreign Affairs, Denmark Fu Tak Iam Foundation Limited International Republican Institute Ministry of Foreign Affairs, Norway Smith Richardson Foundation Ministry of Foreign Affairs, Sweden Federal Department of Foreign Affairs, Switzerland Office of the High Commissioner for Human Rights, United Nations Benefactors Anonymous (5) Hal & Sally Furman Katie Grover & Mike Campbell The Hassenfeld Foundation Jean Hoffman Chuck & Ann Hoover John & Irene Kamm Stephen O. Lesser Lindquist, von Husen & Joyce LLP William C. McCahill, Jr. Bruce McEver Charles Monat Nike Inc. & Affiliates PSF Investments, LLC The Rossotto Family William & Sherri Simon Sir Gordon & Lady Wu Robert D. Ziff Foundation Linda K. Ziglar Sponsors Anonymous (3) Arthur Chan Keion Chan & Sonia Ng Jerome A. Cohen Mary Ann Collier Jerome & Carol Crowley Richard Cullen Clem Esmail Kenneth Grant & Constance Taube Tony & Mabel Lee Roderick MacFarquhar Kenneth R. Manes Howard & Sandy Marks Donald & Ann Munro Robert & Beverly O Grady George & Susan Schreiber Martha Sutherland & Barnaby Conrad III Hon. Julie Tang Helen Tomlinson Edward L. & Mary Lee Turner Jules & Shirley Wong Alice Woo Betsy Wood Amelia Yeung Supporters Anonymous (11) The Ansary Foundation Frankie K. Au-Yeung & Po Yan Or Hon. David Ballati Peter Barry Mark Bayuk Michael & Sylvia Brown Richard C. Bush The Capital Group Companies Charitable Foundation Chrys E. & Carrol Chrys Patty Chu Norman Chui & Cleresa Wong Mark Clifford Pastor Augusta C.N. Crutchfield (In memory of Mollie S.K. Chan) Dennis Cusack John & Gina Despres Clayton Dube Hon. Peter G. Fitzgerald John J. & Mary Beth Foarde Fuming Fong Richard Glover & Lily Lee Kenneth Jarrett Michael C. Kelly & Joan C. Mazzotti Gilbert & Melissa Kuo Gary & Gail Kushner Alan & Mandy Law Robert MacIntosh & Betsy England Tim Mangan & Lori Wider Eugene & Joyce Martin Andrew Nathan Mary J. Parrish William Shawn Hon. Lillian Sing Sam & Nancy C. Smith Family Tobias Smith Barbara Spack Donald & Elizabeth Steckler William A. Stewart (In memory of Arun D. Stewart) Hon. Steven Symms & Loretta Symms Federick C. Teiwes Jeri Thomson Clayton & Christine Tominaga James Twiss Susan Roosevelt Weld Cherilyn Widell Henry & Ella Young Jon & Ellen Zinke Friends Anonymous (15) Robert Aiken Don Anderson Shoichi Aoyagi William Armbruster Glenn & Rose Boynton Jeremy Brown Roger Chan Ruthie Conway (In memory of Joanna Ballou) Roy & Kipp Delbyck Dave Denny Ronald B. Duhn Mark Fisher Miriam Gattis Norman W. Getsinger Richard E. Gillespie Thomas B. Gold Andrew Green Serge & Dorothy Hanne Earle & Kyle Irwin Kenji Ito Juan & Patricia Jayo Robert Kato Terence Po Sum Lam Hon. James R. Lambden Mark Lambert & Laura Stone Robert L. Larson Kendrick E. Lee & Ruth Daniel Bruce Leitstein Bradley & Catherine Lewis Linda Lewis Margaret Lewis Kin-ming Liu Wen Liu Vincent Mancuso Joe Massey Cynthia Molstad Douglas Murray Rodney W. Nichols John & Diane Noble Caroline Pappajohn Nancy Pickford Snuller & Erika Price Roberta Raine Jack Roach Anne Beane Rudman Pietro Franco Saputo Hon. Ronald Sarasin Stephen A. Schlaikjer Donald Scruggs Derek Shakabpa Beverly Deane Shaver (In memory of Lt. j.q. James Brayton Deane, Jr., USN) Fred Shepardson Xiaohu Shi David Spitzer Sharon J. Taylor Samson Tu Ezra F. Vogel & Charlotte Ikels Lynn & Barbara-Sue White Jay Wiener Ira & Jeanne Wolf Grace Wong Francis & Constance Yu John & Rainbow Zeng Additional gifts to Dui Hua were received through the Combined Federal Campaign (CFC) and the California State Employee Charity Campaign (CSECC), which are charitable donation programs administered by Human and Civil Rights Organizations of America. Dui Hua 2010 Annual Report 10

13 Board of Directors and Staff (as of May 1, 2011) Board of Directors Harold W. Furman II Chairman and Managing Director The Furman Group, Inc. Thomas D. Gorman Chairman CCI Asia-Pacific Ltd. John T. Kamm Chairman and Executive Director The Dui Hua Foundation William C. McCahill, Jr. Financial Services Consultant Michael T. McCune Managing Director Thomas Croston & Company William N. Simon Managing Partner Infinity Associates LLC Magdalen Yum First Vice President-Investments Merrill Lynch Asian U.S. Complex Linda K. Ziglar Senior Vice President of Financial Operations American Frozen Food Institute Officers John T. Kamm Executive Director Magdalen Yum Secretary Irene Chan Chief Financial Officer Staff John T. Kamm Executive Director Irene Chan Senior Manager Finance and Operations Joshua Rosenzweig Senior Manager Research and Hong Kong Operations Daisy Poon Development and Program Manager Luke Wong Research Officer Kevin Li IT and Office Manager Candy Or Accountant and Gifts Administrator Sandy He Executive Assistant Dui Hua 2010 Annual Report 11

14 The Dui Hua Foundation Head Office 450 Sutter Street, Suite 900 San Francisco, CA USA Tel: (415) Fax: (415) Hong Kong Branch Room 701, The Centre Mark Queen s Road Central Hong Kong Tel: (852) Fax: (852) duihua@duihua.org